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

रजिस्ट्री स.ं डी.एल.- 33004/99 REGD. No. D. L.-33004/99 सी.जी.-डी.एल.-अ.-31012025-260659 xxxGIDHxxx CG-DL-E-31012025-260659 xxxGIDExxx असाधारण EXTRAORDINARY भाग I—खण्ड 1 PART I—Section 1 प्राजधकार स ेप्रकाजित PUBLISHED BY AUTHORITY स.ं 32] नई दिल्ली, बृहस्ट्प जतवार, िनवरी 30, 2025/माघ 10, 1946 No. 32] NEW DELHI, THURSDAY, JANUARY 30, 2025/MAGHA 10, 1946 ubZ fnYyh] 15 tuojh] 2025 a fons'k O;kikj uhfr ¼2023½ ds iSjk 1-03 vkSj .— 2-04 ds rgr çnÙk 'kfä;kas dk ç;kxs djrs gq,] egkfuns'kd fons'k O;kikj ,rn~}kjk bl lkoZtfud lwpuk ds vuqyXud eas layXu çfØ;k iqLrd ds iSjk 10-19 eas fufgr Ldkes sV enkas ds fu;krZ vkSj Ldkes Vs fofu;eukas ls lacaf/kr xjS &vuqikyu@mYya?ku ds LoSfPNd çdVhdj.k gsrq ekud izpkyu çfØ;k@fn'kkfunsZ'kkas dks vf/klwfpr djrs gSaA 2- bls rRdky izHkko ls ykx w fd;k tk,xkA 762 GI/2025 (1)2 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] Ldkes Vs enka sa ds fu;kZr vkSj Ldkes Vs fofu;euks a ls lacaf/kr xSj&vuqikyu@mYya?ku ds LoSfPNd çdVhdj.k grs q ekud izpkyu çfØ;k@fn'kkfunsZ'kkas dk s ,rn~}kjk vf/klwfpr fd;k tkrk gSA lark"s k dqekj lkjaxh] egkfuns'kd fons'k O;kikj ,oa insu vij lfpo fons'k O;kikj egkfuns'kky; ¼Mhth,QVh½ ;g ekurk g S fd ,ls s volj gks ldrs gSa tgka ftEens kj fu;kZrdks a us fons'k O;kikj ¼fodkl vkSj fofu;eu½ vf/kfu;e] lkefwgd lagkj ds vk;q/k mudh ifjnku iz.kkyh ¼fof/kfo:) fØ;kdykiks a dk izfr'kks/k½ vf/kfu;e] lhek 'kqYd vf/kfu;e] ;k fdlh vU; çklafxd dkuwu] fofu;eu] vkns'k vkfn ds fu;kZr fu;a=.k çko/kkuks a ;k Mhth,QVh }kjk tkjh fu;kZr fu;a=.k ij ykblsal@çkf/kdkj i= dk vuqikyu ugha fd;k gksA Mhth,QVh fu;kZr fu;a=.k çko/kkuks a dk vuqikyu djus eas foQyrk ds LoSfPNd çdVhdj.k dk s çkRs lkfgr djrk gS vkjS fdlh Hkh xjS &vuqikyu ?kVukvks a ls cpus ds fy, fu;kZrdks a ds chp tkx:drk c<+kus grs q lgk;rk djrk gSA LoSfPNd çdVhdj.k eas o s ekeys 'kkfey ugha gSa tgka fu;kZrd Mhth,QVh vkSj lhek 'kqYd tSlh Hkkjr ljdkj dh lacfa/kr ,tsfal;ks a ls lapkj ds vk/kkj ij çkf/kdkj i=@dk;kZsÙkj fu;krZ çkf/kdkj i= ds fu;ferhdj.k ds fy, vkons u djrk gSA Ldkes Vs enksa ds fu;kZr ds fy, vkons ukas ij fopkj djus ds fy, xfBr Mhth,QVh eas varj&ea=ky;h dk;Z lewg ¼vkbZ,eMCY;wth½ ç'kklfud tqekZuk] ;fn dksbZ gks] ftls yxk;k tkuk pkfg, fu/kkZfjr djus eas LoSfPNd çdVhdj.k dks ,d de djus okys dkjd ds :i eas fopkj fd;k tk ldrk gSA vkbZ,eMCY;wth çR;sd ekeys ij fons'k O;kikj ¼fodkl vkSj fofu;eu½ vf/kfu;e ds rgr le;&le; ij dsæa ljdkj }kjk fu/kkZfjr fu;kZr vkSj vk;kr uhfr ds çko/kkuks a vkSj mlds rgr tkjh vkns'kkas ds vuqlkj mldh ;kXs ;rk ds vk/kkj ij fopkj djsxkA xSj&vuqikyu ds fy, LoSfPNd çdVhdj.k Ldkes Vs Js.kh 0 vkSj lhMCY;wlh vuqlwfp;ks a ¼Ldkes Vs ½ Jsf.k;ka 1,] 1ch vkjS 1lh½ ds rgr vkus okyh enkas ds fy, xSj&vuqikyu ;k mYya?ku ds ekeykas dk s doj ugha djsxkA i. Ldkes Vs ds varxZr lwphc) oLrqvkas@l‚¶Vos;j@çk|S ksfxdh dk fu;kZr] tk s fcuk iwoZ çkf/kdkj i= ds fd;k x;k gks ii. fcuk tkudkjh ds ;w,u,llh&Loh—r bdkbZ;kas vkSj O;fä;ka s dk s fu;kZr iii. Ldkes Vs ds varxZr fu;af=r u gksus okyh enks a dk fu;kZr vkSj ftudk mi;kxs lkefwgd lagkj ds vk;q/k ;k mudh forj.k ç.kkfy;ksa ds mi;kxs @Mk;oVZ ds fy, fd;k tkrk gS ;k fofuZek.k eas fd;k tkrk gS iv. fdlh bdkbZ ds uke ij tkjh fu;kZr izkf/kdkj i= dk mi;kxs ] uke ifjorZu] foy;] vfoy;u vkfn ds ckn ykblsfalax çkf/kdkjh ls iwoZ vuqeksnu@la'kk/s ku ds fcuk fdlh ub Z bZdkb }kjk fd;k tkuk v. Hkkjr eas iath—r ;k lapkfyr daiuh@bdkbZ }kjk ykblsfalax çkf/kdkjh ls vuqefr çkIr djus eas foQyrk] tk s lkbV foftV] v‚u&lkbV lR;kiu ;k fons'kh laxBukas }kjk lh/k s ;k fdlh[भाग I—खण् ड 1] भारत का रािपत्र : असाधारण 3 Hkkjrh; i{k ds ek/;e ls fjd‚MZ@nLrkots ks a rd igqap dh lqfo/kk ;k dk;Z djus ds fy, Ldkes Vs enkas ds fofuekZ.k] çlaLdj.k vkSj mi;ksx es a 'kkfey gS vi. fjiksfVaZx] fjd‚MZ j[kus dh vko';drkvkas vkfn dk vuqikyu djus eas foQyrk vii. rduhdh vkadM+ks a rd vuf/k—r vfHkxe viii. rduhdh lgk;rk dk vuf/k—r çko/kku ix. Ldkes Vs enks a ls lacaf/kr dkbs Z vU; mYya?ku tk s ,QVhMhvkj@,QVhih@,pchih ds lanHkZ es a Åij lwphc) ugha gS çdVhdj.k dh LoSfPNd ç—fr ds ckotwn] lacaf/kr mYya?ku ¼mYya?kuksa½ dk ekeyk naMuh;] ç'kklfud dkjZokbZ vkjS vkijkf/kd vfHk;kts u ij fopkj djus ds fy, çfrca/k dk s yxkus ;kXs ; gks ldrs gaSA vkbZ,eMCY;wth bl ckr ij fopkj djsxk fd D;k fdlh fo'k"s k ekeys esa vU; lacaf/kr tkudkjh ds lanHkZ eas 'LoSfPNd çdVhdj.k'] ;fn dkbs Z ç'kklfud dkjZokb Z tk s dh tk,xh dk s fu/kkZfjr djus esa bls de djus okyh dkjd gksuk pkfg,A LoSfPNd çdVhdj.k ds ekeys eas vkbZ,eMCY;wth }kjk fopkj fd, tkus okys dqN vU; dkjd fuEukuqlkj gSa% i. D;k fu;kZr lkekU; Øe eas vf/k—r gksrk] vkSj fdu ifjfLFkfr;ks a ¼LoSfPNd@ck/; çdVhdj.k½ ds varxZr fu;kZrd }kjk Mhth,QVh ds le{k fu;kZr çkf/kdkj i= ds fy, vuqjks/k fd;k x;k gS( ii. D;k mYya?ku tkucw>dj ;k vutkus eas] O;ofLFkr fd;k x;k ;k ugha fd;k Fkk( iii. mYya?ku D;ks a gqvk( iv. vkxkeh lR;kiu@tkap esa lg;kxs dh fMxzh( v. D;k QeZ us Hkfo"; eas fu;kZr mYya?ku dh laHkkouk dk s de djus ds fy, deZpkfj;kas ds çf'k{k.k lfgr ,d vkra fjd O;kikj vuqikyu ra=@çfØ;k@dk;ØZ e dh LFkkiuk ;k bleas lq/kkj fd;k gS( vi. D;k fu;kZr mYya?ku laxBu ds ofj"B çca/ku ds laKku es a Fkk( vii. mYya?ku ds fy, ftEens kj QeZ@vf/k—r O;fä fu;kZr fu;a=.k dkuwuks a vkSj fofu;eka s ls fdl gn rd ifjfpr Fkk( viii. D;k QeZ us vrhr eas fu;kZr fu;a=.k dkuwuks a vkSj fofu;ekas dk mYya?ku fd;k g(S i. fdlh Hkh O;fä@QeZ dk s fu;kZr mYya?ku dk irk pyus vkSj vkra fjd :i ls ifq"V gksus ds rqjar ckn fons'k O;kikj egkfuns'kky; ¼Mhth,QVh½ dk s çkjaHk eas lwfpr djuk pkfg,] vkSj fQj ,slh lHkh O;kikj xfrfof/k;kas dh xgu leh{kk djuh pkfg,] tgka mYya?ku dk lansg gksA Hkkjrh; fu;kZrd dks ,ls s mYya?ku ds lHkh çklafxd fooj.k ¼ifjf'k"V 10.k es½a Ldkes Vs çHkkx] Mhth,QVh ¼eq[;ky;½] okf.kT; Hkou] ubZ fnYyh dks scomet-dgft@nic.in ij bZ&esy ds ek/;e ls çLrqr djuk gksxkA ii. ;fn fu;kZrd bdkbZ ;k O;fä }kjk ,sl s mYya?ku ds laca/k eas lhek 'kqYd tSlh lacaf/kr çorZu ,tsfal;kas ;k vU; lzkrs kas ls iqf"V gksrh gS] rks Ldkes Vs izdk’s B] Mhth,QVh }kjk vkons d QeZ dks dkj.k crkvks ukfsVl tkjh fd;k tk,xkA lHkh vko';d nLrkostksa ds lkFk ,d iw.kZ çdVhdj.k 30 fnukas ds Hkhrj ;k fofufnZ"V fd, tk ldus okys foLrkfjr le; ds Hkhrj çLrqr fd;k tkuk pkfg,A iii. mfpr le; ds Hkhrj iw.kZ çdVhdj.k çnku djus eas foQyrk ds ifj.kkeLo:i vkbZ,eMCY;wth }kjk ;g flQkfj'k dh tk ldrh gS fd mYya?ku ds mfpr fuiVku dk fu/kkjZ .k djus eas LoSfPNd çdVhdj.k dks de djus okys dkjd ds :i es a u ekuk tk,A blds vfrfjä] Mhth,QVh QeZ dk s lacfa/kr Hkkjrh; dkuwuks a vkSj fofu;eks a ds lanHkZ es a mYya?ku ds ckjs eas lHkh çklafxd tkudkjh çLrqr djus dk funsZ'k ns ldrk gSA4 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] iv. vkbZ,eMCY;wth ykx w dkuwukas vkSj fofu;eka s ds nk;js es a ;kXs ;rk ds vk/kkj ij çR;ds ,sl s vkons u ij fopkj djsxkA LoSfPNd çdVhdj.k ds rgr fd, x, fu;kZr ds fu;ferhdj.k ds fy, vkbZ,eMCY;wth fuEufyf[kr nLrkostksa ij fopkj dj ldrk gSA QeZ }kjk fyf[kr çdVhdj.k ds lkFk ,d ofj"B vf/kdkjh ¼fu;kZr vuqikyu çca/kd ;k led{k in ls uhps dk ugha½ }kjk gLrk{kfjr ,d lgi= ¼’kh"kZi= ij½ fuEufyf[kr nLrkostksa ds lkFk gkus k pkfg,A d- çdVhdj.k iiz = ¼ifjf'k"V layXu½ [k- ,,u,Q 10d izi= es a vkons u x- ykblsaflax nLrkots ¼tSls] ykblsal vkons u] fu;kZr ykblsal] vafre mi;kxs drkZ çek.ki=@fooj.k] [kjhn vkns'k] lafonk] djkj] vkfn½ ?k- ikrs ynku nLrkost ¼tSls] f'kfiax fcy] okf.kfT;d chtd] gokbZ ekxZ fcy vkSj ynku fcy vkSj dkbs Z vU; lacfa/kr O;kikj nLrkost½ M- dksbZ vU; çklafxd nLrkots tks vko';d gks i. çdV fd, x, rF;ks]a lgk;d nLrkost vkSj lark"s ktud leh{kk ds vk/kkj ij fu;kZrd dk s lwfpr djuk fd vkxs dkbs Z dkjZokbZ vko';d ugha gS( ii. dkj.k crkvks ukfsVl tkjh djuk( iii. çlkj laca/kh ljksdj@lwpuk] lacaf/kr fu;kZr fu;a=.k dkuwuks a vkSj fofu;eks a ds mYya?ku vkfn ij çfrdwy fjiksVZ çLrqr djus ;k fu/kkZfjr le;&lhek ds Hkhrj vfuok;Z nLrkots çLrqr u djus ;k Ldkes Vs uhfr dh 'krksZa dk ikyu u djus ij U;k;fu.kZ;u vkns'k tkjh djukA QeZ ,QVh ¼Mh,aMvkj½ vf/kfu;e] blds rgr cuk, x, fu;eks a vkSj vkns'kka]s fons'k O;kikj uhfr ¼,QVhih½ vkSj fdlh Hkh vU; ykx w dkuwuks a vkSj fofu;ekas ds vuqlkj dkjZokbZ ds fy, mÙkjnk;h gksxhA iv. Mhth,QVh ckn eas bu ekeykas es a muds }kjk dh xbZ dkjZokbZ ls vkbZ,eMCY;wth dks voxr djk,xk ¼fiNy s fu;kZr dks fu;fer djuk ;k mijkäs ¼i½@¼ii½@¼iii½ ds vuqlkj dh xbZ mi;qä dkjZokbZ] tSlk Hkh ekeyk gks½A[भाग I—खण् ड 1] भारत का रािपत्र : असाधारण 5 [—i;k Ldkes SV enksa ds fu;kZr vkSj Ldkes SV fofu;eukas ls lacfa/kr xSj&vuqikyu@mYya?ku ds LoSfPNd çdVhdj.k ds fy, ekud izpkyu çfØ;k@fn'kkfunsZ'k n[s kas] i. uke ii. laxBu es a in iii. irk n's k {k=s dkMs dksM iii. ekcs kby uacj ,lVhMh dksM ds lkFk VsyhQkus uacj iv. vkons u tek dju s dh frfFk i. QeZ@daiuh@O;fä dk uke ii. iwjk vkf/kdkfjd irk ¼fiu dkMs lfgr½ iii. daiuh dk laf{kIr fooj.k] ftles a vyx i=d ij mldh O;kolkf;d xfrfof/k;k¡ 'kkfey gSa iv. D;k vkra fjd O;kikj vuqikyu dk;ZØe ¼vkbZlhih½ LFkkfir fd;k x;k gS ¼gk¡@ugha½ v. D;k QeZ us iwoZ es a Ldkes SV izkf/kdkj&i= izkIr fd;k g S ¼gk¡@ugha½ vi. iwoZ izkf/kdkj&i= la- vkSj rkjh[k@Mhth,QVh lanHkZ la- ¼;fn foxr o"kksZa ds nkjS ku dksbZ tkjh fd;k x;k gS rks½ i. fd, x, mYya?ku dk çdkj ¼,lvksih n[s ks½a mYya?ku dh ç—fr vkSj lhek dk LIk"V fooj.k ii. XkSj&vuqikyu djus dh vof/k ¼mYya?ku dh frfFk vkSj fjikfsVZax dh frfFk ds chp dh vof/k½ iii. D;k lhek 'kqYd ;k fdlh vU; çorZu@ykblsfalax çkf/kdkjh u s dkbs Z dkj.k crkvk s ukfsVl tkjh ¼,llh,u½ ;k i=kpkj fd;k gS & ¼gk¡@ugha½ iv. ;fn ¼iii½ dk mÙkj 'gka' gS] rks ,llh,u@i=kpkj dh ,d çfr çnku djas6 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] v. fu;kZr mYya?ku] fu;kZr dk ek/;e] rFkk ynku@fuoZgu dk iÙku]tgk¡ Hkh ykxw gks] ls lacaf/kr lHkh ikrs ynku dh frfFk;k¡] vi. ftu ifjfLFkfr;ks a ds dkj.k mYya?ku gqvkA mYya?ku] mYya?ku dSls mtkxj gqvk dk fooj.k 'kkfey djsa] ¼;fn vko';d gk s rks ,d vyx i=d layXu dh tk ldrh gS½A vii. çR;ds fu;kZr iksrynku ds fy,] ;g iz’u fd D;k fu;kZr tkuc>w dj fd;k x;k Fkk viii. ;g lqfuf'pr djus ds fy, fd Hkfo"; es a fu;kZr ykblsal çkIr fd;k tk,xk ds fy, mBk, x, dneks a ;k fØ;kvks a vkSj çfØ;kvks a dk fooj.k] tgk a visf{kr gks ix. çdVhdj.k dju s okys O;fä dk uke vkSj irk rFkk laidZ LFkku] ;fn fHkUu gks] rk s lwfpr fd;k tk ldrk gS x. Ldkes SV izkf/kdkj&i= la[;k vkSj fnukad] ykblsla NwV ;k fdlh vU; izkf/kdkj&i= dk fooj.k] ;fn ykxw gks( ¼fiNys rhu o"kZ½ xi. dksbZ vU; tkudkjh tks fu;kZrd dk ekuuk gS fd çdVhdj.k ds iz;kts u grs q lacaf/kr gS i. Lkgi= [QeZ ds 'kh"kZi= ij ,d ofj"B vf/kdkjh ¼fu;krZ vuqikyu çc/a kd ds in ls uhps ugha½ }kjk gLrk{kfjr] ftlea s fd, x, mYya?ku dk laf{kIr fooj.k çnku djrs gq, vkjS ;g crkrs gq, fd LoSfPNd çdVhdj.k ds laca/k esa fd, x, lHkh vH;kosnu ml O;fä dh tkudkjh vkSj fo'okl ds vuqlkj lR; vkSj lgh gaS] ii. tgka Hkh ykxw gks Mhth,QVh ds v‚uykbu ikVs Zy ds ek/;e ls ,,u,Q 2.k izi= es a vkons u] iii. lhek 'kqYd }kjk tkjh ,llh,u dh çfrfyfi] tgka Hkh ykx w gks ;k ykblsaflax@çorZu ,tsfal;kas }kjk tkjh dksbZ vU; i=kpkj iv. rduhdh fp= ¼mRikn@çk|S ksfxdh ij tkudkjh½] tgk¡ ykx w gks v. mRikn¼vks½a ds rduhdh fofunsZ'k@MkVk 'khV@foojf.kdk] tgka ykx w gks vi. Mhth,QVh dh fu/kkZfjr lkoZtfud lwpukvkas ds vuqlkj laca af/kr opu&i= vkSj ?kks"k.kk&i=] tgka ykx w gks vii. Ø; vkns'k@lafonk djkj@okjaVh uhfrxr 'krsZa] tgka ykx w gks viii. vkifwrZ J`a[kyk eas lHkh bdkbZ;ks a ls vafre mi;kxs drkZ çek.ki=] tgka ykx w gks ix. fu;kZr ds ns'k ls fu;kZr ykblsal] tgk¡ ykx w gks x. Ikzfof"V fcy] tgk¡ ykx w gks xi. gokbZekxZ fcy] tgk¡ ykx w gks xii. f'kfiax fcy@chtd] tgk¡ ykx w gks xiii. Yknku fcy] tgka ykx w gks xiv. Mhth,QVh ls fu;kZr@iuq % fu;kZr ykblsla ] tgk a ykxw gks xv. fons'kh daiuh vkjS Hkkjrh; lgk;d daiuh ds lkFk ekLVj lsok le>kSrs ¼,e,l,½/vuqca/k dh çfr( tgka ykx w gks[भाग I—खण् ड 1] भारत का रािपत्र : असाधारण 7 xvi. daiuh ;k Hkkjrh; lgk;d daiuh }kjk viukbZ tk jgh eyw daiuh ds vkbZlhih dh Lo&çekf.kr çfr( tgka ykx w gks xvii. ykblsal NwV@NwV çek.k vkSj oS/krk] tgka ykx w gks xviii. çkS|ksfxdh fu;a=.k ;kstuk] tgka ykx w gks xix. dkbs Z vU; nLrkost tk s fu;kZrd dk s yxrk gS fd çdVhdj.k ds Ikz;kstu gsrq lacfa/kr gS vf/k—r gLrk{kjdrkZ ds gLrk{kj% uke ¼iwjk½% inuke% laidZ fooj.k ¼VsyhQksu uacj@ekcs kby uacj½% bZesy ¼;fn dksbZ gk s rk s oSdfYid bZeys Hkh çnku djs½a % daiuh dh eqgj@vkf/kdkfjd eqgj% fnukad% LFkku% MINISTRY OF COMMERCE AND INDUSTRY (Department of Commerce) (DIRECTORATE GENERAL OF FOREIGN TRADE) PUBLIC NOTICE New Delhi, the 15th January, 2025 No. 40/2024-2025 Subject: Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations. F. No. 01/77/171/062/AM23/EC(S).—In exercise of the powers conferred under Para 1.03 and 2.04 of the Foreign Trade Policy (2023), the Directorate General of Foreign Trade hereby notifies the Standard Operating 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, Directorate General of Foreign Trade Ex-officio Addl. Secy. Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non-Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations Scope: The Directorate General of Foreign Trade (DGFT) recognizes that there may be occasions where responsible exporters, did not comply with the export control provisions of the Foreign Trade (Development and Regulation) Act, the Weapons8 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] of Mass Destruction and their Delivery Systems (Prohibition of Unlawful Activities) Act, the Customs Act, or any other relevant law, regulation, order, etc. or license/authorization on export controls issued by DGFT. The DGFT encourages voluntary disclosures of failure to comply with the export control provisions and supports raising awareness among the exporters to avoid any non-compliance incidents. Voluntary disclosures do not involve cases where the exporter applies for regularization of authorization / post-facto export authorization, on the basis of communication from the relevant Government of India agencies such as DGFT, and Customs. The Inter-Ministerial Working Group (IMWG) in DGFT constituted for considering the applications for export of SCOMET items may consider a voluntary disclosure as a mitigating factor in determining the administrative penalties, if any, that should be imposed. The IMWG would consider each case on its merit in accordance with the provisions of the Export and Import Policy determined by the Central Government from time to time, under the Foreign Trade (Development and Regulation) Act, and the Orders issued there under. Voluntary Disclosure for non-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 the licensing authority by the company/entity registered or operating in India, which is involved in the manufacture, processing and use of SCOMET items, for facilitating or undertaking site visits, on-site verification or access to records/documentation by foreign organizations either directly or through an Indian party vi. Failure to comply with reporting, record-keeping requirements, etc. vii. Unauthorized access to technical data viii. Unauthorized provision of technical assistance ix. Any other violation relating to SCOMET items not listed above in terms of FTDR/FTP/HBP The violation(s)in question, despite the voluntary nature of the disclosure, may merit penalties, administrative actions, and sanctions to consider criminal prosecution. The IMWG will consider whether ‘voluntary disclosure,’ in the context of other relevant information in a particular case, should be a mitigating factor in determining, if any, administrative action will be imposed. Some of the other factors the IMWG may consider in case of voluntary disclosure include: i. Whether the export would have been authorized in the normal course, and under what conditions (voluntary / forced disclosure) the request for export authorization has been made by the exporter before DGFT; ii. Whether the violation was intentional or inadvertent, systematic or not; iii. Why the violation occurred; iv. The degree of cooperation with the ensuing verification/investigation; v. Whether the firm has 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;[भाग I—खण् ड 1] भारत का रािपत्र : असाधारण 9 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 all such trade activities where a violation is suspected. The Indian exporter must submit all the relevant details of such violation (in Appendix 10O) to SCOMET Division, DGFT (Hqrs), Vanjiya Bhawan, New Delhi, via E-mail at scomet-dgft@nic.in ii. If there is confirmation from the relevant enforcement agencies such as Customs or through other sources regarding such violation by the exporting entity or individual, a show cause notice shall be issued by SCOMET Cell, DGFT to the applicant firm. A full disclosure along with all the necessary documents must be submitted within 30 days or the extended time as may be specified. iii. Failure to provide a full disclosure within a reasonable time may result in a recommendation by the IMWG, not to consider the Voluntary Disclosure as a mitigating factor in determining the appropriate disposition of the violation. In addition, DGFT may direct the firm to furnish all the relevant information surrounding the violation in terms of the relevant Indian laws and regulations. iv. The IMWG would consider each such application on merit within the scope of applicable laws and regulations. C. Documents required while filing for Voluntary Disclosure: The IMWG may consider the following documents for the regularization of exports made under Voluntary Disclosure. The written disclosure by the firm should be accompanied by a covering letter (on the letterhead) signed by a senior officer( not below the rank of export compliance manager or equivalent 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 the provisions of the Export and Import Policy determined by the Central Government from time to time, and the relevant Indian laws and regulations. The IMWG would consider and make recommendations to DGFT on the following: i. To inform the exporter that no further action is warranted, based on the facts disclosed, supporting documentation and upon satisfactory review; ii. To issue a Show Cause Notice; iii. To issue an Adjudication Order on submission of an adverse report on proliferation concerns/information, violation of relevant export control laws and regulations, etc. or for non-submission of mandatory documents within the prescribed timelines or for non-compliance with the conditions of SCOMET policy. The firm shall be liable for action in accordance with the FT(D&R) Act, the Rules and Orders made there under, the Foreign Trade Policy (FTP), and any other applicable laws and regulations. iv. DGFT would subsequently apprise the IMWG of the action taken by them in these cases (Regularizing the previous export or suitable action taken pursuant to (i)/(ii)/(iii) above, as the case may be).10 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] APPENDIX No. 10O Voluntary Disclosure Proforma Voluntary Disclosure Proforma for reporting of Non- Compliance/Violation related to export of SCOMET goods/software/technology listed in Appendix 3 to Schedule 2 of ITC(HS) Classification [Please refer to Standard Operating Procedure/Guidelines for Voluntary Disclosure of Non-Compliance / Violations related to Export of SCOMET Items and SCOMET Regulations] 1. Applicant Details: i. Name ii. Designation in the organization ii. Address Country Area Code Code iii. Mobile No. 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-compliance: i. Type of Violation made (refer to SOP) A precise description of the nature and extent of the violation ii. Period of non-compliance (Period between date of violation and date of reporting) iii. Whether Customs or any other enforcement /licensing authority has issued any Show Cause Notice (SCN) or communication - (Y/N) iv. If reply to (iii) is ‘Yes’, provide a copy of SCN/ communication[भाग I—खण् ड 1] भारत का रािपत्र : असाधारण 11 v. Dates of all shipments relating to export violation, mode of export, and port of load/discharge, wherever applicable vi. The circumstances that lead to the violation. Include details of the violation, how the violation was uncovered (a separate sheet may be annexed, if required). vii. For each export shipment in question, a statement as to whether the export took place intentionally viii. Description of steps taken or processes and procedures put in place to ensure that where required, export license will be obtained in future ix. The name and address of the person making the disclosure and a point of contact, if different may be indicated x. SCOMET authorization No. & Date, License exception or description of any other authorization, if applicable; (Past three years) xi. Any other information that the exporter believes is relevant to the purpose of the disclosure 4. Supporting documents required: Sl. No. Name of the document Attached (Yes/No) i. Covering Letter [On the letterhead of the firm signed by a senior 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 DGFT’s prescribed Public Notices, where applicable vii. Purchase Order/Contract Agreement/Warranty Policy Conditions, where applicable viii. End User Certificate from all the entities in the supply chain, where applicable ix. Export license from country of export, where applicable x. Bill of Entry, wherever applicable xi. Airway Bills, wherever applicable xii. Shipping Bills/ Invoices, wherever applicable xiii. Bills of Lading, where applicable xiv. Export/Re-export Licence(s) from DGFT, where applicable xv. Copy of Master Service Agreement (MSA)/ Contract with the foreign company and the Indian Subsidiary where applicable12 THE GAZETTE OF INDIA : EXTRAORDINARY [PART I—SEC.1] xvi. A self-certified copy of the ICP of the company or of the parent company being adopted by Indian subsidiary; where applicable xvii. License Exemption/Exception proof & validity, where applicable xviii. Technology Control Plan, wherever applicable xix. Any other documentation that the exporter believes is relevant to the purpose of the disclosure 5. Contact details of signatory: Signature of Authorized signatory: Name (in full): Designation: Contact Details (Tele No. / Mobile No.): Email (also provide alternate email, if any): Company Stamp/Official seal: Date: Place: Uploaded by Dte. of Printing at Government of India Press, Ring Road, Mayapuri, New Delhi-110064 and Published by the Controller of Publications, Delhi-110054.