Advance Authorisation explained: this guide covers what it means, who it applies to, the step-by-step process, documents required, fees, due dates and penalties in India — so you can stay compliant with confidence and avoid costly mistakes.
An Advance Authorisation is applied for online with the Regional Authority of the DGFT, issued on the basis of notified norms, norms fixed for the applicant or the applicant's own declaration, and then used within a validity period for import that the Handbook of Procedures, 2023 fixes at 12 months from the date of issue (paragraph 4.39(a)). The Policy leaves this to the Handbook: paragraph 4.17 of the Foreign Trade Policy, 2023 says the validity period for import and its extension shall be as prescribed in the Handbook. This guide follows an authorisation from application to revalidation. The scheme itself is covered in our article on paragraphs 4.00 to 4.03 and 4.05.
This article is based on the chapter-wise text of the Foreign Trade Policy, 2023 published on the DGFT website, as consulted on 2 October 2026; the copy carries no "updated up to" date. The procedure is taken from Chapter 4 of the Handbook of Procedures, 2023 as published on the DGFT website (file of July 2026), consulted on 2 October 2026. Later Notifications, Public Notices and Trade Notices should be checked before you act. If you need the application papers and the norms position reviewed before filing, our legal consultation service can help.
The application is filed online and digitally signed by the IEC holder to the Regional Authority, with the documents prescribed in ANF 4A uploaded; no physical copy is required (paragraph 4.02 of the Handbook). Validity for import is 12 months from issue; for supplies under Chapter 7 of the Policy it is co-terminous with the contracted project duration or 12 months, whichever is later; for the rest, only one revalidation of twelve months from the expiry date is allowed (paragraph 4.39).
Step 1: the application
Paragraph 4.02 of the Handbook says an application for an Advance Authorisation, a Special Advance Authorisation for apparel, an Advance Authorisation for Annual Requirement or a DFIA is filed online and digitally signed by the IEC holder to the jurisdictional Regional Authority as per Appendix 1A. The applicant may be the registered office, head office, a branch office or a manufacturing unit of the IEC holder; a branch or unit must appear in the electronic RCMC and in the IEC (paragraph 4.03). The same form, ANF 4A, serves where SION has been notified, where ad hoc norms exist and where the application is on self-declaration (paragraph 4.04). The Handbook is issued under section 6 of the Foreign Trade (Development and Regulation) Act, 1992.
Step 2: how the norms are settled
Paragraph 4.03(b) of the Policy lists four bases. Each leads to a different Handbook route:
| Basis | What happens | Handbook |
|---|---|---|
| Notified SION | Authorisation issued on the Standard Input Output Norms | 4.04 |
| Norms fixed for the applicant | Application in ANF 4B to the Norms Committee at DGFT headquarters; ad hoc norms are valid for the authorisation applied for, with no repeat authorisations, though the Committee can specify extended validity of up to two years from fixation | 4.06 |
| Self-declaration where no SION exists | Issued on the applicant's declaration, with an undertaking to abide by the Norms Committee decision; on revision or rejection duty and interest are payable within thirty days of the decision being hosted on the DGFT website | 4.07 |
| Self Ratification Scheme | Application with details in Appendix 4E and a Chartered Engineer certificate in Appendix 4K; norms and wastage as applied are final, and ratification by the Norms Committee is not required | 4.07A |
The Norms Committees are listed in paragraph 4.06(i) of the Handbook with the ITC(HS) chapters each deals with. Our article on Norms Committees and SION explains the process, including the consultation periods of paragraph 4.14 of the Handbook.
Self-declaration is not open for every item. Paragraph 4.11 of the Policy lists products that cannot be imported on self-declaration, such as edible oils and oilseeds, cereals, horn, hoof and organs of animals, honey, rough marble and granite, and all items with a basic customs duty of more than 30%; see our article on paragraph 4.11. The Self Ratification Scheme of paragraph 4.06 of the Policy has its own limits: it is not available for items in Chapters 1 to 24 and 71 of ITC(HS), biotechnology items and SCOMET items, and a Chartered Engineer certificate is accepted only from one who has not been penalised in the last five years under the laws the paragraph names. See paragraph 4.06.
Step 3: entitlement
Paragraph 4.12 of the Handbook caps the maximum CIF value of one or more authorisations issued on self-declaration under paragraph 4.07: for status holders up to 300% of the FOB and/or FOR value of the preceding year's exports and/or supplies; for others up to 300% of that value or Rs. 10 crore, whichever is higher. Once ad hoc norms are fixed by the Norms Committee those limits do not apply, and norms ratified on or after 01.04.2023 are valid for three years from ratification. The 31.03.2026 date printed for norms ratified under the earlier Handbook is a dated provision. Entitlement for Annual Requirement authorisations is in paragraph 4.07 of the Policy: CIF value of up to 300% of the FOB value of physical export and/or FOR value of deemed export in the preceding financial year or Rs 1 Crore, whichever is higher; see paragraph 4.07.
Step 4: validity for import
| Case | Validity | Paragraph |
|---|---|---|
| Advance Authorisation generally | 12 months from the date of issue | Handbook 4.39(a) |
| Supplies under Chapter 7 of the Policy | Co-terminous with contracted duration of project execution, or 12 months from issue, whichever is later | Handbook 4.39(b) |
| Revalidation (cases not covered by 4.39(b)) | One revalidation of twelve months from the expiry date; no further revalidation | Handbook 4.39(c) |
| Revalidation on bond waiver | Further six months for replenishment, on a specific request in ANF 4D and the fee, if no revalidation was obtained earlier under 4.39(c); total validity including that revalidation not to exceed 24 months from issue | Handbook 4.47(a)(iii) |
An application for enhancement or reduction of CIF or FOB value, for EOP extension or for revalidation is filed online in ANF 4D (paragraph 4.37(c) of the Handbook). The Regional Authority may consider enhancement or reduction only if value addition stays at or above the minimum and the norms and the Policy under which the authorisation was issued do not change (4.37(a)). The application fee for enhancement is payable on the difference in CIF value, and no fee is charged if the value is reduced or the maximum fee of Rs 1,00,000 for an Advance Authorisation or DFIA has already been paid (4.38). Our article on paragraph 4.17 and revalidation covers the Policy side.
Two special cases carry shorter periods. For Chapter 7 and Chapter 15 items that are otherwise prohibited for export, the Export Obligation Period is 90 days from the date of clearance of the import consignment, with no extension; for wheat flour (atta) it is 180 days from the date of clearance of each import consignment, with no extension (paragraph 4.05 of the Handbook).
Step 5: after issue
The authorisation is subject to the policy and procedure in force on the date of issue (paragraph 4.02 of the Policy). The holder must keep accounts of consumption of duty-exempt inputs in Appendix 4H or 4I (paragraph 4.51 of the Handbook) and meet the export obligation and discharge process in the companion guide on export obligation, clubbing and the EODC.
A practical example
Kaveri Garments, an invented exporter, files in ANF 4A in March for an authorisation issued on 10 April. Its validity for import runs 12 months from 10 April under paragraph 4.39(a). The inputs it needs are delayed and it applies in ANF 4D for the single revalidation of twelve months from the expiry date under paragraph 4.39(c); once that is granted no further revalidation is allowed. If its export obligation period ends before the inputs are used, validity for import and the obligation period are separate periods, each fixed by its own paragraph.
Need help with an authorisation application?
Getting the basis of issue right at the start avoids norms disputes later. Our legal consultation service can review your application route, and our dispute resolution team can assist where a Norms Committee decision leads to a demand for duty and interest.
Key takeaways
- Applications are filed online and digitally signed to the Regional Authority; ANF 4A serves SION, ad hoc norms and self-declaration cases.
- Validity for import is 12 months from issue; one revalidation of twelve months is allowed in cases not covered by paragraph 4.39(b).
- Paragraph 4.17 of the Policy hands the periods to the Handbook.
- Enhancement, reduction and revalidation requests go in ANF 4D.
- A self-declared authorisation carries an undertaking to abide by the Norms Committee decision.
Read next
- Paragraph 4.17: validity, revalidation and enhancement of Advance Authorisation
- Paragraph 4.06: the self-ratification scheme
- Paragraph 4.07: Advance Authorisation for Annual Requirement
- Section 5 of the Foreign Trade (Development and Regulation) Act, 1992
Disclaimer: Based on the chapter-wise text of the Foreign Trade Policy, 2023 and the Handbook of Procedures, 2023 published on the DGFT website, and on the later Notifications named in this article, as consulted on 2 October 2026. The copies carry no "updated up to" date. Notifications, Public Notices, Trade Notices, the ITC(HS) schedules, Appendices and forms change often; the current text on the DGFT website should be checked before acting. This article is general information, not legal advice; check the official text before acting.