Paragraph 4 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.
Paragraph 4.11 of the Policy lists the categories that cannot be imported on a self declaration and the cases that must go to the Norms Committee or need a No Objection Certificate. The Handbook says how a self-declared authorisation is issued where no norm exists (paragraph 4.07), what the entitlement is (paragraph 4.12) and what happens when an applicant wants more than the entitlement (paragraph 4.13).
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 and Public Notices should be checked. For help in choosing the route, a legal consultation can be arranged.
Ten classes of import are not permitted on a self declaration basis (paragraph 4.11(a)). Entitlement under the Handbook is up to 300% of FOB and/or FOR value of the preceding year's exports and supplies for status holders, and up to 300% or Rs. 10 crore, whichever is higher, for others (paragraph 4.12). An applicant may get more than the entitlement against a Bank Guarantee for the full amount covering the exemption from customs duties (paragraph 4.13).
Paragraph 4.11 of the Policy: what cannot be imported on self declaration
Paragraph 4.11(a): ten classes
The following are not permissible on a self declaration basis, as the paragraph describes them:
- edible oils classified under Chapter 15 and oilseeds under Chapter 12 of ITC(HS);
- all types of cereals under Chapter 10;
- spices under Chapters 9 and 12, other than light black pepper (light berries), that have a basic customs duty of more than 30%;
- fruits and vegetables with a basic customs duty of more than 30%, under Chapters 7 and 8;
- horn, hoof and any other organ of an animal;
- honey;
- rough marble blocks and slabs;
- rough granite;
- vitamins, except for use in the pharmaceutical industry; and
- all items with a basic customs duty of more than 30%.
The 30% is a threshold of basic customs duty; this article gives no customs duty rate. Whether an item is above the threshold is a customs question for the current tariff.
Paragraph 4.11(b): perfumes and feed ingredients
For export of perfumes, perfumery compounds and various feed ingredients containing vitamins, no authorisation is issued by the Regional Authority under paragraph 4.07 of the Handbook. Applicants apply to the Norms Committee under paragraph 4.06 of the Handbook.
Paragraph 4.11(c): biotechnology
Where export or import of biotechnology items and related products is involved, an authorisation under paragraph 4.07 of the Handbook is issued by the Regional Authority only on submission of a No Objection Certificate from the Department of Biotechnology.
The Policy is made under section 5 of the Foreign Trade (Development and Regulation) Act, 1992, and the paragraph names no other section; see our article on section 5 of the FTDR Act.
What the Handbook requires
Paragraph 4.07: self-declared authorisations where no norm exists
The Regional Authority may issue an Advance Authorisation where there is no SION or valid ad hoc norm for an export product, or where one exists but the exporter intends to use additional inputs, on the applicant's self declaration. The wastage claimed is subject to wastage norms as decided by the Norms Committee, and the applicant gives an undertaking to abide by the Committee's decision. The paragraph points to paragraphs 4.03 and 4.11 of the Policy. In case of revision or rejection, the applicant pays duty and interest as notified by the Department of Revenue within thirty days from the date of hosting of the Norms Committee decision on the DGFT website. No authorisation under this paragraph is issued for items listed in paragraph 4.11 of the Policy. The comparable route with a Chartered Engineer is explained in our article on the Self Ratification Scheme.
Paragraph 4.12: entitlement
The maximum CIF value of one or more authorisations under paragraph 4.07 of the Handbook is:
| Applicant | Maximum CIF value |
|---|---|
| Status holders | Up to 300% of FOB and/or FOR value of the preceding year's exports and/or supplies |
| Other than status holders | Up to 300% of FOB, or Rs. 10 crore, and/or FOR value of the preceding year's exports and/or supplies, whichever is higher |
The remaining sub-paragraphs of paragraph 4.12 say:
- (iii) and (iv). Once ad hoc norms are fixed by the Norms Committee, the value limits above do not apply to authorisations issued under paragraph 4.07 of the Handbook. The value of earlier authorisations that were limited to those amounts may be enhanced. Authorisations are then issued by the Regional Authority under the "Adhoc Norms Fixed" category, and application copies need not be forwarded to the Norms Committee for fixation or ratification.
- (v). The holder is entitled to further authorisations as per the ratified norms without a further ratification, applying under the "Adhoc Norms Fixed" category.
- (vi). Norms ratified by a Norms Committee on or after 01.04.2023 for an authorisation obtained under paragraph 4.07 are valid for three years from the date of ratification. The paragraph also extended the validity of norms ratified on or after 01.04.2015 under the Handbook of 2015-20 up to 31.03.2026. That extension is a dated provision and has run its course; it is not a standing rule. Because decisions of the Norms Committees are available as minutes on the DGFT website, other applicants may get authorisations on repeat basis based on ratified norms during their validity. The sub-paragraph does not apply to items listed under Appendix 4P (named only).
- (vii). Where an applicant applies for components on a "net-to-net basis with accountability clause" under paragraph 6 of the General Note for all export products, the case need not be referred to the Norms Committee; the exporter must show clearly in the shipping bills, bills of export and tax invoices for export that the imported inputs were exported.
Paragraph 4.13: excess entitlement
An applicant is entitled to an authorisation in excess of the entitlement in paragraph 4.12, subject to furnishing a Bank Guarantee to the Customs authority for the full amount to cover exemption from customs duties. The Regional Authority makes a specific endorsement on the authorisation. This applies to status holders too. The general rule on a Legal Undertaking, Bank Guarantee or Bond with Customs is in our article on paragraphs 2.34 and 2.35.
The Handbook rests on the Director General's power described in our article on section 6 of the FTDR Act.
A worked example
Pearl Garment Accessories Private Limited, an invented firm that is not a status holder, makes a product with no SION and wants an Advance Authorisation on self declaration under Handbook paragraph 4.07. Its inputs are not in the ten classes of paragraph 4.11(a) of the Policy. Its entitlement is up to 300% of FOB value of the preceding year's exports, or Rs. 10 crore, whichever is higher (paragraph 4.12(ii)). If the Norms Committee later fixes ad hoc norms, the value limits no longer apply and the firm may apply under "Adhoc Norms Fixed" (paragraph 4.12(iii) to (v)). A second firm wants authorisation for more than its entitlement; under paragraph 4.13 it can obtain it by furnishing a Bank Guarantee for the full amount to Customs.
Need help with a self-declared authorisation?
The entitlement, the excluded classes and the timing of ratified norms interact in ways that are easy to misread. Our team can check them for your product through our legal consultation service.
Key takeaways
- Ten classes of input cannot be imported on self declaration (paragraph 4.11(a)).
- Perfumes and feed ingredients with vitamins go to the Norms Committee; biotechnology needs a NOC (paragraph 4.11(b) and (c)).
- Status holders: up to 300% of FOB and/or FOR value; others: up to 300% or Rs. 10 crore, whichever is higher (Handbook paragraph 4.12).
- Norms ratified on or after 01.04.2023 are valid for three years; the 2015-20 extension to 31.03.2026 is spent.
- Excess entitlement needs a Bank Guarantee for the full amount (Handbook paragraph 4.13).
Read next
- Handbook of Procedures, 2023, paragraphs 4.06, 4.14 to 4.17 and 4.22 to 4.25: Norms Committees and SION
- Paragraph 4.06 of the Foreign Trade Policy, 2023: Self Ratification Scheme
- Paragraphs 4.08 to 4.10 and 4.19 of the Foreign Trade Policy, 2023: value addition, mandatory spares and buyer-supplied inputs
- Advance Authorisation inputs, SION and minimum value addition
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.