Rules 5 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.
Rules 5 to 9 explain how an anti-dumping investigation starts and how the designated authority must run it. Rule 5 sets who may apply and the support the application needs; rule 6 sets the public notice, the information deadlines and the use of facts available; rule 7 protects confidential information; rule 8 requires the authority to check the accuracy of what it relies on; rule 9 allows verification in other countries.
This article reads the rules as amended up to the CBIC text dated 1 February 2021 (no amending notification found in CBIC's 2023-2026 lists; 2021-2022 not re-checked). Later notifications should be checked before you rely on the current text.
The designated authority starts an investigation on a written application by or on behalf of the domestic industry, or suo motu on information from a Customs Commissioner or another source. It must not initiate if supporting producers account for less than twenty five per cent of total production of the like article. Interested parties get thirty days (or an extended period) to respond to an information notice. Confidential information is protected, and a party that withholds information risks findings on facts available.
Rule 5: initiation of investigation
Who can apply (rule 5(1) and (2))
Except for the suo motu route in sub-rule (4), the designated authority starts an investigation only on a written application by or on behalf of the domestic industry. The application must be in the form the authority specifies, and be supported by evidence of dumping, of injury where applicable, and, where applicable, of a causal link between the dumped imports and the alleged injury.
The standing test (rule 5(3))
The authority must not initiate unless it determines, after examining the degree of support for or opposition to the application among domestic producers of the like product, that the application is made by or on behalf of the domestic industry. The proviso adds a floor: no investigation is initiated if domestic producers expressly supporting the application account for less than twenty five per cent of the total production of the like article by the domestic industry.
The Explanation sets the majority test. The application is deemed to be by or on behalf of the domestic industry if it is supported by producers whose collective output is more than fifty per cent of the total production of the like article produced by that portion of the domestic industry expressing either support for or opposition to the application.
The authority must also examine the accuracy and adequacy of the evidence, and satisfy itself that there is sufficient evidence of dumping, of injury where applicable, and of a causal link where applicable, to justify initiation.
| Test | Rule | As printed |
|---|---|---|
| Minimum support | 5(3)(a) proviso | No initiation if supporters account for less than twenty five per cent of total production of the like article by the domestic industry |
| Majority support | 5(3) Explanation | Supporters' output more than fifty per cent of production by the part of the industry expressing support or opposition |
| Evidence | 5(3)(b) | Sufficient evidence of dumping, injury where applicable and causal link where applicable |
Period of investigation (rule 5(3A))
Sub-rule (3A) was inserted with effect from 2 February 2021 by Notification No. 10/2021-Cus. (N.T.) dated 1-2-2021. It says the period of investigation must not be more than six months old on the date of initiation, and normally runs for twelve months. For reasons recorded in writing, the authority may take a minimum of six months or a maximum of eighteen months.
Suo motu and notice to the exporting government (rule 5(4) and (5))
Despite sub-rule (1), the authority may initiate an investigation on its own if it is satisfied, from information received from the Principal Commissioner of Customs or Commissioner of Customs appointed under the Customs Act, 1962 or from any other source, that sufficient evidence exists as described in clause (b) of sub-rule (3). Before it initiates, rule 5(5) requires it to notify the government of the exporting country.
Rule 6: principles governing investigations
Once it decides to initiate, the authority must issue a public notice. Rule 6(1) lists what the notice must contain, inter alia: the exporting country or countries and the article involved, the date of initiation, the basis on which dumping is alleged, a summary of the factors for the injury allegation, the address for representations, and the time limits for interested parties.
Other steps follow:
- Rule 6(2): a copy of the public notice goes to known exporters, the governments of the exporting countries and other interested parties.
- Rule 6(3): a copy of the application goes to known exporters (or their trade association where there are many) and the governments of the exporting countries, and to any other interested party who asks in writing.
- Rule 6(4): the authority may issue a notice calling for information. It must be furnished in writing within thirty days of receipt, or an extended period allowed on sufficient cause. The Explanation deems the notice received one week after it was sent or transmitted to the diplomatic representative of the exporting country.
- Rule 6(5): industrial users, and representative consumer organisations where the article is commonly sold at retail, must be given an opportunity to supply relevant information on dumping, injury and causality.
- Rule 6(6): oral information is allowed, but is considered only when later reproduced in writing.
- Rule 6(7): evidence presented by one interested party must be made available to the others participating.
- Rule 6(8): if a party refuses access to, or does not provide necessary information within a reasonable period, or significantly impedes the investigation, the authority may record findings on the facts available and make such recommendations as it considers fit.
A practical example: Meridian Imports receives an information notice dated 1 March. By the Explanation to rule 6(4) the notice is deemed received one week after it was sent, so the thirty days run from that deemed date, unless extended on sufficient cause. If Meridian misses the deadline without seeking an extension, rule 6(8) allows the authority to rely on the facts available.
Rule 7: confidential information
Rule 7(1) protects applications received under rule 5(1) and other information given on a confidential basis, once the authority is satisfied it is confidential. It overrides the disclosure provisions in rule 6(2), (3) and (7), rule 12(2), rule 15(4) and rule 17(4). No such information may be disclosed to another party without the specific authorisation of the party providing it.
Rule 7(2) lets the authority require a non-confidential summary. If the party believes the information cannot be summarised, it may submit a statement of reasons why. Under rule 7(3), if the authority is satisfied that the request for confidentiality is not warranted, or the supplier will not make the information public or authorise a generalised or summary form, the authority may disregard the information.
| Situation | Outcome under rule 7 |
|---|---|
| Authority accepts the claim | Information treated as confidential; no disclosure without authorisation |
| Authority asks for a summary | Party supplies a non-confidential summary |
| Information cannot be summarised | Party gives a statement of reasons |
| Claim unwarranted, or party will not allow disclosure in summary form | Authority may disregard the information |
Rule 8: accuracy of the information
Except in the cases covered by rule 6(8), the designated authority must satisfy itself during the investigation as to the accuracy of the information supplied by interested parties on which its findings rest.
Rule 9: investigation in other countries
The authority may investigate in the territories of other countries if the circumstances warrant. The proviso requires it to obtain the consent of the person concerned, notify the representatives of the concerned government, and see that the government does not object.
What to do if you are affected
Domestic producers should confirm early that they meet the support tests in rule 5(3) before filing. Importers and exporters should diarise the thirty-day information deadline and mark confidential material with summaries ready. Our legal dispute resolution team can help prepare responses. The preceding definitions are in our article on Rules 1 to 4, and the way dumping is measured is in Rule 10 and Annexure I.
Need help responding to an investigation?
If a notice from the designated authority has reached your desk, the deadlines start running at once. Our legal dispute resolution specialists can review the notice, mark confidential content properly and prepare a timely, complete response.
Key takeaways
- The authority acts on a written application by the domestic industry, or suo motu.
- No investigation if supporters account for less than twenty five per cent of production of the like article.
- Majority support means output of more than fifty per cent of the part of the industry expressing a view.
- Information notices carry a thirty-day deadline, with a one-week deemed receipt rule.
- Confidential data needs a non-confidential summary or reasons why none is possible.
- Non-cooperation lets the authority use the facts available.
Read next
- Rules 1-4: definitions and the designated authority
- Rule 10 and Annexure I: normal value, export price and margin of dumping
- Anti-dumping duty levy and process
- WTO agreements that shape Indian export compliance
Disclaimer: Based on the Customs Tariff Act rules named above as published on the CBIC Tax Information Portal or in the Gazette, as consulted on 3 October 2026. Later notifications, duty notifications and the Customs Tariff Act, 1975 should be checked. This article is general information, not legal advice; check the official text before acting.