System Requirements Study Document

for Service Exports From India Scheme (SEIS)

(AS-IS, TO-BE, BPR, FRS)

Submitted to:
Directorate General of Foreign Trade (DGFT)
Udyog Bhawan, H-wing, Gate No-02,
Maulana Azad Road, New Delhi -110001

Submitted by:
WIPRO CONSULTING SERVICES, Wipro Limited
Plot No 480-481, Udyog Vihar, Phase - III
Gurgaon – 122016
This document is the property of Wipro Ltd., who owns the copyright thereof. The information in this document is given
in confidence and without the written consent of Wipro Ltd., given by contract or otherwise, this document must not be
copied, reprinted or reproduced in any material form, either wholly or in part. Also, the contents of this document or
any methods or techniques available there from, must not be disclosed
 SYSTEM REQUIREMENTS STUDY DOCUMENT (SEIS)

Revision / Document History

A. Document Creation : Wipro Limited

Version Date Prepared By Reviewed by Approved Remarks

No By
1.0 28-05-2017 Sanjay Md. Bhim -
Sharma Ghyasuddin Sharma
1.1 01-08-2017 Sanjay Md. Bhim incorporated review
Sharma Ghyasuddin Sharma comments provided by
Sh. K.P. Singh
1.2 13-08-2017 Sanjay Md. Bhim incorporated review
Sharma Ghyasuddin Sharma comments provided by
Sh. K.P. Singh

B. Document Approval : DGFT

Version Approval Approver Name Approver Signature Remarks

No Date Designation

C. Distribution

Copy Distributed to
No.
1 Sh. Alok Chaturvedi, DGFT
2 Sh. Nikunj Srivastava, Additional DGFT
3 Dr. Ambreesh Kumar, DDG-NIC
4 Sh. Ajay Srivastava, Joint DGFT
5 Sh. V.K.Sharma, STD-NIC
6 Sh. K.P Singh, Deputy DGFT
7 Sh. A. Nagar, Technical Director, NIC

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 SYSTEM REQUIREMENTS STUDY DOCUMENT (SEIS)

Table of Contents

1 Process Scope ______________________________________________________ 4

2 Glossary ___________________________________________________________ 5
3 Process Index: ______________________________________________________ 5
3.1 Application Specific Process: _____________________________________________ 5
4 As-Is Business Process ________________________________________________ 6
4.1 Process Overview ______________________________________________________ 6
4.2 Process Details: _______________________________________________________ 6
4.3 Process Description & Responsibility ______________________________________ 8
5 Business Process Re-engineering ______________________________________ 10
Business Process Improvements _______________________________________________ 10
6 TO- BE Business Process _____________________________________________ 12
6.1 TO- BE Business Process Overview _______________________________________ 12
6.2 To Be Business Process Diagram _________________________________________ 12
6.3 O- BE Business Process Details __________________________________________ 13
6.4 To-Be Business Process Detail ___________________________________________ 14
6.5 To-Be Business Process Assumptions _____________________________________ 26
7 Business Rules/ Dependencies-Handoffs / Supporting Documents ___________ 26
8 Business/System Exception Processing ____________ Error! Bookmark not defined.
9 Scheme wise Functional Requirement Specification: SEIS ___________________ 28
10 Open Issues _____________________________________________________ 31
11 Closed Issues ____________________________________________________ 31

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 SYSTEM REQUIREMENTS STUDY DOCUMENT (SEIS)

1 Process Scope
Project Title: Detailed Project Report For Revamping of DGFT Application Ecosystem

Process Title: Service Exports From India Scheme (SEIS)

Service Exports from India Scheme (SEIS) under Foreign Trade Policy of India (FTP 2015-
20) is one of the two schemes introduced in Foreign Trade Policy of India 2015-20, as a
part of Exports from India Scheme. (The other scheme is MEIS, Merchandise Exports from
India Scheme).

About the Scheme

Objective of Service Exports from India Scheme (SEIS) is to encourage export of notified
Services from India (as given in Appendix 3D) on net foreign exchange earned. Duty Credit
Scrips shall be granted as rewards under Service Exports from India Scheme (SEIS). The
Duty Credit Scrips and goods imported / domestically procured against them shall be
freely transferable. The Duty Credit Scrips can be used for the following requirements:
(i) Payment of Customs Duties for import of inputs or goods, except items listed in
Appendix 3D.
(ii) Payment of excise duties on domestic procurement of inputs or goods, including
capital goods as per DoR notification.
(iii) Payment of service tax on procurement of services as per DoR notification.
(iv) Payment of Customs Duty and fee as per paragraph 3.18 of this Foreign Trade Policy.

Revision of SEIS scheme

SEIS, Services Exports from India Scheme under Foreign Trade Policy of India 2015-20 is a
modification of SEIS, Served from India Scheme under Foreign Trade Policy 2009-14. The
SEIS Scheme shall come into force with effect from the date of notification of this Policy,
i.e. the rewards under SEIS shall be admissible services rendered on or after the date of
notification of this Policy. The rate of SEIS scheme under Foreign Trade Policy 2015-20 is
based on net foreign exchange earned on services. The reward issued as duty credit scrip,
would no longer be with actual user condition and will no longer be restricted to usage
for specified types of goods but be freely transferable and usable for all types of goods,
payment of services tax on procurement of services and Payment of Customs Duty and
fee as per paragraph 3.18 of this Foreign Trade Policy.

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2 Glossary

Glossary/Acronym Explanation
CBEC Central Board of Excise and Customs
CST Central Sales Tax
DH Dealing Hand
eBRC Electronic Bank Realization Certificate
eFile Electronic File
EDI Electronic Data Interchange
EPC Export Promotion Council
FOB Free On Board
FTP Foreign Trade Policy
HBP Handbook of Procedures
IEC Importer-Exporter Code
Indian Trade Clarification for Harmonized
ITC HS System of items
NFE Net Foreign Exchange
SEIS Service Export from India Scheme
PIC Policy Interpretation Committee
PRC Policy Relaxation Committee
RA Regional Authority Office
RCMC Registration-cum-Membership Certificate
TRA Telegraphic Release Advise

3 Process Index:

3.1 Application Specific Process:

S.No. Process Name Process Id Comments

Service Exports From India Scheme (SEIS)
1 Application for claiming rewards A_SEIS_1 Online/Manual
under SEIS through ANF 3A Process
2. RA Processing of Application and A_SEIS_2 Online/Manual
issuance of Duty Credit Scrip Process

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4 As-Is Business Process

4.1 Process Overview

This section provides a high-level overview of the As-Is Business Process, including a
listing of all possible process triggers and outcomes.
A_SEIS_1 Process Application for issuance of benefit under SEIS Scheme
for a financial year through ANF 3B using digital
signature.
Process Overview Service provider applying for benefit with the required
supporting document (Certificate from Chartered
Accountant) will get duty scrip on the import duty amount
applicable.
A_SEIS_2 Process RA Processing of Application and issuance of Duty Credit
Scrip
Process Overview The process describes the process of authentication,
verification and issuance of benefit Duty Scrip under the
SEIS scheme.

4.2 Process Details:

Process Name Issuance of benefit under SEIS Scheme.

Process Owner Mr. K. P. Singh, Dy. DGFT

Actors involved in the Process

Internal Actors External Actors

 Dealing hand  Service Providers

 FTDO/Asstt.DGFT  Service Provider’s Chartered
 Deputy DGFT Accountant
 Joint DGFT
 Addl. DGFT
 Dispatch Section
Process Triggers/ Frequency/ Mode (If any)

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NA

Process Input From

 Application Form  DGFT Ecomm Application

Process Output To

 Transferrable Incentive Scrip  Service Provider.

 Rejection Letter
Mode(s) of Records Maintenance

 Submission of supporting documents processed physically.

 Application printout and approvals are maintained in physical file.
Business/System Exception Processing

 For deficiency identified due to incomplete supporting documentation, a Deficiency

Letter is issued to applicant for completing the same
 In case of Deficiency, the entire process goes through manual route at the RA office
for obtaining the deficient documents
Current IT application Description (If Available)

 Application Form submission is automated with online attachments

 The applicant fills the electronic form in the ECOM application module and attaches
the required document (CA certificate), thereafter in the RA, the application form is
printed along with the attached document and processed in a manual workflow
mode and after appropriate decision/approval has been obtained at the end of the
process. Same is uploaded in the ECOM application module so that applicant is
informed of the result.
Key Performance Indicators

 The processing of the application by RA office needs to be done online and the
disposal of application needs to be done in 3 days.
 In case of discrepancy, the SLA depends on the reply from the applicant
Reports Generated (if any)

 Details of Scrips issued with time stamp.

 Daily disposal and pending application reports.

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4.3 Process Description & Responsibility

Process A_SEIS_1 - Applicant Module

Process Description Mode of Responsibility

activity

1. Applicant initiates process by logging on Ecomm

login through DSC embedded with IEC Code and Online Applicant
Branch code
2. The applicant selects the ANF 3 B form of the Online Applicant
scheme
3. The applicant gets a 20 digit Ecomm Ref. Number Online Applicant
(combination of IEC code and Sr. No.)
4. The applicant fills the application online with an
option to edit and save at any stage before Online Applicant
submission
5. The applicant pays the fees online and is routed to
payment module. After successful payment, the Online Applicant
transaction successful details gets automatically
filled in the form
6. The applicant needs to select submit application
after completion of form for submission of Online Applicant
application
7. The applicant clicks submit button with an option
to select the RA office and then the system shows
a prompt window displaying the Online Applicant
errors/insufficiencies in the application. In case of
no error the prompt asks applicant for
confirmation on submission
8. DSC authentication is mandatory for submission of Online Applicant
application.
9. After submission the applicant gets a system DGFT Ecomm
generated File No. and key against the Ecomm ref. Online
Server
no.

A_SEIS_2- RA Processing

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Step Process Description Mode of Responsibility

No. activity
The RA section receives the application in the
1. RA's R & I (identified by the office code). The list
Online RA R & I
of pending applications can be viewed in R &I
section.
System has provision to assign the applications
2. into different logical sections based on initial 2 Online RA Module
alphabets of organization name.
Dealing official / hand has the provision to search
applications of their section. Manual Manual RA Section
intervention is required for assignment of the Dealing Hand
3. work to each dealing hand. There is no option to
directly opening the application from R&I
section. Dealing Hand has to open the
application entering file number manually in
scheme file option.
The Dealing Hand opens the application with File
4. No. & key and evaluates the application, RA Section
Online
attachments and details as per the applicable Dealing Hand
policy. DH creates office note in next action tab.
The DH has to evaluate the amount of Duty Scrip
and verify the supporting document (Chartered
Accountant certificate submitted manually along
5. RA Section
with the application form). In case of split scrips, Online
Dealing Hand
the system allows the dealing hand to just delete
the last scrip. The total amount can be changed
in the main application.
After evaluation the DH takes print of the office
note and other documents including the ANF
form for submission to the Approving RA Officer
6. (FTDO/ Asst. DG/JDG/ADG) mapped to the
Manually RA Officer
section of office note and puts up the case for the
approving Officer. The matter is put up on the file
with the recommendation to Approve/ Reject or
issue deficiency.
In case of deficiency, a deficiency letter is sent to
7. the service provider on the email along with the Online RA Officer
status updates on the portal.

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The Service provider has to submit the physical

copies of requested items in the deficiency Manually Applicant
8. issued at the RA office counter. The entire
process is handled manually and necessary
approvals are obtained.
In case of approval the officer then clicks the
9. approval and generates the Scrip after DSC
Online RA Officer
authentication. The file is marked to the Dealing
Hand for printing the Scrip.
The dealing hand prints the Duty Credit Scrip for
the signature of Approving RA Officer. After Offline Dealing Hand
10. approval, Dealing hand sends the Scrip to
Dispatch Section for further delivery to applicant
through Speed post.
11. The RA office Dispatch Section sends the signed Offline RA Dispatch
physical copy of Duty Credit Scrip to the applicant Section
In case of rejection, the application is closed after Online /
12. signing decision digitally. Rejection letter is sent Manually RA Officer
to applicant via speed post.

5 Business Process Re-engineering

This section provides a list of process improvements/enhancements to the As-Is process
that will help in designing the To-Be process.
Improvement Business Process Improvements
ID
1. Creation of Applicant Profile:

An Applicant profile shall be created with information relevant to

service provider. Profile shall be divided broadly into two sections
1. Permanent information (Master Data)
2. Transactional data

Permanent information (Master Data) shall be updated once providing

the necessary documents and can be used for requesting services in
future. Service provider shall not be required to furnish these details
again.

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Facility shall be provided to review and approve/reject the profile

information. Approval or rejection of profile updates can be done along
with processing the application for any scheme benefits or through a
separate process.
System shall provide facility to clearly distinguish profile information
among verified, non-verified and system generated.
2. Regular profile updation by applicant before applying for any
service/benefit.
3. System shall allow registration of DSC with IEC. Existing provision of
procurement of fresh DSC with IEC shall be not be required for login.
Authorized user shall be able to proceed with existing valid DSC of Class
II or Class III type.
4. System shall provide facility of creation of generic workflow
management system. Workflow shall be configurable scheme wise and
RA office location. Work distribution shall be automated based on
business rules specified.
5. Complete track of audit trails of all processed applications shall be
available to applicant and each level at RA as per the access rights.
6. Additional feature will be provided in the application form for Deficient
Application. This would be a replica of original form with only deficient
information editable. Other verified information and attachments
would be non-editable.
7. The applicant can track the stage of application with the changes made
in the application. In case of breach of SLA, applicant would be given a
SLA matrix to escalate any relevant issues.
8. Automated triggers to next escalation level within the process for SLA
breach
9. The RA officer can edit the total of Scrip amount and Individual scrips
however, the reason shall be mandatory for approval.
10. The Scrip(s) can be edited by the RA officer even after the issuance to
the applicant for the same port.
11. Scrip management System for tracking the scrip utilization.

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6 TO- BE Business Process

6.1 TO- BE Business Process Overview

This section provides a high-level overview of the TO-BE Business Process, including a
listing of all possible process triggers and outcomes.
Level 1 Process Online application for benefits under the SEIS Scheme ANF 3B
(T_SEIS_1)
Level 1 Process Service provider applying online for SEIS benefit with the required
Overview supporting documents (CA certificate), will get duty scrip after
rendering services applicable under this category. The benefit is
calculated on Net Foreign Exchange (NFE) value as per the
entitlement for rewards under SEIS.
Level 2 Process Online RA Processing with work flow
(T_SEIS_2)
Level 2 Process The process describes the process of authentication, verification,
Overview editing the spilt scrips and issuance of Duty Scrip under the SEIS
scheme with online work flow
Level 3 Process_1 Online request for fulfilling Deficiency
(T_SEIS_3)
Level 3 Process_1 The Process describes process to obtain deficient documents from
Overview applicant
Level 4 Process_1 RA Processing of Deficiency Application
(T_SEIS_4)
Level 4 Process_1 The process describes the process of obtaining required details
Overview against an issued deficiency with online workflow.
Level 3 Process_2 Rectification of Issued Scrip/ Split Scrips by Applicant or RA officer
(T_SEIS_5)
Level 3 Process_2 The process describes the rectification process of Duty Credit
Overview Scrips/Split Scrips by Service provider or RA officer in case of errors.
Level 3 Process_3 Scrip Management System Process
(T_SEIS_6)
Level 3 Process_3 This system captures real time capturing utilization, cancellation,
Overview reducing amount of scrips with integration to CBEC system.

6.2 To Be Business Process Diagram

Refer Workflow-SEIS V1.2.pdf.

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6.3 O- BE Business Process Details

Process Name Application for issuance of benefit under SEIS
Scheme by ANF 3B.
Process Owner Sh. K. P. Singh, Dy. DGFT
Users involved in the Process
Internal Users External Users
 Dealing hand  Service Providers
 FTDO/Asstt.DGFT  Service Providers’s Chartered
 Deputy DGFT Accountant
 Joint DGFT
 Addl. DGFT
Process Triggers/ Frequency/ Mode
NA
Process Input From (User/System)

 Application Form  Application via http://dgft.gov.in/ website.

Process Output To (User/System)

 Transferrable Scrip  Service Provider.

 Rejection letter
Dependencies/Hand-Offs to other process(es)

 Service provider should have a valid IEC.

 Service provider must upload the Chartered Accountant’s Certificate.
Registered/Records Maintained in the System

 Online maintenance of records for a defined period with online files and approval
details.
Key Performance Indicators

 The processing of the application and disposal of application needs to be

completed in 3 days
 In case of discrepancy, the SLA depends on the reply from the applicant
Reports

 Query based reports available at each level with all the selection criterion and
available rights

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6.4 To-Be Business Process Detail

This section provides a step-by-step description of the To-Be Business Process. It will
address all Business Requirements and will consider all concerns.

Level 1- Applicant Module

Mode
Step Document Respon-
Process Description of
No. Checklist sibility
activity
User id and
password
Applicant initiates process by logging
1. mapped with Online Applicant
into DGFT system.
IEC and
branch
Updated
The system checks for updated profile.
profile of
In case of profile updation required, the
2. exporter as Online Applicant
applicant is directed to profile updation
required by
and then initiates the application.
the form
The applicant selects the SEIS Scheme
and selects ANF form of the scheme.
The system asks the applicant to select
the RA office mapped to the branch
3. code selected by the applicant. ANF 3 B Online Applicant
(Jurisdiction RA office shall be mapped
with PIN code of branch/head office.
System shall display jurisdictional RA
offices only. )
The registered applicant gets a pre-filled
application based on applicant profile,
including Applicant Details, Company /
Auto
firm details, IEC, Branch Code, Address,
populated
Contact Details and RCMC details, GST
4. fields based Online Applicant
Registration details, Application fee
on user
details, Excise Registration details,
profile
Industrial Registration Details - MSME /
IEM

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The applicant shall have option to

download and fill the form offline and
submit form later.
With the help of supporting documents
(Invoices/receipts of the services
provided), applicant will update the
consolidated amount under three
predefined categories as mentioned in
the business rules.
System shall provide option for
5. cancellation of application till the time ANF 3B Online Applicant
the application status is ‘New’ only, the
refund of the application fees will be
automatically refunded in applicant’s
account within configurable working
days. Cancellation will not be allowed as
soon as the application moves in the
‘Work in Progress’ status.
Scrip value is calculated on the basis of
declaration made in application form
List of Item
and Chartered accountants certificate.
Code and rate
The system automatically applies
6. mapping as Online Applicant
standard Late Cut based on the date of
per appendix
application filing. The applicant has the
3D
option to split the value of Scrip as per
the choice.
The applicant shall have an option to
edit and save details before submission.
System shall generate a file reference
number on saving the application first Online
7. Online Applicant
time. This file reference number shall be application
used for future references and
subsequent opening/processing the
application.
The Applicant shall upload the digitally Supporting
8. Online Applicant
signed supporting documents. documents

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Completed
The applicant shall select / tick the
form with
9. required declarations and click on Online Applicant
uploaded
Submit button after completion of form
attachments
On clicking Submit, system shall display
the errors/insufficiencies in the
application. Completed
10. form with Online Applicant
In case, no error found, the prompt will attachments
show the filled application form for
preview and payment.
The applicant pays the fees online (auto
Payment
11. filled amount details). The transaction Online Applicant
Gateway
details are updated in the form.
After completion of payment, the
applicant gets the successful submission Successful DGFT
12. Online
message. Application is routed to the submission System
appropriate RA office.
Post submission of the application in
the system, the application fields will
be non-editable to the applicant where
changes cannot be made. In case, some
additional information needs to be
added / updated then it can done by
entering the comments and uploading
the attachments ( if required ) in the
provided editable box.
Successful DGFT
13. Applicant can perform this operation Online
submission System
only till the time, post submission
the status of the application is ‘New’ (
not processed in DGFT) OR ‘Work in
Progress’ ( Till Level1 DGFT only). If the
application is moved on to next levels
this operation cannot be performed and
only through deficiency the case will be
handled (as per the discretion of the
officer in charge)

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Level 2- RA Processing Module

Mode
Step Document Respon-
Process Description of
No. Checklist sibility
activity
The RA Section Dealing Hand (DH) Login based on RA Section
1. Online
logs in to his dashboard using DSC. DSC of DH Dealing Hand
Authorization of
The DH receives the application in
Dealing Hand
his/her "Pending Files" on the
(DH) for RA Section
2. dashboard. The system allocates Online
processing the Dealing Hand
the files allocated to the DH as per
application by
the role(s) allocated.
local admin.
The DH opens the application with
As per ANF 3B
File No. and evaluates the RA Section
3. and Appendix 3 Online
application, attachments and Dealing Hand
D
details as per the applicable policy.
The Dealing hand has to evaluate
the amount of Duty Scrip as per the
supporting document and the
amount allowed. The DH can rectify
the Scrip amount in total or in the
splits. As the scrip amount will be As per ANF 3B
RA Section
4. validated on the basis of Net foreign and Appendix 3 Online
Dealing Hand
exchange, RA shall verify the yearly D
import done (approx. value) on the
basis of IEC. This data shall be
replicated from Customs. The total
Scrip amount will be finalized
accordingly.
The system creates an audit trail of
all the changes made which can be
5. NA Online System
viewed while application processing
or later.

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The DH gets a checklist for ticking

Procedure RA Section
6. the procedures, followed for Online
checklist Dealing Hand
evaluation of the application.

In case of recommended deficiency,

DH creates a d eficiency and selects
the appropriate application form
section of deficiency that will be re-
entered by service provider along
with any additional documents. Deficiency RA Section
7. Online
Letter Dealing Hand
DH shall not send the deficiency
directly to applicant. DH shall
forward the Deficiency details to
next level officer in hierarchy for
further action.
After evaluation, the DH enters
remarks in the "Comment Note"
with recommendation for further
Rejection RA Section
8. action. System shall provide facility Online
Reason Dealing Hand
to item wise (on each field)
recommendation for approval or
rejection.
The DH forwards entire digitally
signed application file online to RA
Officer for approval or rejection or
deficiency or mark to next level
officer in workflow. Application,
Attachments, RA Section
9. Online
System shall maintain workflow of checklist and Dealing Hand
application processing hierarchy. Comment Note
Workflow approving RA Officer
(FTDO/ Asst. DG/JDG/ADG) is
determined as per the financial
powers of MEIS scheme.

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Application,
The RA Officer receives the original
Attachments,
application with the comment and
Deficiency
10. recommendation. For processing, Online RA Officer
/Rejection,
RA Officer opens his checklist as
Checklist and
part of the process.
Comment Note
In case of deficiency, the RA officer
shall refer back the application to
applicant for submission of
deficient documents.
The system sends deficiency
Approved
intimation by email and SMS.
11. Deficiency Online RA Officer
The officer shall indicate comments
with reason
in the Comment Note, with his DSC
Authentication. The efile/
application is automatically routed
to the DH under “Pending
Clarification” section.
In case of Rejection, the RA officer
shall reject the application. The
officer shall indicate comments in
the Comment Note, with his DSC
Authentication. The system sends Approved
12. rejection intimation by email and Rejection Online RA Officer
SMS. Application status is updated with Reason
in applicant profile. The efile/
application is automatically
routed to the DH under completed
section.
In case of approval, the RA Officer
generates the Digitally Signed Duty
Credit Scrip. Approval comments
are written in comment Section.
Duty Credit
13. Online RA Officer
Scrip generated
The file is automatically routed to
the DH. System shall generate with
intimation to all officers falling
between DH and Approver.

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In case RA Officer wants to route

Application,
the file to next hierarchy level
Attachments,
14. officer, RA Officer sends the file Online RA Officer
Checklist and
after DSC authentication with his
Comment Note
comments in Comment Note.
Application,
For matters pertaining to DGFT
Attachments,
15. headquarters, the file can be Online RA Officer
Checklist and
routed to linked DGFT HQ Officer.
Comment Note
The system also updates the Scrip
Scrip Details
details on the Applicant's profile DGFT System
and details of
16. along with details of Service Online and CBEC
the Services
provided and sends the Scrip to System
provided
CBEC system.
After issuance, the scrip is
transmitted directly to the Scrip DGFT System
17. applicant, CBEC system and Management Online and CBEC
credited to the Scrip Management System System
System across.

Level 3 Process_1- Response of Deficiency Application by Applicant

Step Mode
Document Respon-
No. Process Description of
Checklist sibility
activity
1. Applicant receives the Deficiency
Application in the "Pending Application"
section the dashboard, along with an Enabled
intimation on the email. The Deficiency deficient
Online Applicant
Application is replica of original application
application with deficient section section
enabled for providing additional
information.
2. The applicant logs into user account. The
Deficient
Deficient application is visible along with Online Applicant
Application
the application details.

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3. The applicant reviews the deficiency

mentioned in application and gets an
option to attach documents mentioned Deficient
Online Applicant
in the Deficient application. The original Application
information is visible in the Original
Application section.
4. Deficiency
The applicant submits the Deficiency
Application
Application with DSC authentication to Online Applicant
along with
concerned RA.
attachments

Level 4 Process_1 RA Processing of Deficiency Application

Step
No. Mode
Document Responsi-
Process Description of
Checklist bility
activity

1. Deficiency RA
The RA Dealing Hand gets the Deficiency
Application Section
Application in Clarification received Online
along with Dealing
section.
attachments Hand
2. The DH again evaluates the application
Deficiency
for deficiencies and recommends the
Application, RA
case to the workflow RA Officer with
Attachments Section
recommendation in Comment Note for Online
and Dealing
Acceptance or Rejection.
Comment Hand
Rest process remain same as described
Note
in Level 2- RA Processing Module

Level 3 Process_2 - Rectification/ Cancellation of Issued Scrip/ Split Scrips by RA Office

Mode
Step Document Respon-
Process Description of
No. Checklist sibility
activity

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Rectification of scrip request shall be

made in following ways
Issued scrip
1. Applicant generates the
Updates from
ractification request (also includes RA Office /
1. Scrip Online
the import material rejections) and Applicant
Management
submits to RA office.
System
2. Dealing Hand initiates the
ractification request with reason.
To generate the request, user selects
the issued scrip(s) and opt for the split
/ modify / cancel option. Split / modify Issued scrip
/ cancel option is available even for Updates from
RA Office /
2. partially utilized scrips. Cancellation Scrip Online
Applicant
option is available for fully utilized Management
scrips also apart from partially utilized System
scrips. Split criteria for Scrip is
mentioned in Business rules.
Scrip on hold
On Scrip edit initiation, Scrip data shall
status
be replicated to Customs making scrip DGFT
3. replicated Online
status “on hold” and Scrip System
across all
Management system.
levels
The DH initiates Scrip(s) amount edit or
verifies the service provider request, as Edited
case may be, and sends for approval to Scrip(s), Audit
RA Section
next officer in hierarchy along wit trail /History
4. Online Dealing
1. Reasons in Comment Note of changes of
Hand
2. Draft letter which will be later approved
communicated to applicant application
informing about the update
Application,
The RA officer receives the edit Attachments,
application in dashboard with Letter to
1. Audit trail/History of changes of applicant
5. Online RA Officer
approved application informing
2. Edited scrip(s) about the
3. Comment Note update,
Checklist and

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Comment
Note

The RA officer
1. Scrutinizes the application
6. 2. Approves or Rejects the edited Edit Scrip file Online RA Officer
scrip(s) with comments on
Comment Note

In case of approval,
1. Generates/Updates the Digitally
Signed new Scrip(s) after DSC
authentication
2. Scrip details are replicated to CBEC
DGFT
System
system /
3. In case of excess utilized scrips,
CBEC
Service provider shall pay the duty
New/edited system
7. with interest at CBEC. CBEC shall Online
Scrip /scrip
send the duty payment details to
manage-
DGFT system against the scrip(s).
ment
Approval can be done only after
system
duty payment.

Scrip details are replicated to CBEC

System
4. Scrip Management system updated
In case of rejection of rectification of
scrips request, Rejected file,
1. Status of previously generated Original Scrip, DGFT
8. Online
scrip(s) is removed for “on hold” Corrected system
2. Scrip(s) status are replicated to Scrip
CBEC System

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Corrected
For either approval or rejection, file is Scrip,
RA Section
automatically routed to the DH with approved
9. Online Dealing
intimation to all in between levels of /Rejected
Hand
hierarchy. Application
file
In case RA Officer wants to route the
file to next hierarchy level officer, then
Entire
he sends the file after DSC
10. electronic file Online RA Officer
authentication to the next hierarchy
of applicant
officer attached to him/her, with his
comments in Comment Note.
In case of approval, applicant gets the
1. Updated Duty Credit Scrip(s) to the
applicant's dashboard
2. Cancelled previous issued scrips (In
case of cancellation of scrips
request)
3. In case of split request for unutilized
/ partially utilized scrips, previously Successful RA Section
11. issued scrip amount shall be approval Online Dealing
reduced to zero / amount already through DSC Hand
utilized and new scrips shall be
generated for remaining amount.
4. Letter/Notification to applicant

In case of rejection ,
1. Scrip status is restored.
Rejection intimation to applicant
The system also updates the Scrip
Scrip Details
details on the Applicant's profile along
and details of
12. with details of services. The credit of Online RA System
the Service
scrip amount is automatically updated
provided
in the Scrip Management System.

Level 4 Process_2- Scrip Management System

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Mode
Step Document Respon-
Process Description of
No. Checklist sibility
activity
Issued Duty
DGFT
After issuance of scrips, the credited Credit Scrip
Server and
1. scrip details are automatically routed to and utilization Online
CBEC
Automated Scrip Management System. updates from
Server
server of CBEC
In case of EDI Ports, the system would
get updates from CBEC on utilization Issued Duty
DGFT
and would mark the Scrips ‘Utilized’ Credit Scrip
Server and
2. when the amount is exhausted. and utilization Online
CBEC
CBEC system shall send details of Scrip updates from
Server
utilization against the Bill of Entry and server of CBEC
scrip amount utilized.
In case of Non-EDI Ports, the system
would provide facility to authorities at
the CBEC for uploading the Scrip Issued Duty CBEC
utilization details into the DGFT scrip Credit Scrip official at
3. Online
management system. CBEC offiical shall and utilization the
manually update details of Scrip utilized at CBEC gateway
against Bill of Entry and scrip amount
utilized in scrip management system.
Duty credit Scrip can also be utilized for
Issued Duty
the online payments at DGFT e.g. Repective
Credit Scrip
4. payment of composition fee, for Online application
and utilization
payment of application fee, if any and module
at DGFT
for payment of value shortfall in EO.
The scrips would automatically be
Scrip DGFT
5. marked ‘Utilized’ once amount is Online
Utilization Server
exhausted completely.
The credit/ Cancellation/ Utilization of Issued Duty DGFT
scrips, scrip amount is automatically Credit Scrip, Server and
6. Online
updated in the Scrip Management Cancelled CBEC
System. Shipping Bills Server

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6.5 To-Be Business Process Assumptions

This section outlines any assumptions made while designing the To-Be Business
Process.
Ref Assumption Description
1. The applicant has updated the profile with necessary verifications
2 The applicant is providing valid documents with the application forms.
3 Only for deviation cases requiring policy intervention from DGFT
Headquarters (with permission from DG) may be taken on file
4 DGFT will be creating the system for scrip management to keep track of the
scrip utilization.

7 Business Rules/ Dependencies-Handoffs / Supporting Documents

7.1 Business Rules
 Applicant shall have option to choose Jurisdictional RA on the basis of Corporate
Office/ Registered Office/Head Office / Branch Office address endorsed on IEC for
submitting application/applications under MEIS and SEIS. This option need to be
exercised at the beginning of financial year. Once an option is exercised, no change
would be allowed for claims relating to that year. To illustrate, if an exporter has
chosen RA Chennai for claiming rewards for exports made in 2015-16,then all
claims for exports made in 2015-16, irrespective of the date of application shall be
made to RA Chennai only.
 Rewards under SEIS scheme can be claimed under one of the below mentioned
categories:
a) Supply of a ‘service’ from India to any other country.
b) Supply of a ‘service’ from India to service consumer(s) of any other country in
India.
c) Supply of a notified service, appearing in Appendix 3E , in India relating to
services where value is realized in Indian Rupees which are otherwise
considered as having been paid for in free foreign exchange by RBI.
 Service provider can choose any port as port of registration and mention it in the
application. RA will issue the scrip with such port of registration. Such Duty credit
scrip needs to be registered at the port of registration of duty credit.

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 System shall have the editable grid for the scrip amount to be splitted into multiple
parts of Rs 5 lakh.
 Eligibility of services as per Appendix 3D
 application can be made for multiple ports. However, for issuance of Scrips,
applicant shall select single port of registration.

Last date of filing of application for Duty Credit Scrips:

1. Application for obtaining Duty Credit Scrip under SEIS shall be filed within a
period of Twelve months from the last day of that financial year.
 Late cuts are determined as per the following rules:

i. Application received after the expiry of last date but 2%

within six months from the last date
ii. Application received after six months from the prescribed 5%
date of submission but not later than one year from the
prescribed date
iii. Application received after 12 months from the prescribed 10%
date of submission but not later than 2 years from the
prescribed date
 In case of rectification of issued scrip/s, the rectification can be done only for
completely unutilized scrip/s
 Financial approval power of RA Officers as per the hierarchy is as mentioned
below:

FTDO Up to Rs.50 Lakhs

ASSTT.DGFT Above Rs.50 Lakhs and up to Rs.2 Crores

DY.DGFT Above Rs.2 Crores and up to Rs.10 Crores

JOINT DGFT Above Rs.10 Crores and up to Rs.30 Crores

Zonal Joint DGFT / Above Rs.30 crores to Rs.50 crores.

Additional DGFT

DGFT Above Rs.50 crores and up to Rs.100 Crores

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Hon’ble C I M Above Rs.100 Crores

7.2 Dependencies/Hand-Offs to other process(es)

 IEC Number
 Issued Duty Credit Scrips uploaded to Central Board of Excise and Custom’s
respective servers
7.3 Supporting Documents
 Charted Accountant’s certificate.
 Online fee payment transaction details

8 Scheme wise Functional Requirement Specification: SEIS

# Specification Reference from
FRS-DGFT
eco system
1. System must allow Service provider to login with valid
credentials (User Id and password provided by DGFT).
2. System should store all information of the registered Service
providers uniquely and provide access to such information New User
only to the users or to the designated administrator. Registration
3. System should be able to maintain all records for the login &
sessions with date and time stamping Application Receipt
4. System shall prompt (Y/N) the service provider to update Component
the applicant profile, before opening up the form. In case
required, system should open the profile for update.
5. System should make available the latest version of the
Application Form online as uploaded by administrator/
authorized representative.
6. The Form (ANF 3B of AAYAT NIRYAT FORMS) should be
downloadable with the default values and any information
that is entered manually must be allowed to be saved
offline. When the service provider connects to the system,
they should be able to submit the data.
7. System should support multilingual interface (minimum Application Receipt
Hindi and English) as per Localization and Language Component
Technology Standards.

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8. System should only allow the submission of service request

if the mandatory fields of the application forms are filled.
9. System should display a message regarding successful or
unsuccessful completion of any transaction.
10. In case of unsuccessful transaction, the system should
prompt the error message.
11. System should time out the session if it is idle for more than
fifteen minutes. Session timeout is configurable and can be
modified as and when required by the administrator.
12. System must have the provision to upload the required
documents.
13. System should be able to record the payment made by the Payment
Service provider against the application as per the Payment Component
Component.
14. System should allow tagging/uploading all the attached Supporting
supporting documents with the service request and allow documents
retrieval of the attachments as and when the service &
request is accessed. Application
Verification
Component
&
Approval
Component
15. System should be able to assign the concerned authority, as
per the workflow, to carry out the verification and feed in
the comments section. Application
16. System shall provide facility to upload additional documents Verification
during RA processing. Component
17. Service provider will have provision to request split the scrip
amount (each being minimum of Rest 5 Lakh.).
18. System shall have the editable grid for the scrip amount to
be splitted into multiple parts of Rs 5 lakh.
19. System should be able to support the status tracking for
each request.
20. System should be able to auto escalate the service request
with an online notification to the subsequent actor as per
the escalation matrix if the service levels are not met as
defined in the service level description.

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21. System should consider the list of holidays for tracking the Status Tracking
timelines of various approving authorities in the workflow. Component
22. Service provider will upload the deficient documents on the
portal.
23. System will trigger the SMS/Email whenever there is a
change in the status of application.
24. System must have provision to verify, update, approve and Status Tracking
reject the application. Component
25. System will have business rules to follow the proper &
approval process. Application
26. System should have provision to issue the deficiency to Verification
service provider in case more supporting documents are Component
required. &
Monitoring
Component (MIS)
27. Application request will follow the workflow and will be
assigned to the authority as per the financial powers
mentioned in the business rules. All the applications
including the deficiency application would follow the same
online workflow Application
28. The system would open a new section for deficiency Workflow
application by creating a replica of original submitted Component
application and open only the fields requiring correction/
fulfilling of deficiency
29. In case of rejections, the system should request the
concerned authority to compulsorily provide the comments,
without comments the application should not be allowed to
be rejected.
30. System should have standard messages for rejection of the Rejection
Application like: Information Incomplete, wait time elapsed, Component
Wrong Information, the requester is not eligible etc.
31. System should allow the designated authorities to generate Monitoring
customized report on defined criteria’s (query parameters Component (MIS)
like on the basis of date range/RA/dealing hand/type of
request etc.).
32. System will allow user to take print of the Scrip from the Status Tracking
portal. Component

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33. The system provides a Scrip Management System for real

time tracking of issued scrip utilization with real time
updation of credit amount, debit amount, balance amount,
related shipping bills, Bills of utilization
34. The system would have real time integration with CBEC Scrip Management
server for tracking changes in Scrip amount utilization System
35. In case of Non- EDI ports the amount of scrips and their
utilization would be updated by CBEC officials at the
gateway
36. The system would intimate concerned officials at all level in
case Scrip amount is edited by RA officials with an intimation
to the applicant

9 Open Issues

ID Issue Resolution Responsibility Target Impact

Date Date

10 Closed Issues

ID Issue Resolution Responsibility Target Impact

Date Date

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