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List of Documents to be submitetd along with AEO-T1 Application

Name of the Applicant: M/s. Venkatrama International LLP


A Compliance Remarks Reference /Page
No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service IEC submitted
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Submitted.
(3) PAN card Submitted
(4) ACP/AEO certificate, if already certified Not Applicable
(5) List of site or locations, if more than one site or Submitted.
location of business
(6) List of sites with addresses, contact person and Submitted.
Phone no., under control, where import / export goods
are handled, e.g. packed /unpacked / loaded /
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Submitted.


(8) List of major countries of Import/Export Submitted
(9) List of import/export documents filed during the Submitted
preceding Financial Year
(10) Evidence of business entity falling under the Declared as Yes but
category of MSME, if MSME no proof of evidence
submitted
B Security Plan documenting the policies, processes and Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Submitted


documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Not submitted
company
E1 Compliance Remarks
(a) Whether having customs and/or other Departments IEC submitted
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service S.Tax, VAT
Tax and other Department Licenses/registration Registration copies
certificates? Copies may be provided.
(c) Type of Business Entity : ROC copy
Whether Proprietorship Firm,
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India? Yes
If yes then provide evidence in remarks column which ROC Copy
may include:
a) Certificate of Registration issued by the Registrar Yes
of Companies.
b) Type of business Entity, whether Proprietorship Limited Liability
Firm, Partnership Firm, Public or Pvt. Ltd Company. Partnership firm and
Details of Directors may be provided along with the List of Directors
details of the Company Secretary. submitted

c) Details of places/locations where goods are being List of site locations


handled e.g. loading, unloading, storage etc., in the submitted
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Declared as Yes but
no proof of evidence
submitted
(e) Whether your business entity has business activities for Declared as Yes but
at least three financial years preceding the date of no proof of evidence
application? submitted
(f) Whether you have handled at least 25 documents i.e., List submitted
Bills of Entry or Shipping Bills, with the Customs
Authorities during the last financial year.
Summary Sheet may be provided.
(g) Whether the applicant has ever been convicted of a Declared as No
criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Remarks


(a) Whether there is any cases of infringement of Customs Declared as No
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three Declared as No
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein Declared as No
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or Declared as No
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.
(e) i. Whether procedures are in place to identify and Declared as No but it
disclose any irregularities to the Customs Authorities or, is required to have
where appropriate other regulatory bodies? If yes, procedures for the
enclose evidence in support of this. said purpose.
ii. Whether
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Remarks


(a) Whether maintaining accounts as per GAAP or IFRS Kept blank but it is
which facilitates audit based Customs control? required to have
accounts as per
GAAP/IFRS.
(b) Whether there is an administrative setup which Declared as No but
corresponds to the type and size of business and which required to have.
is suitable for the management of the flow of goods and
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in Declared as No but


place for handling of licenses and authorizations required to have.
connected to import/export
(d) Whether having satisfactory procedures in place for Declared as No but
archiving of the company’s records and information and required to have.
also for protection against the loss of information?

(e) Whether there is a system to ensure that employees are Declared as No but
made aware of the need to inform the Customs required to have.
Authorities whenever compliance difficulties are
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying Declared as No but


the accuracy of Customs declarations? required to have.

(g) Whether there is an appropriate information technology Declared as No but


security measures to protect the applicant’s computer required to have.
system from unauthorized intrusion and to secure the
applicant’s documentation

E.4 Compliance Remarks


(a) Whether the applicant has been financially solvent Declared as No but
during the three financial years preceding the date of required to have
application? (Solvency would be generally defined as solvency certificate.
good financial standing that is sufficient to fulfill the
commitments of the applicant including ability to pay
duties? Please attach balance sheets for the last 3
financial years

(b) Whether where required the accounts have been filed Declared as Yes but
with Registrar of Companies within the time limits laid no proof submitted
down by law?
(c) Whether where applicable, audit qualifications or Kept blank but it is
comments in the annual accounts about the required to have.
continuation of the business as a going concern?
(d) Whether there are any contingent liabilities or Kept blank but it is
provisions? required to be yes or
no with proof in case
of yes.
(e) Whether the net current assets are positive Kept blank but it is
required to be yes or
no with proof in case
of yes.
(f) Whether the entity has been defaulted in payment of Declared as NO
due taxes during the past three years
(g) Whether there is solvency certificate issued by the Declared as NO but
Statutory Auditor? If yes, provide copy required to submit.
(h) Whether the business entity is currently listed as Declared as No
insolvent, or in liquidation or bankruptcy
List of Documents to be submitetd along with AEO-T12 Application
Name of the Applicant: M/s. Kabsons Gas Equipment Pvt Ltd.
A Compliance Remarks Reference /Page
No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service IEC submitted
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Submitted.
(3) PAN card Not submitted
(4) ACP/AEO certificate, if already certified Not Applicable
(5) List of site or locations, if more than one site or Submitted.
location of business
(6) List of sites with addresses, contact person and Contact persons,
Phone no., under control, where import / export goods phone nos. etc not
are handled, e.g. packed /unpacked / loaded / submitted.
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Submitted.


(8) List of major countries of Import/Export Submitted
(9) List of import/export documents filed during the Submitted
preceding Financial Year
(10) Evidence of business entity falling under the Declared as Medium
category of MSME, if MSME but no documentary
submitted
B Security Plan documenting the policies, processes and Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Not submitted


documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Not submitted
company
E1 Compliance Remarks
(a) Whether having customs and/or other Departments IEC submitted
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service C.Ex. S.Tax,
Tax and other Department Licenses/registration Registration copies
certificates? Copies may be provided.
(c) Type of Business Entity : ROC copy submitted
Whether Proprietorship Firm,
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India? Yes
If yes then provide evidence in remarks column which ROC Copy
may include:
a) Certificate of Registration issued by the Registrar Yes
of Companies.
b) Type of business Entity, whether Proprietorship Limited Company and
Firm, Partnership Firm, Public or Pvt. Ltd Company. List of Directors not
Details of Directors may be provided along with the submitted
details of the Company Secretary.

c) Details of places/locations where goods are being List of site locations


handled e.g. loading, unloading, storage etc., in the submitted
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Annual Reports for
2013-14,2014-15 and
2015-16
(e) Whether your business entity has business activities for Annual Reports for
at least three financial years preceding the date of 2013-14,2014-15 and
application? 2015-16
(f) Whether you have handled at least 25 documents i.e., List submitted
Bills of Entry or Shipping Bills, with the Customs
Authorities during the last financial year.
Summary Sheet may be provided.
(g) Whether the applicant has ever been convicted of a Declared as No
criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Remarks


(a) Whether there is any cases of infringement of Customs Declared as No
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three Declared as No
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein Declared as No
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or Declared as No
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.
(e) i. Whether procedures are in place to identify and Declared as No but it
disclose any irregularities to the Customs Authorities or, is required to have
where appropriate other regulatory bodies? If yes, produres for the
enclose evidence in support of this. intended purpose
ii. Whether
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Remarks


(a) Whether maintaining accounts as per GAAP or IFRS Yes. Auditor's report
which facilitates audit based Customs control? comments on
maintenance of
accounts as per
GAAP.

(b) Whether there is an administrative setup which Declared as yes but


corresponds to the type and size of business and which no documentary proof
is suitable for the management of the flow of goods and submitted.
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in Declared as yes but


place for handling of licenses and authorizations no documentary proof
connected to import/export submitted.
(d) Whether having satisfactory procedures in place for Declared as yes but
archiving of the company’s records and information and no documentary proof
also for protection against the loss of information? submitted.

(e) Whether there is a system to ensure that employees are Kept blank but
made aware of the need to inform the Customs requited to have
Authorities whenever compliance difficulties are system.
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying Kept blank but
the accuracy of Customs declarations? requited to have
system.
(g) Whether there is an appropriate information technology Declared as yes but
security measures to protect the applicant’s computer no documentary proof
system from unauthorized intrusion and to secure the submitted.
applicant’s documentation

E.4 Compliance Remarks


(a) Whether the applicant has been financially solvent Declared yes and
during the three financial years preceding the date of referred to balance
application? (Solvency would be generally defined as sheets. Solvency
good financial standing that is sufficient to fulfill the Certificate not
commitments of the applicant including ability to pay submitted.
duties? Please attach balance sheets for the last 3
financial years

(b) Whether where required the accounts have been filed Declared as yes but
with Registrar of Companies within the time limits laid no documentary proof
down by law? submitted.
(c) Whether where applicable, audit qualifications or Declared as yes but
comments in the annual accounts about the no documentary proof
continuation of the business as a going concern? submitted.
(d) Whether there are any contingent liabilities or Declared as NO
provisions?
(e) Whether the net current assets are positive Declared as Yes
(f) Whether the entity has been defaulted in payment of Declared as NO
due taxes during the past three years
(g) Whether there is solvency certificate issued by the Declared as not
Statutory Auditor? If yes, provide copy applicable but
required if solvency
(h) Whether the business entity is currently listed as Declared as No
certifcate is issued by
insolvent, or in liquidation or bankruptcy
CA.
List of Documents to be submitetd along with AEO-T1 Application
Name of the Applicant: M/s. Ramasatyadeva Chillies
A Compliance Yes /No Remarks Reference
/Page No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service Yes IEC submitted
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Yes Proprietory Firm
(3) PAN card Yes Submitted
(4) ACP/AEO certificate, if already certified NA Not Applicable
(5) List of site or locations, if more than one site or Yes Submitted.
location of business
(6) List of sites with addresses, contact person and Yes Submitted.
Phone no., under control, where import / export goods
are handled, e.g. packed /unpacked / loaded /
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Yes Submitted.


(8) List of major countries of Import/Export Yes Submitted
(9) List of import/export documents filed during the Yes Submitted
preceding Financial Year
(10) Evidence of business entity falling under the NA No
category of MSME, if MSME
B Security Plan documenting the policies, processes and No Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Yes Not submitted
documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Yes Not submitted
company
E1 Compliance Yes Remarks
(a) Whether having customs and/or other Departments No IEC submitted
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service Yes VAT Registration copy
Tax and other Department Licenses/registration submitted
certificates? Copies may be provided.
(c) Type of Business Entity : Pvt Ltd Proprietory Firm
Whether Proprietorship Firm,
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India? Yes Yes
If yes then provide evidence in remarks column which Proprietory Firm
may include:
a) Certificate of Registration issued by the Registrar Yes Proprietory Firm
of Companies.
b) Type of business Entity, whether Proprietorship Prop Proprietory Firm
Firm, Partnership Firm, Public or Pvt. Ltd Company.
Details of Directors may be provided along with the
details of the Company Secretary.

c) Details of places/locations where goods are being Yes List of site locations
handled e.g. loading, unloading, storage etc., in the submitted
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Yes Not submitted
(e) Whether your business entity has business activities for Yes Income Tax returns
at least three financial years preceding the date of for 2015-6 only
application? submitted. But
required to submit for
the last three financial
years.

(f) Whether you have handled at least 25 documents i.e., Yes List submitted
Bills of Entry or Shipping Bills, with the Customs
Authorities during the last financial year.
Summary Sheet may be provided.
(g) Whether the applicant has ever been convicted of a No Declared as No
criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Yes Remarks


(a) Whether there is any cases of infringement of Customs No Declared as No
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three No Declared as No
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein No Declared as No
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or No Declared as No
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.
(e) i. Whether procedures are in place to identify and Yes Declared as No. But it
disclose any irregularities to the Customs Authorities or, is required to have
where appropriate other regulatory bodies? If yes, procedures in place
enclose evidence in support of this. for the intendned
ii. Whether purpose.
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Yes Remarks


(a) Whether maintaining accounts as per GAAP or IFRS Yes Declared as Yes but
which facilitates audit based Customs control? no documentary
evidence.
(b) Whether there is an administrative setup which Yes Declared as Yes but
corresponds to the type and size of business and which no documentary
is suitable for the management of the flow of goods and evidence.
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in Yes Declared as Yes but
place for handling of licenses and authorizations no documentary
connected to import/export evidence.
(d) Whether having satisfactory procedures in place for Yes Declared as Yes but
archiving of the company’s records and information and no documentary
also for protection against the loss of information? evidence.

(e) Whether there is a system to ensure that employees are Yes Declared as Yes but
made aware of the need to inform the Customs no documentary
Authorities whenever compliance difficulties are evidence.
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying Yes Declared as Yes but
the accuracy of Customs declarations? no documentary
evidence.
(g) Whether there is an appropriate information technology Yes Declared as Yes but
security measures to protect the applicant’s computer no documentary
system from unauthorized intrusion and to secure the evidence.
applicant’s documentation

E.4 Compliance Yes Remarks


(a) Whether the applicant has been financially solvent Yes Declared as Yes but
during the three financial years preceding the date of no documentary
application? (Solvency would be generally defined as evidence.
good financial standing that is sufficient to fulfill the
commitments of the applicant including ability to pay
duties? Please attach balance sheets for the last 3
financial years

(b) Whether where required the accounts have been filed Yes Declared as Yes.
with Registrar of Companies within the time limits laid
down by law?
(c) Whether where applicable, audit qualifications or Yes Declared as Yes but
comments in the annual accounts about the no documentary
continuation of the business as a going concern? evidence.
(d) Whether there are any contingent liabilities or Yes Declared as Yes but
provisions? no documentary
evidence.
(e) Whether the net current assets are positive Yes Declared as Yes but
no documentary
evidence.
(f) Whether the entity has been defaulted in payment of No Declared as NO
due taxes during the past three years
(g) Whether there is solvency certificate issued by the Yes Declared as NO
Statutory Auditor? If yes, provide copy
(h) Whether the business entity is currently listed as No Declared as NO
insolvent, or in liquidation or bankruptcy
List of Documents to be submitetd along with AEO-T1 Application
Name of the Applicant: M/s. Mittapalli Agro Exports
A Compliance Remarks Reference / Page
No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service IEC submitted
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Partnership deed
submitted
(3) PAN card Submitted
(4) ACP/AEO certificate, if already certified Not Applicable
(5) List of site or locations, if more than one site or Submitted.
location of business
(6) List of sites with addresses, contact person and Submitted.
Phone no., under control, where import / export goods
are handled, e.g. packed /unpacked / loaded /
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Submitted.


(8) List of major countries of Import/Export Submitted
(9) List of import/export documents filed during the Documents for 2016-
preceding Financial Year 17 not submitted
(10) Evidence of business entity falling under the Declared as Small.
category of MSME, if MSME But no evidence
submitted
B Security Plan documenting the policies, processes and Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Not submitted


documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Not submitted
company
E1 Compliance Remarks
(a) Whether having customs and/or other Departments IEC submitted
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service VAT Registration copy
Tax and other Department Licenses/registration
certificates? Copies may be provided.
(c) Type of Business Entity : Partnership deed
Whether Proprietorship Firm, submitted
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India? Yes
If yes then provide evidence in remarks column which Partnership deed
may include: submitted
a) Certificate of Registration issued by the Registrar No
of Companies.
b) Type of business Entity, whether Proprietorship Partnership firm
Firm, Partnership Firm, Public or Pvt. Ltd Company.
Details of Directors may be provided along with the
details of the Company Secretary.

c) Details of places/locations where goods are being Only one premises


handled e.g. loading, unloading, storage etc., in the
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Balance Sheets for
2013-14,2014-15 and
2015-16
(e) Whether your business entity has business activities for Balance Sheets for
at least three financial years preceding the date of 2013-14,2014-15 and
application? 2015-16
(f) Whether you have handled at least 25 documents i.e., List submitted
Bills of Entry or Shipping Bills, with the Customs
Authorities during the last financial year.
Summary Sheet may be provided.
(g) Whether the applicant has ever been convicted of a Declared as No
criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Remarks


(a) Whether there is any cases of infringement of Customs Declared as No
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three Declared as No
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein Declared as No
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or Declared as No
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.

(e) i. Whether procedures are in place to identify and Declared as No. But it
disclose any irregularities to the Customs Authorities or, is essential to have a
where appropriate other regulatory bodies? If yes, procedure for the said
enclose evidence in support of this. purpose.
ii. Whether
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Remarks


(a) Whether maintaining accounts as per GAAP or IFRS Declared as No. But it
which facilitates audit based Customs control? is required to maintain
accounts as per
GAAP/IFRS.

(b) Whether there is an administrative setup which Declared as Yes but


corresponds to the type and size of business and which no documentary
is suitable for the management of the flow of goods and evidence submitted.
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in Declared as Yes but


place for handling of licenses and authorizations no documentary
connected to import/export evidence submitted.
(d) Whether having satisfactory procedures in place for Declared as Yes but
archiving of the company’s records and information and no documentary
also for protection against the loss of information? evidence submitted.

(e) Whether there is a system to ensure that employees are Declared as Yes but
made aware of the need to inform the Customs no documentary
Authorities whenever compliance difficulties are evidence submitted.
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying Declared as Yes but
the accuracy of Customs declarations? no documentary
evidence submitted.
(g) Whether there is an appropriate information technology Declared as Yes but
security measures to protect the applicant’s computer no documentary
system from unauthorized intrusion and to secure the evidence submitted.
applicant’s documentation

E.4 Compliance Remarks


(a) Whether the applicant has been financially solvent Declared as Yes but
during the three financial years preceding the date of balance sheet
application? (Solvency would be generally defined as submitted do not give
good financial standing that is sufficient to fulfill the proof of having
commitments of the applicant including ability to pay saolvency. Complete
duties? Please attach balance sheets for the last 3 balance sheet with
financial years schedules not
submitted.

(b) Whether where required the accounts have been filed Declared as not
with Registrar of Companies within the time limits laid appplicable.
down by law?
(c) Whether where applicable, audit qualifications or Declared as not
comments in the annual accounts about the appplicable. But it is
continuation of the business as a going concern? required to provide
proof such as
auditor's comments or
otherwise to prove
that the firm is a
going concern.

(d) Whether there are any contingent liabilities or Declared as Yes but
provisions? no documentary
evidence submitted.
(e) Whether the net current assets are positive Declared as Yes but
no documentary
evidence submitted.
(f) Whether the entity has been defaulted in payment of Declared as NO
due taxes during the past three years
(g) Whether there is solvency certificate issued by the Declared as NO
Statutory Auditor? If yes, provide copy
(h) Whether the business entity is currently listed as Declared as No
insolvent, or in liquidation or bankruptcy
List of Documents to be submitetd along with AEO-T2 Application
Name of the Applicant: M/s. Mekins Industries Limited
A Compliance Remarks Reference /Page
No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service IEC submitted 1-2
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Submitted. 3-4
(3) PAN card Submitted 7
(4) ACP/AEO certificate, if already certified Not Applicable
(5) List of site or locations, if more than one site or Submitted. 8-12
location of business
(6) List of sites with addresses, contact person and Submitted. 13-17
Phone no., under control, where import / export goods
are handled, e.g. packed /unpacked / loaded /
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Submitted. 18-19


(8) List of major countries of Import/Export Submitted 20-21
(9) List of import/export documents filed during the Submitted 22-26
preceding Financial Year
(10) Evidence of business entity falling under the MSME 32-36
category of MSME, if MSME
B Security Plan documenting the policies, processes and Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Submitted 37


documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Submitted 38-39
company
E1 Compliance Remarks
(a) Whether having customs and/or other Departments IEC submitted 1-2
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service C.Ex. S.Tax, VAT 40-55
Tax and other Department Licenses/registration Registration copies
certificates? Copies may be provided.
(c) Type of Business Entity : ROC copy 3-4
Whether Proprietorship Firm,
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India? Yes
If yes then provide evidence in remarks column which ROC Copy 3-4
may include:
a) Certificate of Registration issued by the Registrar Yes 3-4
of Companies.
b) Type of business Entity, whether Proprietorship Limited Company and 56
Firm, Partnership Firm, Public or Pvt. Ltd Company. List of Directors
Details of Directors may be provided along with the submitted
details of the Company Secretary.

c) Details of places/locations where goods are being List of site locations 13-17
handled e.g. loading, unloading, storage etc., in the submitted
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Annual Reports for 57-58
2013-14,2014-15 and
2015-16
(e) Whether your business entity has business activities for Annual Reports for 57-58
at least three financial years preceding the date of 2013-14,2014-15 and
application? 2015-16
(f) Whether you have handled at least 25 documents i.e., List submitted 22-26
Bills of Entry or Shipping Bills, with the Customs
Authorities during the last financial year.
Summary Sheet may be provided.
(g) Whether the applicant has ever been convicted of a Declared as No
criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Remarks


(a) Whether there is any cases of infringement of Customs Declared as No
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three Declared as No
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein Declared as No
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or Declared as No
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.
(e) i. Whether procedures are in place to identify and Procedures submitted 60-61
disclose any irregularities to the Customs Authorities or,
where appropriate other regulatory bodies? If yes,
enclose evidence in support of this.
ii. Whether
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Remarks


(a) Whether maintaining accounts as per GAAP or IFRS Procedures submitted 62-71
which facilitates audit based Customs control?

(b) Whether there is an administrative setup which Submitted Page No.40-42 of


corresponds to the type and size of business and which Annual Report for
is suitable for the management of the flow of goods and 2015-16
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in SOP submitted 60-61


place for handling of licenses and authorizations
connected to import/export
(d) Whether having satisfactory procedures in place for SOP submitted 60-61
archiving of the company’s records and information and
also for protection against the loss of information?

(e) Whether there is a system to ensure that employees are SOP submitted 72
made aware of the need to inform the Customs
Authorities whenever compliance difficulties are
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying SOP submitted 60-61
the accuracy of Customs declarations?

(g) Whether there is an appropriate information technology SOP submitted 73-74


security measures to protect the applicant’s computer
system from unauthorized intrusion and to secure the
applicant’s documentation

E.4 Compliance Remarks


(a) Whether the applicant has been financially solvent Solvency Certificate 75
during the three financial years preceding the date of Submitted
application? (Solvency would be generally defined as
good financial standing that is sufficient to fulfill the
commitments of the applicant including ability to pay
duties? Please attach balance sheets for the last 3
financial years

(b) Whether where required the accounts have been filed Submitted 76-88
with Registrar of Companies within the time limits laid
down by law?
(c) Whether where applicable, audit qualifications or
comments in the annual accounts about the
continuation of the business as a going concern?
(d) Whether there are any contingent liabilities or Declared as NO
provisions?
(e) Whether the net current assets are positive Declared as Yes
(f) Whether the entity has been defaulted in payment of Declared as NO
due taxes during the past three years
(g) Whether there is solvency certificate issued by the Yes. Copy Provided 75
Statutory Auditor? If yes, provide copy
(h) Whether the business entity is currently listed as Declared as No
insolvent, or in liquidation or bankruptcy
List of Documents to be submitetd along with AEO-T2 Application
Name of the Applicant: M/s. Astra Microwave Products Ltd.,
A Compliance Remarks Reference /Page
No.
(1) IEC/CHA/Warehouse Licence/ Logistic Service IEC submitted
Provider or Custodian or Terminal Operator licence,
depending on the category for which AEO application
filed
(2) Certificate of Registration issued by ROC Submitted.
(3) PAN card Submitted
(4) ACP/AEO certificate, if already certified Not Applicable
(5) List of site or locations, if more than one site or Submitted.
location of business
(6) List of sites with addresses, contact person and Submitted.
Phone no., under control, where import / export goods
are handled, e.g. packed /unpacked / loaded /
unloaded / consolidated etc. in the course of supply
to/from international supply chain

(7) List of major items import/Export Submitted.


(8) List of major countries of Import/Export Submitted
(9) List of import/export documents filed during the Submitted
preceding Financial Year
(10) Evidence of business entity falling under the Not MSME
category of MSME, if MSME
B Security Plan documenting the policies, processes and Not Applicable
procedures that it has in place to ensure that goods for
export/import are packed at a secure premise/facility,
accurately accounted for and transported securely to
the point of export/import from the point of origin, in
case of AEO-T-2, T-3 and LO

C Process map illustrating the flow of goods and Submitted


documentation/ information from receipt of order to the
point of export/delivery/receipt of the product
D Site plan covering the whole area managed by the Submitted
company
E1 Compliance Remarks
(a) Whether having customs and/or other Departments
license/ certificate with respect to category of AEO
application. Copy of the same may be provided.
(b) Whether having other Customs, Central Excise, Service C.Ex. S.Tax
Tax and other Department Licenses/registration Registrations
certificates? Copies may be provided.
(c) Type of Business Entity : ROC copy
Whether Proprietorship Firm,
Partnership Firm, Public or Private Ltd company etc.
Copy of concerned registration etc. may be provided.
(d) Whether the entity is established in India?
If yes then provide evidence in remarks column which ROC Copy
may include:
a) Certificate of Registration issued by the Registrar
of Companies.
b) Type of business Entity, whether Proprietorship ROC Copy
Firm, Partnership Firm, Public or Pvt. Ltd Company.
Details of Directors may be provided along with the
details of the Company Secretary.

c) Details of places/locations where goods are being


handled e.g. loading, unloading, storage etc., in the
course of supply to/from international supply chain.
d) Proof that business has its own accounts. Annual Reports for
2013-14,2014-15 and
2015-16
(e) Whether your business entity has business activities for Annual Reports for
at least three financial years preceding the date of 2013-14,2014-15 and
application? 2015-16
(f) Whether you have handled at least 25 documents i.e., During 2015-16, the
Bills of Entry or Shipping Bills, with the Customs applicant handled 450
Authorities during the last financial year. Bills of Entry and 286
Summary Sheet may be provided. Shipping Bills.

(g) Whether the applicant has ever been convicted of a


criminal offence? If so the details of the same may be
submitted.

E.2 Compliance Remarks


(a) Whether there is any cases of infringement of Customs
Laws by any of the following persons over three
financial years preceding the submission of the
application:
i)The applicant.
ii) The person in charge of the applicant
company or exercising control over the management.
iii) The person
responsible in the applicant company for customs
matters.
If yes, the details of the cases. Further submit
details related to the volume of customs related
operations in the Remarks column.

(b) Whether any SCN has been issued during the last three
financial years involving fraud, forgery, outright
smuggling, clandestine removal of excisable goods or
cases where service tax has been collected but not
deposited to the Government.
If yes, please indicate in the
Remarks Column.
(c) Whether there is a case against you wherein
prosecution has been launched. If yes, please indicate
in the Remarks Column.
(d) i. What is the amount of disputed duty demanded or
recovery of drawback paid in excess or sought to be
denied in all the SCNs issued under the Customs Act
1962 during the last three financial years?
ii. What is
the total duty paid and drawback claimed during the
preceding three financial years?
iii. What is the ratio of the disputed duty
amount involved in the Show Cause Notices (SCNs) to
the total duty paid/ drawback claimed during the
preceding three years.

(e) i. Whether procedures are in place to identify and


disclose any irregularities to the Customs Authorities or,
where appropriate other regulatory bodies? If yes,
enclose evidence in support of this.
ii. Whether
system is in place to take appropriate remedial action
when irregularities or errors are identified? If yes,
enclose evidence in support of this.

E.3 Compliance Remarks


(a) Whether maintaining accounts as per GAAP or IFRS
which facilitates audit based Customs control?

(b) Whether there is an administrative setup which


corresponds to the type and size of business and which
is suitable for the management of the flow of goods and
have internal controls capable of detecting illegal or
irregular transactions?

(c) Wherever applicable have satisfactory procedures in


place for handling of licenses and authorizations
connected to import/export
(d) Whether having satisfactory procedures in place for
archiving of the company’s records and information and
also for protection against the loss of information?

(e) Whether there is a system to ensure that employees are


made aware of the need to inform the Customs
Authorities whenever compliance difficulties are
discovered and establish suitable contacts to inform the
Customs Authorities of such occurrences?

(f) Whether there is a satisfactory procedure for verifying


the accuracy of Customs declarations?

(g) Whether there is an appropriate information technology


security measures to protect the applicant’s computer
system from unauthorized intrusion and to secure the
applicant’s documentation

E.4 Compliance Remarks


(a) Whether the applicant has been financially solvent
during the three financial years preceding the date of
application? (Solvency would be generally defined as
good financial standing that is sufficient to fulfill the
commitments of the applicant including ability to pay
duties? Please attach balance sheets for the last 3
financial years

(b) Whether where required the accounts have been filed


with Registrar of Companies within the time limits laid
down by law?
(c) Whether where applicable, audit qualifications or
comments in the annual accounts about the
continuation of the business as a going concern?
(d) Whether there are any contingent liabilities or
provisions?
(e) Whether the net current assets are positive
(f) Whether the entity has been defaulted in payment of
due taxes during the past three years
(g) Whether there is solvency certificate issued by the
Statutory Auditor? If yes, provide copy
(h) Whether the business entity is currently listed as
insolvent, or in liquidation or bankruptcy

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