Process Flow of SEZ services

PROPOSAL FOR APPROVAL OF UNIT REFER RULE PROPOSAL FOR APPROVAL OF UNIT REFER RULE –– 17 OF SEZ RULES 200617 OF SEZ RULES 2006CONSIDERATION OF PROPOSAL REFERRED RULE CONSIDERATION OF PROPOSAL REFERRED RULE –– 1818

LETTER OF APPROVAL TO UNIT REFER RULE LETTER OF APPROVAL TO UNIT REFER RULE –– 1717

APPLICATION FOR SETTING UP OF UNITS IN APPLICATION FOR SETTING UP OF UNITS IN SPECIAL ECONOMIC ZONE (SEZ) SPECIAL ECONOMIC ZONE (SEZ)

Check list of documentsCheck list of documents1.1. for Setting up of unit in a Special Economic Zone as per prescrfor Setting up of unit in a Special Economic Zone as per prescribed form ibed form ‘‘FF’’2.2. Annual permission for subAnnual permission for sub--contracting;contracting;3.3. Allotment of ImporterAllotment of Importer--Exporter Code number;Exporter Code number;4.4. Allotment of land/industrial sheds in the Special Economic Zone;Allotment of land/industrial sheds in the Special Economic Zone;5.5. Water connection;Water connection;6.6. RegistrationRegistration--cumcum--Membership Certificate; Membership Certificate; 7.7. Small Scale Industries Registration; Small Scale Industries Registration; 8.8. Registration with Central Pollution Control Board; Registration with Central Pollution Control Board; 9.9. Power connection; Power connection; 10.10. Building approval plan; Building approval plan; 11.11. Sales tax registration;Sales tax registration;12.12. Approval from inspectorate of factories; Approval from inspectorate of factories; 13.13. Pollution control clearance, wherever required;Pollution control clearance, wherever required;14.14. Any other approval as may be required from the State GovernmentAny other approval as may be required from the State Government

In addition to the above documents,the documents mentioned in thIn addition to the above documents,the documents mentioned in the following slidee following slideShould also be requested from the unit Should also be requested from the unit

1.1. A demand draft/bank A demand draft/bank challanchallan of Rs.5000 in favor of Pay & Accounts Officer of Rs.5000 in favor of Pay & Accounts Officer of the concerned SEZ as notified.of the concerned SEZ as notified.

2.2. Project Report Project Report 3.3. Memorandum of Association/Article (For Limited/Pvt. Ltd) Memorandum of Association/Article (For Limited/Pvt. Ltd) 4.4. Partnership Deed (For Partnership firms only).Partnership Deed (For Partnership firms only).5.5. Area of operation/Expertise proposed to be taken upArea of operation/Expertise proposed to be taken up6.6. Board Resolution for authorizing the person for signing the DocuBoard Resolution for authorizing the person for signing the Documentsments7.7. List of Board of Director/Prop./Partners along with residentialList of Board of Director/Prop./Partners along with residential address and address and

telephone No.(s) and passport size photograph of the Directorstelephone No.(s) and passport size photograph of the Directors8.8. Bank Account and Branch/Declaration of BankerBank Account and Branch/Declaration of Banker9.9. PAN No. issued to the Unit/PartnersPAN No. issued to the Unit/Partners10.10. Last 3 years Balance Sheet (In case of existing company) or IncoLast 3 years Balance Sheet (In case of existing company) or Income Tax me Tax

Return (In case of Proprietary/Partner ship Co.)Return (In case of Proprietary/Partner ship Co.)11.11. Proposed List of CG imported/indigenous itemsProposed List of CG imported/indigenous items

Check list of documentsCheck list of documentscontd

CHECK LIST FOR APPLICATION FORM

Ø Prescribed Application as per form ‘F’ in five copiesØ Application form duly filled in and initial on all pages and full signature and

stamp on the last page.Ø All the figures mentioned in the Application Form are as per Gist (Refer next

slide)

Particulars 1st Year 2nd Year 3rd Year 4th Year 5th Year Total

Capital GoodsExportsFE OutgoTotal FE Outgo NFEEPositive NFE=A-B>0

Wage BillMan YearAvg SalaryProductivity

- Total FE Outgo (B) - Export Obligations CalculationApproximate Man hour: $ per hour

EXPORT PROJECTIONS

Total Exports (A)As per above projections -

CG Export Obligation

As per SEZ Rules 2006 Unit have achieve Positive NFE = A-B>0 for block of Five years

CHECK LIST OF ANNUAL PERMISSION FOR SUB CONTRACTING

Ø Original export orderØ Name and address of operation sub-contracting unitØ Items of manufacture for sub contractingØ Value of sub contractingØ Validity

CHECK LIST FOR IMPORT EXPORT CODE

Ø Issuing Authority’s File No. Ø PAN/BIN No. in IEC CopyØ Name and Address of the unitØ Branch Code, if multi-location companyØ If name not included , check for undertaking for inclusion

CHECK LIST FOR ALLOTMENT OF LAND/INDUSTRIAL SHED

ALLOTMENT LETTERØ Name and Signature of Authorised signatory of Promoter of SEZØ Area of premises as per applicationØ Address of premises as per application Ø Allotment date Ø Validity period for signing lease agreementØ Availability of possession letter

LEASE AGREEMENT AND POSSESSIONØ Name and Signature of Authorized signatory of Promoter of SEZ Ø Area of premises as per applicationØ Address of premises as per application Ø Lease Period (Minimum one year)Ø Check availability of Possession letter, If not, check for undertaking from

unit for submission on later dateØ Registered as per prevailing govt. norms.

CHECK LIST FOR WATER CONNECTION

Ø Area of Premises Ø Address of PremisesØ Date of commencement/tentative date of commencement of operationsØ Stamp & signature of authorized signatory of SEZ Promoter.

CHECK LIST FOR REGISTRATION-CUM-MEMBERSHIP CERTIFICATE

CHECK LIST FOR SMALL SCALE INDUSTRY APPROVAL

Ø Name and Address of SEZ UnitØ Name and Signature of Issuing AuthorityØ Items of Manufacture on the certificateØ Check for validity

CHECK LIST FOR REGISTRATION WITH CENTRAL POLLUTION CONTROL BOARD

ØName and signature of issuing authorityØItems of manufacturerØCheck for ValidityØCompliance, as on stipulated date in the certificate

CHECK LIST FOR BUILDING APPROVAL PLAN

Ø Demarcation of areaØ Name and Signature of issuing AuthorityØ Number of floor/Built up areaØ Check for validity of the approval plan

CHECK LIST FOR SALES TAX REGISTRATION

Ø Name and address of unit on the certificateØ Area of operation on the certificateØ Date of registration Ø Registration No.Ø Validity Ø Name and signature of the issuing authority

CHECK LIST FOR APPROVAL FROM INSPECTORATE OF FACTORIES

Ø Name and Address of SEZ unit Ø Name and Signature of Issuing AuthorityØ Items of Manufacturer on the certificateØ Validity

CHECK LIST FOR DEMAND DRAFT/BANK CHALAN

Demand draft of Rs.5000 in favor of Pay & Accounts Officer of the concerned SEZ as notified.

Amount in Rupees and WordsAvailability of Signature of issuing authority with stampMICR code at the bottom of Demand draftValidity of Demand DraftName and Address of the proposed units on the reverse.

CHALAN:

Rs.5000 in favor of Pay & Accounts Officer of the concerned SEZ as notified. Amount in Rupees and Words

Availability of Signature of issuing authority with stampName and Address of the proposed units on the reverse.

CHECK LIST FOR PROJECT REPORT

Ø Introduction /Company BackgroundØ Background of the Promoters & Key personnelØ Aim of the ProjectØ Development area/Area of Expertise

vIT/ITESØ Project Cost Ø Means of FinanceØ Projected Income & Expenditure Ø Projected Export Performance for 5 years (In case of new company)Ø Export Performance for last 3 years (In case Existing company)Ø Export orders in Hand/pipeline

vContract signed by both the partiesvProject DescriptionvPayment detailsvValidity of Contract

CHECK LIST FOR MEMORANDUM OF ASSOCIATION/ARTICLE (FOR LIMITED/PVT. LIMITED COMPANY)

Ø Computer Software/IT/IT Enabled Service is included in item of manufacture.Ø Authorized Share Capital mentioned in MoA is same as mentioned in Application

Form. Ø List of Director is as per the Form 32, issued by Registrar of Companies. Ø Form 1A/Certificate of incorporation duly signed by Competent Authority.Ø Form “18” indicating Registered Office, Police Station under whose Jurisdiction

the registered Office of the company is situated.

CHECK LIST FOR PARTNERSHIP DEED (FOR PARTNERSHIP FIRMS ONLY)

Ø Partnership Deed on Non Judicial Stamp Paper of Rs.100/-Ø Non-Judicial Stamp Paper issued in favor of Partners from

Jurisdictional StateØ Name, residential address and Signature of Partners in Ø Partnership Deed as per the list of Partners in Application FormØ Partnership Deed is notarized by Notary Public

AREA OF OPERATION/EXPERTISE PROPOSED TO BE TAKEN UP

Ø Check for letter for area of operation/expertise as stated in MoA.

CHECK LIST FOR BOARD RESOLUTION

Ø Name(s) of Director as per the List of Director in Form 32 and MoAØ Names of Directors as per the list of Director in application formØ Name(s) of the authorized person mentioned in the Board resolutions copy is

same as per the names in the application form.

CHECK LIST FOR LIST OF BOARD OF DIRECTORS/PROP/PARTNERS

Ø Name of the DirectorsØ DesignationØ Father’s/Husband’s NameØ Nationality Ø Date of BirthØ Telephone/Mobile No.Ø PAN No. (Copy)Ø Passport No. (Copy)Ø Residential Address & ProofØ Passport size PhotographØ QualificationØ Profile/ExperienceØ Income Tax Return of last two years Ø Last 3 Years Balance Sheet, in Case of existing companyØ Income Tax Return of last two years in case of partner/proprietary ship firm

CHECK LIST FOR BANK ACCOUNT/BANKER CERTIFICATECHECK LIST FOR BANK ACCOUNT/BANKER CERTIFICATE

Ø Type of Bank account i.e. Saving/Current Ø Availability of Branch and Account No. Ø Availability of signature and Stamp of Banker, if Bank Certificate is submitted Ø Bank Certificate is on the Letter Head of the Bank with Local Address Ø Validity, in case of any Guarantee

CHECK LIST FOR PAN NO.

Ø Availability of Photograph of Authorized Person on PAN Card, if Partner ship firm or proprietary firm.

Ø Availability of PAN Number on CardØ Availability of Signature of Income Tax Department

CHECK LIST FOR BALANCE SHEET/INCOME TAX RETURN

FOR EXISTING COMPANY

Ø Availability of last three years balance sheetØ Availability of annual statement of accounts duly signed by chartered accountant

and accepted by the authorized person of the company

FOR PARTNERSHIP/PROPRIETOR SHIP COMPANY

Ø Income tax statement of last 2 years filled in the jurisdictional region

CHECK LIST FOR PROPOSED LIST OF CAPITAL GOODS

Ø List of Imported CG Ø List of Indigenous CGØ Value as per application form

Receipt of Application Form

Scrutinzeas per

check list

Return the Application for1. Changes2. Documents

Receipt of Application Form

Inward the application form

Acknowledge No. & Date

Process Application

Print •Case Sheet•Export Obligation Sheet

Put up to UAC for recommendations

Put up to Dev. commissioner

For approval

Issue Letter of Approval to the unitCopy to Developer and A.O

Office Copy

Get acknowledgementfor receipt with Date

Flow Chart for application Processing for setting up unit in SEZ

Y

N

Y

Return to SEZ Staff changes or documents

Refer separate slide for issue of

Bond-cum-Legal Undertaking

N

Y

RULE 22: FORM ‘H’CHECK LIST FOR BOND-CUM-LEGAL UNDERTAKING

Ø Bond-cum-Legal Undertaking on Rs.100 non judicial stamp paper in the prescribed format ‘H’

Ø Non judicial Stamp Paper issued within State wherein the SEZ unit is locatedØ Bond cum Legal Undertaking is notarized by Notary Public Registered in the

State.Ø Bond Cum Legal Undertaking is equal to effective duty leviable on the

projected requirement of imported and indigenous capital Goods etc. Ø Location and address of SEZ unit as mentioned in Letter of ApprovalØ Copy of the LoA issued to the unit

Ø Number and Date of issue of LoA/Extension of validity.

CHECK LIST FOR BOARD RESOLUTION

ØØ Name and specimen signature of authorized person attested by theName and specimen signature of authorized person attested by the Director authorized by Director authorized by

BoardBoard

Receipt of Bond-cum-Legal Undertaking

Scrutinzeas per

check list

Return the request for1. Changes2. Documents

Receipt of Application Form

Inward the Request for

Acknowledge No. & Date

Process Bond-cum-LUT

Print Proposal

Put up to D.C and SO

forAcceptance

of BondReturn to Processor/SEZ Staff For suitable changes/ clarification

Keep the original in Safe Custody of DC/DirectorIssue attested copy to SEZ Unit &

Customs Authority deployed at SEZOffice Copy as per Procedure

Copy for MIS Division for their records

Get acknowledgementfor receipt with Date in Standard Format

Flow Chart for acceptance of Bond-cum-Legal Undertaking with SEZ unit

YN

Y

N

EXPANSION OF OPERATION AREA OF SEZ UNIT

Ø A Request from the unit stating reasonsØ Copy of lease agreement/Sale deed for expanded areaØ Projects in hand and export order received, if any.

CHECK LIST FOR LEASE AGREEMENT

Ø Lease Period (minimum of one year)Ø Registration of Lease Agreement as prevailing govt. normsØ Demarcation of Area & Address of premises

CHECK LIST FOR PROJECTS

Ø Projects in Hand and export order received, if anyØ Period of ContractØ Projected income

Receipt of Request

Scrutinzeas per

check list

Return the Application for1. Changes2. Documents

Inward the request Acknowledge No. & Date

Process request

Print Proposal

Put up to D.C for approval

Return to SEZ Staff for changes or documemts

After approval issue letter to the SEZ unitCopy to Promoter

Copy to Customs Authority deployed at SEZ MIS Group for incorporation in records

Office copy in concerned file

Get acknowledgementfor receipt with Date in Standard Format

Flow Chart for Expansion of Operation Area

Y

N

Y

N

CHECKLIST FOR SOFTEX FORMS

Ø Softex Forms in Triplicate duly filled in and signed by authorised signatoryØ Valid Number and Calender year on softex forms Ø Period/Month of softexØ Authorized Dealer Name, Address and Code No.Ø IEC Code reflecting PAN/BIN No.

CHECKLIST FOR CONTRACT

Ø Name and Address of STP Member and Foreign ClientØ Signature with date of both the parties on contractØ Description of the project Ø Validity Period of the contractØ Payment TermsØ Royalty and Discount terms

CHECK LIST FOR INVOICE

Ø Invoice No., Date and Value

Ø Name of foreign ClientØ Date/Period of services/export

Ø Description of Item/Services as per the contract

Ø Validity

CHECK LIST FOR DATACOM CONNECTIVITY COPY

Ø Name of Datacom Service ProviderØ Type of LinkØ Name of unit using Services Ø Date and period of ServicesØ Validity

Receipt of Softex Form

Scrutinzeas per

check list

Return the Application for1. Changes2. Documents

Receipt of Application Form

Inward the Form Acknowledge No. & Date

Process Form

Put up D.C for approvalReturn to

SEZ Staff forchanges or documents

After attestation send Original copy to Exchange Control/RBI

Duplicate Copy to SEX Member UnitTriplicate copy in concerned file in Office

Get acknowledgementfor receipt with Date in Standard Format

Flow Chart for Attestation of Softex Forms Form in SEZ

YN

Y

N

CHANGE OF NAME

DOCUMENTSØ A Request from the unit stating reasonsØ Copy of Memorandum of Association/ArticlesØ Board Resolution Ø Certificate/Letter from Registrar of Companies (RoC) issued to the Unit for

change of Unit name in their records.

VERIFICATION POINTS IN DOCUMENTS

Ø Verify the letter issued by RoC for change of Name of Unit reflecting earlier name of the unit

Ø Verify that no other changes has taken place throught the letter issued by RoC.Ø Board Resolution is signed by the Director/Authorised person as per MoA/Form

32 issued by RoC and Records of DC/Director.Ø Verify the records from unit file in office

Receipt of Request

Scrutinzeas per

check list

Return the Application for1. Changes2. Documents

Receipt of Application Form

Inward the request Acknowledge No. & Date

Process request

Print Proposal

Put up D.C for approval

Return to Processor/SEZ Staff For suitable changes/ clarification

After approval issue letter to the SEZ unitCopy to Promoter

Copy to Customs Authority deployed at SEZ MIS Group for incorporation in records

Office copy in concerned file

Get acknowledgementfor receipt with Date in Standard Format

Flow Chart for Change of name

Y

N