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DGFT Hand Book of Procedures Forms & Appendix (wef 27/08/2009) ANF 3E

ANF 3E
For Status Holders Incentive Scrip
(Kindly see Para 3.16 of FTP and Para 3.10 of HBPv1, as amended)

April-March period
(2009-10/2010-11)

1. IEC Number
2. Applicant Details
i. Name
ii. Address
3. RCMC Details
i. RCMC Number	ii. Date of Issue
iii. Issuing Authority	iv. Valid upto
v. Products for which registered
4. Status Details
i. Status Number	ii. Effective Date of Status Certificate and Validity:
iii. Issuing Authority	iv. Date of issue:
Note: Applicant shall have a Status Certificate valid for the relevant year 2009-10 / 2010-11 of export, as the case may be.
5 (i) Licensing Year (AM10/AM11/): (ii) Period of Application: Apr-Mar ______Period (i.e. Apr–Mar2010 / Apr-Mar 2011) (iii) Date of Filing this Application:

6. Details of exports:

Sr. No	Particulars	FOB value # (as per Shipping Bill) Rs
i.	FOB Value of Exports of Leather Sector (excluding finished leather)
ii.	FOB Value of Exports of Textiles and Jute Sector
iii.	FOB Value of Exports of Handicrafts Sector
iv.	FOB Value of Exports of Engineering Sector (excluding Iron & Steel, Nonferrous Metals in primary or intermediate forms, Automobiles & two wheelers, nuclear reactors & parts and Ships, Boats and Floating Structures)
v.	FOB Value of Exports of Plastics Sector
vi.	FOB Value of Exports Basic Chemicals (excluding Pharma Products) Sector.
vii.	Total FOB Value of Exports (Sum of Sr. No. 1 to Sr. No. 6)
viii.	Entitlement (1% of FOB value as in Sr. No 7 above)
ix.	Late Cut (if any)
x.	Duty Credit Scrip granted under Para 3.16 to be filled in by RA Concerned
#Note: FOB Value includes upto12.5% Foreign Agency Commission

7. Number of Split Certificates required (in multiples of Rs 5 lakhs each):

8. Port of Registration (for the purpose of imports)**:

(* All shipment included in a particular year shall be determined from the Date of exports as defined in Para 9.12 of HBPv1.)

(**The port of registration shall be one of the ports from which the exports have been made.)

8. Application Submission Details (in case of electronically submitted applications)
i. ECOM Reference Number	iv. File Number
ii. Date of Submission on Server	v. Date of Issue
iii. Submitted to which Regional Authority, New Delhi
Note: Till EDI Software for the Scheme is made operational, RA will accept and process the claim manually.

DECLARATION / UNDERTAKING

1. I hereby declare that particulars and statements made in this application are true and correct and nothing has been concealed or held therefrom. I fully understand that any information furnished in application if found incorrect or false will render my firm / company and me liable for any penal action or other consequences as may be prescribed in law or otherwise warranted.

2. I hereby certify that none of Proprietor/ Partner(s) / Director(s) / Karta / Trustee of firm / company, as the case may be, is a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / company which has come to adverse notice of DGFT. Consequentially, I further declare that under Foreign Trade (Development and Regulation) Act (FT (D&R) Act) 1992, my firm / company have not been debarred in person from undertaking any export import business or activity by way of suspension or cancellation of IEC number. [If so debarred under FT (D&R) Act, details of said order and period for which the same is operational may be provided].

3. I hereby certify that my firm / company has not defaulted from export obligation under any provisions of FTP and has not been placed under the Denied Entity List (DEL). [If under DEL List, kindly furnish details of order, current status etc.]

4. I hereby declare that details of exports of goods of my firm / company are true and correct and in accordance with accounts maintained in my firm / company.

5. I hereby declare that in terms of First Para 3.17.10 of FTP, this application does not contain any exports for which the realization of export proceeds not been received directly from overseas in my name.

6. I hereby declare that in terms of Para 3.16.2 of FTP, I have not availed the benefits under the Technology Upgradation Fund Scheme (TUFS) of Ministry of Textiles during this particular year, exports of which are being claimed for Status Holders Incentive Scrip Scheme of Para 3.16 of FTP.

7. I hereby declare that in terms of Para 5.1A of HBPv1, I will abide by provision of fourth sub-para in this paragraph.

8. I hereby declare that export product for which the duty credit scrip benefit is being claimed does not contain any shipment (as per Para 3.17.2 of FTP) from the following ineligible export categories / sectors:

9. I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.9 of FTP.

Place: ____________	Signature: __________________________
Date: _____________	Name: _____________________________
Documents to be submitted	Designation: ________________________
1. CA certificate as per Annexure 2. Copy of Updated Profile in ANF 1 only if any changes have taken place and updated,	Official Address: _____________________ ___________________________________
3. Copy of Status Certificate valid for the relevant export year for which this application pretains to. 4. Copy of Valid RCMC.	Residential Address: __________________ ___________________________________
	Telephone: _________________________
Note: Each individual page of application has to be signed.	Email Address: ______________________

CA Certificate - Annexure to ANF3E

For Status Holders Incentive Scrip(SHIS)
(Kindly see Para 3.16 of FTP and Para 3.10 of HBPv1)

CERTIFICATE OF CHARTERED ACCOUNTANT (CA)/ COST AND WORKS ACCOUNTANT (ICWA)/ COMPANY SECRETARY (CS)

I / We hereby confirm that I / We have examined prescribed registers and also relevant records of M/s ....... .............……………………………………………having IEC Number ……………………... for exports during April-March 2009-10 / 2010-11 period(s) (Tick the relevant period) and hereby certify that:

1. Following documents / records have been furnished by applicant firm / company and have been examined and verified by me / us namely: -

a. Statutory documentations under Customs Act 1962, Foreign Trade (Development & Regulation) Act 1992;

b. Shipping Bills, Customs Attested Invoices and connected books of accounts;

2. Information given by applicant firm / company in ANF3E for claiming Status Holders Incentive Scrip (Para 3.16 of FTP) is in agreement with FTP 2009-14, as amended, and rules and procedures made thereunder, relevant register and records and books of accounts maintained by M/s ......... ..…………………... and is also true and correct.

3. It has been ensured that

a. Information furnished is true and correct in all respects; no part of it is false or misleading and no relevant information has been concealed or withheld;

b. In respect of export of goods, a shipment can counted in applicants export turnover only if the realization of export proceeds from overseas is in the applicant’s bank account. Thus, exporter cannot disclaim the shipment to his supporting manufacture, for the purpose of SHIS scheme.

4. Neither I, nor any of my / our partners is a partner, director, or an employee of above-named entity, its Group companies or its associated concerns.

5. I / We further certify that export proceeds for shipments during last year plus current are not outstanding beyond prescribed period as permitted by RBI.

6. I / We further certify that Statement of Exports as given in Annexure 1 to this certificate is correct.

7. I / We fully understand that any statement made in this certificate, if proved incorrect or false, will render me / us liable to face any penal action or other consequences as may be prescribed in law or otherwise warranted.

Place: ______________	Signature of CA/ ICWA / CS:_______________________
Date: _______________	Name of the Signatory: ______________________
	Address: _________________________________ _________________________________________
	Membership No: ___________________________
	Email Address: _________________________________
If any of documents of record mentioned in serial number (i) have not been maintained / furnished, examined or verified, they may please be specified below:- 1) 2)

CA Certificate (contd/-) ANF3E
Annexure 1 to CA certificate (ANF3E)

Statement of Exports
Sr. No	Particulars	FOB value (as per Shipping Bill) Rs
1	FOB Value of Exports of Leather Sector (excluding finished leather) Details as per Statement 1 - Shipping Bill Wise Statement
2	FOB Value of Exports of Textiles and Jute Sector Details as per Statement 2 - Shipping Bill Wise Statement
3	FOB Value of Exports of Handicrafts Details as per Statement 3 - Shipping Bill Wise Statement
4	FOB Value of Exports of Engineering Sector (excluding Iron & Steel, Nonferrous Metals in primary or intermediate forms, Automobiles & two wheelers, nuclear reactors & parts and Ships, Boats and Floating Structures) Details as per Statement 4 - Shipping Bill Wise Statement
5	FOB Value of Exports of Plastics Details as per Statement 5 - Shipping Bill Wise Statement
6	FOB Value of Exports Basic Chemicals (excluding Pharma Products). Details as per Statement 6 - Shipping Bill Wise Statement
7	Total FOB Value of Exports (Sum of Sr. No. 1 to Sr. No. 6)
Note: This statement of exports should also be countersigned by the applicant. FOB Value includes upto12.5% Foreign Agency Commission.

Place: ______________	Signature of Applicant:_______________________
Date: _______________	Name of the Signatory: ______________________ Address: _________________________________ _________________________________________ Email Address: _________________________________

Place: ______________	Signature of CA/ ICWA / CS:_______________________
Date: _______________	Name of the Signatory: ______________________ Address: _________________________________ _________________________________________ Membership No: ___________________________ Email Address: _________________________________

CA Certificate (contd/-) ANF3E

Shipping Bill Wise Statement(s)
Statement No.....
Sector Name:

Statement of Exports of products covered under each of the 6 sectors in Para 3.16.4 of FTP

(Total 6 such statement if the Status Holder exporter has exports in all the 6 sectors)

Sr. No.	Shipping Bill No and Date	Description and ITC HS Code	Date of Export (Para 9.12 of HBPv1)	FOB Value (as per Shipping Bill) Rs.
1
2
..
..



Total (Rs)
Note: This statement of exports should also be countersigned by the applicant. FOB Value includes upto12.5% Foreign Agency Commission.

Place: ______________	Signature of Applicant:_______________________
Date: _______________	Name of the Signatory: ______________________ Address: _________________________________ _________________________________________ Email Address: _________________________________

Place: ______________	Signature of CA/ ICWA / CS:_______________________
Date: _______________	Name of the Signatory: ______________________ Address: _________________________________ _________________________________________ Membership No: ___________________________ Email Address: _________________________________

(Above ANF 3E NOTIFIED vide PN. NO. 54/2009, DT. 08/04/2010)

Note 1: In cases where the application is filed before realization of export proceeds, Declaration No. 5 of ANF3E does not apply. However, the monitoring of realization of export proceed shall be carried out in terms of Paras 3.11.12 & 3.11.13 of HBPv1.

(Above NOTE 1 has been added vide PN. NO. 85/2009, DT. 23/07/2010)

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