List of Documents Required for Renewal for AEO Certification

Annexure-A : APPLICATION FORM

1.  Name/Address of all location/site of applicant.

2.  Name/Designation/Email/Mobile/Fax/Phone of central point of contact person.

3.  PAN of the applicant.

4.  Major items /Country of Import/Export with Tariff Code.

5.  No. of BE/SB field during the Previous FY.

6.  Copy of MSME certificate (if any)

7.  Board resolution for authorized signatory.

Annexure – B SECURITY PLAN

1.  Procedural security.

2.  Document security.

3.  Physical security.

4.  Access controls.

5.  Personnel security.

6.  Training and skill up gradation.

7.  Compliance with other Government security related requirements, if any.

Annexure – C

PROCESS MAP

Process map for flow of goods/documentation/ information from receipt of order to the point of export/delivery/receipt of the product describing all the activities/ operations and role of the applicant and other business partners (e.g. CHA, Logistics provider etc.)

Annexure – D

SITE PLAN

Site plan with respect to all the sites of the entity describing (External perimeter/all access point/Lighting/Office/storage/CCTV/Container storage/Parking etc.)

Annexure- E.1

General Compliance

1.  Copy of AEO/ACP if any.

2.  Copy of all statutory registration (e.g. GST/IEC/Factory License/PAN)

3.  Certificate of incorporation (in case of company/LLP)/Partnership agreement

4.  Detail of Director/Company Secretory/Partner.

(Name/Father/PAN/DIN/Mobile/address)

5.  Details of Place/Location where goods are handled

6.  Cross Cheque/Bank statement.

7.  Details of minimum 25 Bills of entry or shipping bill for preceding FY.

8.  Details of conviction (if any)

Annexure-E.2

Legal Compliance

1.  Detail of infringement of Customs Laws (if any)

2.  Detail of SCN for removal of Excisable Goods (Fraud/Forgery/Clandestine removal) for

three FY.

3.  Detail of SCN of Service Tax collected from customers but not deposited to the

government

4.  Detail of prosecution launched (if any)

5.  Disputed duty/Disputed Drawback/Total Duty Paid/Total Drawback claimed for 3 FY.

6.  Notes on Internal control to identify and disclose any irregularities or errors to the

customs authorities and to take remedial action. (SOPS on Internal Control)

Annexure E.3 Managing commercial and (where appropriate) transport records

1.  Snapshot of record room where documentary file is stored.

2.  Organizational chart (if any)

3. SOPs of person handling license/authorization/ Data recovery policy/ Training to

employee for change in customs laws/Cargo handling/ IT security policy.

Annexure E.4

Financial Solvency

1.  Audited Balance sheet for 3 FY.

2.  Compliance certificate for filling of annual account with register of company for 3 FY.

3.  Solvency certificate issued by the Statutory Auditor in case of AEO- T3/LO otherwise

from Chartered Accountant.

4.  Declaration of solvency.

Annexure E.5

Safety and Security

1.  Security policy and procedure manual to preserve the integrity of the cargo.

2.  Procedures and manual on seals to be controlled and affixed to cargo and transport

conveyances.

3.  Notes on Documentation on clearing of cargo.

4.  Premises Security.

5.  Cargo Security:

6.  Conveyance Security

7.  Personnel security:

8.  Business Partner Security

9.  Security Training and Threat Awareness

AEO status

Applicability

Validity

Renewal before lapse of validity

AEO-T1

Granted only to an importer or to an exporter without physical verification of places/premises.

3 Year

30 days

AEO-T2

Granted only to an importer or to an exporter after physical verification of premises/places.

3 Year

60 days

AEO-T3

Granted to (i) an importer or to an exporter who continuously enjoyed the status of AEO-T2 for a period of two years preceding the date of application or (ii) The importer/exporter holding AEO-T2 certificate, and its other business partners namely importers or exporters, Logistics service providers, Custodians/Terminal operators, Customs Brokers and Warehouse operators are holders of AEO-T2or AEO-LO certificate or any other equivalent AEO certificate granted by a foreign Customs.

5Year

90 days

AEO-LO

Granted to economic operators other than importers and exporters, (e.g. Logistics Providers, Custodians or Terminal Operators, Customs Brokers ,Warehouse Operators) after physical verification of premises/places.

5 Year

90 days