Guidelines and Application format for Incentive Scheme of Reimbursement of Acquiring Quality Management System (QMS) ISO-9000 Environment Management System (EMS) ISO-14001 Certification, HACCP Certification.

The Incentive Scheme:

The Govt. of India has been operating an Incentive Scheme of reimbursement of reimbursement of expenses of acquiring Quality Management System (QMS) ISIO-9000 certification in the Small Scale Sector to the extent of 75% of the amount limited to Rs. 75,000/- to each unit.  The scope of this scheme now has been extended to provide reimbursement of expenses of acquiring EMS-ISO 14001 Certificate and HACCP Certification.

The Salient features of the Scheme are as under:

i.         The Scheme envisages reimbursement of charges of acquiring ISO-9000/ISO-14001 certifications to the extent of 75% of the expenditure subject to a maximum of rs. 75,000/- in each case. 

ii.         The permanent Registered Small Scale/Ancillary/Tiny/Small Scale Service Business Enterprises (SSSBE) units are eligible to avail the Incentive Scheme.

iii.        The Scheme is applicable to those SSI/Ancillary/Tiny/SSSBE units who have already acquired ISO-9000/ISO-14001 certification.

iv.        It is an all India Scheme administered by Development Commissioner (MSME), Ministry of MSME, Govt. of India.  With effect from 30.08.2006 procedure of the Screening Committee to decide the reimbursement has been discontinued and the Screening Committee has been dismantled to reduce delay in the sanctioning of reimbursement to the applicants.  The Industrial Adviser Co-coordinating this Scheme, has been delegated with powers to sanction the reimbursement as per the present provisions for reimbursement.

v.          The Scheme shall provide one time reimbursement only against a Permanent SSI registration Certificate and Entrepreneurs Memorandum (EM) no.  The amount of incentive/subsidy/grant already availed for acquiring ISO-9000 or ISO-14001 Certification under any Central Govt. (including DC (MSME) Incentive Scheme)/State Govt./Financial Institution shall be adjusted against the entitled of reimbursement.

It means the total entitlement of reimbursement of acquiring one or more than on certification shall be up to the maximum limit of Rs. 75,000/- only.  In case a unit has received reimbursement/subsidy/grant from Central Govt./State Govt./Financial Institution against any one of the certification for an amount less than maximum limit of Rs. 75,000/-, the unit shall be eligible to receive the balance amount only.

 vi.                 (a) Only one time reimbursement is allowed against a Permanent SSI registration for acquiring ISO-9000/ISO-14001 certification; irrespective of the fact whether the concerned SSI has one or more than one Unit(s) within the same premises/location or outside.

(b) In case an ISO-9000/ISO-14001 certificate is obtained jointly by Micro & Small units (even having a separate Permanent SSI registration certificates) under the corporate/group of Industries category, the total reimbursement shall be limited to 75% of the total expenditure incurred by the concerned units or Rs. 75,000/- which is less; and each SSI unit shall get the amount on pro-rata basis.

vii.       The scheme contemplates norms of reimbursement as under:
Payment made to certification Agency (excluding=   Full Amount
travel & hotel Expenses & surveillance charges)
Payments made towards (i) Consultancy;

                  (ii) Training; and (iii) calibration                               =          Up to Rs. 30,000/-
                                                                                                (Rupees thirty thousand only)
                       The entitlement of reimbursement = 75% (a) full Amount + (b) Up to
                       Rs. 30,000/-) up to Rs. 75,000/-.

Application and Documents Required with the Application:

The Formats of the application and the required documents together with “Check List” are enclosed.  Permanently registered SSI units are required to submit their Application duly completed (with enclosures) addressed to the Director, SISI, Nagpur at the following address:

            The Director,
            MSME-Development Institute (MSME-DI).,
            C.G.O. Complex, Block ‘C’,
            Seminary Hills,
            Nagpur – 440 006 (M.S.)

Application complete in all respects alongwith the required documents shall enable reimbursement expeditiously.

For any further guidance/details, the enquiries may be sent at the above address.
Application Format & its Enclosures can be downloaded from this Website as well as from the Director SISI, Nagpur.
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“With effect from 1^st April, 2007, MSME-Development Institute (MSME-DI).,  Nagpur will accept/process only such ISO Certificates for reimbursement, which are issued by the Certification bodies falling with the criteria appearing at Annexure “A”.

Annexure “A”

  Criteria for approving ISO 9000 and 14000 Certification Bodies for reimbursement of certification expenses to SSI units.

1.         Certification Bodies accredited by NABCB, India would be directly approved The CB should submit a copy of the annual surveillance audit report of the AB.  In case certificates other than NABCB accredited certificates are issued by the CB then the CB shall comply to criteria 2,3, 0r 4, as applicable.

2.                  Indian CBs accredited directly by foreign Accreditation Bodies and operating only from Indian location should

            a.       Hold an accreditation from any IAF MLA member for the Indian location
            b.      Should submit a copy of the annual surveillance audit report of the AB.

       3 & 4.  The foreign certification body that operates through a branch office, and
                  franchisee under legal agreement and the franchisee does not hold 
                 accreditation from any IAF MLA member in its own name, then the following
                 evidence should be provided.

a.       It is legal entity in India.

b.  A formal contract with the parent body including the applicability of Indian laws under the jurisdiction of Indian Courts of the parent body towards any liability arising out of certification process of the Indian organization.

c.  Should submit a copy of the annual surveillance audit report of the AB conducted at the Indian location.  Alternatively, if the AB has no plants to conduct annual surveillance audit at the Indian location, the branch/franchisee should get an office and witness audit done by NABCB assessors on cost basis.

5.       Individuals/organizations acting as a representative of a foreign CB under a  legal agreement and not using the name of the CB should not be considered for subsidy, as there is no evidence of the foreign CB being committed to their certification business in India.

Notes:

i)          Over a period of 18-254 months, CBs listed at serial No. 2,3, & 4 should get themselves accredited by NABCB.

ii)          Quality Council of India and NABCB are authorized by the SSI department to receive and scrutinize the annual surveillance audit reports/documents submitted by the CBs.

 For any further clarification on whether a certification body is meeting the criteria, the following officers may be contacted:

1.          Sh. V.S.KARUNAKARAN,
Indl. Advisor (Anc.)
(Tel: 23061726)

Shri S.Asthana, Dy.Director(Electx.)
(Tel. 23019561)
Office of DC (MSME)
Nirman Bhavan,
New Delhi-110 011.

2.         Sh. Giridhar J. Giani,
Secy. Genl. (Tel: 23379321)

Sh.B.Venkataram
Director (NABCB)(Tel: 23379321)
Quality Council of India (QCI)
Institution of Engineers Bldg, 2^nd Floor,
Bahadur Shah Zafar Marg,
New Delhi-110 002.

3.         Shri P.M.Parlewar,
DY. Director (I/C), (Tel. 2510046)
MSME-Development Institute (MSME-DI).,
Govt. of India, Ministry of MSME,
CGO complex, Block ‘C’,
Seminary Hills,
Nagpur – 440 006  

Application Format for Claiming Reimbursement of Certification charges of acquiring ISO-9000/ISO-14001 Certificate under the Incentive Scheme of 0/o Development Commissioner (MSME), M/o. Micro, Small and Medium Enterprises, Nirman Bhawan, New Delhi – 110 011.

………………

Declaration:

I (Full name) ______________________ S/o of __________________ Managing Director/Director/Proprietor/Partner of M/s. ______________________  _____________________________________(complete address) hereby declare that the particulars given in the application are correct.  In case any of the statement/information furnished in the application/documents later found to be wrong or incorrect or misleading, I do hereby bind myself and my unit to pay to the Govt. on demand the full amount received as reimbursement in respect of above mentioned activity, within seven days of the demand being made to me in writing.

                                                                        Name & Signature of Managing Director/
                                                            Director/Proprietor/Partner of SSI unit.
                                                                        (Full Name)

            Note:   The copy of SSI Registration, ISO-Certification must be attested by any one of the followings:

(1)   GM (DIC) or (2) Director, SISI of the Region or (3) Chartered Accountant (with name of the signatory, CA stamp, and CA Membership No.)

Annexure ‘I’

CERTIFICATE 

            This is to certify that M/s. ___________________________ with their office at ________________ & factory located at __________________ with Permanent SSI registration No._______ dated ____ is an SSI/Tiny/SSSBE unit as per Govt. of India definition and has been functional & in production at the time of acquiring ISO-9000/ISO-14001 Certification No._________ dated ____ and also continues to be functional & in production as on date.

Dated                                                                           Director of Industries/GM(DIC)

                                                                                    Name & Rubber Seal

                                                                   Annexure “II”

                                                                     AFFIDAVIT**

I, ____________________________ S/o _______________________ Managing Director/Director/Proprietor/Partner,* M/s. _________________________________ with their Regd. Office at ____________________________ & Factory located at _____________________________________ with Permanent SSI Registration No._____________________ dated _____________ do hereby solemnly affirm and declare as under:

i.                     The Company/Firm/Establishment has been SSI/Ancillary/Tiny/SSSBE* unit as per the Govt. of India definition; and has been functional & in production at the time of acquiring ISO-9000/ISO-14001* certification No. _________________________________ dated __________________.

ii.                   The Company/Firm/Establishment continues to be a SSI/Ancillary/Tiny

/SSSBE unit; and functional & in production as on date.

iii.                  As per books of account, the total investment (original purchase value) in plant and machinery in the Company/Firm/Establishment as on _________________ is Rs. _______________________ (Chartered Accountant Certificate dated ___________ to this effect is attached).

Signed on this day of _________________ dt. _______________

DEPONENT

VERIFICATION:

I do solemnly affirm that the contents of the Affidavit are true to the best of my knowledge and belief.

DEPONENT

Date:

Place:

(Note)* Strike out whichever is not applicable.

**On a stamp paper ( of Rs. 10/- min) in Delhi/amount as applicable in the respective State duly sworn before a Notary Public (duly affixed with Notarial Stamp; and with Notary Seal; and Notary Registration number) or First Class Magistrate.

Annexure “III”

 Certificate from Chartered Accountant about investment in Plant & Machinery (on C.A. Letter Head)

To Whom It May Concern:

             Verified from the Books of Account of M/s. ________________ with their Regd. Office at __________________ and Factory located at ______________ and Permanent SSI Registration No. ______________________ dt. ________________ that the total investment in plant and machinery (original purchase value) of the company as on date* _________________ stands as Rs. ________ (Rupees _______________)

Name & Signature of the Chartered Accountant with stamp and Membership number.

Place:

Date:

* Date of Application or 31^st March of preceding financial year.

Annexure ‘IV’

Certificate from Chartered Accountant is respect of Proof of Expenditure incurred for acquiring ISO-9000/ISO-14001

(on a C.A. Letter Head)

 To Whom It May Concern

This documents & records of M/s. __________________________________ with their Regd. Office at ______________________________________ and factory located at ____________________________ and Permanent SSI Registration no. ____________________________ dated ________________________)

In respect of the expenditure incurred by them in acquiring ISO-9000/ISO-14001 Certificate (or its equivalent) have been verified; and it is certified that the said company have incurred a total expenditure of Rs. _____________ ( Rupees_______________________________________________) towards; Application fee; Assessment/Audit fee; Annual fee/License fee; Training; Calibration; and Technical Consultancy etc. (excluding hotel & travel expenses & Surveillance charges) in obtaining ISO-9000/14001 from the Certification Agency namely __________________________________; as per the following details payments:

Details of payments (Name of Certification Agency/Orgn.)                         Amount paid (in Rupees)

* a)         Application fee paid to ________________

* b)         Assessment/Audit fee paid to ______________

*c)          Annual fee/license fee paid to _______________

d)            Calibration charges paid to _______________

*e)          Technical consultancy charges paid to ___________

f)             Training expenses paid to ________________

                                           Total ________________

Place:      ___________     

                                                                                                                (Signature of the Chartered Accountant with

                                                                                        Name CA Stamp & CA Membership Number)

Date:       _____________

*Payments at (a), (b) & (c) above should be supported by copies of receipts of payments made to the Certification agency duly attested.  The payment receipts must indicate the purpose for which the payments have been made to the Certification Agency.

*Reimbursement for consultation fee will be made only if the consultants are from any one of the following:-

• Consultants registered with National Registration Board for personal and Training (NRBPT)
• TQM Division of Textile Committee
• National Productivity Council (NPC)
• Consultancy Development Centre (CDC)
• MSME-Development Institute (MSME-DI).s &
• CII/FICCI/ASSOCHAM

The unit must forward their application with a copy of the receipts from the consultants for the fees received by them from the units duly attested.

Note: Payment made to the Certification Agency directly shall only be eligible for consideration of reimbursement. 

  Annexure ‘V’

To be submitted by the Applicant on a Non-judicial stamp paper of Rs. 50/- (Min) in Delhi/amount as applicable in the respective State duly sworn before a Notary Public (duly affixed with Notarial Stamp; and with Notary Seal & Notary Registration number) or First Class Magistrate.

UNDERTAKING/DECLARATION

I, _______________ s/o ________________ Managing Director/Director/Proprietor/Partner, M/s. _____________ with Regd. Office at ________________ & factory located at _____________ and with Permanent SSI Registration No. __________ dated _______ do hereby solemnly affirm and declare as under:

(a) (i) That the aforesaid Company/Firm/Establishment(s) have not availed reimbursement/subsidy/grant/incentive for acquiring.  ISO-9000/ISO-14001 Certification under any Scheme operated by Central Govt. (including 0/o DC(SSI), M/o. SSI)/State Govt./Financial Institution etc.

OR

(a) (ii) That the aforesaid Company/Firm/Establishment(s) have claimed & received reimbursement/subsidy/grant/incentive for acquiring ISO 9000/ISO-14001 Certification amounting to Rs. __ (Rupees ________ from ________ ( Name of the Central Govt./State Govt. Deptt./Financial Institution vide draft/cheque no. ______dated _______________ of __________( Name of Bank).

(b) (i) That the aforesaid Company/firm/Establishment (s) have already applied to __________ Name of the Central Govt. (other than 0/o DC(SSI)/State Govt./Financial Institution) vide application dated _ for reimbursement/subsidy/grant/incentive for acquiring ISO-9000/ISO-14001 certification.

OR

(b) (ii) That the aforesaid Company/Firm/Establishment(s) have not applied to any Central Govt./State Govt./Financial Institution (except 0/o DC(MSME), Ministry of MSME), for reimbursement/subsidy/grant/incentive, for acquiring ISO-9000/ISO-14001 Certification.

(c)        That after availing reimbursement for ISO-9000/14001 Certification from office of DC (MSME), Ministry of MSME, in respect of the said Company/Firm/Establishment(s), I shall disclose this fact on behalf of the said Company/Firm/Establishment(s) at the time of claiming/receiving reimbursement/subsidy/grant/incentive, if any, under any other similar scheme run by Central Govt./State Govt./Financial Institutions etc.

(d)        I hereby solemnly affirm that the information given above is correct.  In case above declaration is found wrong or incorrect or misleading, I do hereby bind myself & my unit hand undertaken to pay to the Govt. on demand the full amount received as reimbursement in respect of above mentioned activity, within seven days of the demand being made to be in writing.

Partner/Proprietor/Managing Director/Director

In the presence of :

1.         (Full Name and addresses of the two witnesses also to be indicated along with signatures)

Note:   The factual status as on date under the respective paras at 9a); (b) & (c) above must be clearly indicated.

Annexure ‘VI’

Name of the Industry: _______________________

Address: _____________________

Phone No. _______________________

PRE-RECEIPT (in Triplicate)

Received a sum of Rs. _ (Rupees ______________________) from the Development Commissioner (MSME), towards the reimbursement of expenses incurred for obtaining International Quality Certification ISO-9001/ISIO-14001.

Rubber Stamp of the Unit

*Signature of the Authorized Person (on Revenue Stamp)

(B) FOR OFFICE USE ONLY

Passed for the payment for Rs. _____________ (Rupees __________________) vide sanction No. __________________ dated ________.

Asstt. Director

Office of the Development Commissioner (MSME)

Nirman Bhawan, New Delhi – 110 011.

Note: Please read the instructions on pre-page carefully before filling this annexure VI i.e. Pre-receipt.

INSTRUCTIONS

Note: Please follow the following instructions while preparing this Annexure VI giving in next page.

1.         Please ensure you prepare the Annexure VI in A-4 size paper only.

2.         Please ensure you give Annexure VI in triplicate.

3.         Please type the name of your industry, full address and telephone numbers as indicated in the sample format, in the portion marked A.

4.        Please do not fill in the amount in the pre-receipt.  Leave the portion blank.  The office of DC(SSI) will fill it up after calculating the amount due to you.

5.        Please ensure the authorized person of your unit signs at the places indicates for signatures of the authorized person on revenue stamp.

6.        Please type portion ‘B’ yourself in the a-4 size paper as indicated in the format.

7.        Office of the DC(SSI) will fill up the amount and the sanction no. in the spaces provided for the same.

8.        The Assistant Director concerned will sign at the place earmarked for his signature.

Annexure ‘VIII’

Check list of documents to be annexed along with the Application for claiming reimbursement of expenses of ISO-9000/14001 certification.

1. Copy of Permanent SSI Registration duly attested (each page of the Registration Certificate duly attested) by General Manger, District Industries Centre (DIC) or State Director of Industries or Director, MSME-Development Institute (MSME-DI). (SISI) or Chartered Accountant (Name, Signature, Membership number; and seal)
2. Letter (in original) from General Manger, District Industries Centre, (DIC) or Director of Industries confirming SSI status and functional status of the unit at the time of acquiring ISO-9000/14001 as per Format at Annexure-I.

Or

3. An affidavit (in original) on a non judicial stamp paper of rs. 10 (Min.) in Delhi/Amount as applicable in the respective State) duly sworn before a Notary Public as per Annexure ‘II’ (with Notary Seal, Notarial Stamp & Notary Registration no. and Chartered Account’s Certificate of investment in Plant and Machinery as per Annexure ‘III’.
4. Copy of ISO-9000/ISO-14001 Certificate duly attested by General Manager, District Industries Centre (DIC) or State Director of Industries or Director, MSME-Development Institute (MSME-DI). (SISI) or Chartered Accountant (Name, Signature, Membership number and seal).

The Certificate must have address of site/location certified, scope of certification, certificate no., date of issues & period of validity (or date of expiry), name and logo & number of the Accreditation body/Board.

5. Chartered Accountant’s certificate of the details of the Expenses incurred by the unit in acquiring ISO-9000/ISO-14001 certificate in Annexure’ IV’.  The payments made to the certification agency must be supported by copies receipts duly attested(The payments Directly made to the certification agency shall only be eligible for reimbursement)
6. Undertaking/Declaration of the Incentive/grant/subsidy already received, if any, in Annexure’ on a non-judicial stamp paper of Rs. 50/- (Min) in Delhi/amount as applicable in the respective state. With witnesses name & their addresses & signatures, Notary seal, Notarial Stamp and Notary Registration nos.)
7. Pre-receipt in Triplicate on Company’s Letter Head with company’s Rubber stamp and affixed with Revenue Stamp in Annexure ‘VI’.

Any other documents annexed to be mentioned.