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[Cites 13, Cited by 0]

Custom, Excise & Service Tax Tribunal

B N Thakkar &Amp Co vs Kandla on 4 June, 2020

     CUSTOMS, EXCISE & SERVICE TAX APPELLATE TRIBUNAL,
               WEST ZONAL BENCH : AHMEDABAD

                          REGIONAL BENCH - COURT NO. 3

                      CUSTOMS Appeal No. 12628 of 2019

[Arising out of Order-in-Original/Appeal No OIA-KND-CUSTM-000-COM-11-2019-20 dated
29.10.2019 passed by Commissioner of Customs, Kandla]

B N Thakkar & Company                                       .... Appellant
Plot No. 142, Sector 1/A, First Floor, Girish Complex,
Gandhidham, Kutch, Gujarat

                                           VERSUS

Commissioner of Customs, Kandla                             .... Respondent
Custom House, Near Balaji Temple,
Kandla, Gujarat

APPEARANCE :

Shri Chiranjeev Tandon, Advocate for the Appellant
Shri Vinod Lukose, Superintendent (AR) for the Respondent

CORAM: HON'BLE MR. RAMESH NAIR, MEMBER (JUDICIAL)
       HON'BLE MR. RAJU, MEMBER (TECHNICAL)

       FINAL ORDER NO. A/11103 / 2020

                                              DATE OF HEARING : 11.02.2020
                                              DATE OF DECISION : 04.06.2020


RAJU :

       This appeal has been filed by M/s. BN Thakkar & Company against

revocation of Customs Broker License for future on security deposit and

imposition of penalty under Customs Broker Licensing Regulations, 2018

(CBLR).


2.     Learned Counsel for the appellant narrated the facts as under:-

  Date                       Event

  February, 2017             The Appellant through Mr. Manoj Kannar --
                             proprietor of M/s. Samar Shipping received work
                             for export of garments on behalf of five exporters
                             from Mundra Port to Jebel Ali Port, Dubai. The
                             Appellant received following documents from all
                             five exporters before filing of Shipping Bills on
                             their behalf
                                    2
                                                 CUSTOMS Appeal No. 12628 of 2019




                    1.KYC
                    2. Certificate of Importer Exporter Code

                    3. Registration Certificate of Establishment under
                    the Maharashtra Shops and Establishment Act,
                    1948
                    4. Authority Letter to act as Customs Broker and
                    declaration under the Customs Act
                    5. Bank verified account details of exporter
                    6. Photo ID card of authorized person of exporter
                    firm
March 1-2, 2017     The Appellant filed 6 Shipping Bills on behalf of
                    five exporters on ICEGATE portal
March 10, 2017      The Preventive Officer (SIIB), Mundra conducted
                    examination and seized cargo on ground that it is
                    overvalued and liable for confiscation
March 21, 2017      The Customs Department, Mundra conducted
                    market enquiries for valuation of seized cargo and
                    in   terms     of   market      enquiry     report    by
                    Superintendent, SIIB, Customs House, Mundra it
                    was observed that cargo was overvalued.
April 27-28, 2017   Statement of Mr. Sagar Thakkar, authorized
                    person of the Appellant and Mr. Manoj Kannar
                    proprietor of forwarder -- Samar Shipping was
                    recorded by the Superintendent, SIIB, Customs
                    House, Mundra.
September 7, 2017   Show Cause Notice was issued to the appellant by
                    the Additional Commissioner of Customs, Mundra
                    thereby   proposing   to     impose    penalty    under
                    Section 114 and 114AA of the Customs Act.
February 26, 2019   The Additional Commissioner, Mundra vide 010
                    imposed penalty of Rs. 20,00,000/- and Rs.
                    5,00,000/- under Section 114 and 114AA of the
                    Customs Act.
April 11, 2019      Principal Commissioner of Customs, Kandla vide
                    010 suspended the customs broker license of the
                    Appellant with immediate effect.
                                   3
                                               CUSTOMS Appeal No. 12628 of 2019



April 22, 2019     During post decisional hearing the Appellant filed
                   written   submissions       thereby     denying      all
                   allegations and observations made in the 010
                   dated April 11, 2019.
April 30, 2019     The Principal Commissioner of Customs, Kandla
                   vide 010 confirmed suspension of customs broker
                   license of the Appellant.
                   The Appellant filed Appeal before the CESTAT,
                   Ahmedabad against 010 dated April 30, 2019 on
                   ground that suspension was not immediate in
                   terms of provisions of the CBLR, 2018 and other
                   grounds mentioned therein.
May 21, 2019       Show cause notice was issued by the Principal
                   Commissioner       of   Customs,    Kandla     thereby
                   alleging non-compliance/violation of Regulation
                   10(a), 10(d), 10(m) and 10(n) of the CBLR, 2018
                   and proposing to revoke customs broker license
                   along with forfeiture of security and imposition of
                   penalty under CBLR, 2018.
August 5, 2019     The CESTAT Ahmedabad vide Order held that
                   suspension of customs broker license has to be
                   done immediately after detection of the case by
                   concerned authority. The order of suspension
                   dated April 11, 2019 was passed after period of
                   two years, accordingly, 010 dated April 11, 2019
                   was quashed and set aside.
August 16, 2019    The Inquiry Officer submitted Inquiry Report to
                   the Principal Commissioner thereby confirming all
                   allegations made in the show cause notice dated
                   May 21, 2019.
September 23, 2019 Principal Commissioner of Customs, Kandla vide
                   Order restored customs broker license of the
                   Appellant in compliance to the Order dated
                   August 5, 2019 by the CESTAT, Ahmedabad.
October 10, 2019   The Appellant appeared for personal hearing
                   before the Principal Commissioner of Customs,
                                        4
                                                      CUSTOMS Appeal No. 12628 of 2019



                        Kandla and filed Reply and written objections to
                        Inquiry     Report       along             with       judicial
                        pronouncements relied upon by the Appellant
 October 29, 2019       The Principal Commissioner of Customs vide OIO
                        confirmed all allegations made in the show cause
                        notice and ordered as under:
                        1.   Revoked       customs        broker    license    under
                        Regulation 14 r/w Regulation 17 of CBLR, 2018
                        2. Forfeited security deposit under Regulation 14
                        of the CBLR, 2018
                        3.   Imposed   penalty       of    Rs.     50,000/-    under
                        Regulation 18 of the CBLR, 2018



3.   Learned Counsel argued that Regulation 10(a) of CBLR, 2018 has

been invoked alleging that appellant have failed to obtain authorisation from

the exporters. The said regulation reads as under:-

     ―10. Obligation of Customs Broker. - A Customs Broker shall -

      (a) Obtain an authorisation from each of the companies, firms or
      individuals by whom he is for the time being employed as a Customs
      Broker and produce such authorisation whenever required by the
      Deputy Commissioner of Customs or Assistant Commissioner of
      Customs, as the case may be;‖
      (b)

Learned Counsel argued that they had availed proper authorisation from all

the five exporters to act as their customs broker and only after obtaining

the said authorisation they filed shipping bills for export cargo on their

behalf. He submits that following document were obtained:-

     (a) Know Your Customer (KYC)
     (b) Certificate of Importer Exporter Code.
     (c)   Registration Certificate of Establishment under the Maharashtra
     Shops and Establishment Act, 1948.
     (d) Authority letter to act as Customs Broker and declaration under
     the Customs Act.
     (e) Bank verified account details of exporter
                                        5
                                                  CUSTOMS Appeal No. 12628 of 2019



      (f)   Photo identity card of authorized person of exporter firm/
      company.


      It was argued by the learned Counsel that the fact of having received

authorisation by the appellant has not been disputed or pointed out by the

Adjudicating Authority.     He further argued that Shri Sagar Thakkar,

authorised person of the appellant in his statement dated 27.04.2017,

recorded under Section 108 of the Customs Act, had specifically stated that

they had obtained authorisation from the exporters.          He argued that

Adjudicating Authority has given reasoning that appellant failed to provide

details of courier/ post through which it received authority letters and all

authorizations were of around same date. The Adjudicating Authority relied

on the fact that exporters were found to be non-existent and Shri Manoj

Kannar is untraceable.



4.    The next issue raised, relates to Regulation 10(d) of the CBLR. The

said regulation requires as follows.

      ―(d) advise his client to comply with the provisions of the Act, other

      allied Acts and the rules and regulations thereof, and in case of non-

      compliance, shall bring the matter to the notice of the Deputy

      Commissioner of Customs or Assistant Commissioner of Customs, as

      the case may be;‖

Learned Counsel pointed out that it has been alleged that the appellant has

failed to advise his clients to comply with the provisions of Customs Act. In

case of non-compliance, the customs broker has to bring it to the

knowledge of the Customs Department but the knowledge of such non-

compliance on the part of the customs broker is pre-requisite. It Customs

Broker himself is unaware of such facts how can he bring it to notice.
                                       6
                                                  CUSTOMS Appeal No. 12628 of 2019



      Learned Counsel pointed out that it has been alleged that appellant

received two trucks of ‗mixed chindi' at Mundra CFS and instead of

informing the same to Customs department, the appellant were awaiting

instructions of Manoj Kannar and exporter.

      Learned Counsel pointed out that the appellant were unaware of

overvaluation of cargo.   He argued that as soon as they became aware

about the issue and the cargo was carted in the CFS, they informed

immediately to the Customs department and to the exporters that they will

not clear the cargo in question. He argued that in the absence of any prior

knowledge of over valuation, there is no question of bringing it in the notice

of the Customs department.

      Learned Counsel argued that impugned order does not produce any

evidence to substantiate the claim that appellant were aware of the over

invoicing.   He argued that Regulation 10(d) of CBLR places onus on the

customs broker but to discharge such onus, the customs broker should have

knowledge of such non-compliance.      Learned Counsel argued that in the

instant case, they had no knowledge of non-compliance and therefore, there

was no question of informing to the Customs department.

      Learned Counsel further argued that impugned order relies on the fact

that appellant in its written submission has confirmed to the fact that

appellant received manufacturer invoice describing goods as mixed chindi

and awaiting instructions from Manoj Kannar and exporters instead of

informing to the department. It was also argued that the statement on the

basis of which the allegation has been confirmed (referred in Para 7.2 of the

Notice), has not been provided to them.        Learned Counsel argued the

allegation made in Para 7.2 on the basis of statement which has not been

supplied. The statement of Shri Sagar Thakkar was recorded on 27.04.2017

wherein he stated as follows:-
                                       7
                                                 CUSTOMS Appeal No. 12628 of 2019



     ―Q. 12. Did you have pr-knowledge about overvaluation of goods?

     Ans : No. As and when cargo was carted in the CFS we have
     immediately informed to the exporter that we will not clear the cargo
     further and informed the customs therefore no examination of cargo
     was done by the customs.‖

Learned Counsel argued that enquiry report as well as adjudication order

does not counter the statement of Shri Sagar Thakkar.        Learned Counsel

asserted that appellant became aware of the cargo only when it received at

CFS and the same was immediately informed.         He argued that in these

circumstances, Regulation 10(d) of CBLR cannot be invoked.            Learned

Counsel further argued that in Para 20.2 of the impugned order, the

Adjudicating Authority stated that on receipt of cargo, the appellant kept it

on hold for further clarification from Shri Manoj Kannar or their exporters

instead of informing the facts to the Customs authorities.   It is claimed by

the appellant that they had informed the customs authorities but had not

substantiated it with any documentary proof. On the basis of this, it was

held that the appellant had pre-knowledge of the cargo.




5.   Learned Counsel pointed out that Regulation 10(m) of CBLR has been

invoked. Regulation 10(m) reads as follows:-

     ―(m)   discharge his duties as a Customs Broker with utmost speed

     and efficiency and without any delay;‖



     The impugned order holds that the appellant failed to inform

overvaluation of the export cargo and have not endorsed himself under

Form C with Customs authorities in compliance to Public Notice No. 1/2014

dated 22.12.2014 before acting as customs broker for clearance of cargo at

Mundra port.
                                         8
                                                     CUSTOMS Appeal No. 12628 of 2019



      Learned Counsel argued that the question of informing to Customs

authorities would arise only when the appellant had pre-knowledge.               He

argued that since the appellant had no pre-knowledge about the goods, the

question of informing the customs authorities would not arise consequently,

Reguation 10(m) of CBLR cannot be invoked.             He relies on the same

argument in his defense as for Regulation 10(d) of CBLR, 2018 and submits

that Regulation 10(d) can only be invoked if it is established that he

appellant had pre-knowledge about the offended goods.



6.    Learned Counsel pointed out that Regulation 10(n) of CBLR, 2018 has

been invoked. Regulation 10(n) reads as under:-

      ―(n) verify correctness of Importer Exporter Code (IEC) number,

      Goods and Service Tax Identification Number (GSTIN), identity of his

      client and functioning of his client at the declared address by using

      reliable, independent, authentic documents, data or information.‖

Learned counsel pointed out that notice alleges that appellant has not

verified the antecedents, identity of exporters and functioning of his clients

at   declared   address   by   using   reliable,   independent    and    authentic

documents, data or information particularly when the exporters had not

approached the customs broker directly for export work.            The impugned

order alleges that Shri Sagar Thakkar received documents from Shri Manoj

Kannar and was not in direct touch with exporters.

      Learned Counsel pointed out that appellant received the following

documents from all the five exporters:-

      (i) Know Your Customer (KYC)
      (ii) Certificate of Importer Exporter Code.
      (iii) Registration Certificate of Establishment under the Maharashtra
      Shops and Establishment Act, 1948.
                                       9
                                                  CUSTOMS Appeal No. 12628 of 2019



      (iv) Authority letter to act as Customs Broker and declaration under
      the Customs Act.
      (v) Bank verified account details of exporter
      (vi) Photo identity card of authorized person of exporter firm/
      company.



Learned Counsel pointed out that documents such as registration certificate

under the Maharashtra Shops and Establishment Act, 1948 and bank verified

account details of exporter provides for postal address of all five exporters.

He submits that registration certificate of establishment issued by an

inspector appointed under the Maharashtra Shops and Establishment Act,

1948 wherein details of name, nature of business, postal address of such

establishment is mentioned.     The banks of all the five exporters have

verified the account details of exporters which includes the postal address.

Therefore, apart from online verification of IEC of exporters from DGFT

website, the appellant have also relied on the said registration certificate

issued by Maharashtra State Government. He argued that in view of above,

there is fulfillment of requirement as per Regulation 10(n) of CBLR. Learned

Counsel argued that Regulation 10(n) does not obligate the customs broker

to verify the correctness of the address of the client by visiting the

registered premises of establishment and verify about its existence. Learned

counsel pointed out that appellant relies upon the independent and authentic

documents such as registration certificate issued by statutory authority of

the Maharashtra State Government under the Maharashtra Shops and

Establishment Act, 1948 and letters issued by the respective banks along

with stamp and signature of authorised office of said banks.            Learned

Counsel relied on the decision of the Tribunal in the case of Parvath Shipping

Agency vs. CC - 2017 (357) ELT 296 (Tri. Mumbai).             Learned Counsel

argued that merely the documents not received directly from the exporters
                                        10
                                                   CUSTOMS Appeal No. 12628 of 2019



does not mean that higher test for verification is necessary. He also relied

on the Circular No. 9/2010 dated 08.04.2010 issued by CBEC.              Learned

Counsel also relied on the decision of Tribunal in the case of APS Freight &

Travels Pvt. Limited vs. CC (General), New Delhi - 2016 (344) ELT 602 (Tri.

Del.).




7.       The next issue raised by the learned Counsel relates to invocation of

Regulation 17 of CBLR, 2018 which describes procedure and limitation for

revocation of customs broker license, forfeiting security deposit and

imposing penalties and also describes the quantum of penalties can be

imposed.




8.       Learned Counsel pointed out that notice has been issued beyond the

period of limitation prescribed under Regulation 17 of CBLR, 2018. Learned

Counsel pointed that the shipping bills on behalf of all the exporters was filed

by the appellant on 01 and 02 March 2017. The examination of export cargo

was conducted by PO, SSIB Customs House Mundra on 10 March 2017. The

Customs authority Mundra conducted market enquiries for valuation of

seized cargo on 21 March 2017. The statements of Shri Sagar Thakkar and

Shri Manoj Kannar was recorded on 27 April 2017 and 28 April 2017

respectively. The show cause notice dated 09 September 2017 was issued

to the appellant proposing to impose penalty under Section 114 and 114AA

of the Customs Act.        The revocation of customs broker license of the

appellant has been proposed vide notice dated 21 May 2019.               Learned

Counsel argued that department was aware about the said export

transaction since March 2017 however, proceedings under the Notice for
                                             11
                                                            CUSTOMS Appeal No. 12628 of 2019



violation of provisions of the CBLR was issued on 21 May 2019, which is

beyond the limitation.


Learned Counsel pointed out that proceedings for invocation of CBLR had to

be invoked starting from 90 days from the date of receipt of offence report.

Learned Counsel relied on the decision in the case of Harjeet Singh Johar vs.

CC - 2018 (361) RLT 731 (Del.) wherein the Hon'ble Delhi High Court

observed as follows:-


      8. The core issue which arises in the present writ petition is regarding the term and
      expression "offence report" as used in Regulation 20(1) of 2013 Regulations. As per the
      petitioner, "offence report" would be the first information received by the authority
      regarding irregularity and misconduct. This is the starting point for issue of show cause
      notice. Reliance is placed on two judgments of Single Judges of the Madras High Court
      in M/s. A. M. Ahamed & Co. v. The Commissioner of Customs (Imports), 2014 (309)
      E.L.T. 433 (Mad.) and Patriot Freight Logistics System v. The Commissioner of Custom,
      Chennai, 2017 (350) E.L.T. 59 (Mad.) The petitioner has also relied upon the assertions
      made by the respondents in the counter-affidavit filed in W.P. (C) No. 3265/2017.

      9.    ...........


      10. Decision in M/s. A. M. Ahamed (supra), relates to Regulation 20 of the Customs
      House Agents Licensing Regulations, 2004 ('2004 Regulations', for short) which were
      applicable prior to enactment and enforcement of 2013 Regulations. The expression
      'offence report' was also used in the 2004 Regulations. Interpreting the said
      expression, it was observed in M/s. A. M. Ahamed (supra) as under :-

            "17. Unfortunately, the Regulations do not define what an offence report is
            and the Regulations do not even state as to how an offence report is to be sent.
            The Regulations do not even use the expression "offence report" anywhere else
            other than Regulation 22(1). Even the grounds on which a licence can be revoked
            or suspended, mentioned in Regulation 20(1), do not include the definition of
            the expression offence or offence report. There are only three grounds on which
            a licence can be suspended or revoked under sub-regulation (1) of Regulation 20.
            Regulation 20(1) reads as follows :-

            20. Suspension or revocation of licence. - (1) The Commissioner of Customs
            may, subject to the provisions of regulation 22, revoke the licence of a Customs
            House Agent and order for forfeiture of part or whole of security, or only order
            forfeiture of part or whole of security, on any of the following grounds, namely :-

            (a) failure of the Customs House Agent to comply with any of the conditions of
            the bond executed by him under regulation 10;

            (b) failure of the Customs House Agent to comply with any of the provisions of
            these regulations, within the jurisdiction of the said Commissioner of Customs or
            anywhere else;
                                        12
                                                       CUSTOMS Appeal No. 12628 of 2019



      (c) any misconduct on his part, whether within the jurisdiction of the said
      Commissioner of Customs or anywhere else which in the opinion of the
      Commissioner renders him unfit to transact any business in the Customs Station.

      18. The above regulation has only 3 ingredients namely (i) failure to comply
      with the bond conditions; (ii) failure to comply with the regulations; and (iii) a
      misconduct, for any of which, the license can be revoked. Since the above
      regulation does not use the expression "offence report", we have to presume
      that a report indicating the availability of any one of the above 3 ingredients
      should be construed as an offence report. Consequently, the date of knowledge
      gained by the Commissioner, by means of any communication, be it show cause
      notice or order-in-original, has to be construed as the date of receipt of the
      offence report. Otherwise, a report about anyone of the above 3 ingredients can
      be sent at any time, even after five years or ten years.

      19. The Regulations not only fail to prescribe what an offence report is and
      how it is to be sent, but they do not also prescribe the person competent to send
      it. In such circumstances, the interpretation sought to be given by the petitioner
      is more acceptable.

      20. The time limit prescribed in Regulation 22(1) has to be understood in the
      context of the strict time schedule prescribed in various portions of the
      Regulations. Regulation 20(2), for instance, entitles the Commissioner, to
      suspend the licence of an agent, in appropriate cases where immediate action is
      necessary. Regulation 22(3) prescribes a time limit of 15 days. Regulation 22(1)
      prescribes a time limit within which action is to be initiated. It also prescribes the
      time limit under Regulation 22(5). Therefore, considering the fact that the whole
      proceedings are to be commenced within a time limit and also concluded within
      a time frame, I am of the view that the show cause notice issued to the
      petitioner on 8-5-2010 with a copy marked to the first respondent should be
      taken as the date of receipt of the offence report. Consequently, the period of 90
      days should commence only from that date. If so calculated, the impugned
      proceedings have obviously been initiated beyond the period of 90 days."

11 to 13     ...........

14. Learned counsel for the petitioner has pointed out that the 2013 Regulations are
under amendment. In the draft Regulations, the term "offence report" has been
defined as :-

      "Explanation : Offence report for the purposes of this regulation means a
      summary of investigation and prima facie framing of charges into the allegation
      of acts of commission or omission of the Customs Broker or a F card holder or a
      G card holder as the case may be under these regulations which would render
      him unfit to transact business under these regulations".

The aforesaid definition in the draft regulation supports the view taken by the Madras
High Court.

15. In view of the aforesaid position, we record that the suspension order dated 31-3-
2017 was based upon the offence report, and therefore the show cause notice under
Regulation 20, dated 14-7-2017, would be clearly barred by the limitation as it was
issued more than 90 days after the offence report was submitted.
                                       13
                                                   CUSTOMS Appeal No. 12628 of 2019



Learned Counsel argued that in view of the above, the offence report is

basically preliminary and the prima-facie allegation against the appellant and

the department was in knowledge about export transaction since March

2017 and the Adjudicating Authority cannot revoke customs broker license,

forfeit security and impose penalty by initiating proceedings after limitation

period of 90 days as prescribed under the provisions of CBLR 2018. He also

argued that since there was no violation by the appellant, no penalty under

Regulation 18 of the CBLR can be imposed.




9.    Learned Authorised Representative relies on the impugned order. He

pointed out that appellant was never in touch with the real exporters either

personally or through phone. Learned Authorised Representative relies on

the decision of the Tribunal in the case of SK Logistics vs. CC (General), New

Delhi - 2016 (331) ELT 486 (Tri. Del.). Learned Authorised Representative

further pointed out that authorisation was not produced before the

Additional Commissioner but was produced during adjudication under the

Customs Act and when the proceedings under CBLR, 2018 started. Learned

Authorised Representative further pointed out that Principal Commissioner,

Kandla was not aware what was happening at Customs Mundra.                    The

appellant has not submitted Form ‗C' which was necessary.




10.   We have gone through the rival submissions.        As regards the issue

relates to failure to obtain authorisation from the exporters, the impugned

order relies on the fact that there is no post/ courier received or evidence of

receipt of such authorisation.   The impugned order also relies on the fact

that date of all authorizations is nearly the same. The impugned order also
                                      14
                                                     CUSTOMS Appeal No. 12628 of 2019



relied on the fact that exporters were not found and Shri Manoj Kannar is

also not traceable. Relying on the aforesaid argument, the impugned order

held that appellant had not obtained the authorizations.

      We find that above assertion cannot be sustained. The appellant had

produced authorisation during enquiry and Shri Sagar Thakkar, authorised

person of the appellant in his reply during the statement stated that they

had obtained authorisation.     While the facts mentioned in the impugned

order may be sufficient to raise suspicion about receipt or genuineness of

the authorisation but it is not sufficient to hold that no authorization was

received.   In view of above, we are unable to hold the charge made under

Regulation 10(a) of the CBLR.



10.1 As regards the allegation made under Regulation 10(d) of CBLR,

2018, we find that Adjudicating Authority has not countered the arguments

given by the appellant.    There is no evidence cited by the Adjudicating

Authority to establish that the appellant had any pre-knowledge of the

nature of cargo.    The statement on which the Adjudicating Authority has

relied on, has not been provided to the appellant.       In view of the fact that

statement has not been provided, the impugned order cannot be upheld as

the charge has been confirmed on the basis of said statement.

      In view of above, the allegation made under Regulation 10(d) of

CBLR, 2018 are set-aside and the issue is remanded to the Adjudicating

Authority for fresh decision, after providing the copy of the said statement

to the appellant.



10.2 We find that the charge of pre-knowledge has been confirmed only on

the strength of statement of the appellant recorded, referred to in Para 7.2

of the notice.      There is no material evidence placed on record to
                                            15
                                                         CUSTOMS Appeal No. 12628 of 2019



substantiate the charge.      Therefore, the impugned order is set-aside and

the issue is remanded for fresh adjudication.



10.3 We have gone through the submissions made regarding violation of

Regulation 10(n) of the CBLR.           It is not in dispute that appellant has

obtained following documents:-


     (i) Know Your Customer (KYC)
     (ii) Certificate of Importer Exporter Code.
     (iii) Registration Certificate of Establishment under the Maharashtra
     Shops and Establishment Act, 1948.
     (iv) Authority letter to act as Customs Broker and declaration under
     the Customs Act.
     (v) Bank verified account details of exporter
     (vi) Photo identity card of authorized person of exporter firm/
     company.


At least two of these documents issued by statutory authority and other by

the bank contain address of all the exporters.            CBEC Circular 9/2010 also

specifies that KYC is to be done on the basis of documents and not by

physical visit of the client's premises.          The impugned order holds that

customs broker never tried to contact the exporters. We do not find merit in

the argument that there is no such requirement under Regulation 10(n) of

CBLR 2018 which requires customs broker to directly contact and in touch

with the exporters. Accordingly, we are unable to uphold the invocation of

Regulation 10(n) and the same are dropped.




10.4 The next issue relates to limitation prescribed under Regulation 17 of

CBLR, 2018, which reads as under :-


     "17. Procedure for revoking license or imposing penalty.--
                                              16
                                                           CUSTOMS Appeal No. 12628 of 2019



      (1) The Principal Commissioner or Commissioner of Customs shall issue a notice in
      writing to the Customs Broker within a period of ninety days from the date of receipt of
      an offence report, stating the grounds on which it is proposed to revoke the license or
      impose penalty requiring the said Customs Broker to submit within thirty days to the
      Deputy Commissioner of Customs or Assistant Commissioner of Customs nominated by
      him, a written statement of defense and also to specify in the said statement whether
      the Customs Broker desires to be heard in person by the said Deputy Commissioner of
      Customs or Assistant Commissioner of Customs.

      ...............

Explanation.--Offence report for the purposes of this regulation means a summary of investigation and prima facie framing of charges into the allegation of acts of commission or omission of the Customs Broker or a F card holder or a G card holder, as the case may be, under these regulations thereunder which would render him unfit to transact business under these regulations."

It is seen that in the instant case, the offence was committed at Mundra Port and the officer Incharge for starting procedure under CBLR was Principal Commissioner of Customs, Kandla. In the instant case, the impugned order clearly states that offence report along with order-in-original No. MCH/ADC/PK/114/2018-19 dated 26.02.2019 was received on 26.03.2019 from the Additional Commissioner (CBS), Customs House Mundra vide letter F. No. S/07-46/Misc-CB/CHM/2018-19 dated 15.03.2019, outlining the role of the Customs Broker in the case of export of cheap quality goods. The proceedings in the instant case were initiated on 21.05.2019. The entire defense of the appellant is that the offense was committed in 2017 and the show cause notice was issued much prior to the date of initiation of proceedings under CBLR. A perusal of Regulation 17 clearly shows that the period of limitation starts when the Principal Commissioner of Customs or Commissioner of Customs receives the offense report. In the instant case, the Principal Commissioner of Customs, Kandla initiated the proceedings and report received by him on 26.03.2019. This fact has not been challenged by the appellant. In view of above, we find there is no delay in initiation of proceedings. The case law relied upon by the appellant are on the different 17 CUSTOMS Appeal No. 12628 of 2019 facts and therefore, not applicable to the instant case. Therefore, we do not find any merit in this argument of the appellant.

11. In view of above, the impugned order is set-aside and the matter is remanded to re-determine in the above terms.

(Pronounced in the open court on 04.06.2020) (Ramesh Nair) Member (Judicial) (Raju) Member (Technical) KL