Compliance Monitoring Checklist

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ZONE INFORMATION
1. BASIC INFRASTRUCTURE / FACILITIES
2. ZONE MANAGEMENT / ENTERPRISES SCHEDULE
3. INVESTMENT SCHEDULE
4. TARIFF SCHEDULE
5. RELEVANT GOVERNMENT AGENCIES SCHEDULE
6. PUBLICITY AND PROMOTION SCHEDULE
7. IMPORT SCHEDULE
8. EXPORT SCHEDULE
9. IMMIGRATION SCHEDULE
10. EMPLOYMENT SCHEDULE
11. INTERNAL SECURITY SCHEDULE
12. ENVIRONMENTAL SEHEDULE
13. DUTY, TAX, AND FEES SCHEDULE
14. INTERNALLY GENERATED REVENUE (IGR) SCHEDULE
15. DEBT PROFILE SCHEDULE

Name of Free Zone*

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Date*

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Compliance Officer*

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a. The state of the Perimeter Fence (where applicable)

Yes

Remarks (1a)

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b. Entry /Exit Gates and Inner Buffer Gate

Yes

Remarks (1b)

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c. Elevated Security Watch Towers

Yes

Remarks (1c)

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d. Fencing Lightening

Yes

Remarks (1d)

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e. Surveillance Camera at strategic locations

Yes

Remarks (1e)

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f. Custom, Immigration and NEPZA offices

Yes

Remarks (1f)

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g. Police Post (detached)

Yes

Remarks (1g)

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h. Zone Administration Building

Yes

Remarks (1h)

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i. Road Network/Street Lighting

Yes

Remarks (1i)

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j. Fire Station

Yes

Remarks (1j)

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k. Industrial Clinic

Yes

Remarks (1k)

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l. Proper Waste Disposal System

Yes

Remarks (1l)

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m. Telecommunication Facilities

Yes

Remarks (1m)

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n. Serviced Industrial Plots

Yes

Remarks (1n)

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o. Prototype Warehouses

Yes

Remarks (1o)

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p. Cargo Handing Facilities

Yes

Remarks (1p)

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q. Workers’ Hostel (Optional)

Yes

Remarks (1q)

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r. Canteen/Mess Hall

Yes

Remarks (1r)

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s. Fuel Dump/Petrol Station

Yes

Remarks (1s)

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t. Office Suites for Lease (Optional)

Yes

Remarks (1t)

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u. Banks

Yes

Remarks (1u)

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v. Travel Agency (Optional)

Yes

Remarks (1v)

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w. Consultancy Services e.g. Legal, Accountancy etc.

Yes

Remarks (1w)

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x. Post Office/International Couriers

Yes

Remarks (1x)

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y. Export exit point e.g. Seaport, Airport, International Border

Yes

Remarks (1y)

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z. Uninterrupted Power and Water Supply

Yes

Remarks (1z)

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a. Valid operating license

Yes

Remarks (2a)

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b. Certificate of Registration

Yes

Remarks (2b)

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c. Due Diligence Report on Promoters/Directors

Yes

Remarks (2c)

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d. Prospective Investors’ Applications Processed Within Five Working Days

Yes

Remarks (2d)

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e. FZEs Operate In Line With Approved Business Activity As Contained In Feasibility Study

Yes

Remarks (2e)

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f. Commencement of Operations within Stipulated Time

Yes

Remarks (2f)

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g. Prompt Response to FZEs Request

Yes

Remarks (2g)

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h. Investors/Stakeholders Forum within Period under Review

Yes

Remarks (2h)

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i. Operational Enterprises

Yes

Remarks (2i)

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j. Dormant Enterprises

Yes

Remarks (2j)

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k. Deregistered/Withdrawn Enterprises

Yes

Remarks (2k)

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l. Newly Licensed Enterprises within the Period under Review

Yes

Remarks (2l)

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m. Registration of Registerable Instrument/Agreement or MOU with NEPZA Registry

Yes

Remarks (2m)

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a. Cash Flow In Line With Feasibility Study

Yes

Remarks (3a)

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b. Source of Funding In Line With Feasibility Study

Yes

Remarks (3b)

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c. Share Capital Not Less $1m

Yes

Remarks (3c)

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d. Board Resolution

Yes

Remarks (3d)

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e. Notice of Business Address

Yes

Remarks (3e)

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f. Particulars of Directors

Yes

Remarks (3f)

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g. Consent of Directors Accepting Offer as Director

Yes

Remarks (3g)

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h. Certified Memorandum and Article of Association

Yes

Remarks (3h)

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i. Application for Change of Object Where Applicable (To Be Approved By MD)

Yes

Remarks (3i)

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j. Charges for alterations paid

Yes

Remarks (3j)

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k. Timely Annual filing (not more than 15months from last filing)

Yes

Remarks (3k)

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l. Registration of Mortgages/Power of Attorney & Creation of lien (where applicable)

Yes

Remarks (3l)

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m. Foreign Direct Investment

Yes

Remarks (3m)

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n. Local Direct Investment

Yes

Remarks (3n)

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o. Joint Venture

Yes

Remarks (3o)

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p. Actual Value of Investment

Yes

Remarks (3p)

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q. Actual Value of Investment by each FZE (FDI/LDI)

Yes

Remarks (3q)

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r. Certificate of Capital Importation

Yes

Remarks (3r)

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a. Approved Tariff structure (by NEPZA)

Yes

Remarks (4a)

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b. Appropriate Rates Applied in Computing Charges

Yes

Remarks (4b)

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a. NEPZA

Yes

Remarks (5a)

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b. NCS

Yes

Remarks (5b)

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c. NIS

Yes

Remarks (5c)

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d. NPF

Yes

Remarks (5d)

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e. Others

Yes

Remarks (5e)

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a. FZ Management annual plan for publicity and promotion

Yes

Remarks (6a)

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b. Publicity and Promotion within period under review

Yes

Remarks (6b)

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c. Signboards in all FZEs

Yes

Remarks (6c)

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a. Notification of import by FZE to FZ Management/Zonal Administrators

Yes

Remarks (7a)

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b. Notification of arrival of consignment to FZ Management/Zonal Administrators

Yes

Remarks (7b)

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c. Number of containers in notification

Yes

Remarks (7c)

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d. Actual number of containers received

Yes

Remarks (7d)

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e. Evidence s of joint examination of consignment by NEPZA, NCS and DSS and any other relevant agency

Yes

Remarks (7e)

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f. Ledger showing receipt and issuance of raw materials

Yes

Remarks (7f)

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g. Red flag indicators, under invoicing, over invoicing, multiple invoicing, false declaration etc

Yes

Remarks (7g)

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h. Value/volume of import

Yes

Remarks (7h)

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a. Notification of Export with accompanying documents to FZ management/NEPZA Administrators

Yes

Remarks (8a)

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b. Ledger showing finished goods, waste and scrap

Yes

Remarks (8b)

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c. SONCAP certification/NAFDAC No. (where applicable) for local Exports

Yes

Remarks (8c)

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d. Red flag indicators: Underpricing, under invoicing, false declaration

Yes

Remarks (8d)

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e. Value/Volume of Export

Yes

Remarks (8e)

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f. Number of Enterprises that engage in International export

Yes

Remarks (8f)

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g. How FZEs receive payment of the export proceeds?

Yes

Remarks (8g)

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a. Valid permits for expatriates and dependents

Yes

Remarks (9a)

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b. Expatriate workers work within the FZ only and not Custom Territory

Yes

Remarks (9b)

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c. Due process is followed in change of employment

Yes

Remarks (9c)

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d. Permit request in line with FZE needs

Yes

Remarks (9d)

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e. Data of all Expatriates (soft and hard copies)

Yes

Remarks (9e)

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a. Employment generation in line with feasibility

Yes

Remarks (10a)

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b. Employment contract between FZE and employees

Yes

Remarks (10b)

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c. Condition of service/Staff handbook

Yes

Remarks (10c)

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d. Condition of service/Staff handbook

Yes

Remarks (10d)

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e. No strike or lockout for a period of ten years from FZ commencement of operations

Yes

Remarks (10e)

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f. National minimum wage observed

Yes

Remarks (10f)

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g. Expatriate employees

Yes

Remarks (10g)

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h. Indigenous (local) employees

Yes

Remarks (10h)

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i. New employments within period under review

Yes

Remarks (10i)

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j. Employment generated by each FZE (Expatriate/Local)

Yes

Remarks (10j)

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a. Manned entrance gate

Yes

Remarks (11a)

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b. Identification cards for staff and visitors

Yes

Remarks (11b)

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c. Restriction of visitors movement within the FZ

Yes

Remarks (11c)

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d. Surveillance Camera

Yes

Remarks (11d)

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e. Is internal security adequate

Yes

Remarks (11e)

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a. Environmental Impact Assessment Report in feasibility study of FZEs

Yes

Remarks (12a)

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b. FZEs compliance with waste generation management and keeping environment clean and safe

Yes

Remarks (12b)

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c. Preventive and safety measures for Employees e.g. hand gloves, mask, helmets etc.

Yes

Remarks (12c)

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d. Preventive and safety measure for COVID-19 e.g washing of hands with soap and water, using hand sanitizer, temperature checks, observing social distancing at work place, hostels, restaurants and other common facilities, working on shift to avoid overcrowding in offices/factories. Using of face mask/cover

Yes

Remarks (12d)

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e. FZMs COVID-19 Responses Team

Yes

Remarks (12e)

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a. Custom duty paid

Yes

Remarks (13a)

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b. Custom duty waived

Yes

Remarks (13b)

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c. PAYE Tax

Yes

Remarks (13c)

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d. Management fee/FOB

Yes

Remarks (13d)

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a. Revenue received during the quarter per line item e.g OPL Renewal fee, Import/Export documentation fee, Management fee etc

Yes

Remarks (14a)

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a. Amount due to NEPZA within the quarter e.g per ZMC/Enterprise per line item.

Yes

Remarks (15a)

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