compliance govind

8/3/2019 Compliance Govind

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Certificates / Registrations / Licences / NOC's / Approvals / Sanctions

Certification of Incorporation

Registration Cum Membership Certificate from Apparel Export Promotion Council [AEPC]

Certificate of Registration under Importer Exporter Code [IEC] from Min. of Comm.Certified Standing Orders [ Hindi / English ]

Min. Wages Circular from Labour Deptt.

Certificate of Registration of Company [Under Contract Labour (R&A) Act.] NA

Contractor's Licences ( * for those licenceses, which Company is arranging )

Certificate of allotment of PF Code [ Company / Contractors ]

Certificate of allotment of ESI Code [ Company / Contractors ]

Water Consent

PAN No.

First Aid Certificates of Trained personnel [ Valid Provisional or/and Permanent Certificates ]

NOC from Local Fire Department

Electricity Load Sanction Certificate

Certificate from Electorate Deptt. Fbd.

Govt. Certificate for being an Authorised / Competent Person

Sexual Harassment Prevention Committee

PoliciesEmployee's Manual

Child Labour Policy

Discrimination Policy

Working Hours Policy

Incentive Policy / Circulars

Loan Policy

Recruitment Policy / Procedure

Security Plan or PolicyGate Pass Policy

Security Orders

Grievance Handling Policy / Procedure

No Smoking Policy

Environment Policy

Health & Safety Plan or Policy

Emergency Evacuation Plan

Emergency Medical Procedure

Agreements with following (Compliance Records):

Disposal of Medical Waste

Hospital for Empanelment / Medical Health Consultation or Visiting Doctor

House Keeping

Security

Fire Fighting agency

Water Supplying Agency

Name of Govt. Officials with their contact Nos.

Shop Inspector

Labour Officer

Labour Inspector

Shop Licence

DISPLAY OF NOTICES / ITEMS ON THE NOTICE BOARD / RESPECTIVE PLACES


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Contractor's Licences

Abstract of Standing Orders in local language NA

Abstracts of following Act in both Hindi & English languages :

Shops and Establishment ActMin. Wages Act

Payment of Wages Act

Payment of Gratuity Act

Contract Labour Act

Maternity Benefit Act

List of Holidays [ 3 national / 5 Festival ]

Latest Minimum Wages Circular (Previous available in records) - In Hindi & English

Wage Slip Format Translated from English to Marathi and Hindi

Important Phone nos. [ Unit Head / HR Head / Other Staff / Board nos. with intercom / Direct / Mobile / Resi ] yes

Emergency Phone nos. [ Police / Fire / Ambulance ]

Sexual Harassment Prevention Committee Chair Persons Contact Nos.

First Aid Chart

List of Location of Fire Extinguishers [With Type / Capacity / Re-filling date / Validity]Labels on Fire Extinguishers - Inspected on Monthly basis / Max. Height 5 Feet

List of Location of Fire Alarm Panel

List of Location of Fire Alarm Points

List of Location of Fire Hydrant Points

No. of Hose Reel

Documents to be maintained / Info. Should be available

Govt. Officials Inspection Book [Under Shops and Establishment Act, Labour Welfare Fund Act, PF & ESI Acts]Organisation Chart

Manpower Report

[ Company / Contractor, Male / Female, Staff / Workers, On Roll / Present, Direct / Indirect ]

No. of Employees on Probation [On the day of Audit]

Documents to be maintained / Handy information should be availablePersonal files of all employees containing following documents :

Resume with the feedback of all person interviewed

1 Birth Certificate / School Leaving Certificate / Dental Certificate / Voter I.D. / Driver's License / Ration Card

2 Letter of Intent & Appointment Letter

3. Joining Report

4. PF [Form 2 ]

5. PF [Form 11]

6. ESI [Form 1]

7.Gratuity [Form-F]

[For Packing, Security, All Supervisors & Persons at Key position]

12. Extension of Probation / Confirmation Letter

13. Increment / Promotion letters

14. Annual updating on Contact details

15. Acceptance of Resignation Letter or Service Certificate of Previous Employer

16. Testimonials / Experience Certificate/(s)

Time In-Out Record

Display latest minutes of meeting for various committees Sexual Harrasment & Prevention and other

such in the notice boards.


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Muster Roll

Leave Register

Wage Sheets ( Company & Contractor - Duly stamped & verified )

Wage Slips [Duplicate copy] duly signed by employeeOvertime Payment Sheet

PF Challans [Company & Contractors - Salary, OT, Arrear - Increment & Min. Wages]

PF Returns [Company & Contractors - Monthly & Annual]

PF Slip Issuance Record [Company & Contractors]

ESI Challans [Company & Contractors - Salary, OT, Arrear - Increment & Min. Wages]

ESI Return [Six Monthly]

ESI Temporary Identification Slip / Permanent Card Issuance Record [Company & Contractor]

All Statutory Registers

Medical & Health checkup certificate of Canteen employees

Documents to be maintained / Handy information should be available

Accident Record Register ( Cause, Treatment given & Remedial Action )



List of Emergency lights with locations

List of Attendance m/c with locations

Visitor Register

Statutory Record Checklist

Health & Safety Checklist

House Keeping Checklist

Number of Drinking Water pointsNo. of WC's, Urinals & Wash-basin

Asked for

Latest bill or Payment record against refilling of Extinguisher

Latest bill or Payment record against AMC of Video Camera / Recording system


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Pls. arrange to maintain & retain photocopy of records available all the times in respective factory premis

surprise compliance audit as per details given below :

1 Agreement between Security Agency & Company.

2 In - Out Time record

3 Muster Roll

4 Wage Sheets

(Duly stamed & signed by Company's representative in confirmation of payment made in their pres

5 Duplicate copy of Wage Slips duly signed by employee

6 Leave Register

7 PF Challans8 ESI Challans

9 PF Monthly Return

10 PF Slip Issuance Record

11 ESI Half Yearly Returns

12 ESI Temporary Identification Slip / Permanent Card Issuance Record

13 Half Yearly Returns [under Contract Labour Act]

14 Annual Returns [under Factory Act]

15 Return under Welfare Fund Rules [for unpaid amount]

16 Bonus Payment Records17 Personal files of all employees

I. Application for Service

II. Birth Certificate or Age proof by Dentist along with Photo & Sign / Thumb impression

III. Appointment Letter

IV. Joining Report

V. PF [Form 2 ]

VI. PF [Form 11]

VII. ESI [Form 1]

VIII.Factories Act [Form-D]

IX. Gratuity [Form-F]

X. Extension of Probation / Confirmation Letter

XI. Increment / Promotion letters

XII. Annual updating on Contact details

XIII. Testimonials / Experience Certificate/(s)

XIV. Antecedents Verification Record

18 Photo Identity cum Attendance Card

19 Last two bills & Cheque payment record.

20 Fire Training / Drill / Evacuation Record [ Photographs of all trained personnel must be displayed in their respective a

21 First Aid Training Record [ Photographs of all trained personnel must be displayed in their respective area's ]22

23 Duty Roster

24 Security Policy / Orders

25 Post duty in r/o individuals

CC : GM - HR, P&A

CT-PAT Training record


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s for

nce)

rea's. ]


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NoRegular Daily Wages Piece Rate

No

No

No

No

No

No

No

No

No

No

No

No

No

No

No

No

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

Yes

Yes

Yes

Yes

Yes


8/18

Register Form No. Rule Section INDUSTRIAL EMPLOYMENT (STANDING ORDERS) ACT 1946 Due Date Compliant on Responsibility

IR.5 /

Sched. IIApplication for Certification of Draft Standing Oders Within 6 months of applicability of Act

V Sched. I - B Service card -

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9/18

Register Form No. Rule Section NATIONAL & FESTIVAL HOLIDAYS Act Due Date Compliant on Responsibility

B 7(2) Register of Festival Holidays, Casual & Sick Leave of Workers Daily

A Statement of National & Festival Holidays By 30th Nov.

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10/18

Register Form No. Rule Section THE MATERNITY BENEFIT ACT, 1961 Due Date Compliant on Responsibility

A 3 Muster Roll Within 2 Hrs. of start of shift

K, L, M & N 16 Annual Returns By 21st Jan.

B Notice of Maternity

E Delivery/ Miscarriage report

F 6 Receipt of Payment of Maternity Benefit On making payment

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11/18

Register Form No. Rule Section EMPLOYMENT EXCHANGES (COMP. NOTIFICATION OFVACANCIES) ACT 1959

Due Date Compliant on Responsibility

ER-1 6 Quaterly Return

Jan - March 30th April

April - June 30th July

July - Sept 30th Oct

Oct - Dec 30th Jan

ER-2 6 Bi-annual Return 30th Jan

5 Notification of Vacancies to Local Office Atleast 15 days prior to Interview

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12/18

Register Form No. Rule Section EQUAL REMUNERATION ACT 1976 Due Date Compliant on Responsibility

D 6 Equal Remuneration Register under the Act Month End

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13/18

Register Form No. Para Section EMPLOYEES PROVIDENT FUND ACT 1952 Due Date Compliant on

Eligibility Register Immediately on Enrolment

Inspection Book Always Available

2 (Revised) 33 & 61(I) Nomination Immediately on Enrolment

3A (Revised)35 & 42 EPF

19 PEN. SCH Contribution Card By 30th April

536(2)a EPF

20(4) PEN. SCH

10(IA) EDLISAddition of Members By 15th of following month

5A36(a) EPF

16 PEN. SCH

1 EDLISReturn of Ownership

Once in begening / Within 15 days afterchange of ownership

6A43 EPF

20 (4) PEN. SCH Annual contribution Statement By 30th April

1036(2)(A)(B) EPF

20(2) PEN. SCH Return of the members leaving service By 15th of following month

11 Declaration Immediately on Enrolment

12A30 EPF

20(4) PEN. SCH Monthly PF Return ( For previous month ) 25th of following month

Monthly Contribution Challans By 15th of following month


14/18

Register Form No. Rule Section PAYMENT OF BONUS ACT 1965 Due Date Compliant on Responsibility

A 4a Computation of Allocable Surplus After the close of previous financial year

B 4b Set - on / Set - off of Allocable Surplus After the close of previous financial year

C 4c Payment of Bonus Register / Payment By 30th Nov.

D 5 Annual Return By 30th Dec.

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15/18

Register Form No. Rule Section CONTRACT LABOUR ACT 1970 Due Date Compliant on Responsibility

8 73Register of Particulars of Contractor (Part-I) / Progress of Contract

Work (Part-II)Month End

9 74 Register of Workmen employed by Contractor Daily

12 77(1)(a)(I) Muster Roll Within 2 Hrs. of start of shift

13 77(1)(a)(I) Register of Wages Month End

16 77(1)(a)(Ii) Register of Deductions for Damage or Loss Month End

17 77(1)(a)(Ii) Register of Fines Month End

18 77(1)(a)(Ii) Register of Advance Month End

19 77(1)(a)(iii) Register of Overtime Daily

1 17(i) 1Application for Registration of establishment under the Contract

LabourWithin 30 days of engagement of

Contarctor ( Intimation by HR Heads )

4 21(1) 12(1) Application for LicenceWithin 30 days of Commencement of

work ( Intimation by HR Heads )

5 21(2) 12(1) Form of Certificate by Principal Employer Immediately

7 29(2) Application for renewal of Licence By 1st Dec.

11 77 Service Certificate On leaving the service

20 81(1) Half yearly return by Contractor By 15th July

21 81(2) Annual Return by Employer By 15th Jan

2 18(i) Certificate of Registration -

6 25(1) Licence issued to Contractor -

10 75 Employment Card Ist Day of joining

15 77(1)(b) Wages Slips A day prior to disbursement of wages

6A 25(2)(viii) Notice of Commencement / Completion of contract Work - ContractorWithin 15 days of Commencement /

Completion of work

6B 81(3)Notice of Commencement / Completion of contract work - By Principal

Employer

Within 15 days of Commencement /

Completion of work

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16/18

Register Form No. Rule Section EMPLOYEES STATE INSURANCE ACT 1948 Due Date Compliant on Responsibility

7 Reg 32 Register of Employees After Calculation of salary

15 Reg 66 Accident BookWithin 48 Hrs of accident & 24 Hrs in

case of fatal accident

102A Inspection Book Always Available

1 11 & 12 Declaration formTo be submitted within 10 days from the

Date of Appointment

3 Reg 14 Return of DeclarationCovering letter for the declaration forms

to be submitted in duplicate

( Separate for Males & females )

6 Reg 26 44 Return of Contributions 11th May / 12th Nov.

16 Reg 68 Accident Report48 Hours Accident case / Immediately in

case of Fatal Accident

28 Reg 52A Abstention verificationInitiated by the LO to be filled in by the

employer and returned to the LO

01 Reg 10-B 2A Employer's Registration CertificateWithin 15 days of act becomes

applicable.To be submitted within 10

days from the Date of Appointment

4 Reg 17 Identity Card Issue RecordBefore the Expiry of Temporary

Identification Card( Validity of TIC 13

Weeks )

ESI Contribution Challan By 21st of following month


17/18

Register Form No. Rule Section PAYMENT OF GRATUITY ACT 1972 Due Date Compliant on Responsibility

A 3(1) Notice for Opening of Unit Within 30 Days / Act applicability

B 3(2) Notice of Change in Nature of Business / Name / Address of employer Within 30 Days / Act applicability

C 3(3) Notice of closure of Factory 60 Days Before closure

D 5(1) 2(h)(ii) Notice for Excluding Husband from Family As required

F 6(1) Nomination Within One year of Service

I 7(1) 4(1) Application for claiming Gratuity Within 30 Days / Act applicability

L 8(1)(i) Notice for payment of Gratuity Within 30 Days / Act applicability

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18/18

Register Form No. Rule Section PAYMENT OF MINIMUM WAGES ACT 1948 Due Date Compliant on Responsibility

IV 25(3) Overtime register for workers Maintain up to date

V 26(5) Muster Roll Within 2 Hrs. of commencement of Shift

X 26(1) Register of Wages, Fine, damages & Advances Maintain up to date

A Register of Wages under P.Lab. Welfare fund Rules -

BConsolidated Register of unclaimed Wages & Fines under P.Lab.

Welfare fund Rules-

III 21(4a)Annual Return for year ending 31st Dec under M.W.Act ( merged in

form 21 under factories Act )1st Feb

XI 26(2) Wage Slips A day prior to disbursement of wages

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