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.
Factory Licence
Approved Building Plan
Certificate of Registration of Company [Under Contract Labour (R&A) Act.]
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
Air Consent
DG Noise Pollution Certificate
Licence to Import & Store Petroleum Installation
HSIDC Sewer Connection Approval
PAN No.
Calibration Certificate of Weighing M/c & Weights
Dentist Professional Registration Certificate
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.
DG Inspection Certificate
Govt. Certificate for being an Authorised / Competent Person
Boilers Fitness Certificate from competent person
Compressor Fitness Certificate from competent person
Chains / Ropes Fitness Certificate from competent person
Lift Running permission / Fitness Certificate from competent person
Reports
Filter Inspections (installed on Drinking Water Cooler) report - Monthly
Drinking Water Test report ( Every 6 months ) Water Sample must be collected by LAB.
ETP Water Test Report
Committees [Formation Documents / Meeting Circulars / Recorded Minutes]
Canteen Committee
Health & Safety Committee
Sexual Harassment Prevention Committee
Works Committee
Policies [Essential in Hindi language also]
Employee's Manual
Child Labour Policy
Discrimination Policy
Working Hours Policy
Incentive Policy / Circulars
Loan Policy
Merit Scholarship Scheme
Recruitment Policy / Procedure
15
Security Plan or Policy
Gate Pass Policy
Security Orders
Grievance Handling Policy / Procedure
No Smoking Policy
Broken Needle disposal policy or recycling procedure
Environment Policy
Health & Safety Plan or Policy
Medical Waste Disposal Policy
Sharp Tool Control & Replacement Procedure
Use of PPE's Policy
Emergency Evacuation Plan
Emergency Medical Procedure
M/c & Transformer Oil Disposal policy
Machinery Preventive Maintenance Plan
Agreements with following (Compliance Records):
Diposal of Medical Waste
Hospital for Empanelment / Medical Health Consultation or Visiting Doctor
Canteen
House Keeping
Security
Stitching, Loading unloading
Bus Transporter
Fire Fighting agency
Weighing M/c & Weights
Water Purifying Agency
Shift Ist 2nd Not to Display
Normal Working Staggered Lunch Breaks
Time ( Information must be available )
First Half Name of Deptts. Timings
Lunch Break
Second Half
Break
Overtime Starts
( as & when require ; Females not allowed to work b/w 1900 - 0600 Hrs. )
Pay Day 7th of every month
Working Days Monday - Saturday
Weekly Off Sunday
( Compulsory Off within three days if Sunday Worked )
Shift Change Every 15 days
Name of Govt. Officials with their contact Nos.
Factory Inspector
Certifying Surgeon & Asstt. Director
Health Inspector
Lady Lab. Welfare Off.
Labour Officer
DISPLAY OF NOTICES / ITEMS ON THE NOTICE BOARD / RESPECTIVE PLACES
15
Labour Inspector
Name of following with Contact Nos.
Occupier ( With Resi. Address )
Factory Manager ( With Resi. Address )
Welfare Officer
Safety Officer
Doctor ( With Resi. Address ), if hired / appointed
Nurse ( for Ambulance Room ) if hired / appointed
Creche Attendant ( for Creche ) if hired / appointed
Factory Licence
Contractor's Licences
Certificate of Weighing M/c
Abstract of Standing Orders in local language
Abstracts of following Act in both Hindi & English languages :
Factories Act
Min. Wages Act
Payment of Wages Act
Payment of Gratuity Act
Contract Labour Act
Maternity Benefit Act
Buyers Code of Conduct ( For all buyers whom that particular unit is approved )
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 Hindi
Rate list in Canteen & Menu (Hindi)
Important Phone nos. [ Unit Head / HR Head / Other Staff / Board nos. with intercom / Direct / Mobile / Resi ]
Emergency Phone nos. [ Police / Fire / Ambulance ]
Sexual Harassment Prevention Committee Chair Persons Contact Nos.
List of all members & officials of various Committees ( with photographs )
Other Important Circulars
First Aid Chart
First Aid Content list (Hindi)
List of Medicines & their uses in local language
Electric Shock Treatment Chart (Electrical Room)
Safety awareness posters
MSDS (Hindi / English)
Broken Needle Replacement procedure
M/c Maintenance cards on Machines [ updated entries ]
List of Location of First Aid Boxes
List of Location of Medicine Boxes
List of First Aid Trained personnel along with Photographs. Last Training conducted on _________
List of Rescue Trained personnel along with Photographs. Last Training conducted on _________
List of Fire Trained personnel along with Photographs. Last Training conducted on _________
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
Not mandatory to display some times buyer demands
Display latest minutes of meeting for various committees Viz. Worker's, Sexual Harrasment &
Prevention and Canteen Managing Committee in deptt.'s notice boards.
15
List of Location of Sand Buckets
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
Labels on Drinking Water Storage Tanks [ Last Cleaned / Next Due ]
Labels on Aqua Guards [Last Serviced / Next Due]
Register of visit of Service Engineer for inspection of Aqua Guards
List of Chemicals
MSDS in local language
Labels on Chemical Container
Chemical name (Label) on Spotting guns
User's name (Label) on Tagging guns
Instructions to Display
Persons below the age of 18 yrs are not allowed to enter the factory
Child Labour Policy
Discrimination Policy
Do's & Don't in working areas / Work Instructions
Effluent Treatment Plan layout / Functioning & Dosing Instructions
Emergency Medical Procedure
Fire Instruction
First Aid Instruction
Grinding M/c Operator - Use Spec & Ear Plug
How to use Fire Extinguisher labels on each FE.
Instruction on "Uses of PPE's"
Security Order
Visitors Safety & Security
Washing Instructions
Documents to be maintained / Info. Should be available
Govt. Officials Inspection Book [Under Factories Act, Pb. Labour Welfare Fund Act, PF & ESI Acts]
Factory Area details ( Plot area, Floor area - Covered / Open area - Deptts / Sections wise )
Organisation Chart
Manpower Report
[ Company / Contractor, Male / Female, Staff / Workers, On Roll / Present, Direct / Indirect ]
No. of Employees on Trail [On the day of Audit]
No. of Employees on Probation [On the day of Audit]
List of Handicap employees
List of Designations entitled for Fooding
List of Employees availing Transport Facility
Documents to be maintained / Handy information should be available
Personal files of all employees containing following documents :
1. Application for Service
2. Trail Reports [Max.3rd Day]
3. Birth Certificate / School Leaving Certificate / Dental Certificate / Voter I.D. / Driver's License / Ration Card
4. Letter of Intent / Appointment Letter
5. Joining Report
15
6. PF [Form 2 ]
7. PF [Form 11]
8. ESI [Form 1]
9. Factories Act [Form-D]
10.Gratuity [Form-F]
11. Antecedents Verification
[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
Muster Roll
Leave Register
Wage Sheets ( Company & Contractor - Duly stamped & verified )
Wage Slips [Duplicate copy] duly signed by employee
Overtime 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
Food Checking register
Evacuation Plans with legend in Hindi & English both languages
[First Aid Boxes, Electrical Panels, Fire Extinguishers, Fire Alarms points, Hydrants & Panel & BIG MARKING -" YOU ARE HERE]
Plant Layout [Floor plans] - Sometimes required by buyers
Drinking water storage tanks cleaning Register
Desert Water Coolers cleaning register.
Diesel Consumption Record
DG Set Running Record
Boiler Running Record
Chemical IN & OUT Record
Chemical Consumption Record ( for each chemical )
Effluent Treatment Plant Logbook [ Chemical Dosing / Energy Consumption ]
Effluent Treatment Plant Sludge Dumping / Storage Record
Ph Value Checking register [Water used for Washing] / Litmus paper should be available
Sharp Tool Receive & Issue Record
Sharp Tool Replacement Record
List of Electrical Equipments ( with Model / Make / Capacity / Qty.)
List of Machinery ( with Model / Make / Qty.)
No. of Sewing Machines Stored
M/c Breakdown list
Broken Needle Record
Needle Detection M/c Calibration records
15
Fire Fighting equipments monthly maintenance register.
Fire Training Record [ Fire Training, Mock & Evacuation drill record, Certificates & Photographs ]
List of Exits / Emergency Exits
List of Assembly points
Documents to be maintained / Handy information should be available
Accident Record Register ( Cause, Treatment given & Remedial Action )
Accident Record Register ( Cause, Treatment given & Remedial Action )
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 points
No. 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
Personal Protective Equipments should always be available
Cloth masks [Overlock Operators / Cutting M/c Operators]
Cutting Mesh wire Gloves
Ear Plug / Ear Mufflers
Gumboots
PVC Apron
Respirators [Masks] - of 3M
Rubber Gloves
Safety / Welfare / Informatory
Towel Hanger / Towel in Toilets
Soap Dispenser in Toilets
Hand Dryers in Toilets
Yellow lines
Aero Marking for Evacuation Route
Zebra Marking Back - Fire Ext. / Floor - Below Fire Ext., MCB Panel, Distribution Boards
Boarder to be provided on the zebra marking marked at floor only.
Red Border [2" Wide at the height of 80"] where FIRE EXTINGUISHERS installed on Pillar
Danger marking Sticker ( for Electrical & Chemical use )
Department Name plates
Operations Name Plates
First & Medicine Aid Box ( Duly Equipped )
Compliant Box
Suggestion Box
Eye Wash Fountain
Red Box [Write on the Box - NEEDLE FAILURE FOR DESTRUCTION] near Needle Detection m/c
15
Bags to thread trimmers
Fire / First Aid / Rescue Team members wearing Arm Bands
Pallets / Racks should be in place for Keeping Fabric & other material
Covers on sewing m/cs not in use
Sewing M/c Electrical Wire is Clipped underneath
Rubber pad on M/c Pedals
Needle Guards
Pulley Guards ( Machine / Motor )
Glasses on Over lock m/c
Scissors & Clipper are clipped and hanged
Proper Earthing
Fencing of Transformer
Fencing of Main Electrical Panels
Fencing of Compressor
Fencing of Boiler
Safety / Welfare / Informatory
All MCB panel, Distribution boards are marked for their locations (In Hindi)
Mono Block Pumps are in shade / Covered
Stabilizers are caged
Acoustic Enclosure on Genset
Exhaust Fans [ Working Areas, Toilets, Kitchen etc ]
Grills on Exhaust fans if below standard height
Insulation on Steam Pipes
Louvers on Exhaust Fans
Emergency Lights on Stairs / Stairwell, All Exits
Bus bar / Steel Wire for holding Electrical wire of Straight Knife Cutting M/cs (above Cutting Table)
Rubber mats
Pressman, Electrical Panel, Meter Room, Drinking water posts, Chemical Store, Washing M/c, Perk M/c
Rubber Plate for Keeping Press
Teflon shoes on Steam Press
Temperature checking Strip for Fusing M/c
Cotton Thread or Matt on Heat Conducting pipes
Iron Wire Flexible Stand for Press
Centrifugal Breaks on Hydro
Limit switch on Hydro & Tumbler
Temperature meter on Washing M/c
Thermostat on Press
Threads (Perforation) on Stair's step
Handrails on both side of stairs
Identified Areas for
Spotting with Exhaust ducts
Pressing with Exhaust ducts
First Aid & Medicine Boxes [Unlocked & fully equipped]
ETP Sludge Dumping / Storage area
Empty Chemical Containers storage area - LOCKED & KEYS with authorised person / Safe Disposal
Marking on floor for Parking of Company Vehicles
15
Marking on floor for Parking of Visitors Vehicles
Marking on floor for Parking of Commercial Vehicles
Teams
First Aid Trained
Fire Fighting Trained Formation of Emergency Response Team
Rescue Operation Trained
Safety
Training
Security Policy Training
Code of Conduct [ OCL / Buyers ]
Fire Fighting Procedure
Fire Mock Drill
Evacuation Drill
First Aid Training
Health & Safety - Electricians & Mechanics
Kaj Button, Overlock & Cutting M/c Operator
Chemical Safety
Cleanliness & Health
General Safety & Security
15
S.No.
Compliance Requirement - Industrial Safety
Status Remarks
Certificates / Registrations / Licences / NOC's / Approvals / Sanctions
1 NOC from Local Fire Department
2 Water & Air Consent
3 DG Noise Pollution Certificate
4 Licence to Import & Store Petroleum
5 HSIDC Sewer Connection Approval
6 Calibration Certificate of Weighing M/c & Weights
7 Electricity Load Sanction Certificate
8 Certificate from Electorate Deptt., GGN.for Inspection of DG / Electrical Installation
9 Govt. Certificate for being an Authorised Competent Person for Inspecting & Issuing Fitness Certificate
10 Boilers Fitness Certificate from competent person
11 Compressor Fitness Certificate from competent person
12 Chains / Ropes Fitness Certificate from competent person
13 Lift running permission / Fitness Certificate from competent person
14 Certificate of Weighing M/c
Reports
15 Filter Inspections (installed on Drinking Water Cooler) report - Monthly
16 Drinking Water Test report for Micro Organism Analysis ( Every 6 months ) Water Sample must be collected by LAB.
17 ETP Inlet & Outlet Water Test (including Heavy Metals) Report
Committees
18 Health & Safety Committee - Formation Documents / Meeting Circulars / Recorded Minutes
Policies ( Also in Local language)
19 Health & Safety Plan or Policy
20 Environment Policy
21 Emergency Evacuation Procedure
22 Use of PPE's Policy
23 Broken Needle disposal policy or recycling procedure
24 Sharp Tool Control & Replacement Procedure
25 No Smoking Policy
26 Machinery Preventive Maintenance Plan
27 M/c & Transformer Oil Disposal policy
Display on Notice Board / Respective Work Areas
28 Important Phone nos. [ Unit Head / HR Head / Other Staff / Board nos. with intercom / Direct / Mobile / Resi ]
29 Emergency Phone nos. [ Police / Fire / Ambulance ]
30 Safety awareness posters
31 Electric Shock Treatment Chart (Electrical Room)
32 List of No. of Camera's with Location
33 List of Location of Fire Extinguishers [With Type / Capacity / Re-filling date / Validity]
34 Labels on Fire Extinguishers - Inspected on Monthly basis / Max. Height of Top of F.E. 5 Feet
Page 9 of 34
S.No.
Compliance Requirement - Industrial Safety
Status Remarks
35 List of Location of Sand Buckets
36 List of Location of Fire Alarm Panel
37 List of Location of Fire Alarm Points
38 List of Location of Fire Hydrant Points
39 List of Location of Hose Reel with Nos.
40 List of Chemicals
41 MSDS in local language
42 Labels on Chemical Container
43 Chemical name (Label) on Spotting guns
44 User's name (Label) on Tagging guns
45 Certificate of Weighing M/c
46 Register of visit of Service Engineer for inspection of Water Purifier Unit
Instructions to Display
47 Do's & Don't in working areas
48 Work Instructions
49 Safety Instruction
50 Emergency Evacuation Procedure (Near all Evacuation Plans)
51 How to use Fire Extinguisher labels on each FE.
52 Instruction on "Uses of PPE's"
53 Washing Instructions
54 Effluent Treatment Plan layout / Functioning & Dosing Instructions
Documents to be maintained / Handy information should be available
55 Evacuation Plans with legend in Hindi & English both languages
56 [First Aid Boxes, Electrical Panels, Fire Extinguishers, Fire Alarms points, Hydrants & Panel & BIG MARKING -" YOU ARE HERE]
57 Plant Layout [Floor plans] - Sometimes required by buyers
58
Chemical IN & OUT Record
59 Chemical Consumption Record ( for each chemical )
60
PH Value Checking register [Water used for Washing] / PH Meter / Litmus paper
61 Sharp Tool Issue & Receive Record
62
Sharp Tool Replacement Record
63 Broken Needle Record
64
Disposal Needle Record
65 Needle Record for Off Machine
66
Needle Detection M/c Calibration records
67 Fire Fighting equipments monthly maintenance register
68
Fire Training Record [ Fire Training, Mock & Evacuation drill record, Certificates & Photographs ]
69 List of Exits / Emergency Exits
70
List of Assembly points
71 List of Emergency lights with locations
Page 10 of 34
S.No.
Compliance Requirement - Industrial Safety
Status Remarks
72
Health & Safety Checklist
73 DG Set Running Record
74
Boiler Running Record
75 Diesel Consumption Record
76
Effluent Treatment Plant Logbook [ Chemical Dosing / Energy Consumption ]
77 Effluent Treatment Plant Sludge Dumping Storage Record
78
List of Machinery ( with Model / Make / Qty.)
Asked for
79 Latest bill or Payment record against refilling of Extinguisher
80 Latest bill or Payment record against AMC of Video Camera / Recording system
Personal Protective Equipments
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
Safety / Informatory Requirements
96 Inspection of Video Cameras
97 Recorded Tapes of Video Cameras
98 All MCB panel, Distribution boards be marked for their locations (In Hindi) & Empty space be covered
99 Mono Block Pumps are in shade / Covered
Cutting M/c Operator
Persons serving Food / Snacks in Canteen, Person preparing
Food / Snacks in Canteen, Person using raw material / food
grains in Canteen
Thimbles
Gloves (Cotton) Production employees (During White garment Production)
Overlock Operators, Edge Cutting M/c Operator, Cutting M/c
Operator
Person handling Chemicals, Spotter in Spotting Room
Gum Boots
Apron (Cloth)
Apron (PVC)
Cap (Disposable)
100% workers of Cutting, 100% workers of Canteen (Except for
person cleaning utensils)
Person cleaning Utensils, Grinding M/c Operator, Washing M/c
Operator, Extractor (Hydro) Operator, Tumbler Operator
Cutting M/c Operator, 100% workers of Cutting, Overlock
Operators, Edge Cutting M/c Operator
Washing - Tumbler - Hydro m/c Operator, Chemical Room
DG Set Operator, Boiler Operator
Spotter, Person handling Chemicals, Drill M/c Operator
Button m/c Operators
Glasses Black / Dark Goggles
Gloves (Leather)
Gloves (Meshwire)
Gloves (Polythene)
Welder
Person cleaning Utensils, Washing M/c Operator, Extractor
(Hydro) Operator, Tumbler Operator
Hand Needle Users
Gloves (Rubber) - Thick
Gloves (Rubber), Surgical / Normal
Goggle
Mask (Cloth / Dust)
Mask (Fume)
Page 11 of 34
S.No.
Compliance Requirement - Industrial Safety
Status Remarks
100 Stabilizers are caged
101 Acoustic Enclosure on Genset
102 Exhaust Fans [ Working Areas, Toilets, Kitchen etc ]
103 Grills on Exhaust fans if below standard height of 7' / 84 inches
104 Louvers on Exhaust Fans
105 Heat Conducting Pipes be Insulated by Silver foil / Cotton Thread / Mat
106 Emergency Lights on Stairs / Stairwell, All Exits
107 Bus Bar / Steel Wire for holding Electrical wire of Straight Knife Cutting M/cs (above Cutting Table)
108
109 Rubber Plate for Keeping Press
110 Teflon shoes on Steam Press
111 Temperature checking Strip for Fusing M/c
112 Flexible Iron Wire Stand for Press
113 Centrifugal Breaks on Hydro
114 Limit switch on Washing M/c, Hydro & Tumbler
115 Temperature meter on Washing M/c & Tumbler
116 Thermostat on Press
117 Threads (Perforation) on Stair's step
118 Handrails on both side of stairs
119 Pulley Guards ( Machine / Motor )
120 Proper Earthing of all electrical equipment
121 Fencing of Transformer
122 Fencing of Main Electrical Panels
123 Fencing of Compressor
124 Fencing of Boiler
125 Eye Wash Fountain
126 Bags to thread trimmers
127 Red Box [Write on the Box - NEEDLE FAILURE FOR DESTRUCTION] near Needle Detection m/c
128 Yellow lines
129 Aero Marking for Evacuation Route
130 Zebra Marking
131 Red Border [2" Wide at the height of 80"] where FIRE EXTINGUISHERS installed on Pillar
132 Danger marking Sticker ( for Electrical & Chemical use )
133 Department Name plates
134 Operations Name Plates
135 Suggestion / Grievance Box
136 Fire / First Aid / Rescue Team members wearing Arm Bands
Back - Fire Ext. / Floor - Below Fire Ext., MCB Panel, Distribution Boards
Boarder to be provided on the zebra marking marked at floor only.
Rubber mats - Pressman, Drinking water posts, Chemical Store, Washing M/c, Perk M/c, Spotting
M/c, DG Room, Boiler Room, Meter Room, Electrical Panel
Page 12 of 34
S.No.
Compliance Requirement - Industrial Safety
Status Remarks
137 Needle Guards
138 Scissors & Clipper are clipped and hanged
Identified Areas for
139 Spotting with Ducts / Exhaust fans
140 Pressing with Ducts / Exhaust fans
141 ETP Sludge Dumping Storage area
142 Chemical Containers & Empty Containers - Storage area - LOCKED & KEYS with authorised person
143 Marking on floor for Parking of Company Vehicles (Inside factory)
144 Marking on floor for Parking of Commercial Vehicles (Inside factory)
145 Marking on floor for Parking of Visitors Vehicles (Outside factory)
Teams
146 Fire Fighting / Rescue Operation Trained Personnel - Emergency Response Teams
Training
147 Fire Mock Drill (including Fire Fighting Equipment handling Procedures)
148 Emergency Evacuation Drill
149
150
Health & Safety
Preventive Safety Measures (Do & Don't, Uses of PPE's & Chemical Handling Procedures) - for
Electricians, Mechanics, DG Operator, Lift Operator, Kaj Button, Overlock & Cutting M/c Operator,
Canteen Employees, Spotters, Personnel handling chemicals
Sharp Tool Control Procedure - Needle, Blade & Thread Cutter
Page 13 of 34
Pls. arrange to keep the following documents ready by ___________ for _______________Audit in r/o Unit ______
1 In - Out Time record*
2 Muster Roll*
3 Wage Sheets*
(Duly stamed & signed by Company's representative in confirmation of payment made in their presence)
4 Duplicate copy of Wage Slips duly signed by employee*
5 OT Register*
6 Leave Register*
7 PF Challans*
8 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 Loan Records*, if any
17 Bonus Payment Records*
18 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)
19 Trail Report, if any of new employee*
20 Age proof alongwith Photograph *, where ever required.
21 Attendance cum Identity Cards of should be issued to all. Any 5 ID cards required on the day of Audit.
22 Manpower Status [ On Roll & Present( Male / Female ) - Company / Contractor Separate ]
23 Govt. Officials Inspection Book [Under Factories Act, Pb. Labour Welfare Fund Act, PF & ESI Acts]
24 Works Commiittee Documentation alongwith Minutes of Meeting records [Updated]
25 Safety Commiittee Documentation alongwith Minutes of Meeting records [Updated]
26 Canteen Committee Documentation alongwith Minutes of Meeting records [Updated]
27 Sexual Harassment Prevention Commiittee Documentation alongwith Minutes of Meeting records [Updated]
28 Policy Manual
29 Certified Standing Orders
30 Grievance Handling Policy / Procedure
31 Employee manual
32 Fire Fighting equipments monthly maintenance register
33 Last two bills & payment record of refilling of Fire Extinguishers.
34 Fire Training / Drill / Evacuation Record* [ Photographs of all trained personnel must be displayed in their respective deptt.'s. ]
35 First Aid Record [ Photographs of all trained personnel must be displayed in their respective deptt.'s. ]
36
37 Chemical IN-OUT Records
Training Records [COC, Health & Safety - Electricians & Mechanics, Kaj Button, Overlock & Cutting
M/c Operator, PPE uses, Chemical Safety, Cleanliness & Health, General Safety & Security]
38 Chemical Consumption Records
39 Sharp Tool Receive & Issue Record
40 Drinking Water Test report ( every 6 months - Sample must be collected by LAB )
41 Medical & Health checkup certificate of Canteen employees
42 Food Checking register
43 Broken Needle Record
Note :
Keep records ready for the period from Aug., 04 onwards to till date.Main focus on records from Jan.,05 onwards.
' * ' means records of Company & Contractor's employees.
Pls. check the following must be available & in use on the date of audit :
1 PVC Appron
2 Gumboots
3 Rubber Gloves
4 Steel Meshwire Gloves in Cutting
5 Respirators [Masks] - of 3M
6 Scissors clipped / hanged
7 Needle Guards
8 Goggles or Eye guard on Button M/c
9 First Aid Boxes unlocked & fully equipped with medicines
10 Tagging Guns with labels of Name
11 Spotting guns with label Name of Chemical
12 Chemical Container [ with labels ]
Agreement with Pearl Styles Ltd. (updated)
Salary & OT Bill
Govt. Officials Inspection Book [Under Factories Act, Pb. Labour Welfare Fund Act, PF & ESI Acts]
Pls. arrange to keep the following documents ready by ___________ for _______________Audit in r/o Unit ______
(Duly stamed & signed by Company's representative in confirmation of payment made in their presence)
Attendance cum Identity Cards of should be issued to all. Any 5 ID cards required on the day of Audit.
Sexual Harassment Prevention Commiittee Documentation alongwith Minutes of Meeting records [Updated]
Fire Training / Drill / Evacuation Record* [ Photographs of all trained personnel must be displayed in their respective deptt.'s. ]
Keep records ready for the period from Aug., 04 onwards to till date.Main focus on records from Jan.,05 onwards.
Pls. arrange to maintain & retain photocopy of records available all the times in respective factory premises for
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 presence)
5 Duplicate copy of Wage Slips duly signed by employee
6 Leave Register
7 PF Challans
8 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 Records
17 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 area's. ]
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
Pls. arrange to maintain & retain photocopy of records available all the times in respective factory premises for
(Duly stamed & signed by Company's representative in confirmation of payment made in their presence)
Fire Training / Drill / Evacuation Record [ Photographs of all trained personnel must be displayed in their respective area's. ]
CERTIFICATES / APPROVALS :
1 Load Sanction record
2 Annual inspection record of Old DG sets
3 Running permission of two new DG Sets, if available
4 Boilers Fitness Certificate from competent person
REGISTERS :
5 Boiler Running record
6 DG Set Running record
7 Diesel Consumption Record
8 Effluent Treatment Plant Logbook [ Chemical Dosing / Energy Consumption ]
9 Effluent Treatment Plant Sludge Dumping / Storage Record
REPORTS / RECORDS :
10 List of Machinery ( with Model / Make / Qty.)
11 List of Electrical Equipments ( with Model / Make / Capacity / Qty.)
12 No. of Sewing Machines Stored
13 M/c Breakdown list
14 Machinery Preventive Maintenance Plan, if available
Registers Form No. Rule Section FACTORIES ACT 1948 Due Date Compliant on Responsibility
7 18 Record of Lime Washing Painting Month End
9 83 Register of Compensatory Holidays Daily / Month End
10 85 Overtime Muster Roll for exempted Workers Daily / Month End
11 86 Notice of Period of work for Adult Workers -
12 37 Register of Adult Worker Immediately on Joining
15 94 Register of Leave with Wages Month End
25 110 Muster Roll Within 2 Hrs. of start of shift
26 111 Register of Accident and Dangerous Occurance Month End
35 112 Inspection Book Always Available
36 86 Attendence, Leave with wages / Adult Workers Register Month End
1 3
Application for Permission to Construct, extend or take into use any
building as a Factory
Within 30 Days of Act applicability
1A 3 Particulars of rooms in the Factory Within 30 Days of Act applicability
1B 4 Certificate of Stability of a factory or part of a factory
To be submitted after completion &
before working
2 10 6 & 7 Grant or Renewal of Factory Licence By 1st Dec.
2A 15A Notice of change of Factory Manager / Occupier Within 7 days of such change
15 95 Leave Book Issued within One month of DOJ
18 103 Notice of Accident or Dangerous Occurrence resulting in boildy injury
Within 12 Hrs of Fatal Accident /
Within 48 Hrs. of Non Fatal Accident
21 107 Annual Return Period ending 31st Dec. By 15th Jan.
22 107(3) Half Yearly Return Period ending 30th June By 15th July
31 107(4) Accident Annual Return [ merged in form 21 ] By 15th Jan.
9 Amendment of Licence Within 30 Days of any change
13 Loss of Licence Immediately after notice of loss
Page 21
Register Form No. Rule Section INDUSTRIAL EMPLOYMENT (STANDING ORDERS) ACT 1946 Due Date Compliant on Responsibility
I
R.5 /
Sched. II
Application for Certification of Draft Standing Oders Within 6 months of applicability of Act
V Sched. I - B Service card -
Page 22
Register Form No. Rule Section
PB. INDL. EST. (NATIONAL & FESTIVAL HOLIDAYS, SICK &
CASUAL LEAVE) RULES 1966
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.
Page 23
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.
F 6 Receipt of Payment of Maternity Benefit On making payment
Page 24
Register Form No. Rule Section THE WORKMEN'S COMPENSATION ACT 1923 Due Date Compliant on Responsibility
A 6(1) 8(1) Deposit of Compenstion for Fatal Accident As soon as possible
AA 6(1) 8(1) Deposit of Compenstion for Non Fatal to a Woman As soon as possible
D 9 8(2) Deposit of Compenstion for Non Fatal Accident As soon as possible
EE 11 10B Report of Fatal accident & serious injuries Within 7 days
Page 25
Register Form No. Rule Section
EMPLOYMENT EXCHANGES (COMP. NOTIFICATION OF
VACANCIES) 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
Page 26
Register Form No. Rule Section EQUAL REMUNERATION ACT 1976 Due Date Compliant on Responsibility
D 6 Equal Remuneration Register under the Act Month End
Page 27
Register Form No. Para Section EMPLOYEES PROVIDENT FUND ACT 1952 Due Date Compliant on Responsibility
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
5
36(2)a EPF
20(4) PEN. SCH
10(IA) EDLIS
Addition of Members By 15th of following month
5A
36(a) EPF
16 PEN. SCH
1 EDLIS
Return of Ownership
Once in begening / Within 15 days after
change of ownership
6A
43 EPF
20 (4) PEN. SCH Annual contribution Statement By 30th April
10
36(2)(A)(B) EPF
20(2) PEN. SCH Return of the members leaving service By 15th of following month
11 Declaration Immediately on Enrolment
12A
30 EPF
20(4) PEN. SCH Monthly PF Return ( For previous month ) 25th of following month
Monthly Contribution Challans By 15th of following month
Page 28
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.
Page 29
Register Form No. Rule Section CONTRACT LABOUR ACT 1970 Due Date Compliant on Responsibility
8 73
Register 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) 1
Application for Registration of establishment under the Contract
Labour
Within 30 days of engagement of
Contarctor ( Intimation by HR Heads )
4 21(1) 12(1) Application for Licence
Within 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 - Contractor
Within 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
Page 30
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 Book
Within 48 Hrs of accident & 24 Hrs in
case of fatal accident
102A Inspection Book Always Available
1 11 & 12 Declaration form
To be submitted within 10 days from the
Date of Appointment
3 Reg 14 Return of Declaration
Covering 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 Report
48 Hours Accident case / Immediately in
case of Fatal Accident
28 Reg 52A Abstention verification
Initiated by the LO to be filled in by the
employer and returned to the LO
01 Reg 10-B 2A Employer's Registration Certificate
Within 15 days of act becomes
applicable.To be submitted within 10
days from the Date of Appointment
4 Reg 17 Identity Card Issue Record
Before the Expiry of Temporary
Identification Card( Validity of TIC 13
Weeks )
ESI Contribution Challan By 21st of following month
Page 31
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
Page 32
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 -
B
Consolidated 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
Page 33
Register Form No. Rule Section WATER ACT, 1974 / AIR ACT, 1981 Due Date Compliant on Responsibility
Log Book - Dosing of Chemicals used in ETP Daily
Log Book - Consumption of Electricty by Electrical Pump Daily
B Application for Water Consent By 28th Feb.
I Application for Air Consent By 28th Feb.
Certificate on Noise Level of DG Sets
On installation of Acoustic Enclosure on
DG Sets
Page 34