STATUTORY COMPLIANCE HAND BOOK

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CONTENTS
I II III IV DOCUMENTS TO BE MAINTAINED AT SITE DETAILS ABOUT THE DOCUMENTS / FORMS SAMPLE FORMS CHECK LIST TEMPLATE

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I. DOCUMENTS TO BE MAINTAINED AT SITE BY THE FACILITY TEAM Please maintain file for each vendor Every file should have the following documents in the below mentioned Order

CONTRACTOR DETAIL FORM

PRELIMINARY DOCUMENTS

MONTHLY DOCUMENTS

HALF YEARLY DOCUMENTS

ANNUAL DOCUMENTS

DECLARATION FORMS

Note : Format of above forms given at the end of this document

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II. DETAILS ABOUT THE DOCUMENTS / FORMS (a) What is contractor Detail Form? It is basically a summary about the contractors & their statutory registration details. Please get the details from each contractor for one time and fine the same in their file. (b) What are Preliminary documents? These are the documents to be collected from the vendor, for one time and to be filed in their respective file. The documents are as follows : Copy of contractor Labour (OR) Application along with security deposit details in form IV Copy of commencement & completion of contract in from VI-A Proof of having PF registration number Proof of having ESIC registration number Labour welfare Fund registration certificate copy (If applicable) Shop & Establishment registration certificate copy Professional Tax number Exemption to maintain computerized records Under Minimum Wages Act Copy Of Employment cards of the contract works in form XIV Copy of ESI cards for employees [OR] Copy of Form 3 with Return of declaration for all the works under contractors working at the site Notices to be displayed under Minimum wages Act, Payment of wages Act, Contract Labour Act (Rule 81)

(C ) What are Monthly Documents? The following are the documents to be submitted by the vendor / subcontractor, every month.

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Document along with Bill / Invoice Muster Roll in for previous month in form XVI/XII PF challan for previous to previous month ESI challan for previous to previous month Declaration / undertaking for current month Labour Welfare Fund returns (only along with bill / invoice if January/June

Other Documents on monthly basis FORM 5 under PF Act List of new workers joined with the vendor and working at the site, in pervious month. FORM 10 under PF Act List of left workers from the vendor who had worked at the site, in previous month. FORM 12A under PF Act- PF monthly returns for previous month

(d) What are the registers to be maintained under Contract Labour Act, on monthly basis? FORM XVI /XII Muster Roll FORM XVII / XIII Register of Wages FORM XX / XVI Register of Deductions FORM XXI / XVII Register of fines FORM XXII / XVIII Register of Advances FORM XXIII / XIX Register of Overtime In Maharashtra, need to maintain Form II Reg 27(1) format in lieu of all the above Wages Slips for previous month

(e) What are the half yearly documents? The vendor has to submit the returns to the labour office, ESI office, on half yearly basis. ESI half yearly returns
These returns should be submitted to the vendor, to the ESI office, two times in A years. The periods & due dates are:

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Period April to September October to March

Due Date 12th November 12th May

Copies to be Collected by FM Along with November Bill Along with May Bill

Half yearly returns to Labour office in Form XXIV This return also will happen twice a year. 1. January to June 2. July to December. Please collect the copy of the return for the period January to June, in July and July to December, in January. NOTE:- THIS IS EXEMPTED IN MAHARASHTRA

(f) What are yearly documents?

Every vendor should submit the returns to the labour commissioner, PF office, Every year. PF annual returns (form 3A & 6A) : These returns will be submitted to PF office by the vendor, every year, in March. The due date to submit to the PF office is on or before 12th May. Please collect Copy of the same. Payment of Bonus (form C) : Copy of the payment of bonus which can be collected in the month of October Bonus Returns (form D) : Copy of bonus annual returns, which can be collected in the month of March Labour welfare Fund returns These returns should be submitted to the welfare Fund office by the vendor, Twice in a year, in the month of January and June. This can be collected along with the Invoice, for the month of February.

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Contract Labour Licence Renewal Every licence will be granted or renewed shall remain in force for twelve Months from the date it is granted or renewed. So, copy of the renewed license Should be submitted by the vendor, in applicable month.

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III. SAMPLE FORMS CONTRACTOR DETAIL FORM

(to be filled by the vendor) Name of the Facility . Name of the Contractor Nature of Service Provided No. of workers through this contractor, working at the site Contract Labour Licence No. ... Valid up to . Shop & Establishment Regn No Valid up to . Labour Welfare Fund Regn No Valid up to PF Registration Number .ESI Regn No Professional Tax Number

Signature Facility Manager (name) :

Signature (Contractor)

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FORM IV
[See Rule 21 (1)] Application for Licence 1. Name and Address of the Contractor (Including his fathers name in case of Individuals) 2. 3. Date of Birth and age (In case of Individuals) Particulars of Establishment where Contract labour is to be Employed :a) Name and Address of the Establishment____________________ b) Type Of Business, Trade, Industry, Manufacture or Occupation which is carried on in the establishment on any date of the proceeding 5 years if so give details___________ c) Number and Date of Certificate of Registration of the Establishment under the Act______________________________ d) Name and Address of the Principal Employee 4. Particulars Of Contract labour :a) Nature of work in which contract Labour is Employed or is to be employed in the establishment b) During of the Proposal Contract Work (Give Particulars of Proposed date of Commencing and ending) c) Name and Address of the Agent or Manager of Contractor at the Worksite d) Maximum number of Contract labour proposed to be employed in the establishment on any date 5. Whether the Contractor was convicted of any offence, with in the Proceeding five Years, if so, give details 6. Whether there was any order against the Contractor revoking or Suspending license or for feting security deposits in respect of an Earlier contract. If so, the date of such order 7. Whether the contractor has worked in any other

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establishment Within the past five years. If so, give details of the Principal Employers, Establishment and nature of work 8. Whether a certificate by the Principal Employer, in Form V is Enclosed 9. Amount of license fee paid No. of Treasury Challan and Date 10. Amount of Security Deposit Treasury Receipt No. and Date Declaration I here by declare that the details gives above are correct to the best of my knowledge and belief. Place : Signature of the Application Date : (Contractor)

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FORM V
[See Rule 21(2)] Form of Certificate by Principal Employer

Certified that I have engaged the applicant (name of the contractor) as a contractor in my establishment. I undertake to be bound by all the provisions of the Contract Labour (Regulation and Abolition) Act, 1970, and the Contract Labour (Regulation and Abolition) Rules, 1971,in so far as the provisions are applicable to me in respect of the employment of Contract Labour by the applicant in my establishment.

Place

Date Signature of Principal Employer

Name and address of establishment

Note: This form should be printed in the principal employers letter head and it should be signed only by the authorized signatory with seal.

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FORM V-A
See Rule 24 (1-4) APPLICATION FOR ADJUSTMENT OF SECURITY DEPOSIT 1. 2. 3. 4. Name and address of the contractor No.and date of licence Date of expiry of Previous licence

Whether the licence of the contractor was suspended or revoked 5. No.and date of the treasury receipt of security deposit in respect of the previous licence 6. Amount of previous security deposit 7. No.and date of treasury receipt of the balance security deposit, if any required on the fresh contract 8. No.and date of certificate of registration Of the establishment in relation to which the new licence is applied for 9. Name and address of the principal employer 10. Particulars of fresh contract 11. Remarks

NA

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[See Rule 29 (2)]

FORM VII

Application for Renewal of Licence

1. 2. 3. 4. 5. Name and Address of the Contractor Number and date of the Licence Date of expiry of the previous Licence Whether the Licence of the contractor was suspended or revoked

Number and date of the treasury receipt

Place :

Signature of the Application Date : ( Contractor )

................................................................................................... .............................................
To be filled in the office of the Licensing officer Date of receipt of the application with Treasury receipt number & date

Signature of the Licensing Officer

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FORM XXIV
See Rule 82 (1) Return to be sent by the Contractor to the Licensing officer Half Year Ending ____________________

1. Name and address of Contractor ______________________________________________________________________________ 2. Name and address of the establishment
_______________________________________________________________________________________

3. Name and address of the Principal employer ______________________________________________________________________________ 4. Duration of contract : From _________________________________ to __________________ 5. No. of days during the half year on which (a) the establishment of the principal employer had worked ____________________________ (b) the contractors establishment had worked _______________________________________ 6. Maximum number of contract labour employed on any day during the half year : Men Women Children Total

7. (i) Daily hours of work and spread over (ii) (a) whether weekly holiday observed and on what day (b) if so, whether it was paid for (iii) No. of man hours of overtime worked 8. Number of man days worked by Men Women Children Total

9. Amount of wages paid Men Women Children Total

10. Amount of wages paid Men Women Children Total

11. Whether the following have been provided

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(i) Canteen ______________________________________________________________________________ (ii) Rest-Room ______________________________________________________________________________ (iii) Drinking-water ______________________________________________________________________________ (iv) Crches ______________________________________________________________________________ (v) First Aid ______________________________________________________________________________ (if the answer is yes state briefly standards provided) Place _____________ Date ______________ Signature of Contractor

Compliance Process

VENDOR

Submits Documents For verification

FM

Documents ok

AUDITOR

Documents OK

CENTRAL COMPLIANCE TEAM

Documents Not OK / Not Submitted

Documents Not OK

Verify Report

VENDOR

FM

FM

Documents Not OK

Report

VENDOR

CLIENT

CENTRAL COPLIANCE TEAM

C&W

CLIENT

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V - CHECK LIST
The following is the list of document to be retained at the site;
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Copy of contract Labour Licence [OR] Application along with security deposit details in form IV Copy of commencement & completion of Form VI-A Proof of having PF registration Proof of having ESI registration Labour Welfare Fund registration copy Shops & Establishment registration copy Professional Tax number Exemption to maintain computerized records Under Minimum Wages Act Notices required to be displayed under Minimum Wages Act, Payment of Wages Act, Contract Labour Act (Rule 81) Copy of Employment cards in Form XIV Copy of ESI cards for employees [OR] Copy of Form 3 with Return of declaration Register of Workmen in Form XIII Muster Roll in Form XVI / XII Register of Wages in Form XVII / XIII Register of Deductions in Form XX /XVI Register of Fines in Form XXI /XVII Register of Advances in Form XXII / XVIII Register of Overtime in Form XXIII / XIX Wages slips in Form XIX / XIV PF challan for the previous month [OR] Token of payment made to SBI of current month ESI challan for the previous month [OR] Token made to SBI of current month Declaration / Undertaking for the current month Labour Welfare Fund challan (in applicable month) PF-Form 5-of new employees joined on the site (if applicable) PF-Form 12 A copy-Monthly returns PF-Form 10 for left employees (if applicable) PF/ESI Monthly summary Format (annexure V) Declaration of Monthly Deduction and Deposit summary of PF and ESI (Monthly) & LWF (yearly)- Annexure VI ESI half yearly returns Form 5 Half yearly returns to labour office in Form XXIV (Contract Labour Act) PF returns in Form 3A & 6A (March) Bonus Returns in Form D Current Minimum Wages notification as per nature of work Labour license renewal Form VII

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