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.] 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 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
[ Valid Provisional or/and Permanent Certificates ]

NA

Policies
Employee's Manual Child Labour Policy Discrimination Policy Working Hours Policy Incentive Policy / Circulars Loan Policy Recruitment Policy / Procedure Security Plan or Policy Gate 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 DISPLAY OF NOTICES / ITEMS ON THE NOTICE BOARD / RESPECTIVE PLACES Name of Govt. Officials with their contact Nos.
Shop Inspector Labour Officer Labour Inspector

Shop Licence

15

Contractor's Licences Abstract of Standing Orders in local language Abstracts of following Act in both Hindi & English languages : Shops and Establishment Act Min. 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 Display latest minutes of meeting for various committees Sexual Harrasment & Prevention and other such in the notice boards. Important Phone nos. [ Unit Head / HR Head / Other Staff / Board nos. with intercom / Direct / Mobile / Resi ] Emergency Phone 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
Police / Fire / Ambulance ]

NA

yes

Sexual Harassment Prevention Committee Chair Persons Contact Nos.

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 available

Personal 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

15

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 All Statutory Registers Medical & Health checkup certificate of Canteen employees
[Company & Contractor]

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

15

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 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Agreement between Security Agency & Company. In - Out Time record Muster Roll Wage Sheets (Duly stamed & signed by Company's representative in confirmation of payment made in their presence) Duplicate copy of Wage Slips duly signed by employee Leave Register PF Challans ESI Challans PF Monthly Return PF Slip Issuance Record ESI Half Yearly Returns ESI Temporary Identification Slip / Permanent Card Issuance Record Half Yearly Returns [under Contract Labour Act] Annual Returns [under Factory Act] Return under Welfare Fund Rules [for unpaid amount] Bonus Payment Records 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 Photo Identity cum Attendance Card Last two bills & Cheque payment record. Fire Training / Drill / Evacuation Record [ Photographs of all trained personnel must be displayed in their respective area's. ] First Aid Training Record [ Photographs of all trained personnel must be displayed in their respective area's ] CT-PAT Training record Duty Roster Security Policy / Orders Post duty in r/o individuals

18 19 20 21 22 23 24 25

CC : GM - HR, P&A

photocopy of records available all the times in respective factory premises for

Company's representative in confirmation of payment made in their presence)

ation Record [ Photographs of all trained personnel must be displayed in their respective area's. ]

Check List Under Shops & Establishments Act 1 2 3 Name of the Establishment: Sony Music Entertainment India Pvt. Ltd. Address Nature of activity of Business i. Name of proprietor / partner / Directors/occupiers ii. Whether Registered under Factories Act, 1948 No. of workmen/employees employed i. No of Male No .of Female ii. iii. Total Category of employees/workmen & their nos. i. Unskilled Semi-skilled ii. iii. Skilled vi. Supervisor v. Managerial Whether contractual workmen employed i. No. of Contract Labour employed ii. Name & address of the contractor iii. Whether Licence obtained under Contract Labour (Regulation & Abolition) Act, 1970. iv. Whether principal employer has obtained registration certificate under Contract Labour (Regulation & Abolition) Act, 1970. Whether following statutory records are maintained. i. Appointment letter issued ii. Wages Register iii. Attendance Register/card, iv. Wage slip v. O.T. Register vi. Leave Card vii. Fine Register viii. Whether Leave book/leave card beingmaintained Coverage of employees under ESIC 1948. if applicable, if employing more than Coverage of employees under EPF & MPA 1952, if applicable. If employing more than 20 workers Whether Register A. B. C under Payment of Bonus Act, 1965 is maintained Whether Register maintained by the occupier u/s 11 of Child Labour (R&A) Act, Whether abstract of Minimum Wages Act, 1948, displayed Potential No. of workers assessed on the basis of machines installed, area of the Remarks, if any.

4 5

9 10 11 12 13 14 15

shments Act

Regular

Daily Wages

No Piece Rate

Yes

No

Yes Yes

No No

Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

No No No No No No No No No No No No No No

Register

Form

No. I

Rule R.5 / Sched. II Sched. I - B

Section

INDUSTRIAL EMPLOYMENT (STANDING ORDERS) ACT 1946 Application for Certification of Draft Standing Oders Service card

Due Date Within 6 months of applicability of Act

Compliant on

Responsibility

Page 8

Register

Form

No.

Rule

Section

NATIONAL & FESTIVAL HOLIDAYS Act Register of Festival Holidays, Casual & Sick Leave of Workers Statement of National & Festival Holidays

Due Date

Compliant on

Responsibility

7(2)

Daily

By 30th Nov.

Page 9

Register

Form

No.

Rule

Section

THE MATERNITY BENEFIT ACT, 1961 Muster Roll Annual Returns Notice of Maternity Delivery/ Miscarriage report

Due Date

Compliant on

Responsibility

Within 2 Hrs. of start of shift

K, L, M & N

16

By 21st Jan.

Receipt of Payment of Maternity Benefit

On making payment

Page 10

Register

Form

No.

Rule

Section

EMPLOYMENT EXCHANGES (COMP. NOTIFICATION OF VACANCIES) ACT 1959 Quaterly Return Jan March June Sept Dec

Due Date

Compliant on

Responsibility

ER-1

30th April

April July Oct ER-2 6

30th July

30th Oct

30th Jan

Bi-annual Return Notification of Vacancies to Local Office

30th Jan

Atleast 15 days prior to Interview

Page 11

Register

Form

No.

Rule

Section

EQUAL REMUNERATION ACT 1976 Equal Remuneration Register under the Act

Due Date

Compliant on

Responsibility

Month End

Page 12

Register

Form

No.

Para

Section

EMPLOYEES PROVIDENT FUND ACT 1952 Eligibility Register Inspection Book

Due Date

Compliant on

Responsibility

Immediately on Enrolment

Always Available

2 (Revised)

33 & 61(I)

Nomination Contribution Card Addition of Members Return of Ownership Annual contribution Statement Return of the members leaving service Declaration

Immediately on Enrolment

3A (Revised)

35 & 42 EPF 19 PEN. SCH

36(2)a EPF 20(4) PEN. SCH 10(IA) EDLIS 36(a) EPF 16 PEN. SCH 1 EDLIS

By 30th April

By 15th of following month Once in begening / Within 15 days after change of ownership By 30th April

5A

6A

43 EPF 20 (4) PEN. SCH

10

36(2)(A)(B) EPF 20(2) PEN. SCH

By 15th of following month

11
30 EPF 20(4) PEN. SCH

Immediately on Enrolment

12A

Monthly PF Return ( For previous month ) Monthly Contribution Challans

25th of following month

By 15th of following month

Page 13

Register

Form

No.

Rule

Section

PAYMENT OF BONUS ACT 1965 Computation of Allocable Surplus Set - on / Set - off of Allocable Surplus Payment of Bonus Register / Payment Annual Return

Due Date

Compliant on

Responsibility

4a

After the close of previous financial year

4b

After the close of previous financial year

4c

By 30th Nov.

By 30th Dec.

Page 14

Register

Form

No. 8 9 12 13 16 17 18 19

Rule 73 74 77(1)(a)(I) 77(1)(a)(I) 77(1)(a)(Ii) 77(1)(a)(Ii) 77(1)(a)(Ii) 77(1)(a)(iii) 17(i)

Section

CONTRACT LABOUR ACT 1970 Register of Particulars of Contractor (Part-I) / Progress of Contract Work (Part-II) Register of Workmen employed by Contractor Muster Roll Register of Wages Register of Deductions for Damage or Loss Register of Fines Register of Advance Register of Overtime

Due Date Month End Daily Within 2 Hrs. of start of shift Month End Month End Month End Month End Daily Within 30 days of engagement of Contarctor ( Intimation by HR Heads ) Within 30 days of Commencement of work ( Intimation by HR Heads ) Immediately By 1st Dec. On leaving the service By 15th July By 15th Jan Ist Day of joining A day prior to disbursement of wages

Compliant on

Responsibility

Application for Registration of establishment under the Contract Labour Application for Licence Form of Certificate by Principal Employer Application for renewal of Licence Service Certificate Half yearly return by Contractor Annual Return by Employer Certificate of Registration Licence issued to Contractor Employment Card Wages Slips Notice of Commencement / Completion of contract Work - Contractor Notice of Commencement / Completion of contract work - By Principal Employer

21(1)

12(1)

5 7 11 20 21 2 6 10 15

21(2) 29(2) 77 81(1) 81(2) 18(i) 25(1) 75 77(1)(b)

12(1)

6A

25(2)(viii)

Within 15 days of Commencement / Completion of work Within 15 days of Commencement / Completion of work

6B

81(3)

Page 15

Register

Form

No.

Rule

Section

EMPLOYEES STATE INSURANCE ACT 1948 Register of Employees Accident Book Inspection Book Declaration form

Due Date

Compliant on

Responsibility

Reg 32

After Calculation of salary

15

Reg 66

Within 48 Hrs of accident & 24 Hrs in case of fatal accident

102A

Always Available

11 & 12

To be submitted within 10 days from the Date of Appointment Covering letter for the declaration forms to be submitted in duplicate ( Separate for Males & females ) 11th May / 12th Nov.

Reg 14

Return of Declaration Return of Contributions Accident Report

Reg 26

44

16

Reg 68

48 Hours Accident case / Immediately in case of Fatal Accident Initiated by the LO to be filled in by the employer and returned to the LO Within 15 days of act becomes applicable.To be submitted within 10 days from the Date of Appointment Before the Expiry of Temporary Identification Card( Validity of TIC 13 Weeks ) By 21st of following month

28

Reg 52A

Abstention verification

01

Reg 10-B

2A

Employer's Registration Certificate

Reg 17

Identity Card Issue Record ESI Contribution Challan

Page 16

Register

Form

No.

Rule

Section

PAYMENT OF GRATUITY ACT 1972 Notice for Opening of Unit Notice of Change in Nature of Business / Name / Address of employer Notice of closure of Factory

Due Date

Compliant on

Responsibility

3(1)

Within 30 Days / Act applicability

3(2)

Within 30 Days / Act applicability

3(3)

60 Days Before closure

5(1)

2(h)(ii)

Notice for Excluding Husband from Family Nomination

As required

6(1)

Within One year of Service

7(1)

4(1)

Application for claiming Gratuity Notice for payment of Gratuity

Within 30 Days / Act applicability

8(1)(i)

Within 30 Days / Act applicability

Page 17

Register

Form

No.

Rule

Section

PAYMENT OF MINIMUM WAGES ACT 1948 Overtime register for workers Muster Roll Register of Wages, Fine, damages & Advances Register of Wages under P.Lab. Welfare fund Rules Consolidated Register of unclaimed Wages & Fines under P.Lab. Welfare fund Rules

Due Date

Compliant on

Responsibility

IV

25(3)

Maintain up to date

26(5)

Within 2 Hrs. of commencement of Shift

26(1)

Maintain up to date

III

21(4a)

Annual Return for year ending 31st Dec under M.W.Act ( merged in form 21 under factories Act ) Wage Slips

1st Feb

XI

26(2)

A day prior to disbursement of wages

Page 18