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

15

Recruitment Policy / Procedure

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

15

Health Inspector
Lady Lab. Welfare Off.
Labour Officer
Labour Inspector

Name of following with Contact Nos.

Occupier ( With Resi. Address )
Factory Manager ( With Resi. Address )
Welfare Officer
Safety Officer

Not mandatory to display some times buyer demands

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)
Display latest minutes of meeting for various committees Viz. Worker's, Sexual Harrasment &
Prevention and Canteen Managing Committee in deptt.'s notice boards.
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

15

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

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

15

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
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

15

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
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.

15

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
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

15

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
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

Water & Air Consent

DG Noise Pollution Certificate

Licence to Import & Store Petroleum

HSIDC Sewer Connection Approval

Calibration Certificate of Weighing M/c & Weights

Electricity Load Sanction Certificate

Certificate from Electorate Deptt., GGN.for Inspection of DG / Electrical Installation

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

Page 9 of 33

S.No.

Compliance Requirement - Industrial Safety

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

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

Status

Remarks

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

Page 10 of 33

S.No.

Compliance Requirement - Industrial Safety

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

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.)

Status

Remarks

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

Apron (Cloth)

100% workers of Cutting, 100% workers of Canteen (Except for

person cleaning utensils)

82

Apron (PVC)

Person cleaning Utensils, Grinding M/c Operator, Washing M/c

Operator, Extractor (Hydro) Operator, Tumbler Operator

83

Cap (Disposable)

Cutting M/c Operator, 100% workers of Cutting, Overlock

Operators, Edge Cutting M/c Operator

84

Glasses Black / Dark Goggles

Welder

85

Gloves (Leather)

Person cleaning Utensils, Washing M/c Operator, Extractor

(Hydro) Operator, Tumbler Operator

86

Gloves (Meshwire)

Cutting M/c Operator

87

Gloves (Polythene)

Persons serving Food / Snacks in Canteen, Person preparing

Food / Snacks in Canteen, Person using raw material / food
grains in Canteen

88

Gloves (Rubber) - Thick

DG Set Operator, Boiler Operator

89

Gloves (Rubber), Surgical / Normal

Spotter, Person handling Chemicals, Drill M/c Operator

90

Gloves (Cotton)

Production employees (During White garment Production)

91

Goggle

Button m/c Operators

92

Gum Boots

Washing - Tumbler - Hydro m/c Operator, Chemical Room

93

Mask (Cloth / Dust)

Overlock Operators, Edge Cutting M/c Operator, Cutting M/c

Operator

94

Mask (Fume)

Person handling Chemicals, Spotter in Spotting Room

Page 11 of 33

S.No.
95

Compliance Requirement - Industrial Safety

Thimbles

Status

Remarks

Hand Needle Users

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

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

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

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

Page 12 of 33

S.No.

Compliance Requirement - Industrial Safety

Status

Remarks

Back - Fire Ext. / Floor - Below Fire Ext., MCB Panel, Distribution Boards
Boarder to be provided on the zebra marking marked at floor only.

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

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

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

150

Sharp Tool Control Procedure - Needle, Blade & Thread Cutter

Page 13 of 33

Pls. arrange to keep the following documents ready by ___________ for _______________Audit in r/o Unit ______
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
35

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*
OT Register*
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]
Loan Records*, if any
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)
Trail Report, if any of new employee*
Age proof alongwith Photograph *, where ever required.
Attendance cum Identity Cards of should be issued to all. Any 5 ID cards required on the day of Audit.
Manpower Status [ On Roll & Present( Male / Female ) - Company / Contractor Separate ]
Govt. Officials Inspection Book [Under Factories Act, Pb. Labour Welfare Fund Act, PF & ESI Acts]
Works Commiittee Documentation alongwith Minutes of Meeting records [Updated]
Safety Commiittee Documentation alongwith Minutes of Meeting records [Updated]
Canteen Committee Documentation alongwith Minutes of Meeting records [Updated]
Sexual Harassment Prevention Commiittee Documentation alongwith Minutes of Meeting records [Updated]
Policy Manual
Certified Standing Orders
Grievance Handling Policy / Procedure
Employee manual
Fire Fighting equipments monthly maintenance register
Last two bills & payment record of refilling of Fire Extinguishers.
Fire Training / Drill / Evacuation Record* [ Photographs of all trained personnel must be displayed in their respective deptt.'s. ]
First Aid Record [ Photographs of all trained personnel must be displayed in their respective deptt.'s. ]

36
37
38
39
40
41
42
43

Training Records [COC, Health & Safety - Electricians & Mechanics, Kaj Button, Overlock &
Cutting M/c Operator, PPE uses, Chemical Safety, Cleanliness & Health, General Safety &
Security]
Chemical IN-OUT Records
Chemical Consumption Records
Sharp Tool Receive & Issue Record
Drinking Water Test report ( every 6 months - Sample must be collected by LAB )
Medical & Health checkup certificate of Canteen employees
Food Checking register
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
2
3
4
5
6
7
8
9
10
11
12

PVC Appron
Gumboots
Rubber Gloves
Steel Meshwire Gloves in Cutting
Respirators [Masks] - of 3M
Scissors clipped / hanged
Needle Guards
Goggles or Eye guard on Button M/c
First Aid Boxes unlocked & fully equipped with medicines
Tagging Guns with labels of Name
Spotting guns with label Name of Chemical
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]

cumentation alongwith Minutes of Meeting records [Updated]

raphs of all trained personnel must be displayed in their respective deptt.'s. ]

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

18
19
20
21
22
23
24
25

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

CC : GM - HR, P&A

CERTIFICATES / APPROVALS :
1
2
3
4

Load Sanction record

Annual inspection record of Old DG sets
Running permission of two new DG Sets, if available
Boilers Fitness Certificate from competent person

REGISTERS :
5
6
7
8
9

Boiler Running record

DG Set Running record
Diesel Consumption Record
Effluent Treatment Plant Logbook [ Chemical Dosing / Energy Consumption ]
Effluent Treatment Plant Sludge Dumping / Storage Record

REPORTS / RECORDS :
10
11
12
13
14

List of Machinery ( with Model / Make / Qty.)

List of Electrical Equipments ( with Model / Make / Capacity / Qty.)
No. of Sewing Machines Stored
M/c Breakdown list
Machinery Preventive Maintenance Plan, if available

Registers

Form

Section

FACTORIES ACT 1948

No.

Rule

18

Record of Lime Washing Painting

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

15

94

Register of Leave with Wages

25

110

Muster Roll

26

111

Register of Accident and Dangerous Occurance

35

112

Inspection Book

36

86

Attendence, Leave with wages / Adult Workers Register

Application for Permission to Construct, extend or take into use any

building as a Factory

Within 30 Days of Act applicability

1A

Particulars of rooms in the Factory

Within 30 Days of Act applicability

1B

Certificate of Stability of a factory or part of a factory

To be submitted after completion &

before working

10

2A

15A

15

95

Leave Book

18

103

Notice of Accident or Dangerous Occurrence resulting in boildy injury

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.

6&7

Grant or Renewal of Factory Licence

Notice of change of Factory Manager / Occupier

Due Date

Compliant on

Responsibility

Month End

Immediately on Joining
Month End
Within 2 Hrs. of start of shift
Month End
Always Available
Month End

By 1st Dec.
Within 7 days of such change
Issued within One month of DOJ
Within 12 Hrs of Fatal Accident /
Within 48 Hrs. of Non Fatal Accident

Amendment of Licence

Within 30 Days of any change

13

Loss of Licence

Immediately after notice of loss

Page 20

Register

Form

No.

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

Compliant on

Responsibility

Within 6 months of applicability of Act

-

Page 21

Register

Form

No.

Rule

7(2)

Section

PB. INDL. EST. (NATIONAL & FESTIVAL HOLIDAYS, SICK &

CASUAL LEAVE) RULES 1966

Due Date

Register of Festival Holidays, Casual & Sick Leave of Workers

Daily

Statement of National & Festival Holidays

Compliant on

Responsibility

By 30th Nov.

Page 22

Register

Form

Section

THE MATERNITY BENEFIT ACT, 1961

No.

Rule

Muster Roll

K, L, M & N

16

Annual Returns

Receipt of Payment of Maternity Benefit

Due Date

Compliant on

Responsibility

Within 2 Hrs. of start of shift

By 21st Jan.
On making payment

Page 23

Register

THE WORKMEN'S COMPENSATION ACT 1923

Form

No.

Rule

Section

Due Date

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

8(2)

Deposit of Compenstion for Non Fatal Accident

As soon as possible

EE

11

10B

Report of Fatal accident & serious injuries

Compliant on

Responsibility

Within 7 days

Page 24

Register

Form

No.

Rule

ER-1

Section

EMPLOYMENT EXCHANGES (COMP. NOTIFICATION OF

VACANCIES) ACT 1959

ER-2

Compliant on

Responsibility

Quaterly Return
Jan

Due Date

March

30th April

April -

June

30th July

July -

Sept

30th Oct

Oct -

Dec

30th Jan

Bi-annual Return

Notification of Vacancies to Local Office

30th Jan
Atleast 15 days prior to Interview

Page 25

Register

Form

No.

Rule

Section

EQUAL REMUNERATION ACT 1976

Due Date

Equal Remuneration Register under the Act

Month End

Compliant on

Responsibility

Page 26

Register

Form

No.

Para

Section

EMPLOYEES PROVIDENT FUND ACT 1952

Eligibility Register

Inspection Book
Nomination

Due Date

Compliant on

Responsibility

Immediately on Enrolment
Always Available

2 (Revised)

33 & 61(I)

Immediately on Enrolment

3A (Revised)

35 & 42 EPF
19 PEN.
SCH

Contribution Card

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

10

11

12A

By 30th April

43 EPF
20
(4) PEN. SCH

Annual contribution Statement

By 30th April

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

Return of the members leaving service

By 15th of following month

Declaration

Immediately on Enrolment

30 EPF

20(4) PEN. SCH

Monthly PF Return ( For previous month )

Monthly Contribution Challans

25th of following month

By 15th of following month

Page 27

PAYMENT OF BONUS ACT 1965

Due Date

4a

Computation of Allocable Surplus

After the close of previous financial year

4b

Set - on / Set - off of Allocable Surplus

After the close of previous financial year

4c

Payment of Bonus Register / Payment

By 30th Nov.

Annual Return

By 30th Dec.

Register

Form

No.

Rule

Section

Compliant on

Responsibility

Page 28

CONTRACT LABOUR ACT 1970

Due Date

73

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

Work (Part-II)

Month End

74

Register of Workmen employed by Contractor

12

77(1)(a)(I)

Muster Roll

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

17(i)

21(1)

21(2)

29(2)

11

77

20

81(1)

Half yearly return by Contractor

By 15th July

21

81(2)

Annual Return by Employer

By 15th Jan

18(i)

Certificate of Registration

25(1)

Licence issued to Contractor

10

75

15

77(1)(b)

6A

6B

Register

Form

No.

Rule

Section

Within 2 Hrs. of start of shift

Within 30 days of engagement of

Contarctor ( Intimation by HR Heads )

12(1)

Application for Licence

Within 30 days of Commencement of

work ( Intimation by HR Heads )

12(1)

Form of Certificate by Principal Employer

Immediately

Application for renewal of Licence

By 1st Dec.

Employment Card

Responsibility

Daily

Application for Registration of establishment under the Contract

Labour

Service Certificate

Compliant on

On leaving the service

Ist Day of joining

Wages Slips

A day prior to disbursement of wages

25(2)(viii)

Notice of Commencement / Completion of contract Work - Contractor

Within 15 days of Commencement /

Completion of work

81(3)

Notice of Commencement / Completion of contract work - By Principal

Employer

Within 15 days of Commencement /

Completion of work

Page 29

Register

Form

Rule

Reg 32

Register of Employees

15

Reg 66

Accident Book

Section

EMPLOYEES STATE INSURANCE ACT 1948

No.

Due Date

Within 48 Hrs of accident & 24 Hrs in

case of fatal accident

Inspection Book

Always Available

11 & 12

Declaration form

To be submitted within 10 days from the

Date of Appointment

Reg 14

Return of Declaration

Covering letter for the declaration forms

to be submitted in duplicate
( Separate for Males &
females )

Reg 26

16

Reg 68

28

Reg 52A

01

Reg 10-B

Reg 17

Return of Contributions
Accident Report

Abstention verification

2A

11th May / 12th Nov.

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

Employer's Registration Certificate

Within 15 days of act becomes

applicable.To be submitted within 10
days from the Date of Appointment

Identity Card Issue Record

Before the Expiry of Temporary

Identification Card( Validity of TIC 13
Weeks )

ESI Contribution Challan

Responsibility

After Calculation of salary

102A

44

Compliant on

By 21st of following month

Page 30

Register

Form

Section

PAYMENT OF GRATUITY ACT 1972

No.

Rule

3(1)

Notice for Opening of Unit

Within 30 Days / Act applicability

3(2)

Notice of Change in Nature of Business / Name / Address of employer

Within 30 Days / Act applicability

3(3)

Notice of closure of Factory

5(1)

6(1)

7(1)

8(1)(i)

2(h)(ii)

Notice for Excluding Husband from Family

Nomination

4(1)

Due Date

Compliant on

Responsibility

60 Days Before closure

As required
Within One year of Service

Application for claiming Gratuity

Within 30 Days / Act applicability

Notice for payment of Gratuity

Within 30 Days / Act applicability

Page 31

Register

Form

Section

PAYMENT OF MINIMUM WAGES ACT 1948

No.

Rule

IV

25(3)

Overtime register for workers

26(5)

Muster Roll

26(1)

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

III

21(4a)

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

XI

26(2)

Wage Slips

Due Date

Compliant on

Responsibility

Maintain up to date
Within 2 Hrs. of commencement of Shift
Maintain up to date

1st Feb
A day prior to disbursement of wages

Page 32

Register

Form

No.

Rule

Section

WATER ACT, 1974 / AIR ACT, 1981

Due Date

Log Book - Dosing of Chemicals used in ETP

Daily

Log Book - Consumption of Electricty by Electrical Pump

Daily

Application for Water Consent

By 28th Feb.

Application for Air Consent

By 28th Feb.

Certificate on Noise Level of DG Sets

Compliant on

Responsibility

On installation of Acoustic Enclosure on

DG Sets

Page 33