1 Factories Act/Rules 300 points 300

* Is Approved site/building plans & layout of machineries available? (20) 20 20 20

* Have we obtained Factory licence/renewed every year? (20) 20 20 20
* Have we complied with Declaration of Occupier/Notice of Change of Occupier? (10) 10 10 10
* Have we displayed Notice of change of Manager in Form 3A (5) Stability Cert. 5 5 5
* Are we maintaining Whitewashing/painting registers? (5) 5 5 5
10
5
* Have we provided Latrine & Urinals as per the provisions? (5) 5 5 5
* Have we provided drainage facilities in the factory? (5) 5 5 5
* Are the Spittoons provided with adequate numbers (5) 5 na na
10
* Have we obtained Testing certificate of compressors/lifting tackles/hoists? (5) 5 5 5
* Have we obtained Stability Certificate for buildings? (5) 5 5 5
* Have we exhibited Fire Safety plan of the factory (5) 5 5 5
5
5
* Are the fire exits provided and marked properly for easy identification? (5) 5 5 5
* Are we conducting mock fire drill once in a year? (5) 5 5 5
5
* Are the employees trained in first aid and their names exhibited? (5) 5 5 5
* Are we maintaining First aid box with required medicines/equipments? (5) 5 5 5
* Is Canteen provided if more than 250 employees and run on no profit no loss basis? 10 10 10
10
* Is Canteen Committee managing Canteen & maintaining Minutes of Meeting? (5) 5 5 3
* Are we maintaining Register of adult workers/Paid holidays? (5) 5 5 5
12
* Have we displayed the periods of notice of work? (5) Form 16 Rule 98 5 5 5
* Are we maintaining Register of leave with wages/leave book? (5) 5 5 5
*
What was the loss time accidents (LTA) in the last two years and has it been investigated to avoid future
accidents? (10)
10 10
10
* Are we maintaining accident reports/registers/records? (10) 10 10 10
* Do we have Safety Officer if more than 1000 employees (5) 5 na na
* Is regular Safety Committee Meeting takes place/Minutes maintained? (5) 5 5 5
* Are we submitting half yearly/yearly returns regularly to Inspector of Factories? (10) 10 10 10
* Is the factory declared as No Smoking Zone and strictly enforcing it? (5) 5 5 5
* Have we obtained Nomination for disbursing wages in case of death? (5) 5 5 5
* Have we conducted Vision test for forklift drivers/electricians? (5) 5 5 5
2
* Have we given a copy of the health & safety policy to employees ( 5) 5 5 5
na
3
* Have we exhibited Health & Safety/environment policy of factory in the notice board? (5) 5 5 5
* Are we keeping the records for 3 years for inspection? (5) 5 5 5
* Have we displayed the abstract of Factories Act/Rules near entrance?(10) 10 10 10
300 285 275
2 Contract Labour Act/Rules 125 points 125
* Has the unit obtained Registration Certificate for engaging Contract Labour? (15) 15 15 15
* Do we maintain Registers of Contractors? 5 5 5
na
* Do we ensure that the Contractors renew their Licence every year? 5 5 5
10
* Do the Contractors maintain attendance/wages registers/register of advance? 5 5 5
* Do the Contractors maintain Register of persons employed by them? 5 5 5
5
SELF AUDIT FOR 2007 vs CROSS AUDIT FOR 2007
Sl. No. Description of Act / Rules
Point
s
Allott
Applicable
Points
Points
Obtaine
d
Pro-
Rata
Rating
SECTION A Act/Rules should be complied for Factory Operations 600 points
*
Have we obtained approval from Pollution Control Board for disposal of waste and effluents? (10)
10 10
*
Are we providing cool drinking water if more than 250 employees and the potability has been tested or not? (5)
5 5
*
Have we provided Fire Fighting equipments/fire buckets/hydrants as per the Factories Act? (5)
5 5
* Are the prime moving items properly guarded and the pressure plants are examined by competent
person/obtained certificate/maintaining register (10)
10 10
* Have we provided automatic fire alarm if more than 500 employees and manual alarm if more than 25
employees? (5)
5 5
*
Have we ensured that 1/4th of the employees of the unit are trained in handling fire fighting equipments? (5)
5 5
*
Do we comply with working hours/overtime rules/maintaining OT register/Compensatroy Off Register? (15)
15 15
* Is the Canteen building situated 15.2 mtrs away from Latrine/Boiler house etc. which is approved by Chief
Inspector of Factories? (10)
10 10
*
Is Ambulance provided if more than 500 employees and a full time Doctor with qualified compounders (5)
5 na
*
Are we having Occupational Health Centre with part time Doctor if less than 200 employees? (5)
5 5
*
Have we ensured that the contractors obtain Licence even if the number is less than 20?
15 na
* Are we carrying out Medical examination of employees once in six months and maintaining the register in Form-7
(5)
5 5
*
Are the Contractors keeping the registers/records relevant to the employment 3 kms nearer to the work place?
5 5
*
Have they taken Separate code number for PF and ESI coverage and contributions are remitted accordingly?
10 10
* Do the Contractors maintain Register of fines/deductions/overtime? 5 na na
5
* Have we displayed Name and address of the Inspector having jurisdiction 5 5 5
* Have they issued Employment Card to their workers? 5 5 5
3
* Are the contract employees covered under ESI/WC Act? 5 5 5
* Have we entered into legal agreement with the Contractors 5 5 5
5
* Are we ensuring submission of half yearly returns by contractors? Not Applicable 5 na na
* Are we ensuring submission of annual returns by principal employer? (5) 5 5 5
* Have we displayed the abstract of the Contract Labour Act/Rules? (5) 5 5 5
* Do we ensure that the contract labour usage is as per Annexure -1? (5) 5 na na
125 95 93
3 Shops & Establishments Act/Rules - 40 points
* Have we obtained Registration Certificate/Renewed every year? (15) 15
* Are we maintaining Register of establishment? (5) 5
* Are we giving one full day as a weekly holiday? (5) 5
* Do we ensure proper cleanliness/safety/lighting facility in work place? (5) 5
* Are we submitting half yearly/annual returns? (5) 5
* Have we exhibited the abstract of the Act/Rules? (5) 5
4 PF Act/Rules 40 points
* Have we obtained separate Code Number for the Unit? (5) 5 5 5
* Have we ensured coverage of all employees under PF @ 12%? (5) 5 5 5
* Have we obtained PF Nomination in Form-2 from the employees? (5) 5 5 5
* Are we submitting monthly/annual returns promptly? (5) 5 5 5
* Do we disburse yearly PF statements to the employees? (5)Form 23. 5 5 5
* Do we ensure settlement of PF dues on the day separation/retirement? (5) 5 na na
* Are we maintaining Inspection Book? (5) 5 5 5
* Have we supplied PF passbooks to the employees? (5) 5 na na
40 30 30
5 Employees Pension Scheme 35 points
* Are we depositing Contribution of 8.33% from PF under EPS? (5) 5 5 5
* Have we obtained Nomination Forms from employees? (5) 5 5 5
* Are we submitting Return on No. of persons joined/left in the Scheme every month? 5 5 5
* Are we ensuring settlement of pension to all the eligible employees? (5) 5 5 5
* Are we submitting annual statement of contributions to RPFC? (5) 5 5 5
* Do we disburse yearly EPS statement under form 7 to the concerned members 5 na na
* Do we have the list of active members/non-members in EPS? (5) 5 na na
35 25 25
6 ESI Act/Rules 40 points
* Have we obtained Registration of the Unit and Code Number? (5) 5 5 5
5 5
5 5
* Are we reporting the accidents & maintaining accident register? (5) 5 5 5
* Are we maintaining Register of employees? (5) 5 5 5
5 5
5 5
* Are we submitting monthly/half yearly/yearly returns regularly? (5) 5 5 5
* Have we displayed the abstract of the ESI Act/Rules? (5) 5 na na
* Are we maintaining Inspection Book? (5) 5 5 5
40 40 40
SECTION B Act/Rules Must be complied - - 190 points
1 Payment of Wages Act/Rules - 30 points
* Are we maintaining Register of wages/issuing wage slips to employees? (5) 5 5 5
* Are we maintaining Register of advances/deductions? (5) 5 5 5
* Are we maintaining Register of fines? (5) 5 na na
* Are we submitting Annual Returns regularly? (5) 5 na na
* Have we displayed the abstract of the Act/Rules? (5) 5 5 5
2 Minimum Wages Act/Rules - 30 points 30 20 20
5
* Are we issuing Wage Slips? (5) 5 5 5
5
*
Do we ensure that the payment of wages is witnessed by Management Representative?
5 5
*
Have we displayed Notice showing rates of wages/hours of work/wage period/date of payment of wages/date of
payment of unpaid wages & the name and address of the Inspector having jurisdiction over the Unit?
5 5
*
Are we maintaining attendance/wages register/leave with wages register/ overtime register/fines/deductions? (15)
15
*
Are we ensuring that the canteen facility is provided if more than 100 persons employed? (5)
5 5
* Are we ensuring coverage of all employees under ESI Scheme if applicable and have they been given ID Cards?
(5)
5
* Do we ensure that the daily hours do not exceed 9 hrs/weekly 48 hours of work and declare ten holidays including
5 National Holidays? (5)
5
*
Are we ensuring that the contributions are remitted within 21 days of closing the month? (5)
5
* Have we exhibited in vernacular on the rate of wages for different categories of employees and the date of
disbursement? (5)
5 5
* Do we ensure that the minimum wages are paid as per the Govt. Notification and do we have anybody being paid
less than minimum wages? (5)
5 5
* Are we maintaining Register of Wages? (5) 5 5 5
* Are we maintaining Muster Roll Register? (5) 5 5 5
* Are we submitting Annual Returns? (5) 5 na na
* Have we displayed the abstract of the Act/Rules? (5) 5 5 5
30 25 25
3 Payment of Bonus Act/Rules - 30 points
* Do we ensure maximum of Rs.3,500/- for bonus eligibility? (5) 5 5 5
* Are we maintaining Form A & B for Allocable Surplus? (5) 5 na na
* Are we maintaining Form C for bonus amount paid to employees? (5) 5 na na
5
* Are we submitting Annual Returns to appropriate authority in Form D? (5) 5 5 0
* Have we displayed the abstract of the Act/Rules? (5) 5 na na
30 15 10
4 Payment of Gratuity Act/Rules - 35 points
* Have we ensured Notice in Form A regarding opening of the Unit (5) 5 5 5
10
5
* Are we ensuring that the gratuity is calculated based on 26 days wages? (10) 10 10 10
5
35 35 35
5 T'he Indl. Employment Standing Orders Act/Rules 15 points 15
10
* Are we following/exhibiting the Model Standing Order if less than 100 employees? (5) 5 5
15 15
6 Air Pollution/Water Pollution Act/Rules - 30 points
* 20 20 20
* 10 10 10
30 30 30
7 Prevention of Food & Adulteration Act/Rules - 20 points
* Have we obtained the PFA Licence/renewed every year? (5) 5
* Do we inform the change in nomination to the appropriate authority? (5) 5
* Are we maintaining the register on the stocks manufactured/sold? (5) 5
SECTION C Acts/Rules to be complied 80 points

1 Maternity Act/Rules - 15 points
* Are confirmed women employees given 12 weeks maternity leave? (3) 3 3 3
* Are we giving 6 weeks leave maternity benefit for miscarriage? (3) 3 3 3
* Are we maintaining women employees register? (3) 3 3 3
* Are we submitting Annual Returns? (3) 3 3 3
* Have we displayed the abstract of the Act/Rules? (3) 3 3 3
15 15 15
2 Apprentices Act/Rules - 15 points
* Are we maintaining Registration of contracts of apprenticeship? (5) 5 5 5
* Are we maintaining particulars of Apprentices and their progress report? (3) 3 3 3
* Are we ensuring that the Apprentices are paid as per Act? (3) 3 3 3
* Are we submitting Half Yearly/Annual Returns? (4) 4 4 4
15 15 15
3 National & Festival Holidays Act - 10 points
5
5 Equal Remuneration Act/ Rules - 5 points
* Have we ensured equal work equal pay for men & women? (3) 3 3 3
* Have we maintained the Register in Form D? (2) 2 2 0
5 5 3
6 Workmens Compensation Act/Rules - 10 points
* Have we ensured aubmission of Annual Returns? (5) 5 5 0
10
*
Are we ensuring that the Bonus is paid to everyone who have worked for 30 days & above? (5)
5 5
* Do we ensure that the gratuity is paid if 5 years of continuous service is rendered and do we settle gratuity in 30
days ? (5)
5 5
* Have we obtained Nomination from employees in Fomr-F and deposit gratuity with Appr.Auth. in case of no
nomination? (10)
10 10
*
Are we displaying Certified Standing Orders in English & vernacular if more than 100 employees? (10)
10
* Have we displayed the Notice of person authorised to receive notices and displayed the abstract of the Act/Rules?
(5)
5 5
*
Have we displayed the paid Holidays notice duly approved by the Labour/Factory Inspector (10)
10 10
*
Are we keeping the damaged stock separately with the Board damaged stock not for sale ?(5)
5
4
Employment Exchange (Compulsory Notification of Vacancies) Act / Rules - 5 points
* Have we ensured submission of quarterly returns within 30 days after the quarter/submission of biennial returns
once in 2 years? (5)
5 5
* Have we exhibitited the abstract of the Act/Rules? (5) 5 5 5
10 10 5
7 Labour Welfare Fund Act/Rules - 10 points
10 10 10
8 Profession Tax Act 5 points
* Assessment of Profession Tax (5) 5 5 5
SECTION D Other relevant Act/Rules - 130 points
1 Petroleum Act/Rules - 10 points
* Is the Licence for storage of petroleum products obtained? (4) 4 4 4
* Is the Certificate for testing of tanks from competent person obtained? (2) 2 2 2
* Have we taken precautions against smoking/fire-lights/accidents? (2) 2 2 2
10 10 10
2 The Boilers Act/Rules - 10 points
* Have we obtained Registration Certificate from the Boiler Inspector? (4) 4
* Are we having qualified persons to operate Boilers? (2) 2
* Are the accidents in Boilers intimated to Boiler Inspector within 24 hrs? (2) 2
* Is the Drawing of Boilers available? (2) 2
3 The Indian Explosives Act/Rules - 10 points
* Is the Licence from Explosive Director, Nagpur obtained? (10) 10 10 10
4 The Indian Electricity Act/Rules - 10 points
* Are we maintain log book showing load sanctioned Vs load utilised (5) 5 5 5
10 10 10
5 The Environment Protection Act/Rules - 20 points
* Do we have Environment Policy & is it being followed letter & spirit? (10) 10 10 10
* Have we done any audit so far and what are the steps taken to comply? (10) 10 10 10
20 20 20
6 The Fertiliser Control Order -10 points

* Is Registration Certificate obtained & renewed once in 3 years? (10) 10

7 VOP (Standards of Quality) Order - 10 points
Solvent Extracted Oil Rule
* Is Vanaspathi manufactured as per VOP Order (4) 4
* Are the Fortnightly returns submitted on production/despatches? (3) 3
* Is the Licence obtained under Solvent Extracted Rule? (3) 3

8 Drugs Control Order - 10 points
* Is the Bathing Bar Licence obtained? (10) 10
9 Municipal Act/Rules Licences etc. - 20 points
* Is the Approved plans/drawings of the building available? (10) 10 10 10
* Is the Local Licence to run the Industry obtained? (5) 5 5 5
* Is the Sanitary Licence obtained for waste water/drainage/sewage water? (5) 5 na na
20 15 15
10 Standards of Weights & Measures Act/Rules - 20 points
* Are all the weights & measures tested & stamped? (10) 10 10 10
* Are the production personnel aware of the basic PCRO Panel (5) 5 na na
* Has the Certificate for registration & verification displayed? (5) 5 5 5
20 15 15
850 750 726
TOTAL ( A + B + C + D )
2
5
5
5 *
Have we remitted the unpaid wages/other payments in Labour Welfare Fund as per the Act? (5)
5 5
*
Have we ensured deduction of contribution of Welfare Fund and remitted with the details once a year? (5)
5 5
* Have we obtained Circuit plans/line drawings approved by Electrical Inspector and is the audit being conducted
periodically? (5)
5 5
* Are we maintaining register showing particulars of examination by competent person for lifting machines, chain
ropes, lifting tackles? (2)
2 2