AIFM Statutory Handbook

7/31/2019 AIFM Statutory Handbook

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Karma Management Consultants Pvt. Ltd.www.karmamgmt.com ; http://comply4hr.com/vcheck

STATUTORY COMPLI AN CEHA N D BOOK


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CONTENTS

I DOCUMENTS TO BE MAI NTAI NED AT SI TE

I I DETAI LS ABOUT THE DOCUMENTS / FORMS

I I I SAMPLE FORMS

I V CHECK LI ST TEMPLATE


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I . DOCUMENTS TO BE MAI NTAI NED AT SI TE BY THE FACI LI TY TEAM

Pl e a se m a i n t a i n f i l e f o r e a c h v e n d o r

Ev e r y f i l e sh o u l d h a v e t h e f o l l o w i n g d o c u m e n t s i n t h e b e l ow m e n t i o n e dOrder

N o t e : Fo r m a t o f a b o v e f o r m s g i v en a t t h e e n d o f t h i s d o cu m e n t

CONTRACTOR DETAI L FORM

PRELI MI NARY DOCUMENTS

MONTH LY DOCUMENTS

HA LF YEARLY DOCUMENTS

ANNUAL DOCUMENTS

DECLARATI ON FORMS


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I I . DETAI LS ABOUT THE DOCUMENTS / FORMS

( a) W h a t i s c o n t r a c t o r D e t a i l Fo r m ?

It is basically a summary about the contractors & their statutory registrationdetails. Please get the details from each contractor for one time and fine the samein their file.

( b ) W h a t a r e Pr e l i m i n a r y d o c u m e n t s ?

These are the documents to be collected from the vendor, for one time and to befiled in their respective file.

Th e d o c u m e n t s a r e a s f o l l o w s :

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 ) W h a t a r e M on t h l y D o cu m e n t s ?

The following are the documents to be submitted by the vendor / sub-contractor, every month.


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D ocu m e n t a lo n g w i t h Bi l l / I n v o i ce

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

Ot h e r D o c u m e n t s o n m o n t h l y b a si s

FORM 5 under PF Act List of new workers joined with the vendor andworking at the site, in pervious month.

FORM 10 under PF Act List of left workers from the vendor who hadworked at the site, in previous month.

FORM 12A under PF Act- PF monthly returns for previous month

( d ) W h a t a r e t h e r e g is t e r s t o b e m a i n t a i n ed u n d e r Co n t r a c tL ab o u r A c t , o n m o n t h l y b a s i s?

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 ) W h a t a r e t h e h al f y e ar l y d oc u m e n t s ?

The vendor has to submit the returns to the labour office, ESI office, on half yearlybasis.

ESI h a l f y e a r l y r e t u r n s

These returns should be submitted to the vendor, to the ESI office, two times inA years. The periods & due dates are:


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P er i o d D u e D a t e Co p i e s t o b eCol lec t ed b y FM

April to September 12 th November Along withNovember Bill

October to March 12 th May Along with MayBill

H a l f y e a r l y r e t u r n s t o La b o u r o f f i ce i n Fo r m X XI V

This return also will happen twice a year.

1. January to June2. July to December.

Please collect the copy of the return for the period January to June, in July and July toDecember, in January.

NOTE:- THI S I S EXEMPTED I N MAH ARASHTRA

( f ) W h a t ar e y e ar l y d o cu m e n t s?

Every vendor should submit the returns to the labour commissioner, PF office, Every year.

PF a n n u a l r et u r n s ( f o r m 3 A & 6 A ) :

These returns will be submitted to PF office by the vendor, every year, in March. The duedate to submit to the PF office is on or before 12 th May. Please collect Copy of the same.

Pa y m e n t o f B on u s ( f o r m C ) :

Copy of the payment of bonus which can be collected in the month of October

B on u s Re t u r n s ( f o r m D ) :

Copy of bonus annual returns, which can be collected in the month of March

L ab o u r w e l f a r e Fu n d r e t u r n s

These returns should be submitted to the welfare Fund office by the vendor, Twice in ayear, in the month of January and June. This can be collected along with theInvoice, for the month of February.


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Co n t r a c t L a b o u r L i ce n c e Re n e w a l

Every licence will be granted or renewed shall remain in force for twelve Months from thedate it is granted or renewed. So, copy of the renewed license Should be submitted by thevendor, in applicable month.


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I I I . SAMPLE FORMS

CONTRACTOR DETAI L FORM

( t o b e f i l l ed b y t h e v e n d o r )

N am e o f t h e

Faci li t y .

N am e o f t h e

Con t r act or

N a t u r e o f S er v i c e

Provided

N o . o f w o r k e r s t h r o u g h t h i s co n t r a c t o r, w o r k i n g a t t h e s i t e

Con t r act Labo ur Licence N o. ... Valid up t o .

Shop & Estab l ishm ent Regn No Valid up t o .

Labo ur W elf ar e Fun d Regn No Valid up t o

PF Regist r at ion Nu m ber .ESI Regn No

Prof ession al Tax Nu m ber

S i g n a t u r e S i g n a t u r e

Fa c il i t y M a n a g e r ( n a m e ) : ( Co n t r a c t o r )


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FORM I V[ S ee Ru l e 2 1 ( 1 ) ]

App l i ca t i on fo r L i cence

1 . N a m e a n d A d d r e s s o f t h e Co n t r a c t o r ( I n c l u d i n g h i s

f a t h e r s n a m e i n c a s e o f I n d i v i d u a l s)

2 . D a t e o f B i r t h a n d a g e ( I n c a se o f I n d i v i d u a l s )

3 . P ar t i c u l a r s o f Es t a b l i sh m e n t w h e r e Co n t r a c t l a b o u r i s t o

be Em ployed : -

a ) N a m e a n d A d d r e s s o f t h e

E s t a b l i s h m e n t _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

b ) Ty p e Of B u s i n e s s, Tr a d e , I n d u s t r y, M a n u f a c t u r e o r

O cc u p a t i o n w h i c h i s c ar r i e d o n i n t h e e s t a b l i s h m e n t

ona n y d a t e o f t h e p r o c e e d i n g 5 y e a r s i f s o g i v e

d e t a i l s _ _ _ _ _ _ _ _ _ _ _

c ) N u m b e r a n d D a t e o f Ce r t i f i c a t e o f R eg i s t r a t i o n o f t h e

Es t a b l i sh m e n t u n d e r t h e

A c t _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

d ) N a m e a n d A d d r e s s o f t h e P r i n c i p a l Em p l o y e e

4 . Pa r t i cu l a r s Of Con t r ac t l abou r : -

a ) N a t u r e o f w o r k i n w h i c h c o n t r a ct L a b o u r i s Em p l o y e d

or

i s t o b e e m p l o y e d i n t h e e s t a b l is h m e n t

b ) D u r i n g o f t h e P r o p o sa l Co n t r a c t W o r k ( Gi v e

P ar t i c u l a r s o f P r o p o s e d d a t e o f Co m m e n c in g a n d

e n d i n g )

c ) N a m e a n d A d d r e s s o f t h e A g e n t o r M a n a g er o f

Co n t r a c t o r a t t h e Wo r k s i t e

d ) M a x i m u m n u m b e r o f Co n t r a c t l a b o u r p r o p o s e d t o b e

e m p l o y e d i n t h e e s t a b l i s h m e n t o n a n y d a t e

5 . W h e t h e r t h e Co n t r a c t o r w a s co n v i c t e d o f a n y o f f e n c e ,

w i t h i n t h e

Proceed ing f i ve Yea r s , i f so , g ive de t a i l s

6 . W h e t h e r t h e r e w a s a n y o r d e r a g a i n st t h e Co n t r a c t o r

r e v o k i n g o r

Suspend ing l i c ense o r fo r f e t i ng s ecu r i t y depos i t s i n

r e spec t o f an

Ea r l i e r c o n t r a c t . I f s o , t h e d a t e o f s u ch o r d e r

7 . W h e t h e r t h e c o n t r a c t o r h a s w o r k e d i n a n y o t h e r


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e s t a b l i s h m e n t

Wi t h i n t h e p a s t f i v e y e a r s . I f s o , g iv e d e t a i l s o f t h e

Pr inc ipa lEm p l o y e r s , Es t a b l i sh m e n t a n d n a t u r e o f w o r k

8 . W h e t h e r a c e r t i f i c a t e b y t h e P r i n c i p al E m p l o y e r , i n F o r m

V is

Enclosed

9 . Am oun t o f l i c ense f ee pa id No . o f Treasu ry Cha l l an and

D a t e

1 0 . Amo un t o f Secu r i t y Depos i t Treasu ry Receip t No . and

D a t e

Dec la r a t i on

I h e r e b y d e c l ar e t h a t t h e d e t a i l s g i v e s ab o v e a r e c or r e c t t o t h e b e s t o f m y k n o w l e d g e a n d b e l ie f .

Place :

S ig n a t u r e o f t h e A p p l i c a t i o n

D a t e : ( C on t r a ct o r )


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FORM V[ Se e Ru l e 2 1 ( 2 ) ]

Fo r m o f Ce r t i f i c at e b y P r i n c i p a l Em p l o y e r

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 t he auth orized signatory wit h seal.


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FORM V-A Se e Ru l e 2 4 ( 1 - 4 )

APPLI CATI ON FOR ADJUSTMENT OF SECURI TY DEPOSI T

1 . Name and address of thecontractor

2 . No.and date of licence3 . Date of expiry of Previous licence4 . Whether the licence of the

contractorwas suspended or revoked

NA

5 . No.and date of the treasuryreceipt of security deposit in respect of theprevious licence

6. Amount of previous securitydeposit

7. No.and date of treasury receiptof thebalance security deposit, if any

requiredon the fresh contract8. No.and date of certificate of

registrationOf the establishment in relationto whichthe new licence is applied for

9. Name and address of theprincipalemployer

10. Particulars of fresh contract

11. Remarks

Place

Signature of the Application

Date


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FORM VI I[ Se e Ru l e 2 9 ( 2 ) ] A p p l i c at i o n f o r Re n e w a l o f L i c en c e

1 . N a m e a n d A d d r e s s o f t h e Co n t r a ct o r

2 . N u m b e r a n d d a t e o f t h e L ic en c e

3 . D a t e o f e x p i r y o f t h e p r e v i o u s L i ce n c e

4 . W h e t h e r t h e L ic en c e o f t h e c o n t r a c t o rw a s su s p e n d e do r r e v o k e d

5 . N u m b e r a n d d at e o f t h e t r e as u r yrece ip t

Place :

Si g n a t u r e o f t h eA p p l i c a t i o nD a t e : ( Co n t r a ct o r )

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

To b e f i l l e d i n t h e o f f i c e o f t h e L i c e n s i n g o f f i c e r

D a t e o f r e ce i p t o f t h e a p p l i ca t i o n w i t hTr e a su r y r e ce i p t n u m b e r & d a t e

Si g n a t u r e o f t h e Li c e n s i n g Off i c e r


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FORM XXI VSee Rule 82 (1)

R et u r n t o b e s e n t b y t h e C o n t r a c t o r t o t h e L i c en s i n g o f f i c e r

Ha l f Ye a r E nd in g ____________________

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 :

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

9. Amount of wages paid

10. Amount of wages paid -

11. Whether the following have been provided

Men Wom e n Ch i ld r e n To t a l





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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

Compl iance Process

ENDOR Submits

DocumentsFor

verificatio n

FM

DocumentsNot OK / NotSubmitted

Documentsok

VENDOR

AUDITOR

DocumentsNot OK

FM

DocumentsNot OK

VENDOR

DocumentsOK

CENTRALCOMPLIANCE

TEAM

VerifyReport

FM

Report

CLIENT

CENTRAL COPLIANCETEAM

C&W CLIENT


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V - CHECK LI STT h e f o l l o w i n g i s t h e l is t o f d o c u m e n t t o b e r e t a i n e d at t h e si t e ;

1. Copy of contract Labour Licence [OR] Application along with security deposit details inform IV

2. Copy of commencement & completion of Form VI-A3. Proof of having PF registration4. Proof of having ESI registration5. Labour Welfare Fund registration copy6. Shops & Establishment registration copy7. Professional Tax number8. Exemption to maintain computerized records Under Minimum Wages Act9. Notices required to be displayed under Minimum Wages Act, Payment of Wages Act,

Contract Labour Act(Rule 81)

10. Copy of Employment cards in Form XIV11. Copy of ESI cards for employees [ O R] Copy of Form 3 with Return of declaration12. Register of Workmen in Form XIII13. Muster Roll in Form XVI / XII14. Register of Wages in Form XVII / XIII15. Register of Deductions in Form XX /XVI16. Register of Fines in Form XXI /XVII17. Register of Advances in Form XXII / XVIII18. Register of Overtime in Form XXIII / XIX

19. Wages slips in Form XIX / XIV20. PF challan for the previous month [OR] Token of payment made to SBI of current

month21. ESI challan for the previous month [OR] Token made to SBI of current month22. Declaration / Undertaking for the current month23. Labour Welfare Fund challan (in applicable month)24. PF-Form 5-of new employees joined on the site (if applicable)25. PF-Form 12 A copy-Monthly returns26. PF-Form 10 for left employees (if applicable)27. PF/ESI Monthly summary Format (annexure V)28. Declaration of Monthly Deduction and Deposit summary of PF and ESI (Monthly) &

LWF (yearly)- Annexure VI29. ESI half yearly returns Form 530. Half yearly returns to labour office in Form XXIV (Contract Labour Act)31. PF returns in Form 3A & 6A (March)32. Bonus Returns in Form D33. Current Minimum Wages notification as per nature of work34. Labour license renewal Form VII

AIFM Statutory Handbook

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