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Notes for Interview – HR, Personnel, ER, IR, and Admin

Dear Friends,

 MSW & HRD With Dynamic, competent and result-oriented professional with 5.3 yrs experience as a
Sr.Executive - HR, Personnel, ER, IR, and Admin in corporate mainly Pharma / Cable and Wire / IT
Industry.
 Deft in handling all the functions from employee Joining to Exiting formalities and successfully handling all
activities for Organization Development which includes:
- Strategic Planning - Recruitment and Selection
- Induction - Compensation and Benefits
- Performance Management - Training and Development
- Welfare Activities - HR Policy Formulation
- Employee Relations - Industrial Relations
- Payroll Management - Statutory Compliance
- Career Planning - General Administration
- MIS Report - Maintaining HRMS
- Contract Management - New System Implementation
- SOP Preparation

These Questions and Answers have been prepared for the purpose of helping the freshers, beginners,
Poors, and Avarages HR, Personnel, ER, IR, and Admin Employees who want to start up their career in it
with strong eligibility. It has been prepared from my own Experience from Fresher to till dated
expereience and these questions were asked by HR/IR/Legal guys in various companies.
I hope you will refer these very important notes before facing any HR/IR related Interview. If you will do
then I ensure that no one will find foult, object and stop you for hiring because you cracked the interview
by these questionier and answers.

Thanks & Regards

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Notes for Interview – HR, Personnel, ER, IR, and Admin
What is the difference between PM and HR?
Personnel Management is widely used few years back. The main task of PM was to maintain personal
records of the employees of the organization. It was just a job to maintain the records (Database), sometime PM
use to take care of the recruitment and joining formalities but never expected beyond that.

What is Human Resource Management?


Human resource management is concerned with the people dimensions in management since every organization
is made up of people, acquiring there services, developing their skills, motivating them to higher level of
performances and ensuring that they continue to maintain their commitment to the organization are essential to
achieving organizational objectives.

Human resource management involves attracting quality workforce through human resource planning,
recruitment and selection, Develop a quality workforce through employee orientation, training, performance
appraisal, and Maintain quality workforce through retention and career development

Human Resource Management takes care of various purposes, right from


 Hr strategic planning
 Human resource planning
 Manpower planning
 Job analyses
 Job description
 Job specification
 Recruitment
 Selection
 performance appraisal
 Performance management
 Training
 Development programs
 Career planning
 Job rostering
 Promotions

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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Career development
 Succession planning
 Job rotation
 Job enrichment
 Job multiskilling
 Compensation planning
 Compensation package development
 Staff leave management
 Termination records management
 International staff records
Staff Information
 Department,
 Job title,
 Grade,
 Salary,
 Salary history,
 Position history,
 Supervisor,
 Training completed,
 Special qualifications,
 Ethnicity,
 Date of birth,
 Disabilities,
 Veterans status,
 Visa status,
 Benefits selected,
 Promotions
 Career development
 Career management
 Succession planning
 Job rotation
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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Labor relations
 Compensation planning
 Compensation package development
 Staff leave management
 Termination records management
 Employee communication
 International staff records
 Payroll records
 Pension management
 Health & safety records

Why HRP is important in any Oraganization.


Planning is very important to our everyday activities. Several definitions have been given by different writers
what planning is all about and its importance to achieving our objectives. It is amazing that this important part of
HR is mostly ignored in HR in most organizations because those at the top do not know the value of HR
planning. Organizations that do not plan for the future have less opportunity to survive the competition ahead.
This article will discuss the importance of HR planning; the six steps of HR planning that is : Forecasting;
inventory, audit, HR Resource Plan; Actioning of Plan; Monitoring and Control.

What is the difference between Training and Development?


Training is skill focused
Development is creating learning abilities
Training is presumed to have a formal education
Development is not education dependents
Training needs depend upon lack of deficiency in skills
Development is voluntary
Training is a narrower concept focused on job related skills

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Notes for Interview – HR, Personnel, ER, IR, and Admin
Personal File Check List
CHECKLIST OF DOCUMENTS IN PERSONAL FILE

Employee Code :
Name:_________________ ________________________

Designation:______________ Career Level:______________________

Date of Joining:____________ Group Co:______________________

Status/
Particular
Sr no Remark
1 Application of candidate / Resume, Interview Assessment sheet
2 Reference Check ( 2 Nos.)
3 Medical Fitness Certificates
4 Joining Report
5 Relieving Letter from the previous employer
6 Pay slip from the previous employer ( 3 mths)
7 Experience Certificate of all Employees
8 Proof of age (SSC Certificate / School Leaving Certificate/Birth Cert.)
9 Proof of Address (Electricity or Telephone Bill)
10 Photo ID ( Adhar Card, Driving License, Voter's Card )
11 PAN Card Copy
12 Form no 11 ( for PF)
13 Form No. 2 (For PF Nomination ( if required)
14 Form No. F (For Gratuity Nomination)
15 Form No. 35 (For Death Declaration as per factory Act)
16 Form No.1 (For ESIC Declaration)
17 Colour Photograph ( Nos. 2)
18 Copies of Degree/Diploma Certificates and Marks sheets
19 Bank Account number detail ( Pass book copy)
20 Induction form
21 Training Form Yearly
22 PM Report
23 Confirmation of services letter
24 IT Declaration form
25 KRAs for every year
26 Annual Appraisal Forms
27 Annuals CTC Revision Letters
28 Promotion/Transfer/Up gradation letter, if any
29 Change of address/ Marital Status, if any
30 Agreement / Sanction Letter of any Loan form company, if any
31 Letter on Disciplinary Action

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Notes for Interview – HR, Personnel, ER, IR, and Admin
32 Resignation/Exit Formality Form/Experience/ Relieving Letter
33 Any Other (Medical Fitness Certificates)
MIS Report
Sr. No Title Perticulor
1 Sr No
2 Status
3 Emp Code
4 Salutation
5 First Name
6 Second Name
7 Last Name
8 Gender
9 Date Of Join
10 Date Of Birth
11 Date Of Leaving
12 Grade
13 Actual Designation as per Increment sheet
14 Designation
15 Department
16 Function
17 Category
18 Type
19 Shift
20 Business Unit
21 Salary Unit
22 Working Unit
23 Id Card Issue
24 Pan No
25 Pf No
26 Esic No
27 Driving License No
28 Bank A/C No
29 Bank Ifsc Code
30 Bank Name
Year
Inc Detail-Last 3 Years
31 Rating
Rating1
Increment
Year
Inc Detail-Last 3 Years
32 Rating
Rating2
Increment
Inc Detail-Last 3 Years Year
33
Rating3 Rating

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Notes for Interview – HR, Personnel, ER, IR, and Admin
Increment
34 Increment Detail Dop(Date Of Promotion)
Name Of The Organization
35 Previous Org-1 Year Of Exp.
Designation
Name Of The Organization
36 Previous Org-2 Year Of Exp.
Designation
Name Of The Organization
37 Previous Org-3 Year Of Exp.
Designation
38 Total Previous Exp.
39 Present Exp.
40 Total Exp
Emp. Code
41 Reporting Manager Name
Designation
Emp. Code
42 Managers Manager Name
Designation
Annual Ctc
Monthly Ctc
Basic
Gross Salary
House Rent Allowance
Conveyance Allowance
Education Allowance
43 SalaryvBifurcation Medical Allowance
Outfit Allowance
Supplementary Allowance
Gratuity
Lta
Performance Pay
Bonus Amount
Employer Pf
Blood Group
Professional Membership
Maritial Status
Date Of Marriage
44 Personal Details
Name Of Spouse
Age
Age Group
Nationality
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Notes for Interview – HR, Personnel, ER, IR, and Admin
Location
Mobile No
Emergency No
Landphone No
Father Name
Mother Name
Address-1
City
45 Present Address Dist
State
Region
Address-2
City
Dist
46 Permanent Address
State
Region
Religion
Son
Name Of Child
47 Child1-2-3
Age
Date Of Birth
Name Of Course
Name Of Institusion
48 Qualification1 Passout Year
Persentage /grade
Mode Of Study(Regular/Parttime)
Name Of Course
Name Of Institusion
49 Qualification2 Passout Year
Persentage /grade
Mode Of Study(Regular/Parttime)
Name Of Course
Name Of Institusion
50 Qualification3 Passout Year
Persentage /grade
Mode Of Study(Regular/Parttime)
51 Highest Qualification
52 Graduate/Non Graduate
53 Qualification(Be,Bcom,Bsc……….etc)
Rate
Actual Basic
54 Wages Bifurcation
FDA
VDA
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Notes for Interview – HR, Personnel, ER, IR, and Admin
Grade Allow.
Ser. Allow.
Business Unit
Type-Permanent/Probation/Contract
55 Business Unit Id Card Issue-Yes/No
Maritial Status-
Single/Married/Divorced/Seperated
Graduate/Non Graduate

What is Forms of Recognition


FORMAL
INFORMAL
EVERYDAY
Examples of Formal Recognition
1. Milestone Service Anniversary Awards (5,10,15,20, 25 years of service)
2. Ideas, Improvement & Performance Awards
3. Service Awards
a) Teamwork/leadership
b) Customer Service
c) Citizenship
d) Innovation
e) Attendance
4. Awards would include:
a) Plaques/Desk trophies
b) Certificates
c) Gifts/Certificates
d) Picture in the webpage
Examples of Informal Recognition
1) Team Building Retreats
2) Acknowledgement of Dept/Division goals achieved
3) Committee Involvement
4) Project Completion meals
5) Birthday cakes and cards

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Notes for Interview – HR, Personnel, ER, IR, and Admin
6) Picnics
7) Staff Appreciation Day
8) Holiday Parties
9) Dress-Up Days
10) Corporate Merchandise
11) One night sponsored at a Disco or Pub ( For individual or Teams!)
Examples of Everyday Recognition
1) Communication & Interpersonal Skills workshops
2) Personal and Professional Development workshops
3) Email Thanks
4) Letter from manager or supervisors
5) Gift items
6) Thank You Notes
7) Verbal Feedback
8) Face-to-Face Thank you
9) Thank you cards (both hard copy thank you card and e-thank you card)!
Others
1) Performance awards can also include peer-to-peer nominations ( May be called “Warm Fuzzy
Nominations” or “Buddy Nomination”)
Reason:
a) While peer-to-peer recognition may not be as powerful as management recognition, it helps build a strong
work culture.
b) Peers work more productively with one another when they sense sincere appreciation from their colleagues
for their contributions.
c) The nomination will be done by the staff
d) Award selection will be done by a Committee
e) Limited involvement of management
f) Fun Event Planned for employees every month
For ex: June (Free movie passes for all ),Feb (A inter-department Cricket Match), April (A team picnic)
g) Smiling Faces programme
Recognizes teams or departments who demonstrates values of teamwork, respect and dedication in customer
Service

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Notes for Interview – HR, Personnel, ER, IR, and Admin
h) Surprise By programme
Funds can be used to surprise random departments with treats, cookies or small gifts or goodies just to thank
them for being a part of the company!
1. Informal ways to increase Motivation:
a) Personally congratulating employees who do a good job
b) Writing personal notes about good behaviour or performance
c) Using performance as the basis for promotion
d) Publicly recognizing employees for good performance, and
e) Holding morale-building meetings to celebrate successes.
f) Naming a program after your employees
g) Keeping the work environment fun ( This doesn’t mean that business doesn’t get done, just that its enjoyable
to be there)
2. Some more inexpensive ways to reward the employees!
a) Ask for advice
b) Reward with a Goodie bag
c) Use staff ideas
d) Featuring staff in training videos
d) Creation of “WOW” cards for employees
e) Hall of fame photos
3. Some rewards that employee liked to see given to them:

I Certificate of appreciation
Ii Mugs, other items with a special mention of your department
Iii Flowers
Iv Electronics (DVDs, iPods, etc.)
V T-shirts
Vi Two-three day holiday packages
Vii Dinner gift certificate
Viii Tickets to events
X Shopping vouchers
Xi Membership at clubs/gyms
Xii Lapel Pins

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Notes for Interview – HR, Personnel, ER, IR, and Admin

4. Casual Mondays: Employees generally believe that declaring it a “Casual” dress day can minimize the
Monday blues!
5. Use of Company Logos: Employees like wearing T-shirts, Sweat- Shirts with the Company logo on it (This
can even be a nice way of advertisement for the company free of cost)!
Some ideas that can go a long way to increase employee motivation (No Cost)
 Posting a thank you note on an employee’s door.
 Taking time to explain to new employees the norms and culture of the department.
 Giving special assignments to people who show initiative.
 Arranging for a team to present the results of its efforts to upper management.
 Encouraging and recognizing staff who pursue continuing education.
 Creating and posting an “Employee Honor Roll” in reception area.
 Acknowledging individual achievements by using employee’s name when preparing a status report
 Giving employees an extra long lunch break.
 Establishing a place to display memos, posters, photos and so on, recognizing progress towards goals and
thanking individual employees for their help.
 Swap a task with an employee for a day – his/her choice.
 Establish a “Behind the Scenes” award specifically for those whose actions are not usually in the
limelight.
 Give a shiny new penny for a thought that has been shared.
 Nominate the employee for a University formal award program.
 Present “State of the Department” reports periodically to your employees acknowledging the work and
contributions of individuals and teams.
 At a monthly staff meeting, award an Employee of the Month and invite co-workers at the meeting to say
why that person is deserving of the award.
 Recognize employees who actively serve the community.
 Have staff vote for top manager, supervisor, employee and rookie of the year.
 Name a continuing recognition award after an outstanding employee.
 Allow employees to attend meetings in your place when you are not available.
 Create an Above and Beyond the Call of Duty (ABCD) Award.

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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Ask your boss to attend a meeting with your employees during which you thank individuals and groups
for their specific contributions.
 Pop in at the first meeting of a special project team and express your appreciation for their involvement.
 Send a letter to all team members at the conclusion of a project, thanking them for their participation.
 Start an employee recognition program. Give points for attendance, punctuality, teamwork, etc. Provide
gift certificates to employees who reach certain point goals.
 Find ways to reward department-specific performance.
 Plan a surprise achievement celebration for an employee or group of employees.
 Start a suggestion program.
 Write a letter of praise recognizing specific contributions and accomplishments. Send a copy to senior
management and the employee’s personnel file.
 When you hear a positive remark about someone, repeat it to that person as soon as possible (Face-to-
face is best, e-mail or voice mail are good in a pinch).
 If you have a department newsletter, publish a “kudos” column and ask for nominations throughout the
department.
 Publicly recognize the positive impact on operations of the solutions employees devise for problems.
 Acknowledge individual achievements by using employee names in status reports.
 Express an interest in employee’s career development goals.
 Post a large “celebration calendar” in your work area. Tack on notes of recognition to specific dates.
 Create and string a banner across the work area.
 Practice positive nonverbal behaviors that demonstrate appreciation, such as smiles, or a handshake.
 Support “flex-friendly” schedules.
 Encourage employees to identify specific areas of interest in job-related skills. Then arrange for them to
spend a day with an in-house “expert” to learn more about the topic.
 Encourage employees to participate in community volunteer efforts.
 Share verbal accolades – forward positive voice mail messages.
 Actively listen to co-workers, especially when discussing their accomplishments and contributions.
 Use 3×5 cards to write “You’re special because…” statements. People can collect the cards and refer to
them when things aren’t going perfectly.
 Have a recognition event created by a peer group that decides what they will give and why they will give
it.

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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Keep a supply of appropriately funny notes that can be given as immediate rewards. Keep the supply
visible – in a basket or box in your office.
 Widely publicize suggestions used and their positive impact on your department.
 When someone has spent long hours at work, send a letter of thanks to his/her home.
 Acknowledge and celebrate birthdays.
 Arrange for an outstanding employee to have lunch with a dean or director.
 Allow an employee to choose his/her next assignment.
 Recognize a team accomplishment by designating that team as consultants to other teams.
 Recognize those committed to personal health and wellness
 Smile. It’s contagious.
Employee Recognition Ideas (minor to moderate cost)
 Plan a surprise picnic.
 Create a Hall of Fame wall with photos of outstanding employees.
 Make a photo collage about a successful project that shows the people that worked on it, its stage of
development and its completion and presentation.
 Find out the person’s hobby and buy an appropriate gift.
 Make and deliver a fruit basket.
 Inscribe a favorite book as a gift.
 Give the person a membership or subscription to a journal that relates to their work
 Design a “Stress Support Kit” that included aspirin, a comedy cassette, wind up toys and a stress ball – or
design your own.
 Serve ice cream sundaes to all of your employees at the end of a project.
 Once a year, have a “Staff Appreciation Day” where the managers supply, cook and serve food.
 Serve a team a hero party sandwich at the end of an assignment, for a job well done.
 Give flowers to an employee at their home or office as a thank you.
 Purchase a unique pin to serve as a memento for a task well done.
 Hold informal retreats to foster communication and set goals.
 Provide a lunch for project teams once they have made interim findings. Express your appreciation.
 Give a personalized coffee cup.
 Give an employee a blue ribbon for achievement.
 Design and give magnets with appropriate messages.

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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Give a deserving employee a mug filled with treats.
 Give a framed poem (poster or card) as a thank you.
 Throw a pizza lunch party for your unit.
 Give a note reading, “Thank you. You are a ______!”
 Serve popcorn and lemonade on Friday (especially after a particularly hard week).
 At an employee meeting, distribute gift certificates.
 Give a puzzle as an award to a problem solver.
 Have weekly breakfasts with groups of employees.
 Treat an employee to lunch.
 Give out gold coins for a job well done.
 Bake/bring a gift (cookies, bread, etc.) for an outstanding employee or team.
 Send birthday cards to employees’ homes
Reward Management
 Reward Management is concerned with the formulation and implementation of strategies and policies
that aim to reward people fairly, equitably and consistently in accordance with their value to the
organization
Objectives of Reward Management
 Support the organisation’s strategy
 Recruit & retain
 Motivate employees
 Internal & external equity
 Strengthen psychological contract
 Financially sustainable
 Comply with legislation
 Efficiently administered
Basic Types of Reward
 Extrinsic rewards
 satisfy basic needs: survival, security
 Pay, conditions, treatment
 Intrinsic rewards
 satisfy higher needs: esteem,development

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Notes for Interview – HR, Personnel, ER, IR, and Admin
Rewards by Individual, Team, Organisation
 Individual: base pay, incentives, benefits
 rewards attendance, performance, competence
 Team
 team bonus, rewards group cooperation
 Organisation
 profit-sharing, shares, gain-sharing
Role of Compensation and Reward in Organization:
 Compensation and Reward system plays vital role in a business organization. Since, among four Ms, i.e
Men, Material, Machine and Money, Men has been most important factor, it is impossible to imagine a
business process without Men.
 Land, Labor, Capital and Organization are four major factors of production.
 Every factor contributes to the process of production/business. It expects return from the business
process such as Rent is the return expected by the Landlord. similarly Capitalist expects Interest and
Organizers i.e Entrepreneur expects profits. The labour expects wages from the process.
 It is evident that other factors are in-human factors and as such labour plays vital role in bringing about
the process of production/business in motion. The other factors being human, has expectations, emotions,
ambitions and egos. Labour therefore expects to have fair share in the business/production process.
Advantages of Fair Compensation System:
 Therefore a fair compensation system is a must for every business organization. The fair compensation
system will help in the following:
 If an ideal compensation system is designed, it will have positive impact on the efficiency and results
produced by workmen.
 Such system will encourage the normal worker to perform better and achieve the standards fixed.
 this system will encourage the process of job evaluation. It will also help in setting up an ideal job
evaluation, which will have transparency, and the standards fixing would be more realistic and
achievable.
 Such a system would be well defined and uniform. It will be apply to all the levels of the organization as
a general system.
 The system would be simple and flexible so that every worker/recipient would be able to compute his
own compensation receivable.

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Notes for Interview – HR, Personnel, ER, IR, and Admin
 Such system would be easy to implement, so that it would not penalize the workers for the reasons
beyond their control and would not result in exploitation of workers.
 It will raise the morale, efficiency and cooperation among the workers. It, being just and fair would
provide satisfaction to the workers.
 Such system would help management in complying with the various labor acts.
 Such system would also bring about amicable settlement of disputes between the workmen union and
management.
 The system would embody itself the principle of equal work equal wages. Encouragement for those who
perform better and opportunities for those who wish to excel.

Define SHIFT and RELAY.


Where the work of the same kind is carried out by two or more of sets of workers working during different
periods of the day each of such sets is called RELAY and each of such periods is called SHIFT.

Define Job?
Job is a collection of task to be performed everyday.
Job Analysis and Job Description
Job Analysis:
Job analysis is the process of studying and collecting information relating to operations and responsibilities of a
specific job. The process of job analysis results in two sets of data:
i) Job description and
ii) Job specification.
Job analysis is a systematic exploration of activities within a job. It is a basic technical procedure that is used to
define duties and responsibilities and accountabilities of the job.
Each job has certain ability requirements associated with it. Job analysis is a process used to identify these
requirements.
Job Description:
“Job Description implies objective listing of the job title, tasks, and responsibilities involved in a job.”

It defines continuing work assignment and a scope of responsibility that are sufficiently different from those of
other jobs to warrant a specific title.
Job description is broad statement of purpose, scope, duties and responsibilities of a particular job.
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Notes for Interview – HR, Personnel, ER, IR, and Admin

FORMAT OF JOB DESCRIPTION


 Job Title
 Region/Location
 Department
 Reporting to (Operational and Managerial)
 Objective
 Principal duties and responsibilities
Job Specification:
Job Specification translates the job description into terms of the human qualifications, which are required for
performance of a job. They are intended to serve as a guide in hiring and job evaluation.
Job Evelution
Job evaluation is a process of analyzing and assessing the various jobs systematically to ascertain their relative
worth in an organization.
Whai is different between Recruitement and Selection
Both recruitment and selection are the two phases of the employment process. The differences between the two
are:
1. Recruitment is the process of searching the candidates for employment and stimulating them to apply for jobs
in the organisation WHEREAS selection involves the series of steps by which the candidates are screened for
choosing the most suitable persons for vacant posts.
2. The basic purpose of recruitments is to create a talent pool of candidates to enable the selection of best
candidates for the organisation, by attracting more and more employees to apply in the organisation WHEREAS
the basic purpose of selection process is to choose the right candidate to fill the various positions in the
organisation.
3. Recruitment is a positive process i.e. encouraging more and more employees to apply WHEREAS selection is
a negative process as it involves rejection of the unsuitable candidates.
4. Recruitment is concerned with tapping the sources of human resources WHEREAS selection is concerned
with selecting the most suitable candidate through various interviews and tests.
5. There is no contract of recruitment established in recruitment WHEREAS selection results in a contract of
service between the employer and the selected employee.

What is Performance Appraisal?


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Notes for Interview – HR, Personnel, ER, IR, and Admin
It is a systematic evaluation of an individual with respect to performance on the job and individual’s potential for
development.
Performance appraisal is the assessment of individual’s performance in a systematic way. It is a development of
the employee and the organization.
The performance is measured against such factors such as job knowledge, quality and quantity of output,
initiative, leadership abilities, supervision, dependability, co-operation, judgment, versatility and health.

Objective and use of Performance Appraisal

 Promotions
 Confirmations
 Training and Development
 Compensation Reviews
 Competency Building
 Improve Communication
 Evaluation of HR Programmes
 Feedback and Grievances

What is ATTRIBUTION?

Attribution refers simply to how people explain the cause of another’s or their own behavior. It is the process by
which people draw conclusions about the factors that influence, or make sense of, one another’s behavior.
Attrition Rate Calculation
ATTRITION RATE CALCULATION
(The formula and correct logic behind calculation of Attrition Rate)
((no. Of attritions x 100) / (Actual Employees + New Joined)) /100.

Examples:
1) Actual Employees No. Of people left No. Of Joined Total Employees
(Opening BAL) (Attritions) (Current Headcount)
150 20 25 155
So according to the formula: ((20 x 100) / (150 + 25)) / 100
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Notes for Interview – HR, Personnel, ER, IR, and Admin
Which comes to 0.1142 i.e. 11%
Now as you had 150 previously and now 25 joined so it makes 150 + 25 =175
Now if you calculate 11.42% of 175 i.e. 175 x 0.1142 = 20
Which clearly shows that 175 – 20 = 155, which is your current headcount and at the same time you can say my
attrition is 11.42% that shows you lost 20 employees of 150 and 25 more joined which makes count to 175.
2) Actual Employees No. Of people left No. Of Joined Total Employees
(Opening BAL) (Attritions) (Current Headcount)
100 50 0 50
This is the special case where we are considering attritions only keeping into mind that nobody has joined in
particular month.
So according to the formula: ((50 x 100) / (100)) / 100
Which comes to 0.5 i.e. 50%
Now as you had 100 previously and now 0 joined so it makes 100 + 0 =100
Now if you calculate 50% of 100 i.e. 100 x 0.5 = 50
Which clearly shows that 100 – 50 = 50, which is your current headcount and at the same time you can say my
attrition is 50% that shows you lost 50 employees of 100 and 0 joined which makes count to 50.
3) Actual Employees No. Of people left No. Of Joined Total Employees
(Opening BAL) (Attritions) (Current Headcount)
500 200 100 400
So according to the formula: ((200 x 100) / (500 +100)) / 100
Which comes to 0.3333 i.e. 33.33%
Now as you had 500 previously and now 100 joined so it makes 500 + 100 =600
Now if you calculate 33.33% of 600 i.e. 600 x 0.3333 = 200
Which clearly shows that 600 – 200 = 400, which is your current headcount and at the same time you can say
my attrition is 33.33% that shows you lost 200 employees of 500 and 100 more joined which makes count to
400.
4) Actual Employees No. Of people left No. Of Joined Total Employees
(Opening BAL) (Attritions) (Current Headcount)
8000 5000 500 3500
So according to the formula: ((5000 x 100) / (8000 +500)) / 100
Which comes to 0.5882 i.e. 58.82%
Now as you had 8000 previously and now 500 joined so it makes 8000 + 500 =8500

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Now if you calculate 58.82% of 8500 i.e. 8500 x 0.5882 = 5000
Which clearly shows that 8500 – 5000 = 3500, which is your current headcount and at the same time you can
say my attrition is 58.82% that shows you lost 5000 employees of 8000 and 500 more joined which makes count
to 3500.

What is important of employee retention and why is it required in any organization


The challenge of keeping employees: Its changing face has stumped managers and business owners alike. How
do you manage this challenge? How do you build a workplace that employees want to remain with … and
outsiders want to be hired into?
Successful managers and business owners ask themselves these and other questions because—simply put—
employee retention matters:
High turnover often leaves customers and employees in the lurch; departing employees take a great deal of
knowledge with them. This lack of continuity makes it hard to meet your organization’s goals and serve
customers well.
Replacing employees costs money. The cost of replacing an employee is estimated as up to twice the
individual’s annual salary (or higher for some positions, such as middle management), and this doesn’t even
include the cost of lost knowledge.
Recruiting employees consumes a great deal of time and effort, much of it futile. You’re not the only one out
there vying for qualified employees, and job searchers make decisions based on more than the sum of salary and
benefits.
Bringing employees up to speed takes even more time. And when you’re short-staffed, you often need to put
in extra time to get the work done.
What is a Group?
A group is a collection of people who interact with one another, accept rights and obligations as members and
who share a common identity.
A group includes:
 Formal social structure
 Face to face interaction
 Two or more persons
 Common fate
 Interdependence
 Self-definition as group members
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 Recognition by others

There are two types of Groups: Formal and Informal

Formal Group: Work groups defined by the organization’s structure that have designated work assignments and
tasks.
Appropriate behavior are defined by and directed toward organizational goals.

Informal Groups: Groups that are independently formed to meet the social needs of their member.

STAGES IN GROUP DEVELOPMENT:


FORMING > STORMING > NORMING > PERFORMING > ADJOURNING

: BARRIERS TO EFFECTIVE COMMUNICATION

Filtering
A sender’s manipulation of information so that it will be seen more favorably by the receiver.
Selective Perception
People selectively interpret what they see on the basis of their interests, background, experience, and attitudes.
Information Overload
A condition in which information inflow exceeds an individual’s processing capacity.
Emotions
How a receiver feels at the time a message is received will influence how the message is interpreted.
Language
Words have different meanings to different people.
Communication Apprehension
Undue tension and anxiety about oral communication, written communication, or both.

MCCLELLAND’S THEORY OF NEEDS


David McClelland has developed a theory on three types of motivating needs:
1. Need for Power
2. Need for Affiliation

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3. Need for Achievement
Basically people for high need for power are inclined towards influence and control. They like to be at the center
and are good orators. They are demanding in nature, forceful in manners and ambitious in life. They can be
motivated to perform if they are given key positions or power positions.

In the second category are the people who are social in nature. They try to affiliate themselves with individuals
and groups. They are driven by love and faith. They like to build a friendly environment around themselves.
Social recognition and affiliation with others provides them motivation.

People in the third area are driven by the challenge of success and the fear of failure. Their need for achievement
is moderate and they set for themselves moderately difficult tasks. They are analytical in nature and take
calculated risks. Such people are motivated to perform when they see at least some chances of success.

McClelland observed that with the advancement in hierarchy the need for power and achievement increased
rather than Affiliation. He also observed that people who were at the top, later ceased to be motivated by this
drives.

LEADERSHIP TRAITS:
Ambition and Energy
The desire to lead
Honest and integrity
Self-confidence
Intelligence
High-Self monitoring
Job-relevant knowledge

DEFINITIONS:
CONDUCT AND MISCONDUCT
In personal life, conduct means conventional rules of social behavior. These are also called social etiquettes that
are normally unwritten codes of conduct.

Etiquettes reflect our general upbringing and grooming

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On the other hand, in professional life the conduct means adherence to rules and regulations as laid down by the
company. As a definition, conduct means an orderly performance of work through proper compliance with the
rules and regulations as framed by the company.

DISCIPLINE: Adherence to the rules of conduct is discipline

MISCONDUCT
Breach of discipline is called misconduct
In Simple words, misconduct means violation of any written rule of the company

DISCIPLINARY ACTION
The procedure of correcting or punishing associate whenever a written rule has been violated.
The prime purpose of disciplinary action is to correct a particular behavior.
Disciplinary actions normally follow a progressive process.
Steps:
 Verbal counseling
 Written Counseling
 Written reprimand (Warning)
 Final warning
 Suspension
 Discharge or Dismissal

What is meant by “Burden of Proof”?


To take lead the evidence first

What is Grievance?
Grievance denotes any discontent or dissatisfaction, whether expressed or not and whether valid or not, arising
out of anything, connected with the company that an employee thinks, believes or even feels, is unfair, unjust or
inequitable.

What is Communication?
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It is a two way process of exchanging information and ideas from the sender to the receiver with the message
being understood as intended by the sender.

Sender: The communicator or sender is the person who is sending the message . There are two factors that will
determine how effective the communicator will be . The first is the communicator's attitude . It must be positive.
The second factor is the communicator's selection of meaningful symbols, or selecting the right symbols
depending on your audience and the right environment.

Message: A communication in writing, in speech, or by signals


Channel: Messages are conveyed through channels, with verbal including face to face meetings, telephone and
video conferencing: and written including letters, emails, memos and reports.
Receiver: The receiver is simply the person receiving the message, making sense of it, or understanding and
translating it into meaning
Feedback: Feedback is that reaction which can be a verbal or non-verbal reaction or response. It's the feedback
that allows the communicator to adjust his message and be more effective. Without feedback, there would be no
way of knowing if meaning had been shared or if understanding had taken place
Types of Communication
Communication is of three types:
1. Verbal
2. Non-Verbal
3. Written
Verbal Communication: Communication done by way of speaking or exchange of words is called verbal
communication.
Non Verbal Communication: Conveying Ideas or thoughts through signs, symbols, gestures or facial
expressions are called non verbal communication.
Written Communication: Conveying facts, Ideas or thoughts in writing is called written communication. For
example: Letters, Articles, Notices and E-mails etc.

What is lay-off?

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Lay-off is a measure or compromising device to cope with the temporary inability of an employer to offer
employment to a workman and to keep the industrial establishment in operation so that the worker need not fall
back upon strike and the employer need not resort to closure or lockout.
A situation in which there is a temporary shortage of work and the employees are told there is no work for them
but that management intends to recall them when work is again available.

KPI – Key Performance Indicator


Key performance indicators are financial and non- financial metrics used to help an organization define and
measure progress toward organizational goals. KPIs can be delivered through Business Intelligence techniques to
assess the present state of the business and to assist in prescribing a course of action.

The act of monitoring KPIs in real-time is known as Business Activity Monitoring (BAM).

KPIs are frequently used to “value” difficult to measure activities such as the benefits of leadership benefits of
leadership development, engagement, service, and satisfaction. KPIs are typically tied to an organization’s
strategy.

What is Organization?
A consciously coordinated social unit composed of two or more people that functions on a relatively continuous
basis to achieve a common goal or set of goals.

What is ORGANIZATIONAL DEVELOPMENT?


Organizational development is a complex strategy intended to change the beliefs, attitudes, values, and structures
of organizations so that they can better adapt to new technologies, markets, challenges.

OD is achieved through interventions in the organization’s “Processes” using behavioral science knowledge.

OD involves organizational reflection, system improvement, planning, and self analysis.

Organizational Development is long range effort to improve organization’s problem solving and renewal
processes, particularly through more effective and collaborative management of Organizational Culture, often

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with the assistance of a change agent or catalyst and the use of theory and technology of applied behavioral
sciences.

Organizational Development is a contractual relationship between a change agent and a sponsoring organization
entered into for the purpose of using applied behavioral science in a system context to improve organizational
performance and the capacity of the organization to improve itself.

Who is CHANGE AGENT?

Change agent is a behavioral scientist who knows how to get people in organization involved in solving their
own problems. His main strength is his comprehensive knowledge of human behavior, supported by a number of
intervention techniques.

Change agent is expertise in behavioral sciences and in the intervention technology of OD.

HALO EFFECT
The Halo effect in social perception is very similar to stereotyping. Whereas in stereotyping the person is
perceived according to a single category, under the halo effect the person is perceived on the basis of one trait.
Halo is often discussed in performance appraisal when a rater makes an error in judging a person’s total
personality and/ or performance on the basis of a single trait such as intelligence, appearance, dependability, or
cooperativeness. Whatever the single trait is, it may override all other traits in forming the perception of the
person.

For example, a person’s physical appearance or dress may override all other characteristics in making a selection
decision or in appraising the person’s performance.

What are FRINGE BENEFITS?


These are monetary benefits provided to employees. They include the benefit of: (a) Provident fund, (b)
Gratuity, (c) Medical care, (d) Hospitalization payment, (e) Accident relief, (f) Health and Group
insurance, (g) Subsidized canteen facilities, (h) Recreational facilities, and (i) Provision of uniforms to
employees.

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What is EMPLOYEE ENGAGEMENT?
Employee Engagement is variously known as Employee Ownership, Employee Motivation, employee
Involvement, Commitment, Loyalty, etc.

Employee engagement means when employee is intellectually and emotionally bound with the organization and
who feels passionate about its goals and is committed towards its values thus he goes to the extra mile beyond
the basic job.

Employee Engagement is a powerful retention strategy. An Engaged employee gives his company his 100
percent.

When employees are effectively and positively engaged with their organization, they form an emotional
connection with the company.

Employee Engagement is a barometer that determines the association of a person with the organization. It is
about creating the passion among associates to do things beyond what is expected from him.

A successful employee engagement strategy help create a community at the workplace and not just a workplace.
When employees are effectively or positively engaged with their organization, they form an emotional
connection with the company. This affects their attitude towards both of their colleagues and the company’s
clients improve customer satisfaction and service levels.

Douglas McGregor, 1947 - Theory X and Theory Y

Theory X (Negative Outlook)


Management assumes employees are inherently lazy and will avoid work if they can. Because of this, workers
need to be closely supervised and comprehensive systems of controls developed. A hierarchical structure is
needed with narrow span of control at each level. According to this theory, employees will show little ambition
without an enticing incentive program and will avoid responsibility whenever they can.

Theory Y (Positive Outlook)

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In this theory Management assumes employees may be ambitious, self-motivated, and anxious to accept greater
responsibility, and exercise self-control, self-direction, autonomy and empowerment. It is also believed that if
given the chance employees have the desire to be creative and forward thinking in the Workplace. There is a
chance for greater productivity by giving employees the freedom to perform at the best of their abilities without
being bogged down by rules.

Define Morale?
The feeling of confidence and optimism with respect to problems or task is termed as Morale.

What is casual leave?


Casual leave is given to employee to attend sudden and immediate social an/or personal obligations, or
obligations like sister’s wedding, relatives death, children education obligations ( Children’s admission in
school, Parent Teacher’s meet) or applying for personal needs like Income Tax Returns, Passport, Ration Card,
Court Proceedings Etc.

Casual leave is not linked to the number of days worked and is usually fixed. The eligibility is decided by the
company and it can also decide whither excess leave can be en cashed or not. In all most all companies’ casual
leave cannot be accumulated and carried on in next year and a person can take a maximum of 3 C Ls together.

OD INTERVENTIONS
Interventions are structured activities used individually or in combination by the members of a client system to
improve their social or task performance. They may be introduced by a change agent as a part of improvement
program, or they may be used by the client following a program to check on the state of the organization’s
health, or to effect necessary changes in its own behavior.
“Structured Activities” mean such diverse procedures as experimental exercises, questionnaires, attitude surveys,
interviews, relevant group discussions, and even lunchtime meetings between the change agent and a member of
the client organization. Every action that influences an organization’s improvement program in a change agent-
client system relationship can be said to be an intervention.

What is OD Interventions?

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The term Intervention refers to a set of sequenced, planned actions or events intended to help an organization to
increase its effectiveness. Interventions purposely disrupt the status quo;they are deliberate attempts to change an
organization or sub-unit toward a different and more effective state.

THE PAYMENT OF GRATUITY ACT-1972


1. When is gratuity applicable to an employee?
Ans: Gratuity is applicable to a permanent employee who completes 5 years of continuous service with the
organisation.

2. Which form has to be filled for nomination of Gratuity?


Ans: Form F has to be filled for Nomination of Gratuity.
3. who can be nominated for Gratuity?
Ans: If employee is married than he/she can nominate spouse, if not then dependant parents.
4. if an employee does not have dependant parents or is not married, can he/she nominate
his/her brother or sister?
Ans: Yes he/she can do that, but sooner or later he/she acquires a family than the employee has to communicate
the same to the HR department to make the necessary changes in Nomination.
5. When is an employee eligible for getting gratuity?
Ans: Employee has to complete continuous service of 5 years, but after the ruling of Madras High Court if there
are 240 working days in the 5th year even then an employee is eligible for the gratuity.
6. What if an employee completes 4 years & 6 months of service, is he eligible for Gratuity?
Ans: No, but where an employee has completed 4 years & 240 days of continuous service in the 5th year he is
eligible for the Gratuity.
7. What if an employee before completing 5 years of continues service expires, is he eligible for Gratuity?
Ans: In case the employee expires before completing 5 years and gratuity could be paid to the nominee of the
deceased employee provided the employee has completed a year of service.
8. Is retrenched employee entitled to gratuity?
Ans: Yes, a retrenched employee is also entitled to gratuity.
9. Whether there is any provision available for recovery of gratuity from the employer under the Act
Ans:Where an employer fails to pay the gratuity, the employee concerned or his nominee may apply to the
controlling authority in duplicate in Form T for recovery thereof under section 8 of the Act.
10.What is Gratuity?

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Ans: Gratuity is a kind of benefit like the provident fund or pension. It is regarded as a legitimate claim which
workmen can make and which in a proper case can give rise to an industrial dispute. Gratuity paid is intended to
help the workmen after the retirement whether the retirement benefit is the result of the rules of the
superannuation or of physical disability.
It is a reward for good, efficient and faithful service rendered for a fairly substantial period and it is not paid to
the employee gratuitously or merely as a matter of bonus but for long and meritorious award.
11. What is the eligibility criteria for the payment of Gratuity to workmen?
Ans: Gratuity shall be payable to an employee on the termination of his employment after he has rendered
continuous service for not less than five years or on his superannuation or on his retirement or resignation or on
his death or disablement due to accident or disease. (Completion of continuous service of five years shall not be
necessary in case of death or disablement).
12. What is Continuous service under the Act?
Ans: An employee shall be said to be in continuous service for a period if he has, for that period, been in
uninterrupted service including service which may be interrupted on account of sickness, accident, leave,
absence from duty without leave. lay-off, strike, or a lockout or cessation of work not due to any fault of the
employee.
13. Who is the controlling authority under the Act in the Central.
Ans: Assistant Labour Commissioner (Central).
14. Who is the appellate authority under the Act?
Ans: Regional Labour Commissioner (Central).
15. What is maximum amount of Gratuity Payable under the Act to the eligible workmen?
Ans: The gratuity shall be paid at the rate of 15 days wages for every completed year of service, however,
maximum gratuity payable is not exceeding Rs. 10 lakhs.
16. How an application of Gratuity should be made?
Ans: An employee who is eligible for payment of gratuity under the Act, or any person authorized, in writing, to
act on his behalf, shall apply, ordinarily within thirty days from the date of gratuity became payable in Form I to
the employer.
17. Who can submit an application for payment of Gratuity?
Ans: Employee, nominee or a legal heir of an employee.
18. Under which condition workmen can make an application to the controlling authority for direction?
Ans: If an employer refuses to accept a nomination or to entertain an application sought to be filed under rule 7.
Formula of GRATUITY:

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Last drawn wages*No. of years*15 days
26 days in a month

THE EMPLOYEE PROVIDENT FUND & MP ACT, 1952

1) What is a covered establishment?


Covered establishment is an establishment belonging to the class of industries / other establishments, which has
been listed in the schedule appended to the Employees' Provident Fund and Miscellaneous Provisions Act 1952
and where 10 or more persons are employed.
2) What is the Contribution for Provident Fund both by the Employer & Employee?
Ans: The Employee contributes 12% of his /her Basic Salary & the same amount is contributed by the Employer.
3) Is it Compulsory for the all the employees to contribute to the Provident Fund?
Ans: Employees drawing basic salary upto Rs 15000/- have to compulsory contribute to the Provident fund and
employees drawing above Rs 15001/- have an option to become member of the Provident Fund.
4) Is it beneficial for employees who draw salary above Rs 15001/- to become member of Provident Fund?
Ans: Yes because provident fund contribution by the employer & employee is not a taxable income for Income
Tax purpose.
5) What if an employee while joining establishment has a basic salary of Rs 15000 and after some period
of time his basic salary increases above Rs 15001/-, does he have an option to terminate his member ship
form the Provident fund act?
Ans: Employee who while joining the organisation has a basic salary above Rs 15001/- have an option to either
become or avoid becoming member of Provident fund but employees whose basic salary while joining the
organization is less then Rs 15001/- but after some period of time their basic increases above Rs 15001/- have to
compulsorily continue to be member of provident Fund.
6) What is the contribution percentage to the Provident fund and Pension Scheme?
Ans: Employee’s contribution of 12% of basic salary is totally deposited in provident fund account whereas out
of Employer’s contribution of 12%, 3.67% is contributed to Provident fund and 8.33% is deposited in Pension
scheme.
7) Which form has to be filled while becoming member of provident fund?
Ans: Nomination Form No 2 has to be filled to become a member of the Provident fund, form is available with
HR department.

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8) Which form has to be filled while transferring provident fund deposit?
Ans: You just have to fill form no 13 to transfer your P.F amount.
9) What is the provision of the scheme in the matter of nomination by a member?
Ans: Each member has to make a nomination to receive the amount standing to his credit in the fund in the event
of his death. If he has a family, he has to nominate one or more person belonging to his family and none other. If
he has no family he can nominate any person or persons of his choice but if he subsequently acquires family,
such nomination becomes invalid and he will have to make a fresh nomination of one or more persons belonging
to his family. You cannot make your brother your nominee as per the Acts.
10) When is an employee eligible to enjoy pension scheme?
Ans: For an employee to become eligible for Pension fund, he has to complete membership of the Fund for 10
Years.
11) What does it mean by continuous service of ten years?
Ans : When we say continuous service of 10 years in Employee Pension Fund, we mean to say that during
services, for e.g., an employee who has worked with X company for say 3 years, then he resigned from that
organisation and joined Y company, wherein he worked for 2 years, then resigned from there to join
establishment for 5 years but during these 10 years of service he has not withdrawn but transferred his Employee
pension fund, then we say continuous service of ten years.
12) When can an employee avail the benefit of Employee pension fund scheme which he has contributed
during his ten years of continues service?
Ans: An employee can avail the benefit after completion of 58 years of service.
13) What happens to the provident fund & Employee Pension fund if an employee who wants to resign
from the service before completion of ten years of continues service?
Ans: Employee can withdraw the PF accumulations by filling Forms 19 & 10 C, which is available with the HR
department.
14) What is this 19 & 10C form?
Ans: Form No 19 is for Provident fund withdrawal & Form No. 10 C is for Pension scheme withdrawal.
15) Do we get any interest on the amount, which is deposited, in the Provident Fund account?
Ans: Compound interest as declared by the Govt. is given for every year of service.
16) What is the accounting year for Provident fund account?
Ans: Accounting year is from March to February.
17) What are the benefits provided under Employee Provident Fund Scheme?
Ans: Two kinds of benefits are provided under the scheme-

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a) Withdrawal benefit
b) Benefit of non -Refundable advances

19) How much time does it takes to receive P.F & pension money if an employee resigns from the Service?
Ans: Normally the procedure for receiving P.F & Pension money is, the employee has to fill 19 & 10 c Form and
submit the same to PF Desk, which is then submitted to the P.F office after two months, this two months is
nothing but a waiting period as the rules are that an employee should not be in employment for two months after
resigning if he has to withdraw his P.F amount. After completion of two months the form is submitted to the
regional provident fund Commissioner office after which the employee receives his amount along with interest
within a period of 90 days.
20) Do we receive money through postal order?
Ans: Previously there was a procedure wherein member use to get P.F through Postal order but now while
submitting the P.F form withdrawal form you have to mention your saving Bank account No. & the complete
address of the Bank where you hold the account.
21) How would I know the amount of accumulations in my PF account?
Ans: PF office sends an annual statement through the employer, which gives details about the PF accumulations.
The statement contains details like, Opening balance, amount contributed during the year, withdrawal during the
year, interest earned and the closing balance in the PF account. This statement is sent by the PF department on
completion of the financial year.
22) which establishments are covered by the Act?
Ans: Any establishment, which employs 20 or more employees. Except apprentice and casual laborers, every
Employee including contract labour who is in receipt of Basic+ DA salary up to Rs. 6500 p.m. is covered by the
Act.
23) In case after registering the establishment at any point in time, the number of employees working in it
becomes less than 20 then will the Act apply?
Ans: Any establishment which has been covered under the Act once shall continue to be governed by the Act
even if the number of persons employed therein at any time falls below 20.
24) Is the Act applicable to a factory, which is closed down but is employing a few employees to look after
the assets of the establishment?
Ans: No, Where the establishment is closed down and only four security men are employed for keeping a watch
over the assets and properties of the establishments, the Act would not be applicable.

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25) Is a trainee an employee under the Act?
Ans: Yes, a trainee would be considered as an employee as per the Act but in case the trainee is an apprentice
under the Apprentice's Act then he/ she will not be considered as an employee under this Act.
26) Is it possible to appeal the orders of the Central Government or the Central Provident Fund
Commissioner?
Ans: Yes, there is a body called as Provident Fund Appellate Tribunal where an employer can appeal.
27) Who is the authority to decide regarding the disputes if any?
Ans: In case there is a dispute regarding the applicability of the Act or the quantum of money to be deducted etc.
the authority to decide are the
i) Central Provident Fund Commissioner,
ii) any Additional Provident Fund Commissioner,
iii) any Additional Central Provident Fund Commissioner
iv) any Deputy Provident Fund Commissioner
v) any Regional Provident Fund Commissioner or
vi) any Assistant Provident Fund Commissioner
28) What in case there are workers involved as Contract labour?
Ans: It is the responsibility of the Contractor to deduct the PF and submit a statement to the Principal Employer
in the prescribed format by 7th of every month. The Company becomes the Principal Employer would be
responsible for the PF deduction of the workers employed on contract basis.
29) Are the persons employed by or through a contractor covered under the Scheme?
Ans: Persons employed by or through a contractor are included in the definition of " employee " under the
Employee's Provident Finds Act, 1952, and as such, they are covered under the Scheme.
30) In case the Contractor fails to deduct and submit the PF amount from the contract workers then what
is to be done?
Ans: The Company being the Principal employer is responsible for the PF to be deducted from the Contract
workers as well. In case the Contractors fails to deduct and submit the PF dues then the Company has to pay the
amount and can later on recover the amount from the Contractor.
31) Could the employer be punished in case the remittance of contribution by him is delayed in a Bank or
post office?
Ans: Employer cannot be punished or penalized in case there is a delay in the remittance of the contribution on
account of delay in Bank or post office.

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32) What happens in case there is a salary revision and a raise in the basic salary of the employee and
arrears need to be paid, Do we need to deduct PF from the arrears as well?
Ans: Arrears are considered to be emoluments earned by the employee and PF is to be deducted from such
arrears.
33) Is it possible for an employee to contribute at a higher rate of interest than 12 %?
Ans: Yes, if an employee desires to contribute an amount at a higher rate of interest than 12 % of basic salary
then they can do so but it does not become obligatory for the employer to pay anything above than 12 %. This is
called voluntary contribution and a Joint Declaration Form needs to be filled up where the employer and the
employee both have to give a declaration as to the rate at which PF would be deducted.
34) What is the interest on the PF accumulations?
Ans: Compound interest as declared by Central Govt. is paid on the amount standing to the credit of an
employee as on 1st April every year.
35) Who will be covered by the Pension Scheme?
Every member of the ceased Family Pension Scheme 1971 and anyone who joins any covered establishment on
or after 16-11-95 is compulsorily to join this scheme, provided his/her salary/wage is less than Rs. 6500/- per
month at the date of appointment.
36) What is the purpose of the Employee's Pension Scheme?
Ans: The purpose of the scheme is to provide for
1) Superannuation pension.
2) Retiring Pension.
3) Permanent Total disablement Pension
Superannuation Pension: Member who has rendered eligible service of 20 years and retires on attaining the age
of 58 years.
Retirement Pension: member who has rendered eligible service of 20 years and retires or otherwise ceases to be
in employment before attaining the age of 58 years.
Short service Pension: Member has to render eligible service of 10 years and more but less than 20 years.
37) If employee was a Family Pension Scheme member. He/She has left on 13-12-93 and he/she is 54 years
old. He/She has taken his withdrawal benefit. Can he/she join the new scheme?
Yes, by refunding withdrawal benefit together with interest. Thereafter, he/she will be entitled to receive pension
from age 58, if he/she completes at least 10 years of contributory service by then.

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38) If employee is a Family Pension Scheme Member and he/she has retired after 58 years of age on 15-01-
94. Can he/she join the new scheme?
Yes, anyone who has retired by reaching age 58 between 01-04-93 and 15-11-95 may join the scheme by
returning the withdrawal benefit along with interest. He will be paid pension with immediate effect, from date of
exit provided he has rendered 10 years of contributory service.
38) If employee is not a Family Pension Scheme member and he/she is 56 years of age, Can he/she join
Family Pension?
Yes, by diverting from his/her Provident Fund balance, Family Pension Scheme contribution from date of his/her
joining or 01-03-71, whichever is later.
39) Whether the Family Pension Scheme member who has attended the age of 58 years before 01-04-93
and has left employment after 01-04-93 will be admitted to the scheme as member of Family Pension
Scheme, 1971?
Yes, he will be deemed to have retired after 01-04-93. On repayment of that withdrawal benefit which was paid,
Pension will be paid from same date, provided he has rendered 10 years of contributory service.
40) In case Family Pension member has attained the age of 58 years between 01-04-93 and 16-11- 95 then
in that case whether arrears of monthly Member Pension become payable for the period earlier than 16-
11-95 i.e. from the date of his/her attaining the age of 58 years which is prior to 16-11-95?
No, he/she will be deemed to have retired from 16-11-95 and pension paid accordingly.
41) Is employee the only beneficiary of Fund?
Benefit will be paid to him/her and in his/her absence to his/her family.
42) What is meant by ‘Family’?
Family means employees' spouse and children below 25 years of age.
43) Suppose an employee does not have a Family and he/she dies before receiving benefit. Does his/her
pension get lost?
No, if he/she does not have a family, benefits will be paid to his/her nominee, who will receive the benefit in
his/her absence.
44) Suppose member has not nominated anyone.
The pension / ROC will be paid to the dependent parents.
45) Can member change his/her nomination?
He/She can change his/her nomination whenever he/she decides within the framework of rules for such
nomination. In other words if he/she has a family, nomination should be in favour of a member(s) of the family.
If he/she has no family he/she can nominate anyone he/she wishes.

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48) Employee is a member of Employees' Pension Scheme. He/She has left employment at 48 yrs. of age
and 8 yrs. of service. When shall he/she receive his/her pension?
He/She can take either withdrawal benefit or can take scheme certificate so that the 8 years service can be added
to any future service that he / she may put in, in any other covered establishment. By virtue of being a holder of a
scheme certificate, if the member dies before 58 years widow / widower and children shall be entitled for
pension.
49) What is past service pension?
This pension is for the period of membership of the Employees' Family Pension Scheme, 1971.
50) When does an employee become eligible to become a member of Employees' Provident Fund Scheme,
1952 and Employees' Deposit Linked Insurance Scheme, 1976?
An employee becomes a member of Employees Provident Fund (Employees' Provident Fund) Scheme, 1952 /
Employees Deposit Linked Insurance (Employees' Deposit Linked Insurance) Scheme, 1976 immediately on
joining an establishment covered under the Employees Provident Funds & Miscellaneous Provision Act, 1952.
51) What is nomination?
Every member has to give the details of himself & details of the nominee for Employees' Provident Fund &
Employees' Deposit Linked Insurance Schemes and details of family for Employees Pension Scheme, 1995 in
form no. 2.
A member if, is having a family can nominate any one or more persons to receive the Provident Fund on his
death. In case of him having no family he can nominate any other person.
Family for the purpose of Employee Provident Fund Scheme'52 means wife/husband, children, whether married
or unmarried, including adopted children, if adoption is recognized and dependant parents of member.
Employees Deposit Linked Insurance Scheme benefit will be paid to the nominee under Employees Provident
Fund Scheme, 1952.
For the purpose of Employees Pension Scheme, 1995 the member has to furnish the details, such as name,
relationship & age of all the family members in the form no. 2. Family for the purpose of Employees Pension
Scheme, 1995 means wife/husband & children. Whenever member wants to make a change in the nomination
already made for Provident Fund, or to update the details of family for Employees Pension Scheme, 1995, he has
to send a revised form no. 2. The form no.2 is routed through the employer.
52) What are the periodical returns to be sent by an employer to the Provident Fund Office?
The employer of an un-exempted establishment has to forward the following returns. These returns will include
details required under the three schemes namely, Employees Provident Fund Scheme, 1952, Employee Deposit
Linked Insurance Scheme, 1976 and Employee Pension Scheme, 1995.

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a) Form-9(Revised):
The details of employees enrolled as members of Employees' Provident FundS'52, Employees' Deposit Linked
Insurance'76 & Employees' Pension Scheme'95 on coverage of the establishment- This is to be submitted
immediately after coverage, within 15 days of coverage.
b) Form-12A:
The details of the contributions recovered form the members & paid along with details of employers'
contribution & administrative charges- This is to be submitted monthly by 25th of following month.
c) Form-5:
The details of the employees enrolled newly to the Provident Fund- To be submitted along with Form-12A every
month within 15 days of the following month.
d) Form-10:
The details of the employees leaving service during the month- To be submitted along with form-12A.
e) Challans:
The triplicate copy of challans in token of having remitted the Provident Fund dues in the bank- to be submitted
along with form-12A every month.
f) Form-2 (Revised):
Nomination form- To be submitted along with form-5/9.
g) Form-3A:
The details of wages & contributions in respect of each member, to be prepared financial year wise- To be
submitted to the Provident Fund office by 30th of April every year.
h) Form-6A:
Yearly consolidated statement of contributions- To be forwarded yearly along with form-3A. It should be
ensured that all the form-3A are entered in form-6A, irrespective of whether the form-3A was forwarded for the
broken period and the total dues as per the form-12A for the whole year agrees with the total of form-6A within
30th April.
i) Form-5A:
Return of ownership of the establishment- To be forwarded immediately after coverage & whenever there is a
change in the ownership, it has to be intimated with in 15 days of change.
j) Specimen signature:
Specimen signature of the officer/officers who are authorized to sign the returns/documents relating to Provident
Fund forwarded immediately after coverage & whenever there is a change in authorized officer.
53) What is the procedure to be followed by the member if the employer is not attesting his claim forms?

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It is the duty of the employer under the Act & Scheme to help Employees' Provident Fund organisation to settle
the Provident Fund dues of his employees. He has to complete the prescribed application within 5 days of receipt
[para72 (5)] forms & hand over it to the member when he leaves the service. When a member finds difficult to
get the form attested by the employer, he can get the attestation of any of the following officer & send to the
Provident Fund office.
Manager of a bank. By any gazetted officer.
Member of the Central Board of Trustees. / Committee/ Regional Committee (Employees ‘Provident Fund
Organization). Magistrate/ Post/ Sub Post Master/ President of Village Panchayat/ Notary Public.
20) What is the mode of payment of Provident Fund and Employees' Deposit Linked Insurance dues?
Provident Fund & Employees' Deposit Linked Insurance dues is paid by money order/ by deposit in payees' bank
a/c/ through employer/ by depositing the cheque in payees' name or part of amount in annuity scheme in any
nationalized bank. Payment by money order is allowed where the amount is not more than Rs. 2000/-.
54) What are the modalities to be followed for payment through cheque?
The member has to open an account in the nationalized bank, scheduled bank, urban bank or post office savings
bank. He has to furnish the details of bank a/c no. with the full address of the bank in application form. An
advance stamped receipt has also to be annexed in the form.
For receipt of pension member/claimant has to open an account only in State Bank of India or Punjab National
Bank.
55) In case of returning of cheque what is the procedure to be followed?
Generally the cheques are returned by the bankers when the a/c number is furnished incorrect or a/c has been
closed. On receipt of the cheque from the bankers the Provident Fund office will write to the member &
employer about the fact & request them to intimate the bank, a/c number & detailed address. In case, the member
comes to know about returning of the cheque before this, he can write to the Provident Fund office through his
former employer regarding his present address & bank a/c number.
56) What is the time taken for disposal of the application in the Provident Fund office?
The claims received complete in all respects are disposed off within a maximum period of 30 days from the date
of receipt of claims in the office. In case the member is not hearing anything about his application within 30
days, he can approach the Public Relation Officer.
57) What is the voluntary rate of Provident Fund contribution by the member?
As per the Act, the member has to contribute at the rate of 10% or 12% of his basic pay, D.A. & retaining
allowance if any. In case the member wants to contribute more than this, voluntarily he can do so at any rate he
desires. i.e. upto 100% of basic and D.A. But the employer is not bound to contribute at the enhanced rate.

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Instructions for a member while sending application to Employees' Provident Fund.
Use the appropriate form for claiming Provident Fund Pension, withdrawal benefit/scheme certificate,
Employees' Deposit Linked Insurance benefit, etc. as given below: -
Form-19: To claim final settlement of Provident Fund by a member.
Form-20: To claim Provident Fund by nominee/legal heir on death of the member.
Form-10-D: To claim pension. (In duplicate: If within state, In triplicate: If outside state.)
Form-10-C: To claim withdrawal benefit/scheme certificate under Employees' Pension Scheme '95.
Form-5IF: To claim assurance benefit under Employees' Deposit Linked Insurance '76 by nominee/legal heir of
a member.
Form-31: To claim temporary withdrawal/advance under Employees' Provident Fund scheme'52.
Form-13: To effect transfer of Provident Fund/Pension from one A/C to another.
Ensure that all columns of the application are filled completely.
Information in the application form relating to name, a/c no. should agree with the details available with
Employees' Provident Fund Organization; which were furnished by the employer at the time of enrolling to
Provident Fund.
Application should be signed by the member/claimant.
It should be attested by the former employer. In case attestation by the former employer is not possible,
it should be got attested by any other authorized official specified with application form.
Application for final settlement can be sent by a member on completion of 2 months from the date of leaving
service, if the reason for leaving service is other than superannuation, medical ground, retrenchment and V.R.S./
Female members getting married etc.
Desired mode of payment can be given legibly, if the amount involved is more than Rs. 2000/-. The amount will
be sent by deposit in payees' bank a/c. To facilitate this, Bank a/c no., name and address of the bank should be
furnished. An advance stamped receipt should also accompany this application.
Application may be supported by the return Form-10, showing the details of leaving service and details of
contribution for the year in Form-3A, if not sent earlier by the employer.
Specific additional requirements:
A) Death cases:
 Nominee/legal heir should apply in Form-20 /Form-10-D /Form-5IF.
 If the member has not executed any nomination, application should be supported by certificate of family
members issued by employer/revenue official/sworn in an affidavit by the family/ member/legal
certificate from a court of law.

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 Death certificate of the member.
Certificate of the employer stating whether the death was while in service of the member or not.
B) Pension cases:
 Joint photograph of member/spouse or the claimant should accompany the application.
 Option for return of capital/commutation should be specified clearly.
 Details of non-contributory period during the service, wages/salary for last 12 months should also
accompany, if not already sent.
 Details of the branch of the specified bank may be given legibly.
 Date of birth certificates of children
 In case of death away from service, an undertaking by the claimant to the effect that the member was not
working / had not worked in any other covered establishment after exit from the establishment on the
basis of which pension is being claimed.

PROVIDENT FUND FORMS DETAILS


Form No. 2 --- Nomination & Declaration
Form No. 3A --- At the time of Annual Return (For every Individual)
Form No. 6A -- At the time of Annual Return (As a summary of all)
Form No. 31 --- Advance loan against PF
Form No. 10C --- Withdrawal of pension contribution
Form No. 10D --- Withdrawal of pension fund on retirement or death
Form No. 20 --- For claiming PF on death of an employee by family or nominee
Form No. 19 --- PF withdrawal form
Form No. 09 --- Employee name and Details (within 15 days coverage of the Act)
Form No. 11 --- Information about previous employer
Form No. 05 --- At the time of joining by new member
Form No. 12A --- Monthly return
Form No. 10 --- At the time of leaving by member

THE PAYMENT OF BONUS ACT-1965


The right to minimum Bonus is a statutory right which vests in the employee and no further adjudication of the
right to the payment of minimum bonus is called for.

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A claim for the payment of Minimum Bonus cannot constitute an industrial dispute within the meaning of
section 22 of the payment of Bonus Act. However, for the enforcement of this right an employee can file an
application under section 33 C(2) of the Industrial Dispute Act.

Id Act: Section 33C (2) – This subsection deals with jurisdiction of a Labour court which is subject to the
fulfillment of the following two requirement.

- A workman must be entitled to receive from the employer any money or benefit which is capable
of being computed in terms of money.
- A question should have arisen about the amount of money due, or as to the amount at which such
benefit should be computed.

1) What are the objects of the Act?


Ans: This act ensures that employees have a statutory right to share the profits of the employer.
2) What is the minimum bonus prescribed by the Act?
Ans: The minimum bonus prescribed by the Act is 8.33 % of annual basic salary, which is equivalent to one
months basic salary or Rs. 100 whichever is higher.
3) What is the maximum bonus payable under the Act?
Ans: The maximum bonus payable under the Act is two and a half months basic salary or 20 % of annual basic
salary.
4) What is the applicability of the act?
Ans: This Act is applicable to all establishments employing 20 or more persons.
5) In case after registering the establishment at any point in time, the number of employees working in it
becomes less than 20 then will the Act apply?
Ans: Any establishment which has been covered under the Act once shall continue to be governed by the Act
even if the number of persons employed therein at any time falls below 20.
6) Who are entitled to be paid bonus?
Ans: Any employee who is drawing a salary or wages up to Rs. 21,000 per month and who has worked for a
minimum period of 30 days in a year is entitled to bonus.
7) Is a casual worker (whose job is not throughout the year but only for a few months) entitled to bonus?
Ans: The only criteria for being entitled to bonus is to complete minimum period of 30 days of work in a year to
be eligible for bonus.

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8) For the purpose of this Act, what does the term “wages” include?
Ans: For the purpose of this Act wages means Basic salary + D. A. and does not include allowances, overtime
salary, HRA, bonus, gratuity, employer's contribution to PF.
9) What is the time limit for an employer to pay the bonus?
Ans: Bonus must be paid within a period of 8 months from the close of the accounting year. If an employee does
not get the bonus due to him, he can apply to the Government.
10) Why has the Act specified the maximum and minimum limit of the bonus?
Ans: The principle behind fixing the maximum and minimum limit of the bonus is that the rate of bonus should
not fluctuate from year to year.
11) Can an employee hold or deduct the bonus payable to an employee.
Ans: Only in case the employee is found guilty of misconduct causing financial loss to the employer, then the
employer can deduct the or hold the employee's bonus.
12) In case there is a dispute regarding the payment of bonus then when is the bonus payable?
Ans: Bonus is payable to the employee within 30 days of settlement of such dispute.
13) Can the employer have an agreement with the employee for a different rate of payment of bonus?
Ans: Yes, there can be an agreement between the employer and the employee for a different rate of payment of
bonus but then they need to follow the Act,i.e., Maximum of 20 % of basic & minimum of 8.33 % of basic
salary.
14) Which establishments are exempt from paying bonus to its employees?
Ans: Any establishment which is newly set up is exempted from paying bonus to its employees in the first five
years. If however the employer gains profits in the first five years then he has to pay bonus to its employees.
15) In case there is a change in the ownership of the establishment then is the establishment exempt from
paying bonus?
Ans: No, even if the ownership of the establishment has changed it will not be considered as a newly set up
establishment and has to pay bonus.
16) When is the employee disqualified to receive bonus?
Ans: Any employee who is dismissed from the services on account of fraud, riotous or violent behaviour, theft,
misappropriation, or causes damage to company properties looses his claim on bonus.
17) In case the employee is entitled to bonus of last year but this year he/ she is dismissed on account of
theft, fraud and dishonesty then can the employer hold the employee's previous bonus?
Ans: In such a case the employer cannot hold the due bonus of the previous year.

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18) If the employee is laid off and paid lay off wages then is the employee entitled to bonus for the period
he/ she is laid off?
Ans: In case of lay off the employee receives lay off wages then these wages would be considered as wages in
the purview of this Act and the employer needs to pay bonus.
19) In case the employer has a lot of branches/ departments which are spread over many places or states
then will it considered as separate establishments or one single establishment?
Ans: In such cases the establishment would be considered as one single establishment.unless a separate balance
sheet and profit or loss account is prepared.
20) What are the registers/records to be maintained by the employer under the Act?
Ans:
Submission Of Return: In form D to the inspector within 30 days of the expiry of time limit under section 19.
Maintenance of registers and records etc:
A register showing the computation of the allocable surplus referred to in clause (4) of section 2, in Form A.
A register showing the set-on and set off of the allocable surplus, under section -15, in form B
A register showing the details of the amount of bonus due to each of the employee, the deduction under sec. 17
and 18 and the amount actually disbursed in Form C
21) I am working in a new company, whether I am eligible for Bonus?
Ans: In the first five accounting years following the accounting year in which the employer sells the goods
produced or manufactured by him or renders services, as the case may be, from such establishment, bonus shall
be payable only in respect of the amounting year in which the employer derives profits from such establishment.
22) Whether I am eligible for getting Bonus even if my employer has not earned profit?
Ans: Yes.
23) When bonus becomes payable?
Ans: Bonus becomes payable within a period of eight months from the close of the accounting year.

THE MATERNITY BENEFIT ACT-1961


1) What is the purpose of this Act?
Ans: The purpose of this Act is to regulate the employment of women workers for certain period before and after
childbirth.
2) To which establishments is the Act applicable?
Ans: This Act is applicable to every establishment employing 10 or more persons.
3) To which employees is the Act applicable?

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Ans: This act is applicable to female employees who are employed whether on regular employment or on casual
basis.
4) Are daily wages employees entitled to maternity benefit under this Act?
Ans: Female employees employed as casual employees/ daily rated employees are also entitled to maternity
benefit under this Act.
5) To whom is the maternity benefit payable in case of death of an employee?
Ans: In case of death of an employee maternity benefit is payable to the person nominated by or the legal heir of
the woman.
6) Can a woman be terminated when she is on maternity leave?
Ans: A woman cannot be terminated when she is on maternity leave.
7) What is the period for which a woman is entitled to maternity benefit?
Ans: A woman is entitled to maternity benefit of 26 weeks, 12 weeks before and 12 weeks after the due date of
delivery.
8) What is the eligibility of an employee to claim maternity benefit?
Ans: Any woman who has worked for more than 80 days during the preceeding 12 months of the date of
delivery.
9) What is the rate at which the woman is entitled to maternity benefit?
Ans: Rate of Maternity benefit is the rate of average daily wage for the period she has worked.
10) What is meant by “Average Daily Wages”?
Ans: Average daily wages means the average of the women wages payable to her for the days on which she has
worked during the period of 3 calendar months immediately preceeding the date from which she absents herself.
11) What is the maternity bonus a woman is entitled to?
Ans: A woman is entitled to maternity bonus of 3500 Rupees in case no pre-natal or postnatal care is provided
by the employer.
12) Is medical bonus paid over and above the maternity benefit?
Ans: Yes, Medical bonus of Rs. 3500 is provided over and above the maternity benefit.
13) Is a woman entitled to any leave in case of illness arising out of pregnancy delivery?
Ans: A woman is entitled to leave with wages up to maximum one month for illness arising out of pregnancy,
delivery, pre-mature birth or miscarriage..
14) Is a woman entitled to leave with wages for miscarriage?
Ans: In case of miscarriage a woman is entitled to leave with wages at the rate of maternity benefit for a period
of 26 weeks immediately following the date of miscarriage.

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15) What is the entitlement of a woman in case of MTP (Medical Termination of Pregnancy)?
Ans: In case of MTP (Medical Termination of Pregnancy) a woman is entitled to leave with wages at the rate of
maternity benefit for a period of 26 weeks immediately following the date of MTP.
Q16) Is it necessary for a woman to work for 80 days in the preceeding 26 months to claim benefit in case
of MTP or miscarriage?
Ans: No, there is no such condition laid out for a woman to claim benefit in case of MTP or miscarriage.
17) In brief, what are the obligations of the employer?
Ans: The employer is required to:
1.Exhibit an abstract of the Act in the establishments
2.Maintain a muster roll
3.Submit annual returns
18) What is the leave entitlement for tubectomy operation?
Ans: In case of tubectomy operation, a woman is entitled to maternity benefit for a period of two weeks
immediately following the day of her operation.
19) What establishments under the Central Sphere are covered under the Act?
Mines and other establishments wherein persons are employed for the exhibition of equestrian, acrobatic and
other performances are covered under the Central sphere.

THE EMPLOYEE STATE INSURANCE ACT, 1948


1. What is E.S.I. Scheme?
Ans: In addition to necessities of food, clothing, housing etc., man needs security in times of physical and
economic distress consequent upon sickness, disablement etc. The Employees’ State Insurance Scheme is an
integrated measure of Social Insurance embodied in the Employees’ State Insurance Act and is designed to
accomplish the task of protecting ‘employees’ as defined in the Employees’ State Insurance Act against the
hazards of sickness, maternity, disablement and death due to employment injury and to provide medical care to
insured persons and their families. The Scheme covers employees of non-seasonal power-using factories
employing 10 or more persons. There is, however, a built-in provision for its extension to other establishments or
classes of establishments, industrial, commercial, agricultural or otherwise. The Scheme has been progressively
extended to cover employees in non-power using factories employing 20 or more persons and to commercial
establishments.

2. How does the Employees’ State Insurance Scheme assist you?

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Ans: The dependence of an individual on cash income is a characteristic feature of modern economy. An
interruption of money income even for a small period is, therefore, a hardship; a prolonged loss of income is
indeed a catastrophe. By coming forward to provide health protection and income maintenance in a series of oft-
experienced contingencies like sickness, maternity, disablement and death due to employment injury, the
Employees’ State Insurance Scheme tends to ameliorate your economic anxiety and to be a friend in need and
distress.
3. Why is it called a Health Insurance Scheme?
Ans: The Employees’ State Insurance Scheme performs a dual role; by providing assistance in kind (medical
care) it tries to restore your health and working capacity and by assistance in cash (cash benefit) it tries to sustain
you when your income is interrupted. With a better and facile health protection, greater vitality, and assurance of
income-maintenance in times of need, it makes you every inch a better, a healthier, secure worker and therefore,
a happier man. The assistance comes to you not as an act of benevolence but in virtue of an acquired right.

4. Who administers the Employees’ State Insurance Scheme?


Ans: The Employees’ State Insurance Scheme is administered by a corporate body called the Employees’ State
Insurance Corporation (ESIC), which has members representing Employees, Employers, the Central
Government, State Governments, Medical Profession and the Parliament. The Director General is the Chief
Executive Officer of the Corporation and is also an ex-officio member of the Corporation. The other bodies at
the national level are the Standing Committee (a representative body of the Corporation) and the Medical Benefit
Council, a specialized body which advises the Corporation on administration of Medical Benefit. At the
Regional and Local levels, the Regional Boards and Local Committees have been constituted. There is, thus, an
association of interests and interest groups at all levels.
ESIC is the trustee of the interests of the insured persons. It discharges its obligations and duties through a
network of Regional Offices and Local Offices, Hospitals and Dispensaries spread over the entire country.
5. Whom does the Scheme protect?
Ans: The Scheme protects all “employees” engaged on a monthly remuneration not exceeding Rs. 15,000/- in a
factory/establishment to which the Act applies. Persons employed for wages on any work connected with the
administration of the factory or establishment or any part, department or branch thereof or purchase of raw
materials, or distribution or sale of the product of a factory or establishment are also covered. Mines, Railway
Running Sheds, Naval, Military and Air Force Workshops and specified seasonal factories are excluded. The
scheme also provides full medical cover to the dependants of insured persons. In the event of death of an insured
person due to employment injury dependants become eligible to cash benefit.

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6. Where do Employees’ State Insurance Funds come from?
Ans: The Employees’ State Insurance Funds are primarily built out of employers contribution and employees
contribution payable monthly as a fixed percentage of wages.
7. How are the employees registered under the Scheme?
Ans: Simultaneously with his/her entry into employment in a covered factory or establishment, an employee is
required to fill in a Declaration Form. The employee is then allotted a Registration Number, which distinguishes
and identifies the person for the purposes of the Scheme. A person is registered once and once only upon his
entry in insurable employment.
8. What is an Identity Card?
Ans: On registration every insured person is provided with a “Temporary Identification Certificate” which is
valid ordinarily for a period of 3 months but may be extended, if necessary, for a further period of 3 months.
Within this period, the Insured Person is given a permanent “family photo Identity Card” in exchange for the
Certificate. The Identity Card serves as a means of identification and has to be produced at the time of claiming
medical care at the dispensary/clinic and cash benefit at the Local Office of the Corporation. In the event of
change of employment, it should be produced before the new employer as evidence of registration under the
Scheme to prevent any duplicate registration. The Identity Card bears the signatures/thumb impression of the
insured person.
Since medical benefit is also available to the families of insured persons, the particulars of family members
entitled to Medical Benefit are also given in the Identity Card affixed with a postcard size family photo.

If you lose your Identity Card before it has run its normal life, a duplicate card is issued on payment as
prescribed.
9. What are the rates of contribution?
Ans: Contributions payable in respect of an employee comprise of employer’s contribution and employee’s
contribution prescribed in Schedule I of the Act.
An employee covered under the scheme has to contribute 1.75% of the wages whereas; an employer contributes
4.75% of the wages payable to an employee. The total contribution in respect of an employee thus works out to
6.50% of the wages payable.
10. Who is exempted from payment of contribution?
Ans: Employees earning less than Rs 40/- a day are exempted from payment of contribution. The employers
share of contribution is, however, payable.
11. How are the Contributions collected?

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Ans: The Contribution is deposited by the Employer in cash or by cheque at the designated branches of some
nationalized banks. The responsibility for payment of all contributions is that of the employer with a right to
deduct the Employees’ share of contributions from employees’ wages relating to the period in respect of which
the Contribution is payable.
12. What are ‘Contribution Periods’ and ‘Benefit Periods?
Ans: Workers, covered under the ESI Act, are required to pay contribution towards the scheme on a monthly
basis. A contribution period means a six-month time span from 1st April to 30th September and 1st October to
31st March. Thus, in a financial year there are two contribution periods of six months duration.

Cash benefits under the scheme are generally linked with contributions paid. The benefit period starts three
months after the closure of a contribution period. The two types of periods are illucidated below: –

Contribution Period Corresponding Benefit period


1st April to 30th September 1st January to 30th June of the Following Year
1st October to 31st March 1st July to 31st December

13. What is a Local Office?


Ans: A network of Local Offices has been established by the Corporation in all implemented areas to disburse all
claims for sickness, maternity, disablement and dependents’ benefit. The Local Office also answers all doubts
and enquiries and assists otherwise in filling in claim forms and completing other action necessary in connection
with the settlement of claims. These offices also interact with the employers of the area. The Local Offices are
managed by a Manager and work under the direction and control of the Regional Offices.
14. What does ‘Sickness Benefit’ mean?
Ans: Sickness signifies a state of health necessitating medical treatment and attendance and abstention from
work on medical grounds. Financial support extended by the Corporation is such a contingency is called
Sickness Benefit.
15. What are the Contributory Conditions?
Ans: The contribution condition required to be fulfilled for admissibility of sickness benefit during any benefit
period is that contributions should have been paid in respect of an insured person in the corresponding
contribution period for not less than 78 days.
16. How much is the Standard Benefit Rate?

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Ans: The daily rate of Sickness Benefit during any benefit period is the “standard benefit rate” this rate
corresponds to the average daily wage of an insured person during the corresponding contribution period and is
roughly half of the daily wage rate. Benefit is paid for Sundays also. 28 wage groups have been evolved for
working out the daily rate of Standard Sickness Benefit. Standard Benefit rates for 28 wage groups are shown in
Annexure ‘A’.
17. What is the duration of Sickness Benefit?
Ans: Sickness benefit is payable for a maximum period of 91 days in any two consecutive benefit periods.
Benefit is not paid for an initial waiting period of 2 days unless the insured person is certified sick within 15 days
of the last spell in which Sickness Benefit was paid.
18. What is Extended Sickness Benefit?
Ans: Extended Sickness Benefit is a Cash Benefit paid for prolonged illness due to any of the 34 specified
diseases as mentioned below.

Diseases
1. Tuberculosis
2. Leprosy
3. Chronic Emphysema
4. Bronchiectasis
5. Interstitial Lung disease
6. AIDS
7. Malignant Diseases
8. Diabetes Mellitus-with proliferate retinopathy/diabetic foot/ nephropathy.
9. Monoplegia
10. Hemiplegia
11. Paraplegia
12. Hemiparesis
13. Intracranial space occupying lesion
14. Spinal Cord Compression
15. Parkinson’s disease
16. Myasthenia Gravis/Neuromuscular Dystrophies
17. Immature Cataract with vision 6/60 or less
18. Detachment of Retina

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19. Glaucoma
20. Coronary Artery Diseases
21. Congestive Heart Failure-Left, Right
22. Cardiac valvular Diseases with failure/complications
23. Cardiomyopathies
24. Heat disease with surgical intervention along with complications
25. Chronic Obstructive Long diseases (COPD) with congestive heart failure (Cor Pulmonale)
26. Cirrhosis of liver with ascitis/chronic active hepatitis (“CAH”)
27. Dislocation of vertebra/prolapse of intervertebral disc
28. Non union or delayed union of fracture
29. Post Traumatic surgical amputation of lower extremity
30. Compound fracture with chronic osteomyelitis
31. (a) Schizophrenia
(b)Endogenous depression
(c)Maniac Depressive Psychosis (MDP)
(d)Dementia
32.More than 20% Burns with infection/complication
33.Chronic Renal Failure
34.Reynaud’s disease/Burger’s disease.
In addition, extended sickness benefit may also be sanctioned by the prescribed authority, in case of any rare
disease or special circumstances on the recommendation of the specified authority.
19. How much is the Benefit rate?
The daily rate of Extended Sickness Benefit is 40% more than the Standard Sickness Benefit rate admissible.

20. What are the Contributory Conditions?


Ans: Except in case of disability from administration of drugs/injections, the insured person should have been in
continuous employment for a period of 2 years and should have contributed for at least 156 days in 4 preceding
contribution periods.

21. How long is the Benefit available?


Ans: After exhausting Sickness Benefit payable for 91 days the ESB is payable upto a further period of 124/309
days that can be extended upto 2 years in special circumstances. Thus, together with the Sickness Benefit for 91

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days, it puts a claimant on benefit for an aggregate period 400 days for all specified diseases and 2 years in
chronic suitable cases on recommendation of competent authority.
22. What is Enhanced Sickness Benefit?
Ans: Enhanced Sickness Benefit is cash benefit for the insured persons undergoing sterilization operation of
vasectomy/tubectomy for family planning.
22a. What are the contributory conditions?
Ans: The contributory conditions are the same as for claiming sickness benefit.
22b. How much is the benefit rate?
Ans: The daily rate of this benefit is double the standard benefit rate. Say, not less than the daily wage.
22c. How Long is the benefit available?
Ans: The benefit is available upto 7 days for vasectomy and upto 14 days for tubectomy operations. This period
can however be extended in cases of postoperative complications or sickness arising out of these sterilization
operations. Its duration is not counted towards the total number of 91 days for which the sickness benefit is
available during any two consecutive benefit periods.
22d. How to claim Sickness Benefit?
Ans: A claim for Sickness Benefit should be supported by a Medical Certificate issued by an Insurance Medical
Officer/Insurance Medical Practitioner in the appropriate Form. Medical Certificates are issued at intervals of not
more than seven days, except in cases of prolonged sickness, where Special Intermediate Certificates may be
issued at longer intervals not exceeding 4 weeks. On the back of each certificate, except the Special Intermediate
Certificate, a Claim Form is printed. The Claim Form is essentially a declaration in regard to abstention of the
claimant from work during the period of claim. Separate Claim Forms are also available.
The Claim Form should bear signatures/thumb impression of the claimant and should be submitted to the Local
Office personally, by post, through a messenger or by deposit in certificate boxes, wherever provided. All claims
should preferably to submitted to the Local Office within three days. The Receptionist at the Local Office
renders all assistance in filling in the claim on your behalf.
23. What is ‘Disablement’?
Ans: Disablement is a condition resulting from employment injury, which may be: –
(a)Temporary i.e. rendering an insured person incapable of work temporarily and necessitating medical
treatment;
(b) Permanent partial i.e. reducing the earning capacity of the insured person generally for every
employment;
(c) Permanent total i.e. totally depriving the insured person of the power to do all work.

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24. What constitutes an “Employment Injury?”
Ans: Employment injury means a personal injury caused to an employee by an accident or occupational disease
arising out of and in course of his employment in a factory or establishment covered under the Employees’ State
Insurance Act.
The law relating to Employment injury has been liberalized. Now, an accident arising in the course of
employment is presumed also to have arisen out of his employment if there is no evidence to the contrary.
Further, an accident brought about by willful disobedience, negligence or breach of regulations etc. or an
accident happening while traveling in a transport provided by the employer or while meeting an emergency is
accepted subject to certain conditions, to have arisen in the course of and out of employment. Injuries suffered
while under the influence of drinks and drugs take away the right of the employee to this benefit.
Roadside accident caused while commuting between place of residence and workplace is also treated as notional
extension of employment for purpose of death or disablement benefit.
25. What are ‘Occupational Diseases’?
Ans: Occupational Diseases are such diseases as are susceptible of being traced back to their occupational origin.
These are specified under Schedule III of the Employees’ State Insurance Act, which enumerates the
compensable Occupational Diseases and the corresponding industrial processes involving exposure to the
diseases are thus recognized without any further evidence.
26. What are the Benefits granted?
Ans: Temporary Disablement Benefit is paid periodically in arrears as the evidence of incapacity (medical
certificate) is produced. Permanent total disablement and permanent partial disablement benefits are paid in the
form of pensions. Current employment for wages or engagement in any gainful activities is no bar to payment of
permanent disablement benefits. An insured person suffering from an occupationed disease is also entitled to full
medical care.
27. How much is the Benefit Rate?
Ans: The daily benefit rate for permanent total disablement and temporary disablement is 40% more than the
Standard Sickness Benefit rate and is roughly equivalent to about 70% of the wage rate. For permanent partial
disablement, the rate of benefit is proportionate to the percentage of loss of earning capacity. The benefit is paid
for Sundays also.
28. What are the Contributory Conditions?
Ans: There are no qualifying conditions as to the length of employment or the number of contributions paid.
Protection accrues from the very moment of entry into insurable employment.
29. What is the duration of Benefit?

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Ans: Temporary Disablement Benefit is paid as long as disablement lasts. There is a waiting period of 3 days
(excluding the day of accident), but if incapacity exceeds this period, benefit is paid from the very first day. The
permanent disablement benefit is paid for the life-time of the beneficiary.
30. How is Permanent Disablement assessed?
Ans: There is indeed no way of adequately compensating a permanently disabled employee and yet some method
of determining whether an employment injury has resulted in permanent disablement and of assessing the extent
of permanent damage caused by that employment injury has to be adopted for the purpose of determining the
scale of compensation for the loss of earnings. This is done by evaluating loss of earning capacity with reference
to general disability for all work. The evaluation is done by a Medical Board whose decision can be appealed
against to a Medical Appeal Tribunal presided over by a judicial officer, with a further right of appeal to
Employees’ Insurance Court or directly to Employees’ Insurance Court. Pending an appeal, payment for
permanent loss of earning capacity as recommended by the Medical Board is made, subject to adjustment later.
Loss of wages and expenditure on conveyance occasioned by attendance before the Medical Board are
compensated by the Corporation in accordance with rates framed for the purpose.
Where the assessment of loss of earning capacity by the Medical Board is not of a final character, the beneficiary
is required to appear again before the Medical Board for a review of the assessment.
31. Can the decisions of Medical Board or of Medical Appeal Tribunal be reviewed?
Ans: Yes. If the Medial Board or the Medical Appeal Tribunal is satisfied by fresh evidence that a decision was
given because of non-disclosure or misrepresentation of a material fact, it can review its earlier decision at any
time. A Medical Board can also review its earlier assessment of extent of disablement, if it is satisfied that there
has been substantial and unforeseen aggravation of the results of the relevant injury and substantial injustice
would be done by not reviewing it. Such review, however, cannot be made earlier than 5 years or in the case of
the provisional assessment, earlier than 6 months of the date of assessment to be reviewed.
32. Is lump sum Benefit allowed in place of Pension?
Ans: Yes. At the option of the beneficiary, permanent disablement pension, where the daily rate payable is not
significant, can be commuted for a lump sum payment subject to the fulfillment of the following two conditions:

(i) That the permanent disablement has been assessed as final, and
(ii) The daily rate of permanent disablement does not exceed Rs 5/- and the total commuted value does not
exceed Rs 30,000/- (effective from April–03).
33. How to claim ‘Disablement Benefit’?
Ans:

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(a) Temporary Disablement:
(i) Notice of the injury should be given either orally or in writing personally or through an agent, to the
employer/foreman/duty supervisor or particulars of the injury should be entered in the Accident Book kept in
the factory, personally or through an agent.
(ii) A medical certificate of incapacity should be obtained from the Insurance Medical
Officer/Insurance Medical Practitioner.
(iii) The claim form printed on the back of the medical certificate should be filled in and
submitted promptly to Local Office along with the medical certificate.
(iv) A final certificate should be obtained from the Insurance Medical Officer/Insurance Medical Practitioner
and submitted to the Local Office before resumption of duty.
(b) Permanent Disablement:
(i) If suffering from permanent effects of employment injury, the insured person should make an application to
the Regional Office of the Corporation for reference of his case to the Medical Board (reference to the Medical
Board is made otherwise also by the Regional Office).
(ii) Where loss of earning capacity has been assessed and communicated to the insured person, he should submit
a claim in the appropriate form to the Local Office.
(iii) After the claim has been admitted, the beneficiary should submit at six-monthly intervals (with the claim for
June and December every year) a life certificate in appropriate form duly attested by the prescribed authority.
34. Is there any provision for physical rehabilitation?
Ans: Yes. Insured Persons who suffer physical disablement due to employment injury are provided artificial
appliances or other physical aids such as wheel chairs, crutches, dentures and spectacles etc.

35. What about vocational rehabilitation?


Ans: The Corporation at its cost arranges for the vocational rehabilitation of disabled insured persons provided
the disability has been assessed at above 40 percent and the beneficiary is not over 45 years of age. The training
is provided at vocational rehabilitation centers run by the Govt. of India etc. The fee, travelling expenses etc are
borne by the Corporation.
36. What is ‘Dependents’ Benefit’?
Ans: Dependents Benefit is a monthly pension payable to the eligible dependents of an insured person who dies
as a result of an Employment Injury or occupational disease.
37. Who are the Beneficiaries and how long is the Benefit available?

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Ans: Dependants entitled to the benefit could be: –
(a) Widow/Widows during life or until remarriage:
(b) Legitimate or adopted son until age 18 or if legitimate son is infirm, till infirmity lasts;
(c) Legitimate or adopted unmarried daughter until age 18 or until marriage, whichever is earlier, or if infirm,
till infirmity lasts and she continues to be unmarried.
In the absence of any widow or legitimate child, the benefit is payable to a parent or grandparent for life, to any
other male dependant until age 18 or to an unmarried or widowed female dependant until age 18.
38. How much is the Benefit for each Beneficiary?
Ans: The total divisible benefit is equivalent to the temporary disablement benefit rate (roughly 70% of the wage
rate). The widow/widows share 3/5th of the benefit and the legitimate or adopted son and daughter 2/5th each of
the benefit. If the total benefit so divided exceeds the full rate, there is a proportionate reduction in the respective
shares of the beneficiaries.
39. How to claim ‘Dependants’ Benefit’?
Ans: To establish title to Dependant’ Benefit, the following documents should be submitted at the Local Office:–
(a) Claim in the appropriate form;
(b) Evidence of death being due to employment injury;
(c) Proof of relationship to the deceased supporting eligibility of the claimant as a “dependant”;
(d) Evidence of age of the claimant(s) (certified copy of official record of birth, Baptismal register, school
records, original horoscope etc;
(e) Certificate of infirmity from Medical Referee or any other prescribed authority in case of legitimate infirm
son or legitimate or adopted unmarried infirm daughter.
After the claim to Dependant’s Benefit has been admitted, the beneficiary should submit at six-monthly intervals
(with the claim for June and December), a declaration that he/she is alive and has not married/remarried attained
the prescribed age/continues to be infirm, as the case may be duly attested by the prescribed authority.
40. Can Dependant’s Benefit be reviewed?
Ans: Yes. Dependant’s Benefit once awarded can be reviewed by the Corporation at any time if it is satisfied on
fresh evidence that the earlier decision was due to non-disclosure or misrepresentation of material facts. It can
also be reviewed on birth, death, marriage, re-marriage and attainment of age 18, by a claimant. The benefit can
be continued, increased, reduced or discontinued.
41. What is Maternity Benefit?
Ans: Maternity Benefit is cash payable to an insured woman for the specified period of abstention from work for
confinement or miscarriage or for sickness arising out of pregnancy, confinement, premature birth of child or

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miscarriage. “Confinement” connotes labour resulting in the delivery of a living child or labour after 26 weeks of
pregnancy whether the resultant issue is alive or dead. “Miscarriage” means expulsion of the contents of a
pregnant uterus at any period prior to or during 26th week of pregnancy. Criminal abortion or miscarriage does
not, however, entitle to benefit.
42. What are the Contributory Conditions?
Ans: The contribution condition is the same as for Sickness Benefit.
43. How much is the Benefit?
Ans: The daily benefit rate is double the Sickness Benefit rate and is thus roughly equivalent to the full wages.
Benefit is paid for Sundays also.
44. What is the duration of the Benefit?
Ans: The Benefit is paid as follows: –
(a) For confinement: –
For a total period or 12 weeks beginning not more than 6 weeks before the expected date of child birth. If
the insured woman dies during confinement or within 6 weeks thereafter, leaving behind the living child,
the benefit continues to be payable for the whole of the period. But if the child also dead during that period,
the benefit will be paid upto and including the day of death of the child.
(b) For Miscarriage: –
For a period of 6 weeks following the date of miscarriage.
(c) For Sickness arising out of pregnancy, confinement, and premature birth of child or miscarriage:–
For an additional period of upto four week.
In all the cases, the benefit is paid only if the insured woman does not work for remuneration during the period
for which benefit is claimed. There is no waiting period.
45. How to claim Maternity Benefit?
Ans: Where an insured woman wishes to claim Maternity Benefit after confinement or for miscarriage, she
should obtain from the Insurance Medical Officer/Insurance Medical Practitioner, a certificate of confinement or
miscarriage and submit it to her Local Office personally or by post along with a claim for Maternity Benefit. The
claim form also contains a declaration of abstention from work.
If Benefit is desired before confinement, a Notice and Certificate of Pregnancy and a Certificate of Expected
Confinement obtained from the Insurance medical Officer/Insurance Medical Practitioner are also required to be
submitted.

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For claiming Benefit in the event of death of an insured woman leaving behind a child, her nominee and if there
is no such nominee, her legal representative should submit personally or by post to the Local Office of the
deceased insured woman, a claim for the Benefit together with a certificate of death of the insured woman.
An insured woman claiming Maternity Benefit for Sickness arising out of pregnancy, confinement, premature
birth of child or miscarriage should submit her claim in the manner as for sickness benefit.
Where a claim to Maternity Benefit is not submitted along with prescribed certificates referred to above, the
Corporation has the discretion to accept other evidence in lieu thereof.
46. What is Medical Bonus?
Ans: Medical Bonus is lump sum payment made to an insured woman or the wife of an insured person in case
she does not avail medical facility from an ESI hospital at the time of delivery of a child. This bonus of Rs. 250/-
has been increased to Rs. 1000/- from 1st April 2003.
47. What is Medical Benefit?
Ans: Medical Benefit means medical care of insured persons and their families, wherever covered for medical
benefit.
48. What does Medical Benefit consist of?
Ans: The standard medical care consists of out-door treatment, in-patient treatment, all necessary drugs and
dressings, pathological and radiological specialist consultation and care, ante-natal and post natal care,
emergency treatment etc.
49. Where are ‘out-patient’ services provided?
Ans: Out-door medical care is provided at State Insurance Dispensaries or Mobile Dispensaries manned by full-
time doctors (‘Service’ system) or at the private clinics of Insurance Medical Practitioners (‘Panel” system). The
scope of medical services also includes simple antenatal and post-natal care for women, family welfare planning
services and immunization against the common infectious diseases.
The Scheme provides at the sole cost of the Corporation, artificial limbs to insured persons who lose their limbs
due to employment injury or in certain circumstances otherwise also, dentures, spectacles and hearing aids where
the loss of teeth, impairment of eyesight or hearing respectively is due to employment injury.
50. How and where are ‘in – patient’ Services Provided?
Ans: ESIC has a network of 141 hospitals countrywide. Majority of these hospitals are administered by the State
Govts. In – patient and diagnostic services in basic specialties are available at these hospitals. State schemes
have also tie-up arrangements with a number of Medical colleges, major state hospitals, as well as, private
hospitals for advanced treatment for malignant diseases and complicated surgical interventions.
51. What about Preventive health care services?

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Ans: ESI Scheme provides preventive health care services through the network of its dispensaries and hospitals.
These include immunization against some killer diseases, pulse polio vaccination and family welfare services
etc. The scheme also participates in all major national preventive health service campaigns.
52. How long is Medical Benefit available?
Ans: Insured worker and the members of his family are eligible for medical care from the very first day of the
worker coming under ESI Scheme. The medical care includes primary medical care, diagnostic services,
specialist consultations and indoor medical care. Whenever the patient is not able to travel by himself/herself,
ambulance services are also provided. The I.P. or his family members are not required to pay for any of the
services.
Ans: A worker who is covered under the Scheme for the first time is eligible for medical care for a period of
three months. If he/she continues in insurable employment for three months or more the medical care is available
to him/her till the start of the first benefit period. If he/she contributes at least for 78 days in a contribution period
the eligibility is there upto the end of the corresponding benefit period.
A worker is also eligible for extended sickness benefit when he/she is suffering from any one of the long-term 34
diseases listed in the Act. This is admissible after the worker has been under ESI coverage for at least 2 years
during which he/she should have contributed at least for 156 days. When these conditions are satisfied medical
benefit is admissible for a maximum period of 730 days for the I.P. and his/her family.
53. What are Funeral expenses?
Ans: This component consists of a lump sum payment towards the expenditure on the funeral of the deceased
insured person.

54. What is the amount payable?


Ans: The lump sum amount of this benefit is equal to the actual expenditure, not exceeding Rs. 3000/- towards
the funeral of the deceased insured person.
55. Are there any Contribution Conditions?
Ans: No contribution condition is required for this Benefit. The only condition for admissibility of this Benefit is
that the deceased person should have been an insured person at the time of his death. The Funeral expenses are
thus payable in respect of an insured person in receipt of Permanent Disablement Benefit even if he may not be
employed at the time of his death in a factory or establishment covered under the ESI Act.
56. To whom are the Funeral expenses payable?
Ans: The expenses are payable to the eldest surviving member of the family of the deceased insured person. If
the insured person did not have a family or if he was not living with his family at the time of his death, the

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benefit is payable to the person who actually incurs the expenditure on the funeral of the deceased insured
person.
57. How to claim the Funeral expenses?
Ans: To claim the expenses, the claimant should submit his/her claim personally or by post to the Local Office
of the deceased insured person within three months, together with the following documents:–
(a) Death certificate as proof of death of the insured person issued by the Insurance Medical Officer/Insurance
Medical Practitioner or such other Medical Officer of a hospital or other institution who attended the insured
person at the time of death or examined the body after the death; (Death certificate issued by cremation/burial
ground or by Municipal authorities or certified copy of village etc. death records may also be accepted as
evidence of death);
(b) A declaration of the claimant, either
(i) That he is the eldest surviving member of the family of the deceased insured person and incurred expenditure
on the funeral of the deceased. or
(ii) In case the claimant is other than the eldest surviving member of the family, that the deceased insured person
did not have a family or was not living with his family at the time of his death and that the claimant actually
incurred expenditure on the funeral of the deceased insured person. The declaration should be countersigned by a
competent authority.
58. Disqualification for benefits in certain cases:
Ans: A person who works and receives wages on any day is not entitled to sickness benefit or maternity benefit
or temporary disablement benefit in respect of that day.
A recipient of sickness benefit or temporary disablement benefit must remain under medical treatment and obey
the instruction given by his Insurance Medical Officer. He should not leave the area of treatment without the
permission of his medical officer and should present himself for examination by the medical officer or any other
person authorized by the Corporation.
59. Safeguarding the right to Benefit:
Ans: Cash benefits payable under the Employees’ State Insurance Act are not liable to attachment or sale in
execution of any court decree or order. Also, the right to receive any benefit is not transferable or assignable.
60. Protection from Dismissal, discharge or other Punishments:
Ans: An employee is protected against dismissal, discharge, or other punishments during the following periods:

(1) A period of 6 months in case of a recipient of disablement benefit;

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(2) A period of 6 months in case an employee is under medical treatment for sickness or certified illness due to
pregnancy or confinement;
(3) A period of 12 months in case an employee is under medical treatment for T.B. Leprosy, Mental, Malignant
or any of the 34 specified diseases.
61. Remittance of Cash Benefit at the cost of the Corporation:
Ans: At the option of the beneficiary, cash benefits under the Employees’ State Insurance Act are remitted by
Money Orders at the cost of the Corporation, irrespective of the amount involved.
62. Adjudication Machinery:
Ans: To make the right of claimants effective, every claimant has a right of raising a dispute in the Employees’
Insurance Court. It consists of a judicial officer appointed by the State Government. The jurisdiction of a Civil
Court is barred in all such cases.
63. Repayment and recovery of Benefit payments:
Ans: If a person receives any benefit to which he is not legally entitled, he is liable to repay the value of any such
benefit to the Corporation.
65. Punishment for false statement etc.:
Ans: Any false statement or false representation made or caused to be made for the purpose of obtaining benefit
wrongfully etc. constitutes an offence under the Employees’ State Insurance Act, punishable with imprisonment
upto three months or with fine upto five hundred rupees or both.
66. Treatment at outstation
Ans: In case an insured worker leaves his station on duty or otherwise he/she is eligible for treatment at any ESI
medical unit, subject to production of identity card and a certificate from Employer in Form 105.

FOR BETTER AND QUICKER SERVICES


Please Remember
Identity Card is your visa to social security; protect it from loss or damage.
In case of loss of Identity Card, report the matter to your Local Office/Dispensary.
Fill in all Claim Forms properly; avoid mistakes.
Count your money before leaving Local Office cash counter.
Apply for examination by Medical Board immediately after your TDB terminates.
Follow referral procedures for treatment except in emergencies, when time factor is critical.
If you have a grievance, contact Local Office Manager/Dispensary in charge to which you are attached for quick
redressal.

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Be courteous with ESI staff and expect courtesy and compassion from them always.

FORMS UNDER ESI ACT 1948


Form No. 1 – Nomination Form
Form No. 1(B) – Change in Family Particular
Form No. 4(B) – Photo ID with Family
Form No. 37 – Continuation of Employment
Form No. 53 – Change of Dispensary
Form No. 72 – For Issuance of Duplicate ESI Card
Form No. 86 -- Certificate of employment of newly appointed person
Form No. 105 – To take Benefit at Outstation
Form No. 07 – List of Employees
Form No. 15 – Accident Book
Form No 32. -- Rate Form
Form No. 71 – Wage/ Contributory Records
Form NO. 16 -- Accident Reports
Form No. 05 – Return of Contribution

THE FACTORIES ACT 1948 & RULES 196


Applicability of the Act
 Any premises whereon 10 or more persons with the aid of power or 20 or more workers are/were without aid
of power working on any dayd preceding 12 months, wherein Manufactur-ing process is being carried on.-
Sec.2(ii)
 Employer to ensure health of workers pertaining to
 Cleanliness Disposal of wastes and effluents
 Ventilation and temperature dust and fume
 Overcrowding Artificial humidification Lighting
 Drinking water Spittons- Sec-11-20

Safety Measures
 Facing of machinery
 Work on near machinery in motion.
 Employment prohibition of young persons on dangerous machines.
 Striking gear and devices for cutting off power.
 Self-acting machines.
 Casing of new machinery.
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 Prohibition of employment of women and children near cotton-openers.
 Hoists and lifts.

Welfare Measures
 Washing facilities
 Facilities for storing and drying clothing
 Facilities for sitting
 First-aid appliances – one first aid box not less than one for every 150 workers.
 Canteens when there are 250 or more workers.
 Shelters, rest rooms and lunch rooms when there are 150 or more workers.
 Creches when there are 30 or more women workers.
 Welfare office when there are 500 or more workers.

Working Hours, Spread Over & Overtime of Adults


 Weekly hours not more than 48.
 Quaterly 50 Hours after approval by Chief Inspector
 Daily hours, not more than 9 hours.
 Intervals for rest at least ½ hour on working for 5 hours.
 Spreadover not more than 10½ hours.
 Overlapping shifts prohibited.
 Extra wages for overtime double than normal rate of wages.
 Restrictions on employment of women before 6AM and beyond 7 PM.
 Employment of Young Persons
 Prohibition of employment of young children e.g. 14 years.
 Non-adult workers to carry tokens e.g. certificate of fitnekss.
 Working hours for children not more than 4 ½ hrs. and not permitted to work during night shift.

Annual Leave with Wages


 A worker having worked for 240 days @ one day for every 20 days and for a child one day for working of 15
days.
 Accumulation of leave for 30 days.

Approval of plans. Building shall not be constructed or extended without


Sec 6(a), Every Year
the permission of Chief Inspector of Factories. Application to be made in
Rule - 3-A
Form No.1
Certificate of Stability in Form No. 1-B to be submitted to Chief Inspector Every Year
Rule 3C
of Factories. Required for new paint shop building.
Sec 7, Every Year
Renewal of Factory license
Rule - 10
General duties of occupier. Provide and maintain plant and systems of Every
Sec 7A
work that are safe and without risk to health, Provision of safety training
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and instruction and supervision, monitoring of working environment. Month

Sec 12 ( C ) Every Year


HSE POLICY
Sec 11 Daily
Cleanliness Floors, walls, doors, windows, drains should be kept clean.
Rule 16
Every Six
Sec 11
Whitewash of plant walls Month
Rule 3
Every Six
Sec 18 Effective arrangement of disposal of wastes water. Month

Sec 18A Every Year


Effective and suitable ventilation at work.
Rule 1 & 3
Sec 14 Dust & Fume. Prevent inhalation and its accumulation
Sec 17 Provide and maintain sufficient light at work. Every Six
Rule 30 to Rule - Illumination where the persons pass or is passing should not be less Month
34 than 5.5 Lux at floor level.
Sec - 18 Drinking water at suitable points. Minimum of 4.5 Litres per worker per
Rule 35 to day. No drinking water point shall be shall be situated withing 6 meters of
40 any washing place, urinal, latrine, spitoon, open drain.
Means of supply of water, vessels and tanks to be kept clean and water
renewed at least once every day. RO water provided - It should be sterilized
Rule - 38 at least once every week and date recorded. Sterilization not required if Weekly
water is filtered and treated before consumption. (Treatment should be to
the satisfaction of health officer).
Rule - 40 Weekly
Water Centers
Toilets & Urinals:
- Where Females are Employed, Minimum 01 Toilet per 25 Females.
- Where Males are Employed, Minimum 01 Toilet per 25 Males. But
Where the Count of Male Employees Increases more than 100, then for the
Sec – 19
First 100 employees There should be at least 01 Toilet per 25 employees & Monthly
Rule 41 to
then after Another One Toilet per 50 Employees.
50
- Where 50 or less Men are Employed, at least 01 Urinal should be
provided. But if Count of Men Employed increases over 500, Then For the
First 500 men, At least 01 Urinal Per 50 men, & then after 01 Urinal per
100 men.
Every
Sec - 21 Fencing of machinery. Provide guards on machines. month

Every six
Sec - 22 Work or near machinery in motion by trained worker. month

Sec - 29 & Lifting m/cs, chains, ropes and lifting tackles to be examined by Yearly
Rule - 60A competent person once in a period of 12 months. New tackle not to be
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used unless test certificate has been received.

Every six
Sec 31 & Examination of Pressure Vessel by competent person. External
Rule - 61 examination every six month. Hydrostatic examination - Every 02 yrs. month

Floor, stairs, means of access. Pits, sumps and trenches to be covered


Sec 32/ Sec Daily
or fenced. Gangways not blocked, stairs with handrail. At height fencing to
33
be provided.
Sec 35 /Rule Daily
Protection of Eyes.
63
Precautions in case of fire. Access for fire fighting, protection against
lightening, Precaution against ignition, spontaneous ignition, cylinders
Sec 38 & Every
containing compressed gas, storage of flammable liquids, Accumulation of
Rule - 66 & Month
flammable dust, gas, fume, vapour in air or flammable waste material on
66A
floor, Fire exits, First aid fire fighting arrangements, personnel in charge of
equipment and for fire fighting, fire drills.
Every
Rule - 68 H Safety Belts - Use of safety belt over 6 feet. Safety belts should be
(21) examined every six monthly. month

Prepare an On Site Emergency Plan and make it known to associates. Every Year
Sec 41-B
Material Safety Data Sheets.
Every
Sec 41-G,
Safety Committee. When more than 250 workers are employed. Quarter
Rule - 68F
Medical Check-up involving hazardous Process. Pre-Medical Every Year
Sec 41 C
Examinations
Sec 45, Rule
Every
- 69( C), First Aid Appliances. One first aid box per every 150 associates, under
Rule-69-A, charge of trained first aider. month
Rule - 70.
Sec 88/ 89A Notice of certain accidents/dangerous occurrences Monthly

Rule - 111 Register of Accident and dangerous occurrence in Form No. 29. Monthly

Rule – 102 Dangerous Processes: Identify Dangerous Processes


Every six
Returns. Annual Return. before 15 Jan, Half yearly Return, , before 15
Rule 107 month
July every year.

Rule - 112 Inspection book in Form No. 31

What is Hazardous Process?

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Hazardous Process means any process or activity in relation to an industry specified in the first schedule where,
unless special care is taken, raw material used therein or the intermediate or finished products, bye products,
wastes or effluents thereof would -
1. Cause material impairment to the health of the persons engaged in or connected therewith.
2. Result in the pollution of the general environment

Duties of Labour Welfare Officer

Section 49 of the factories Act 1948 provides that in every factory wherein 500 or more workers are ordinarily
employed, the employer shall appoint at least one welfare officer. The officer is expected to act as an advisor,
counselor, mediator or liaisoning officer between the management and the Labour. Specifically, his/her duties
include the following:

SUPERVISION OF

1. Safety , health and welfare programmes like housing, recreation, and sanitation services,
2. working of join committees
3. Grant of leave with wages
4. Redressal of worker’s Grievances.

COUNSELING WORKERS IN

1. Personal and Family problems


2. Adjustment to their work environment
3. Understanding their rights and privileges.

ADVISING MANAGEMENT IN MATTERS OF

1. Formulating welfare policies


2. Apprenticeship training programmes
3. Complying with statutory obligations to workers
4. Developing fringe benefits

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5. Worker’s education

LIAISONING WITH WORKERS SO THAT THEY MAY


1. Appreciate the need for harmonious industrial relations in the plant2.
2. Resolve Disputes, if any
3. Understand the limitations under which they operate
4. Interpret company policies correctly
What is the definition of Worker under the Factories Act 1948?
Worker means a person who is employed directly or through any agency including contractor with or without the
knowledge of principal employer, whether for remuneration or not, but he must be employed in any
manufacturing process, or in cleaning any part of the machinery or premises used for a manufacturing process, or
in any other kind of work incidental to, or connected with, the manufacturing process or the subject of the
manufacturing process. (2L)

Welfare sections of the Factories Act 1948


Section 42 ----- Washing facilities
Section 43 ----- Facilities for storing and drying clothes
Section 44 ----- Facilities for sitting
Section 45 ----- First-Aid appliances (At least one First-aid for 150 workers)
Section 46 ----- Canteen (More than 250 Workers)
Section 47 ----- Shelter, Rest-room, Lunch-Rooms (150 workers)
Section 48 ----- Crèches (Provision of crèches in factories employing more than 30 women workers)
Section 49 ----- Welfare officer (500 or more)
Section 108 the factories Act 1948
According to section 108(2) all notices required by or under this act to be displayed in a factory shall be in
English and in a language understood by the majority of workers in the factory, and shall be displayed at some
conspicuous and convenient place at or near the main entrance of the factory and shall be maintained in a clean
and legible condition.

Wage: Wage represent hourly rates of pay


Salary: Salary refers to the monthly rate of pay
Incentive: Incentive means payment by result

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Incentives are paid in addition to wages and salaries. Incentives depend upon productivity, sales, profit or cost
reduction efforts.

THREE SCHEDULES OF THE FACTORIES ACT 1948


 List of the industries involving in hazardous process
 Permissible levels of certain chemical substances in work environment
 List of notifiable diseases

HOURS OF WORK FOR WOMEN: No women can be allowed to work for more than the maximum daily
hours of work, i.e., nine hours a day ii. No woman shall be allowed employed in any factory except between the
hours of 6 a.m. and 7 p.m. The state government may be notification in the official gazette vary the limits for
particular factories. But such provisions must not authorize the employment of women between the hours of 10
p.m. and 5 a.m. iii. There shall be no change of shifts for women except under a weekly holiday or any other
holiday.

Section 58 (Prohibition Of Overlapping Of Shifts) Of The Factories Act 1948: Work shall not be carried on
in any factory by means of system of shifts so arranged that more than one relay of worker is engaged in work of
the same kind at same time.

PROVISIONS RELATED WORKING HOURS FOR ADULT WORKERS


Section 51 : Weekly Hours (Not more than 48 Hr. in a week)
Section 52 : Weekly Holidays
Section 53 : Compensatory Holidays
Section 54 : Daily Hours (9 Hr. in a day)
Section 55 : Interval for rest (Half hour after 5 Hr. working)
Section 56 : Spread over (101/2 Hr. )
Section 57 : Night shift
Section 58 : Prohibition of overlapping of shift
Section 59 : Extra Wages for overtime
Section 60 : Restriction on double employment
Section 61 : Restriction on double employment

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David Kolb Experimental, Learning Theory comprises the learning Styles named:
1. Concrete Experience (Feeling)
2. Abstract Conceptualization (Thinking)
3. Active Experimentation (Doing)
4. Reflective Observation (watching)

Section 62.(Form No. 12) Register of adult workers: The manager of every factory shall maintain a register of
adult workers, to be available to the inspector at all times during working hours, or when any work is being
carried on in the factory, showing –

a. The name of each adult worker in the factory


b. The nature of his work;
c. The group, if any, in which he is included;
d. Where his group works on shifts, the relay to which he is allotted;
e. Such other particulars as may be prescribed

What is SPREAD-OVER?
According to the Sec. 56 of the Factories Act, 1948 the period of work of an adult worker shall be so arranged
that inclusive of his interval for rest, they shall not spread-over more than 10 ½ Hour in a day.

INDUSTRIAL DISPUTE ACT, 1947

1. What are Industrial Disputes?


Industrial Dispute means any dispute or differences between employers and employers or between employers
and workmen or between workmen and workmen, which is connected with the employment or non-employment
or the terms of employment or with the conditions of labour of any person.

2. What are the different categories of Industrial Disputes?


The Second Schedule of the I.D. Act deals with matters within the jurisdiction of Labour Courts, which fall
under the category of Rights Disputes. Such disputes are as follows:
1. The propriety or legality of an order passed by an employer under the standing orders;

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2. The application and interpretation of standing orders, which regulate conditions of employment.
3. Discharge or dismissal of workmen including reinstatement of, or grant of relief to, workmen wrongfully
dismissed;
4. Withdrawal of any customary concession or privilege;
5. Illegality or otherwise of a strike or lock-out; and
6. All matters other than those specified in the Third Schedule.
The Third Schedule of the I.D. Act deals with matters within the jurisdiction of Industrial Tribunals which could
be classified as Interest Disputes. These are as follows: -
1. Wages, including the period and mode of payment;
2. Compensatory and other allowances;
3. Hours of work and rest intervals;
4. Leave with wages and holidays;
5. Bonus, profit sharing, provident fund and gratuity;
6. Shift working otherwise than in accordance with standing orders;
7. Classification by grades;
8. Rules of discipline;
9. Rationalization;
10. Retrenchment of workmen and closure of establishment; and
11. Any other matter that may be prescribed.
3. Who can raise an Industrial Dispute?
Any person who is a workman employed in an industry can raise an industrial dispute. A workman includes any
person (including an apprentice) employed in an industry to do manual, unskilled, skilled, technical, operational,
clerical or supervisory work for hire or reward. It excludes those employed in the Army, Navy, Air Force and in
the police service, in managerial or administrative capacity. Industry means any business, trade, undertaking,
manufacture or calling of employers and includes any calling, service, employment, handicraft, or industrial
occupation or avocation of workmen.
4. How to raise an Industrial Dispute?
A workman can raise a dispute directly before a Conciliation Officer in the case of discharge, dismissal,
retrenchment or any form of termination of service. In all other cases listed at 2 above, the dispute has to be
raised by a Union / Management.

5. Who are Conciliation Officers and what do they do?

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The Organization of the Chief Labour Commissioner (Central) acts as the primary conciliatory agency in the
Central Government for industrial disputes. There are the Regional Labour Commissioners (Central) and
Assistant Labour Commissioners (Central) who on behalf of the Chief Labour Commissioner (Central) act as
Conciliatory Officers in different parts of the country.
The Conciliation Officer make efforts to resolve the dispute through settlement between the workmen and the
management. The duties of Conciliation Officers have been laid down under Section 12 of the Industrial
Disputes Act.
6. What happens if conciliation fails?
In case of failure of conciliation (FOC) a report is sent to Government (IR Desks in Ministry of Labour). The
Ministry of Labour after considering the FOC Report exercises the powers available to it under Section 10 of the
Industrial Disputes Act and either refers the dispute for adjudication or refuses to do so. Details of functions of
IR Desks and reasons for declining may be seen above.
There are at present 17 Central Government Industrial Tribunals-cum-Labour Courts in different parts of the
country to whom industrial disputes could be referred for adjudication. These CGTIs-cum-Labour Courts are at
New Delhi, Mumbai (2 CGITs), Bangalore, Kolkata, Asansol, Dhanbad (2 CGITs), Jabalpur, Chandigarh,
Kanpur, Jaipur, Lucknow, Nagpur, Hyderabad, Chennai and Bhubaneshwar. Out of these CGITs, 2 CGITs
namely Mumbai-I and Kolkata have been declared as National Industrial Tribunals.
7. What happens when the dispute is referred to Labour Court?
After the matter is referred to any of the CGIT-cum-Labour Court, the adjudication process begins. At the end of
the proceedings an Award is given by the Presiding Officer.
The Ministry of Labour under Section 17 of the I.D. Act publishes the Award in the Official Gazette within a
period of 30 days from the date of receipt of the Award.
8. How is the Award implemented?
An Award becomes enforceable on the expiry of 30 days from the date of its publication in the Official Gazette.
The Regional Labour Commissioner is the implementing authority of the Awards.

9. What are the provisions for General Prohibition of Strikes and Lockouts?
No workman who is employed in any industrial establishment shall go on strike in breach of contract and no
employer of any such workman shall declare a lockout:
(a) During the pendency of conciliation proceedings before a Board and seven days after the conclusion of such
proceedings,

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(b) During the pendency of such proceedings before a Labour Court, Tribunal or National Tribunal and 2 months
after the conclusion of such proceedings.
(c) During the pendency of arbitration proceedings before an Arbitrator and 2 months after the conclusion of
such proceedings, where a notification has been issued.
(d) During any period during in which a settlement or Award is in operation in respect of any of the matters
covered by the settlement of Award.
10. Does the workman have the Right to go on strike with proper notice in Public Utility Services?
No person employed in a Public Utility Service can go on strike without giving to the employer notice of strike;
(a) Within 6 weeks before striking.
(b) Within 14 days of giving such notice.
(c) Before the expiry of the date of strike specified in such notice.
(d) During the pendency of any conciliation proceedings before a Conciliation Officer and 7 days after the
conclusion of such proceedings.

11. Does the Employer have the right to lock out any Public Utility Service?
No employer carrying on any Public Utility service can lockout any of his workman:
(i) Without giving to them notice of lockout provided within 6 weeks before locking out.
(ii) Within 14 days of giving such notice.
(iii) Before expiry of the date of lockout specified in any such notice.
(iv) During the pendency of any conciliation proceedings before a Conciliation Officer and 7 days after the
conclusion of such proceedings.

12. What compensation will a workman get when laid off?


Whenever a workman (other than a badli workman or a casual workman) whose name is borne on the muster
rolls of an industrial establishment employing 50 or more workmen on an average working day and who has
completed not less than one year of continuous service under an employer laid off, whether continuously or
intermittently, he is to be paid by the employer for all days during which he is so laid off, except for such weekly
holidays as may intervene, compensation which shall be equal to fifty per cent of the total of the basic wages and
dearness allowance that would have been payable to him had he not been so laid-off.
13. What are the conditions precedent to retrenchment of workmen?
No workmen employed in any industry who has been in continuous service for not less than one year under an
employer can be retrenched by that employer until:

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(a) The workman has to be given one month’s notice in writing indicating the reasons for retrenchment or the
workman has to be paid in lieu of such notice, wages for the period of the notice.
(b) The workman has to be paid, at the time of retrenchment, compensation which is equivalent to fifteen days’
average pay (for every completed year of continuous service) or any part thereof in excess of six months; and
(c) Notice in the prescribed manner is to be served on the appropriate Government (or such authority as may be
specified by the appropriate Government by notification in the Official Gazette).
14. What compensation will the workman get when an undertaking closes down?
Where an undertaking is closed down for any reason whatsoever, every workman who has been in continuous
service for not less than one year in that undertaking immediately before such closure is entitled to notice and
compensation in accordance with the provisions as if the workman had been retrenched.
Provided that where the undertaking is closed down on account of unavoidable circumstances beyond the control
of the employer, the compensation to be paid to the workman is not to exceed his average pay for three months.
15. What is an Award under the ID Act, 1947?
Award means an interim or final determination of any industrial dispute or of any question relating thereto. The
determination must be by any Labour Court, Industrial Tribunal, or National Tribunal. It includes an arbitration
award under Section 10A
16.What is closure under the ID Act, 1947?
Closure means the permanent closing down of a place of employment of part thereof
17. What is Lock out under the ID Act, 1947?
Lock Out means the closing of a place of employment, or the suspension of work, or the refusal by an employer
to continue to employ any number of persons employed by him.
18. What are right of workmen laid off for compensation?
Workmen who have completed one year of services shall be eligible for compensation equal to fifty per cent of
total of the basic wages and dearness allowance.
19. What is retrenchment under the ID Act, 1947?
Retrenchment means termination by the employer for any reason whatsoever, otherwise than as a punishment
inflicted by way of disciplinary action.
20. What is a works committee under the ID Act, 1947?
The works committee shall consist of equal number of representatives of employer and workmen to promote
measures for securing & preserving amity and good relations between the employer and workmen engaged in the
establishment.

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21. What is the number of workmen required in any industrial establishment to form a Works
Committee?
One hundred or more workmen.
22. What is the failure of conciliation proceeding under the ID Act?
If no settlement is arrived at during the conciliation, the conciliation officer will send a report (Under sec. 12(4))
to the Government soon after the close of investigation setting forth the steps taken by him for ascertaining the
facts and circumstances relating to the dispute and for bringing about a settlement together with full statement of
such facts and circumstances and the reason on account of which, in his opinion, a settlement could not be
arrived at.
23. What is Reference for adjudication under Sec. 10?
Where the appropriate Government is of opinion that any industrial dispute exists of is apprehended, it may at
any time by order in writing refer the dispute to a Board for promoting a settlement thereof or refer any matter
appearing to be connected with or relevant to the dispute to a Court for inquiry or refer the dispute of any matter
specified in the second schedule, to a Labour Court for adjudication or refer the dispute or any matter appearing
to be connected with, or relevant to the dispute, whether it relates to any matter specified in the second schedule
or the their schedule, to a tribunal for adjudication.
24. What are the conditions precedent for retrenchment Section 25F (Chapter VA)?
No workmen employed in any industry who has been in continuous service for not less than one year under an
employer shall be retrenched by the employer until, the workmen has been paid compensation to fifteen days
average
25. What is Chapter V-A and V-B under ID Act?
Chapter V-A and V-B relates Lay-off, Retrenchment and Closure in certain establishments.
26. What is Labour Courts ?
The appropriate Government may, by notification in the Official Gazette Constitute one or more Labour courts
for the adjudication of Industrial Disputes relating to any mater specified in the Second Schedule and for
performing which other function as may be assigned to them under the Act which performing which other
function as may be assigned to them under the Act performing which other function as may be assigned to them
under the Act
27. What is Industrial Tribunal?
A Forum for adjudication of Industrial disputes relating to any matter, whether specified in the second schedule
or the third schedule
28. What is the change in service condition under Sec 9A?

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No employer, who proposes to effect any change in the conditions of service application to any workmen in
respect of any matter, specified in the fourth schedule shall effect such change without giving notice to the
workman likely to be affected by such change a notice in the prescribed manner of the nature of the change
proposed to be effected or with in twenty one days of giving such notice. This section is applicable on certain
conditions.
29. How an Individual workman can raised an ID after dismissal etc. ?
An Individual workman can raise ID under section 2A of ID Act, before Conciliation Officer. In case
management not agreed for settlement, workman directly can approach Labour Court or Industrial Tribunal after
expiry of 45 days from the date of raising the Industrial Disputes before Conciliation Officer.
30. What is CLOSURE?
 Closure means permanent closing down of a place of employment or part thereof.
 60 days notice should be given for closure to Government, if numbers of persons employed are 50 or
more. 60 days notice is not necessary if numbers of persons employed are less than 50.
 If number of workman employed are 100 or more, prior permission of government is necessary for
closure u/s 25-O.

 How much time should be given to an employee to submit his explanation to charge sheet?
 48 hrs.
 36 hrs.
 48 hrs
 Reasonable time

31. What is Adjudication?


 Adjudication means a mandatory settlement of an industrial dispute by a Labour court or a tribunal.
Generally, the government refers a dispute for adjudication depending on the failure of conciliation
proceedings.
 Section 10 of the Industrial Dispute Act 1947, provides for reference of a dispute to Labour court or
tribunal. The Act also lays down rules regarding the composition and powers of Labour courts and
tribunal.
 Disputes are generally refers to adjudication on the recommendation of the conciliation officer who dealt
with them earlier. However, the government has discretionary powers to accept or reject

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recommendations of the conciliation officer. It is obvious that once a dispute is referred for adjudication,
the verdict of a Labour court or tribunal is binding on both the parties.

32. Schedules: There are five schedules in ID Act 1947.


i. Industries which may be declared to the Public Utility Services.
ii. Matters within the Jurisdiction of Labour Courts.
iii. Matters within the Jurisdiction of Industrial Tribunal.
iv. Conditions of service for change of which notice is to be given.
v. Unfair Labour Practices

33. Notice Of Change In Conditions Of Service


Section 9A of Industrial Dispute Act 1947 provides that an employer cannot effect any change in the conditions
of service applicable to any workman without giving 21 days notice.
As per fourth schedule of the Act, such 21 day notice is required if there is going to be change in wages, wage
period, PF contribution, allowances, hours of work and rest intervals, shift timings, new rules of discipline,
increase or decrease in number of persons in any department or shift.

Notice is given to 1. Secretary of Registered Trade Union


2. Chief Labour Commissioner (Central)
3. Assistant Labour commissioner
4. Regional Labour Commissioner

34. INDUSTRY: Industry means any systematic activity carried on by cooperation between an employer and his
workman whether such workman are employed directly or through any agency including contractor.
The employment should however be, for the production, supply or distribution of goods or services
with a view to satisfy human needs and wants.

35. Define Award: Award means an interim or final determination of any industrial dispute or question relating
thereto by Labour Court, Tribunal, and National tribunal or by an arbitrator.

36. Define Termination, Suspension, Discharge and Dismissal?

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1. TERMINATION: The term termination is very wide in nature and refers to cessation of employment due to
any reason. It includes discharge and retrenchment also. It may also include mass retrenchment whereby the
entire or majority employees are terminated.
This refers to the end of an employee’s duration with an employer. Depending on the case, the decision could be
made by the employee, employer or mutually agreed upon by both.
There are two types of terminations:
Voluntary Termination
Resignation and Retirement due to age fall under this category.
Involuntary Termination
Dismissal, Discharge, Forced resignation, Retrenchment all fall under this category.

2. SUSPENSION: Suspension is temporary cessation of employment as part of disciplinary action being taken
against an employee.
Suspension shall not be taken as a punishment but the employee found guilty of any misconduct is debarred from
attending the office for the time being. Once the enquiry is completed he may be either reinstated after
withdrawing the suspension or discharged or dismissed following the findings of the enquiry officer.

3. DISCHARGE: Discharge refers to termination of employment. The term is simultaneously used to refer to
retrenchment also. Most often the term is used to denote termination of employment following misconduct.

4. Dismissal also refers to the termination of employment. Te basic difference between the two is that discharge
is somewhat sympathetic in nature but the dismissal is very severe in nature.

Dismissal refers to the employer’s choice to let go the employee for a reason. The reason in the case of dismissal
is always for a fault or misconduct committed.
Dismissal is referred to as “Capital Punishment” in Labour law parlance.
Discharge: The word itself gives the meaning of releasing from duty or obligation. There are plenty of meanings
for the same word. But when we compared it to our topic it’s nothing but officially relieving a person from
his/her duties.

For Ex: Mr. Vishal Patel was joined in XYZ co. in the year 2005 by signing two years bond. Now he got an
opportunity to work with some ABC co., which is more reputed than XYZ.. So officially he has the right to leave

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the company as per their commitment by serving notice period. And he can discharge from his duties as per their
mutual agreement.

37. What should the language of charge-sheet?


Ans: Language which is very commonly understood.
38. Can alternate terminology be used while drafting charge-sheet?
Ans: No

38. What is CONCILIATION?


 Conciliation is the most important method for the prevention and settlement of industrial disputes
through third party intervention. It is an attempt to reconcile the view of the disputants and bring them to
an agreement.
 Conciliation may be described as “the practice by which the services of a neutral third party are used in a
dispute as a means of helping the disputant parties to reduce the extent of their differences and to arrive at
an amicable settlement or agreed solution.”
 It is the process by which representatives of workers and employers are brought together before a third
person or a group of person with a view to persuading them to arrive at an agreement by mutual
discussion between them.
 As a process of peace making Industrial relations, conciliation tends to bring about a speedy settlement of
disputes without resort to strikes or lockouts, and to hasten the termination of work-stoppages when these
have occurred. Its function is to assist the parties to move towards a mutually acceptable compromise or
solution.
 A unique and essential characteristic of the conciliation process is its flexibility, informality and
simplicity which set it apart from other methods of setting industrial disputes.

39. What is Subsistence allowance?


Section 10 A the Industrial Employment (Standing Orders) Act, 1946
Where the workman is suspended by pending investigation or employer pending investigation or inquiry into
complaints or charges of the misconduct against him, the workman shall be paid the subsistence allowance equal
to 50% of wages for first 90 days of suspension and 75 % of wages for remaining period till completion of
disciplinary proceedings.
40. What is COLLECTIVE BARGAINING?
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Collective bargaining is a negotiation between an employer or group of employers and a group of working
people to reach an agreement on working conditions
Collective Bargaining is a process of negotiation by collective action by a body of workers regarding their terms
and conditions of service such as wage leave, norms of employment, gratuity, bonus and other benefits of the
like nature.
In the Bargaining process, the main actors are employees, employers and their associations.
41. What is RETRENCHMENT?
The Industrial dispute Act 1947 defines retrenchment as: The termination by the employer, of the service of the
workman, for any reason, whatsoever, otherwise than as a punishment inflicted by way of disciplinary action but
does not include voluntary retirement, compulsory retirement of the workman on reaching the age of
superannuation or termination of service on the grounds of continued ill health.
42. What is the PROCEDURE FOR RETRENCHMENT?
Under the Act for the purpose of the retrenchment it is required that the workman must have been employed for
a period of not less than twelve months and that during those twelve months he had worked for not less two
hundred and forty days.
The employer is required to prepare a list of all workman in the particular category from which retrenchment is
contemplated, arranged according to the seniority of service in that category. A copy of the list shall be displayed
on the notice board in a conspicuous place in the premises of the establishment, at least seven days before the
actual date of retrenchment.
According to section 25G the following conditions are necessary for retrenchment:
 The workman must be a workman within the meaning of section 2(s) of the Act.
 The workman should be employed in an establishment which is an industry within meaning of section
2(j) of the Act.
 The workman should belong to a particular category of workman in the industrial establishment.
 There should be no agreement contrary to the principal of “Last come first go.”

43. PRINCIPLE OF NATURAL JUSTICE


 The worker charged should be given an opportunity to present witness of his own choice on whom he
relies.
 The worker should be given the right to cross examine the management evidence.
 No material should be used against the worker without giving him an opportunity to explain.
 The evidence of management should be taken in the presence of worker.
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 Enquiry against the worker should be fair and conducted by impartial person.
 The punishment awarded should not be out of the proportion to the misconduct committed.

46. What is CHARGE SHEET?

Charge sheet is a memorandum of charges.


Statement of allegations of misconduct/ omission/ negligence
No particular format prescribed for charge sheet in any labor enactment.
The object is to give the employee exact idea of the misconduct committed by him so that he may get reasonable
opportunity to defend.
Personality usually refers to the distinctive patterns of behavior (Including thoughts and emotions) that
characterize each individual’s adaptation to the situations of his or life.
47. What is the difference between Charge sheet and Show cause Notice?

Charge sheet is issued for acts of Misconduct by employees in Non-supervisory/ Non-Managerial Cadre whereas
the practice is to issue a show cause or Explanation letter to all in Non-Worker Cadre. Both purport to be “Show
Cause Notices” asking delinquent employee to explain why disciplinary Action under the standing Orders should
not be taken for act of misconduct.

Charge-sheet is basically a communication addressed to an employee, who has alleged to have committed some
misconduct, in relation to his employment, and it contains a statement of allegations with complete details of the
wrong-doing/ misconduct alleged against the employee. It calls upon him to give his explanation and show cause
as to why appropriate penal action should not be taken against him. Basically, therefore, there is not much
difference in both the jargons. But in Govt. Sector, there is a prescribed procedure for drafting in charge-sheet.
Normally, it contains a statement of charges, imputations of the misconduct on the basis of which the charges
have been framed, a list of witnesses and a list of documents, through whom/ which, the charges are proposed to
be established.

Generally, the charge-sheet does not speak about the penalty to be awarded to the employee, but only states the
allegations, which the employee may accept or refute. If it is accepted, then he liable for penal action forthwith.
If the explanation is satisfactory, the employer may not proceed further in the matter. However, in case he denies
the charges, the allegations need to be proved against him for which a departmental enquiry will be held. During

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the enquiry, the side which has made the allegations has to prove it and the receiving side can put up his or her
defence. Once, the charges are proved, the employee may be visited with penal action

Show cause narrates the incidence/misconduct and requires the employee to explain the cause of the same. He is
not pointed out to be the cause. Show cause therefore is at a macro level.

Charge-sheet however is very specific. Charges are categorically leveled and shot against the employee. He is
being asked to defend the charges.

The disciplinary actions are usually governed by Industrial Employment Standing Orders Act, 1946,

THE GUJARAT CONTRACT LABOUR REGULATION & ABOLITION RULES-1972


1) What is the policy governing this Act?
Ans: The policy of this Act is to prohibit the employment of contract labour in certain employments & govern
the working conditions and provide health and welfare facilities to the Contract Labour.
2) To whom is this Act applicable?
Ans: This Act is applicable to every establishment where 10 or more workmen are employed as Contract labour
3) Are there any establishments to which this Act is not applicable?
Ans: This Act is not applicable to establishments performing work only of an intermittent or casual nature.
4) What is the primary duty of the contractor?
Ans: The primary duty of the Contractor is to obtain a license as per the Act
5) What is the primary duty of the principal employer?
Ans: The principal employer needs to get his establishment registered under the Act.
6) What is the procedure for obtaining a license under the Act?
Ans: The contractor needs to apply in the prescribed format and pay the necessary fees and security deposit to
the Licensing Officer under the Act. The security deposit is refundable.
7) What about the validity of the license?
Ans: The license is valid for a year and it needs to be renewed every year. The application for license should be
made within 60 days of the date of expiry of the license.
8) What in case the registration certificate or the license is lost?
Ans: In case of loss of the registration certificate or the license a duplicate should be obtained from the licensin g
officer on payment of prescribed fees.

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9) What in case the employer doesn’t take the certificate of Registration ?
Ans: In case the employer has not obtained the certificate of Registration then he would be considered as a
Principal employer for all the worker employed as Contract labour.
10) What is the liability for the Principal employer in case the contractor fails to provide the salary and
welfare facilities as per the Act?
Ans: The Principal Employer would be responsible for the payment of wages to the Contract Labour and inurn
the Principal Employer can recover such amount from the payment due to the Contractor.

11) As per the Act what are the facilities, which are to be provided to the contract labour & by whom?
Ans: A contractor is required to provide canteens, rest room, latrines, urinals, drinking waters, washing facilities,
and first aid boxes to the contract labour & in case the contractor fails to provide these facilities it is the
responsibility of the principal employer to provide the same.
12) What are the powers of the inspectors appointed under the act?
Ans: An inspector can enter any premise where contract labour is employed and examine any register, record or
notices. He can examine any workman employed in the premise and ask them about their work and payment. He
can also seize or take copies of any register, record of ages or notices.
13) What kind of returns need to be submitted by the principal employer?
Ans: The principal employer needs to send annual returns in the prescribed form to the registering officer not
later than 15th Feb of every year.
14) What kind of returns need to be submitted by the contractor?
Ans: Every contractor is required to send to the licensing officer half yearly return in the prescribed form not
later than 31st July & 31Jan of every year.
15) What is the minimum no. of workmen for whom labour license is required to be obtained?
Ans: 10.
16) What is the mode of Payment of License fee-security deposit?
Through Demand Draft.
17) In whose favour demand draft is to be obtained?
The demand draft shall be drawn in the name of Assistant Labour Commissioner (Central) / Regional Labour
Commissioner (Central), being the licensing and registering officer. DDO, O/o Dy. CLC(C) concerned.
18) What are the documents to be attached along with the application for license?
Form IV,
Copy of Work Order,

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Proof of Status of Contractors firm,
Form V,
Demand Draft.
19) What is the validity period of license?
One year from the date of issuance.
20) When the application for renewal of a License is to be submitted?
Thirty days before the date of expiry of license.

21) What are the notices/ abstract to be displayed at the work-spot?


Abstract of Act and rules,
Notice showing rates of wages,
Date of payment of wages,
Date of payment of unpaid wages,
Hours of work,
Wage period,
Names and address of the inspectors,
Copy of license.
22) When the wages to contract workmen should be paid?
Before the expiry of 7th day of the last day of wage period where number of workmen is less than 1000.
Before the expiry of 10th day of the last day of wage period where number of workmen is 1000 or above.
23) What are the welfare amenities to be provided to workmen under the act?
Canteen (if 100 or more Contract Labour were/are working),
Rest Room (if Contract Labour are halting at night),
Drinking Water,
Toilets/ Urinal/ Wash Room,
First Aid Facility.
24) What should be done to increase the number of workmen in a license during the period of operation of
license?
Original License should be returned along with application for amendment, additional security deposit and
additional license fee.
25) What is an employment card?

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Employment card specifies the particulars of contract workmen engaged by the contractor. The Contractor has to
issue employment card duly filled in to the worker within 3 days of the employment.
26) Whether a workmen are eligible for wages during the Rest day/Weekly off?
Yes.
27) I am having 18 Contract labourers, whether my establishment will be covered under the Contract
Labour (R&A) Act, 1970?
No.

28) What is a Wage Slip?


Under the Act, every contractor is liable to give a wage slip-specifying wages rates and other particulars along
with the payment.
28) Earlier I employed 10 Labourers, now I have reduced to 08 workmen, whether my establishment has
to continue with the Labour license or surrender?
Yes, your establishment will continue to be covered under the provisions of the Act for a period of one year
from the day on which day 10 or more workmen lastly employed.
29) Is a sub contractor supposed to take License?
If principal employer endorses the name of sub contractor in the agreement, after having Form V from principal
employer, a sub contractor is requested to take License
30) What is the procedure for any amendment of License?
Original license along with requisite additional license fee and additional security deposit, if any with the request
specifying the amendment details to be furnished.
31) I employed 20 Contract Labour only on one day; will my establishment be covered under Contract
Labour (R & A) Act, 1970?
Yes.

THE MINIMUM WAGES ACT, 1948

1. What is the object of the Minimum Wages Act, 1948?


The object of the Act is to provide for fixing and revising minimum wages in certain employments in order to
stop sweated labour and prevent the exploitation of unorganized labour.

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2. Which employments are intended to be benefited by fixation of minimum rates of wages?
The Government is required to fix minimum rates of wages payable to employees employed
in the employments specified in Part I or Part II of the Schedule appended to the Act.{Section 3}
3. Is the list of employments specified in the Schedule to the Act exhaustive?: The list is not an exhaustive
one. The appropriate Government can add any employment to either part of the Schedule. {Section 27}

4. Is it competent for a government to bring a teacher within the purview of the Act by amending the
Schedule to the Act?
A teacher would not come within the definition of "employee" given under Section 2(i) of the Act. It is beyond
the competence of a Government to bring the teachers of an educational institution under the purview of the Act.

5. Is the Act applicable to daily rated employees?


The Act is expected to fix the minimum wages in respect of employees whether they are casual, daily rated,
temporary or permanent. The Act is applicable to daily rates employees also.

6. What is the procedure the Government has to follow for fixing and revising minimum wages?: The
Government has to fix and revise minimum wages either-
a. By appointing one or more committees and sub-committees consisting of representatives of employers and
employees and also of independent persons to hold necessary enquiries and by taking into consideration the
advice tendered by the committee or committees; or
b. By formulating and publishing its proposals and taking into consideration the representations received in
response to the proposals. {Section 5}

7. Is the task of the Government over once it fixes minimum rates of wages payable to employees
employed in a scheduled employment?
The task of the Government is not over once it fixes minimum rates of wages payable to employees employed in
a scheduled employment. The minimum rates of wages of fixed are required to be reviewed and, if necessary,
revised by the Government at intervals not exceeding five years. {Section 3(1)(b)}

8. Is it permissible for the employer to pay minimum wages in kind?

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As a rule minimum wages payable under the Act must be paid in cash. The employer, however, can pay them in
kind with the permission of the appropriate Government. {Section 11}

9. Can attendance bonus be treated as part of the minimum wage fixed under the Act?
Attendance bonus is in the nature of an incentive. It is an additional payment made to the workmen as a means of
increasing production. It cannot be treated as part of the minimum wage fixed under the Act.

10. Can the supply of essential commodities at concessional rates from part of the minimum wage?
Such supply cannot form part of the minimum wage unless it is authorized by the appropriate Government by a
notification in the Official Gazette under section 11(3) of the Act.

11. What is the obligation of the employer in respect of payment of wages under the Minimum Wages Act,
1948?
Where minimum wages are fixed and enforced under section 5 of the act in respect of any employment covered
by the Act, the employer is bound to pay to every employee engaged in that employment wages at a rate not less
than the minimum rate to fixed and enforced. {Section 12}

12. Is an employer, who is not paying basic wages and cost of living allowance separately as fixed under
the Act but who is paying wages more than prescribed minimum rates under the Act, committing any
illegality?
The minimum rate of wages fixed under the Act is remuneration payable to the worker as one package of fixed
amount, Neither the scheme of the Act nor any provision of the Act provides that the rate of minimum wages is
to be split into basic wages and cost of living allowance and therefore where an employer is paying total sum
which is higher than the minimum rate of wages fixed under the Act including cost of living allowance, the
employer is not committing any illegality.

13. What is the number of hours, which constitutes a normal working day for the employees covered by
the Act?
A normal working day prescribed for the employees covered by the Act is of 9 hours. {Section 13 & Mah. Rule
24}

14. Are the employees covered by the Act entitled to overtime wages?

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If an employee covered by the Act works for more than 9 hours on any day or 48 hours in any week, he is in
respect of overtime work entitled to wages at double the ordinary rate of wages. {Section 14 & Mah. Rule 26}

15. Can an employee getting wages higher than the minimum wages fixed under the Act claim overtime
wages under Section 20(2) of the Act?
Where an employee gets wages higher than the minimum wages fixed under the Act he cannot claim any benefit
under the Act.

16. Can an Industrial Tribunal adjudicate upon a dispute relating to the fixation of wages of employees
covered under the Act?
Section 24 of the Act does not bar the jurisdiction of an Industrial Tribunal to adjudicate upon a dispute relating
to the fixation of wages of employees covered under the Act.

17. Can an Industrial Tribunal fix wages at rates higher than the rates of minimum wages fixed under the
Minimum Wages Act?
An Industrial Tribunal adjudicating a dispute relating to wages is not bound by the minimum rates of wages
fixed under the Minimum Wages Act and it is open to it to fix wages at rates higher than the rates of minimum
wages fixed under the Act.

18. What is the position of the employer who is unable to pay minimum wages fixed under the Act?
The employer is bound pay minimum wages fixed under the Act and it is irrelevant whether he has the capacity
to pay them or not.

19. What is the procedure the employee has to follow for making a claim under the Act?
The procedure for making a claim is as follows
 An employee having any claim under the Act has to make an application to the Authority appointed
under the Act.
 Such application can be made by the employee himself, or any legal practitioner or any official of a
registered trade union.
 Such application has to be made within six months from the date on which the claim amount became
payable.

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 In appropriate case the Authority can, over and above directing the payment of the difference between
minimum wages payable and wages actually paid, award compensation upto ten times the amount of the
difference.
 The amount directed to be paid by the Authority can be recovered as if it were a fine imposed by a
Magistrate.
 Every direction of the Authority will be final. {Section 20}

20. Are the employees of a Students' Hostel entitled to minimum rates of wages fixed for hotels and
restaurants?
The intension of the Legislature was to include employment on hotels and restaurants under purview of the
Minimum Wages Act. When the Legislature specifically omitted the term "Students' Hotels" in the Schedule, it
thereby excludes it from the purview of the Minimum Wages Act.

21. Can the Authority appointed under the Act to decide the claims of the employees award compensation
to the tune of ten times of the amount of the difference between wages payable and wages actually paid, in
every case?
The limit of "ten times the amount of such excess" mentioned in section 20(3)(i) of the Act is the maximum
limit. When the Authority awards heavy compensation under the said section, it must give reasons for doing so.

22. Has an employee to pay any court-fee for making an application to the Authority?
In the State of Maharashtra an employee is exempted from paying any court-fee, other than the fee for service of
process, for making such application; but at the same time the Government is empowered to recover the amount
of such court-fee from the employer if the employee succeeds in the application. {Section 21A}

23. Can a group of employees make a single application for claiming minimum wages?
A single application can be made on behalf or in respect of any number of employees.

24. Is an employer required to maintain any register and record?


Every employer must maintain a muster-roll-cum-wage register and also a bound inspection book. {Rule 27 &
28}

25. What are the offences under the Act and what is the punishment for them?

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If any employer -
 pays to any employee less than the minimum rates of wages fixed for that employees' class of work; or
 contravenes any rule or order made by the appropriate Government under Section 13 regarding hours of
work; he would be punished with imprisonment upto five years or with fine upto Rs. 10000.00 or with
both. The offences under Section 22 of this Act shall be cognizable and non-bailable. {Section 22, 22B}

26. Is it permissible for an employee to recover minimum wages payable under the Act by filing a suit in a
Civil Court?
The Act prohibits Civil Courts from entertaining any suit for recovery of minimum wages payable under the Act.
{Section 24}

27. Is it permissible for an employee to relinquish his rights under the Act?
An employee is prohibited from contracting out of the Act, i.e. from giving up any of his rights under the Act
and any contract or agreement made by him relinquishing or reducing his right to a minimum rate of wages or
any privilege or concession accruing to him under the Act is null and void. {Section 25}
28. What are the registers/records to be maintained by the employer under the Act?
Register of wages,
Muster Roll,
Register of OT/fines/Advances/ Deduction for Damage or Loss,
Wages Slip.
29. Do the Minimum Wages rates in the Central sphere differ from the wage rates in the State
Sphere/UT administration ?
Yes, Central Government and each State Government/ UT administration, notify the Minimum rates of wages in
respect of a scheduled employment separately from time to time. In the Central Sphere, The rate notified by the
Central Government or the Concerned State Government/UT administration, whichever is higher will be made
applicable.
30. What should be done when employer pays less than the prescribed Minimum Wage?
An aggrieved employee can file a Claim Application requesting relief before the Authority under the Act
31. Who can file Claim application ?
Employee, any legal practitioner or any official of a registered Trade Union authorized in writing to act, any
Inspector under the Act or any person with permission of Authority can file claim.
32 Who is the Authority to hear claim application under the Act,

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Regional Labour Commissioner (Central).

33. Define Wage Under Minimum Wages Act.


Wages means all remuneration capable of being expressed in terms of money. It includes house rent allowance
but does not include 1.Value of house accommodation, supply of light, water, medical attendance 2.Value of
other amenity provided, if excluded by Govt. order 3.Contribution to pension fund or Provident fund or
Insurance 4.Traveling allowance 5.Special allowances incurred by the nature of employment 6.Gratuity payable
on discharge.

THE PAYMENT OF WAGES ACT, 1936

1. What is the object of the Payment of Wages Act, 1936?


The main object of the Act is to avoid unnecessary delay in the payment of wages and to prevent unauthorized
deductions from the wages.
2. What are the main provisions of the payment of Wages Act?
Payment of wages in particular form and at regular intervals without any unauthorized deductions is the object of
this Act
3. What is the time laid out for employer to pay the wages?
The employer needs to pay wages to the employee within one month or even on a weekly or fortnightly basis.
4. To which establishments is the Act applicable?
The Act is applicable to the payment of wages to persons employed:
a. In factories;
b. upon railways;
c. In other establishments specified in sub-clauses (a) to (g) of section 2(ii) of the Act.
The Act empowers the State Government to extend its provisions to the persons employed in any establishments
over and above the aforesaid establishments. {Section 1}
5. What registers are required to be maintained by the employer?
The employer needs to maintain the following registers:
1) Register of Fines
2) Register of wages
3) Register of deductions for damage or loss
4) Register of advances made to the employees.

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6. Are all wages covered or protected by the Act?
Wages averaging less than Rs. 6500.00 per month only are covered or protected by the Act with effect from 11th
September 2005. {Section 1(6)}

7. Are overtime wages to be taken into account for deciding the applicability of the Act?
Wages means contractual wages and not overtime wages. They are not to be taken into account for deciding the \
applicability of the Act in the context of section 1(6) of the Act.

8. Can any employer fix a period longer than one month for paying wages to a person employed by him?
The period to be fixed for paying wages to an employed person must not exceed one month. That means, an
employer can choose to pay wages to a person employed by him for a period of every week or every fortnight,
but not for a period of every two months or every three months, {Section 4}

9. What are the requirements of the Act in respect of time of payment of wages?
 The following are the requirements of the Act in respect of time of payment of wages:
 Wages must be paid on a working day and not on a holiday.
 Establishments employing less than 1000 persons must pay wages before the expiry of the 7th day of
every month and other establishments must pay wages before the expiry of the 10th day of every month.
 When the employment of any person is terminated, the wages earned by him must be paid before the
expiry of the second working day from the day of termination. {Section 5}

10. What are the requirements of the Act in respect of method of payment of wages?
Wages must be paid in current coin or currency notes or in both and not in kind. It is, however, permissible for
an employer to pay wages by cheque of by crediting them in the bank account if so authorized in writing by an
employed person. {Section 6}

11. What is the provision of the Act regarding deductions from the wages payable to an employed person?
The Act prohibits all kinds of deductions except those, which are authorized by or under the Act. {Section 7}

12. What are the provisions of the Act regarding the imposition of fines on the employed person?

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 The employer must exhibit on his premises a list of acts or omissions for which fines can be imposed.
 Before imposing a fine on an employed person he must be given an opportunity of showing cause against
the fine.
 The amount of fine must not exceed 3 percent of the wages.
 A fine cannot be imposed on an employed person who is under the age of 15 years.
 A fine cannot be recovered by installments or after 90 days from the day of the act or omission for which
it is imposed.
 The moneys realized from fines must be applied to purposes beneficial to employed persons. {Section 8}

13. Is the employer free to impose fines in respect of any act of omission on the part of employed persons?
Fines can be imposed in respect of only those acts or omissions of the employed persons which are approved by
the authority prescribed under section 8(1) of the Act. {Rules 10 to 12}

14. What is the procedure prescribed for the imposition of fine and for making deductions for damage or
loss?
Any person desiring to impose a fine on an employed person or to make a deduction for damage or loss shall
explain personally or in writing to the said person the act or omission, or damage or loss in respect of which the
fine or deduction is proposed to be imposed, and the amount of fine or deduction, which it is proposed to impose,
and shall hear his explanation in the presence of at least one other person, or obtain it in writing. {Subsection
8(3), 10(1-A) & Rule 15}

15. Apart from the employer himself, who else is responsible for the payment to the persons employed by
him of wages required to be paid under the Act?
 In factories, if any person has been named as the manager of the factory, then the person so named is also
responsible for such payment.
 In industrial establishments, if there is a person responsible to the employer for the supervision and
control of the industrial establishment, then the person so responsible is also responsible for such
payment.
 Upon railways, if the employer is the railway administration and the railway administration has
nominated a person in this behalf, then the person so nominated is also responsible for such payment.
{Section 3}

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16. What is the procedure an employed person has to follow for claiming deducted or delayed wages?
 If contrary to the provisions of the Act any deduction has been made from the wages of an employed
person or any payment of wages has been delayed, he has to make an application for claiming the same to
the Authority appointed under the Act.
 Such application can be made by the employed person himself or a legal practitioner or an official of a
registered trade union.
 Such application has to be made within a period of 12 months from the date on which the date on which
the deduction from the wages was made or from the date on which the payment of the wages was due to
be made.
 When any application under Subsection (2) is entertained, the authority shall hear the applicant and the
employer or other person responsible for the payment of wages under Section 3, or give them an
opportunity of being heard, and, after such further enquiry, if any, as may be necessary, may, without
prejudice to any other penalty to which such employer or other person is liable under this Act, direct the
refund to the employed person of the amount deducted, or the payment of the delayed wages, together
with the payment of such compensation as the authority may think fit, not exceeding ten times the
amount deducted in the former case and not exceeding three thousand rupees but not less than one
thousand five hundred rupees in the latter, and even if the amount deducted or delayed wages are paid
before the disposal of the application, direct the payment of such compensation, as the authority may
think fit, not exceeding two thousand rupees.
 The amount directed to be paid by the Authority ca be recovered as if it were a fine.
 If the employed person is not satisfied with the order of the Authority, he himself or a legal practitioner
or an official of a registered trade union, if the amount claimed by him is more than Rs. 25.00, can,
within 30 days from the date of the order prefer an appeal to the Appellate court. {Subsection 15 & 17}

17. Can the Authority refuse to entertain an application presented to it?:


The Authority may refuse to entertain an application presented to it, if after giving the applicant an opportunity
of being heard the Authority is satisfied, for reason to be recorded in writing that -
 The applicant is not entitled to present an application;
 The application is barred by limitation, or
 The applicant shows no sufficient cause for making a direction under Section 15.
 The Authority may refuses to entertain an application presented to it if the application is insufficiently
stamped or otherwise incomplete. When the Authority refuses to entertain an application for the said

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reason, he shall return it with an indication of the defects. The application so refused may be presented
again after the defects have been made good. {Rule 7 or Central Rules}

18. If any employee is prevented from making an application for payment of deducted or delayed wages
within the prescribed period of limitation of twelve months, can the Authority admit his application after
the expiry of the said period?
Under the second proviso to Section 15(2) of the Act the Authority is given power to condone the delay in
making the application within the said period if sufficient cause is shown by the applicant for not making the
application within the said period.

19. Is it correct to contend that the expression "ten times the amount deducted" appearing in Section
15(3) of the Act means that the compensation awarded under that section must be always in multiples of
the wages deducted?
The compensation awarded under section 15(3) may not be in multiples of the wages deducted. The Authority is
free to fix such compensation at the proportionate rate which it may think to be fair and just subject to the
maximum of ten times the amount deducted.

20. Is the compensation awarded under section 15(3) of the Act penal or in the nature of recompensation?
Compensation awarded under section 15(3) is not penal but is in the nature of a payment by way of
recompensation for loss or privation by reason of deduction from the wages paid.

21. Can a group of employed persons make a single application for claiming deducted or delayed wages?
This can be done if they are working in the same establishment and if deductions have been made from their
wages for the same cause and during the same wages period or if their wages have remained unpaid for the same
wage period. {Section 16}

22. Has the employed person to pay any court-fees for making and application for claiming deducted or
delayed wages?
In the State of Maharashtra and in some other States the employed person is exempted from paying any Court-
fees, other than fees for service of process, for making such application; but at the same time the Government is
empowered to recover the amount of such court-fees from the employer of the employed person if the employed
person succeeds in the application. {Section 15A}

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23. Can the employer also prefer an appeal against the order of the Authority?
If the employer is aggrieved by the order of the Authority, he also can, within 30 days of the date of order, prefer
an appeal to the Appellate Court if the amount ordered to be paid by him is more than Rs. 300.00 or the order
imposes on him a financial liability of more than Rs. 1000.00

25. If an employer wants to file an appeal against any order of the Authority directing payment of wages,
is he required to comply with any condition at the time of filing the appeal?
Section 17(1A) of the Act provides that no such appeal shall lie unless the amount payable under the order has
been deposited by the employer with the Authority.

26. Can the amount required to be deposited under Section 17(1A) be paid after the filing of the appeal?
The amount required to be deposited under Section 17(1A) must be paid at the time of filing of the appeal. The
appeal filed un-accompanied by the certificate of deposit is not maintainable.

27. If a person is prevented from filing an appeal to the Appellate Authority within the prescribed period
of limitation of thirty days, can the Appellate Court accept his appeal after the expiry of the said period?
The Act makes no provision for condonation of the delay in filing the appeal.

28. If the employer, instead of availing of the remedy of appeal under section 17 of the Act, files a writ
petition under Article 226/227 of the Constitution of India, is the writ petition maintainable?
The writ petition is not maintainable if by filing it the employer has deliberately chosen to circumvent the
provisions of law.

29. Is it competent for the Authority to entertain and decide an application for payment of subsistence
allowance?
The subsistence allowance payable to an employee placed under suspension pending Departmental Enquiry is
covered within the definition of wages given under Section 2(6) of the Act and, therefore, the Authority is
competent to entertain and decide an application for payment of subsistence allowance.

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30. Is it competent for the Authority under the Act to examine the justifiability of an order of suspension?
If an order of suspension has been passed by an officer competent to pass it, the authority under the Act cannot
examine its validity to see as to whether it was justified in law or not.

31. Can the Authority under the Payment of Wages Act decide the question of the status of an employed
person?
The Authority under the Payment of Wages Act is a Court of summary jurisdiction having powers to deal with
the simple matter of delay in payment of wages or deduction from wages. It is not within the competence of the
Authority to decide the question of the status of an employed person, i.e., whether he is a Mistry or welder. The
matter is a complicated question of law as also of fact.

32. Can there be attachment of property pending the disposal of a claim for deducted or delayed wages?
The Authority or the Appellate Court can attach the property of an employer pending the disposal of such claim
if it is satisfied that the employer is likely to evade payment of any amount that may be ordered to be paid by it.
{Section 17A}

33. Can an employee file a suit against his employer-seeking injunction restraining the employer from
making any deductions from his wages?
No such suit can be filed because according to section 22(d) of the Act no Court can entertain any suit for the
recovery of any deduction from wages insofar as the sum so claimed can be recovered by an application under
section 15 of the Act.

34. Can any employed person relinquish his rights under the Act?
An employed person is prohibited from contracting out of the Act, i.e. from giving up any right conferred upon
him by the Act, and any contract or agreement made by him relinquishing such rights is null and void. {Section
23}

35. Is an agreement between an employer and his employees authorizing the deduction of union
subscription from the salaries of the employer null and void under Section 23 of the Act?
Such agreement being beneficial and advantageous to the employees is not null and void under Section 23 of the
Act.

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36. Is an employer required to display the abstracts of the Act in his factory or establishment?
Every employer must display in his factory or establishment a notice containing the abstracts of the Act and the
rules made there under in English and also in the language understood by the majority or the persons employed
in the factory or establishment. {Section 25}

Form No. VI and Rule 24 regarding the display of the abstract of this Act has been deleted by Government of
Maharashtra vide notification date 30-Mar-2001 MGG Pt. I-L. Ext. date 30-Mar-2001 P. 213

37. What is the responsibility of an employer in respect of wages remaining unpaid on account of the
death of an employed person on account of the whereabouts of an employed person not being known?
An employer shall stand discharged of his liability to pay such wages if he pays them to the nominee of the
deceased person, and in case he is not able to do so, if he deposits them with the prescribed authority. {Section
25A}

38. Is deducting some amount or union levies from wages of employees and paying the same to the union
invalid under section 7 of the Act?
If such deduction and payment is made with the consent of the employees and / or with the approval of a
competent Court, it is not invalid under Section 7 of the Act.

39. What are the conditions imposed on deductions for recovery of advances of wages?
An advance of wages shall not exceed four months wages.
 The advance may be recovered in installments by deduction from wages spread over not more than 18
months.
 No installment shall exceed one-third of the wages for the month.
 The rate of interest charged for advances shall not exceed 6 1/4% per annum. {Rule 18}

40. Are the provisions of section 9(2) of the Payment of Wages Act permitting deduction in wages for
participation in illegal strike affected by the provisions of section 26 of the Industrial Disputes Act
providing for penalty for illegal strikes?
The Payment of Wages Act and the Industrial Disputes Act operate in different fields and the provisions of
section 26 of the Industrial Disputes Act providing for penalty for illegal strikes do not affect the right of the
management to effect a cut in wages to the extent permitted by Section 9(2) of the Payment of Wages Act.

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THE EMPLOYMENT EXCHANGES ACT—1959

1. What is the object of this Act?


This Act compels the employer to notify vacancies occurring in his establishment to the specified Employment
Exchanges.

2. How does it help the employer?


It enables the employer to choose the best.
3. How does it help the person?
It provides an opportunity to the person to claim employment.

4.Is it compulsory for the employer to employ those sponsored by Employment Exchanges?
No, the employer is not obliged to select or employ a person from the well.

5. Does the Act apply to each and every vacancy


This act does not apply to vacancies in agriculture, domestic service, unskilled office work, employment
connected with the staff of Parliament and also to jobs where the total duration is less than three months.

6. What is the manner of notifying the vacancies?


Notification of vacancies should be in a prescribed form as specified in the Act.

7. What is the time limit to notify the vacancies?


15 days before the applicant is required to come for an interview/ written test.

8. Is there a provision of notifying the vacancies in Employment exchanges outside the state?
Yes, In case the employer thinks that the choices would be better if he notifies the vacancies on a state level then
he can do so at the Central Employment Exchange or else he can notify at the local Employment Exchange.

9. What is the time limit for notifying the vacancies in case of notifying in the Central Employment
Exchange?
Time limit for notifying the vacancies in the Central Employment Exchange is 60 days prior to the date of
dispatch of the particulars of interview/ written test.

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10. By what time should the employer announce the results of the selection?
An employer has to announce the results of the selection within 15 days of his date of selection.

11. Is the employer required to submit returns?


Yes, the employer needs to quarterly and biennial returns in the prescribed forms to the local Employment
Exchange.
Trade Union Act -1926
1. How many persons required in an industry for registration of a Trade Union?
10% or 100 whichever is less engaged or employed in an establishment or industry.
2. How many persons required for making an application for Registration of a Trade Union
Minimum Seven.

3. Procedure for Registration of a Trade Union


Application in form A
Schedule I
Schedule II
Bye - law of the union
Resolution authorizing 7 members to make an application
Challans Receipt for Rs. 500/-
4. Where to submit the application?
Submit the application before the Asst. Labour Officer having jurisdiction over the area where the Head Office
of the union is situated.

5. Can the employers form a Trade Union?


Yes

6. A Trade Union, which has an identical name with another. Will it be registered?
Registrar of Trade Union shall not register that union until they make a change in the identical name.

7. Registrar of Trade Union withdrew a union’s registration in view of non performance of certain
statutory provisions. Is it possible?

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Registrar has the power only to cancel the registration. He cannot withdraw the order of registration
issued by him.

8. When happens when membership falls down after the date of application?
Application shall not become invalid.

9. Who is a protected workman?


Office bearers of a registered Trade Union are protected workmen.
10. Cancel the registration of a Trade Union when.
Trade Union Certificate obtained by fraud or mistake. Contravened any provision of the Trade Union Act. (With
two months notice from the Registrar)

11. Registrar’s decision not correct, whom to appeal


Appeal to respective High Court
12. What is the minimum age to be a member of Trade Union?
One who attained the age of 15 years?

13. What is the minimum age to be an office bearer?


Attained the age of 18 Years.

14. Registers and records to be maintained by, a Trade Union


Register of membership and subscription in Form ‘M’
Register of receipts and disbursement of general Fund
Minutes book of the meeting stock register
Subscription receipt book.
15. Define TRADE UNIONS.
Which are registered under the Trade Union Act 1926.
Trade Unions are voluntary organizations of employees or employers formed to promote and protect their
interest through collective action.

THE EQUAL REMUNERATION ACT, 1976


1. What are the main provisions of Equal Remuneration Act?

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The Act provides for the payment of equal remuneration to men and women workers and for prevention of
discrimination, on the ground of sex, against women in the matter of employment and for matter connected there
with of incidental thereto.
2. What is the authority to hear Claim Petition under the Act?
Section of 7.
3. Who is the authority to hear Claim petition under the Act?
Assistant Labour Commissioner (Central).

CHILD LABOUR (PROHIBITION AND REGULATION) ACT, 1986


1. Who is a Child under the Act ?
Child means a person who has not completed his fourteenth year of age.
2. What are the occupations where employment of Child is prohibited?
No child shall be employed or permitted to work in any of the occupations set forth in Part A of the Schedule or
in any workshop wherein any of the processes set forth in Part B of the Schedule is carried on.
3. What are the registers to be maintained under Act?
Register showing the name of date of birth of every child so employed or permitted to work, hours and periods
of work of any such child and intervals of rest, the nature of work of any such child.
4. What are the notices to be displayed under the Act?
An abstract of Section 3 and 14 of the Act in Local Language and English.

THE INDUSTRIAL EMPLOYMENT (STANDING ORDERS) ACT, 1946


1. What is a Standing Order?
A Statement defining the conditions of Employment in an establishment.
2. What is the criteria for applicability of the Act?
The Act is applicable to industrial establishment wherein one hundred or more workmen are employed.
3. What is the time limit for submission of a draft Standing Orders under this Act?
Within six months from the date on which this Act becomes applicable to an Industrial Establishment.
4. Who is the Certifying Officer?
Regional Labour Commissioner (Central)
5. Approval of Standing Order

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Every Employer covered under the Act has to prepare ‘Standing Orders’, covering the matters required in the
‘Standing Order’. Five copies of these Standing Orders should be sent to Certifying Officer to approval.(Section
3(1))
‘Certifying Officer’ means Labour Commissioner and any officer appointed by government to be ‘Certifying
Officer’. [Section 2(c)]

6. What are the objectives of the industrial employment (standing orders) act 1946?
 Principal Conditions of Employment
 Standing orders may be described as “code of conduct” for employees
 To provide of redressal of Grievances
 To specify the duties and responsibilities of both the Employers and Employees. They make both of them
conscious of their limitation.
 Standing orders is to create an attitude of mind among both the parties
 Reduced in writing
 Compulsory certified

 They require on the one hand, the employers to follow certain specified rules and regulations as laid
down regarding working hour, pay days, holidays, granting of leave to the employees, temporary
stoppages of work, termination of employment, suspension or dismissal in certain conditions.

 On the other hand they require that the employees should adhere to rules and regulation mentioned in the
standing orders.

SPECIAL PROVISION FOR INTERNATIONAL WORKERS W.E.F 11th NOV 2008


1) Who is an International worker?
An International worker may be an Indian worker or a foreign national. This means an Indian worker who has
divided his/her career between India and another country with whom India has entered into a bilateral Social
Security agreement or a foreign national working in India. (Para 2 ff)
2) Who is an ‘excluded employee’ under these provisions?
A ‘detached worker’ posted in an establishment in India but contributing to the social security programme of the
source country in terms of the bilateral Social Security agreement signed between that country and India shall be
an ‘excluded employee’ under these provisions. (Para 2 f)

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3) Who is a ‘detached worker’?
An International worker, being not an Indian employee, contributing to the social security programme of the
source country in terms of the bilateral Social Security agreement signed between that country and India and
exempt from making any contribution to the Indian system for the period and terms as set out in such an
agreement is a ‘detached worker’ for the purpose of compliance under the Indian system. (Para 2 f)

4) What does the term ‘Indian employee’ mean?


An employee, holding or entitled to hold an Indian passport and employed by an establishment covered under
the EPF and MP Act, 1952 is an Indian employee under the Special provisions in respect of International
workers. [Para 2 ff (a)]

5) Who all shall become the members of the fund?


a) Every International worker, other than an ‘excluded employee’ - from 1st Nov.2008.
b) Every excluded employee, on ceasing the status, - from the beginning of the month following that in which
he/she losses the status. (Para 26)

6) Which category of establishments shall take cognizance of these provisions?


All such establishments covered/coverable under the Employees’ Provident Fund and Miscellaneous Provisions
Act, 1952 that employ ‘International workers’ either in India or abroad shall take cognizance of these provisions.
(Para 26)

7) Whether PF rules will apply to an employee if his salary is paid outside India?
Yes, the provisions will apply irrespective of where the salary is paid. (Para 30)
8) Whether PF will be payable only on the part of salary paid in India in case of split payroll?
In case of split payroll the contribution shall be paid on the total salary earned by the employee. (Para 29)
9) ‘Monthly Pay’ for calculating contributions to be paid under the Act?
The monthly pay shall be the pay as specified under Para 29 of the EPF Scheme, 1952, which covers:
• Basic wages (all emoluments paid or payable in cash while on duty or on leave / holiday except Dearness
allowance, House rent allowance, overtime allowance, bonus, commission or any other similar allowance
payable in respect of employment and any presents made by the employer)
• Dearness allowance (all cash payments by whatever name called paid to an employee on account of a rise in
the cost of living)

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• Retaining allowance
• Cash value of any food concession

10) What portion of salary on which PF would be payable in case an individual has multiple country
responsibilities and spends some part of his time outside India?
Contribution is payable on the total salary payable on account of the employment of the employee employed for
wages by establishment covered in India even for responsibility outside India also.[Section 2 (b)]

11) Is there a minimum period of days of stay in India, which the employee can work in India without
triggering PF compliance?
No, there is no any minimum period of employment in India is required to be eligible for membership. Every
eligible International worker has to be enrolled from the first date of his employment in India.

12) What constitutes the Pensionable service?


The service for which contributions are received and/or receivable as also the period of service rendered and
considered as eligible under a Social Security Agreement that may cover an International worker. (Para 10 of
EPS)

13) How is Pensionable service determined?


While the period of service for which contributions are received under the EPS will decide the quantum of
pension admissible, the period of service rendered under a relevant social security agreement shall be taken into
account only for the purpose mentioned under such agreement. (Para 10 of EPS)

14) Is there a cap on the salary up to which the contribution has to be made by both the employer as well
as an employee?
No, there is no cap on the salary up to which the contribution has to be made by both the employer as well as an
employee.
15) Is there a cap on the salary up to which the employer’s share of contribution has to be diverted to
EPS?
Yes, the cap on the salary up to which the employer’s share of contribution has to be diverted to EPS remains at
Rs.15000. (Para 3 of EPS)
16) What is a social security agreement (SSA)?

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A social security agreement is a bi-lateral instrument to protect the interests of the workers in the host country. It
being a reciprocal arrangement generally provides for avoidance of no coverage or double coverage and equality
of treatment with the host country workers.
17) What are the provisions covered in a social security agreement?
Generally a social security agreement covers 3 provisions. They are:
a) Detachment
Applies to employees sent on posting in the host country, provided he/she is complying under the social security
system of the home country.
b) Exportability of Pension
Provision for payment of pension benefits to the beneficiary choosing to reside in the territory of the home
country directly with out any reduction as also to a beneficiary choosing to reside in the territory of a third
country.
c) Provision for totalisation of Benefits
The period of service rendered by an employee in the host country to be counted for the “eligibility” purpose and
the payment may be restricted to the length of service, on pro-rata basis.
18) What is the status of the SSAs?
As of today, Social security agreements have been signed with Belgium, France and Germany. But the date of
entry into force is yet to be notified. Negotiations are at various stages with The Netherlands, Czech Republic,
Hungary, Norway, Switzerland, Sweden, Luxembourg, USA and Australia. Government level talks are on with
many other countries where sizable numbers of Indian workers are employed. Although not a formal agreement,
there is a reciprocal arrangement between India and Korea to settle the claims of the employees on completion of
employment in the host country
19) Should the eligible employees from Belgium, France and Germany contribute under the Special
provisions till such time the ‘date of effect’ is notified?
Yes, the International workers from Belgium, France and Germany shall be enrolled as members of EPF till such
time the ‘date of effect’ is notified by the Government of India and after such workers obtaining a ‘detachment
certificate’ from the appropriate authority in their countries, respectively. Till the ‘date of effect’ is notified no
Indian employee posted to these countries and none of the employees from these countries working in India shall
be eligible for detachment status.

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20) Indian employees working abroad and contributing to Social Security Scheme of that country with
whom India has social security agreement. Should they be covered for PF in India or should be treated as
excluded employee?
As of today the date of effect of the SSAs is yet to be notified. Therefore, a posted employee, whose name is
retained in the pay bill maintained by the employer in India, shall be covered under EPF. If an Indian employee
is directly employed by a local employer abroad, such an employee shall be covered by the host country
legislations.
21) Could the term "Indian employee" mean any foreign national who is directly employed by an Indian
establishment i.e. a person who is in India not under a secondment arrangement or any deputation from a
foreign employer but hired directly by the Indian establishment under local terms and service conditions?
The term Indian employee shall mean only such of those employees as explained under Q.No 4. No foreign
national can be termed an Indian employee.
22) Whether a Third Country(C) National domiciled in a country (B) with which India (A) has a social
security agreement is eligible for benefit under the social security agreement between India and that
country?
Normally social security agreements are signed to cover the ‘Nationals’ of the respective countries. Therefore,
the above employee may be eligible for the benefit provided that the Third country (C) has signed an enabling
agreement with both India (A) as well as the Second country (B).
23) Indian employees working abroad and contributing to Social Security Scheme of that country with
whom India DOES NOT have social security agreement. Should they be covered for PF in India or should
be treated as excluded employee?
A posted employee, who is drawing wages from the employer in India, shall be covered under EPF. If an Indian
employee is directly employed by a local employer abroad, such an employee shall be covered by the host
country legislations.
24) Foreign nationals who are employed in India and being paid in foreign currency, whether to be
covered or not?
Yes, International workers drawing salary in any currency and in any manner are to be covered. (Section 2 f).
25) Foreigners who are employed directly as an employee by an Indian establishment abroad to be
covered or not?
The local employees of an Indian establishment engaged abroad shall be covered by the local legislations

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26) Considering that in most countries issuance of work permit to an individual is a trigger for social
security compliance, whether the purpose and type of visa i.e. business/ employment will be a determinant
for a person to be considered as an International Worker?
The purpose of the visit of an individual is the main determinant for social security compliance. The type of visa
may help in determining the purpose of visit. For example - a foreign national coming in to India under an
employment visa is working in India.
27) Whether benefit of reciprocity can be extended to an International Worker if his home country
provides for exemption from social security to Indian nationals going to work in that country under its
domestic law even though there is no social security agreement with India?
In the absence of a formal agreement the benefit of reciprocity is available at the time of withdrawal of the
pension claim and not at the time of coverage. (Para 14 of EPS)

28) Where will the survivor benefits be delivered in case of a covered employee holding a passport, being
other than an Indian passport, issued by a country with which India is not having a SSA?
In the absence of a SSA, the survivor benefits such as widow/widower pension, children /orphan pension,
nominee/parent pension, etc. as the case may be, shall be payable to a bank account of the eligible beneficiary in
India. (Para 14 of EPS)

29) What is the criterion for receiving the withdrawal benefit for the services of less than 10 years under
EPS, 1995?
In respect of employees hailing from the countries with which India has signed a SSA, the withdrawal benefit
shall be paid or accounted for as per the provisions of the SSA. In all other cases, it shall be guided by the
principle of reciprocity with reference to the entitlement available to Indian employees in the other country.
(Para 14 of EPS)

30) How long an Indian employee retains the status of “International worker”?
An Indian employee attains the status of “International worker” only on account of his employment in a country
with which India has signed a SSA. He shall remain in that status till the time he avails the benefits under a
social security programme covered under that SSA. (Para 2 f)

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31) Under what condition the contributions received in the PF account are payable along with interest?
The full amount standing to the credit of a member’s account is payable if any one of the circumstances
mentioned under Para 69 of the EPF Scheme, 1952 is fulfilled
32) Is there a cap on the salary up to which the contribution has to be made to EDLI Scheme by both the
employer?
Yes, the cap on the salary up to which contribution has to be made to EDLI Scheme remains unchanged at
Rs.15000.

Statutory Check List


Sr. Time TO be Sent To/
Form No. Name Of Return/Compliance Related Act
No Limit Maintain
Application For Permition To To Chief
One
1 Form No.1 Contruct/extend or Take Into Use The Factories Act, 1948 Inspector Of
Time
Any Factory
Application For Registration and To Chief
One
2 Form No. 2 Notice of Occupation Specified The Factories Act, 1948 Inspector Of
Time
Under Section Factory
To Chief
Application For Licence/Renewal
3 31-Oct Form No. 3 The Factories Act, 1948 Inspector Of
After One Or Two Yrs
Factory
To Chief
When Form No. 3- Application Of Appointment Of
4 The Factories Act, 1948 Inspector Of
Required A New Manager
Factory
To Chief
One
5 Form No. 4 Getting Factory Licence The Factories Act, 1948 Inspector Of
Time
Factory
Half
6 Form No. 7 White Wash Of Plant The Factories Act, 1948 Maintain
Yearly
Registration Of Worker Employed
7 Yearly Form No. 8 For Work on Near Moving The Factories Act, 1948 Maintain
Machinery.
Maintain- Given
Half
8 Form No. 9 Report Examination Hoist And Lift The Factories Act, 1948 By External
Yearly
agency
Report Of Examination of The Maintain- Given
Half
9 Form No. 10 Lifting Machines, Ropes, and The Factories Act, 1948 By External
Yearly
Lifting tackale agency
Maintain- Given
Half
10 Form No. 11 Report of Pressurse and Vassals The Factories Act, 1948 By External
Yearly
agency
Register Of Compensatory
11 Yearly Form No. 12 The Factories Act, 1948 Maintain
Holidays
12 Monthly Form No. 13 Over Time Register The Factories Act, 1948 Maintain
13 Monthly Form No. 14 Notice Of Working Hour For Adult The Factories Act, 1948 Maintain
14 Monthly Form No. 15 Register Of Adult Worker The Factories Act, 1948 Maintain

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Notice Of Working Hour ForChild
15 Monthly Form No. 16 The Factories Act, 1948 Maintain
Worker
16 Monthly Form No. 17 Notice of Child Worker The Factories Act, 1948 Maintain
17 Monthly Form No. 18 Leave With Wages Register The Factories Act, 1948 Maintain
18 Monthly Form No. 19 Leave card Of Employees The Factories Act, 1948 Maintain
Half
19 Form No. 20 Health Register/Medical Check Up The Factories Act, 1948 Maintain
Yearly
To Chief
When
20 Form No. 21 Accident Report The Factories Act, 1948 Inspector Of
Required
Factory
To Chief
21 15-Jan Form No. 24 Annual Return The Factories Act, 1948 Inspector Of
Factory
To Chief
15-July-
22 Form No. 25 Half Yearly Return The Factories Act, 1948 Inspector Of
Dec
Factory
23 Daily Form No. 28 Muster Roll The Factories Act, 1948 Maintain
Register Of Acciedent and
24 Monthly Form No. 29 The Factories Act, 1948 Maintain
Dangerious Occurance
When
25 Form No. 31 Inspection Book The Factories Act, 1948 Maintain
Required
26 Monthly Form No. 36 I-Card Register The Factories Act, 1948 Maintain
When The Apprenticeship Act, The Apprentice
27 App-1 Detailed Of Trainee
Required 1961 Advisor
When Record Of Practical Training and The Apprenticeship Act, The Apprentice
28 App-1A
Required Related Intracution 1961 Advisor
31-Jan- The Apprenticeship Act, The Apprentice
29 App-2 Report For The Half Year
July 1961 Advisor
Notification Of Due The Apprenticeship Act, The Apprentice
30 31-Jul App-3
Competion(Half Year) 1961 Advisor
The Apprenticeship Act, The Apprentice
31 31-Jul App-4 Primary Information
1961 Advisor
Personal Detailed (Graduate & The Apprenticeship Act, The Apprentice
32 Maintain App-5
Technical) 1961 Advisor
When The Apprenticeship Act, The Apprentice
33 App-6 Record of Progress of Apprentice
Required 1961 Advisor
Application For Registration of
When The Contract Labour Registering
34 Form No. 1 Estamblishments Employing
Required (R&A) 1970 & Rules Officer
Contract
When Certificate Of Registration Given The Contract Labour Registering
35 Form No. 2
Required To Contractor (R&A) 1970 & Rules Officer
When Application For Licence by The Contract Labour Registering
36 Form No. 4
Required Contract (R&A) 1970 & Rules Officer
When Form Of Certificate By Principal The Contract Labour
37 Form No. 5 To Contractor
Required Employer (R&A) 1970 & Rules

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Form No. 6- For Contractor(Start & End Within The Contract Labour Registering
38 15 Days
A 15 Day) (R&A) 1970 & Rules Officer
Notice Of Commencement /
Form No. 6- The Contract Labour Registering
39 15 Days Completion of Contract Work(15
B (R&A) 1970 & Rules Officer
Days)
Application For Renewal of The Contract Labour Registering
40 31-Jan Form No. 7
Licence and Licence Renewal Fee (R&A) 1970 & Rules Officer
The Contract Labour Maintained By
41 Yearly Form No. 12 Detailed Of Labour Contractor
(R&A) 1970 & Rules HR
Register of Workman Employed By The Contract Labour Maintained by
42 Monthly Form No. 13
Contractor (R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
43 Monthly Form No. 14 Employee card
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
44 Monthly Form No. 16 Muster Roll
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
45 Monthly Form No. 17 Wage Register
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
46 Monthly Form No. 18 Muster Roll & Wages Register
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
47 Monthly Form No. 19 Wage Slip
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
48 Monthly Form No. 21 Fine Register
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
49 Monthly Form No. 22 Advance Register
(R&A) 1970 & Rules Contractor
The Contract Labour Maintained by
50 Monthly Form No. 23 Over Time Register
(R&A) 1970 & Rules Contractor
30-Jan- Half Yearly Return By Contractor The Contract Labour Contractor/Inspe
51 Form No. 24
July (In Duplicate) (R&A) 1970 & Rules ctor
Annual Return By Principal The Contract Labour Contractor/Inspe
52 15-Feb Form No. 25
Employer (R&A) 1970 & Rules ctor
Local
Quaterly Return For Quarter ended
53 15-Jan ER-1 The CNV Act, 1959 Employment
dec. Privious Year
Exchange
Local
Quaterly Return For Quarter ended
54 15-Apr ER-1 The CNV Act, 1959 Employment
March
Exchange
Local
Quaterly Return For Quarter ended
55 15-Jul ER-1 The CNV Act, 1959 Employment
June
Exchange
Local
Quaterly Return For Quarter ended
56 15-Oct ER-1 The CNV Act, 1959 Employment
Sepetember
Exchange
Local
Two yearly Return(Occupational
57 30-Sep ER-2 The CNV Act, 1959 Employment
Return)
Exchange
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Local
Every Form of Notification Form
58 Form No. 4 The CNV Act, 1959 Employment
Month (Joining)
Exchange
Every Declaration and Nomination Regional PF
59 Form No. 2 The P.F and MP Act, 1952
Month Form(Joining) Office
Return Of Employees Qualifiying
Every Regional PF
60 Form No. 5 For Membership of the PF At the The P.F and MP Act, 1952
Month Office
time of Joining by New Member
At the time of Annual Return (For Regional PF
61 25-Apr Form No. 3A The P.F and MP Act, 1952
every Individual) Office
At the time of Annual Return (As a Regional PF
62 25-Apr Form No. 6A The P.F and MP Act, 1952
summary of all) Office
When Regional PF
63 Form No. 8 Change Of The Nomination The P.F and MP Act, 1952
Required Office
Every Return Of Member leaving Regional PF
64 Form No. 10 The P.F and MP Act, 1952
Month Services(Left) Office
Every Information about previous Regional PF
65 Form No. 11 The P.F and MP Act, 1952
Month employer Office
Every Regional PF
66 Form No 12 Statement Of Monthly Contribution The P.F and MP Act, 1952
Month Office
When Form No. Regional PF
67 Withdrawal of pension contribution The P.F and MP Act, 1952
Required 10C Office
When Form No. Withdrawal of pension fund on Regional PF
68 The P.F and MP Act, 1952
Required 10D retirement or death Office
When For claiming PF on death of an Regional PF
69 Form No. 20 The P.F and MP Act, 1952
Required employee by family or nominee Office
When Regional PF
70 Form No. 19 PF withdrawal form The P.F and MP Act, 1952
Required Office
Every Employee name and Details (within Regional PF
71 Form No. 09 The P.F and MP Act, 1952
Month 15 days coverage of the Act) Office
When Regional PF
72 Form No. 31 Advance loan against PF The P.F and MP Act, 1952
Required Office
claim assurance benefit under
When Employees' Deposit Linked Regional PF
73 Form No. 5IF The P.F and MP Act, 1952
Required Insurance '76 by nominee/legal heir Office
of a member.
10th of
Regional PF
74 Each Challan Remittance Of contribution The P.F and MP Act, 1952
Office
Months
Delcaration Form On Joining Of
Every ESIC Regional
75 Form No. 1 Employee(Within 10 days from The E.S.I.C Act 1948
Month Office
Joinning)
Every Family Declaration(Within 10 days ESIC Regional
76 Form No. 1A The E.S.I.C Act 1948
Month from Joinning) Office
Within 7 Return Declaration Form within 7 ESIC Regional
77 Form No. 3 The E.S.I.C Act 1948
day Day Office
78 Monthly Form No. 4 ID Card Given By GOVT. The E.S.I.C Act 1948 ESIC Regional

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Office
Maintain
Family Identy Card Given By ESIC Regional
79 ed By Form No. 4A The E.S.I.C Act 1948
GOVT. Office
HR
Half ESIC Regional
80 Form No. 5 ESIC return Of Contribution The E.S.I.C Act 1948
Yearly Office
Every Quaduplicate Alongwith Challans ESIC Regional
81 Form No. 6 The E.S.I.C Act 1948
Month Monthly return Alongwith Cheque Office
Maintain
ESIC Regional
82 ed By Form No. 11 Accident Register The E.S.I.C Act 1948
Office
HR
When ESIC Regional
83 Form No. 12 Accident Report The E.S.I.C Act 1948
Required Office
31-Jan- The Bombey Labour Labour Welfare
84 Form No. A Half yearly Return by L.W.F
July Welfare Fund Act. 1953 Dept.
Competent
85 21-Jan LMNO Annual Return The Maternity Act. 1961
Authority
Concerned
V Rules 18 The Payment of Wages Labour &
86 01-Feb Annual Return
related Act. 1936 Regional
Commissioner
Concerned
Annual Return Of Payment Of The Payment of Wages Labour &
87 01-Feb Form No. 4
Wages Act. 1936 Regional
Commissioner
One Computation Of The Allocable The Payment Of Bonus Maintained By
88 From No. A
Time Surplus Act. 1965 HR
One Register Showing the set off of the The Payment Of Bonus Maintained By
89 From No. B
Time allocable Surplus Act. 1965 HR
One The Payment Of Bonus Maintained By
90 From No. C Bonus Paid Register
Time Act. 1965 HR
Concerned
Every The Payment Of Bonus
91 From No. D Annual return Inspector Under
Jan Act. 1965
The Act
One The Minimum Wages Act, Maintained By
92 Form No. 1 Fine Register
Time 1948 HR
One The Minimum Wages Act, Maintained By
93 Form No. 4 Over Time Register
Time 1948 HR
The Minimum Wages Act, Ispector Of
94 01-Feb Form No. 3 Annual Return
1948 Factories
One Registration Of Equal The Equal Remunration Maintained By
95 Form No. D
Time Remuneration Act 1976 HR

HERE ARE SOME USEFUL GUIDELINES TO SET UP HR DEPARTMENT.

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STAGE 1

Review the current practices/policies [ if any]


Audit all hr activities that are performed [ even the crude format]

HERE ARE THE CORE HR KRAs [ key result areas]

KRA 1 : Recruitment/Selection
KRA 2 : Workforce Planning and Diversity
KRA 3 : Performance Management
KRA 4 : Reward Management
KRA 5 : Workplace Management and Relations
KRA 6 : A Safe and Healthy Workplace
KRA 7 : Building Capabilities and Organisational Learning
KRA 8 : Effective HR Management Systems, Support and Monitoring

STAGE 2
 Understand the organization
 Understand the organization structure
 Understand the organization systems
 Understand the organization politics/influential people
 Understand the organization/individual roles
 Understand the organization/positions
 Understand the individual job descriptions
 Understand the job/ job specifications etc…

STAGE 3

 Discuss the values/beliefs with senior management/CEO and the need for HR department.
 Discuss the expectations from HR department -short/medium/long term.

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 Discuss with CEO, the organization's corporate objectives/strategies and how HR can contribute to the
corporate objectives.
 Discuss / seek consensus on organization structure / management process.
 Discuss the current organization culture with senior management.
 Discuss with CEO/senior management the core activities/competences and business drivers of the
organization.

TO GET A GOOD START AND HOLD YOUR CREDIBILITY, YOU NEED THESE INFORMATIONS
TO START YOUR WORK ON HR DEPT.
GET A COPY OF CORPORATE PLAN, WHICH OUTLINES THE COMPANY'S
 VISION
 MISSION
 CORPORATE OBJECTIVES
 CORPORATE STRATEGIES
etc…
HR dept. is a support unit and hence must work closely with other depts.

STAGE 4

Even though there is currently no HR department, there are a number of HR activities are being carried
out now.

YOU HAVE TO KNOW WHAT THEY ARE / HOW IT IS BEING CARRIED OUT / BY WHOM.

TO COLLECT AND CONSOLIDATE THESE, YOU NEED TO A QUICK HR AUDIT OF THE


PRESENT SITUATION.

AFTER you gather all the information's and summarized, you should sit down with your boss [ CEO] and
discuss and prioritize the items, as follows
 URGENT / IMPORTANT
 URGENT/ NOT IMPORTANT
 NOT URGENT/ IMPORTANT
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Notes for Interview – HR, Personnel, ER, IR, and Admin
 NOT URGENT / NOT IMPORTANT , BUT NEEDED DOWN THE LINE.

STAGE 5

Please REVIEW the HR MANUAL , as listed below.


Pick points out of it , as per your need, based on your discussion / audit results.

You may want to start up with


 HR department OBJECTIVES.
 HR DEPARTMENT STRATEGIES
 Draft on Recruitment / Selection Procedure /PROCESS
 Draft on organization / structure
 Draft on jobs' analyses/ job descriptions/ job specifications/competences
 Draft on payroll / compensation / administration
 Appointment /confirmation / Termination / resignation /PROCEDURES/PROCESS
 Induction program
 Orientation program
 Employee communications
 Training & development of the employees
 Performance Appraisals / management
Once you have the preliminary draft ready, you can start with your EMPLOYEE HANDBOOK [LIST
PROVIDED BELOW]
STAGE 6
REVIEW THE HRM PROCESSES, MAKE A NOTE OF WHAT YOU THINK ARE IMPORTANT FOR
THE COMPANY AND THE PRIORITY ONES.
HRM PROCESSES
 HR AUDITING
 HR BUDGETING
 Strategic HRM Planning
 HR Strategies and Policies.
 HR and change management.

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 Competency-based HR
 Knowledge management
JOB DEVELOPMENT
 Job analysis
 Job Role
 Job Description.
 Job specifications
 Job enrichment
 Job rotation
RECRUITMENT/SELECTION
 Recruitment
 Selection
 Induction
 Orientation
ORGANIZATIONAL BEHAVIOR PROGRAMS
 Employee engagement
 Motivation
 Organization culture
 Organization development
ORGANIZATION
 Org. designing
 Org. structuring
 Org. development
 Job / role structuring
HUMAN RESOURCING
 HR planning
 Manpower planning
 Succession planning
 Talent management
PERFORMANCE MANAGEMENT
 Performance appraisals

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 Performance managing the processes.
HR DEVELOPMENT
 Org. learning
 Training
 Education
 Development
 Training evaluation
 E-learning
 Management development
 Career planning /development.
REWARD MANAGEMENT
 Job evaluation
 Managing reward process
 Administration of rewards
 Benefits
EMPLOYEE RELATIONS
 Organization communications
 Employee communications.
 Staff amenities
HEALTH AND SAFETY.
 OHS
HUMAN RESOURCE INFORMATION SYSTEM.

STAGE 7

REVIEW THE HRM SYSTEMS , MAKE A NOTE OF WHAT YOU THINK ARE IMPORTANT FOR
THE COMPANY AND THE PRIORITY ONES.

HR SYSTEMS
 HR strategic planning system

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 Human resource planning system
 Manpower planning system
 Job profiling system
 Recruitment &selection system
 Performance appraisal system
 Performance management system
 People development systems
 Career planning and development system
 Succession planning system
 Job enrichment system
 Compensation planning and packaging system
THIS is just a common list.
AFTER STAGE 1,2,3,4,5,6,7 MAKE A REPORT
 What is the current situation
 What kind of HR DEPARTMENT is required.
 What you think are your priorities
 What is your action plan
 What is time schedule.
MAKE A TEMPORARY HR DEPARTMENT
 ONE HR MANAGER [ YOURSELF ]
 ONE TRAINING MANAGER
 ONE SALARY ADMINISTRATION MANAGER
 ONE RECRUITMENT /SELECTION MANAGER
DISCUSS THIS WITH THE SENIOR MANAGEMENT, SEEK THEIR APPROVAL/ BLESSINGS
/SUPPORT
 TO IMPLEMENT YOUR PLAN.
 To win confidence/trust, you need to show credibility/functional knowledge level.
 Initially, please do not rush with too many things. Take one thing at a time and do a thorough job.
Everything must be done right at the first time.

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PREPARING A HR MANUAL IS IMPORTANT. NOT ALL THAT IS LISTED HERE MAY BE
NECESSARY AT FIRST.
DISCUSSING WITH SENIOR MANAGEMENT AND IDENTIFY THE PRIORITY ONES AND WORK ON
THEM.

HR MANAGEMENT MANUAL

Human Resources Policies, Procedures and Forms

Table of Contents

ADMINISTRATION
ADM.101 Personnel Records Activities
1.0 Employee Information
2.0 HR Personnel Records
3.0 Contents of Personnel Files
4.0 Employee's Personnel Records Review
5.0 Management Review of Personnel Files
6.0 Company Release Of Employee Information
7.0 Record Retention and Long-Term Storage
8.0 Record Destruction

Forms
Ex1 Personnel Records Access Log
Ex2 HR Records Retention Periods

ADM.102 Form Development Activities


1.0 Form Development and Format
2.0 Authorization and Printing
3.0 Form Numbering and Placement
4.0 Forms Index and Manual

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Forms
Ex1 Form Printing Request

ADM.103 Document Control Activities


1.0 Document Distribution
2.0 Document Revision
3.0 Document
4.0 Temporary Changes
Forms
Ex1 Request For Document Change (RDC)

ADM. 104 Mail & Express Services Activities


1.0 General Mail Usage
2.0 Addressing Mail
3.0 Express Mail
4.0 Overnight Packages
5.0 Additional Information Resources
Forms
Ex1 Outgoing Mail Register

ADM. 105 Telephone Answering Activities


1.0 Answering Techniques and Etiquette
2.0 Answering and Directing Calls
3.0 Taking Messages
4.0 Telephone User's Guide
Forms
Ex1 Important Message

ADM.106 Property & Access Control Activities


1.0 Background Checks
2.0 Physical Access Controls
3.0 Key Controls

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4.0 Proprietary Information Controls
5.0 Collection Of Access Controls
6.0 Visitors & Guests
Forms
Ex1 Key Issue Policy
Ex2 Visitor Log

ADM.107 Separation Activities


1.0 Resignations
2.0 Involuntary Terminations And Layoffs
3.0 Terminations For Cause
4.0 Termination Meeting
5.0 Additional Information Resources
Forms
Ex1 Exit Interview Checklist
Ex2 Exit References Authorization

ADM.108 Workplace Rules & Guidelines Activities


1.0 Alcohol And Drugs
2.0 Breaks And Lunch Time
3.0 Company Property
4.0 Grievances And Complaints
5.0 Inclement Weather
6.0 Parking
7.0 Personal Telephone Calls
8.0 Smoking
9.0 Solicitations
10.0 Suggestions
11.0 Visitors
Forms
Ex1 Suggestion Form

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ADM.109 Human Resources Reports Activities
1.0 Preparation Guidelines
2.0 Occupational Health & Safety Reports
3.0 Equal Opportunity Reports
4.0 Training Plan
5.0 Hiring Status Report
6.0 Compensation Summary
Forms
EX1 Human Resource Reporting Summary
EX2 HR Hiring Status Report

ADM.110 Dress Code Activities


1.0 Dress Code
1.1 Business Attire
1.2 Business Casual Attire
1.3 Casual Attire
1.4 Uniformed Attire
1.5 Safety Attire
1.6 Formal Attire
1.7 Inappropriate Attire
1.8 Business Situations
1.9 Recreation & Parties
2.0 Dinners & Receptions
3.0 Personal Hygiene
4.0 Disciplinary Action

HIRING PROCEDURES

HRG.101 Employee Hiring Activities


1.0 Needs Analysis
2.0 Personnel Requisition
3.0 Job Posting & Screening

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4.0 Interviewing
5.0 Pre-Employment Screening & Testing
6.0 Background Investigation
7.0 Hiring And Employee Offers
8.0 Motor Vehicle And Equipment Operation
9.0 Applicant Files
10.0 Additional Information Resources

Forms
Ex1 Personnel Requisition
Ex2 Offer Letter
Ex3 Personnel Change Notice
Ex4 New Employee Hiring Checklist
Ex5 Employment Eligibility Verification .
Ex6 Employee’s Withholding Allowance Certificate.

HRG102 Job Descriptions Activities


1.0 Job Description Preparation
2.0 Format And Content
2.1 Job Title
2.2 Effective Date
2.3 Department
2.4 Summary Of Functions
2.5 Essential Duties And Responsibilities
2.6 Organizational Relationships
2.7 Qualifications
2.8 Physical Demands
2.9 Work Environment
3.0 Job Description Approval & Distribution

Forms
Ex1 Job Description Format

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HRG103 Employment Applications Activities


1.0 Application For Employment
2.0 Application Information
2.1 Personal Information
2.2 Employment Interest
2.3 Education & Training
2.4 Employment History
2.5 Military Service Record
2.6 References
3.0 Compliance Information

Forms
Ex1 Employment Application
Ex2 Employment Application Supplement

HRG104 Interviewing Applicants Activities


1.0 Interviewing Objectives
2.0 Resume Examination
3.0 Telephone Interviews
4.0 E-Mail Interviews
5.0 In-Person Interviews

Forms
Ex1 Employment Interview Questions
Ex2 Interview Form

HRG105 Background Investigations Activities


1.0 Background And Hiring
2.0 Investigative Consumer Reporting
3.0 Employee Reference Checks

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4.0 Motor Vehicle Record (MVR) Inquiry

Forms
Ex1 Employee Investigation Checklist
Ex2 Employee Background Authorization
Ex3 New References Authorization
Ex4 Reference Check Survey

Compensation Procedures

COM101 Payroll Activities


1.0 Payroll Records
2.0 Timesheets
3.0 Payroll Deductions
3.1 Worker's Compensation Insurance
3.2 Social Security & Medicare
3.3 State Income Tax
3.4 Earnings Tax
3.5 Tax Withholding Payments
4.0 Payroll Adjustments
4.1 Advances
4.2 Garnishments
5.0 Paychecks
5.1 Direct Deposit
5.2 Lost Paychecks
5.3 Final Paychecks
6.0 Vacation Pay
7.0 Additional Information Resources

Forms
Ex1 Monthly Time Sheet
Ex2 Central Govt. Tax Calendar

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Ex3 Electronic Funds Transfer Authorization

COM102 Paid & Unpaid Leave Activities

1.0 Paid Time Off


2.0 Unpaid Time Off
3.0 Absence Request And Notification
4.0 Holidays
5.0 Vacation Eligibility
5.1 Vacation Schedules
5.2 Vacation Over Holidays
6.0 Additional Information Resources

Forms
Ex1 Absence Request Form

COM103 Insurance Benefits Activities


1.0 Life Insurance
2.0 Long Term Disability Insurance
3.0 Social Security
4.0 Workers' Compensation
5.0 Wage Continuation
6.0 Unemployment Compensation
7.0 Health Insurance
8.0 Additional Information Resources

COM104 Healthcare Benefits Activities

1.0 Cost And Premiums


2.0 Eligibility
3.0 Enrollment
4.0 Coverage

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5.0 Filing A Claim
6.0 Termination And Conversion Of Coverage
7.0 Additional Information Resources

Forms
Ex1 Benefits Enrollment/Change Form

COM105 Employee Retirement Income Security Activities


1.0 Plan Administration
1.1 Investment Policy Statement
1.2 Fidelity Bond
1.3 Fiduciary Liability Insurance
1.4 Employer Matching
1.5 In-Service Loans And Withdrawals
2.0 Employee Participation
3.0 Notice Procedures
3.1 Initial Notice
3.2 Annual Notices
4.0 Additional Information Resources

COM106 Consolidated Budget Reconciliation Activities


1.0 Plan Administration
2.0 Qualifying Events
3.0 Notice Procedure
4.0 Benefits Protection
6.0 Enforcement
7.0 Additional Information Resources

Development Procedures

DEV101 Development Management Activities


1.0 Development Planning

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2.0 Training Effectiveness
3.0 Training Records
4.0 Training Courses
5.0 Performance Evaluations
6.0 Additional Information Resources

Forms
Ex1 Training Plan

DEV102 Training Reimbursement Activities


1.0 Eligibility
2.0 Approved Programs
3.0 Reimbursement

Forms
Ex 1 Request For Training

DEV103 Computer User & Staff Training Activities


1.0 MIS Training And Certification
2.0 MIS/LAN User Training
3.0 E-Mail Training
4.0 Software Applications

DEV104 Internet & E-Mail Acceptable Use Activities


1.0 Acceptable Use
2.0 Inappropriate Use
3.0 Internet And E-Mail Etiquette
4.0 Security
5.0 User Compliance
6.0 Additional Information Resources

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Forms
Ex1 Computer And Internet Usage Policy

DEV105 Performance Appraisals Activities


1.0 Performance Appraisal Guidelines
2.0 Appraisal Preparation
3.0 Appraisal Discussion
4.0 Salary Adjustments
5.0 Appraisal Conclusion
6.0 Additional Information Resources

Forms
Ex1 Self Appraisal Form
Ex2 Performance Appraisal Form

DEV106 Employee Discipline Activities


1.0 Introduction To Misconduct
2.0 Responses To Misconduct
2.1 Verbal Warning
2.2 Written Warning
2.3 Suspension
2.4 Termination
3.0 Serious Misconduct
4.0 Very Serious Misconduct
5.0 Inexcusable Misconduct
6.0 Misconduct Investigations

Forms
Ex1 Disciplinary Notice

Compliance Procedures

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CMP101 Workplace Safety Activities
1.0 Worksite Analysis
2.0 Hazard Prevention And Control
2.1 Safe Work Procedures
2.2 Protective Equipment
2.3 Fire Prevention
3.0 Hazard Communication Program
4.0 Medical Emergencies
5.0 Workplace Safety Training
6.0 Reporting And Record Keeping
7.0 Additional Information Resources

Forms
Ex1 Safety Suggestion Sheet
Ex2 Workplace Safety Self-Inspection Checklist
Ex3 Workplace Safety Action Plan
Ex4 Workplace Safety Rules
Ex5 Index of Hazardous Chemicals
Doc Material Safety Data Sheet
Doc Injuries and Illness Log
Doc Summary of Injuries and Illness
Doc Injuries and Illness Incident Report
Doc Instructions for OSHA Forms

CMP102 People With Disabilities Activities

1.0 Background
2.0 Who Is Covered?
3.0 Employment Issues
4.0 Public Accommodations
5.0 Enforcement Of The Act
6.0 Additional Information Resources

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CMP103 Annual And Medical Leave Activities

1.0 Reasons For Taking Leave


2.0 Advance Notice And Medical Certification
3.0 Job Benefits And Protection
4.0 Unlawful Acts
5.0 Enforcement
6.0 Employer Notices
7.0 Additional Information Resources

Forms
Ex 1 Certification Of Healthcare Provider
Ex 2 Employer Response To Employee Request

CMP104 Drug Free Workplace Activities

1.0 General
2.0 Prohibitions
3.0 Authorized Use Of Prescription Medicine
4.0 Drug Awareness Program
5.0 Disciplinary Actions
6.0 Additional Information Resources

CMP105 Health Insurance Portability And Accountability Activities

1.0 Management
1.1 Privacy Standards
2.0 Medical Records Maintenance
3.0 Medical Records Access
4.0 Additional Information Resources

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Forms
Ex1 HIPAA Authorization Form

CMP106 Harassment & Discrimination Activities

1.0 Unacceptable Behavior


2.0 Complaint
3.0 Corrective Measures
4.0 Enforcement
5.0 Additional Information Resources

Job Descriptions Tab

WRITING JOB DESCRIPTIONS

 INTRODUCTION
 PURPOSE
 SCOPE

WRITTEN COMMUNICATION
Non-discriminatory language
Active voice
Action verbs Plain English

FORMAT AND CONTENT


Effective Date
Department
Summary Of Functions
Essential Duties And Responsibilities
Grouping Several Tasks Into A Single Responsibility
Responsibility Statements
Delegated Responsibilities

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Organizational Relationships
Reporting Relationships
The Organization’s Environment
Qualifications
Mandatory Requirements
Key Selection Criteria
Physical Demands
Work Environment
Job Performance
Job Descriptions
Reasonable Accommodation
Accessibility

Employee Handbook

SECTION 1 INTRODUCTION
1.0 The Company Philosophy
1.1 The Company Mission
1.2 Equal Employment Opportunity Policy and Affirmative Action Plan
1.3 Employment-At-Will
1.4 Sexual Harassment
1.5 Safety
1.5.1 Safety Rules
1.5.2 Hazardous Wastes
1.5.3 Reporting Injuries and Accidents
1.6 Drug Free Workplace
1.6.1 Prohibitions
1.6.2 Drug Awareness Program
1.6.3 Disciplinary Actions

SECTION 2 EMPLOYMENT
2.0 Personnel Administration

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2.1 HR Personnel Records
2.1.1 Contents of Personnel Files
2.1.2 Employee Information
2.1.3 Employee's Request for Review of Personnel Records
2.1.4 Management Review of Personnel Files
2.2 Service
2.2.1 Employee Categories
2.2.2 Job Posting Procedures
2.2.3 Employment of Relatives
2.2.4 Employment of Minors
2.2.5 Promotions
2.2.6 Transfer of Employees
2.2.7 Separation of Employment
2.2.8 Work force Reductions
2.2.9 Probationary Period
2.2.10 Extra Income
2.3 Process Improvement
2.3.1 Employee-Management Forums
2.3.2 Employee Suggestion Program

SECTION 3 COMPENSATION & BENEFITS


3.0 Benefit Eligibility
3.1 Payroll Information
3.1.1 Time Records
3.1.2 Pay Periods
3.1.3 Salary Compensation for Partial Pay Period
3.1.4 Pay Rate Schedule – Hourly Paid Employees
3.1.5 Payroll Deductions
3.1.6 Overtime
3.1.7 Payroll Errors
3.1.8 Garnishment of Employee Wages
3.1.9 Authorized Check Pickup

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3.1.10 Pay at Time of Separation
3.2 Attendance & Leave
3.2.1 Medical Leave Policy
3.2.2 Sick Leave Credit Limit
3.2.3 Sick Leave Policy – Usage
3.2.4 Medical, Dental and Optical Appointments
3.2.5 Exhaustion of Accumulated Sick Leave
3.2.6 Pallbearer, Funeral, Emergency Leave
3.2.7 Civic Leave or Jury Duty
3.2.8 Voting
3.2.9 Military Leave
3.2.10 Maternity Leave
3.2.11 Parental Leave
3.2.12 Leave of Absence
3.3 Insurance
3.3.1 Hospitalization and Medical Insurance
3.3.2 Continuation of Group Health Insurance
3.3.3 Life Insurance
3.3.4 Long Term Disability Insurance
3.3.5 Social Security
3.3.6 Workers' Compensation
3.3.7 Unemployment Compensation
3.4 Savings Plan
3.5 Break Room
3.6 Employee Discounts
3.7 Educational Assistance

SECTION 4 EMPLOYEE RESPONSIBILITIES


4.1 Work Schedules
4.1.1 Working Hours
4.1.2 Salary Employees
4.1.3 Hourly Employees

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4.1.4 Clean Work-Place
4.2 Legal & Ethical Conduct
4.2.1 Ethical Standards
4.2.2 Conflicts of Interest
4.2.3 Personal Conduct
4.2.4 Confidentiality
4.2.5 Bribes, Kickbacks and Illegal Payments
4.2.6 Patents and Copyrights
4.3 Misconduct
4.3.1 Serious Misconduct
4.3.2 Very Serious Misconduct
4.3.3 Inexcusable Misconduct
4.3.3 Misconduct Investigations
4.4 Transportation & Travel
4.4.1 Company Owned Vehicles
4.4.2 Personal Vehicles
4.4.3 Living Expense Allowance
4.4.4 Other Travel Expenses
4.4.5 Expense Records
4.4.6 Travel Advances
4.4.7 Expense Reimbursement – Third Party
4.4.8 Expense Policies – Violations
4.4.9 Company Credit Cards
4.5 Appearance & Belongings
4.5.1 Personal Appearance
4.5.2 Business Attire
4.5.3 Casual Attire
4.5.4 Inappropriate Attire
4.5.5 Personal Belongings
4.5.6 Alcohol and Drugs
4.5.7 Medication
4.5.8 Smoking Policy

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4.6 Equipment & Facilities
4.6.1 Parking
4.6.2 Telephone Use
4.6.3 Motor Vehicle and Workplace Equipment Operation
4.6.4 Safety Equipment
4.6.5 Company Tools
4.6.6 Waste Prevention
4.6.7 Solicitation and/or Distribution
4.6.8 Security
4.6.9 Bulletin Board

EMPLOYEE HANDBOOK FORMS

a) Acknowledgement Of Receipt And Understanding


b) Statement Of Legal And Ethical Business Conduct
c) Drug-Free Workplace Policy Employee Acknowledgement
d) Job Related Accident

HR MANUAL
 HR MANUAL is the total guidelines for the managers in the organization on the subject of
HUMAN RESOURCE.
 The real work of managing people [human resource] is the responsibility of the line managers. The HR
department acts as a coordinator / advisory body to the line managers, in addition to, its own
administrative work.
 Employee handbook is a major element of the HR manual. It is part of the HR MANUAL.
 The copy of HR MANUAL [ including the employee handbook] is given to the managers only.
 The copy of the EMPLOYEE handbook is given to the employees.
 The TOTAL HR MANUAL development is a never ending assignment. It needs updating every six
months.
 At the initial stage, it could take up to six months at least to complete the manual/ handbook for a
full time person, even if you employ an outside expert.
Once you have formed the HR manual list, you should sit with your boss
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 Analyse the list
 Set the priority [ 1st. lot, 2nd. lot, 3rd. lot etc ]
 Discuss the need for HO material, to uniform the approach
 Discuss the need for local expert
 Etc…
Your priorities could be
 Personnel records
 Various forms required
 Access control
 Workplace rules
 Employee hiring
 Job descriptions
 Employment applications
 Interviewing applicants
 Payroll administration
 Training [ induction / orientation/development]
 Employee handbook
You/Your senior management should agree to the priority list.

NOW YOU ARE READY FOR THE HARD WORK

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