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IMPORTANT LABOUR AND FACTORY LEGISLATIONS IN INDIA

1) Acts and Rules


• Blend of Acts and Rules
• Centered on the responsibility of a Factory Manager, Personnel/ HR Manager or
self employed Entrepreneur.
• Attention has not been made wherever the employer has nothing to do with the
provisions but has only to follow the directions of the appropriate govt.

1) THE FACTORIES ACT, 1948


• Act which makes it obligatory on the part of the employer to provide for the
health, safety and welfare of the workers employed.
• 1) Act extends to the whole of India.
• Applies to every factory wherein 10 or more workers are or were employed,
if run with power and 20 or more workers are or were employed, if run
without power.
• Application to factories with fewer workers u/s 85

2) PROVIDES for
• Hours of work (adult) not to exceed 48 hours in a week or 9 hours in a day.
• Relaxation: Where an adult worker is engaged in urgent repairs.
• Payment of Overtime wages for overstay at workplace @ twice the ordinary rate
of wages.

3) ** Provision relating to hours of work not applicable to supervisory staff.


• Weekly Holiday: No work for more than 10 days without a day of rest.
• Intervals of rest: half an hour for 5 hours of work
• No child (who has not attained the age of 15 years) be permitted to work.
• Prohibition of employment of Women: No woman shall be employed in any
factory for more than 9 hours in any day or between 7 pm and 6 am.

4) Factories Act now allows women to work night shifts PROVIDED


adequate safeguards in the factory as regards occupational safety and health, equal
opportunity for women workers, adequate protection of their dignity, honor and
safety and their transportation from the factory premises to the nearest point of
their residence" are made.
5) Leave with Wages
• @ 1day for every 20 days provided ---240 days of work during preceding year.
• Days of lay off, paid holidays or leave days considered
• Encashment of unavailed leave: Encashable at the present rate of wages.

6)The occupier (Employer) to maintain a register – LEAVE WITH WAGES


REGISTER- in FORM 15
• Provide each employee a Leave Book- thick bound sheet- in FORM 16 (with
similar entries as in Form 15)
• Provide each worker an Attendance Card in form 28 showing the particulars of
employment
• * shall be substituted by Electronic cards

7) EMPLOYER TO KEEP THE FACTORY PREMISES CLEAN


1. white washing at least once in every 14 months
2. repainting or revarnishing every 5 years
3. r disposal of wastes and effluents
4. Record the dates on which white washing, painting or varnishing done in a
register in FORM 7.
5. Ensure provision of sufficient number of Latrines and urinals – separate for gents
and ladies
6. Ensure spittoons are provided at adequate places.
7. Ensure workplace has adequate ventilation
8. Avoid overcrowding – ensure 500 cubic feet of space for every worker without
reference to any space which is more than 14 feet above the level of the floor of
the room.
9. Ensure proper lighting- artificial or natural or both.
10. Ensure supply of uninterrupted supply of Drinking Water.
* *Where the no. of workers is more than 250, provision for cold water in every
lunch room, rest room and canteen shall be ensured.
8) EMPLOYER TO ENSURE SAFETY OF WORKERS
1. Fencing of Machines and Moving parts of machines – spindles, gears, pulleys,
belts etc
2. Protection of eyes using screens or goggles from excessive light or infra-red or
ultra violet radiations
3. Precaution in case of Fire.
4. No woman or young person shall, unaided by another person, lift, carry or move
by hand or head any material or tool exceeding the maximum limit prescribed.
* Adult male 75 Kgs
* Adult female 30 Kgs
* Adolescent male 30 Kgs
* Adolescent female 20 Kgs
*******Safety Officer: Appoint a Safety Officer wherein 1000 or more workers are
employed.

9) EMPLOYER TO LOOK AFTER THE WELFARE OF EMPLOYEES


1. Washing facility separately for women and men
2. Separate rooms for men and women for drying of clothes
3. Separate rest rooms for men and women
4. First Aid boxes equipped with prescribed medicines
5. Ambulance room where 500 or more are employed
6. Canteen for use of workers where 250 or more are employed (150 under
Plantation Labour Act)
7. Lunch room where 150 or more are employed
8. Crèches where 30 or more women are employed
9. Appoint WELFARE OFFICER (S) where 500 or more are employed (300 under
PLA)
10. The duties, qualification and conditions of service of such welfare officers
shall be in accordance with the rules of the respective State Govt.
11. NOTICE OF DANGEROUS OPERATIONS

10) REGISTERS TO BE MAINTAINED


1. Attendance Register/ Muster roll in form 25
2. Register of Adult Workers in form 12
3. Record of Lime washing, painting etc in form 7
4. Register of Compensatory Holidays in form 9
5. Overtime Muster roll for Exempted workers in form 10
6. Register of Leave with Wages in form 15
7. Health Register in form 17 (in respect of persons employed in occupations
declared to be dangerous operations u/s 87)
8. Register of Accidents and Dangerous Occurrences in form 26
9. Particulars of Rooms in the factory in form 35.

11) RETURNS TO BE SENT TO APPROPRIATE AUTHORITIES


1. Notice of accidents and dangerous occurrences resulting in death or bodily
injury in form 18 (similar to the one to be sent ESI Local Office under the
ESI Act)
2. Half yearly returns in form 22
3. Annual returns in form 21
4. Notice of change of Manager in form 23
5. Details of closure in form 32
6. Report of examination of Pressure Vessel or Plant in form 8
7. Report of examination of Water sealed Gas holder in form 38
8. Report of Examination of Hoist or Lift in form 41
9. Certificate of Fitness for Dangerous Operations in form 39

2) THE INDUSTRIAL EMPLOYMENT (STANDING ORDER) ACT, 1946


1. Defines the terms and conditions of service between the employer and his
employees.
2. Applies to every industrial establishment wherein 100 (in some States 50)or
more workers are employed
3. The Act extends to the whole of India
1 ) SIGNIFICANCE
Terms of appointment order issued to an employee cannot circumvent the provisions of
certified standing order. Therefore, it is always desirable to get standing orders drafted
and certified as it regulates the relationship between the employer and the employee.
2) Standing Order drafted shall provide for
• Date on which the standing orders shall come in to force and shall remain in force
• Definitions
• Classification of workmen as Permanent, Probationer, Badlis, Casual and Trainees

4) Obligations –
1. not to carryon any other business for gain or to take admission in educational
institution without permission
2. to observe strict secrecy of company matters
3. not to take photographs, drawing or documents of the process of manufacture of
the company
4. not to carry any lethal weapon, explosive or article dangerous to life or property
5. to follow safety rules in force
6. to inform any change in the address
7. Medical examination and aid in case of accident
8. Identification of workmen and issue of Identity cards
9. Working time for different categories of workmen
10. Record of age, qualification and experience
11. Entry, exit and liability for security checking
12. Shift working and weekly off
13. Attendance and late coming
14. Methods of applying for different kinds of leave and extension of leave
15. Action for unauthorised absence
16. National and festival holidays
17. Transfer
18. Apprehension of danger to the safety and security of factory and its personnels
19. Date of payment of wages/ salary
20. Overtime wages
21. Increment and promotion
22. Stoppage, closing or lay off of establishment and strike
23. Resignation – notice or payment in lieu of notice to be given
24. Termination of employment and notice or payment in lieu of notice required
to be served or made
25. Deduction from wages for fine imposed or absence from duty or loss caused to
the property and recovery of employees contribution to schemes like EPF, ESI
and Labour Welfare fund
26. Age of superannuation
27. Grievance procedure
28. Disciplinary action for misconduct
29. Punishment for misconduct and procedure for imposition of punishment
30. Service of notice
31. Issue of service certificate
32. Amendment of Standing order
33. Exhibition of Notices – as whether if put in the Notice Board or not

3) THE MATERNITY BENEFIT ACT, 1961


• The Act extends to the whole of India except Jammu & Kashmir
• Applies to every factory, shop or establishment
• Woman entitled to maternity benefit not withstanding the application of the
Employees State Insurance Act, 1948

Employer to ensure……
• No woman works during the six weeks immediately following the day of her
delivery or her miscarriage
• No woman does any arduous work during the period of ten weeks from the
expected date of delivery
• Not to discharge or dismiss a woman during her pregnancy
Eligibility:
• Work of 160 days in the 12 months immediately preceding the date of delivery.
• Leave days & lay offs taken as worked.

Benefit
• 12 weeks leave of which not more than 6 weeks shall precede the date of her
expected delivery
• The benefit to be paid @ average rate of wages for the three months preceding her
maternity leave
• In case of miscarriage, 6 weeks leave with pay at the same rate as applicable to
maternity benefit.

4 ) THE MINIMUM WAGES ACT, 1948


1. AN ACT TO PREVENT “SWEATED LABOUR AND EXPLOITATION OF
LABOUR”
2. The Act extends to the whole of India
3. Requires the Central and State Govt. to fix minimum rates of wages in certain
scheduled employment.
4. Minimum wages fixed REVISED from time to time

Responsibility of the Employer :


1. to follow the directions and fix wages of the workers at the rate not less than
the one fixed
2. to maintain Register of Wages in form XI showing
• rate of wages payable,
• actual amount paid,
• attendance & overtime,
• deductions for EPF, ESI and other,
• net amount paid,
• date of payment and
• signature of respective employee.
3. Wages slip in form XIII showing the above details to be given to every
employee.

5) THE WORKING JOURNALISTS (FIXATION OF RATES OF WAGES)


ACT, 1958 Provides for the fixation
fixation of wages in respect of Working Journalists
and for matters connected therewith
6)

6) PAYMENT OF WAGES ACT, 1936


• An Act to regulate the payment of wages to certain classes of persons
• Extends to the whole of India
• Responsibility of payment wages rests with the employer
• Employer to fix Wage Period
• No wage period shall exceed one month.
month.
1) Time of Payment of wages
th
1. 7 day of wage month where less than 1000 are working
th
2. 10 day where more than 1000 are working
3. No payment in KIND

2) Permissible deduction from Wages


i. fines
ii. for absence from duty
iii. for damage caused to the property of the employer
iv. for the amenities provided, like house accommodation
v. for recovery of advance or adjusting over payment of wages
vi. towards EPF, ESI, Labour Welfare Fund and similar deductions permitted
under any Act or the Standing Orders of the establishment
vii. for Life Insurance/ general insurance policies and Housing loan.

****The Kerala Payment of Subsistence Allowance Act, 1972


• Act to provide for the payment of subsistence allowance to the employees during
the period of suspension
• Extends to the whole of Kerala

***3) Suspension
Any interim decision of an employer debarring an employee temporarily from
attending his office

***4 )Payment of Subsistence Allowance


• 50% of wages for the first ninety days of suspension
• 75% of wages for the period beyond ninety days
• Full wages for the period beyond one hundred and eighty days

Not eligible for Subsistence Allowance:An


Allowance: employee placed under suspension not
entitled for subsistence allowance if he accepts employment during the period of
suspension

7) THE PAYMENT OF BONUS ACT, 1965


i. An Act to provide for the payment of Bonus to persons in certain
establishments on the basis of profits, production or productivity.
ii. Extends to the whole of India.
iii. Applies to every establishment wherein 20 or more are employed
iv. The Appropriate Govt. shall apply the Act to any other establishment,
including a factory to which the Factories Act, 1948 applies, wherein less
than 20 workers are employed provided the number of persons employed is
not less than 10.

Eligibility to Bonus
i. employee whose salary/ wages does not exceed Rs 10000 per month
ii. who has worked in the establishment for not less than 30 days
iii. Not disqualified to claim bonus due to fraud, theft or any other misconduct
iv. Bonus of very person drawing salary between Rs 3500/- and Rs 10000/- per
month shall be calculated as if his salary were Rs 3500 pm

For calculating the number of working days


i. the days for which the worker has been laid off
ii. the days he has been on leave with pay
iii. the days he has been absent due to temporary disablement caused by an
employment injury
iv. the days a woman employee has been on maternity leave
v. shall be taken in to account.

Rate of Bonus
i. Minimum :8.33% of salary/wages
ii. Maximum 20% of salary/wages
iii. Computation of bonus as per Schedule I to IV of the Act.
iv. Adjust any interim bonus paid while making payment of the final bonus.

Disputes on Bonus
The BonThe Bonus Act does not provide for any machinery to resolve disputes relating
to bonus. For this, the Industrial Dispute Act shall be referred to.us Act does not
provide for any machinery to resolve disputes relating to bonus. For this, the Industrial
Dispute Act shall be referred to.

8) THE PAYMENT OF GRATUITY ACT, 1972


( The Kerala Industrial Employees Payment of Gratuity Act, 1970, followed by the West
Bengal Employees Payment of Compulsory Gratuity Act, 1971 and the intention of the
other States to have similar Acts in their respective states necessitated the Central Act so
as to avoid different treatment to employees of establishments having branches in more
than one states who are subject to transfer from one state to another.)

1) The Payment of Gratuity Act, 1972 extends to the whole of India.


Applies to every factory, mine, plantation and other establishment wherein 10 or
more workers are employed.

2) Gratuity is in the nature of a retirement benefit payable to an employee for a long


and meritorious service.
• It is not paid to an employee gratuitously or merely as a matter of boon. It is paid
for the service rendered by him to the employer (Delhi Cloth and General Mills
Co; Ltd Vs The Workmen)
• Then why it should necessarily be denied to him when an employee is dismissed
for misconduct at a latter stage of service ???

3) Gratuity is payable to an employee on termination of his employment after he has


rendered continuous service for not less than five years
• on his superannuation
• on his resignation
• on his death or disablement due to employment injury or disease
4) News paper employees
• The Working Journalists and Other Newspaper Employees (Conditions of service)
and Miscellaneous Provisions Act, 1955, provides for payment of gratuity.
• As such, three years of continuous service is required for eligibility for Gratuity.

5) The payment of gratuity shall be forfeited


• to the extent of the damage or loss caused by the employee to the property of
the employer
• where the service of the employee is terminated due to misconduct

6) Rate of gratuity
15 days wages for every completed year of service
Rates applicable to Working Journalists depends upon the service of the employee
as provided in the Working Journalists and Other Newspaper Employees
(Conditions of service) and Miscellaneous Provisions Act, 1955

****The average pay of the monthly rated employee shall be taken by dividing the
monthly salary/ wages by 26 and not by 30

7) Piece rate workers and Seasonal establishments


• For piece rated workers, average of the three months wages immediately
preceding the day of leaving shall be taken as average rate of wage
• An employee in a seasonal establishment shall be paid @ seven days wages for
each season

8) Salary ceiling
i. The Amendment Act of 1994 removed the salary ceiling of an employee, but the
maximum gratuity payable shall be Rs 3.5 lakh.In order to be eligible for
gratuity, employee should have at least five continuous years of service with
the employer
ii. An employee is in service in a calendar year provided he has worked for
• 190 days in case employee is employed below the ground and
• 240 days in any other case.
(iii)The days he/she has beenContinuous service (contd.)

• laid off under an agreement or under the ID Act or as permitted by the Standing
Orders
• on leave with pay
• absent due to temporary disablement due to employment injury
• on maternity leave
(iv) shall be taken as worked for the calculation of 190/240 days.
(v) For seasonal employment 75% attendance during a season shall constitute
service in a year
• An employee who has worked for 4 years 11 months and 10 days not eligible for
gratuity as decided in P. Raghavalu and Sons Vs Additional Labour Court,
Andhra Pradesh, as the qualifying phrases ‘part thereof in excess of six months’
shall be taken only for calculation of gratuity and not for determining the
eligibility of gratuity.

9) THE INTERSTATE MIGRANT WORKMEN (REGULATION OF


EMPLOYMENT AND CONDITIONS OF SERVICE) ACT 1979

Act to regulate the employment of interstate migrant workers and to provide for their
conditions of service.
1) Extends to the whole of India.
Applies to every establishment wherein five or more interstate migrant workmen
(whether or not in addition to other workmen) are employed and every contractor
who employs (whether or not in addition to other workmen) 5 or more interstate
migrant worker.

2) Interstate migrant worker


An interstate migrant worker means any person who is recruited by or through a
contractor in the state under an agreement or arrangement for employment in an
establishment in another state, whether with or without the knowledge of the principal
employer.
3) Provides for
Registration of establishments employing interstate migrant workmen, licensing of
contractors, appointment of licensing officers, prohibition of employment of migrant
workmen without registration and duties and obligations of contractors provided under
the Act.

4) Employer to ensure
• Regular payment, equal pay for equal work irrespective of sex, suitable conditions
of work, medical facilities, protective clothing etc shall be ensured to such
workmen.
• The contractor to maintain register of migrant employees, send report of
accidents, half yearly returns (From 23) and annual returns (Form 24)
• Employer contravening the provisions liable for punishment of imprisonment or
fine or both
10) THE EQUAL REMUNERATION ACT, 1976
• Act provides for the payment of equal remuneration to men and women
• Extends to the whole of India
• Act makes it obligatory on the part of employer to pay equal remuneration to men
and women workers for same work or work of a similar nature.
• In order to make the wages equal, prevailing wages shall not be reduced but the
higher rate shall be maintained.
No discrimination
• No discrimination while making recruitment for the same work or work of a
similar nature, except where the employment of women in such work is
prohibited or restricted by or under any law for the time being in force.
• No discrimination in any condition of service subsequent to recruitment such as
promotions, training or transfer.
11) THE APPRENTICES ACT, 1961
The Act extends to the whole of India.
Applies to those apprentices who are undergoing apprenticeship training in designated
trades.
From time to time, the Central Govt. has specified the designated trades.
1) Contract of apprenticeship
• A contract of apprenticeship training is entered in to between the employer and
the apprentice or, if he is a minor, guardian of the apprentice.
• The contract of apprenticeship training is to be sent to the Apprenticeship Adviser
of the respective area.

2) Termination of training
• on the expiry of the period of apprenticeship training specified in the contract.
• Premature termination by employer - the employer shall pay to the apprentice
such compensation as may be prescribed
• Premature termination by the apprentice- apprentice or his guardian shall
refund to the employer as cost of training such amount as may be determined by
the Apprenticeship Adviser

3) NUMBER OF APPRENTICES
Depends on the ratio of trade apprentices to workers other than unskilled workers and the
facilities available and that may be made available by the employer for training the
apprentices.

4) Duties of the employer


• Make suitable arrangements for imparting practical training
• Provide for basic training.
• Where an employer employs 500 or more workers, the basic training shall be
imparted in separate part of the workshop building or in a separate building set up
by the employer.
• the employer may get easy loan from the Govt. for construction of building
for conducting training classes

5) ITIs
• if the number of apprentices to be trained is less than twelve, then the employer
may depute such apprentices to any Basic Training Center or Industrial Training
Institute run by the Government for basic training in any designated trade.
• Where an employer deputes any apprentice as above, such employer shall pay to
the Government the expenses incurred by the Government on such training, at
such rate as may be specified by the Central Government.

6) RI Centre
• Apprentice to be given Related Instruction course.
• Time spent by a trade apprentice in attending classes on RIC shall be treated as
part of his paid period of work.
7) EMPLOYERS to ensure
• Placement of Training Officer with suitable qualification
• Payment of stipend at a rate not less than the prescribed minimum rate
• Not to pay on the basis of piece work
• Not to require to take part in any output bonus or other incentive scheme

8) HEALTH, SAFETY AND WELFARE OF APPRENTICES


• Not to require or allow overtime except with the approval of the Apprenticeship
Adviser.
• In case of employment injury pay compensation in accordance with the provisions
of the Workmen's Compensation Act, 1923

9) Disputes
• Any disagreement or dispute between an employer and an apprentice arising out
of the contract of apprenticeship shall be referred to the Apprenticeship Adviser
for decision.

10) Obligation for employment


• It shall not be obligatory on the part of the employer to offer any employment to
any apprentice who has completed the period of his apprenticeship training in his
establishment,
• nor shall it be obligatory on the part of the apprentice to accept an employment
under the employer.

12) THE WORKMEN’S COMPENSATION ACT, 1923


i. The Act provides for payment of compensation to the worker injured during the
course of employment or contracted by any occupational disease peculiar to that
employment
ii. Act extends to the whole of India.
iii. The amount of compensation
iv. for accidents resulting in death, an amount equal to fifty per cent of the monthly
wages of the deceased workman multiplied by the relevant factor; or an amount of
eighty thousand rupees, whichever is more
v. * for permanent total disablement, an amount equal to sixty per cent of the
monthly wages of the injured workman multiplied by the relevant factor, or an
amount of ninety thousand rupees, whichever is more.
****The maximum compensation as per W.C. Amendment Act 2000
• Fatal Injury - Rs.4,57,080
• Permanent Total Disablement - Rs.5,48,496
• Permanent Partial Disablement - According to incapacity caused
• Temporary Disablement - Rs. 2000 per month upto a period of 5 years
• take p frob below

ESI Corporation and Workmen compensation


The liability of payment of compensation shifted from the employer to the Employees
State Insurance Corporation
13) EMPLOYEES STATE INSURANCE ACT, 1948

• Act extends to the whole of India, However


• The ESI Scheme is being implemented area-wise by stages.
• The Scheme has already been implemented in different areas in all States/Union
Territories except Nagaland, Manipur, Tripura, Sikkim, Arunachal Pradesh and
Mizoram and UTs of Delhi, Chandigarh and Pondicherry
ESI Act
* Applies to factories and establishments functioning in the notified area and consisting
of 10 or more employees.
* Provides for health care and cash benefits in cases of sickness, maternity and
employment injury.
* The Act absolved the employers of their obligations under the Maternity Benefit Act,
1961 and Workmen’s Compensation Act 1923.
Employees covered
All employees drawing salary of Rs 10,000 or less are covered (w.e.f 1-10-2006)
Contribution
• Employees’ contribution . 1.75% of wages
• Employers’ contribution. 4.75 % of wages
• Employees receiving a daily average wage upto Rs.70/-(w.e.f 1-8-07) are
exempted from payment of contribution. Employers will however contribute their
own share in respect of these employees.
• pay contribution within 21 days.
Contribution Period and Benefit Period
There are two contribution periods each of six months duration and two
corresponding benefit periods also of six months duration as under
***Contribution period Corresponding Benefit period
1st April to 30th Sept. , 1st January of the following year to 30th June
1st Oct. to 31st March 1st July to 31st December of the year following

ESI Benefits
1) Medical Benefits
2)Available both to IP and family.
3) Also available to disabled/retired IP
4) Super specialist treatment
5) Sickness Benefit
6) Maternity Benefit
7) Disablement Benefit
8)Dependant benefit
9) Funeral Expenses
10) Old age medi care
11) Rehabilitation

**** Employer to maintain and file the following books and returns.
1. Form 7 (Register of Employees showing the details ofGross wages, ESI contribution
deducted, Contribution by the Employer and total for the contribution period (six
months)
2. Accident book in form 15
3. ESI Declaration in form 1,
4. Return of declaration in form 3
5. Return of Contribution in form 6 for the contribution period (with similar entries as in
register of employees Form 7)
6. Accident report in form 16. (similar to Form 18 to be furnished to the Inspector of
Factories and Boilers)

14) EMPLOYEES PROVIDENT FUND AND MISC. PROVISIONS ACT, 1952


An Act to provide for the institution of provident funds, pension funds and deposit linked
insurance fund for the employees in the factories and other establishments
Extends to the whole of India except the State of Jammu and Kashmir

1) Applicability :
• Applies to all factories and establishments in which 20 or more are employed
• Continuity of application
2) Exemption –: Where employees get benefits in the nature of provident fund or old
age pension fund from the establishment which are not less favourable than the benefits
under the Act.

3) Schemes under the Act


Three beneficial schemes-
1.Employees Provident Fund Scheme 1952
2.Employees Pension Scheme 1995
3.Employees Deposit Linked Insurance 1976

4) Membership
• An employee at the time of joining the employment and getting wages up to
Rs.6500/- is required to become a member.
• An employee is eligible for membership of fund from the very first date of
joining a covered establishment.

5) Contribution to EPF
• Employees’ share : 12% of the Basic + DA
• Employer’s contribution : 12% to be deposited as :
• 8.33% to be deposited in Pension Fund A/C No 10 and
• The balance, ie, 3.67% to be deposited in Provident Fund A/C No 01 along with
Employees’ share of 12%

******6)
******6) Administration charges : -
• @ 1.1% of the total wages/salary disbursed by deposit to A/C No 02,
• Employees Deposit Linked Insurance @ 0.5% of the total wages/salary by deposit
to A/C No. 21 and
• Administration of EDLI @ 0.01% of the wages/ salary by deposit to A/C. No. 22.

7) Duties of employer :-
Employer to furnish information about:
(a) Ownership and names of responsible persons of the establishment.
(b) Declaration and nomination.
(c) Joining and leaving of service by the members in form 5 and form 10
respectively
(d) Form 12A with monthly challans of deposit.
(e) Form 9 for details of employees.
(f) Form 3A/6A at the end of the financial year.
(g) Any other information as may be required under Para 76 of the scheme

8) Benefits to employees
1. Provident Fund Benefits
2. Pension Benefits
3. Death Benefits

1) Provident Fund Benefits


• Employer also contributes to Members’ PF @ 3.67% (1.67% in case of sick
industry - eg: beedi)
• EPFO guarantees the Employer contribution and Govt. gives a decent
interest to PF accumulations
• Member can withdraw from this accumulations to cater financial exigencies
in life - No need to refund unless misused
• On resignation, the member can settle the account. i.e., the member gets his
PF contribution, Employer Contribution and Interest

2) Pension Benefits
i. Pension to Member
ii. Pension to Family (on death of member)
iii. Scheme Certificate
• This Certificate shows the service & family details of a member
• This is issued if the member has not attained the age of 58 while leaving
an establishment and he applies for this certificate
• Member can surrender this certificate while joining another establishment
and the service stated in the certificate is added with the service he is
gaining from the new establishment.
• After attaining the age of 50 or above, the member can apply for Pension
by surrendering this scheme certificate (if total service is at least 10 years)
This is a better choice than Withdrawal Benefit, that if a member dies holding a valid
scheme certificate, his family will get pension (Death when NOT in service)
iv. Withdrawal Benefit
• if not eligible for pension, member may withdraw the amount accumulated
in his pension account
the calculation of this amount is based only on (i) Last average salary and (ii) Service
(Not based on actual amount available in Pension Fund Account)
- No amount is taken from Member to give Pension to the Member. Employer and Govt.
contribute to Pension fund @8.33% and @1.16% respectively
- EPFO guarantees pension to members, even if the Employer has not contributed to
Pension Fund.
• Pension calculation is similar to that of Govt. Employee
3) Death Benefits
• Provident Fund Amount to Family (or to Nominee)
• Pension to Family (or to Parent / Nominee)
• Capital Return of Pension
• Insurance (EDLI) amount to Family (or to Nominee)
• No amount is taken from Member for this facility. Employer contributes for this.
• Nominee is basically determined as per the information submitted by the member
at this office through FORM-2

15 ) THE PLANTATION LABOUR ACT 1951


• AN ACT TO PROVIDE FOR THE WELFARE OF THE LABOUR, AND TO
REGULATE THE CONDITIONS OF WORK, IN PLANTATIONS
• It extends to the whole of India except the State of Jammu and Kashmir

1) Applicability
• Applies to any land used or intended to be used for growing tea, coffee, rubber,
cinchona or cardamom or any other plant which measures 5 hectares or more and
in which 15 or more workers are employed on any day of the preceding 12
months.
• The State Government by notification can apply this law to any other land even if
it measures less than 5 hectares and employs less than 15 workers.
2) Duties of the Employer
Provision of:
1) Drinking Water
2) Separate Toilets for Men and Women
3) Medical facilities to the workmen and their family
4) Canteen where 150 or more workers are employed
5) Crèches where 30(EL Book)- 50 or more women workers are employed or where the
number of children of women workers is 20 or more
6) Recreational facilities
7) Educational Facilities where children between the ages of six and twelve of workers
employed in any plantation exceed twenty five.
8) Housing facility
9) Welfare Officer where three hundred or more workers are employed.

3) Hours of work and Limitations of employment


1) Hours of work – 48 hours per week which can be extended to 54 hours with double the
rate as overtime wages
2) Weekly holiday
3) Daily intervals of rest
4) Prohibition of employing women workers between 7 pm and 6 am

4) Annual Leave (with wages) @ 1 per 20 days work


1) Sickness and maternity benefits
2) Employer to furnish Notice of Accident
3) Employer to maintain a register of Accidents

16) THE INDUSTRIAL DISPUTES ACT, 1947


An Act to make provision for the investigation and settlement of industrial disputes, and
for certain other purposes.
It extends to the whole of India

**** 1) Industrial dispute


Any dispute or difference 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) AUTHORITIES UNDER THIS ACT


1) Works Committee
2)Conciliation officers
3) Boards of Conciliation
4) Courts of Inquiry
5) Labour Courts
6) Tribunals
7) National Tribunals
3) Works Committee
Where?: Establishments with 100 or more workers
Members: Equal number of representatives of the Employer and Employees
Objective: promotion of good relationship between employer and employee(s)

4) Conciliation officers i
Boards of Conciliation
1) Appointed by the appropriate Government as occasion arises for settlement of
disputes.
2) Board shall consist of an independent Chairman and two or four other members in
equal numbers to represent the parties to the dispute
3) Courts of Inquiry
4) Constituted by the appropriate Government as occasion arises for inquiring into any
matter appearing to be connected with or relevant to an industrial dispute

***** 5) Labour Courts


Labour Courts are constituted by the appropriate Govt. for the adjudication of
industrial disputes relating to any matter specified in the Second Schedule and for
performing such other functions as may be assigned to them under this Act.

6) Tribunals
Tribunals are constituted by the appropriate Govt. for the adjudication of industrial
disputes relating to any matter specified in the Second Schedule or the Third
Schedule and for performing such other functions as may be assigned to them under
this Act.

****** 7) National Tribunals


National Tribunals are constituted by the Central Government for the adjudication
of industrial disputes which, in the opinion of the Central Government, involve
questions of national importance or are of such a nature that industrial
establishments situated in more than one State are likely to be interested in, or
affected by such disputes.

****** 8) Matters within the Jurisdiction of Labour Courts (the II Schedule)


1.The propriety or legality of an order passed by an employer under the standing orders;
2.The application and interpretation of standing order;
3.Discharge or dismissal of workmen including re-instatement 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.

****** 9) Matters within the Jurisdiction of Industrial Tribunals (the III schedule)
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.Rationalisation;
10.Retrenchment of workmen and closure of establishment; and
11.Any other matter that may be prescribed.

****** 10) Prohibition of strikes and lock outs


1) Not to strike without giving six weeks notice of strike and during the pendency of any
conciliation proceedings
2) Not to declare lock-out without giving to the employees six weeks notice of lock out
and during the pendency of any conciliation proceedings
3) A strike or lock-out shall be illegal if it is commenced or declared in contravention of
the above.
4) Not to support of any illegal strike or lock-out

11) LAY-OFF AND RETRENCHMENT


No workman (other than a badli workman or a casual workman) whose name is borne on
the muster-rolls of an industrial establishment wherein 50 or more workers are employed
shall be laid-off by his employer except with the prior permission of the appropriate
Government.
1) Lay off compensation: a workman (other than a badli workman or a casual workman)
who has completed one year of continuous service under an employer shall be paid Lay
off compensation
2) Lay off compensation shall be equal to fifty per cent of the wages (Basic + DA)
3) Lay off compensation need not be paid for the weekly holidays which may
intervene
**** Continuous Service
1) An employee is in continuous service in a calendar year provided he has worked for
190 days in case employee is employed below the ground and
2) 240 days in any other case.
3) The days he/she has been laid off under an agreement or under the ID Act or as
permitted by the Standing Orders
(i) on leave with pay
(ii)absent due to temporary disablement due to employment injury or maternity
leave
(iii)shall be taken as worked for the calculation of 190/240 days.

12) Workmen not entitled to compensation in certain cases


1) When a worker refuses to accept alternative employment in the same
establishment or another
another establishment owned by the employer and situated in the
same village or town or within 5 a radius of miles of the establishment.
2) When a worker does not present himself for work at the establishment at the
appointed time during normal working hours at least once a day
3) When such laying-off is due to a strike or slowing-down of production on the part
of workmen in another part of the establishment

13) Retrenchment of workmen


• No workman who has been in continuous service for not less than one year shall
be retrenched without giving one month’s notice (three months notice wherein
not less than 50 workers are employed) in writing indicating the reasons for
retrenchment or
• if no notice is given, wages in lieu of such notice.
• Retrenchment of workmen employed in an establishment wherein not less than 50
workers are employed requires permission from the appropriate
appropr Govt.

14) Retrenchment Compensation


• Fifteen days average pay for every year (or part thereof in excess of six
months) of his service
• THIS IS APART FROM THE GRATUITY PAYABLE UNDER THE
PAYMENT OF GRATUITY ACT
15) Compensation to workmen in case of transfer of undertakings
Every workman shall be entitled to notice and compensation as if the workman had been
retrenched.

16) No compensation on transfer provided


1 . the service of the workman has not been interrupted by such transfer;
2 . the terms and conditions of service applicable to the workman after such
transfer are not in any way less favourable to the workman
3 . the new employer takes in to account the continuous service of the workman.

17) Notice to be given of intention to close down any undertaking


An employer who intends to close down an undertaking shall give at least sixty days
notice (Ninety days wherein not less than 50 workers are employed) to the appropriate
government stating clearly the reasons for the intended closure of the undertaking:
This section shall not apply to-
(a) an undertaking in which less than fifty workmen are or were employed, or
(b) an undertaking set up for the construction of buildings, bridges, roads, canals, dams
or for other construction work or project.
Compensation:
1) Compensation to workmen in case of closing down of undertakings
2) Compensation be paid as if workmen are retrenched
3) However no compensation is payable if the establishment is closed down on account
of unavoidable circumstances beyond the control of the employer
4) These shall not constitute circumstances beyond the control…
5) financial difficulties (including financial losses); or
6) accumulation of undisputed off stocks; or
7) the expiry of the period of the lease or license granted to it; or
8) In case where the undertaking is engaged in mining operations, exhaustion of the
minerals in the area in which operations are carried on

Procedure for retrenchment and re employment


1) Retrench the last worker to be appointed under a particular category first
2) For re-employment, retrenched worker shall have preference over other persons

17) RECOVERY OF MONEY DUE FROM AN EMPLOYER (section 33 C of ID


Act)
1) Any sum due from the employer under a settlement or an award is recoverable in the
same manner as an arrear of land revenue
2) Application by the employee to be received within ONE year.
3) Any sum capable of being computed in terms of money shall be recovered from the
employer with the intervention of Labour Court.

18) UNFAIR LABOUR PRACTICESOn the part of employers

1) threatening workmen with discharge or dismissal, if they join a trade union.


2) threatening a lock-out or closure, if a trade union is organised .
3) granting wage increase to workmen at crucial periods of trade union organisation, with
a view to undermining the efforts of the trade union at organisation.
4)an employer taking an active interest in organising a trade, union of his workmen.
5) To establish employer-sponsored trade unions of workmen.
6) Discharging or punishing a workman, because he urged other workmen to join or
organise a trade union
7) Discharging or dismissing a workman for taking part in any strike (not being a strike
which it deemed to be an illegal strike under this Act)
8) Changing seniority rating of workmen because of trade union activities.
9) Refusing to promote workmen to higher posts on account of their trade union activities
10) Giving unmerited promotions to certain workmen with a view to creating friction
amongst other workmen, or to undermine the strength of their trade union.
11) Discharging office bearers or active members of the trade union on account of
their trade union activities

1) To discharge or dismiss workmen –


1) By way of victimisation;
2) By falsely implicating a workman in a criminal case on false or fabricated evidence;
3) On untrue allegations of absence without leave;
4) In utter disregard of the principles of natural justice in the conduct of domestic enquiry
or with undue haste;
5) For misconduct of a minor or technical character, without having any regard to the
nature of the particular misconduct or the past record of service of the workman.
6) To abolish the work of a regular nature being done by workmen,and to give such work
to contractors as a measure of breaking a strike.
7) To transfer a workman mala fide from one place to another, under the excuse of
following management policy.
8) To insist upon individual workmen, who are on a legal strike to sign a good conduct
bond, as a precondition to allowing them to resume work.
9) To show favoritism or partiality to one set of workers regardless of merit.
10) To employ workmen as "badlis" casuals or temporaries and to continue them as such
for years, with the object of depriving them of the status and privileges of permanent
workmen.
11) To discharge or discriminate against any workman for filing charges or testifying
against an employer in any enquiry or proceeding relating to any industrial dispute.
12)To recruit workmen during a strike which is not an illegal strike.
13) Failure to implement award, settlement or agreement.
14) To indulge in acts of force or violence.
15) To refuse to bargain collectively, in good faith with the recognised trade unions.
16) Proposing or continuing a lock-out deemed to be illegal under this Act

2) UNFAIR LABOUR PRACTICES On the part of workmen


1) Advise, support or instigate any strike deemed to be illegal under this Act.
2) Coerce workmen to join a trade union or refrain from joining any trade union,
3)Picket in such a manner that non-striking
non-striking workmen are physically debarred from
entering the work places.
4)Indulge in acts of force or violence or intimidation in connection with a strike against
non-striking workmen or against managerial staff
5) For a recognised union to refuse to bargain collectively in good faith with the
employer.
6) To indulge in coercive activities against certification of bargaining representative.
7) To stage, encourage or instigate such forms of coercive actions as willful "go slow",
squat on the work premises or "gherao" of any of the members of the managerial or other
staff.
8) To stage demonstrations at the residences of the employers or the managerial staff
members.
9) To motivate or indulge in willful damage to employer's property.
10) To indulge in acts of force or violence or to hold out threats of intimidation against
any workman with a view to preventing him from attending work.
33) The Trade Unions Act, 1926
1) An act to provide for the registration of Trade Unions and in certain respects to define
the law relating to registered Trade Unions.
2)It
2)It extends to the Whole of India
India

3) Registration
1) The minimum number of workers to form a registered Trade Union is 10% or 100
whichever is less, subject to a minimum of 7 workers.
2) Ensure that the number of members does not fall down the above requirement.

4) Sale Promotion Employees (Conditions of Service) Act, 1976


An Act to regulate certain conditions of service of sales promotion employees in certain
establishments, in the first instance, engaged in pharmaceutical industry
It extends to the whole of India
APPLICATION OF CERTAIN ACTS
Provides for APPLICATION OF CERTAIN ACTS, such as Workmen's
Compensation Act, 1923, Industrial Disputes Act, 1947, Minimum Wages Act, 1948,
Maternity Benefit Act, 1961, Payment of Bonus Act, 1965 and Payment of Gratuity
Act, 1972 TO SALES PROMOTION EMPLOYEES
ROLE OF PUBLIC SECTORS IN INDIA
The public sector has been playing a vital role in the economic development of the country. In
fact the public sector has come to occupy such an important place in our economy, that on its
effective performance depends largely the achievement of the country's economic n social
goals.

Public sector is considered a powerful engine of economic development and an important


instrument of self-reliance. The main contributions of public enterprises to the country's
economy maybe described as follows:

1. Fillings of Gaps: At the time of independence, there existed serious gaps in the industrial
structure of the country, particularly in the fields of heavy industries such as steel heavy,
machine tools, exploration an refining of oil, heavy Electrical and equipment, chemicals and
fertilizers, defense equipment, etc. Public sector has helped to fill up these gaps. The basic
infrastructure required for rapid industrialisation has been built up, through the production of
strategic capital goods. The public sector has considerably widened the industrial base of the
country.

2. Employment: Public sector has created millions of jobs to tackle the unemployment
problem in the country. Public sector accounts for about two-thirds of the total employment in
the organised industrial sector in India. By taking over many sick units, the public sector has
protected the employment of millions. Public sector has also contributed a lot towards the
improvement of working and living conditions of workers by serving as a model employer.

3. Balanced Regional Development: Public sector undertakings have located their plants in
backward and untrodden parts of the county. There area lacked basic industrial and civic
facilities like electricity, water supply, township an manpower. Public enterprises have
developed these facilities thereby brining about complete transformation in the socioeconomic
life of the people in these regions. Steel plants of Bhilai, Rourkela and Durgapur; fertilizer
factory at Sindri, Machine Tool plants in Rajasthan, Precision Instruments plants in Kerla and
Rajasthan, etc. are a few examples of the development of backward regions by the public
sector.

4. Contribution to Public Exchequer: In recent years, the public sector has made increasing
contributions to the public sector in the form of dividend, corporate taxes, excise and customs
duty, etc. The total contribution from the public enterprises to the Exchequer increased from
Rs. 11,074 crores in 1982-83 to Rs. 23, 972 crores in 1986-87.

5. Foreign Exchange Earnings: Public sector has contributed a great deal in improving the
balance of payments position of the county. The public enterprises have saved valuable foreign
exchange trough import substitution. Public enterprises have earned foreign exchange of Rs.
3,942 crores during 1986-87 by way of exports.

6. Development of Ancillary industries: In order to encourage the development of small


scale and medium-sized industries in the country, the Government of India has launched a
national programme. Public sector ha contributed to this programme by fostering the growth of
ancillary industries and satellite planets. Such plants have been established around the major
public sector undertakings. There is a strong base of ancillary industries at several centers such
as the Bokaro Industrial Complex, the Bhilai Steel Plant, The Rourkela Steel Complex, the
Heavy Engineering Corporation at Ranchi, Hindustan Machine Tools at Bangalore, and the units
of Bharat Heavy Electrical at Bhopal, Hyderabad and Hardwar.

7. Research and Development: As most of the public enterprises are engaged in high
technology and heavy industries, they have undertaken research and development programmes
in a big way. Public sector has laid strong and wide base for self-reliance in the field of technical
know-how, maintenance and repair of sophisticated industrial plants, machinery and equipment
in the country. Through the development of technological skill, public enterprises have reduced
dependence on foreign knowhow. With the help of the technological capability, public sector
undertakings have successfully competed in the international market an they have secured
turnkey projects in several countries of the world.

8. Community Development: Several public sector undertakings have developed townships


to provide all the civic amenities to their employees. These townships consists of houses, etc.
Public enterprises have constructed roads and other infrastructural facility to link these
townships to other parts of the country. Such townships have been very helpful in improving
community life.

9. Social Justice : Public enterprises have contributed towards the achievement of


constitutional objectives. They have been helpful in reducing the concentration of economic
power in private hands, in curbing anti-social monopolies, in accelerating public control over the
national economy and in bringing about a socialistic pattern of society.

In addition to the foregoing, the public sector has played an important role in the achievement
of constitutional goals like reducing concentration of economic power in private hands,
increasing public control over the national economy, creating a socialistic pattern of society, etc.
With all its linkages the public sector has made solid contributions to national self-reliance.
Database Management System and Design MCQ Set 1
Questions
Questions 1:

The ascending order of a data hirerchy is:

a. bit-byte-record-field-file-database

b. byte-bit-field-record-file-database

c. bit-byte-field-record-file-database

d. bit-byte-file-record-field-database

Question 2:

Which of the following is true of a network structure?

a. t is a physical representation of the data

b. It allows a many-to-many relationship

c. It is conceptually simple

d. It will be dominant data base of the future

Question 3:

Which of the following is a problem of file management system?

a. difficult to update

b. lack of data independence

c. data redundancy

d. program dependence

e. all of above

Question 4:

One data dictionery software package is called

a. DB/DC dictionary

b. TOTAL

c. ACCESS

d. Datapac

e. Data Manager
Question 5:

The function of a database is ...

a. to check all input data

b. to check all spelling

c. to collect and organize input data

d. to output data

Question 6:

What is the language used by most of the DBMSs for helping their users to access data?

a. High level language

b. SQL

c. Query Language

d. 4GL

Question 7:

The model for a record management system might be

a. handwritten list

b. a Rolodex card file

c. a business form

d. all of above

Question 8:

Primitive operations common to all record management system include

a. print

b. sort

c. look-up

d. all of above

Question 9:

In a large DBMS
a. each user can "see" only a small part of the entire database

b. each subschema contains every field in the logical schema

c. each user can access every subschema

Question 10:

Information can be transferred between the DBMS and a

a. spreadsheet program

b. word processor program

c. graphics program

d. all of the above

Answers:

1. c 2. b 3. e 4. a 5. c 6. c 7. d 8. c 9. a 10. d

http://www.vuzs.net/index.php?option=com_content&view=article&id=1400:mgt501-30-
mcqs-from-quiz-4-shared-by-raza-tahir&catid=250:mgt501-human-resource-
management&Itemid=55

ABLE OF CONTENTS

I. POLICY
II. OBJECTIVES

III. RESPONSIBILITIES

A. Personnel
B. Working Organization
C. Duties

IV. PROCEDURES

A. Records Management Handbook


B. Office Procedures
C. Records Retention Schedules
D. Unscheduled Records
E. Review of Proposed "Draft" Retention Schedules
F. Records Inventory & Disposition Schedule (RIDS)
G. Storing Records
H. Retrieval of stored records
I. Returning records to storage for refiling
J. Transfer of records to Federal Records Center
K. Disposition/Destruction of stored inactive records
L. Conducting House Cleaning of Non-Records

V. How long to keep records or accessing the DOE website for records retention schedules

VI. Freeze on destruction of select records (EPI Moratorium)

EXHIBITS:

A. Records Inventory & Disposition Schedule (RIDS) Form


B. Records Storage and Disposition (RSD) Form
C. Fermilab Material Move Request Form
D. Disposal Authorization form
E. Clean-out Campaigns/Housekeeping Guide
F. Records Inventory Form
G. Definition of what is a Record
H. List of Records Coordinators and File Custodians

I. POLICY

Fermi Research Alliance, LLC (FRA), operator of Fermi National Accelerator Laboratory
(Fermilab), is committed under its contract with the Department of Energy (DOE) to maintain
an effective program of Records Management implementing DOE Orders and directives on the
subject.

The applicable DOE Order that specifically addresses Records Management is DOE Order
200.1, entitled Information Management Program. In addition there are other federal
regulations governing records management:

• Federal Records Act - 44 U.S.C. Chapter 31 - Records Management by Federal


Agencies
• National Archives and Records Administration - 44 U.S.C. Chapter 21
• Records Management by the Archivist of the United States and by the Administrator of
General Services - 44 U.S.C. Chapter 29
• Disposal of Records - 44 U.S.C. Chapter 33
• Paperwork Reduction Act - 44 U.S.C. Chapter 35
• Clinger-Cohen Act - Information Technology Management Reform Act (ITMRA), dated
February 10, 1996
• Administrative Procedure - 5 U.S.C. Chapter 5
• The Freedom of Information Act - § 552.
• The Privacy Act - § 552a.

DOE Order 200.1 states that contractors shall "manage information management activities in
accordance with applicable laws and regulations." The actual authority for requiring DOE
contractors to manage records in accordance with federal regulations stems from the Federal
Records Act.

This Handbook provide instructions on the period of time records should be retained as well as
preservation and destruction procedures in order to keep the total volume of active records in-
house to a working minimum. It also provides for the transfer of inactive records that still
need to be retained for a period of time according to the DOE order and federal records
retention schedules to an offsite records storage facility.

Back to Table of Contents

II. OBJECTIVES

Specific objectives to be met by the Fermilab Records Management Program are to:

A. Identify official "records" as opposed to incidental and general work papers, publications,
etc. (non-records).

B. Maintain a Records Inventory & Disposition Schedules (RIDS) form for each department or
group, entering all records and work papers (non-records), and indicating their scheduled
disposition according to the appropriate federal retention schedules.

C. At all organizational levels, set up a workable system for retaining records and storing
inactive records in accordance with FRA-Fermilab policy, DOE Orders and legal requirements.

D. Contract for the services of a commercial offsite records storage facility which meets
federal fire protection regulations for records storage and which provides for timely and low
cost storage and retrieval of records.

E. Provide a systematic method for disposition/destruction of outdated records in accordance


with the DOE and NARA retention and disposition schedules.

F. Establish guidelines for selecting and identifying archival records.

G. Provide guidance to field personnel for the periodic disposition of inactive and non-records
in the office work areas.

H. Respond to DOE Calls for Information on specific records issues and submit replies through
the Directorate on behalf of Fermilab as required.

I. Provide a communications forum for the dissemination of information to records field


personnel on records management issues and policies.

Back to Table of Contents

III. RESPONSIBILITIES

A. PERSONNEL
Fermilab personnel directly concerned with implementing the above policy are:

• The FILE CUSTODIAN, working with records at the office level

• The RECORDS COORDINATOR representing each major division or section

• The RECORDS MANAGER who oversees this function for the Lab

B. WORKING ORGANIZATION

1. The File Custodians are the individuals who are actually creating, maintaining and utilizing
the files and/or filing systems in the various departments or groups at Fermilab. There are
others who create records within these departments such as technicians, design engineers,
experimenters, etc. but the file custodians represent the "first line" of records field personnel.

2. The Records Coordinators are appointed by their Division or Section Head, to whom they
are responsible. The Records Coordinator works directly with the Records Manager and also
acts as liaison between the Records Manager and the File Custodians providing control and
coordination of the Records Management Program at the division level.

3. The Records Manager coordinates the records management program at the laboratory and
activities of the Records Coordinators and File Custodians. The Records Manager is responsible
to the Head of Business Services for the management of the Fermilab Records Management
Program. He or she also works with the lab Archivist in identifying and preserving records of
value to the scientific mission of Fermilab.

C. DUTIES

1. The File Custodian is responsible for:

a. Maintaining files and/or records within the departmental work place.

b. Preparing Records Inventory & Disposition (RIDS) forms by identifying, inventorying, and
listing all records and non-records in their area in accordance with the applicable Fermilab,
DOE and/or federal records schedule. The RIDS form is submitted to the designated division
Records Coordinator for review and approval prior to forwarding to the Laboratory Records
Manager.

c. Preparing records for storage according to instructions contained in this handbook.

d. Conducting periodic clean-out/housekeeping campaigns to keep the amount of non-record


material stored in the office/work place to a minimum. For a helpful guide, see Exhibit E.

e. Maintaining a records management file for records placed in storage or disposed of for that
office/work place.

2. The Records Coordinator is responsible for:

a. Acting as liaison between the File Custodian(s) and Records Manager and providing
assistance to the File Custodian(s) when necessary.

b. Performing reviews of the RIDS forms prepared by File Custodian(s) prior to forwarding
them to the Records Manager.
c. Acting as the point of responsibility for the records created by that Division or Section,
communicating with the Records Manager on issues related to disposition of records series,
and the disposal of non records/ inactive records following periods of major personnel
reorganizations, etc.

3. The Records Manager is responsible for:

a. Managing the Fermilab Records Management program in accordance with Fermilab Policy,
DOE Orders and various directives issued by DOE and/or the National Archives and Records
Administration (NARA).

b. Preparing, updating, and distributing the Fermilab Records Management Program


Handbook, which provides information on the retention of records, storage or retrieval, and
proper disposition of records.

c. Conducting and supervising any DOE Records Inventory or other records searches
requested by DOE.

d. Maintaining the official Laboratory files on the Records Management Program at Fermilab.

e. Maintaining accountability for stored records and summary information on destroyed


records.

f. Preparation and submittal of Fermilab reports as required by DOE.

g. Arranging for off-site storage of inactive records at the area Federal Records Center or
commercial storage facilities that meet federal fire protection regulations for racking and
storage of records.

h. Distribution within the Laboratory of DOE directives regarding Records Management as


required.

i. Maintaining several databases used to track and document inactive records sent to offsite
storage, records temporarily retrieved from the storage facility, and records that have been
destroyed in accordance with federal disposition regulations.

Back to Table of Contents

IV. PROCEDURES

A. RECORDS MANAGEMENT HANDBOOK

The principal guide for records retention periods is the retention schedules established by the
National Archives (NARA) and DOE in support of federal regulations. The Fermilab Records
Management Handbook implements DOE Order 200.1 by providing step-by-step instructions
for storing, retrieving and disposing of records. Any questions concerning the Handbook or its
contents should be referred to the Records Manager.

B. OFFICE PROCEDURES

1. Create an index for all files in the work areas, listing them under common categories. The
index should be updated regularly and can be used as a finding aid for office filing purposes as
well as a basis for identifying the types of records series maintained by the department or
group.
2. Set up and maintain a "Records Management" file to include all copies of information and
forms concerning records stored, as well as an Index of Files in the department and any
current RIDS forms. This will allow for tracking of records that have been stored or disposed of
and to review records scheduled for destruction.

3. Conduct periodic Clean-Out Campaigns to keep the amount of non-record material stored in
the office to a minimum, and to remove record material to a records storage facility when the
records are no longer active but need to be kept in accordance with the DOE or federal
retention schedules.

4. As employees leave the department, are transferred or retire, coordinate their exit activities
to identify records that require retention and make arrangements to transfer these to other
employees who will be responsible for them or to send them to inactive records storage if
required.

C. RECORDS RETENTION SCHEDULES

Guidelines to determine the periods of time records are required to be maintained can be
found in several retention schedules:

General Records Schedules (GRS) A set of record schedules published by NARA (The National
Archives and Records Administration) providing retention schedules for records common to
most or all Federal agencies.

DOE Administrative Records Schedules (DOE ADMIN) provides for the disposal of DOE records
that are common throughout the Department and are normally associated with administrative
matters rather than program issues.

DOE Research and Development (R&D) Records Schedule encompasses the records generated
from research and development, scientific study and mission specific programs within DOE and
its contractor community.

Fermilab Site Specific Records Schedules

A set of Fermilab site-specific records retention schedules is evolving to address records


retention issues that are NOT included elsewhere in other schedules, or to specify retention
periods which Fermilab has determined that best meet its operating and business
requirements. However, it is a requirement that DOE approve the site-specific schedules
generated by its contractors. It should be noted that these schedules are unique and specific
to each laboratory or DOE facility.

D. UNSCHEDULED RECORDS

If a record series cannot be found under the categories and descriptions provided in the above
Records Schedules, it is necessary to request a disposition for that series of records.

The Records Inventory form (EXHIBIT F) should be filled out providing the information
requested for each series of records that needs to be scheduled. This information should be as
detailed as possible to correctly identify the records and to assist in determining the period of
time the records need to be retained. Forward the completed Records Inventory form to the
Records Manager.

The description of the records and the retention period will be entered into the Fermilab Site
Specific Records Schedule and forwarded to the DOE Chicago office for processing to secure
DOE approval of the site specific schedule. Upon approval by DOE and NARA, the schedule will
be distributed to records field personnel for inclusion in their handbook.
Unscheduled records cannot be disposed of. If you are unsure whether a record series is
scheduled or unscheduled, contact the Records Manager who can assist you.

E. REVIEW OF PROPOSED 'DRAFT' RETENTION SCHEDULES

Periodically, the Fermilab Records Manager is asked to review new proposed records retention
schedules that are being drafted by DOE or NARA for implementation by its agencies and/or
contractors. It is the policy of the Fermilab Records Manager to forward copies of any
pertinent proposed schedules to the groups within the Laboratory who might be affected. Their
input is critical to assist in the identification of these records and to determine whether or not
the proposed retention periods are feasible or not. These proposed drafts are generally
forwarded to the Records Coordinators to obtain replies from their divisions or sections.

F. RECORDS INVENTORY & DISPOSITION SCHEDULE (RIDS) FORM

A Records Inventory & Disposition Schedule (RIDS) form should be submitted to the Records
Manager by each division and on request will be updated periodically. The key word above is
"Inventory." Once filled out, it will aid in identifying the type and quantity of records in a given
work area, as well as specifying the required retention periods for these records. This will be of
assistance when conducting clean-out campaigns, in orienting new personnel, and when filing
records as part of a job function.

Blank RIDS forms can be obtained from the Records Manager and are included as an
attachment to this Handbook under EXHIBIT A. The following paragraphs are key numbered
according to the section numbers on the form.

(1) Number & Page - Enter as appropriate.

(2) Organizational Unit: Enter the office/department name.

(3) Enter date of preparation of form.

(4) Signatures

Enter the name(s) of the person(s) signing below the lines for "Prepared By" and "Approved
By." The File Custodian or person preparing the RIDS form should sign the "Prepared By" line.
The Records Coordinator should sign on the "Approved By" line. The Division/Section Head or
their designee should signed on the "Division/Section Head" line if they choose to be included
in this approval chain.

(5) Item No.

Sequentially number the items listed on the form.

(6) Filing Series Title, Description, and Location of file, and inclusive dates:

Enter the name of the file (or record series) together with a brief description of its contents.
Inclusive dates are always useful.

(7) Disposition Authority:

a. Enter the retention schedule and paragraph that applies, i.e. DOE Schedule 6, paragraph 1.

b. If there is no schedule that accurately describes the record series, enter "To Be Scheduled"
in the column in place of Disposition Authority.
(8) Authorized Disposition Instructions:

Enter the retention period indicated in the retention schedule (i.e. 6 years, 3 months).

(9) Transfer Instructions:

Enter the transfer instructions, if any.

(Example: Hold in office for 3 years, transfer to records storage for 3 years, 3 months).

After the form has been completed and the proper departmental signatures are affixed,
forward to the Records Manager for review and approval.

Be sure to maintain a copy of the RIDS form in the "Records Management" file maintained in
the department or office workplace.

G. STORING RECORDS

Fermilab contracts with offsite commercial records storage facilities to provide for storage of
inactive records.

To store records at the offsite storage facility, the File Custodian or Records Coordinator
should follow these steps:

• Use only the official records storage boxes from the stockroom, Stock No. 1350-0285
(Pkg./12).

Note: Records packed in "Xerox" or other unofficial cartons cannot be stored at the offsite
facility. Records with different retention dates should not be packed together. If the individual
disposal dates vary, then the entire box will be kept until the date of latest disposition.
Efficient packing will alleviate records storage volume and keep storage costs low.

• The boxes should be sealed with clear packing tape (not DUCT tape) and clearly
marked with the department's box number. Do not use the same number more than
once. Each box should have its own individual number so there will be no confusion
when attempting to retrieve records.

• Complete the Records Storage & Disposition (RSD) form as indicated in EXHIBIT B.
Instructions for completing the form are contained on the reverse side. If additional
forms are required, they can be copied from Exhibit B or obtained from the Records
Management office.

• Keep a detailed back-up list of all files contained in the boxes in the event it is
necessary to retrieve a file in the future, or enter as much detail into the description
column (3) on the form so it will be easier to identify.

Note: The information provided is entered electronically into a database maintained by the
Records Management office. The amount of detail placed in this database is an exact copy of
the detail provided on the RSD form. The level of detail in the description should be sufficient
to easily identify the record so that database searches can be conducted at a later date if it is
necessary to retrieve the box. This is especially true in the case of scientific or R&D records
which might be retrieved at a much later date by the person originating the storage or by
someone who may inherit the records. In some cases this could conceivably span a period of
ten years or more.
• Once the form has been completed, it should be forwarded to the Records Manager.
The individual box numbers will be entered into a database for tracking and
identification purposes. The form is then returned to the individual requesting the
storage with labels for each box. These labels show the specific department box
number as well as the records management number under which the boxes will be
stored.

• Complete the Material Move Request form (available from the Laboratory Stockroom)
in accordance with the example shown in EXHIBIT C. A template of this form usually
accompanies the labels, referencing the name of the records storage facility and the
current purchase order number covering the storage contract.

• Each Material Move Request must be signed stating whether or not the box has been
checked for radioactivity before it is shipped. In most cases, the boxes will probably be
non-hazardous and non-radioactive unless they have been in a beam enclosure or
possible radiation exposure area. Sections or Divisions may have different policies for
completing this part of the Material Move Request so your Division or Section
Radiation Safety Officer can provide information about the signature policy. A
signature and an indication of "yes" or "no" must be on the form for the boxes to be
moved.

• The pink copy of the Material Move Request form should be attached to the RIDS form
and maintained in the workplace. The yellow copy should be sent to the Records
Manager at MS 109. The remaining copies should accompany the boxes for transmittal
to the records facility.

• An Input Manifest will often accompany the labels. This document is for internal use
only by the records storage facility to enter data electronically into their database for
tracking and retrieval of records. Nothing has to be done with this Manifest except to
staple it to the Material Move Request that ships with the records boxes.

• Call Dispatch at ext. 3132 to arrange for pickup and to take the boxes over to the
Shipping Department.

H. RETRIEVAL OF STORED RECORDS:

The offsite Records Storage Facility is secured and access is allowed to authorized personnel
only. For this reason any request for retrieval of a box must be coordinated through the
Records Manager. The entire sealed records box will be delivered to the requestor's specified
onsite location.

Our retrieval service provides standard delivery on Thursdays. Your retrived box will be
returned to your physical location or to the office you indicate. To request retrieval of your
record box, send an email to kadnz@fnal.gov with the RM box number(s) no later than
Wednesday by 3:30 p.m for delivery on Friday. Emergency service is available upon request.

There is a designate in case the Records Manager is away from the office. Contact the
Business Services Section office to request service in the absence of the Records Manager.

The Records Management office maintains a database for Records Temporarily Retrieved from
Storage, noting the box numbers retrieved, the name of the requestor, the date and any other
pertinent information related to the retrieval. This database is reviewed quarterly and
reminders sent to those requestors who remain in possession of retrieved boxes after three
months.

I. RETURNING RECORDS TO STORAGE FOR REFILING:


Before records can be returned to the offsite Records Storage Facility, a Material Move
Request form will needed to be completed for a radiation check and a completed Input
Manifest form must accompany the box(es). The Input Manifest is available through the
Records Management office. The Dispatch office will pick up the boxes from the requestor's
physical location.

The Records Management office will make any adjustments in the database for Records
Temporarily Retrieved from Storage to reflect the return of these boxes to storage.

J. TRANSFER OF RECORDS TO FEDERAL RECORDS CENTERS (FRC's)

The facilities of the Department of Archives, Federal Records Centers are available for the
storage of records that have a long-term or permanent retention.

There are several drawbacks to using the Federal Records Center in Chicago:

• It fails to meet federal fire protection regulations for the storage and racking of
records.

• As of the year 2000, all DOE offices or contractors storing records at FRC's prior to
their legal transfer to the National Archives will be charged for storage. These fees are
generally higher than those for a commercial records facility.

Fermilab has elected to keep its longer-term records at commercial facilities that meet the fire
protection requirements and where costs are lower. "If" records are transferred to the FRC,
the action will be coordinated between the Fermilab Records Manager and the Federal Records
Center

K. DISPOSITION/DESTRUCTION OF STORED INACTIVE RECORDS

Twice annually, the Records Management Office reviews its database of inactive stored records
and compiles a list of boxes scheduled for destruction based on the type of record and its
retention date.

Prior to destruction, the person who originally stored the records will be notified of the
proposed disposition and requested to concur with such disposition within a specified period of
time. This serves as a check to verify that correct disposition of the records is being made. In
the event it is determined that the records should not be destroyed, the Records Manager, in
conjunction with the requestor, will discuss the reason for the additional retention and modify
any database information accordingly.

If the proposed destruction of records is appropriate, the requestor will be asked to sign the
Disposal Authorization form (Exhibit D), which is then returned to the Records Manager.

The Records Management office will instruct the commercial records storage facility to dispose
of the boxes and the Records Management office maintains a copy of the memo authorizing
the destruction. In addition, the commercial storage facility provides a Certificate of
Destruction to the Records Management office once the destruction has taken place.

A separate database is maintained by the Records Management office listing all destroyed
records by box number, date and by requestor.

No inactive records will be destroyed without written permission from the person who
originally stored the records or the Records Coordinator for that division if the person is no
longer available to do so.
L. CONDUCTING HOUSE CLEANING OF NON RECORDS

Exhibit E has been provided for guidance and lists nonrecord material that can be safely
disposed of in-house after it is no longer needed for routine business. Most periodicals,
newspapers, manuals fall into this category.

If there are any questions concerning what is a "record" and what is a "nonrecord," guidance
is available from the Records Management Office. It has been the custom of this office to lend
direct field supervision during major reorganizations and house cleaning campaigns to confirm
what needs to be maintained and what can be disposed of safely. To schedule such a visit, call
the Records Management office.

Back to Table of Contents

V. How long should I keep records or Accessing the DOE website for the Records
Retention Schedules

The Department of Energy now provides the federal and DOE specific Records Retention
Schedules online at the following website: http://cio.energy.gov/records-
management/disposition.htm

The primary retention schedules used by Fermilab are:

DOE Administrative Records Schedules that provide for the disposition of DOE records
associated with administrative matters. (Replaced what we referred to previously as the GRS
schedule). http://cio.energy.gov/records-management/adminrs.htm

DOE Research and Development (R&D) Records Retention Schedule that encompasses
research and development (R&D) records generated within the Department of Energy (DOE)
complex and its contractor organizations, such as national laboratories. These are generally
mission-specific records dealing with program records, records of experiments,
etc. http://cio.energy.gov/records-management/doeprs.htm

DOE Draft Environmental Records Schedule provides for the disposition of all DOE
environmental records created or received to comply with or needed to support compliance
with Federal and state laws and implementing regulations. This is still in draft
form. http://cio.energy.gov/records-management/doeprs.htm

By clicking on the Schedule title shown on the web page, you will then see a new screen with
the index for each and can work your way to the retention paragraph you are searching for.
"Finds" can be conducted easily as well (using the Control F keys on your keyboard). Contact
the Fermilab Records Management office if you want a hardcopy of these schedules (which can
be printed from the website) or if you are unable to find a retention period for your records.

If you cannot find the retention schedule for a series of records, please contact the Records
Management Office.

Back to Table of Contents

VI. EPI Moratorium

The moratorium preventing us from destroying certain specific series of records is


still in effect. The list of these records covers a broad range of subjects.

These records have been determined to be useful in identifying employees, the locations
where they worked, or conditions under which they worked and may also contain information
regarding radiation protection programs, human experimentation with radiation and/or the
releases of radiation into the atmosphere.

Before making the decision to authorize the destruction of any records, please check
them against the list that follows.

Should the volume of these records become an issue in the workplace (i.e. taking up too much
space), they can be stored offsite by using the procedures described under Section G of this
Handbook, Storing records.

If there are any questions about how to interpret this index or about the moratorium, please
contact the Fermilab Records Manager.

Exhibits A through G

To view the Exhibits A through G, please contact the Records Coordinator for your Division or
Section or the File Custodian for your department. The list of coordinators and custodians is
shown on the Records Management home page.

Office Management

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A lot of office management involves managing business records.

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Office management includes organizing all the files in your office and keeping them up-to-
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Best office management practices includes managing emails effectively in case of clients,
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Good management creates a good workforce which leads to good customer satisfaction

When you have good management it leads to a good quality workforce, and that provides
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Process management system makes businesses more competitive

Good business process management is crucial to a business and its operations. The process
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Office management is an integral part of general management. Office management is the


planning, organizing and controlling of office work and of their performing it so as to achieve
the predetermined objectives.

The word 'manage' is derived from French word ‘manege’ which means managing a horse.
The dictionary meaning of the word manage is to conduct, to control or to administer.

According to Leffingwell and Robinson, `Office management is that branch of the art and
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Since the process of office management is similar to the general process of business
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v) Co-ordinating: It is also the function of office to establish co-ordination between employer


and employee so that production may increase. Lack of co-ordination may have an adverse
impact on the efficiency• of management and may even prove to be cause of the failure of a
business enterprise.
vi) Controlling: The managerial function of control is the measurement and correction of the
performance of subordinates in order to make sure that enterprise objectives and the plans
devised to attain them are accomplished.
vii) Motivating: Motivating is an extremely complex problem since it is linked with human
beings. Motivation means inducing subordinates to work with zeal and gusto and cooperate
for achieving the objectives of the organization.
In the above discussion it can be said that the function of office management is very wider
and broader.

Under the scientific office management the management has to assume four great works
and responsibilities which are known as principles of scientific office management. These
principles are given below:

a) The most important of principles scientific office management is the development of


science of each man's work to replace the rule-of-thumb knowledge of the employee. Under
this principle the management condenses the great mass of traditional knowledge and then
records, tabulates, and reduces this knowledge to rules, lairs and formula.

b) The second essential principle of scientific office management is the proper selection and
training of the employee. The competent men should be recruited and given training to do
the job efficiency.

c) The development of hearty and friendly co-operate between the management and the
workmen at various levels of operation are other essential principles of scientific office
management.
d) Equitable division of the work and the responsibility between the management and the
employees. The management should work side by side with the employee in order to help,
encourage and guide the workers in doing the job.

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