Statutory Compliance Audit Checklist
A complete checklist to ensure your business stays compliant with all applicable labour laws and statutory requirements.
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Statutory Compliance Audit Checklist
Organized by compliance category with key requirements and periodicity.
Contract
Labour License
(Applicable if number of employees on or above statutory limit)
Total number of employees
-Whether Contract Labour License obtained
YearlyWhether Form VII – Notice of Commencement/Completion of Work submitted (If "Yes" – Dated)
One Time
One Time
Registration
Documents
To be obtained before onboarding vendor
Whether registered under S&E
One TimeWhether registered under EPF
One TimeWhether registered / Sub code under ESIC
One TimeWhether registered under respective State Professional Tax Act
One TimeWhether registered under Labour Welfare Fund Act
One Time
Statutory Registers /
Records to be
maintained at site
Form A – Register of Employment (Workmen)
MonthlyForm B – Register of Wages
MonthlyForm C – Register of Loan / Recoveries (Deduction, damage loss, Fine, Advance)
MonthlyMuster Roll cum Wages Register
MonthlyForm XII – Employment Card issued
MonthlyForm VII – Service Certificate issued to left employees
MonthlyForm XIX – Wage Slip issued
MonthlyRegister of leave with wages
MonthlyRegister of Weekly Off
MonthlyContractor to provide rest room, canteen/latrine/urinals/washing/first aid facilities to workers
MonthlyContractor has provide creches facilities to female workers (Sec. 25)
MonthlySalary register for audit certified by Principal employer u/s 73
MonthlyAbstract of the Act displayed on notice board (Rule 79)
One TimeForm A – Muster Roll maintained
MonthlyForm B maintained (if women employees are employed)
MonthlyRegister of Fines and Deductions for Damages or Loss
MonthlyRegister of Over Time
MonthlyMuster Roll
MonthlyWage Slip issued
MonthlyRegister of Wages
MonthlyRegister of Employees
MonthlyDouble rate of wages paid to employees
MonthlyForm 01 – Employer's Registration Form (Temp Card) issued
MonthlyForm 11 – Accident Register maintained
MonthlyCopy of Remittance Challan submitted
MonthlyForm 2 – Declaration & Nomination obtained from employees
MonthlyCopy of Monthly Contribution Remittance Challan submitted
MonthlyPF ECR Statement submitted
MonthlyDeclaration in Form 11 obtained
MonthlyStatement showing PF & ESIC contributions
MonthlyCopy of Monthly / Quarterly Challan submitted
MonthlyAnnual Return in Form C submitted within 30th Dec
YearlyWhether statutory leave SL/CL/PL extended to employees
Monthly
Periodical Statutory
Returns / Remittance
to be made
Annual Return for CLCA Acts within 30 days of closure of year
YearlyRemittance / return submitted within time frame online
YearlyRemittance / return submitted within time frame (if applicable)
YearlyRemittance / return submitted within time frame
YearlyAnnual Return in Form D submitted by 30th Dec
YearlyAnnual Return in Form III submitted
YearlyAnnual Return in Form IV submitted
YearlyAnnual Return in Form K, L & M submitted by 30th January
Yearly
Display to be made
at the Work Site
Display notice showing rate of wages, hours of work, wages period, date of payment of wages, name and address of the Inspector, and date of payment of unpaid wages in English and Hindi and local language, understood by majority of workers, at establishment and worksite by principal employer / contractor (u/s 81(1)(i))
One Time
Obligations of
the Vendor
Minimum wages paid as per current Govt. notification
MonthlyWages data, records not provided
MonthlySalaries paid on or before 7th / 10th of every month
MonthlyContribution deducted and remitted by 15th of every month
MonthlyIP number / Insurance card issued within 30 days of joining
MonthlyContribution deducted and remitted by 15th of every month
MonthlyAll employees are above 18 years of age
MonthlyEmployees not covered under ESIC Act are covered under Employee Compensation policy
MonthlyDisplay abstract under CLRA / MWA / PWA / MBA / PGA / POSH / CL / License copy
Monthly