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Annual Survey of Industries
ATTENTION ENTREPRENEURS
ASI 2007-08 already started from September 2008, submit your return within 30 days of the receipt of notice and avoid prosecution.
The Annual Survey of Industries (ASI) is an important survey of the Central Statistical Organisation (CSO), MOS&PI and NSSO (FOD) conducts its field work every year. It is a statutory survey conducted under the provisions of the Collection of Statistics Act, 1953, and rules [COS Act] framed there under in 1959. In respect of the State of Jammu & Kashmir, the survey is conducted under the provisions of J&K Collection of Statistics Act, 1961 (XXIII of 1961) and J&K Collection of Statistics Rules 1964.

The Deputy Director General, NSSO (FOD), New Delhi has been appointed as the Statistics Authority (SA) under Section 4 of the Act vide Govt. of India, Ministry of Statistics & PI Notification No: SO 923(E) dated 12th August 2004. The powers and functions of the SA are given in the COS Act. The SA is empowered by the act to collect and authorize officials to collect information from any industrial and commercial concern. The ASI provides data on various vital aspects of the registered manufacturing sector for use in the estimation of National Income, studies of industrial structure and policy formulation. It generates data on input, output, employment, wage bill, capital formation etc., on an annual basis.

The survey period of ASI extends from September to April every year with reference to the financial year. The gross allotment for ASI 2007-08 was 60794 units.  The survey is conducted in accordance with the methodology and the formats for data collection finalized   by the Standing Committee on Industrial Statistics (SCIS).  The Gross allotment for ASI 2007-08 was 60794 units; out of these gross allotment of 60794 units and net allotment of48535 units, a total number of 43037 units (88.7%) were actually surveyed. Presently, ASI 2008-09 is undergoing with a gross allotment of 58300 units.

State Level Coordination committee

In addition to the above standing committee on Industrial Statistics, the State coordination committee has also been constituted in different states for periodically reviewing the progress of ASI and other survey programmes besides taking measures to resolve operational problems. The main issues for discussion in SLCC are (I) Review of the progress on ASI (ii) Updating of ASI frame based on list of factories received from CIF, Labour Deptt. and such other agencies and cross checking the list of units maintained by agencies like Central Exercise Deptt.., Sales Tax Deptt.etc. (iii) Joint inspection of Central and State Officers (iv) efforts required to  obtain ASI returns from Public  Sector units ,State Electricity Boards, Road Transport Corporation etc.(v)Meeting with Chamber of Commerce and Industries and other associates and (vi) Measures for reducing non response cases and enhancing self compilation of returns. The SLCC also considers matters relating to other surveys like Socio-Economic Survey, Enterprise Survey, Surveys for price Collection, and ICS etc. Which Director E&S in the state is concerned

The National Statistical Commission also recommended the reconstitution of the State level Coordination Committee (SLCC) with Secretary, Department of Industry as the chairman and the Labour Commissioner, Chief Inspector of Factories, Director of Industries, etc as Member Secretary so as to encourage greater vigor and discipline in the task of revision of frames.

1.     Scope & Coverage

It covers

• All factories registered under section 2m(i) and 2m(ii) of The Factories Act, 1948

–2m(i) :those factories employing 10 or more workers and using power

–2m(ii):those factories employing 20 or more workers and not using power

•Establishments registered under the Beedi and Cigar workers (Conditions of Employment) Act, 1966

 •Certain activities like cold storage, water supply, gas production, motion picture production, laundry sevices, repair of motor vehicles and of other consumer durables.

 It does not cover

·                 ·       The departmental units such as Railway Workshops, Road Transport Corporation Workshops, Government Mint, Sanitary, water supply, Gas, Storage etc are out of the coverage being a part of the government establishment having generally no independent existence though these might be registered under Factories Act on account of the nature of their activities such as repairing/manufacturing/servicing industry. Moreover, the workers in these units are employees of the respective departments and the information is already being received by CSO (NAD) through the budgetary accounts/annual reports of the departments.

Also, the Defence factories, technical training institutions, jail factories, units engaged in storage and distribution of oil, restaurants, cafes and computer services are kept out of the survey.

2.     Sampling  Design ,Frame & Selection of Units

 

Sampling Design: - The sampling design adopted for ASI has undergone considerable changes from time to time, taking into account technical and other requirements. The technical Group on Revision of sampling design of ASI under the Chairmanship of Prof. Dr. Biswanath Goldar ,  Institute Of Economic Growth, New Delhi recommended a revised sampling design for use in ASI 97-98

 

.               The ASI adopted from the beginning a very simple design. All units with 50 or more workers operating with power, and units having 100 or more workers operating without power were covered under the census sector.  Also 12 States/UTs, namely, Himachal Pradesh, Jammu & Kashmir, Manipur, Meghalaya, Nagaland, Tripura and Pondicherry, A&N Islands, Chandigarh, Goa, Daman & Diu, D&N Haveli, which were industrially backward, were covered under the census sector to take complete stock of their manufacturing activities.  Even the sample sector which comprised of units employing less than 50/100 workers (operating with or without power) in the major States were covered fully over a span of two years.  This procedure continued till ASI 1986-87 by which time the total number of factories in the country grew enormously.  Accordingly, the definition of the census sector was changed from ASI 1987-88 to the units having 100 or more workers irrespective of their operation with or without power. All the units in the frame of 12 less industrially developed States/UTs were surveyed on complete enumeration basis.  The rest of the universe was covered on sampling basis through an efficient sampling design adopting State X 3 digit industry group as stratum so as to cover all the units in a span of three years.  This design continued till ASI 1996-97.

 

                Before launching of ASI 1997-98 due to constraints of resources in covering a large number of units in the survey and generating the results of the survey in time bound manner, a review of the earlier design was made and a revised design was adopted in ASI 1997-98.  The census sector was defined to include units having 200 or more workers and also some Significant Units were identified from the databases of ASI 1993-94 to ASI 1995-96, which although having less than 200 workers, contributed significantly to the Value of Output in these ASI years. The complete coverage of all Units in 12 less industrially developed States/UTs, namely, Goa, Himachal Pradesh, Jammu & Kashmir, Manipur, Meghalaya, Nagaland, Tripura, A&N Islands, Chandigarh UT, D&N Haveli, Daman & Diu and Pondicherry was continued. Also, all public sector undertakings (PSUs) were included in the census sector.  The rest of the universe was covered in the Sample Sector by the usual formula of determination of sample size at a given value of the precision of the estimates with at least 99 per cent chance.  This approach significantly reduced the sample size in ASI 1997-98 compared to that of ASI 1996-97 while maintaining a fair level of degree of precision for the estimates up to the State level. However, in 1997-98 a consensus decision has been taken so as not to attempt for the district level estimates. This design has been more or less continued till 2003-04 with the modification that the census sector was defined to include units having 100 or more workers instead of 200 or more workers and only 5 industrially backward States/UTs, namely, Manipur, Meghalaya, Nagaland, Tripura and A&N Islands were covered in census sector.  The public sector undertakings were also covered in the general scheme i.e. units having 100 or more workers in census sector and rest in sample sector.

 

A new sampling design has been adopted from ASI 2004-05 which continued till ASI 2006-07 is as under:

 

          i)          Units with 100 or more workers will be categorized as census sector and the rest of the units will be treated as sample sector, without any change in the existing criteria;

        ii)          In the sample sector, the units will be stratified at 4 digit level of NIC-04 in each State separately and 1/5th of the units in each strata will be selected circular systematically for coverage in each ASI subject to a minimum sample size of 6 units in each stratum;

      iii)          This design will ensure that the whole universe of units is covered in five years;

     iv)          The classification of the units in the frame into census and sample sectors should be done in the beginning of the 5-year cycle and it should not be disturbed during the course of the cycle;

       v)          At the end of the cycle when the data on the all the units in the frame become available the frame should be updated and then the composition of census and sample sector should be re-drafted;

     vi)          In respect of the new units getting registered each year of the last 4 years in the 5-year cycle, a supplementary frame has to be prepared for each year and units for coverage from this supplementary frame of each year may be selected using the same criteria as was applied to the main frame.

As per the decision taken by the Standing Committee on Industrial Statistics (SCIS), a new sampling design was adopted for ASI 2007-08. Accordingly, for ASI 2007-2008, the Census Sector has been defined as follows: 

a)    All industrial units belonging to the five less industrially developed states/ UT’s viz. Manipur, Meghalaya, Nagaland, Tripura and Andaman & Nicobar Islands.

b) For the rest of the twenty-six states/ UT’s., (i) units having 100 or more workers, and (ii) all factories covered under Joint Returns.

c) Strata (State by 4-digit of NIC-04) having less than or equal to six units after selecting the Census Sector units as defined above are also selected as census sector.

d)  From the remaining merged frame (main frame 2004-05 plus supplementary frame 2005-06 plus supplementary frame 2006-07 plus supplementary frame 2007-08), samples were drawn considering higher allocation for states having relatively higher percentage contribution in sample sector in terms of GVA based on last 2 (two) years’ available data. Accordingly, state wise census and sample sector contribution of GVA was calculated based on last two years’ available data along with the RSE of GVA estimates in sample sector based on data of ASI 2005-06. In general, sampling fraction of 12% was considered for all the states within a StateXSectorX4-digit NIC with a minimum of 6 units evenly distributed in two sub-samples, except (i) Jammu & Kashmir, Himachal Pradesh, Chandigarh, Madhya Pradesh, Daman & Diu, Dadra & Nagar Haveli, Goa with 20% sampling fraction, (ii) Delhi & Rajasthan with 13% sampling fraction, (iii) Bihar & Pondicherry with 15% sampling fraction due to relatively higher contribution of sample sector to the total GVA and higher RSE.

The coverage of ASI is finalized during May-June with reference to the previous accounting year. The primary source for preparation of frame (list of units) is the Chief Inspector of Factories (CIF) and the Labour Commissioner in each State/ UT. Availability of a reliable frame has critical implications on the efficiency of sampling design. FOD has been updating the frame. by including new units which have come up & removing units that have gone out of existence, based on the inputs received from the concerned CIF and the Labour Commissioner. Non existing or non- operational units are not considered for coverage in ASI.

 

The Frame for ASI has undergone considerable changes from time to time, taking into account the overall development of industrial sector. The Technical Group on Revision of Frame of ASI under the Chairmanship of Prof. Dr. Biswanath Goldar, Institute Of Economic Growth recommended a revised ASI Frame. Standing Committee on Industrial Statistics (SCIS) in its 13th meeting accepted the recommendations of the Technical Group and  the revised  Frame for 2004-05 to 2008-09  would be as under:

  • The classification of the units in the frame into census and sample sectors should be done in the beginning of the 5-year cycle i.e in ASI 2004-05 and it should not be disturbed during the course of the cycle.
  • At the end of the cycle (i.e. 2008-09) when the data on all the units in the frame become available the frame should be updated a fresh and then the composition of census and sample sector should be re-drafted.
  • Since this 5 year cycle was over the SCIS looked into the matter to review the selection procedure. Seeing the workload of the official in the field it was decided to restrict the gross allotment of 60,000.Accordingly new selection procedure was followed and 58300 units were selected during ASI 2008-09.
  • In respect of the new units getting registered each year of the last 4 years in the 5-year cycle, (i.e starting from 2005-06 to 2008-09) a supplementary frame has to be prepared for each year separately and units for coverage from the supplementary frame of each year may be selected using the same criteria as was applied to the main frame.  

After completing the updating exercise, the frame is sent to Central Statistical Organisation [CSO (IS Wing)] for selection of the units to be surveyed in accordance with the sampling design prescribed for that ASI. The list of selected units state-wise is then circulated to zonal offices of FOD which further circulate concerned lists to Regional offices of FOD.

The ASI frame for 2004-05 consisted of 197388 units registered under section 2m ( i ) and 2m ( ii )  of Factories Act, 1948. These units are divided into Operative and Non-Operative sets. The Operative units are taken up for survey in ASI. ASI frame 2007-08 comprises of ASI frame 2006-07 and units registered during 2007-08.

The following classification of unit is adopted:

        (A) Operative frame consists of the following categories of units

  • 1. “Open”: Refers to those units which are found working.
  • 2. “Closed”: Refers to those units which are in existence but found closed for the reference year.
  • 3. "Newly Added"Refers to units added during the last financial year (eg  financial year 2007-08 for ASI 2007-08) will form part of the operative frame

The frame from which selection of units for the survey is to be made

(B)    Non Operative frame consists of the following categories of units

“NOP”:  Non operative units : Refers to those units which are found to be closed for  3(ASIs)years.

     2    Deletion-   Refers to those units which were deleted from the frame

 

SAMPLING DESIGN FOR ASI  2008-09

 

As per the recommendation of 17th meeting of the standing committee on Industrial Statistics (SCIS) held on 14th July 2009 under the chairmanship of Prof. Bishwanath Goldar the Sampling Design for ASI 2008-09 has been  revised. The revised sampling design for ASI 2008-09 onward will be as follow:

 

  • i.                    Entire ASI frame would be divided into two sectors, namely, census and sample- after receiving the dynamically updated frame from NSSO, FOD based on latest available surveyed data.
  • ii.                  The census sector will be defined as follows:
    • ·          All the units of five less industrially developed states/ UT’s viz. Manipur,Meghalaya,Nagaland, Tripura and Andaman & Nichobar Islands.
    • ·         For the remaining states/UT’s,all factories under joint return and the units having 100 or more workers
    • ·         Strata ( state X NIC4-digit)  having less than or equal to four units

iii         The selection of sample from each stratum will then be done using a sampling

              fraction of Q%  subject to a minimum of four units in each stratum in the   

             form of  two independent sub-samples with half in each of the two sub-  

             samples.

iv         The sampling fraction Q will be determined in such a way that the total  

            number of units selected for the survey (census and sample  combined )

            should be around 60,000.

v          The sampling fraction (Q%) may vary from 16% to 20% over the years.

vi         The value of Q may further be changed for states/UT’s depending on the

             state wise and industry-wise RSE of GVA estimates which may be decided

             by CSO (IS wing) locally.

vii         It has been observed that for certain industries like rice milling ( NIC

              code:1531 ),  spinning and weaving ( NIC  code:1711 ) , brick ( NIC code :

              2693), stone cutting and shaping ( NIC code : 2696), the number of units in   

              the sample sector is very large, where as the units are more or less

              homogeneous so far as RSE of GVA  estimates are concerned . Hence

               further reduction in sampling fraction in these groups may be considered.

viii         The selection of sample within each stratum will be done circular within the  

              systematically after arranging the units within the stratum as per their

              worker size.

3.    Operational aspects

 

                The entire field work pertaining to Annual Survey of Industries is undertaken by the field Operations Division (FOD) of NSSO. The ASI fieldwork is to be done by the Superintending officers. While the headquarters of FOD is responsible for the overall planning and execution of field work, control and monitoring of the progress at all India level, the Deputy Director Generals of the six Zonal Offices co-ordinates and monitor the progress in their jurisdiction. Planning and execution of the field work in the jurisdiction of Regional Offices is the responsibility of the Regional Head. 

 

                There is an in-built system of providing training to all the Superintending officers in the technique of conducting ASI work. Zonal training centers set up at Jaipur, Lucknow, Nagpur, Banglore, Calcutta and Guwahati each headed by Deputy Director General are responsible for providing training on ASI. In these centers, special intensive courses of training on ASI are provided, in addition to other regular training programmes. This is apart from the training imparted to the Superintending officers in the sub-Regional and Regional Offices before entrusting them with the actual field work.

               Immediately on receipt of Blank Schedule for Part-I & Part –II along with relevant instructions, the work relating to issue of notices to census sector should be taken up on priority basis. The issue of notices to the units under sample sector should be taken up immediately thereafter. 

                ASI is a time bound survey. It is therefore extremely important to complete the entire fieldwork in the prescribed timeframe. For this purpose allotment be made to the available number of Superintending officers at Sub-regional offices/ notional sub-regional offices at Regional Headquarters. In allotting the ASI factories among the Superintending officers. It is to be ensured that the total workload per Superintending officers is as balanced and equitable as possible. This should be done after a proper assessment of size, location, geographical contiguity and the experience of the worker to the extent possible.

                Appropriate steps should be taken to ensure that the completion is spread over the period of the survey period , as evenly as possible, in order to avoid undue pressure in the later period and also to undertake other important activities such as scrutiny, dispatch etc. in an effective manner.

                 Inspection plays a very important role in reducing non-sampling errors. To have quality in ASI data, the field work needs to be inspected by officers at differentlevels. It will be desirable to pinpoint in the inspection note, the mistakes noticed and suggest remedial measures to avoid the recurrence of such errors in future.

                  Scrutiny of filled-in-returns is another important measure for maintaining quality of ASI data. All the errors or mistakes observed during the course of scrutiny in a month should be discussed in the monthly meeting for the benefit of all the field staff. All Regional Heads have to ensure that all schedules are thoroughly scrutinized before dispatch to tabulating Agencies. All the Regional Offices are required to send  top ten returns for super scrutiny to the Headquarter Office New Delhi. The next top 50 returns of each Regional Office will be scrutinized at the concerned Zonal Offices.

               The regional office should arrange to consolidate the findings of inspection, scrutiny and super scrutiny notes and send quarterly feedback reports toZones in first week of the succeeding month. The Zonal Office would consolidate the errors / mistakes detected through the process of scrutiny done at SRO’s/RO’s & ZO’s and circulate feedback report quarterly to all RO’s by for the use of staff engaged in ASI. Soft copy of the report may be sent to the Headquarters Office by 15th of the month following each quarter. The Headquarters will examine the reports and circulate important points to all the field offices.

 

  • 1.         Procedures & Provisions

 

           Notices are issued by the SA to individual concerns and the field staff authorized by the SA collects and/or verifies information from the concerns. The powers and duties of the persons engaged in ASI are as given under the COS Act. These include power to enter premises and obtain copy of any relevant document. They have to maintain secrecy and confidentiality as per the provisions of the Act.

Under the COS Act, the SA has the power to sanction prosecution of any defaulting unit under Sections 7 – 9 of the COS Act. SA may also sanction prosecution of anyone who has access to the information collected and misuses it in violation of any of the confidentiality and secrecy provisions under Section 10 of the Act.

          The SA has also authorized officials of NSSO (FOD) and the Directorate of Economics & Statistics (DES) in 9 States of Andhra Pradesh, Assam, Kerala, Rajasthan, Tamil Nadu, Uttar Pradesh, Uttaranchal, West Bengal, Maharashtra and Orissa to conduct ASI for the residual units (i.e., those units in the frame not covered by NSSO). The data collected through ASI is subject to verification at various levels through field inspections and scrutiny of returns in NSSO (FOD) and CSO (IS wing) and DES.

         The ASI return consists of two parts, viz., ASI Part- I (Download)& ASI Part-II(Download).Part – I mainly covers information on capital, employment, emoluments, input and output. Part - II mainly covers data on working days, man-days worked, absenteeism and labour turnover.

        ASI is a statutory survey and so the units/ entrepreneurs are to submit the return along with Balance Sheet within one month after the receipt of notice failing which penalty provisions are attracted.          

        After the receipt of the filled-in return, the field staff verifies the same, to check for any discrepancies. If the unit is unable to fill up the details as asked for, they may contact the concerned field office of NSSO (FOD) as mentioned in the Notice for guidance.  In case any discrepancies are observed in the filled-in return, the field staff of FOD makes a visit to the concerned unit to verify the return. The units are to extend all cooperation to the person visiting with the purpose of verifying the return.

        Information collected through ASI Part-I and ASI Part- II is then sent to the CSO and the Labour Bureau respectively for processing and publication of results. Central Statistical Organisation (CSO) brings out detailed reports after processing the data.  Labour Bureau also utilizes the information on labour and employment collected via this survey. The publications from Labour Bureau can be accessed at http://www.labourbureau.nic.in/ .

their use particularly in the context of preparing National income estimates.

             For deriving maximum advantage of the e-system there is a conscious effort to develop an integrated system by providing proper synergy between data collection, data transmission, data processing and data management and data dissemination activities .To enable this it is important to develop integrated data processing and  data management system having adequate compatibility with the e-schedule  to ensure such data could be directly exported or transferred into the central ASI  database at CSO , IS wing. FOD has taken up the matter with CSO, IS wing to review the entire process for taking appropriate action to modify the existing database system.

6.Details of the records maintained in NSSO (FOD) is given below.

 Description

Form in which maintained

Retention Period

Whether available to public

Office where maintained

ASI Frame

Soft

5 years

Yes

FOD Hqrs (in respect of All India Level Frame)

 Zonal Office (in respect of the states under its jurisdiction)

 State Capital Regional offices (in respect of State Level Frame)

 Other Regional offices (in respect of districts under their jurisdiction)

Development  made with E-schedule

 

 

            It has been decided to compile e-schedule for top 1000 units in the ASI 2008-09. Meanwhile the process of manual returns should continue simultaneously until the e-system is stabilized and gets ready to replace the manual system. E-schedule in respect of these 1000 top units should also be sent to NAD to facilitate them in examining the scope for using such data for their use particularly in the context of preparing National income estimates.

             For deriving maximum advantage of the e-system there is a conscious effort to develop an integrated system by providing proper synergy between data collection, data transmission, data processing and data management and data dissemination activities .To enable this it is important to develop integrated data processing and  data management system having adequate compatibility with the e-schedule  to ensure such data could be directly exported or transferred into the central ASI  database at CSO , IS wing. FOD has taken up the matter with CSO, IS wing to review the entire process for taking appropriate action to modify the existing database system.

7.Details of the records maintained in NSSO (FOD) is given below.

 Description

Form in which maintained

Retention Period

Whether available to public

Office where maintained

ASI Frame

Soft

5 years

Yes

FOD Hqrs (in respect of All India Level Frame)

 Zonal Office (in respect of the states under its jurisdiction)

 State Capital Regional offices (in respect of State Level Frame)

 Other Regional offices (in respect of districts under their jurisdiction)

ASI Select list

Soft

1 year

Yes

FOD Hqrs (in respect of All India Level )

 Zonal Office (in respect of the states under its jurisdiction)

 State Capital Regional offices (in respect of State Level)

 Other Regional offices (in respect of districts under their jurisdiction)

Office copies of ASI returns

Hard

3 years

No

Regional offices and sub regional offices in respect of districts under their jurisdiction

PROSECUTION

The Annual Survey of Industries being statutory and the factory owners are obliged to submit the ASI returns, it is essential that legal action should be initiated in respect of the units who don’t submit the ASI return by the target date. For this purpose, the list of the defaulting units should be sent to the Division immediately after the survey is over. The specimen show cause notice should be filled in separately for each defaulting units and sent along with the list for signature by Deputy Director General and Statistics Authority.

  • I.                    When the prosecution proceeding are to be initiated the following guidelines shall be strictly followed.

(i)     The show cause notice shall be sent by Registered Post with AD and office copy

Shall be kept in files with ROs/SROs.

  • (ii)           It shall be correctly addressed to Owner/ Proprietor/Occupier.
  • (iii)         Every care shall be taken for filling the correct dates of issue of notice, due date for receipt of Return as per notice etc
  • (iv)         In the show-cause notice, due date shall be taken as the date on 30th day after the date of receipt of the notice by the factory.
  • (v)           In case any show-cause notice is returned undelivered to the sender, attempt shall be made to re-serve the notice to the correct address and correct owner. The Chief Inspector of Factories or appropriate Licensing Authority may be contacted for correct name of owner & address etc. wherever necessary.
  • (vi)         In case of non- receipt of acknowledgment of registered post , the matter shall be referred to concerned post Master immediately and duplicate receipt/certificate of delivery of notice/reminder/show-cause notice, as the case may be, needs to be obtained. This is very much required for the sanction of prosecution.
  • (vii)       For each and every unit to whom show-cause notice is issued, a separate file shall be opened which will be needed at FOD Hqrs for sanction of prosecution order etc. It shall be ensured that all the papers including acknowledgement receipts of original and show-cause notice are available in each file.
  • (viii)     If neither the ASI  return nor any reply for extension of time is received by the concerned SRO/ NSRO after the due date mentioned in the show-cause notice, the case file together with complete documents shall be sent immediately to FOD Hqrs, New Delhi for further legal proceedings to be started by RO.
  • (ix)         Before sending these files to FOD (Hqrs) , the particulars of the factory proposed for prosecution may be furnished in the prescribed proforma and examine each case thoroughly & shall ensure that all the relevant papers are available in each file including acknowledgement receipt of original notice and show-cause notice.
  • (x)           Cases of closed/ non-existent units need through examination before issuing of show-cause notice/ sending the proposal for prosecution to FOD (Hqrs).

A monthly statement on issue of show-cause notice giving details of factories SRO/NSRO-wise for the region as a whole in the prescribed format shall be prepared and send to FOD (Hqrs) every month.

Follow up action after sanctioning the prosecution:

 After sanctioning the prosecution, the Statistical Authority requests the State Legal Remembrance to appoint a public prosecutor to file and plead the case on behalf of the government and send copies of the orders to him and to Regional Head. The following steps should immediately be taken by the RO head.

(i)       Get the appointment of the counsel expedited through the legal Remembrance

                              of the State and inform the position to FOD(Hqrs).

  • (ii)           Contact the counsel immediately on his appointment, and brief him on the case.
  • (iii)         To report FOD (Hqrs) on the filing of case in the court and send regular periodical monthly/quarterly reports depending on the hearing in the case, in the court, till the case is decided.
  • (iv)         It should be ensured that on each day of hearing, FOD representative attends the court without fail along with the counsel and inform Headquarter of day to day proceedings.
  • (v)           To inform the FOD (Hqrs) about the judgment of the court, immediately after it is delivered, amount of penalty awarded along with a copy of the judgment.
  • (vi)         A register should be maintained to record various stages of prosecution of the factory, like date of submission of prosecution proposal to S.A. , date of issue of show-cause notice, date of receipt of sanction of prosecutions by S.A., efforts made to file the case, date of actual filing the case, name of court, name and address of the counsel, dates of hearing, name of FOD representative attending the court, resume of proceeding of the case in the court date wise, date of judgment,penality awarded, date of receipt of bill from counsel with amount of bill, date of submission of the Bill to S.A. and date of payment to the counsel.

As regards the payment of fees to the Government Counsel, it may be noted that this will be sanctioned by the Headquarters in accordance with the prevalent State Rules in this regard.

In case where the court rejects the case against the Government, intimation about this should first be given to SA and seek his advice as to be filed in the upper court.

PROSECUTION

The Annual Survey of Industries being statutory and the factory owners are obliged to submit the ASI returns, it is essential that legal action should be initiated in respect of the units who don’t submit the ASI return by the target date. For this purpose, the list of the defaulting units should be sent to the Division immediately after the survey is over. The specimen show cause notice should be filled in separately for each defaulting units and sent along with the list for signature by Deputy Director General and Statistics Authority.

  • II.                  When the prosecution proceeding are to be initiated the following guidelines shall be strictly followed.

(i)     The show cause notice shall be sent by Registered Post with AD and office copy

Shall be kept in files with ROs/SROs.

  • (xi)         It shall be correctly addressed to Owner/ Proprietor/Occupier.
  • (xii)       Every care shall be taken for filling the correct dates of issue of notice, due date for receipt of Return as per notice etc
  • (xiii)     In the show-cause notice, due date shall be taken as the date on 30th day after the date of receipt of the notice by the factory.
  • (xiv)      In case any show-cause notice is returned undelivered to the sender, attempt shall be made to re-serve the notice to the correct address and correct owner. The Chief Inspector of Factories or appropriate Licensing Authority may be contacted for correct name of owner & address etc. wherever necessary.
  • (xv)        In case of non- receipt of acknowledgment of registered post , the matter shall be referred to concerned post Master immediately and duplicate receipt/certificate of delivery of notice/reminder/show-cause notice, as the case may be, needs to be obtained. This is very much required for the sanction of prosecution.
  • (xvi)      For each and every unit to whom show-cause notice is issued, a separate file shall be opened which will be needed at FOD Hqrs for sanction of prosecution order etc. It shall be ensured that all the papers including acknowledgement receipts of original and show-cause notice are available in each file.
  • (xvii)    If neither the ASI  return nor any reply for extension of time is received by the concerned SRO/ NSRO after the due date mentioned in the show-cause notice, the case file together with complete documents shall be sent immediately to FOD Hqrs, New Delhi for further legal proceedings to be started by RO.
  • (xviii)  Before sending these files to FOD (Hqrs) , the particulars of the factory proposed for prosecution may be furnished in the prescribed proforma and examine each case thoroughly & shall ensure that all the relevant papers are available in each file including acknowledgement receipt of original notice and show-cause notice.
  • (xix)      Cases of closed/ non-existent units need through examination before issuing of show-cause notice/ sending the proposal for prosecution to FOD (Hqrs).

A monthly statement on issue of show-cause notice giving details of factories SRO/NSRO-wise for the region as a whole in the prescribed format shall be prepared and send to FOD (Hqrs) every month.

Follow up action after sanctioning the prosecution:

 After sanctioning the prosecution, the Statistical Authority requests the State Legal Remembrance to appoint a public prosecutor to file and plead the case on behalf of the government and send copies of the orders to him and to Regional Head. The following steps should immediately be taken by the RO head.

(i)       Get the appointment of the counsel expedited through the legal Remembrance

                              of the State and inform the position to FOD(Hqrs).

  • (vii)       Contact the counsel immediately on his appointment, and brief him on the case.
  • (viii)     To report FOD (Hqrs) on the filing of case in the court and send regular periodical monthly/quarterly reports depending on the hearing in the case, in the court, till the case is decided.
  • (ix)         It should be ensured that on each day of hearing, FOD representative attends the court without fail along with the counsel and inform Headquarter of day to day proceedings.
  • (x)           To inform the FOD (Hqrs) about the judgment of the court, immediately after it is delivered, amount of penalty awarded along with a copy of the judgment.
  • (xi)         A register should be maintained to record various stages of prosecution of the factory, like date of submission of prosecution proposal to S.A. , date of issue of show-cause notice, date of receipt of sanction of prosecutions by S.A., efforts made to file the case, date of actual filing the case, name of court, name and address of the counsel, dates of hearing, name of FOD representative attending the court, resume of proceeding of the case in the court date wise, date of judgment,penality awarded, date of receipt of bill from counsel with amount of bill, date of submission of the Bill to S.A. and date of payment to the counsel.

As regards the payment of fees to the Government Counsel, it may be noted that this will be sanctioned by the Headquarters in accordance with the prevalent State Rules in this regard.

In case where the court rejects the case against the Government, intimation about this should first be given to SA and seek his advice as to be filed in the upper court.