MASTER IN SOCIAL WORK

THE TRADE UNIONS ACT 1926

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THE TRADE UNIONS’ ACT, 1926
I OBJECT: To provide for the registration of trade unions and to define law relating to
registered trade unions.
II APPLICABILITY: It extends to the whole of India.
III TRADE UNIONS: means any combination whether temporary or permanent formed
primarly for the purpose of regulating the relations between workmen and employers for
imposing restrictive conditions on the conduct of any trade or business, and includes any
federation of two or more trade unions.
IV MODE OF REGISTRATION: Any seven or more members of a trade union may apply
for registration of a trade union in Form - A to the Registrar appointed for the area. The
application shall be accompanied by Schedule I, Schedule II and a byelaw and a resolution
authorising seven ordinary members of the union to make an application for registration of
the union, and a treasury chalan of Rs.100/- remitted as registration fee. (Section 4 and 5
read with Regulation: 3 & 5)
V REGISTRATION CERTIFICATE: On receipt of the application for registration, the Registrar,
after making reasonable enquiry issue a Registration Certificate in Form - B (Section 8 &
read with Regulation 6)
VI CANCELLATION OF REGISTRATION :
A certificate of Registration may be withdrawn or cancelled by the Registrar:
1. On an application of a Trade Union in Form-D, or
2. If the Registrar is satisfied that the certificate is obtained by fraud of mistake or that the
trade union had ceased to exist or willfully and after notice from the Registrar contravent
any provisions of the Act or rules etc. (Section 10 read with Regulations 8 to 12)
VII APPEAL : Any person aggrieved by any order of the Registrar may apeal within two months
to the Civil Court not inferior to the court of an Additional or Assistant Principal Civil Court.
(Section 11 read with Regulation 13)
VIII CHANGE OF NAME : Any registered trade union may with the consent of not less that
2/3 of its total members may make application in Form-H, for the change of its name
(Section - 23 read with Regulation - 16)
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XI ANNUAL RETURNS: Every trade union shall send annual returns to the Registrar in triplicate
on or before the 1st day of May of the year succeeding the calendar year in Form-L in the case
of individual trade unions and in Form-LL in the case of federation of trade unions (Section 28
read with Regulation 21)
XII PENALTIES: Offences punishable for the failure to submit returns may extend to Rs.5/- and in
the case of continuing default with an additional fine which may extend to Rs.5/- for each week
and shall not exceed Rs.50.00. Any person who wilfully makes, or causes to be made any false
entry or any omission from the general statement required by Section 28 etc. shall be punishable
which may extend to Rs.500/-. Registered trade unions, furnishing false informations, shall be
punishable with fine which may extend to Rs.200/- (Section 31)
XIII WHO CAN FILE PROSECUTIONS:
1. Registrar
2. Persons with the previous sanction of the Registrar.
3. Aggreived person under Section 32.
The complaint shall be filed within six months of the date on which the offence is alleged to
have been committed.
No court inferior to that of a Presidency Magistrate or a Magistrate of First Class shall try
any offence under the Act.
XIV AUTHORITIES UNDER THE ACT:
1. Registrar of Trade Unions (under Section - 3)
Labour Commissioner
2. Additional Registrar of Trade Unions
Additional Labour Commissioner (IR & E)
3. Deputy Registrar of Trade Unions
Joint Labour Commissioner (P)
(Regulations wherever specified means The Kerala Trade Unions’ Regulations)
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IX AMALGAMATION OF TRADE UNIONS: Any two or more registered trade unions may
become amalgamated together as one trade union provided the votes of at least one half of the
members of each or every such trade union entitled to vote and at least 60% of the votes re
corded are in favour of the proposal. Notice of the amalgamation shall be sent to the Registrar in
duplicate in Form-J (Section 24 to 26 read with Regulation 18)
X DISSOLUTION: When a registered trade union is dissolved the notice of dissolution shall be
sent to the Registrar in Form - K, within 14 days of the dissolution along with the registration
certificate (Section 27 read with Regulation 19)

Factories Act 1948

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THE FACTORIES ACT, 1948
ACT NO. 63 OF 1948 1*
[23rd September, 1948.]
An Act to consolidate and amend the law regulating labour in
factories.
WHEREAS it is expedient to consolidate and amend the law
regulating labour in factories;
It is hereby enacted as follows:-
CHAPTER I
PRELIMINARY
1.
Short title, extent and commencement.
1. Short title, extent and commencement. (1) This Act may be
called the Factories Act, 1948.
2*[(2) It extends to the whole of India 3***.]
(3) It shall come into force on the 1st day of April, 1949.
2.
Interpretation.
2. Interpretation. In this Act, unless there is anything
repugnant in the subject or context,-
(a) "adult" means a person who has completed his fifteenth
year of age;
(b) "adolescent" means a person who has completed his
fifteen year of age but has not completed his
eighteenth year;
4*[(bb) "calendar year" means the period of twelve months
beginning with the first day of January in any year;]
(c) "child" means a person who has not completed his
fifteenth year of age;
5*[(ca)] "competent person", in relation to any provision of
this Act, means a person or an institution recognised
as such by the Chief Inspector for the purposes of
carrying out tests, examinations and inspections
required to be done in a factory under the provisions
of this Act having regard to-
(i) the qualifications and experience of the
person and facilities available at his disposal;
or
(ii) the qualifications and experience of the
persons employed in such institution and
facilities available therein,
With regard to the conduct of such tests, examinations and
2
inspections, and more than one person or institution can be
recognised as a competent person in relation to a factory;
(cb) "hazardous process" means any process or activity in
relation to an industry specified in the First Schedule
where, unless special care is taken, raw materials used
therein or the intermediate or finished products, byeproducts,
wastes or effluents thereof would--
(i) cause material impairment to the health
of the persons engaged in or connected therewith,
or
(ii) result in the pollution of the general
environment:
Provided that the State Government may, by notification
in the Official Gazette, amend the First Schedule by way of
addition, omission or variation of any industry specified in
the said Schedule;]
(d) "young person" means a person who is either a child or
an adolescent;
----------------------------------------------------------------------
1. The Act has been extended to-
Dadra and Nagar Haveli by Reg. 6 of 1963, s. 2 and Sch. I.
Pondicherry by Reg. 7 of 1963, s. 3 and Sch. I.
Goa, Daman and Diu by Reg, 11 of 1963, s. 3 and Sch.
Laccadive, Minicoy and Amindivi Islands by Reg. 8 of 1965,
s. 3 and Sch. I.
2. Subs. by the A. O. 1950 for the former sub-section.
3. The words "except the State of Jammu and Kashmir" omitted by Act
51 of 1970, s. 2 and Sch. (w.e.f. 1-9-1971).
4. Ins. by Act 25 of 1954, s. 2.
5. Ins. by Act 20 of 1987, s. 2 (w.e.f. 1.12.1987).
34
(e) "day" means a period of twenty-four hours beginning at
midnight;
(f) "week" means a period of seven days beginning at
midnight on Saturday night or such other night as may
be approved in writing for a particular area by the
Chief Inspector of Factories;
(g) "power" means electrical energy, or any other form of
energy which is mechanically transmitted and is not
generated by human or animal agency;
(h) "prime mover" means any engine, motor or other
appliance which generates or otherwise provides power;
(i) "transmission machinery" means any shaft, wheel, drum,
pulley, system of pulleys, coupling, clutch, driving
belt or other appliance or device by which the motion
of a prime mover is transmitted to or received by any
machinery or appliance;
(j) "machinery" includes prime movers, transmission
machinery and all other appliances whereby power is
generated, transformed, transmitted or applied;
(k) "manufacturing process" means any process for-
(i) making, altering, repairing, ornamenting,
finishing, packing, oiling, washing, cleaning,
breaking up, demolishing, or otherwise treating or
adapting any article or substance with a view to
its use sale, transport, delivery or disposal, or
1*[(ii) pumping oil, water, sewage or any
3
other substance; or]
(iii) generating, transforming or
transmitting power; or
2*[(iv) composing types for printing,
printing by letter press, lithography,
photogravure or other similar process or book
binding;] 3*[or]
(v) constructing, reconstructing, repairing,
refitting, finishing or breaking up ships or
vessels; 3*[or]
----------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 2, for sub-clause (ii) of clause (k)
(w.e.f. 26-10-1976).
2. Subs. by Act 25 of 1954, s. 2, for former sub-clause.
3. Ins. by Act 94 of 1976, s. 2 (w.e.f. 26-10-1976).
35
1*[(vi) preserving or storing any article in
cold storage;]
(l) "worker" means a person 2*[employed, directly or by or
through any agency (including a contractor) with or
without the knowledge of the principal employer,
whether for remuneration or not], in any manufacturing
process, or in cleaning any part of the machinery or
premises used for a manufacturing process, or in any
other kind of work incidental to, or connected with,
the manufacturing process, or the subject of the
manufacturing process 1*[but does not include any
member of the armed forces of the Union];
(m) "factory" means any premises including the precincts
thereof-
(i) whereon ten or more workers are working,
or were working on any day of the preceding twelve
months, and in any part of which a manufacturing
process is being carried on with the aid of power,
or is ordinarily so carried on, or
(ii) whereon twenty or more workers are
working, or were working on any day of the
preceding twelve months, and in any part of which
a manufacturing process is being carried on
without the aid of power, or is ordinarily so
carried on,-
but does not include a mine subject to the operation of
3*[the Mines Act, 1952 (35 of 1952),] or 4*[a mobile
unit belonging to the armed forces of the Union, a
railway running shed or a hotel, restaurant or eating
place].
5*[Explanation. 6*[I]--For computing the number of
workers for the purposes of this clause all the workers
in 6*[different groups and relays] in a day shall be
taken into account;]
6*[Explanation. II.--For the purposes of this clause,
the mere fact that an Electronic Data Processing Unit
or a Computer Unit is installed in any premises or part
thereof, shall not be construed to make it a factory f
no manufacturing process is being carried on in such
premises or part thereof;]
(n) "occupier" of a factory means the person who has
ultimate control over the affairs of the factory 6***.
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 2 (w.e.f. 26-10-1976).
4
2. Subs. by s. 2, ibid., for certain words (w.e.f. 26-10-1976).
3. Subs. by Act 25 of 1954, s. 2, for "the Indian Mines Act, 1923 (4
of 1923)".
4. Subs. by Act 94 of 1976, s. 2, for the words "a railway running
shed: (w.e.f. 26-10-1976).
5. Ins. by s, 2, ibid. (w.e.f. 26-10-1976).
6. Numbered, subs, ins. and omitted by Act, 20 of 1987, s. 2 (w.e.f.
1-12-1987).
36
1*[Provided that-
(i) in the case of a firm or other association of
individuals, any one of the individual partners or
members thereof shall be deemed to be the occupier;
(ii) in the case of a company, any one of the
directors shall be deemed to be the occupier;
(iii) in the case of a factory owned or controlled
by the Central Government or any State Government, or
any local authority, the person or persons appointed to
manage the affairs of the factory by the Central
Government, the State Government or the local
authority, as the case may be, shall be deemed to be
the occupier:];
1*[Provided further that in the case of a ship which is
being repaired, or on which maintenance work is being
carried out, in a dry dock which is available for
hire,-
(1) the owner of the dock shall be deemed to be
the occupier for the purposes of any matter provided
for by or under-
(a) section 6, section 7, 1*[section 7A,
section 7B] section 11 or section 12;
(b) section 17, in so far as it relates to
the providing and maintenance of sufficient and
suitable lighting in or around the dock;
(c) section 18, section 19, section 42,
section 46, section 47 or section 49, in relation
to the workers employed on such repair or
maintenance;
(2) the owner of the ship or his agent or master
or other officer-in-charge of the ship or any person
who contracts with such owner, agent or master or other
officer-in-charge to carry out the repair or
maintenance work shall be deemed to be the occupier for
the purposes of any matter provided for by or under
section 13, section 14, section 16 or section 17 (save
as otherwise provided in this proviso) or Chapter IV
(except section 27) or section 43, section 44 or
section 45, Chapter VI, Chapter VII, Chapter VIII or
Chapter IX or section 108, section 109 or section 110,
in relation to-
(a) the workers employed directly by him, or
by or through any agency; and
(b) the machinery, plant or premises in use
for the purpose of carrying out such repair or
maintenance work by such owner, agent, master or
other officer-in-charge or person;]
1* * * * *
----------------------------------------------------------------------
1 Ins. subs, and omitted by Act 20 of 1987, s. 2 (w.e.f. 1-12-87).
5
37
(p) "prescribed" means prescribed by rules made by the
State Government under this Act;
1* * * * *
(r) where work of the same kind is carried out by two or
more sets of workers working during different periods
of the day, each of such sets is called a 2*["group"
or
"relay"] and each of such periods is called a "shift".
3.
References to time of day.
3. References to time of day. In this Act references to time of
day are references to Indian Standard Time, being five and a half
hours ahead of Greenwich Mean Time:
Provided that for any area in which Indian Standard Time is not
ordinarily observed the State Government may make rules-
(a) specifying the area,
(b) defining the local mean time ordinarily observed
therein, and
(c) permitting such time to be observed in all or any of
the factories situated in the area.
4.
Power to declare different departments to be separate factories or
twoor more
factories to be a single factory.
3*[4. Power to declare different departments to be separate
factories or two or more factories to be a single factory. The State
Government may, 4*[on its own or] on an application made in this
behalf by an occupier, direct, by an order in writing; 4*[and subject
to such conditions as it may deem fit] that for all or any of the
purposes of this Act different departments or branches of a factory of
the occupier specified in the application shall be treated as separate
factories or that two or more factories of the occupier specified in
the application shall be treated as a single factory:]
4*[Provided that no order under this section shall be made by the
State Government on its own motion unless on opportunity of being
heard is given to the occupier.]
5.
Power to exempt during public emergency.
5. Power to exempt during public emergency. In any case of public
emergency the State Government may, by notification in the Official
Gazette, exempt any factory or class or description of factories from
all or any of the provisions of this Act, 5*[except section 67] for
such period and subject to such conditions as it may think fit:
Provided that no such notification shall be made for a period
exceeding three months at a time.
----------------------------------------------------------------------
1. Clause (q) rep. by the A. O. 1950.
2. Subs, by Act 20 of 1987, s. 2 (w.e.f. 1-12-1987).
6
3. Subs. by Act 25 of 1954, s. 3.
4. Ins. in added by Act 20 of 1987 s. 3 (w.e.f. 1-12-1987).
5. Ins. by the A. O. 1950.
38
1*[Explanation.--For the purposes of this section "public
emergency" means a grave emergency whereby the security of India or of
any part of the territory thereof is threatened, whether by war or
external aggression of internal disturbance.]
6.
Approval, licensing and registration of factories.
6. Approval, licensing and registration of factories. (1) The
State Government may make rules-
2*[(a) requiring, for the purposes of this Act, the
submission of plans of any class or description of
factories to the Chief Inspector or the State
Government;]
3*[(aa)] requiring the previous permission in writing of the
State Government or the Chief Inspector to be obtained
for the site on which the factory is to be situated and
for the construction or extension of any factory or
class or description of factories;
(b) requiring for the purpose of considering application
for such permission the submission of plans and
specifications;
(c) prescribing the nature of such plans and specifications
and by whom they shall be certified;
(d) requiring the registration and licensing of factories
or any class or description of factories, and
prescribing the fees payable for such registration and
licensing and for the renewal of licences;
(e) requiring that no licence shall be granted or renewed
unless the notice specified in section 7 has been
given.
(2) If on an application for permission referred to in 4*[clause
(aa)] of sub-section (1) accompanied by the plans and specifications
required by the rules made under clause (b) of that sub-section, sent
to the State Government or Chief Inspector by registered post, no
order is communicated to the applicant within three months from the
date on which it is so sent, the permission applied for in the said
application shall be deemed to have been granted.
(3) Where a State Government or a Chief Inspector refuses to
grant permission to the site, construction or extension of a factory
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 3 (w.e.f. 26-10-1976).
2. Ins. by s. 4, ibid. (w.e.f. 26-10-1976).
3. Clause (a) re-lettered as clause (aa) by s. 4, ibid. (w.e.f. 26-
10-1976).
4. Subs. by s. 4, ibid., "clause (a)" (w.e.f. 26-10-1976).
39
or to the registration and licensing of a factory, the applicant may
within thirty days of the date of such refusal appeal to the Central
Government if the decision appealed from was of the State Government
and to the State Government in any other case.
Explanation.--A factory shall not be deemed to be extended within
the meaning of this section by reason only of the replacement of any
7
plant or machinery, or within such limits as may be prescribed, of the
addition of any plant or machinery 1*[if such replacement or addition
does not reduce the minimum clear space required for safe working
around the plant or machinery or adversely affect the environmental
conditions from the evolution or emission of steam, heat or dust or
fumes injurious to health].
7.
Notice by occupier.
7. Notice by occupier. (1) The occupier shall, at least fifteen
days before he begins to occupy or use any premises as a factory, sent
to the Chief Inspector a written notice containing-
(a) the name and situation of the factory;
(b) the name and address of the occupier;
2*[(bb) the name and address of the owner of the premises or
building (including the precincts thereof) referred to
in section 93;]
(c) the address to which communications relating to the
factory may be sent;
(d) the nature of the manufacturing process-
(i) carried on in the factory during the last
twelve months in the case of factories in
existence on the date of the commencement of this
Act, and
(ii) to be carried on in the factory during
the next twelve months in the case of all
factories;
3*[(e) the total rated horse power installed or to be
installed in the factory, which shall not include the
rated horse power of any separate stand-by plant;]
(f) the name of the manage of the factory of the purposes
of this Act;
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 4 (w.e.f. 26-10-1976).
2. Ins. by Act 25 of 1954, s. 4
3. Subs. by Act 94 of 1976, s. 5, for clause (e) (w.e.f. 26-10-
1976).
40
(g) the number of workers likely to be employed in the
factory;
(h) the average number of workers per day employed during
the last twelve months in the case of factory in
existence on the date of the commencement of this Act.
(i) such other particulars as may be prescribed.
(2) In respect of all establishments which come within the scope
of the Act for the first time, the occupier shall send a written
notice to the Chief Inspector containing the particulars specified in
subsection (1) within thirty days, from the date of the commencement
of this Act.
(3) Before a factory engaged in a manufacturing process which is
ordinarily carried on for less than one hundred and eighty working
days in the year resumes working, the occupier shall send a written
notice to the Chief Inspector containing the particulars specified in
sub-section (1) 1*[at least thirty days] before the date of the
8
commencement of work.
(4) Whenever a new manager is appointed, the occupier shall send
to the 2*[Inspector a written notice and to the Chief Inspector a Copy
thereof] within seven days from the date on which such person takes
over charges.
(5) During any period for which no person has been designated as
manager of a factory or during which the person designated does not
manage the factory, any person found acting as manage, or if no such
person is found, the occupier himself, shall be deemed to be the
manager of the factory for the purposes of this Act.
CHAP
THE INSPECTING STAFF
CHAPTER II
THE INSPECTING STAFF
7A.
General duties of the occupier.
3*[7A. General duties of the occupier. (1) Every occupier shall
ensure, so far as is reasonably practicable, the health, safety and
welfare of all workers while they are at work in the factory.
(2) Without prejudice to the generality of the provisions of subsection
(1), the matters to which such duty extends, shall include-
(a) the provision and maintenance of plant and systems of
work in the factory that are safe and without risks to
health;
(b) the arrangements in the factory for ensuring safety and
absence of risks to health in connection with the use,
handling, storage and transport of articles and
substances;
(c) the provision of such information, instruction,
training and supervision as are necessary to ensure the
health and safety of all workers at work;
(d) the maintenance of all places of work in the factory in
a condition that is safe without risks to health and
the provision and maintenance of such means of access
to, and egress from, such places as are safe and
without such risks;
(e) the provision, maintenance or monitoring of such
working environment in the factory for the workers that
is safe, without risks to health and adequate as
regards facilities and arrangements for their welfare
at work.
(3) Except in such cases as may be prescribed, every occupier
shall prepare, and, as often as may be appropriate, revise, a written
statement of his general policy with respect to the health and safety
of the workers at work and the organisation and arrangements for the
time being in force for carrying out that policy, and to bring the
statement and any revision thereof to the notice of all the workers in
such manner as may be prescribed.]
7B.
General duties of manufactures, etc., as regards articles
9
andsubstances for use in factories.
4*[7B. General duties of manufactures, etc., as regards articles
and substances for use in factories. (1) Every person who designs,
manufactures, imports or supplies any article for use in any factory
shall--
(a) ensure, so far as is reasonably practicable, that the
article is so designed and constructed as to be safe
and without risks to the health of the workers when
properly used;
(b) carry out or arrange for the carrying out of such tests
and examination as may be considered necessary for the
effective implementation of the provisions of clause
(a);
(c) take such steps as may be necessary to ensure that
adequate information will be available-
(i) in connection with the use of the article in
any factory;
(ii) about the use for which it is designed and
tested; and
(iii) about any conditions necessary to ensure
that the article, when put to such use, will be safe,
and without risks to the health of the workers:
Provided that where an article is designed or
manufactured outside India, is shall be obligatory on the
part of the importer to see-
(a) that the article conforms to the same standards if such
article is manufactured in India, or
(b) if the standards adopted in the country outside for the
manufacture of such article is above the standards
adopted in India, that the article conforms to such
standards.
(2) Every person, who undertakes to design or manufacture any
article for use in any factory, may carry out or arrange for the
carrying out of necessary research with a view of the discovery and,
so far as is reasonably practicable, the elimination or minimisation
of any risks to the health or safety of the workers to which the
design or article may give rise.
(3) Nothing contained in sub-section (1) and (2) shall be
construed to require a person to repeat the testing, examination or
research which has been carried out otherwise than by him or at his
instance in so far as it is reasonable for him to rely on the results
thereof for the purposes of the said sub-sections.
(4) Any duty imposed on any person by sub-section (1) and (20
shall extend only to things done in the course of business carried on
by him and to matters within his control.
(5) Where a person designs, manufactures, imports or supplies an
article on the basis of a written undertaking by the user of such
article to take the steps specified in such undertaking to ensure, so
far as is reasonably practicable, that the article will be safe and
without risks to the health of the workers when properly used, the
undertaking shall have the effect of relieving the person designing,
manufacturing, importing or supplying the article from the duty
imposed by clause (a) of sub-section (1) to such extent as is
reasonable having regard to the term of the undertaking.
(6) For the purposes of this section, and article is not to be
regarded as properly used if it is used without regard to any
information or advice relating to its use which has been made
10
available by the person who has designed, manufactured, imported or
supplied the article.
Explanation.--For the purposes of this section, "article" shall
include plant and machinery.
8.
Inspectors.
8. Inspectors. (1) The State Government may, by notification in
the Official Gazette, appoint such persons as possess the prescribed
qualification to be Inspectors for the purposes of this Act and may
assign to them such local limits as it may think fit.
----------------------------------------------------------------------
1. Subs. by Act 40 of 1949, s. 3 and Sch. II for "within thirty
days".
2. Subs. by Act 25 of 1954, s. 4, for "Chief Inspector a written
notice".
3. Ins. by Art 20 of 1987, s. 4 (w.e.f. 1-12-1987).
4. Ins. by s. 4 ibid, (w.e.f. 1-06-1988).
41
(2) The State Government may, by notification in the Official
Gazette, appoint any person to be a Chief Inspector who shall, in
addition to the powers conferred on a Chief Inspector under this Act,
exercise the powers of an Inspector throughout the State.
1*[(2A) The State Government may, by notification in the Official
Gazette, appoint as many Addition Chief Inspector, Joint Chief
Inspector and Deputy Chief Inspector and as many other officers as it
thinks fit to assist the Chief Inspector and to exercise such of the
powers of the Chief Inspector as may be specified in such
notification.
(2B) Every additional Chief Inspector, Joint Chief Inspector,
Deputy Chief Inspector and every other officer appointed under
subsection (2A) shall, in addition to the powers of a Chief Inspector
specified in the notification by which he is appointed, exercise the
powers of an Inspector throughout the State.]
(3) No person shall be appointed under sub-section (1), subsection
(2) 1*[sub-section (2A)] or sub-section (5) or, having been so
appointed, shall continue to hold officer, who is or becomes directly
or indirectly interested in a factory or in any process or business
carried on therein or in any patent or machinery connected therewith.
(4) Every District Magistrate shall be an Inspector for his
district.
(5) The State Government may also, by notification as aforesaid,
appoint such public officers as it thinks fit to be additional
Inspectors for all or any of the purposes of this Act, within such
local limits as it may assign to them respectively.
(6) In any area where there are more Inspectors than one the
State Government may, by notification as aforesaid, declare the powers
which such Inspectors shall respectively exercise and the Inspector
to whom the prescribed notices are to be sent.
(7) 2*[Every Chief Inspector, Additional Chief Inspector, Joint
Chief Inspector, Deputy Chief Inspector, Inspector and every other
officer appointed under this section ] shall be deemed to be a public
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 6 (w.e.f. 26-10-1976).
2. Subs. by s. 6, ibid. (w.e.f. 26-10-1976).
42
servant within the meaning of the Indian Penal Code, (45 of 1860) and
11
shall be officially subordinate to such authority as the State
Government may specify in this behalf.
9.
Powers of Inspectors.
9. Powers of Inspectors. Subject to any rules made in this
behalf, an Inspector may, within the local limits for which he is
appointed,--
(a) enter, with such assistants, being persons in the
service of the Government, or any local or other public
authority, 1*[or with an expert] as he thinks fit, any
place which is used, or which he has reason to believe
is used, as a factory;
1*[(b) make examination of the premises, plant, machinery,
article or substance;
(c) inquire into any accident or dangerous occurrence,
whether resulting in bodily injury, disability or not,
and take on the spot or otherwise statements of any
person which he may consider necessary for such
inquiry;
(d) require the production of any prescribed register or
any other document relating to the factory;
(e) seize, or take copies of, any register, record or other
document or any portion thereof, as he may consider
necessary in respect of any offence under this Act,
which he has reason to believe, has been committed;
(f) direct the occupier that any premises or any part
thereof, or anything lying therein, shall be left
disturbed (whether generally or in particular respects)
for so long as is necessary for the purpose of any
examination under clause(b);
(g) take measurements and photographs and make such
recordings as he considers necessary for the purpose of
any examination under clause (b), taking with him any
necessary instrument or equipment;
(h) in case of any article or substance found in any
premises, being an article or substance which appears
to him as having caused or is likely to cause danger to
the health or safety of the workers, direct it to the
dismantled or subject it to any process or test (but
not so as to damage or destroy it unless the same is,
in the circumstances necessary, for carrying out the
purposes of this Act), and take possession of any such
article or substance or a part thereof, and detain it
for so long as is necessary for such examination;
(i) exercise such other powers as may be prescribed.]
Provided that no person shall be compelled under this section to
answer any question or give any evidence tending to incriminate
himself.
10.
Certifying surgeons.
10. Certifying surgeons. (1) The State Government may appoint
qualified medical practitioners to be certifying surgeons for the
purposes of this Act within such local limits or for such factory or
12
class or description of factories as it may assign to them
respectively.
(2) A certifying surgeon may, with the approval of the State
Government, authorize any qualified medical practitioner to exercise
any of his powers under this Act for such period as the certifying
surgeon may specify and subject to such conditions as the State
Government may think fit to impose, and references in this Act to a
certifying surgeon shall be deemed to include references to any
qualified medical practitioner when so authorized.
(3) No person shall be appointed to be, or authorized to exercise
the powers of, a certifying surgeon, or having been so appointed or
authorized, continue to exercise such powers, who is or becomes the
occupier of a factory or is or becomes directly or indirectly
interested therein or in any process or business carried on therein or
in
----------------------------------------------------------------------
1. Ins. and subs. by Act 20 of 1987, s. 5 (w.e.f. 1-12-87).
42A
any patent or machinery connected therewith or is otherwise in the
employ of the factory:
1*[Provided that the State Government may, by order in writing
and subject to such conditions as may be specified in the order,
exempt any person or class of persons from the provisions of this subsection
in respect of any factory or class or description of
factories.]
(4) The certifying surgeon shall carry out such duties as may be
prescribed in connection with-
(a) the examination and certification of young person under
this Act;
(b) the examination of persons engaged in factories in such
dangerous occupations or processes as may be
prescribed;
(c) the exercising of such medical supervision as may be
prescribed for any factory or class or description of
factories where--
(i) cases of illness have occurred which it
is reasonable to believe are due to the nature of
the manufacturing process carried on, or other
conditions of work prevailing, therein;
(ii) by reason of any change in the
manufacturing process carried on or in the
substances used therein or by reason of the
adoption of any new manufacturing process or of
any new substance for use in a manufacturing
process, there is a likelihood of injury to the
health of workers employed in that manufacturing
process;
(iii) young persons are, or are about to be,
employed in any work which is likely to cause
injury to their health.
Explanation.--In this section "qualified medical practitioner"
means a person holding a qualification granted by an authority
specified in the Schedule to the Indian Medical Degrees Act, 1916 (7
of 1916), or in the Schedules to the Indian Medical Council Act, 1933
(27 of 1933).
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 7 (w.e.f. 26-10-1976).
42B
13
CHAP
HEALTH
CHAPTER III
HEALTH
11.
Cleanliness.
11. Cleanliness. (1) Every factory shall be kept clean and free
from effluvia arising from any drain, privy or other nuisance, and in
particular-
(a) accumulation of dirt and refuse shall be removed daily
by sweeping or by any other effective method from the
floors and benches of workrooms and from staircases and
passages, and disposed of in a suitable manner;
(b) the floor of every workroom shall be cleaned at least
once in every week by washing, using disinfectant,
where necessary, or by some other effective method;
(c) where a floor is liable to become wet in the course of
any manufacturing process to such extent as is capable
of being drained, effective means of drainage shall be
provided and maintained;
(d) all inside walls and partitions, all ceilings or tops
of rooms and all walls, sides and tops of passages and
staircases shall-
(i) where they are 1*[painted otherwise than
with washable water-paint] or varnished, be
repainted or revarnished at least once in every
period of five years;
2*[(ia) where they are painted with washable
water paint, be repainted with at least one coat
of such paint at least once in every period of
three years and washed at least once in every
period of six months;]
(ii) where they are painted or varnished or
where they have smooth impervious surfaces, be
cleaned at least once in every period of fourteen
months by such method as may be prescribed;
(iii) in any other case, be kept whitewashed
or colourwashed, and the whitewashing or
colourwashing shall be carried out at least once
in every period of fourteen months;
2*[(dd) all doors and window frames and other wooden or
metallic framework and shutters shall be kept painted
or varnished and the painting or varnishing shall be
carried out at least once in every period of five
years;]
----------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 8, for the word "painted" (w.e.f. 26-
10-1976).
2. Ins. by s. 8, ibid., (w.e.f. 26-10-1976).
42C
(e) the dates on which the processes required by clause (d)
are carried out shall be entered in the prescribed
14
register.
(2) If, in view of the nature of the operations carried on 1*[in
a factory or class or description of factories or any part of a
factory or class or description of factories], it is not possible for
the occupier to comply with all or any of the provisions of subsection
(1), the State Government may be order exempt such factory or
class or description of factories 2* [or part] from any of the
provisions of that sub-section and specify alternative methods for
keeping the factory in a clean state.
12.
Disposal of wastes and effluents.
12. Disposal of wastes and effluents. 3*[(1) Effective
arrangements shall be made in every factory for the treatment of
wastes and effluents due to the manufacturing process carried on
therein, so as to render them innocuous and for their disposal.]
(2) The State Government may make rules prescribing the
arrangements to be made under sub-section (1) or requiring that the
arrangements made in accordance with sub-section 91) shall be approved
by such authority as may be prescribed.
13.
Ventilation and temperature.
13. Ventilation and temperature. (1) Effective and suitable
provision shall be made in every factory for securing and maintaining
in every workroom--
(a) adequate ventilation by the circulation of fresh air,
and
(b) such a temperature as will secure to workers therein
reasonable conditions of comfort and prevent injury to
health;-
and in particular,-
(i) walls and roofs shall be of such material and so
designed that such temperature shall not be exceeded
but kept as low as practicable;
(ii) where the nature of the work carried on in the factory
involves, or is likely to involve, the production of
excessively high temperatures, such adequate measures
as are practicable shall be taken to protect the
workers
----------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 8, for "in a factory" (w.e.f. 26-10-
1976).
2. Ins. by s. 8, ibid., (w.e.f. 26-10-1976).
3. Subs. by s. 9, ibid., for sub-section (1) (w.e.f. 26-10-1976).
42D
therefrom, by separating the process which produces
such temperatures from the workroom, by insulating the
hot parts or by other effective means.
(2) The State Government may prescribe a standard of adequate
ventilation and reasonable temperature for any factory or class or
description of factories or parts thereof and direct that 1*[proper
measuring instruments, at such places and in such position as may be
specified, shall be provided and such records, as may be prescribed,
shall be maintained.]
15
1*[(3) If it appears to the Chief Inspector that excessively high
temperatures in any factory can be reduced by the adoption of suitable
measures, he may, without prejudice to the rules made under subsection
(2), serve on the occupier, an order in writing specifying the
measures which, in his opinion, should be adopted, and requiring them
to be carried out before a specified date.]
14.
Dust and fume.
14. Dust and fume. (1) In every factory in which, by reason of
the manufacturing process carried on, there is given off any dust or
fume or other
----------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 6, (w.e.f. 1-12-1987).
43
impurity of such a nature and to such an extent as is likely to be
injurious or offensive to the workers employed therein, or any dust in
substantial quantities, effective measures shall be taken to prevent
its inhalation and accumulation in any workroom, and if any exhaust
appliance is necessary for this purpose, it shall be applied as near
as possible to the point of origin of the dust, fume or other
impurity, and such point shall be enclosed so far as possible.
(2) In any factory no stationary internal combustion engine shall
be operated unless the exhaust is conducted into the open air, and no
other internal combustion engine shall be operated in any room unless
effective measures have been taken to prevent such accumulation of
fumes therefrom as are likely to be injurious to workers employed in
the room.
15.
Artificial humidification.
15. Artificial humidification. (1) In respect of all factories in
which the humidity of the air is artificially increased, the State
Government may make rules,-
(a) prescribing standards of humidification;
(b) regulating the methods used for artificially increasing
the humidity of the air;
(c) directing prescribed tests for determining the humidity
of the air to be correctly carried out and recorded;
(d) prescribing methods to be adopted for securing adequate
ventilation and cooling of the air in the workrooms.
(2) In any factory in which the humidity of the air is
artificially increased, the water used for the purpose shall be taken
from a public supply, or other source of drinking water, or shall be
effectively purified before it is so used.
(3) If it appears to an Inspector that the water used in a
factory for increasing humidity is required to be effectively purified
under sub-section (2) is not effectively purified he may serve on the
manager of the factory an order in writing, specifying the measures
which in his opinion should be adopted, and requiring them to be
carried out before specified date.
16.
16
Overcrowding.
16. Overcrowding. (1) No room in any factory shall be overcrowded
to an extent injurious to the health of the workers employed therein.
(2) Without prejudice to the generality of sub-section (1), there
shall be in every workroom of factory in existence on the date of the
commencement of this Act at least 1*[9.9 cubic metres]
----------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 7 (w.e.f. 1-12-1987).
44
and of a factory built after the commencement of this Act at
least 1*[14.2 cubic meters] of space for every worker employed
therein, and for the purposes of this sub-section no account shall be
taken of any space which is more than 1*[4.2 meters] above the level
of the floor of the room.
(3) If the Chief Inspector by order in writing so requires, there
shall be posted in each workroom of a factory a notice specifying the
maximum number of workers who may, in compliance with the provisions
of this section, be employed in the room.
(4) The chief Inspector may by order in writing exempt, subject
to such conditions, if any, as he may think fit to impose, any
workroom from the provisions of this section, if he is satisfied that
compliance therewith in respect of the rooms is unnecessary in the
interest of the health of the workers employed therein.
17.
Lighting.
Lighting. (1) In every part of a factory where workers are
working or passing there shall be provided and maintained sufficient
and suitable lighting, natural or artificial, or both.
(2) In every factory all glazed windows and skylights used for
the lighting of the workrooms shall be kept clean on both the inner an
outer surfaces and, so far as compliance with the provisions of any
rules made under sub-section (3) of section 13 will allow, free from
obstruction.
(3) In every factory effective provision shall, so far as is
practicable, be made for the prevention of-
(a) glare, either directly from a source of light or by
reflection from a smooth or polished surface;
(b) the formation of shadows to such an extent as to cause
eye-strain or the risk of accident to any worker.
(4) The State Government may prescribe standards of sufficient
and suitable lighting for factories or for any class of description of
factories or for any manufacturing process.
18.
Drinking water.
18. Drinking water. (1) In every factory effective arrangements
shall be made to provide and maintain at suitable points conveniently
situated for all workers employed therein a sufficient supply of
wholesome drinking water.
(2) All such points shall be legibly marked "drinking water" in a
language understood by majority of the workers employed in the
17
----------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 7 (w.e.f. 1-12-1987).
45
factory, and no such point shall be situated within 1*[six meters of
any washing place, urinal, latrine, spittoon, open drain carrying
sullage or effluent or any other source of contamination] unless a
shorter distance is approved in writing by the Chief Inspector.
(3) In every factory wherein more than two hundred and fifty
workers are ordinarily employed, provision shall be made for cooling
drinking water during hot weather by effective means and for
distribution thereof.
(4) In respect of all factories or any class or description of
factories the State Government may make rules for securing compliance
with the provisions of sub-sections (1), (2) and (3) and for the
examination by prescribed authorities of the supply and distribution
of drinking water in factories.
19.
Latrines and urinals.
19. Latrines and urinals. (1) In every factory--
(a) sufficient latrine and urinal accommodation of
prescribed types shall be provided conveniently
situated and accessible to workers at all times while
they at the factory;
(b) separate enclosed accommodation shall be provided for
male and female workers;
(c) such accommodation shall be adequately lighted and
ventilated, and no latrine or urinal shall, unless
specially exempted in writing by the Chief Inspector,
communicate with any workroom except through an
intervening open space or ventilated passage;
(d) all such accommodation shall be maintained in a clean
and sanitary condition at all times;
(e) sweepers shall be employed whose primary duty it would
be to keep clean latrines, urinals and washing places.
(2) In every factory wherein more than two hundred and fifty
workers are ordinarily employed-
(a) all latrine and urinal accommodation shall be of
prescribed sanitary types;
(b) the floors and internal walls, up to a height of 2*
[ninety continents] of the latrines and urinals and the
sanitary blocks shall be laid in glazed tiles or
otherwise finished to provided a smooth polished
impervious surface;
----------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 8 (w.e.f. 1-12-1987).
2. Subs. by s. 9 ibid. (w.e.f. 1-12-1987).
46
(c) without prejudice to the provisions of clauses (d) and
(e) of sub-section (1), the floors, portions of the
walls and blocks so laid or finished and the sanitary
pans of latrines and urinals shall be thoroughly washed
and cleaned at least once in every seven days with
suitable detergents or disinfectants or with both.
18
(3) The State Government may prescribe the number of latrines and
urinals to be provided in any factory in proportion to the numbers of
male and female workers ordinarily employed therein, and provide for
such further matters in respect of sanitation in factories, including
the obligation of workers in this regard, as it considers necessary in
the interest of the health of the workers employed therein.
20.
Spittoons.
20. Spittoons. (1) In every factory there shall be provided a
sufficient number of spittoons in convenient places and they shall be
maintained in a clean and hygienic condition.
(2) The State Government may make rules prescribing the type and
the number of spittoons to be provided and their location in any
factory and provide for such further matters relating to their
maintenance in a clean and hygienic condition.
(3) No person shall spit within the premises of a factory except
in the spittoons provided for the purposes and a notice containing
this provision and the penalty for its violation shall be prominently
displayed at suitable places in the premises.
(4) Whoever spits in contravention of sub-section (3) shall be
punishable with fine not exceeding five rupees.
CHAP
SAFETY
CHAPTER IV
SAFETY
21.
Fencing of machinery.
21. Fencing of machinery. (1) In every factory the following,
namely,--
(i) every moving part of a prime mover and every flywheel
connected to a prime mover whether the prime mover or
flywheel is in the engine house or not;
(ii) the headrace and tailrace of every water-wheel and
water turbine;
(iii)any part of a stock-bar which projects beyond the head
stock of a lathe; and
47
(iv) unless they are in such position or of such
construction as to be safe to every person employed in
the factory as they would be if they were securely
fenced, the following, namely,--
(a) every part of an electric generator, a
motor or rotary convertor;
(b) every part of transmission machinery; and
(c) every dangerous part of any other
machinery,
19
shall be securely fenced by safeguards of substantial construction
which 1*[shall be constantly maintained and kept in position] while
the parts of machinery they are fencing are in motion or in use:
2*[Provided that for the purpose of determining whether any part
of machinery is in such position or is of such construction as to be
safe as aforesaid, account shall not be taken of any occasion when-
(i) it is necessary to make an examination of any part of
the machinery aforesaid while it is in motion or, as a
result of such examination, to carry out lubrication or
other adjusting operation while the machinery is in
motion, being an examination or operation which it is
necessary to be carried out while that part of the
machinery is in motion, or
(ii) in the case of any part of a transmission machinery
used in such process as may be prescribed (being a
process of a continuous nature the carrying on of which
shall be, or is likely to be, substantially interfered
with by the stoppage of that part of the machinery), it
is necessary to make an examination of such part of the
machinery while it is in motion or, as a result or such
examination, to carry out any mounting or shipping of
belts or lubrication or other adjusting operation while
the machinery is in motion,
and such examination or operation is made or carried out in accordance
with the provisions of sub-section (1) of section 22.]
(2) The State Government may be rules prescribe such further
precautions as it may consider necessary in respect of any particular
----------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 10 for certain words (w.e.f. 26-10-
1976).
2. Subs. by s. 10 ibid., for the proviso (w.e.f. 26-10-1976).
48
machinery or part thereof, or exempt, subject to such condition as may
be prescribed, for securing the safety of the workers, any particular
machinery or part thereof from the provisions of this section.
22.
Work on or near machinery in motion.
22. Work on or near machinery in motion. (1) 1*[Where in any
factory it becomes necessary to examine any part of machinery referred
to in section 21, while the machinery is in motion, or, as a result of
such examination, to carry out-
(a) in a case referred to in clause (i) of the proviso to
sub-section (1) of section 21, lubrication or other
adjusting operation; or
(b) in a case referred to in clause (ii) of the proviso
aforesaid, any mounting or shipping of belts or
lubrication or other adjusting operation,
while the machinery is in motion, such examination or operation shall
be made or carried out only by a specially trained adult male worker
wearing tight fitting clothing (which shall be supplied by the
occupier) whose name has been recorded in the register prescribed in
this behalf and who has been furnished with a certificate of his
appointment, and while he is so engaged,--
(a) such worker shall not handle a belt at a moving pulley
unless20
(i) the belt is not more than fifteen
centimeters in width;
(ii) the pulley is normally for the purpose
of drive and not merely a fly-wheel or balance
wheel (in which case a belt is not permissible);
(iii) the belt joint is either laced or flush
with the belt;
(iv) the belt, including the joint and the
pulley rim, are in good repair;
(v) there is reasonable clearance between the
pulley and any fixed plant or structure;
(vi) secure foothold and, where necessary,
secure handhold, are provided for the operator;
and
----------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 11, for the opening paragraph and
clause (a) (w.e.f. 26-10-1976).
49
(vii) any ladder in use for carrying out any
examination or operation aforesaid is securely
fixed or lashed or is firmly held by a second
person;]
(b) without prejudice to any other provision of this Act
relating to the fencing of machinery, every set screw,
bolt and key on any revolving shaft, spindle, wheel or
pinion, and all spur, worm and other toothed or
friction gearing in motion with which such worker would
otherwise be liable to come into contact, shall be
securely fenced to prevent such contact.
1*[(2) No woman or young person shall be allowed to clean,
lubricate or adjust any part of a prime mover or of any transmission
machinery while the prime mover or transmission machinery is in
motion, or to clean, lubricate or adjust any part of any machine if
the cleaning, lubrication or adjustment thereof would expose the woman
or young person to risk of injury from any moving part either of that
machine or of any adjacent machinery.]
(3) The State Government may, by notification in the Official
Gazette, prohibit, in any specified factory or class or description of
factories, the cleaning, lubricating or adjusting by any person of
specified parts of machinery when those parts are in motion.
23.
Employment of young persons on dangerous machines.
23. Employment of young persons on dangerous machines. (1) No
young person [shall be required or allowed to work] 2* at any machine
to which this section applies, unless he has been fully instructed as
to the dangers arising in connection with the machine and the
precautions to be observed and-
(a) has received sufficient training in work at the
machine, or
(b) is under adequate supervision by a person who has a
through knowledge and experience of the machine.
(2) sub-section (1) shall apply to such machines as may be
prescribed by the State Government, being machines which in its
opinion are of such a dangerous character that young person ought not
to work at them unless the foregoing requirements are complied with.
21
----------------------------------------------------------------------
1. Subs. by Act 25 of 1954. s. 6.
2. Subs. by Act 20 of 1987, s. 10 (w.e.f. 1-12-1987).
50
24.
Striking gear and devices for cutting off power.
24. Striking gear and devices for cutting off power. (1) In every
factory-
(a) suitable striking gear or other efficient mechanical
appliance shall be provided and maintained and used to
move driving belts to and from fast and loose pulleys
which form part of the transmission machinery, and such
gear or appliances shall be so constructed, placed and
maintained as to prevent the belt from creeping back on
to the fast pulley;
(b) driving belts when not in use shall not be allowed to
rest or ride upon shafting in motion.
(2) In every factory suitable devices for cutting off power in
emergencies from running machinery shall be provided and maintained in
every work-room:
Provided that in respect of factories in operation before the
commencement of this Act, the provisions of this sub-section shall
apply only to work-rooms in which electricity is used as power.
1*[(3) When a device, which can inadvertently shift from "off" to
"on" position, is provided in a factory to cut off power, arrangements
shall be provided for locking the device in safe position to prevent
accidental starting of the transmission machinery or other machines to
which the device is fitted.]
25.
Self-acting machines.
25. Self-acting machines. No traversing part of a self-acting
machine in any factory and no material carried thereon shall, if the
space over which it runs is a space over which any person is liable to
pass, whether in the course of his employment or otherwise, be allowed
to run on its outward or inward traverse within a distance of
2*[forty-five centimeters] from any fixed structure which is not part
of the machine:
Provided that the Chief Inspector may permit the continued use of
a machine installed before the commencement of this Act which does not
comply with the requirements of this section on such conditions for
ensuring safety as he may think fit to impose.
26.
Casing of new machinery.
26. Casing of new machinery. (1) In all machinery driven by power
and installed in any factory after the commencement of this Act,-
(a) every set screw, bolt or key on any revolving shaft,
spindle, wheel or pinion shall be so sunk, encased or
otherwise effectively guarded as to prevent danger;
----------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 12 (w.e.f. 26-10-1976).
22
2. Subs. by Act 20 of 1987, s. 11 (w.e.f. 1-12-1987).
50A
(b) all spur, worm and other toothed or friction gearing
which does not require frequent adjustment while in
motion shall be completely encased, unless it is so
situated as to be as safe as it would be if it were
completely encased.
(2) Whoever sells or lets on hire or, as agent of a seller or
hirer, causes or procures to be sold or let on hire, for use in a
factory any machinery driven by power which does not comply with the
provisions of 1*[sub-section (1) or any rules made under sub-section
(3)], shall be punishable with imprisonment for a term which may
extend to three months or with fine which may extend to five hundred
rupees or with both.
2*[(3) The State Government may make rules specifying further
safeguards to be provided in respect of any other dangerous part of
any particular machine or class or description of machines.]
27.
Prohibition of employment of women and children near cotton-openers.
27. Prohibition of employment of women and children near cottonopeners.
No woman or child shall be employed in any part of a factory
for pressing cotton in which a cotton-opener is at work:
Provided that if the feed-end of a cotton-opener is in a room
separated from the delivery end by a partition extending to the roof
or to such height as the Inspector may in any particular case specify
in writing, women and children may be employed on the side of the
partition where the feed-end is situated.
28.
Hoists and lifts.
28. Hoists and lifts. (1) In every factory-
(a) every hoist and lift shall be--
(i) of good mechanical construction, sound
material and adequate strength:
(ii) properly maintained, and shall be
thoroughly examined by a competent person at least
once in every period of six months, and a register
shall be kept containing the prescribed
particulars of every such examination;
(b) every hoistway and liftway shall be sufficiently
protected by an enclosure fitted with gates, and the
hoist or lift and every such enclosure shall be so
constructed as to
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 7, for "sub-section (1)".
2. Subs. by s. 7, ibid.
50B
prevent any person or thing from being trapped between
any part of the hoist or lift and any fixed structure
or moving part;
(c) the maximum safe working load shall be plainly marked
on every hoist or lift, and no load greater than such
23
load shall be carried thereon;
(d) the cage of every hoist or lift used for carrying
persons shall be fitted with a gate on each side from
which access is afforded to a landing;
(e) every gate referred to in clause (b) or clause (d)
shall be fitted with interlocking or other efficient
device to secure
51
that the gate cannot be opened except when the cage is
at the landing and that the cage cannot be moved unless
the gate is closed.
(2) The following additional requirements shall apply to hoists
and lifts used for carrying persons and installed or reconstructed in
a factory after the commencement of this Act, namely:-
(a) where the cage is supported by rope or chain, there
shall be at least two ropes or chains separately
connected with the cage and balance weight, and each
rope or chain with its attachments shall be capable of
carrying the whole weight of the cage together with its
maximum load;
(b) efficient devices shall be provided and maintained
capable of supporting the cage together with its
maximum load in the event of breakage of the ropes,
chains or attachments;
(c) an efficient automatic device shall be provided and
maintained to prevent the cage from over-running.
(3) The Chief Inspector may permit the continued use of a hoist
or lift installed in a factory before the commencement of this Act
which does not fully comply with the provisions of sub-section (1)
upon such conditions for ensuring safety as he may think fit to
impose.
(4) The State Government may, if in respect of any class or
description of hoist or lift, it is of opinion that it would be
unreasonable to enforce any requirement of sub-sections (1) and (2),
by order direct that such requirement shall not apply to such class or
description of hoist or lift.
1*[Explanation.--For the purposes of this section, no lifting
machine or appliance shall be deemed to be a hoist or lift unless it
has a platform or cage, the direction or movement of which is
restricted by a guide or guides.]
29.
Lifting machines, chains, ropes and lifting tackles.
2*[29. Lifting machines, chains, ropes and lifting tackles. (1)
In any factory the following provisions shall be complied with in
respect of every lifting machine (other than a hoist and lift) and
every chain, rope and lifting tackle for the purpose of raising or
lowering persons, goods or materials:-
(a) all parts, including the working gear, whether fixed or
movable, of every lifting machine and every chain, rope
or lifting tackle shall be--
(i) of good construction, sound material and
adequate strength and free from defects;
(ii) properly maintained; and
---------------------------------------------------------------------
24
1. Ins. by Act 20 of 1987, s. 12 (w.e.f. 1.12.1987)
2. Subs. by Act 25 of 1954, s. 8.
52
(iii) thoroughly examined by a competent
person at least once in every period of twelve
months, or at such intervals as the Chief
Inspector may specify in writing; and a register
shall be kept containing the prescribed
particulars of every such examination;
(b) no lifting machine and no chain, rope or lifting tackle
shall, except for the purpose of test, be loaded beyond
the safe working load which shall be plainly marked
thereon together with an identification mark and duly
entered in the prescribed register; and where this is
not practicable, a table showing the safe working loads
of every kind and size of lifting machine or chain,
rope or lifting tackle in use shall be displayed in
prominent positions on the premises;
(c) while any person is employed or working on or near the
wheel track of a travelling crane in any place where he
would be liable to be struck by the crane, effective
measures shall be taken to ensure that the crane does
not approach within 1*[six months] of that place.
(2) The State Government may make rules in respect of any lifting
machine or any chain, rope or lifting tackle used in factories-
(a) prescribing further requirements to be complied with in
addition to those set out in this section;
(b) providing for exemption from compliance with all or any
of the requirements of this section, where in its
opinion, such compliance is unnecessary or
impracticable.
(3) For the purposes of this section a lifting machine or a
chain, rope or lifting tackle shall be deemed to have been thoroughly
examined if a visual examination supplemented, if necessary, by other
means and by the dismantling of parts of the gear, has been carried
out as carefully as the conditions permit in order to arrive at a
reliable conclusion as to the safety of the parts examined.
Explanation.--In this section,--
(a) "lifting machine" means a crane, crab, which teagle
pulley block, gin wheel, transporter or runway;
1*[(b) "lifting tackle" means any chain sling, rope sling,
hook, shackle, swivel, coupling, socket, clamp, tray or
similar appliance, whether fixed or movable, used in
connection with the raising or lowering of persons, or
loads by use of lifting machines."]
30.
Revolving machinery.
30. Revolving machinery. (1) 2*[In every factory] in which the
process of grinding is carried on there shall be permanently affixed
to or placed near each
---------------------------------------------------------------------
1. Ins. by At 20 of 1987, s 13 (w.e.f. 1.12.1987).
2. Subs. by s. 14, ibid (w.e.f. 1.12.1987).
53
machine in use a notice indicating the maximum safe working peripheral
25
speed of every grindstone or abrasive wheel, the speed of the shaft or
spindle upon which the wheel is mounted, and the diameter of the
pulley upon such shaft or spindle necessary to secure such safe
working peripheral speed.
(2) The speeds indicated in notices under sub-section (1) shall
not be exceeded.
(3) Effective measures shall be taken in every factory to ensure
that the safe working peripheral speed of every revolving vessel,
cage, basket, flywheel, pulley, disc or similar appliance driven by
power is not exceeded.
31
Pressure plant.
31 Presssure plant. 1*[(1) If in any factory, any plant or
machinery or any part thereof is operated at a pressure above
atmospheric pressure, effective measures shall be taken to ensure that
the safe working pressure of such plant or machinery or part is not
exceeded.]
(2) The State Government may make rules providing for the
examination and testing of any plant or machinery such as is referred
to in sub-section (1) and prescribing such other safety measures in
relation thereto as may in its opinion be necessary in any factory or
class or description of factories.
2*[(3) The State Government may, by rules, exempt, subject to
such conditions as may be specified therein, any part of any plant or
machinery referred to in sub-section (1) from the provisions of this
section.]
32.
Floors, stairs and means of access.
32. Floors, stairs and means of access. In every factory--
(a) all floors, steps, stairs, passages and gangways shall
be of sound construction and properly maintained 3*[and
shall be kept free from obstructions and substances
likely to cause persons to slip], and where it is
necessary to ensure safety, steps, stairs, passages and
gangways shall be provided with substantial handrails;
(b) there shall, so far as is reasonably practicable, be
provided and maintained safe means of access to every
place at which any person is at any time required to
work;
---------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 15 (w.e.f. 1.12.1987).
2. Ins. by Act 94 of 1976, s. 13 (w.e.f. 26-10-1976).
3. Ins. by s. 14, ibid. (w.e.f. 26-10-1976).
54
1*[(c) when any person has to work at a height from where
he is likely to fall, provision shall be made, so far
as is reasonably practicable, by fencing or otherwise,
to ensure the safety of the person so working.]
33.
Pits, sumps, openings in floors, etc.
26
33. Pits, sumps, openings in floors, etc. (1) In every factory
every fixed vessel, sump, tank, pit or opening in the ground or in a
floor which, by reason of its depth, situation, construction or
contents, is or may be a source of danger, shall be either securely
covered or securely fenced.
(2) The State Government may, by order in writing, exempt,
subject to such conditions as may be prescribed, any factory or class
or description of factories in respect of any vessel, sump, tank, pit
or opening from compliance with the provisions of this section.
34.
Excessive weights.
34. Excessive weights. (1) No person shall be employed in any
factory to lift, carry or move any load so heavy as to be likely to
cause him injury.
(2) The State Government may make rules prescribing the maximum
weights which may be lifted, carried or moved by adult men, adult
women, adolescents and children employed in factories or in any class
or description of factories or in carrying on any specified process.
35.
Protection of eyes.
35. Protection of eyes. In respect of any such manufacturing
process carried on in any factory as may be prescribed, being a
process which involves--
(a) risk of injury to the eyes from particles or fragments
thrown off in the course of the process, or
(b) risk to the eyes by reason of exposure to excessive
light,
the State Government may by rules require that effective screens or
suitable goggles shall be provided for the protection of persons
employed on, or in the immediate vicinity of, the process.
36.
Precautions against dangerous fumes, gases, etc.
2*[36. Precautions against dangerous fumes, gases, etc. (1) No
person shall be required or allowed to enter any chamber, tank, vat,
pit, pipe, flue or other confined space in any factory in which any
gas, fume, vapour or dust is likely to be present to such an extent as
to involve risk to persons being overcome thereby, unless it is
provided with a manhole of adequate size or other effective means of
egress.
(2) No person shall be required or allowed to enter any confined
space as is referred to in sub-section (1), until all practicable
measures have been taken to remove any gas, fume, vapour or dust,
which may be present so as to bring its level within the permissible
limits and to prevent any ingress of such gas, fume, vapour or dust
and unless-
(a) a certificate in writing has been given by a competent
person, based on a test carried out by himself that the
space is reasonably free from dangerous gas, fume,
vapour or dust; or
(b) such person is wearing suitable breathing apparatus and
27
a belt securely attached to a rope the free end of
which is held by a person outside the confined space."]
---------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 16 (w.e.f. 1.12.1987).
2. Subs. by s. 17, ibid. (w.e.f. 1.12.1987).
55
36A.
Precautions regarding the use of portable electric light.
1*[36A. Precautions regarding the use of portable electric light.
In any factory--
(a) no portable electric light or any other electric
appliance of voltage exceeding twenty-four volts shall
be permitted for use inside any chamber, tank, vat,
pit, pipe, flue or other confined space; 2*[ unless
adequate safety devices are provided] and
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976 s. 16, (w.e.f. 26-10-1976).
2. Ins. by Act 20 of 1987, s. 18 (w.e.f. 1.12.1987).
56
(b) if any inflammable gas, fume or dust is likely to be
present in such chamber, tank, vat, pit, pipe, flue or
other confined space, no lamp or light other than that
of flame-proof construction shall be permitted to be
used therein.]
37.
Explosive or inflammable dust, gas, etc.
37. Explosive or inflammable dust, gas, etc. (1) Where in any
factory any manufacturing process produces dust, gas, fume or vapour
of such character and to such extent as to be likely to explode on
ignition, all practicable measures shall be taken to prevent any such
explosion by--
(a) effective enclosure of the plant or machinery used in
the process;
(b) removal or prevention of the accumulation of such dust,
gas, fume or vapour;
(c) exclusion or effective enclosure of all possible
sources of ignition.
(2) Where in any factory the plant or machinery used in a process
such as is referred to in sub-section (1) is not so constructed as to
withstand the probable pressure which such an explosion as aforesaid
would produce, all practicable measures shall be taken to restrict the
spread and effects of the explosion by the provision in the plant or
machinery of chokes, baffles, vents or other effective appliances.
(3) Where any part of the plant or machinery in a factory
contains any explosive or inflammable gas or vapour under pressure
greater than atmospheric pressure, that part shall not be opened
except in accordance with the following provisions, namely:--
(a) before the fastening of any joint of any pipe connected
with the part or the fastening of the cover of any
opening into the part is the cover of any opening into
the part is loosened, any flow of the gas or vapour
into the part of any such pipe shall be effectively
28
stopped by a stop-valve or other means;
(b) before any such fastening as aforesaid is removed, all
practicable measures shall be taken to reduce the
pressure of the gas or vapour in the part of pipe to
atmospheric pressure;
(c) where any such fastening as aforesaid has been loosened
or removed effective measures shall be taken to prevent
any explosive or inflammable gas or vapour from
entering the part or pipe until the fastening has been
secured, or, as the case may be, securely replaced:
57
Provided that the provisions of this sub-section shall not apply
in the case of plant or machinery installed in the open air.
(4) No plant, tank or vessel which contains or has contained any
explosive or inflammable substance shall be subjected in any factory
to any welding, brazing, soldering or cutting operation which involves
the application of heat unless adequate measures have first been taken
to remove such substance and any fumes arising therefrom or to render
such substance and fumes non-explosive or non-inflammable, and no such
substance shall be allowed to enter such plant, tank or vessel after
any such operation until the metal has cooled sufficiently to prevent
any risk of igniting the substance.
(5) The State Government may by rules exempt, subject to such
conditions as may be prescribed, any factory or class or description
of factories from compliance with all or any of the provisions of this
section.
38.
Prescautions in case of fire.
1*[38. Precautions in case of fire. (1) In every factory, all
practicable measures shall be taken to prevent outbreak of fire and
its spread, both internally and externally, and to provide and
maintain--
(a) safe means of escape for all persons in the event of a
fire, and
(b) the necessary equipment and facilities for
extinguishing fire.
(2) Effective measures shall be taken to ensure that in every
factory all the workers are familiar with the means of escape in case
of fire and have been adequately trained in the routine to be followed
in such cases.
(3) The State Government may make rules, in respect of any
factory or class or description of factories, requiring the measures
to be adopted to give effect to the provisions of sub-sections (1) and
(2).
(4) Notwithstanding anything contained in clause (a) of subsection
(1) or sub-section (2), if the Chief Inspector, having regard
to the nature of the work carried on in any factory, the construction
of such factory, special risk to life or safety, or any other
circumstances, is of the opinion that the measures provided in the
factory, whether as prescribed or not, for the purposes of clause (a)
of sub-section (1) or sub-section (2), are inadequate, he may, by
order in writing, require that such additional measures as he may
consider reasonable and necessary, be provided in the factory before
such date as it specified in the order.]
---------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 19 (w.e.f. 1-12-1987).
29
59
39.
Power to require specifications of defective parts or tests
ofstability.
39. Power to require specifications of defective parts or tests
of stability. If it appears to the Inspector that any building or part
of a building or any part of the ways, machinery or plant in a factory
is in such a condition that it may be dangerous to human life or
safety, he may serve on 1*[the occupier or manager or both] of the
factory an order in writing requiring him before a specified date--
(a) to furnish such drawings, specifications and other
particulars as may be necessary to determine whether
such building, ways, machinery or plant can be used
with safety, or
(b) to carry out such tests in such manner as may be
specified in the order, and to inform the Inspector of
the results thereof.
40.
Safety of buildings and machinery.
40. Safety of buildings and machinery. (1) If it appears to the
Inspector that any building or part of a building or any part of the
ways, machinery or plant in a factory is in such a condition that it
is dangerous to human life or safety, he may serve on 1*[the occupier
or manager or both] of the factory an order in writing specifying the
measures which in his opinion should be adopted, and requiring them to
be carried out before a specified date.
(2) If it appears to the Inspector that the use of any building
or part of a building or any part of the ways, machinery or plant in a
factory involves imminent danger to human life or safety, he may serve
on 1*[the occupier or manager or both] of the factory an order in
writing prohibiting its use until it has been properly repaired or
altered.
40A.
Maintenance of buildings.
2*[40A. Maintenance of buildings. If it appears to the Inspector
that any building or part of a building in a factory is in such a
state of disrepair as is likely to lead to conditions detrimental to
the health and welfare of the workers, he may serve on the occupier or
manager or both of the factory an order in writing specifying the
measures which in his opinion should be taken and requiring the same
to be carried out before such date as is specified in the order.
40B.
Safety Officers.
40B. Safety Officers. (1) In every factory,--
(i) wherein one thousand or more workers are ordinarily
employed, or
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 18, for "the manager" (w.e.f. 26-10-
1976).
30
2. Ins. by s. 19, ibid. (w.e.f. 26-10-1976).
60
(ii) wherein, in the opinion of the State Government, any
manufacturing process or operation is carried on, which
process or operation involves any risk of bodily
injury, poisoning or disease, or any other hazard to
health, to the persons employed in the factory,
the occupier shall, if so required by the State Government by
notification in the Official Gazette, employ such number of Safety
Officers as may be specified in that notification.
(2) The duties, qualifications and conditions of service of
Safety Officers shall be such as may be prescribed by the State
Government.]
41.
Power to make rules to supplement this Chapter
41. Power to make rules to supplement this Chapter. The State
Government may make rules requiring the provision in any factory or in
any class or description of factories of such further 1*[devices and
measures] for securing the safety of persons employed therein as it
may deem necessary.
CHAP
PROVISIONS RELATING TO HAZARDOUS PROCESSES
2*[CHAPTER IV A
PROVISIONS RELATING TO HAZARDOUS PROCESSES
41A.
Constitution of Site Appraisal Committees.
41A. Constitution of Site Appraisal Committees. (1) The State
Government may, for purposes of advising it to consider applications
for grant of permission for the initial location of a factory
involving a hazardous process or for the expansion of any such
factory, appoint a Site Appraisal Committee consisting of--
(a) the Chief Inspector of the State who shall be its
Chairman;
(b) a representative of the Central Board for the
Prevention and Control of Water Pollution appointed by
the Central Government under section 3 of the Water
(Prevention and Control of Pollution) Act, 1974 (6 of
1974);
(c) a representative of the Central Board for the
Prevention and Control of Air Pollution referred to in
section 3 of the Air (Prevention and Control of
Pollution) Act, 1981 (14 of 1981);
(d) a representative of the State Board appointed under
section 4 of the Water (Prevention and Control of
Pollution) Act, 1974; (6 of 1974).
(e) a representative of the State Board for the Prevention
and Control of Air Pollution referred to in section 5
of the Air (Prevention and Control of Pollution) Act,
31
1981 (14 of 1981);
(f) a representative of the Department of Environment in
the State;
(g) a representative of the Meteorological Department of
the Government of India;
(h) an expert in the field of occupational health; and
(i) a representative of the Town Planning Department of the
State Government,
and not more than five other members who may be co-opted by the State
Government who shall be--
(i) a scientist having specialised knowledge of the
hazardous process which will be involved in the
factory,
(ii) a representative of the local authority within whose
jurisdiction the factory is to be established, and
(iii)not more than three other persons as deemed fit by the
State Government.
(2) The Site Appraisal Committee shall examine an application for
the establishment of a factory involving hazardous process and make
its recommendation to the State Government within a period of ninety
days of the receipt of such applications in the prescribed form.
(3) Where any process relates to a factory owned or controlled by
the Central Government or to a corporation or a company owned or
controlled by the Central Government, the State Government shall coopt
in the Site Appraisal Committee a representative nominated by the
Central Government as a member of that Committee.
(4) The Site Appraisal Committee shall have power to call for any
information from the person making an application for the
establishment or expansion of a factory involving a hazardous process.
(5) Where the State Government has granted approval to an
application for the establishment or expansion of a factory involving
a hazardous process, it shall not be necessary for an applicant to
obtain a further approval from the Central Board or the State Board
established under the Water (Prevention and Control of Pollution) Act,
1974 (6 of 1974) and the Air (Prevention and Control of Pollution) A
Act 1981 (14 of 1981).
41B.
Compulsory disclosure of information by the occupier.
41B. Compulsory disclosure of information by the occupier. (1)
The occupier of every factory involving a hazardous process shall
disclose in the manner prescribed all information regarding dangers,
including health hazards and the measures to overcome such hazards
arising from the exposure to or handling of the materials or
substances in the manufacture, transportation, storage and other
processes, to the workers employed in the factory, the Chief
Inspector, the local authority within whose jurisdiction the factory
is situate and the general public in the vicinity.
(2) The occupier shall, at the time of registering the factory
involving a hazardous process lay down a detailed policy with respect
to the health and safety of the workers employed therein and intimate
such policy to the Chief Inspector and the local authority and,
thereafter, at such intervals as may be prescribed, inform the Chief
Inspector and the local authority of any change made in the said
policy.
32
(3) The information furnished under sub-section (1) shall include
accurate information as to the quantity, specifications and other
characteristics of wastes and the manner of their disposal.
(4) Every occupier shall, with the approval of the Chief
Inspector, draw up an on-site emergency plan and detailed disaster
control measures for his factory and make known to the workers
employed therein and to the general public living in the vicinity of
the factory the safety measures required to be taken in the event of
an accident taking place.
(5) Every occupier of a factory shall,--
(a) if such factory engaged in a hazardous process on the
commencement of the Factories (Amendment) Act, 1987,
within a period of thirty days of such commencement;
and
(b) if such factory proposes to engage in a hazardous
process at any time after such commencement, within a
period of thirty days before the commencement of such
process,
inform the Chief Inspector of the nature and details of the process in
such form and in such manner as may be prescribed.
(6) Where any occupier of a factory contravenes the provisions of
sub-section (5), the licence issued under section 6 to such factory
shall, notwithstanding any penalty to which the occupier or factory
shall be subjected to under the provisions of this Act, be liable for
cancellation.
(7) The occupier of a factory involving a hazardous process
shall, with the previous approval of the Chief Inspector, lay down
measures for the handling, usage, transportation and storage of
hazardous substances inside the factory premises and publicise them in
the manner prescribed among the workers and the general public living
in the vicinity.
41C.
Specifice responsibility of the occupier in relation to
hazardoueprocesses.
41C. Specifice responsibility of the occupier in relation to
hazardoue processes. Every occupier of a factory involving any
hazardous process shall--
(a) maintain accurate and up-to-date health records or, as
the case may be, medical records, of the workers in the
factory who are exposed to any chemical, toxic or any
other harmful substances which are manufactured,
stored, handled or transported and such records shall
be accessible to the workers subject to such conditions
as may be prescribed;
(b) appoint persons who possess qualifications and
experience in handling hazardous substances and are
competent to supervise such handling within the factory
and to provide at the working place all the necessary
facilities for protecting the workers in the manner
prescribed:
Provided that where any question arises as to the
qualifications and experience of a person so appointed,
the decision of the Chief Inspector shall be final;
(c) provide for medical examination of every worker--
(a) before such worker is assigned to a job involving
the handling of, or working with, a hazardous
33
substance, and
(b) while continuing in such job, and after he has
ceased to work in such job, at intervals not
exceeding twelve months, in such manner as may be
prescribed.
41D.
Power of Central Government to appoint Inquiry Committee.
41D. Power of Central Government to appoint Inquiry Committee.
(1) The Central Government may, in the event of the occurrence of an
extraordinary situation involving a factory engaged in a hazardous
process, appoint an Inquiry Committee to inquire into the standards of
health and safety observed in the factory with a view to finding out
the causes of any failure or neglect in the adoption of any measures
or standards prescribed for the health and safety of the workers
employed in the factory or the general public affected or likely to be
affected, due to such failure or neglect and for the prevention and
recurrence of such extraordinary situations in future in such factory
or elsewhere.
(2) The Committee appointed under sub-section (1) shall consist
of a Chairman and two other members and the terms of reference of the
Committee and the tenure of office of its member shall be such as may
be determined by the Central Government according to the requirements
of the situation.
(3) The recommendations of the Committee shall be advisory in
nature.
41E.
Emergency standards.
41E. Emergency standards. (1) Where the Central Government is
satisfied that no standards of safety have been prescribed in respect
of a hazardous process or class of hazardous processes, or where the
standards so prescribed are inadequate, it may direct the Director-
General of Factory Advice Service and Labour Institutes or any
institution specialised in matters relating to standards of safety in
hazardous processes, to lay down emergency standards for enforcement
of suitable standards in respect of such hazardous processes.
(2) The emergency standards laid down under sub-section shall,
until they are incorporated in the rules made under this be
enforceable and have the same effect as if they had been incorporated
in the rules made under this Act.
41F.
Permissible limits of exposure of chemical and toxic sub-stances.
3*[41F. Permissible limits of exposure of chemical and toxic substances.
(1) The maximum permissible threshold limits of exposure of
chemical and toxic substances in manufacturing processes (whether
hazardous or otherwise) in any factory shall be of the value indicated
in the Second Schedule.
(2) The Central Government may, at any time, for the purpose of
giving effect to any scientific proof obtained from specialised
institutions or experts in the field, by notification in the Official
Gazette, make suitable changes in the said Schedule.]
41G.
34
Workers' participation in safety management.
41G. Workers' participation in safety management. (1) The
occupier shall, in every factory where a hazardous process takes
place, or where hazardous substances are used or handled, set up a
Safety Committee consisting of equal number of representatives of
workers and management to promote cooperation between the workers and
the management in maintaining proper safety and health at work and to
review periodically the measures taken in that behalf:
Provided that the State Government may, by order in writing and
for reasons to be recorded, exempt the occupier of any factory or
class of factories from setting up such Committee.
(2) The composition of the Safety Committee, the tenure of office
of its members and their rights and duties shall be such as may be
prescribed.
41H.
Right of workers to warn about imminent danger.
41H. Right of workers to warn about imminent danger. (1) Where
the workers employed in any factory engaged in a hazardous process
have reasonable apprehension that there is a likelihood of imminent
danger to their lives or health due to any accident, they may bring
the same to the notice of the occupier, agent, manager or any other
person who is incharge of the factory or the process concerned
directly or through their representatives in the Safety Committee and
simultaneously bring the same to the notice of the Inspector.
(2) It shall be the duty of such occupier, agent, manager or the
person incharge of the factory or process to take immediate remedial
action if he is satisfied about the existence of such imminent danger
and send a report forthwith of the action taken to the nearest
Inspector.
(3) If the occupier, agent, manager or the person incharge
referred to in sub-section (2) is not satisfied about the existence of
any imminent danger as apprehended by the workers, he shall,
nevertheless, refer the matter forthwith to the nearest Inspector
whose decision on the question of the existence of such imminent
danger shall be final."]
CHAP
WELFARE
CHAPTER V
WELFARE
42.
Washing facilities.
42. Washing facilities. (1) In every factory--
(a) adequate and suitable facilities for washing shall be
provided and maintained for the use of the workers
therein;
(b) separate and adequately screened facilities shall be
provided for the use of male and female workers;
35
(c) such facilities shall be conveniently accessible and
shall be kept clean.
(2) The State Government may, in respect of any factory or class
or description of factories or of any manufacturing process, prescribe
standards of adequate and suitable facilities for washing.
43.
Facilities for storing and drying clothing.
43. Facilities for storing and drying clothing. The State
Government may, in respect of any factory or class or description of
factories, make rules requiring the provision therein of suitable
places for keeping clothing not worn during working hours and for the
drying of wet clothing.
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 20, for the word "devices" (w.e.f.
26-10-1976).
2. Ins. by Act 20 of 1987, s. 20 (w.e.f. 1-12-1987).
3. Ins by s. 20, (w.e.f. 1-6-1988).
60A
44.
Facilities for sitting.
44. Facilities for sitting. (1) In every factory suitable
arrangements for sitting shall be provided and maintained for all
workers obliged to work in a standing position, in order that they may
take advantage of any opportunities for rest which may occur in the
course of their work.
(2) If, in, the opinion of the Chief Inspector, the workers in
any factory engaged in a particular manufacturing process or working
in a particular room are able to do their work efficiently in a
sitting position, he may, by order in writing, require the occupier of
the factory to provide before a specified date such seating
arrangements as may be practicable for all workers so engaged or
working.
(3) The State Government may, by notification in the Official
Gazette, declare that the provisions of sub-section (1) shall not
apply to any specified factory or class or description of factories or
to any specified manufacturing process.
45.
First-aid appliances.
45. First-aid appliances. (1) There shall in every factory be
provided and maintained so as to be readily accessible during all
working hours first-aid boxes or cupboards equipped with the
prescribed contents, and the number of such boxes or cupboards to be
provided and maintained shall not be less than one for every one
hundred and fifty workers ordinarily employed 1*[at any one time] in
the factory.
2*[(2) Nothing except the prescribed contents shall be kept in a
first-aid box or cupboard.
(3) Each first-aid box or cupboard shall be kept in the charge of
a separate responsible person 3*[who holds a certificate in first-aid
treatment recognised by the State Government] and who shall always be
readily available during the working hours of the factory.]
36
4*[(4)] In every factory wherein more than five hundred workers
are 5*[ordinarily employed] there shall be provided and maintained an
ambulance room of the prescribed size, containing the prescribed
equipment and in the charge of such medical and nursing staff as may
be prescribed 6*[and those facilities shall always be made readily
available during the working hours of the factory].
---------------------------------------------------------------------
1. Ins. by Act 25 of 1954, s. 9.
2. Subs. by s. 9, ibid., for original sub-section (2).
3. Subs. by Act 94 of 1976, s. 21, for certain words (w.e.f. 26-10-
1976).
4. Sub-section (3) renumbered as sub-section (4) by Act 25 of 1954,
s. 9.
5. Subs. by Act 94 of 1976, s. 21, for "employed" (w.e.f. 26-10-
1976).
6. Ins. by s. 21, ibid. (w.e.f. 26-10-1976).
60B
46.
Canteens.
46. Canteens. (1) The State Government may make rules requiring
that in any specified factory wherein more than two hundred and fifty
workers are ordinarily employed, a canteen or canteens shall be
provided and maintained by the occupier for the use of the workers.
(2) Without prejudice to the generality of the foregoing power,
such rules may provide for--
(a) the date by which such canteen shall be provided;
(b) the standards in respect of construction,
accommodation, furniture and other equipment of the
canteen;
(c) the foodstuffs to be served therein and the charges
which may be made therefor;
(d) the constitution of a managing committee for the
canteen and representation of the workers in the
management of the canteen;
1*[(dd) the items of expenditure in the running of the
canteen which are not to be taken into account in
fixing the cost of foodstuffs and which shall be borne
by the employer;]
(e) the delegation to the Chief Inspector, subject to such
conditions as may be prescribed, of the power to make
rules under clause (c).
47.
Shelters, rest rooms and lunch rooms.
47. Shelters, rest rooms and lunch rooms. (1) In every factory
wherein more than one hundred and fifty workers are ordinarily
employed, adequate and suitable shelters or rest rooms and a suitable
lunch room, with provision for drinking water, where workers can eat
meals brought by them, shall be provided and maintained for the use of
the workers:
Provided that any canteen maintained in accordance with the
provisions of section 46 shall be regarded as part of the requirements
of this sub-section:
Provided further that where a lunch room exists no worker shall
37
eat any food in the work room.
(2) The shelters or rest rooms or lunch rooms to be provided
under sub-section (1) shall be sufficiently lighted and ventilated and
shall be maintained in a cool and clean condition.
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 22 (w.e.f. 26-10-1976).
60C
(3) The State Government may--
(a) prescribe the standards in respect of construction,
accommodation, furniture and other equipment of
shelters, rest rooms and lunch rooms to be provided
under this section;
(b) by notification in the Official Gazette, exempt any
factory or class or description of factories from the
requirements of this section.
48.
Creches.
48. Creches. (1) In every factory wherein more than 1*[thirty
women workers] are ordinarily employed there shall be provided and
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 23, for "fifty women workers" (w.e.f.
26-10-1976).
61
maintaained a suitable room or rooms for the use of children under
the age of six years of such women.
(2) Such rooms shall provide adequate accommodation, shall be
adequately lighted and ventilated, shall be maintained in a clean and
sanitary condition and shall be under the charge of women trained in
the care of children and infants.
(3) The State Government may make rules--
(a) prescribing the location and the standards in respect
of construction, accommodation, furniture and other
equipment of rooms to be provided under this section;
(b) requiring the provision in factories to which this
section applies of additional facilities for the care
of children belonging to women workers, including
suitable provision of facilities for washing and
changing their clothing;
(c) requiring the provision in any factory of free milk or
refreshment or both for such children;
(d) requiring that facilities shall be given in any factory
for the mothers of such children to feed them at the
necessary intervals.
49.
Welfare officers.
49. Welfare officers. (1) In every factory wherein five hundred
or more workers are ordinarily employed the occupier shall employ in
the factory such number of welfare officers as may be prescribed.
(2) The State Government may prescribe the duties, qualifications
38
and conditions of service of officers employed under sub-section (1).
50.
Power to make rules to supplement this Chapter.
50. Power to make rules to supplement this Chapter. The State
Government may make rules--
(a) exempting, subject to compliance with such alternative
arrangements for the welfare of workers as may be
prescribed, any factory or class or description of
factories from compliance with any of the provisions of
this Chapter;
(b) requiring in any factory or class or description of
factories that representatives of the workers employed
in the factory shall be associated with the management
of the welfare arrangements of the workers.
62
CHAP
WORKING HOURS OF ADULTS
CHAPTER VI
WORKING HOURS OF ADULTS
51.
Weekly hours.
51. Weekly hours. No adult worker shall be required or allowed to
work in a factory for more than forty-eight hours in any week.
52.
Weekly holidays.
52. Weekly holidays. (1) No adult worker shall be required or
allowed to work in a factory on the first day of the week (hereinafter
referred to as the said day), unless--
(a) he has or will have a holiday for a whole day on one of
the three days immediately before or after the said
day, and
(b) the manager of the factory has, before the said day or
the substituted day under clause (a), whichever is
earlier,--
(i) delivered a notice at the office of the
Inspector of his intention to require the worker
to work on the said day and of the day which is to
be substituted, and
(ii) displayed a notice to that effect in the
factory:
Provided that no substitution shall be made which will result in
any worker working for more than ten days consecutively without a
holiday for a whole day.
39
(2) Notices given under sub-section (1) may be cancelled by a
notice delivered at the office of the Inspector and a notice displayed
in the factory not later than the day before the said day or the
holiday to be cancelled, whichever is earlier.
(3) Where, in accordance with the provisions of sub-section (1),
any worker works on the said day and has had a holiday on one of the
three days immediately before it, that said day shall, for the purpose
of calculating his weekly hours of work, be included in the preceding
week.
53.
Compensatory holidays.
53. Compensatory holidays. (1) Where, as a result of the passing
of an order or the making of a rule under the provisions of this Act
exempting a factory or the workers therein from the provisions of
section 52, a worker is deprived of any of the weekly holidays for
which provision is made in sub-section (1) of that section, he shall
be allowed, within the month in which the holidays were due to him or
within the two months immediately following that month, compensatory
holidays of equal number of the holidays so lost.
63
(2) The State Government may prescribe the manner in which the
holidays for which provision is made in sub-section (1) shall be
allowed.
54.
Daily hours.
54. Daily hours. Subject to the provisions of section 51, no
adult worker shall be required or allowed to work in a factory for
more than nine hours in any day:
1*[Provided that, subject to the previous approval of the Chief
Inspector, the daily maximum specified in this section may be exceeded
in order to facilitate the change of shifts.]
55.
Intervals for rest.
55. Intervals for rest. 2*[(1)]3*[The periods of work] of adult
workers in a factory each day shall be so fixed that no period shall
exceed five hours and that no worker shall work for more than five
hours before he has had an interval for rest of at least half an hour.
4*[(2) The State Government or, subject to the control of the
State Government, the Chief Inspector, may, by written order and for
the reasons specified therein, exempt any factory from the provisions
of sub-section (1) so however that the total number of hours worked by
a worker without an interval does not exceed six.]
56.
Spreadover.
56. Spreadover. The periods of work of an adult worker in a
factory shall be so arranged that inclusive of his intervals for rest
under section 55, they shall not spreadover more than ten and a half
hours in any day:
40
Provided that the Chief Inspector may, for reasons to be
specified in writing, increase the 5*[spreadover up to twelve hours].
57.
Night shifts.
57. Night shifts. Where a worker in a factory works on a shift
which extends beyond midnight,--
(a) for the purposes of sections 52 and 53, a holiday for a
whole day shall mean in his case a period of twentyfour
consecutive hours beginning when his shift ends;
(b) the following day for him shall be deemed to be the
period of twenty-four hours beginning when such shift
----------------------------------------------------------------------
1. Added by Act 25 of 1954, s. 10.
2. S. 55 renumbered as sub-section (1) of that section by s. 11,
ibid.
3. Subs. by Act 40 of 1949, s. 3 and Sch. II, for "The period".
4. Added by Act 25 of 1954, s. 11.
5. Subs. by Act 94 of 1976, s. 24, for the words "spreadover to
twelve hours" (w.e.f. 26-10-1976).
64
ends, and the hours he has worked after midnight
shall be counted in the previous day.
58.
Prohibition of overlapping shifts.
58. Prohibition of overlapping shifts. (1) Work shall not be
carried on in any factory by means of a system of shifts so arranged
that more than one relay of workers is engaged in work of the same
kind at the same time.
1*[(2) The State Government or subject to the control of the
State Government, the Chief Inspector, may, by written order and for
the reasons specified therein, exempt on such conditions as may be
deemed expedient, any factory or class or description of factories or
any department or section of a factory or any category or description
of workers therein from the provisions of sub-section (1).]
59.
Extra wages for overtime.
59. Extra wages for overtime. (1) Where a worker works in a
factory for more than nine hours in any day or for more than fortyeight
hours in any week, he shall, in respect of overtime work, be
entitled to wages at the rate of twice his ordinary rate of wages.
2*[(2) For the purposes of sub-section (1), "ordinary rate of
wages" means the basic wages plus such allowances, including the cash
equivalent of the advantage accruing through the concessional sale to
workers of foodgrains and other articles, as the worker is for the
time being entitled to, but does not include a bonus and wages for
overtime work.
(3) Where any workers in a factory are paid on a piece-rate
basis, the time rate shall be deemed to be equivalent to the daily
average of their full-time earnings for the days on which they
actually worked on the same or identical job during the month
41
immediately preceding the calendar month during which the overtime
work was done, and such time rates shall be deemed to be the ordinary
rates of wages of those workers:
Provided that in the case of a worker who has not worked in the
immediately preceding calendar month on the same or identical job, the
time rate shall be deemed to be equivalent to the daily average of the
earning of the worker for the days on which he actually worked in the
week in which the overtime work was done.
Explanation.--For the purposes of this sub-section in computing
the earnings for the days on which the worker actually worked such
allowances, including the cash equivalent of the advantage accruing
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 12.
2. Subs. by Act 94 of 1976, s. 25, for sub-sections (2) and (3)
(w.e.f. 26-10-1976).
65
through the concessional sale to workers of foodgrains and other
articles, as the worker is for the time being entitled to, shall be
included but any bonus or wages for overtime work payable in relation
to the period with reference to which the earnings are being computed
shall be excluded.]
1*[(4) The cash equivalent of the advantage accruing through the
concessional sale to a worker of foodgrains and other articles shall
be computed as often as may be prescribed on the basis of the maximum
quantity of foodgrains and other articles admissible to a standard
family.
Explanation 1.--"Standard family" means a family consisting of
the worker, his or her spouse and two children below the age of
fourteen years requiring in all three adult consumption units.
Explanation 2.--"Adult consumption unit" means the consumption
unit of a male above the age of fourteen years; and the consumption
unit of a female above the age of fourteen years; and that of a child
below the age of fourteen years shall be calculated at the rates of .8
and .6 respectively of one adult consumption unit.
(5) The State Government may make rules prescribing-
(a) the manner in which the cash equivalent of the
advantage accruing through the concessional sale to a
worker of foodgrains and other articles shall be
computed; and
(b) the registers that shall be maintained in a factory for
the purpose of securing compliance with the provisions
of this section.]
60.
Restriction on double employment.
60. Restriction on double employment. No adult worker shall be
required or allowed to work in any factory on any day on which he has
already been working in any other factory, save in such circumstances
as may be prescribed.
61.
Notice of periods of work for adults.
61. Notice of periods of work for adults. (1) There shall be
displayed and correctly maintained in every factory in accordance with
the provisions of sub-section (2) of section 108, a notice of periods
42
of work for adults, showing clearly for every day the periods during
which adult workers may be required to work.
(2) The periods shown in the notice required by sub-section (1)
shall be fixed beforehand in accordance with the following provisions
of this section, and shall be such that workers working for those
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 13.
66
periods would not be working in contravention of any of the provisions
of sections, 51,52,54, 1*[55,56 and 58].
(3) Where all the adult workers in a factory are required to work
during the same periods, the manager of the factory shall fix those
periods for such workers generally.
(4) Where all the adult workers in a factory are not required to
work during the same periods, the manager of the factory shall
classify them into groups according to the nature of their work
indicating the number of workers in each group.
(5) For each group which is not required to work on a system of
shifts, the manager of the factory shall fix the periods during which
the group may be required to work.
(6) Where any group is required to work on a system of shifts and
the relays are not to be subject to predetermined periodical changes
of shifts, the manager of the factory shall fix the periods during
which each relay of the group may be required to work.
(7) Where any group is to work on a system of shifts and the
relays are to be subject to predetermined periodical changes of
shifts, the manager of the factory shall draw up a scheme of shifts
where-under the periods during which any relay of the group may be
required to work and the relay which will be working at any time of
the day shall be known for any day.
(8) The State Government may prescribe forms of the notice
required by sub-section (1) and the manner in which it shall be
maintained.
(9) In the case of a factory beginning work after the
commencement of this Act, a copy of the notice referred to in subsection
(1) shall be sent in duplicate to the Inspector before the day
on which work is begun in the factory.
(10) Any proposed change in the system of work in any factory
which will necessitate a change in the notice referred to in subsection
(1) shall be notified to the Inspector in duplicate before the
change is made, and except with the previous sanction of the
Inspector, no such change shall be made until one week has elapsed
since the last change.
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 14, for "55 and 56".
67
62.
Register of adult workers.
62. Register of adult workers. (1) The manager of every factory
shall maintain a register of adult workers, to be available to the
Inspector at all times during working hours, or when any work is being
carried on in the factory, showing--
(a) the name of each adult worker in the factory;
(b) the nature of his work;
43
(c) the group, if any, in which he is included;
(d) where his group works on shifts, the relay to which he
is allotted;
(e) such other particulars as may be prescribed:
Provided that, if the Inspector is of opinion that any muster
roll or register maintained as part of the routine of a factory gives
in respect of any or all the workers in the factory the particulars
required under this section, he may, by order in writing, direct that
such muster roll or register shall to the corresponding extent be
maintained in place of, and be treated as, the register of adult
workers in that factory.
1*[(1A) No adult worker shall be required or allowed to work in
any factory unless his name and other particulars have been entered in
the register of adult workers.]
(2) The State Government may prescribe the form of the register
of adult workers, the manner in which it shall be maintained and the
period for which it shall be preserved.
63.
Hours of work to correspond with notice under section 61 and
registerunder
section 62.
63. Hours of work to correspond with notice under section 61 and
register under section 62. No adult worker shall be required or
allowed to work in any factory otherwise than in accordance with the
notice of periods of work for adults displayed in the factory and the
entries made before-hand against his name in the register of adult
workers of the factory.
64.
Power to make exempting rules.
64. Power to make exempting rules. (1) The State Government may
make rules defining the persons who hold positions of supervision or
management or are employed in a confidential position in a factory
2*[or empowering the Chief Inspector to declare any person, other than
a person defined by such rules, as a person holding position of
supervision or
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 26 (w.e.f. 26-10-1976).
2. Ins. by s. 27, ibid. (w.e.f. 26-10-1976).
68
management or employed in a confidential position in a factory if, in
the opinion of the Chief Inspector, such person holds such position or
is so employed], and the provisions of this Chapter, other than the
provisions of clause (b) of sub-section (1) of section 66 and of the
proviso to that sub-section, shall not apply to any person so defined
1*[or declared]:
1*[Provided that any person so defined or declared shall, where
the ordinary rate of wages of such person 2*[does not exceed the wage
limit specified in sub-section (6) of section 1 of the Payment of
Wages Act, 1936, as amended from time to time] be entitled to extra
wages in respect of overtime work under section 59.]
(2) The State Government may make rules in respect of adult
workers in factories providing for the exemption, to such extent and
subject to such conditions as may be prescribed--
44
(a) of workers engaged on urgent repairs, from the
provisions of section 51,52,54,55 and 56;
(b) of workers engaged in work in the nature of preparatory
or complementary work which must necessarily be carried
on outside the limits laid down for the general working
of the factory, from the provisions of sections 51, 54,
55 and 56;
(c) of workers engaged in work which is necessarily so
intermittent that the intervals during which they do
not work while on duty ordinarily amount to more than
the intervals for rest required by or under section 55,
from the provisions of sections 51, 54, 55 and 56;
(d) of workers engaged in any work which for technical
reasons must be carried on continuously 3*** from the
provisions of sections 51, 52, 54, 55 and 56;
(e) of workers engaged in making or supplying articles of
prime necessity which must be made or supplied every
day, from the provisions of 4*[section 51 and section
52];
(f) of workers engaged in a manufacturing process which
cannot be carried on except during fixed seasons, from
the provisions of 3*[section 51, section 52 and section
54];
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 27 (w.e.f. 26-10-1976).
2. Subs. by Act 20 of 1987, s. 21 (w.e.f. 1-12-1987).
3. The word "throughout the day" omitted by Act 25 of 1954, s. 15.
4. Subs. by Act 94 of 1976, s. 27, for "section 52" (w.e.f. 26-10-
1976).
69
(g) of workers engaged in a manufacturing process which
cannot be carried on except at times dependent on the
irregular action of natural forces, from the provisions
of sections 52 and 55;
(h) of workers engaged in engine-rooms or boiler-houses or
in attending to power-plant or transmission machinery,
from the provisions of 1*[section 51 and section 52];
2*[(i) of workers engaged in the printing of newspapers, who
are held up on account of the breakdown of machinery,
from the provisions of sections 51, 54 and 56.
Explanation.--In this clause the expression "newspapers" has
the meaning assigned to it in the Press and Registration of
Books Act, 1867 (25 of 1867);
(j) of workers engaged in the loading or unloading of
railway wagons 3*[or lorries or trucks,] from the
provisions of section 51, 52, 54, 55 and 56;]
3*[(k) of workers engaged in any work, which is notified by
the State Government in the Official Gazette as a work
of national importance, from the provisions of section
51, section 52, section 54, section 55 and section 56.]
(3) Rules made under sub-section (2) providing for any exemption
may also provide for any consequential exemption from the provisions
of section 61 which the State Government may deem to be expedient,
subject to such conditions as it may prescribe.
4*[(4) In making rules under this section, the State Government
shall not exceed, except in respect of exemption under clause (a) of
sub-section (2), the following limits of work inclusive of overtime:-
45
(i) the total number of hours of work in any day shall not
exceed ten;
[B
(ii) the spreadover, inclusive of intervals for rest, shall
not exceed twelve hours in any one day:
Provided that the State Government may, in respect of any or all
of the categories of workers referred to in clause (d) of sub-section
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 27, for "section 52" (w.e.f. 26-10-
1976).
2. Added by Act 25 of 1954, s. 15.
3. Ins. by Act 94 of 1976, s. 27 (w.e.f. 26-10-1976).
4. Subs. by Act 25 of 1954, s. 15, for sub-section (4).
70
(2), make rules prescribing the circumstances in which, and the
conditions subject to which, the restrictions imposed by clause (i)
and clause (ii) shall not apply in order to enable a shift worker to
work the whole or part of a subsequent shift in the absence of a
worker who has failed to report for duty;
1*[(iii) the total number of hours of work in a week,
including overtime, shall not exceed sixty;]
2*[(iv) the total number of hours of overtime shall not
exceed fifty for any one quarter.
Explanation.--"Quarter" means a period of three consecutive
months beginning on the 1st of January, the 1st of April the
1st of July or the 1st of October.]
(5) Rules made under this section shall remain in force for not
more than 3*[five years].
65.
Power to make exempting orders.
65. Power to make exempting orders. (1) Where the State
Government is satisfied that, owing to the nature of the work carried
on or to other circumstances, it is unreasonable to require that the
periods of work of any adult workers in any factory or class or
description of factories should be fixed beforehand, it may, by
written order, relax or modify the provisions of section 61 in respect
of such workers therein, to such extent and in such manner as it may
think fit, and subject to such conditions as it may deem expedient to
ensure control over periods of work.
(2) The State Government or, subject to the control of the State
Government, the Chief Inspector, may by written order exempt, on such
conditions as it or he may deem expedient, any or all of the adult
workers in any factory or group or class or description of factories
from any or all of the provisions of sections 51, 52, 54 and 56 on the
ground that the exemption is required to enable the factory or
factories to deal with an exceptional press of work.
4*[(3) Any exemption granted under sub-section (2) shall be
subject to the following conditions, namely:--
(i) the total number of hours of work in any day shall not
exceed twelve;
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 27 (w.e.f. 26-10-1976).
2. Cl. (iii) renumbered as cl. (iv) by s. 27, ibid. (w.e.f. 26-10-
1976).
3. Subs. by s. 27, ibid., for "three years" (w.e.f. 26-10-1976).
4. Subs. by s. 28, ibid, for sub-section (3) (w.e.f. 26-10-1976).
70A
46
(ii) the spreadover, inclusive of intervals for rest, shall
not exceed thirteen hours in any one day;
(iii)the total number of hours of work in any week,
including overtime, shall not exceed sixty;
(iv) no worker shall be allowed to work overtime, for more
than seven days at a stretch and the total number of
hours of overtime work in any quarter shall not exceed
seventy-five.
Explanation.--In this sub-section "quarter" has the same meaning
as in sub-section (4) of section 64.]
1* * * * *
66.
Further restrictions on employment of women.
66. Further restrictions on employment of women. (1) The
provisions of this Chapter shall, in their application to women in
factories, be supplemented by the following further restrictions,
namely:--
(a) no exemption from the provisions of section 54 may be
granted in respect of any woman;
(b) no woman shall be 2*[required or allowed to work in any
factory] except between the hours of 6 A.M. and 7 P.M.
Provided that the State Government may, by notification
in the Official Gazette, in respect of 2*[any factory
or group or class or description of factories,] vary
the limits laid down in clause (b), but so that no such
variation shall authorize the employment of any woman
between the hours of 10 P.M. and 5 A.M.;
3*[(c) there shall be no change of shifts except after a
weekly holiday or any other holiday.]
(2) The State Government may make rules providing for the
exemption from the restrictions set out in sub-section (1), to such
extent and subject to such conditions as it may prescribe, of women
working in fish-curing or fish-canning factories, where the employment
of women beyond the hours specified in the said restrictions is
necessary to prevent damage to, or deterioration in, any raw material.
(3) The rules made under sub-section (2) shall remain in force
for not more than three years at a time.
---------------------------------------------------------------------
1. Sub-section (4) omitted by Act 94 of 1976, s. 28 (w.e.f. 26-10-
1976).
2. Subs. by s. 29, ibid., for certain words (w.e.f. 26-10-1976).
3. Ins. by Act 25 of 1954, s. 17.
70B
CHAP
EMPLOYMENT OF YOUNG PERSONS
CHAPTER VII
EMPLOYMENT OF YOUNG PERSONS
67.
47
Prohibition of employment of young children.
67. Prohibition of employment of young children. No child who has
not completed his fourteenth year shall be required or allowed to work
in any factory.
68.
Non-adult workers to carry tokens.
68. Non-adult workers to carry tokens. A child who has completed
his fourteenth year or an adolescent shall not be required or allowed
to work in any factory unless--
(a) a certificate of fitness granted with reference to him
under section 69 is in the custody of the manager of
the factory, and
(b) such child or adolescent carries while he is at work a
token giving a reference to such certificate.
69.
Certificates of fitness.
69. Certificates of fitness. (1) A certifying surgeon shall, on
the application of any young person or his parent or guardian
accompanied by a document signed by the manager of a factory that such
person will be employed therein if certified to be fit for work in a
factory, or on the application of the manager of the factory in which
any young person wishes to work, examine such person and ascertain his
fitness for work in a factory.
71
(2) The certifying surgeon, after examination, may grant to such
young person, in the prescribed form, or may renew--
(a) a certificate of fitness to work in a factory as a
child, if he is satisfied that the young person has
completed his fourteenth year, that he has attained the
prescribed physical standards and that he is fit for
such work;
(b) a certificate of fitness to work in a factory as an
adult, if he is satisfied that the young person has
completed his fifteenth year, and is fit for a full
day's work in a factory:
Provided that unless the certifying surgeon has personal
knowledge of the place where the young person proposes to work and of
the manufacturing process in which he will be employed, he shall not
grant or renew a certificate under this sub-section until he has
examined such place.
(3) A certificate of fitness granted or renewed under sub-section
(2)--
(a) shall be valid only for a period of twelve months from
the date thereof;
(b) may be made subject to conditions in regard to the
nature of the work in which the young person may be
employed, or requiring re-examination of the young
person before the expiry of the period of twelve
months.
48
(4) A certifying surgeon shall revoke any certificate granted or
renewed under sub-section (2) if in his opinion the holder of it is no
longer fit to work in the capacity stated therein in a factory.
(5) Where a certifying surgeon refuses to grant or renew a
certificate or a certificate of the kind requested or revokes a
certificate, he shall, if so requested by any person who could have
applied for the certificate or the renewal thereof, state his reasons
in writing for so doing.
(6) Where a certificate under this section with reference to any
young person is granted or renewed subject to such conditions as are
referred to in clause (b) of sub-section (3), the young person shall
not be required or allowed to work in any factory except in accordance
with those conditions.
(7) Any fee payable for a certificate under this section shall be
paid by the occupier and shall not be recoverable from the young
person, his parents or guardian.
72
70.
Effect of certificate of fitness granted to adolescent.
70. Effect of certificate of fitness granted to adolescent. (1)
An adolescent who has been granted a certificate of fitness to work in
a factory as an adult under clause (b) of sub-section (2) of section
69, and who while at work in a factory carries a token giving
reference to the certificate, shall be deemed to be an adult for all
the purposes of Chapters VI and VIII:
1* * * * *
1*[(1A) No female adolescent or a male adolescent who has not
attained the age of seventeen years but who has been granted a
certificate of fitness to work in a factory as an adult, shall be
required or allowed to work in any factory except between 6 A.M. and 7
P.M:
Provided that the State Government may, by notification in the
Official Gazette, in respect of any factory or group or class or
description of factories,--
(i) vary the limits laid down in this subsection
so, however, that no such section shall
authorise the employment of any female adolescent
between 10 P.M. and 5 A.M.;
(ii) grant exemption from the provisions of
this sub-section in case of serious emergency
where national interest is involved.]
(2) An adolescent who has not been granted a certificate of
fitness to work in a factory as an adult under the aforesaid clause
(b) shall, notwithstanding his age, be deemed to be a child for all
the purposes of this Act.
71.
Working hours for children.
71. Working hours for children. (1) No child shall be employed or
permitted to work, in any factory--
(a) for more than four and a half hours in any day;
2*[(b) during the night.
49
Explanation.--For the purpose of this sub-section "night" shall
mean a period of at least twelve consecutive hours which shall include
the interval between 10 P.M. and 6 A.M.]
(2) The period of work of all children employed in a factory
shall be limited to two shifts which shall not overlap or spread over
more than five hours each; and each child shall be employed in only
one of the relays which shall not, except with the previous permission
in writing of the Chief Inspector, be changed more frequently than
once in a period of thirty days.
(3) The provisions of section 52 shall apply also to child
workers and no exemption from the provisions of that section may be
granted in respect of any child.
(4) No child shall be required or allowed to work in any factory
on any day on which he has already been working in another factory.
3*[(5) No female child shall be required or allowed to work in
any factory except between 8 A.M. and 7 P.M.]
---------------------------------------------------------------------
1. Omitted and ins. by Act 20 of 1987, s. 22 (w.e.f. 1.12.87).
2. Subs. by Act 25 of 1954 s. 19.
3. Ins. by Act 20 of 1987 s. 23 (w.e.f. 1.12.1987).
73
72.
Notice of periods of work for children.
72. Notice of periods of work for children. (1) There shall be
displayed and correctly maintained in every factory in which children
are employed, in accordance with the provisions of sub-section (2) of
section 108 a notice of periods of work for children, showing clearly
for every day the periods during which children may be required or
allowed to work.
(2) The periods shown in the notice required by sub-section (1)
shall be fixed beforehand in accordance with the method laid down for
adult workers in section 61, and shall be such that children working
for those periods would not be working in contravention of any of the
provisions of section 71.
(3) The provisions of sub-sections (8), (9) and (10) of section
61 shall apply also to the notice required by sub-section (1) of this
section.
73.
Register of child workers.
73. Register of child workers. (1) The manager of every factory
in which children are employed shall maintain a register of child
workers, to be available to the Inspector at all times during working
hours or when any work is being carried on in a factory, showing-
(a) the name of each child worker in the factory,
(b) the nature of his work,
(c) the group, if any, in which he is included,
(d) where his group works on shifts, the relay to which he
is allotted, and
(e) the number of his certificate of fitness granted under
section 69.
50
1*[(1A) No child worker shall be required or allowed to work in
any factory unless his name and other particulars have been entered in
the register of child workers.]
(2) The State Government may prescribe the form of the register
of child workers, the manner in which it shall be maintained and the
period for which it shall be preserved.
74.
Hours of work to correspond with notice under section 72 and
registerunder
section 73.
74. Hours of work to correspond with notice under section 72 and
register under section 73. No child shall be employed in any factory
otherwise than in accordance with the notice of periods of work for
children displayed in the factory and the entries made beforehand
against his name in the register of child workers of the factory.
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 30 (w.e.f. 26-10-1976).
74
75.
Power to require medical examination.
75. Power to require medical examination. Where an Inspector is
of opinion--
(a) that any person working in a factory without a
certificate of fitness is a young person, or
(b) that a young person working in a factory with a
certificate of fitness is no longer fit to work in the
capacity stated therein,--
he may serve on the manager of the factory a notice requiring that
such person or young person, as the case may be, shall be examined by
a certifying surgeon, and such person or young person shall not, if
the Inspector so directs, be employed, or permitted to work, in any
factory until he has been so examined and has been granted a
certificate of fitness or a fresh certificate of fitness, as the case
may be, under section 69, or has been certified by the certifying
surgeon examining him not to be a young person.
76.
Power to make rules.
76. Power to make rules. The State Government may make rules-
(a) prescribing the forms of certificates of fitness to be
granted under section 69, providing for the grant of
duplicates in the event of loss of the original
certificates, and fixing the fees which may be charged
for such certificates and renewals thereof and such
duplicates;
(b) prescribing the physical standards to be attained by
children and adolescents working in factories;
(c) regulating the procedure of certifying surgeons under
this Chapter;
51
(d) specifying other duties which certifying surgeons may
be required to perform in connection with the
employment of young persons factories, and fixing the
fees which may be charged for such duties and the
persons by whom they shall be payable.
77.
Certain other provisions of law not barred.
77. Certain other provisions of law not barred. The provisions of
this Chapter shall be in addition to, and not in derogation of, the
provisions of the Employment of Children Act, 1938. (26 of 1938).
CHAP
ANNUAL LEAVE WITH WAGES
1*[CHAPTER VIII
ANNUAL LEAVE WITH WAGES
78.
Application of Chapter.
78. Application of Chapter. (1) The provisions of this Chapter
shall not operate to the prejudice of any right to which a worker may
be entitled under any
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 20, for the former Ch. VIII.
75
other law or under the terms of any award, 1*[agreement (including
settlement)] or contract of service:
2*[Provided that if such award, agreement (including settlement)
or contract of service provides for a longer annual leave with wages
than provided in this Chapter, the quantum of leave, which the worker
shall be entitled to, shall be in accordance with such award,
agreement or contract of service, but in relation to matters not
provided for in such award, agreement or contract of service or
matters which are provided for less favourably therein, the provisions
of sections 79 to 82, so far as may be, shall apply.]
(2) The provisions of this Chapter shall not apply to workers
3*[in any factory] of any railway administered by the Government, who
are governed by leave rules approved by the Central Government.
79.
Annual leave with wages.
79. Annual leave with wages. (1) Every worker who has worked for
a period of 240 days or more in a factory during a calendar year shall
be allowed during the subsequent calendar year, leave with wages for a
number of days calculated at the rate of--
(i) if an adult, one day for every twenty days of work
performed by him during the previous calendar year;
(ii) if a child, one day for every fifteen days of work
performed by him during the previous calendar year.
52
Explanation 1.--For the purpose of this sub-section-
(a) any days of lay off, by agreement or contract or as
permissible under the standing orders;
(b) in the case of a female worker, maternity leave for any
number of days not exceeding twelve weeks; and
(c) the leave earned in the year prior to that in which the
leave is enjoyed;
shall be deemed to be days on which the worker has worked in a factory
for the purpose of computation of the period of 240 days or more, but
he shall not earn leave for these days.
Explanation 2.--The leave admissible under this sub-section shall
be exclusive of all holidays whether occurring during or at either end
of the period of leave.
--------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 31, for "agreement" (w.e.f. 26-10-
1976).
2. Subs. by s. 31, ibid., for the proviso (w.e.f. 26-10-1976).
3. Subs. by s. 31, ibid., for "in any workshop" (w.e.f. 26-10-1976).
76
(2) A worker whose service commences otherwise than on the first
day of January shall be entitled to leave with wages at the rate laid
down in clause (i) or, as the case may be, clause (ii) of sub-section
(1) if he has worked for two-thirds of the total number of days in the
remainder of the calendar year.
1*[(3) If a worker is discharged or dismissed from service or
quits his employment or is superannuated or dies while in service,
during the course of the calendar year, he or his heir or nominee, as
the case may be, shall be entitled to wages in lieu of the quantum of
leave to which he was entitled immediately before his discharge,
dismissal, quitting of employment, superannuation or death calculated
at the rates specified in sub-section (1), even if he had not worked
for the entire period specified in sub-section (1) or sub-section (2)
making him eligible to avail of such leave, and such payment shall be
made--
(i) where the worker is discharged or dismissed or quits
employment, before the expiry of the second working day
from the date of such discharge, dismissal or quitting;
and
(ii) where the worker is superannuated or dies while in
service, before the expiry of two months from the date
of such superannuation or death.]
(4) In calculating leave under this section, fraction of leave of
half a day or more shall be treated as one full day's leave, and
fraction of less than half a day shall be omitted.
(5) If a worker does not in any one calendar year take the whole
of the leave allowed to him under sub-section (1) or sub-section (2),
as the case may be, any leave not taken by him shall be added to the
leave to be allowed to him in the succeeding calendar year:
Provided that the total number of days of leave that may be
carried forward to a succeeding year shall not exceed thirty in the
case of an adult or forty in the case of a child:
Provided further that a worker, who has applied for leave with
wages but has not been given such leave in accordance with any scheme
laid down in sub-sections (8) and (9) 2*[or in contravention of
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 32, for sub-section (3) (w.e.f. 26-
10-1976).
2. Ins. by s. 32, ibid. (w.e.f. 26-10-1976).
53
77
sub-section (10)] shall be entitled to carry forward the 1*[leave
refused] without any limit.
(6) A worker may at any time apply in writing to the manager of a
factory not less than fifteen days before the date on which he wishes
his leave to begin, to take all the leave or any portion thereof
allowable to him during the calendar year:
Provided that the application shall be made not less than thirty
days before the date on which the worker wishes his leave to begin, if
he is employed in a public utility service as defined in clause (n) of
section 2 of the Industrial Disputes Act, 1947: (14 of 1947.)
Provided further that the number of times in which leave may be
taken during any year shall not exceed three.
(7) If a worker wants to avail himself of the leave with wages
due to him to cover a period of illness, he shall be granted such
leave even if the application for leave is not made within the time
specified in sub-section (6); and in such a case wages as admissible
under section 81 shall be paid not later than fifteen days, or in the
case of a public utility service not later than thirty days from the
date of the application for leave.
(8) For the purpose of ensuring the continuity of work, the
occupier or manager of the factory, in agreement with the Works
Committee of the factory constituted under section 3 of the Industrial
Disputes Act, 1947 (14 of 1947), or a similar Committee constituted
under any other Act or if there is no such Works Committee or a
similar Committee in the factory, in agreement with the
representatives of the workers therein chosen in the prescribed
manner, may lodge with the Chief Inspector a scheme in writing whereby
the grant of leave allowable under this section may be regulated.
(9) A scheme lodged under sub-section (8) shall be displayed at
some conspicuous and convenient places in the factory and shall be in
force for a period of twelve months from the date on which it comes
into force, and may thereafter be renewed with or without modification
for a further period of twelve months at a time, by the manager in
agreement with the Works Committee or a similar Committee, or as the
case may be, in agreement with the representatives of the workers as
specified in sub-section (8), and a notice of renewal shall be sent to
the Chief Inspector before it is renewed.
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 32, for "unavailed leave" (w.e.f. 26-
10-1976).
78
(10) An application for leave which does not contravene the
provisions of sub-section (6) shall not be refused, unless refusal is
in accordance with the scheme for the time being in operation under
sub-sections (8) and (9).
(11) If the employment of a worker who is entitled to leave under
sub-section (1) or sub-section (2), as the case may be, is terminated
by the occupier before he has taken the entire leave to which he is
entitled, or if having applied for and having not been granted such
leave, the worker quits his employment before he has taken the leave,
the occupier of the factory shall pay him the amount payable under
section 80 in respect of the leave not taken, and such payment shall
be made, where the employment of the worker is terminated by the
occupier, before the expiry of the second working day after such
termination, and where a worker who quits his employment, on or before
the next pay day.
(12) The unavailed leave of a worker shall not be taken into
consideration in computing the period of any notice required to be
given before discharge or dismissal.
54
80.
Wages during leave period.
80. Wages during leave period. (1) For the leave allowed to him
under 1*[section 78 or section 79, as the case may be,] a worker
2*[shall be entitled to wages] at a rate equal to the daily average of
his total full time earnings for the days on which 3*[he actually
worked] during the month immediately preceding his leave, exclusive of
any overtime and bonus but inclusive of dearness allowance and the
cash equivalent of the advantage accruing through the concessional
sale to the worker of foodgrains and other articles.
3*[Provided that in the case of a worker who has not worked on
any day during the calendar month immediately preceding his leave, he
shall be paid at a rate equal to the daily average of his total full
time earnings for the days on which he actually worked during the last
calendar month preceding his leave, in which he actually worked,
exclusive of any overtime and bonus but inclusive of dearness
allowance and the cash equivalent of the advantage accruing through
the concessional sale to the workers of foodgrains and other
articles.]
(2) The cash equivalent of the advantage accruing through the
concessional sale to the worker of foodgrains and other articles shall
be computed as often as may be prescribed, on the basis of the maximum
quantity of foodgrains and other articles admissible to a standard
family.
Explanation 1.--"Standard family" means a family consisting of a
worker, his or her spouse and two children below the age of fourteen
years requiring in all three adult consumption units.
Explanation 2.--"Adult consumption unit" means the consumption
unit of a male above the age of fourteen years; and the consumption
unit of a female above the age of fourteen years and that
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 33, for "section 79" (w.e.f. 26-10-
1976).
2. Subs. & Ins. by Act 20 of 1987, s. 24 (w.e.f. 1-12-87).
3. Subs. by Act 94 of 19 s. 33, for "he worked" (w.e.f. 26-10-1976).
79
of a child below the age of fourteen years shall be calculated at the
rates of .8 and .6 respectively of one adult consumption unit.
(3) The State Government may make rules prescribing--
(a) the manner in which the cash equivalent of the
advantage accruing through the concessional sale to a
worker of foodgrains and other articles shall be
computed; and
(b) the registers that shall be maintained in a factory for
the purpose of securing compliance with the provisions
of this section.
81.
Payment in advance in certain cases.
81. Payment in advance in certain cases. A worker who has been
allowed leave for not less than four days, in the case of an adult,
and five days, in the case of a child shall, before his leave begins,
be paid the wages due for the period of the leave allowed.
82.
55
Mode of recovery of unpaid wages.
82. Mode of recovery of unpaid wages. Any sum required to be paid
by an employer, under this Chapter but not paid by him shall be
recoverable as delayed wages under the provisions of the Payment of
Wages Act 1936 (4 of 1936),
83.
Power to make rules.
83. Power to make rules. The State Government may make rules
directing managers of factories to keep registers containing such
particulars as may be prescribed and requiring the registers to be
made available for examination by Inspectors.
84.
Power to exempt factories.
84. Power to exempt factories. Where the State Government is
satisfied that the leave rules applicable to workers in a factory
provide benefits which in its opinion are not less favourable than
those for which this Chapter makes provision it may, by written order,
exempt the factory from all or any of the provisions of this Chapter
subject to such conditions as may be specified in the order.
1*[Explanation.--For the purposes of this section, in deciding
whether the benefits which are provided for by any leave rules are
less favourable than those for which this Chapter makes provision, or
not, the totality of the benefits shall be taken into account.]
CHAP
SPECIAL PROVISIONS
CHAPTER IX
SPECIAL PROVISIONS
85.
Power to apply the Act to certain premises.
85. Power to apply the Act to certain premises. (1) The State
Government may, by notification in the Official Gazette, declare that
all or any of the provisions of this Act shall apply to any place
wherein a manufacturing process is carried on with
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 34 (w.e.f. 26-10-1976).
80
or without the aid of power or is so ordinarily carried on,
notwithstanding that--
(i) the number of persons employed therein is less than
ten, if working with the aid of power and less than
twenty if working without the aid of power, or
(ii) the persons working therein are not employed by the
owner thereof but are working with the permission of,
or under agreement with, such owner:
56
Provided that the manufacturing process is not being carried on
by the owner only with the aid of his family.
(2) After a place is so declared, it shall be deemed to be a
factory for the purposes of this Act, and the owner shall be deemed to
be the occupier, and any person working therein, a worker.
Explanation.--For the purposes of this section, "owner" shall
include a lessee or mortgagee with possession of the premises.
86.
Power to exempt public institutions.
86. Power to exempt public institutions. The State Government may
exempt, subject to such conditions as it may consider necessary, any
workshop or workplace where a manufacturing process is carried on and
which is attached to a public institution maintained for the purposes
of education, 1*[training, research] or reformation, from all or any
of the provisions of this Act:
Provided that no exemption shall be granted from the provisions
relating to hours of work and holidays, unless the persons having the
control of the institution submit, for the approval of the State
Government, a scheme for the regulation of the hours of employment,
intervals for meals, and holidays of the persons employed in or
attending the institution or who are inmates of the institution, and
the State Government is satisfied that the provisions of the scheme
are not less favourable than the corresponding provisions of this Act.
87.
Dangerous operations.
87. Dangerous operations. Where the State Government is of
opinion that any 2*[manufacturing process or operation] carried on is
a factory exposes any persons employed in it to a serious risk of
bodily injury, poisoning or
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 35, for "training" (w.e.f. 26-10-
1976).
2. Subs. by s. 36, ibid., for "operation" (w.e.f. 26-10-1976).
81
disease, it may make rules applicable to any factory or class or
description of factories in which the 1*[manufacturing process or
operation] is carried on--
(a) specifying the 1*[manufacturing process or operation]
and declaring it to be dangerous;
(b) prohibiting or restricting the employment of women,
adolescents or children in the 1*[manufacturing process
or operation];
(c) providing for the periodical medical examination of
persons employed, or seeking to be employed, in the
1*[manufacturing process or operation], and prohibiting
the employment of persons not certified as fit for such
employment 2*[and requiring the payment by the occupier
of the factory of fees for such medical examination];
(d) providing for the protection of all persons employed in
the 1*[manufacturing process or operation] or in the
vicinity of the places where it is carried on;
(e) prohibiting, restricting or controlling the use of any
57
specified materials or processes in connection with the
1*[manufacturing process or operation];
2*[(f) requiring the provision of additional welfare
amenities and sanitary facilities and the supply of
protective equipment and clothing, and laying down the
standards thereof, having regard to the dangerous
nature of the manufacturing process or operation;
3* * * * *
87A.
Power to prohibit employment on account of serious hazard.
4*[87A. Power to prohibit employment on account of serious
hazard. (1) Where it appears to the Inspector that conditions in a
factory or part thereof are such the they may cause serious hazard by
way of injury or death to the persons employed therein or to the
general public in the vicinity, he may, by order in writing to the
occupier of the factory, state the particulars in respect of which he
considers the factory or part thereof to be the cause of such serious
hazard and prohibit such occupier from employing any person in the
factory or any part thereof other than the minimum number of persons
necessary to attend to the minimum tasks till the hazard is removed.
(2) Any order issued by the Inspector under sub-section (1) shall
have effect for a period of three days until extended by the Chief
Inspector by a subsequent order.
(3) Any person aggrieved by an order of the Inspector under subsection
(1), and the Chief Inspector under sub-section (2), shall have
the right to appeal to the High Court.
(4) Any person whose employment has been affected by an order
issued under sub-section (1), shall be entitled to wages and other
benefits and it shall be the duty of the occupier to provide
alternative employment to him wherever possible and in the manner
prescribed.
(5) The provisions of sub-section (4) shall be without prejudice
to the rights of the parties under the Industrial Disputes Act,
1947 (14 of 1947).
88.
Notice of certain accidents.
88. Notice of certain accidents. 5*[(1)] Where in any factory an
accident occurs which causes death, or which causes any bodily injury
by reason of which the
---------------------------------------------------------------------
1. Subs. by Act 94 of 1976, s. 36, "operation" (w.e.f. 26-10-1976).
2. Ins. by s. 36, ibid. (w.e.f. 26-10-1976).
3. Omitted by Act 20 of 1987, s. 25 (w.e.f. 1-12-1987).
4. Ins. by s. 26, ibid. (w.e.f. 1-12-1987).
5. S. 88 renumbered as sub-section (1) of that section by Act
94 of 1976. s. 37, (w.e.f. 26-10-1976).
82
person injured is prevented from working for a period of forty-eight
hours or more immediately following the accident, or which is of such
nature as may be prescribed in this behalf, the manager of the factory
shall send notice thereof to such authorities, and in such form and
within such time, as may be prescribed.
1*[(2) Where a notice given under sub-section (1) relates to an
accident causing death, the authority to whom the notice is sent shall
58
make an inquiry into the occurrence within one month of the receipt of
the notice or, if such authority is not the Inspector, cause the
Inspector to make an inquiry within the said period.
(3) The State Government may make rules for regulating the
procedure at inquiries under this section.]
88A.
Notice of certain dangerous occurrences.
2*[88A. Notice of certain dangerous occurrences. Where in a
factory any dangerous occurrence of such nature as may be prescribed
occurs, whether causing any bodily injury or disability or not, the
manager of the factory shall send notice thereof to such authorities,
and in such form and within such time, as may be prescribed.]
89.
Notice of certain diseases.
89. Notice of certain diseases. (1) Where any worker in a factory
contracts any disease specified in 3*[the third Schedule], the manager
of the factory shall send notice thereof to such authorities, and in
such form and within such time, as may be prescribed.
(2) If any medical practitioner attends on a person who is or has
been employed in a factory, and who is or is believed by the medical
practitioner to be, suffering from any disease specified in 3*[the
third Schedule], the medical practitioner shall without delay send a
report in writing to the office of the Chief Inspector stating--
(a) the name and full postal address of the patient,
(b) the disease from which he believes the patient to be
suffering, and
(c) the name and address of the factory in which the
patient is, or was last, employed.
(3) Where the report under sub-seciton (2) is confirmed to the
satisfaction of the Chief Inspector, by the certificate of a
certifying surgeon or otherwise, that the person is suffering from a
disease specified in 3*[the Third Schedule], he shall pay to the
medical practitioner
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 37 (w.e.f. 26-10-1976).
2. Ins. by s. 38, ibid. (w.e.f. 26-10-1976).
3. Subs. by Act 20 of 1987, s. 27 (w.e.f. 1-12-1987).
83
such fee as may be prescribed, and the fee so paid shall be
recoverable as an arrear of land-revenue from the occupier of the
factory in which the person contracted the disease.
(4) If any medical practitioner fails to comply with the
provisions of sub-section (2), he shall be punishable with fine which
may extend to 1*[one thousand-rupees].
2*[(5) The Central Government may, by notification in the
Official Gazette, add to or alter the Third Schedule and any such
addition or alteration shall have effect as if it had been made by
this Act.]
90.
Power to direct enquiry into cases of accident or disease.
59
90. Power to direct enquiry into cases of accident or disease.
(1) The State Government may, if it considers it expedient so to do,
appoint a competent person to inquire into the causes of any accident
occurring in a factory or into any case where a disease specified in
2*[the Third Schedule] has been, or is suspected to have been,
contracted in a factory, and may also appoint one or more persons
possessing legal or special knowledge to act as assessors in such
inquiry.
(2) The person appointed to hold an inquiry under this section
shall have all the powers of a Civil Court under the Code of Civil
Procedure, 1908 (5 of 1908), for the purposes of enforcing the
attendance of witnesses and compelling the production of documents and
material objects, and may also, so far as may be necessary for the
purposes of the inquiry, exercise any of the powers of an Inspector
under this Act; and every person required by the person making the
inquiry to furnish any information shall be deemed to be legally bound
so to do within the meaning of section 176 of the Indian Penal Code
(45 of 1860).
(3) The person holding an inquiry under this section shall make a
report to the State Government stating the causes of the accident, or
as the case may be, disease, and any attendant circumstances, and
adding any observations which he or any of the assessors may think fit
to make.
(4) The State Government may, if it thinks fit, cause to be
published any report made under this section or any extracts
therefrom.
(5) The State Government may make rules for regulating the
procedure at inquiries under this section.
91.
Power to take samples.
91. Power to take samples. (1) An Inspector may at any time
during the normal working hours of a factory, after informing the
occupier or manager of the factory or other person for the time being
purporting to be in charge of the factory, take in the manner
hereinafter provided a sufficient sample of any substance used or
intended to be used in the factory, such use being--
(a) in the belief of the Inspector in contravention of any
of
---------------------------------------------------------------------
1. Subs. and added by Act 20 of 1987, s. 27 (w.e.f. 1-12-1987).
2. Subs. by s. 28, ibid. (w.e.f. 1-12-1987).
84
the provisions of this Act or the rules made
thereunder, or
(b) in the opinion of the Inspector likely to cause bodily
injury to, or injury to the health or, workers in the
factory.
(2) Where the Inspector takes a sample under sub-section (1), he
shall, in the presence of the person informed under that sub-section
unless such person wilfully absents himself, divide the sample into
three portions and effectively seal and suitably mark them, and shall
permit such person to add his own seal and mark thereto.
(3) The person informed as aforesaid shall, if the Inspector so
requires, provide the appliances for dividing, sealing and marking the
sample taken under this section.
60
(4) The Inspector shall--
(a) forthwith give one portion of the sample to the person
informed under sub-section (1);
(b) forthwith send the second portion to a Government
Analyst for analysis and report thereon;
(c) retain the third portion for production to the Court
before which proceedings, if any, are instituted in
respect of the substance.
(5) Any document purporting to be a report under the hand of any
Government Analyst upon any substance submitted to him for analysis
and report under this section, may be used as evidence in any
proceedings instituted in respect of the substance.
91A.
Safety and occupational health surveys.
1*[91A. Safety and occupational health surveys. (1) The Chief
Inspector, or the Director General of Factory Advice Service and
Labour Institutes, or the Director General of Health Services, to the
Government of India, or such other officer as may be authorised in
this behalf by the State Government or the Chief Inspector or the
Director General of Factory Advice Service and Labour Institutes or
the Director General of Health Services may, at any time during the
normal working hours of a factory, or at any other time as is found by
him to be necessary, after giving notice in writing to the occupier or
manager of the factory or any other person who for the time being
purports to be in charge of the factory, undertake safety and
occupational health surveys and such occupier or
---------------------------------------------------------------------
1. Ins. by Act 94 of 1976, s. 39 (w.e.f. 26-10-1976).
85
manager or other person shall afford all facilities for such survey,
including facilities for the examination and testing of plant and
machinery and collection of samples and other data relevant to the
survey.
(2) For the purpose of facilitating surveys under sub-section (1)
every worker shall, if so required by the person conducting the
survey, present himself to undergo such medical examination as may be
considered necessary by such person and furnish all information in his
possession and relevant to the survey.
(3) Any time spent by a worker for undergoing medical examination
or furnishing information under sub-section (2) shall, for the purpose
of calculating wages and extra wages for overtime work, be deemed to
be time during which such worker worked in the factory.]
1*[Explanation.--For the purposes of this section, the report, if
any, submitted to the State Government by the person conducting the
survey under sub-section (1) shall be deemed to be a report submitted
by an Inspector under this Act.
CHAP
PENALTIES AND PROCEDURE
CHAPTER X
PENALTIES AND PROCEDURE
92.
61
General penalty for offences.
92. General penalty for offences. Save as is otherwise expressly
provided in this Act and subject to the provisions of section 93, if
in, or in respect of, any factory there is any contravention of any of
the provisions of this Act or of any rules made thereunder or of any
order in writing given thereunder, the occupier and manager of the
factory shall each be guilty of an offence and punishable with
imprisonment for a term which may extend to 2*[two years] or with fine
which may extend to 2*[one lakh rupees] or with both, and if the
contravention is continued after conviction, with a further fine which
may extend to 2*[one thousand rupees] for each day on which the
contravention is so continued:
3*[Provided that where contravention of any of the provisions of
Chapter IV or any rule made thereunder section 87 has resulted in an
accident causing death or serious bodily injury, the fine shall not be
less than 2*[twenty five thousand] in the case of an accident causing
death, and 2*[five thousand rupees] in the case of an accident causing
serious bodily injury.
Explanation.--In this section and in section 94 "serious bodily
injury" means an injury which involves, or in all probability will
---------------------------------------------------------------------
1. Ins. by Act 20 of 1987, s. 29 (w.e.f. 1-12-1987)
2. Subs. by s. 30, ibid. (w.e.f. 1-12-1987).
3. Ins. by Act 94 of 1976 s. 40, (w.e.f. 26-10-1976).
86
involve, the permanent loss of the use of, or permanent injury to, any
limb or the permanent loss of, or injury to, sight or hearing, or the
fracture of any bone, but shall not include, the fracture of bone or
joint (not being fracture of more than one bone or joint) of any
phalanges of the hand or foot.]
93.
Liability of owner of premises in certain circumstances.
1*[93. Liability of owner of premises in certain circumstances.
(1) Where in any premises separate buildings are leased to different
occupiers for use as separate factories, the owner of the premises
shall be responsible for the provision and maintenance of common
facilities and services, such as approach roads, drainage, water
supply, lighting and sanitation.
(2) The Chief Inspector shall have, subject to the control of the
State Government, power to issue orders to the owner of the premises
in respect of the carrying out of the provisions of sub-section (1).
(3) Where in any premises, independent or self-contained, floors
or flats are leased to different occupiers for use as separate
factories, the owner of the premises shall be liable as if he were the
occupier or manager of a factory, for any contravention of the
provisions of this Act in respect of--
(i) latrines, urinals and washing facilities in so far as
the maintenance of the common supply of water for these
purposes is concerned;
(ii) fencing of machinery and plant belonging to the owner
and not specifically entrusted to the custody or use of
an occupier;
(iii)safe means of access to the floors or flats and
maintenance and cleanliness of stair cases and common
62
passages;
(iv) precautions in case of fire;
(v) maintenance of hoists and lifts; and
(vi) maintenance of any other common facilities provided in
the premises.
(4) The Chief Inspector shall have, subject to the control of the
State Government, power to issue orders to the owner of the premises
in respect of the carrying out the provisions of sub-section (3).
---------------------------------------------------------------------
1. Subs. by Act 25 of 1954, s. 21.
87
(5) The provisions of sub-section (3) relating to the liability
of the owner shall apply where in any premises independent rooms with
common latrines, urinals and washing facilities are leased to
different occupiers for use as separate factories:
Provided that the owner shall be responsible also for complying
with the requirements relating to the provision and maintenance of
latrines, urinals and washing facilities.
(6) The Chief Inspector shall have, subject to the control of the
State Government, the power to issue orders to the owner of the
premises referred to in sub-section (5) in respect of the carrying out
of the provisions of section 46 or section 48.
(7) Where in any premises portions of a room or a shed are leased
to different occupiers for use as separate factories, the owner of the
premises shall be liable for any contravention of the provisions of-
(i) Chapter III, except sections 14 and 15;
(ii) Chapter IV, except sections 22, 23, 27, 34, 35 and 36:
Provided that in respect of the provisions of sections
21, 24 and 32 and owner's liability shall be only in so
far as such provisions relate to things under his
control:
Provided further that the occupier shall be responsible
for complying with the provisions of Chapter IV in
respect of plant and machinery belonging to or supplied
by him;
(iii)section 42.
(8) The Chief Inspector shall have, subject to the control of the
State Government, power to issue orders to the owner of the premises
in respect of the carrying out the provisions of sub-section (7).
(9) In respect of sub-sections (5) and (7), while computing for
the purposes of any of the provisions of this Act the total number of
workers employed, the whole of the premises shall be deemed to be a
single factory.]
94.
Enhanced penalty after previous conviction.
94. Enhanced penalty after previous conviction. 1*[(1)] If any
person who has been convicted of any offence punishable under section
92 is again guilty of an offence involving a contravention of the same
provision, he shall be punishable on a subsequent conviction with
imprisonment for a term which may
---------------------------------------------------------------------
1. S. 94 renumbered as sub-section (1) of that section by Act 94 of
63
1976, s. 41 (w.e.f. 26-10-1976).
88
extend to 1*[three years] or with fine 2*[which shall not be less
than] 1*[ten thousand rupees] but which may extend to 1*[two lakh
rupees] or with both:
3*[Provided that the court may, for any adequate and special
reasons to be mentioned in the judgment, impose a fine of less than
1*[ten thousand rupees].
Provided further that where contravention of any of the
provisions of Chapter IV or any rule made thereunder or under section
87 has resulted in an accident causing death or serious bodily injury,
the fine shall not be less than 1*[thirty five thousand rupees] in the
case of an accident causing death and 1*[ten thousand rupees] in the
case of an accident causing serious bodily injury.]
4*[(2)] For the purposes of sub-section (1), no cognizance shall
be taken of any conviction made more than two years before the
commission of the offence for which the person is subsequently being
convicted.]
95.
Penalty for obstructing Inspector.
95. Penalty for obstructing Inspector. Whoever wilfully obstructs
an Inspector in the exercise of any power conferred on him by or under
this Act, or fails to produce on demand by an Inspector any registers
or other documents in his custody kept in pursuance of this Act or of
any rules made thereunder, or conceals or prevents any worker in a
factory from appearing before, or being examined by, an Inspector,
shall be punishable with imprisonment for a term which may extend to
5*[six months] or with fine which may extend to 5*[ten thousand
rupees] or with both.
96.
Penalty for wrongfully disclosing results of analysis under
section91.
96. Penalty for wrongfully disclosing results of analysis under
section 91. Whoever, except in so far as it may be necessary for the
purposes of a prosecution for any offence punishable under this Act,
publishes or discloses to any person the results of an analysis made
under section 91, shall be punishable with imprisonment for a term
which may extend to 6*[six months] or with fine which may extend to
6*[ten thousand rupees] or with both.
96A.
Penalty for contravention of the provisions of sections 41B, 41C
and41H.
7*[96A. Penalty for contravention of the provisions of sections
41B, 41C and 41H. (1) Whoever fails to comply with or contravenes any
of the provisions of sections 41B, 41C or 41H or the rules made
thereunder, shall, in respect of such failure or contravention, be
punishable with imprisonment for a term which may extend to seven
years and with fine which may extend to two lakh rupees, and in case
the failure or contravention continues, with additional fine which may
extend to five thousand rupees for every day during which such failure
or contravention continues after the conviction for the first such
failure or contravention.
64
(2) If the failure or contravention referred to in sub-section
(1) continues beyond a period of one year after the date of
conviction, the offender shall be punishable with imprisonment for a
term which may extend to ten years.
97.
Offences by workers.
97. Offences by workers. (1) Subject to the provisions of section
111, if any worker employed in a factory contravenes any provision of
this Act or any rules or orders made thereunder, imposing any duty or
liability on workers, he shall be punishable with fine which may
extend to 8*[five hundred rupees].
---------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 31 (w.e.f. 1-12-1987).
2. Subs. by Act 94 of 1976, s. 41, for certain words (w.e.f. 26-10-
1976).
3. Subs. by s. 41, ibid., for the proviso (w.e.f. 26-10-1976).
4. Ins. by s. 41, ibid.(w.e.f. 26-10-1976).
5. Subs. by Act 20 of 1987 s. 32, (w.e.f. 1-12-1987).
6. Subs. by s. 33, ibid. (w.e.f. 1-12-1987).
7. Ins. by s. 34, ibid. (w.e.f. 1-12-1987).
8. Subs. s. 35, ibid. (w.e.f. 1-12-1987).
88A
(2) Where a worker is convicted of an offence punishable under
sub-section (1), the occupier or manager of the factory shall not be
deemed to be guilty of an offence in respect of that contravention,
unless it is proved that he failed to take all reasonable measures for
its prevention.
98.
Penalty for using false certificate of fitness.
98. Penalty for using false certificate of fitness. Whoever
knowingly uses or attempts to use, as a certificate of fitness granted
to himself under section 70, a certificate granted to another person
under that section, or who, having procured such a certificate,
knowingly allows it to be used, or an attempt to use it to be made, by
another person, shall be punishable with imprisonment for a term which
may extend to 1*[two month] or with fine which may extend to 1*[one
thousand rupees] or with both.
99.
Penalty for permitting double employment of child.
99. Penalty for permitting double employment of child. If a child
works in a factory on any day on which he has already been working in
another factory, the parent or guardian of the child or the person
having custody of or control over him or obtaining any direct benefit
from his wages, shall be punishable with fine which may extend to
2*[one thousand rupees] unless it appears to the Court that the child
so worked without the consent or connivance of such parent, guardian
or person.
3* * * * *
---------------------------------------------------------------------
1. Subs. by Act 20 of 1987, s. 36 (w.e.f. 1-12-1987).
2. Subs. by. s. 37, ibid (w.e.f. 1-2-1987)
3. Omitted by s. 38, ibid (w.e.f. 1-12-1987).
88B
65
101.
Exemption of occupier or manager from liability in certain cases.
101. Exemption of occupier or manager from liability in certain
cases. Where the occupier or manager of a factory is charged with an
offence punishable under this Act, he shall be entitled, upon
complaint duly made by him and on giving to the prosecutor not less
than three clear days' notice in writing of his intention so to do, to
have any other person whom he charges as the actual offender brought
before the Court at the time appointed for hearing the charge; and if,
after the commission of the offence has been proved, the occupier or
manager of the factory, as the case may be, proves to the satisfaction
of the Court--
(a) that he has used due diligence to enforce the execution
of this Act, and
(b) that the said other person committed the offence in
question without his knowledge, consent or connivance,-
-
that other person shall be convicted of the offence and shall be
liable to the like punishment as if he were the occupier or manager of
the factory, and the occupier or manager, as the case may be, shall be
discharged from any liability under this Act in respect of such
offence:
Provided that in seeking to prove as aforesaid, the occupier or
manager of the factory, as the case may be, may be examined on oath,
and his evidence and that of any witness whom he calls in his
---------------------------------------------------------------------
88C
support shall be subject to cross-examination on behalf of the person
he charges as the actual offender and by the prosecutor:
Provided further that, if the person charged as the actual
offender by the occupier or manager cannot be brought before the Court
at the time appointed for hearing the charge, the Court shall adjourn
the hearing from time to time for a period not exceeding three months
and if by the end of the said period the person charged as the actual
offender cannot still be brought before the Court, the Court shall
proceed to hear the charge against the occupier or manager and shall,
if the offence be proved, convict the occupier or manager.
102.
Power of Court to make orders.
102. Power of Court to make orders. (1) Where the occupier or
manager of a factory is convicted of an offence punishable under this
Act the Court may, in addition to awarding any punishment, by order in
writing require him, with-in a period specified in the order (which
the Court may, if it thinks fit and on application in such behalf,
from time to time extend) to take such measures as may be so specified
for remedying the matters in respect of which the offence was
committed.
(2) Where an order is made under sub-section (1), the occupier or
manager of the factory, as the case may be, shall not be liable under
this Act in respect of the continuation of the offence during the
period or extended period, if any, allowed by the Court, but if, on
the expiry of such period or extended period, as the case may be, the
order of the Court has not been fully complied with, the occupier or
manager, as the case may be, shall be deemed to have committed a
further offence, and may be sentenced therefor by the Court to undergo
imprisonment for a term which may extend to six months or to pay a
fine which may extend to one hundred rupees for every day after such
66
expiry on which the order has not been complied with, or both to
undergo such imprisonment and to pay such fine, as aforesaid.
103.
Presumption as to employment.
103. Presumption as to employment. If a person is found in a
factory at any time, except during intervals for meals or rest, when
work is going on or the machinery is in motion, he shall until the
contrary is proved, be deemed for the purposes of this Act and the
rules made thereunder to have been at that time employed in the
factory.
104.
Onus as to age.
104. Onus as to age. (1) When any act or omission would, if a
person were under a certain age, be an offence punishable under this
Act, and such person is in the opinion of the Court prima facie under
such age, the burden shall be on the accused to prove that such person
is not under such age.
88D
(2) A declaration in writing by a certifying surgeon relating to
a worker that he has personally examined him and believes him to be
under the age stated in such declaration shall, for the purposes of
this Act and the rules made thereunder, be admissible as evidence of
the age of that worker.
104A
Onus of proving limits of what is practicable, etc.
1*[104A. Onus of proving limits of what is practicable, etc. In
any proceeding for an offence for the contravention of any provision
of this Act of rules made thereunder consisting of a failure to comply
with a duty or requirement to do something, it shall be for the person
who is alleged to have failed to comply with such duty or requirement,
to prove that it was not reasonably practicable or, as the case may
be, all practicable measures were taken to satisfy the duty or
requirement.]
105.
Cognizance of offences.
105. Cognizance of offences. (1) No Court shall take cognizance
of any offence under this Act except on complaint by, or with the
previous sanction in writing of, an Inspector.
(2) No Court below that of a Presidency Magistrate or of a
Magistrate of the first class shall try any offence punishable under
this Act.
106.
Limitation of prosecutions.
106. Limitation of prosecutions. No Court shall take cognizance
of any offence punishable under this Act unless complaint thereof made
67
within three months of the date on which the alleged commission of the
offence came to the knowledge of an Inspector:
Provided that where the offence consists of disobeying a written
order made by an Inspector, complaint thereof may be made within six
months of the date on which the offence is alleged to have been
committed.
2*[Explanation.--For the purposes of this section,--
(a) in the case of continuing offence, the period of
limitation shall be computed with reference to every
point of time during which the offence continues;
(b) where for the performance of any act time is granted or
extended on an application made by the occupier or
manager of a factory, the period of limitation shall be
computed from the date on which the time so granted or
extended expired.
106A
Jurisdiction of a court for entertaining proceedings, etc.,
foroffence.
3*[106A. Jurisdiction of a court for entertaining proceedings,
etc., for offence. For the purposes of conferring jurisdiction on any
court in relation to an offence under this Act or the rules made
thereunder in connection with the operation of any plant, the place
where the plant is for the time being situate shall be deemed to be
the place where such offence has been committed.]
CHAP
SUPPLEMENTAL
CHAPTER XI
SUPPLEMENTAL
107.
Appeals.
107. Appeals. (1) The manager of a factory on whom an order in
writing by an Inspector has been served under the provisions or this
Act or
---------------------------------------------------------------------
1. Ins. by Act 20 of 1987, s. 39 (w.e.f. 1-12-1987).
2. Ins. by Act 94 of 1976, s. 43 (w.e.f. 26-10-1976).
3. Ins. by Act 20 of 1987 s. 40 (w.e.f. 1-12-1987).
89
the occupier of the factory may, within thirty days of the service of
the order, appeal against it to the prescribed authority, and such
authority may, subject to rules made in this behalf by the State
Government, confirm, modify or reverse the order.
(2) Subject to rules made in this behalf by the State Government
(which may prescribe classes of appeals which shall not be heard with
the aid of assessors), the appellate authority may, or if so required
in the petition of appeal shall, hear the appeal with the aid of
assessors, one of whom shall be appointed by the appellate authority
and the other by such body representing the industry concerned as may
be prescribed:
68
Provided that if no assessor is appointed by such body before the
time fixed for hearing the appeal, or if the assessor so appointed
fails to attend the hearing at such time, the appellate authority may,
unless satisfied that the failure to attend is due to sufficient
cause, proceed to hear the appeal without the aid of such assessor or,
if it thinks fit, without the aid of any assessor.
(3) Subject to such rules as the State Government may make in
this behalf and subject to such conditions as to partial compliance or
the adoption of temporary measures as the appellate authority may in
any case think fit to impose, the appellate authority may, if it
thinks fit, suspend the order appealed against pending the decision of
the appeal.
108.
Display of notices.
108. Display of notices. (1) In addition to the notices required
to be displayed in any factory by or under this Act, there shall be
displayed in every factory a notice containing such abstracts of this
Act and of the rules made thereunder as may be prescribed and also the
name and address of the Inspector and the certifying surgeon.
(2) All notices required by or under this Act to be displayed in
a factory shall be in English and in a language understood by the
majority of the workers in the factory, and shall be displayed at some
conspicuous and convenient place at or near the main entrance to the
factory, and shall be maintained in a clean and legible condition.
(3) The Chief Inspector may, by order in writing served on the
manager of any factory, require that there shall be displayed in the
factory any other notice or poster relating to the health, safety or
welfare of the workers in the factory.
109.
Service of notices.
109. Service of notices. The State Government may make rules
prescribing the manner of the service of orders under this Act on
owners, occupiers or managers of factories.
90
110.
Returns.
110. Returns. The State Government may make rules requiring
owners, occupiers or mangers of factories to submit such returns,
occasional or periodical, as may in its opinion be required for the
purposes of this Act.
111.
Obligations of workers.
111. Obligations of workers. (1) No worker in a factory--
(a) shall wilfully interfere with or misuse any appliance,
convenience or other thing provided in a factory for
the purposes of securing the health, safety or welfare
of the workers therein;
69
(b) shall wilfully and without reasonable cause do anything
likely to endanger himself or others; and
(c) shall wilfully neglect to make use of any appliance or
other thing provided in the factory for the purposes of
securing the health of safety of the workers therein.
(2) If any worker employed in a factory contravenes any of the
provisions of this section or of any rule or order made thereunder, he
shall be punishable with imprisonment for a term which may extend to
three months, or with fine which may extend to one hundred rupees, or
with both.
111A
Right or workers, etc.
1*[111A. Right or workers, etc. Every worker shall have the right
to--
(i) obtain from the occupier, information relating to
workers' health and safety at work,
(ii) get trained within the factory wherever possible, or,
to get himself sponsored by the occupier for getting trained at a
training centre or institute, duly approved by the Chief
Inspector, where training is imparted for workers' health and
safety at work.
(iii) represent to the Inspector directly or through his
representative in the matter of inadequate provision for
protection of his health or safety in the factory.]
112.
General power to make rules.
112. General power to make rules. The State Government may make
rules providing for any matter which, under any of the provisions of
this Act, is to be or may be prescribed or which may be considered
expedient in order to give effect to the purposes of this Act.
113.
Powers of Centre to give directions.
113. Powers of Centre to give directions. The Central Government
may give directions to a State Government as to the carrying into
execution of the provisions of this Act.
114.
No charge for facilities and conveniences.
114. No charge for facilities and conveniences. Subject to the
provisions of section 46 no fee or charge shall be realised from any
worker in respect of any arrangements or facilities to be provided, or
any equipments or appliances to be supplied by the occupier under the
provisions of this Act.
115.
Publication of rules.
70
115. Publication of rules. 2*[(1)] All rules made under this Act
shall be published in the Official Gazette, and shall be subject to
the condition of previous publication ; and the date to be specified
under clause (3) of section 23 of the General Clauses Act, 1897,(10 of
1897.) shall be not less than 2*[forty five days] from the date on
which the draft of the proposed rules was published.
2*[(2) Every rule made by the State Government under this Act
shall be laid, as soon as may be after it is made, before the State
Legislature.]
---------------------------------------------------------------------
1. Ins. by Act 20 of 1987, s. 41 (w.e.f. 1.2.1987)
2. Re-numbered , subs. & Ins. by s. 42, ibid (w.e.f. 1.12.1987).
91
116.
Application of Act to Government factories.
116. Application of Act of Government factories. Unless otherwise
provided this Act shall apply to factories belonging to the Central or
any State Government.
117.
Protection to persons acting under this Act.
117. Protection to persons acting under this Act. No suit,
prosecution or other legal proceeding shall lie against any person for
anything which is in good faith done or intended to be done under this
Act.
118.
Restriction on disclosure of information.
118. Restriction on disclosure of information. (1) No Inspector
shall, while in service or after leaving the service, disclose
otherwise than in connection with the execution, or for the purposes,
of this Act any information relating to any manufacturing or
commercial business or any working process which may come to his
knowledge in the course of his official duties.
(2) Nothing in sub-section (1) shall apply to any disclosure of
information made with the previous consent in writing of the owner of
such business or process or for the purposes of any legal proceeding
(including arbitration) pursuant to this Act or of any criminal
proceeding which may be taken, whether pursuant to this Act or
otherwise, or for the purposes of any report of such proceedings as
aforesaid.
(3) If any Inspector contravenes the provisions of sub-section
(1) he shall be punishable with imprisonment for a term which may
extend to six months, or with fine which may extend to one thousand
rupees, or with both.
118A
Restriction on disclosure of information.
1*[118A. Restriction on disclosure of information. (1) Every
Inspector shall treat as confidential the source of any complaint
brought to his notice on the breach of any provision of this Act.
71
(2) No inspector shall, which making an inspection under this
Act, disclose to the occupier, manager or his representative that the
inspection is made in pursuance of the receipt of complaint:
Provided that nothing in this sub-section shall apply to any case
in which the person who has made the complaint has consented to
disclose his name.]
119.
Act to have effect notwithstanding anything contained in Act 37
of1970.
2*[119. Act to have effect notwithstanding anything contained in
Act 37 of 1970. The provisions of this Act shall have effect
notwithstanding anything inconsistent therewith contained in the
Contract Labour (Regulation and Abolition) Act, 1970. 3*[or any other
law for the time being in force]
120.
Repeal and savings.
120. Repeal and savings. The enactments set out in the Table
appended to this section are hereby repealed:
Provided that anything done under the said enactments which could
have been done under this Act if it had then been in force shall be
deemed to have been done under this Act.
---------------------------------------------------------------------
1. Ins. by Act 20 of 1987, s. 43 (w.e.f. 1-12-1987)
2. Ins, by Act 94 of 1976, s. 44 (w.e.f. 26-10-1976). The original
s. 119 was repealed by Act 35 of 1950, s. 2 and Sch. I.
3. Ins. by Act 20 of 1987 s. 44 (w.e.f. 1-12-1987).
91A
TABLE.--[Enactments repealed]. Rep. by the Repealing and Amending
Act, 1950 (35 of 1950), s. 2 and Sch. 1.

Organisational Culture

2008-10-02T17:18:00.001+04:30

ORGANIZATIONAL CULTURE

AIMS AND OBJECTIVES OF THE CHAPTER

By the end of the chapter you will:

Understand the relation between organizational culture and the business context. How
does culture contribute to organizational innovation and success?
Appreciate the contribution of organizational culture to the management of change;
Understand the analytic elements of organization culture, such as stories, myths, heroes
and villains;
Have reviewed some of the cultural types in organizations;
Not be too anxious about the remaining puzzles. If culture is unifying what about
multiple cultures and counter – cultures? Should we take a managerial or an
anthropological view of culture? Can culture be managed?
BRIEF OUTLINE OF CHAPTER
Introduction
Organizational culture and strategic management
Success, excellence, innovation
Culture and the management of change
Other cultures
Exploring organizational culture
Culture is symbolic
Culture is unifying
Culture is holistic
Classifying cultures?
Evaluating concepts of culture
Conflicting views of culture
Corporate culture or corporate image?
Managing culture?
Conclusion

CHAPTER SYNOPSIS

In this chapter we look first at the importance of the business context. What does
culture contribute to the bottom line? Secondly, culture is clearly a complex subject
and one we will need to explore in some detail. It refers to the totality of knowledge
in an organization or society. Thirdly we need to review the strengths and
weaknesses of the cultural metaphor – in particular the tensions that exist between
the idea that beliefs and meanings can be ‘managed’ and that of culture as a unique
set of attributes.

ANNOTATED LECTURE OUTLINE
INTRODUCTION, AIMS AND OBJECTIVES OF LECTURE

Point 1 – Introduction

This sets the context for the lecture. Originally an anthropological term, culture refers
to the underlying values, beliefs and codes of practice that makes a community what
it is. The customs of society, the self – image of its members, the things that make it
different from other societies, are its culture. Culture is powerfully subjective and
reflects the meanings and understandings that we typically attribute to situations, the
solutions that we apply to common problems. The idea of a common culture
suggests possible problems about whether organizations have cultures.
Organizations are only one constituent element of society. People enter them from
the surrounding community and bring their culture with them. It is still possible for
organizations to have cultures of their own as they possess the paradoxical quality of
being both ‘part’ of and ‘apart’ from society. They are embedded in the wider societal
context but they are also communities of their own with distinct rules and values.
Point 2 – Organizational culture and strategic management
Culture has long been on the agenda of management theorists. Culture change
must mean changing the corporate ethos, the images and values that inform action
and this new way of understanding organizational life must be brought into the
management process. There are a number of central aspects of culture:
There is an evaluative element involving social expectations and standards;
the values and beliefs that people hold central and that bind organizational
groups.
Culture is also a set of more material elements or artefacts. These are the
signs and symbols that the organization is recognized by but they are also the
events, behaviours and people that embody culture.
The medium of culture is social interaction, the web of communications that
constitute a community. Here a shared language is particularly important in
expressing and signifying a distinctive organizational culture.
Point 3 – Culture and Success
Deal and Kennedy (1982) argue that culture is the single most important factor
accounting for success or failure in organizations. They identified four key
dimensions of culture:
1. Values – the beliefs that lie at the heart of the corporate culture.
2. Heroes – the people who embody values.
3. Rites and rituals – routines of interaction that have strong symbolic qualities.
4. The culture network – the informal communication system or hidden hierarchy of
power in the organization.
Peters and Waterman (1982) suggest a psychological theory of the link between
organizational culture and business performance. Culture can be looked upon as a
reward of work; we sacrifice much to the organization and culture is a form of return
on effort.
Kanter (1989) refers to the paradox implicit in linking culture with change. On the
surface culture has essentially traditional and stable qualities, so how can you have a
‘culture of change?’ Yet this is exactly what the innovative organization needs.
Point 4 – Culture and the management of change
If real change is to occur in organizations rather than cosmetic or short – lived
change, it has to happen at the cultural level. Corporate culture has many powerful
attractions as a lever for change. The problem is how to get a hand on the lever.
Firstly, cultures can be explicitly created – you have to be aware of what it
takes to change an existing culture.
The ability of companies to be culturally innovative is related to leadership
and top management must be responsible for building strong cultures.
Leaders construct the social reality of the organization, they shape values and
attend to the drama and vision of the organization.
Culture is frequently counterposed to formal rationality – in this sense culture
helps to resolve the dilemma of bureaucracy; formal procedures are
necessary for business integrity but they also stifle autonomy and innovation.
The period from the mid 70s has been one of growing uncertainty for firms and in
response to a changing environment and business crises adaptable cultures that are
responsive to change have become vital. Morgan (1977) focuses on the whole
organization, the cultivation of harmonious relations at all levels, the merging of
individual with common goals and a reliance on worker responsibility (Japanese
approaches) as success factors in organizational culture.
Point 5 – Exploring organizational culture
Attempts to define organizational culture have adopted a number of different
approaches. Some focus on manifestations – the heroes and villains, rites, rituals,
myths and legends that populate organizations. Culture is also socially constructed
and reflects meanings that are constituted in interaction and that form commonly
accepted definitions of the situation.
Culture is symbolic and is described by telling stories about how we feel about the
organization. A symbol stands for something more than itself and can be many
things, but the point is that a symbol is invested with meaning by us and expresses
forms of understanding derived from our past collective experiences. The
sociological view is that organizations exist in the minds of the members. Stories
about culture show how it acts as a sense - making device.
Culture is unifying and refers to the processes that bind the organization together.
Culture is then consensual and not conflictual. The idea of corporate culture
reinforces the unifying strengths of central goals and creates a sense of common
responsibility.
Culture is holistic and refers to the essence – the reality of the organization; what it is
like to work there, how people deal with each other and what behaviours are
expected.
All of the above elements are interlocking; culture is rooted deep in unconscious
sources but is represented in superficial practices and behaviour codes. Because
organizations are social organisms and not mechanisms, the whole is present in the
parts and symbolic events become microcosms of the whole.
Point 6 – Classifying cultures?
One way of exploring cultures is to classify them into types.
1. Role Cultures – are highly formalized, bound with regulations and paperwork and
authority and hierarchy dominate relations.
2. Task Cultures – are the opposite, the preserve a strong sense of the basic mission of the
organization and teamwork is the basis on which jobs are designed.
3. Power Cultures – have a single power source, which may be an individual or a corporate
group. Control of rewards is a major source of power.
Handy points out that these types are usually tied to a particular structure and design
of organization. A role culture has a typical pyramid structure. A task culture has
flexible matrix structures. A power culture has web – like communications structure.
Cultural analysis brings to centre stage a rich vein of behaviours and stands on its head much
of the conventional wisdom about organizations. Stories, legends, rituals and heroes are key
elements of organizational functioning and may actually serve more important objectives than
formal decision making. We need to consider in more depth the different ways in which
culture has been used in organization study. Wilson and Rosenfield (1990) distinguish two
schools of thought:
1. The analytical school stresses the context and history of the organization and how culture
acts as a socializing force controlling the behaviour of members.
2. The applicable school view culture in terms of commitment to central goals and as a
means of managing successful organizational change.
Point 7 – Managing culture?
Corporate culture is really a kind of image for the company which top management
would like to project. The image of the organization differs according to where you
view it. Even in companies with strong cultures the social distance between senior
management and shop floor reality can be very wide. Cultures are hardly planned or
predictable; they are the natural products of social interaction and evolve and emerge
over time. So is it valid to allow such a notion of culture to give way to a version of
managed consensus? Pettigrew believes that cultures can be shaped to suit
strategic ends. He has in mind the idea that organizations have the capacity to
transform themselves from within. Even if cultures can be managed is this
necessarily a good thing? Willmott (1993) has fashioned a tough challenge to what
he calls corporate culturalism. This is the tendency for culture to be promoted as a
device for increasing corporate effectiveness.
Conclusion
Culture spans the range of management thinking and organizational culture has been
one of the most enduring buzzwords of popular management. Why? What is the
appeal of the concept? Organizational culture is apparently unifying and this strongly
appeals to management’s concern with projecting an image of the organization as a
community of interests. Perhaps most importantly culture penetrates to the essence
of an organization – it almost analogous with the concept of personality in relation to
the individual and this acute sense of what an organization is – its mission, core
values – seems to have become a necessary asset of the modern company. There
is the vexed question of whether or not organizational culture can be managed.
Academics interested in understanding and analyzing culture tend to say no. While
there may be no definitive answer to the question, the critical and the managerial
sides of the debate and inform and renew each other so it remains important to
explore both.

DISCUSSION POINTS
1. As discussed, organizational culture may be perceived as different, depending on
where you are in the hierarchy. In relation to culture as holistic and unifying, do
you think this is true? Develop an argument to justify your answer using your
own personal examples where you can.
2. In addition to the types of culture discussed there is also the Person or Support culture,
which offers its members ‘satisfactions’ resulting from relationships, mutuality,
belonging and connection. Here the assumption is that people will contribute out of a
sense of commitment to a group or organization of which they feel they are truly
members and in which they have a personal stake (Harrison: 1987.) The Kibbutz, the
commune and the co-operative are all striving for the support culture in an organizational
form. In this culture, the individual themselves have almost complete autonomy over the
work they do and if power is to be exercised then this is on the basis of expertise. Other
examples of this culture are universities, barristers, architects, and doctors. In groups,
discuss this culture and identify the advantages and disadvantages of this cultural type to
organization. Do you think this culture exists in organizations?
3. How important is it for managers to be aware of organizational culture and why?
4. Sub – cultures can be the most powerful groups in organizations – discuss.
Exercise:
Hand out the reading to students who are in mixed gender groups. Ask them to
analyze an organization or their educational institution in relation to gender culture.

ORGANIZATIONAL GENDER CULTURE

Green and Cassell (1996) argue that the case for linking culture with gendered
experience is a compelling one and one which is becoming increasingly recognized
as crucial to the understanding of women’s experience in organizations.
Organizational analysis is complex in that the differentiated cultures both within and
between organizations can display diverse images of masculinity and femininity, but
nonetheless these reinforce traditional patriarchal hierarchies. Most importantly,
analyzing the impact of the gendered nature of organizational cultures on the
everyday experiences of women managers is an area ripe for further investigation.

Organisational Change

2008-10-02T17:14:00.001+04:30

What's "Organizational Change?"
Typically, the concept of organizational change is in regard to organization-wide change, as opposed to smaller changes such as adding a new person, modifying a program, etc. Examples of organization-wide change might include a change in mission,restructuring operations (e.g., restructuring to self-managed teams, layoffs, etc.), new technologies, mergers, major collaborations, "rightsizing", new programs such as Total Quality Management, re-engineering, etc. Some experts refer to organizational transformation. Often this term designates a fundamental and radical reorientation in the way the organization operates.
What Provokes "Organizational Change"?
Change should not be done for the sake of change -- it's a strategy to accomplish some overall goal. (See Organizational Performance Management.) Usually organizational change is provoked by some major outside driving force, e.g., substantial cuts in funding, address major new markets/clients, need for dramatic increases in productivity/services, etc. Typically, organizations must undertake organization-wide change to evolve to a different level in their life cycle, e.g., going from a highly reactive, entreprenueral organization to more stable and planned development. Transition to a new chief executive can provoke organization-wide change when his or her new and unique personality pervades the entire organization.
Why is Organization-Wide Change Difficult to Accomplish?
Typically there are strong resistances to change. People are afraid of the unknown. Many people think things are already just fine and don't understand the need for change. Many are inherently cynical about change, particularly from reading about the notion of "change" as if it's a mantra. Many doubt there are effective means to accomplish major organizational change. Often there are conflicting goals in the organization, e.g., to increase resources to accomplish the change yet concurrently cut costs to remain viable. Organization-wide change often goes against the very values held dear by members in the organization, that is, the change may go against how members believe things should be done. That's why much of organizational-change literature discusses needed changes in the culture of the organization, including changes in members' values and beliefs and in the way they enact these values and beliefs.
How Is Organization-Wide Change Best Carried Out?
Successful change must involve top management, including the board and chief executive. Usually there's a champion who initially instigates the change by being visionary, persuasive and consistent. A change agent role is usually responsible to translate the vision to a realistic plan and carry out the plan. Change is usually best carried out as a team-wide effort. Communications about the change should be frequent and with all organization members. To sustain change, the structures of the organization itself should be modified, including strategic plans, policies and procedures. This change in the structures of the organization typically involves an unfreezing, change and re-freezing process.
The best approaches to address resistances is through increased and sustained communications and education. For example, the leader should meet with all managers and staff to explain reasons for the change, how it generally will be carried out and where others can go for additional information. A plan should be developed and communicated. Plans do change. That's fine, but communicate that the plan has changed and why. Forums should be held for organization members to express their ideas for the plan. They should be able to express their concerns and frustrations as well.
Some General Guidelines to Organization-Wide Change
(Note that the library topic Basic Overview of Major Methods and Movements to Improve Organizational Performance includes overviews of major methods and movements associated with organizational change. Readers would best be served to read the following basic guidelines as foundation for carrying out any of the methods associated with organizational change.)
In addition to the general guidelines listed above, there are a few other basic guidelines to keep in mind.
1. Consider using a consultant. Ensure the consultant is highly experienced in organization-wide change. Ask to see references and check the references.
2. Widely communicate the potential need for change. Communicate what you're doing about it. Communicate what was done and how it worked out.
3. Get as much feedback as practical from employees, including what they think are the problems and what should be done to resolve them. If possible, work with a team of employees to manage the change.
4. Don't get wrapped up in doing change for the sake of change. Know why you're making the change. What goal(s) do you hope to accomplish?
6. Plan the change. How do you plan to reach the goals, what will you need to reach the goals, how long might it take and how will you know when you've reached your goals or not? Focus on the coordination of the departments/programs in your organization, not on each part by itself. Have someone in charge of the plan.
7. End up having every employee ultimately reporting to one person, if possible, and they should know who that person is. Job descriptions are often complained about, but they are useful in specifying who reports to whom.
8. Delegate decisions to employees as much as possible. This includes granting them the authority and responsibility to get the job done. As much as possible, let them decide how to do the project.
9. The process won't be an "aha!" It will take longer than you think.
10. Keep perspective. Keep focused on meeting the needs of your customer or clients.
11. Take care of yourself first. Organization-wide change can be highly stressful.
12. Don't seek to control change, but rather to expect it, understand it and manage it.
13. Include closure in the plan. Acknowledge and celebrate your accomplishments.
14. Read some resources about organizational change, including new forms and structures.

Adapted from “Field Guide to Consulting and Organizational Development” – to obtain the entire
book, select “Publications” at http://www.authenticityconsulting.com
Copyright, Authenticity Consulting, LLC 174
Major Types of Organizational Change
Typically, the phrase “organizational change” is about a significant change in the organization, such
as reorganization or adding a major new product or service. This is in contrast to smaller changes,
such as adopting a new computer procedure. Organizational change can seem like such a vague
phenomena that it is helpful if you can think of change in terms of various dimensions as described
below.
Organization-wide Versus Subsystem Change
Examples of organization-wide change might be a major restructuring, collaboration or “rightsizing.”
Usually, organizations must undertake organization-wide change to evolve to a different
level in their life cycle, for example, going from a highly reactive, entrepreneurial organization to
one that has a more stable and planned development. Experts assert that successful organizational
change requires a change in culture – cultural change is another example of organization-wide
change.
Examples of a change in a subsystem might include addition or removal of a product or service,
reorganization of a certain department, or implementation of a new process to deliver products or
services.
Transformational Versus Incremental Change
An example of transformational (or radical, fundamental) change might be changing an
organization’s structure and culture from the traditional top-down, hierarchical structure to a large
amount of self-directing teams. Another example might be Business Process Re-engineering, which
tries to take apart (at least on paper, at first) the major parts and processes of the organization and
then put them back together in a more optimal fashion. Transformational change is sometimes
referred to as quantum change.
Examples of incremental change might include continuous improvement as a quality management
process or implementation of new computer system to increase efficiencies. Many times,
organizations experience incremental change and its leaders do not recognize the change as such.
Remedial Versus Developmental Change
Change can be intended to remedy current situations, for example, to improve the poor performance
of a product or the entire organization, reduce burnout in the workplace, help the organization to
become much more proactive and less reactive, or address large budget deficits. Remedial projects
often seem more focused and urgent because they are addressing a current, major problem. It is
often easier to determine the success of these projects because the problem is solved or not.
Change can also be developmental – to make a successful situation even more successful, for
example, expand the amount of customers served, or duplicate successful products or services.
Developmental projects can seem more general and vague than remedial, depending on how specific
goals are and how important it is for members of the organization to achieve those goals.
Some people might have different perceptions of what is a remedial change versus a developmental
change. They might see that if developmental changes are not made soon, there will be need for
remedial changes. Also, organizations may recognize current remedial issues and then establish a
Adapted from “Field Guide to Consulting and Organizational Development” – to obtain the entire
book, select “Publications” at http://www.authenticityconsulting.com
Copyright; Authenticity Consulting, LLC 175
developmental vision to address the issues. In those situations, projects are still remedial because
they were conducted primarily to address current issues.
Unplanned Versus Planned Change
Unplanned change usually occurs because of a major, sudden surprise to the organization, which
causes its members to respond in a highly reactive and disorganized fashion. Unplanned change
might occur when the Chief Executive Officer suddenly leaves the organization, significant public
relations problems occur, poor product performance quickly results in loss of customers, or other
disruptive situations arise.
Planned change occurs when leaders in the organization recognize the need for a major change and
proactively organize a plan to accomplish the change. Planned change occurs with successful
implementation of a Strategic Plan, plan for reorganization, or other implementation of a change of
this magnitude.
Note that planned change, even though based on a proactive and well-done plan, often does not
occur in a highly organized fashion. Instead, planned change tends to occur in more of a chaotic and
disruptive fashion than expected by participants.

Adapted from “Field Guide to Consulting and Organizational Development” – to obtain the entire
book, select “Publications” at http://www.authenticityconsulting.com
Copyright; Authenticity Consulting, LLC 177
Requirements for Successful Organizational Change
Cummings and Worley (Organization Development and Change, 1995) describe a comprehensive,
five-phase, general process for managing change, including: 1) motivating change, 2) creating
vision, 3) developing political support, 4) managing the transition and 5) sustaining momentum.
That process seems suitable for organizing and describing general guidelines about managing
change. Whatever model you choose to use when guiding organizational change, that model should
include the priorities and areas of emphasis described in the following five phases of change. The
collaborative consulting model described integrates highlights from all of the five phases.
Motivating Change
This phase includes creating a readiness for change in your client organization and developing
approaches to overcome resistance to change. General guidelines for managing this phase include
enlightening members of the organization about the need for change, expressing the current status of
the organization and where it needs to be in the future, and developing realistic approaches about
how change might be accomplished. Next, organization leaders need to recognize that people in the
organization are likely to resist making major changes for a variety of reasons, including fear of the
unknown, inadequacy to deal with the change and whether the change will result in an adverse effect
on their jobs. People need to feel that their concerns are being heard. Leaders must widely
communicate the need for the change and how the change can be accomplished successfully.
Leaders must listen to the employees – people need to feel that the approach to change will include
their strong input and ongoing involvement.
Creating Vision
Leaders in the organization must articulate a clear vision that describes what the change effort is
striving to accomplish. Ideally, people in the organization have strong input to the creation of the
vision and how it can be achieved. The vision should clearly depict how the achievement of the
vision will improve the organization. It is critically important that people believe that the vision is
relevant and realistic. Research indicates that cynicism is increasing in organizations in regard to
change efforts. People do not want to hear the need for the latest “silver bullet” that will completely
turn the organization around and make things better for everyone all the time. They want to feel
respected enough by leaders to be involved and to work toward a vision that is realistic, yet
promising in the long run.
Often the vision is described in terms of overall outcomes (or changes) to be achieved by all or parts
of the organization, including associated goals and objectives to achieve the outcomes. Sometimes,
an overall purpose, or mission, is associated with the effort to achieve the vision, as well.
Developing Political Support
This phase of change management is often overlooked, yet it is the phase that often stops successful
change from occurring. Politics in organizations is about power. Power is important among
members of the organization when striving for the resources and influence necessary to successfully
carry out their jobs. Power is also important when striving to maintain jobs and job security. Power
usually comes from credibility, whether from strong expertise or integrity. Power also comes from
the authority of one’s position in the organization.
Some people have a strong negative reaction when talking about power because power often is
associated with negative applications, for example, manipulation, abuse or harassment. However,
Adapted from “Field Guide to Consulting and Organizational Development” – to obtain the entire
book, select “Publications” at http://www.authenticityconsulting.com
Copyright, Authenticity Consulting, LLC 178
power, like conflict, exists in all human interactions and is not always bad. It is how power and
conflict are used and managed that determine how power and conflict should be perceived.
Matters of power and politics are critically important to recognize and manage during organizational
change activities. Change often means shifts in power across management levels, functions and
groups. To be successful, the change effort must recruit the support of all key power players, for
example, senior management, subject matter experts and others who are recognized as having strong
expertise and integrity.
A strong mechanism for ensuring alignment of power with the change effort is to develop a network
of power-players who interact and count on each other to support and guide the change effort.
Means to manage power can include ensuring that all power-players are involved in recognizing the
need for change, developing the vision and methods to achieve the vision, and organization-wide
communication about the status of change. Any recommendations or concerns expressed by those in
power must be promptly recognized and worked through.
Managing Transition
This phase occurs when the organization works to make the actual transition from the current state to
the future state. In consultations, this phase usually is called implementation of the action plans.
The plans can include a wide variety of “interventions,” or activities designed to make a change in
the organization, for example, creating and/or modifying major structures and processes in the
organization. These changes might require ongoing coaching, training and enforcement of new
policies and procedures. In addition, means of effective change management must continue,
including strong, clear, ongoing communication about the need for the change, status of the change,
and solicitation of organization members’ continuing input to the change effort.
Ideally, the various actions are integrated into one overall Change Management Plan that includes
specific objectives, or milestones, that must be accomplished by various deadlines, along with
responsibilities for achieving each objective. Rarely are these plans implemented exactly as planned.
Thus, as important as developing the plan, is making the many ongoing adjustments to the plan with
key members of the organization, while keeping other members up-to-date about the changes and the
reasons for them.

Sustaining Momentum
Often, the most difficult phase in managing change is this phase when leaders work to sustain the
momentum of the implementation and adjustment of plans. Change efforts can encounter a wide
variety of obstacles, for example, strong resistance from members of the organization, sudden
departure of a key leader in the organization, or a dramatic reduction in sales. Strong, visible,
ongoing support from top leadership is critically important to show overall credibility and
accountabilities in the change effort. Those participating in the change effort often require ongoing
support, often in the form of provision of resources, along with training and coaching. The role of
support cannot be minimized – despite its importance during organizational change, the role of
support is often forgotten. At this point in a consulting project, it may be wise for you to ensure you
have ongoing support (often from other consultants) that can provide you ongoing objectivity,
affirmation, provision of resources and other forms of support. Employee performance management
systems play a critical role in this phase of organizational change, including in setting goals, sharing
feedback about accomplishment of goals, rewarding behaviors that successfully achieve goals and accomplish change, and addressing performance issues.

Job Description and Job Specification

2008-10-02T17:10:00.000+04:30

Job descriptions

are lists of the general tasks, or functions, and responsibilities of a position. Typically, they also include to whom the position reports, specifications such as the qualifications needed by the person in the job, salary range for the position, etc. Job descriptions are usually developed by conducting a job analysis, which includes examining the tasks and sequences of tasks necessary to perform the job. The analysis looks at the areas of knowledge and skills needed by the job. Note that a role is the set of responsibilities or expected results associated with a job. A job usually includes several roles
Possible Job Description Items

Job Title
Human Resources Manager
Job Summary
Managing overall center process, insuring work high performance with zero mistakes and giving a detailed daily report to the general manager.
Job Duties
May also be called Tasks Performed; may be as lengthy as necessary to fully describe each essential duty or responsibility which comprises the employee's functions, generally starting with principal duties.
Roles and Responsibilities
Includes supervisory level, managerial requirements, and any working relationships.
The position that an Individual holds in the organization.
Job Specifications or Qualifications
may include education, experience-level, knowledge and skill sets, as well as any physical limitations (such as "able to lift 30 lbs").
Is the minimum requirements that is needed for the specific job, or position.
General Guidelines
Insure that the information concerning a position is as descriptive as possible to pull viable candidates and provide guidance to the interviewer(s) when sifting through applicants. These guidelines may include items which do not easily fit under other categories, but play a part in the performance of the job.
Key Role Interactions
Defines the people and/or departments which the position will be require to relate with in the course of the job. Though not necessarily an exhaustive list, certainly will provide both interviewer and applicant a basis of understanding when discussing past positions and potential responsibilities.
Professional Skills
Describes in enough detail the key ability sets and experiences which will be required from past positions to allow a new hire to function and perform the duties of the job from day one.
Interpersonal Skills
Defines the 'softer' skills and talents which make for a well-rounded and efficient employee, as well as effective worker, regardless of the position. These may include:
- Personal Attributes,
- General Business Skills,
- Leadership Skills.

Job Specification

Job specification summarizes the human characteristics needed for satisfactory job completion. It tries to describe the key qualifications someone needs to perform the job successfully. It spells out the important attributes of a person in terms of education, experience, skills, knowledge and abilities (SKAs) to perform a particular job. The job specification is a logical outgrowth of a job description. For each job description, it is desirable to have a job specification. This helps the organization to find what kind of persons is needed to take up specific jobs. The personal attributes that are described through a job specification may be classified into three categories:
 Essential attributes: skills, knowledge and abilities (SKAs) a person must possess.
 Desirable attributes: qualifications a person ought to posses.
 Contra-indicators: attributes that will become a handicap to successful job performance.
A job specification can be developed by talking with the current jobholders about the attributes required to do the job satisfactorily. Opinions of supervisors could also be used as additional inputs. Checking the job needs of other organizations with similar jobs will also help in developing job specifications.
Job specification is useful in the selection process because it offers a clear set of qualifications for an individual to be hired for a specific job. Likewise, a well-written job specification offers a clear picture to new recruits of what they will be doing in the organization

Organisational Culture Notes

2008-10-02T17:03:00.001+04:30

ORGANIZATIONAL CULTURE

One of the primary responsibilities of strategic leaders is to create and maintain the organizational characteristics that reward and encourage collective effort. Perhaps the most fundamental of these is organizational culture. But what do we really mean by organizational culture? What influence does it have on an organization? How does one go about building, influencing or changing an organization's culture?

THE IMPACT OF CULTURE

Why is culture so important to an organization? Edgar Schein, an MIT Professor of Management and author of Organizational Culture and Leadership: A Dynamic View, suggests that an organization's culture develops to help it cope with its environment. Today, organizational leaders are confronted with many complex issues during their attempts to generate organizational achievement in VUCA environments. A leader's success will depend, to a great extent, upon understanding organizational culture.

Schein contends that many of the problems confronting leaders can be traced to their inability to analyze and evaluate organizational cultures. Many leaders, when trying to implement new strategies or a strategic plan leading to a new vision, will discover that their strategies will fail if they are inconsistent with the organization's culture. A CEO, SES, political appointee, or flag officer who comes into an organization prepared to "shake the place up" and institute sweeping changes, often experiences resistance to changes and failure. Difficulties with organizational transformations arise from failures to analyze an organization's existing culture.

WHAT IS ORGANIZATIONAL CULTURE?

There is no single definition for organizational culture. The topic has been studied from a variety of perspectives ranging from disciplines such as anthropology and sociology, to the applied disciplines of organizational behavior, management science, and organizational communication. Some of the definitions are listed below:

A set of common understandings around which action is organized, . . . finding expression in language whose nuances are peculiar to the group (Becker and Geer 1960).

A set of understandings or meanings shared by a group of people that are largely tacit among members and are clearly relevant and distinctive to the particular group which are also passed on to new members (Louis 1980).

A system of knowledge, of standards for perceiving, believing, evaluating and acting . . . that serve to relate human communities to their environmental settings (Allaire and Firsirotu 1984).

The deeper level of basic assumptions and beliefs that are: learned responses to the group's problems of survival in its external environment and its problems of internal integration; are shared by members of an organization; that operate unconsciously; and that define in a basic "taken -for-granted" fashion in an organization's view of itself and its environment (Schein 1988).

Any social system arising from a network of shared ideologies consisting of two components: substance-the networks of meaning associated with ideologies, norms, and values; and forms-the practices whereby the meanings are expressed, affirmed, and communicated to members (Trice and Beyer 1984).

This sampling of definitions represents the two major camps that exist in the study of organizational culture and its "application strategies." The first camp views culture as implicit in social life. Culture is what naturally emerges as individuals transform themselves into social groups as tribes, communities, and ultimately, nations. The second camp represents the view that culture is an explicit social product arising from social interaction either as an intentional or unintentional consequence of behavior. In other words, culture is comprised of distinct observable forms (e.g., language, use of symbols, ceremonies, customs, methods of problem solving, use of tools or technology, and design of work settings) that groups of people create through social interaction and use to confront the broader social environment. (Wuthnow and Witten 1988). This second view of culture is most relevant to the analysis and evaluation of organizational culture and to cultural change strategies that leaders can employ to improve organizational performance.

BEHAVIOR AND ARTIFACTS

We can also characterize culture as consisting of three levels (Schein 1988). The most visible level is behavior and artifacts. This is the observable level of culture, and consists of behavior patterns and outward manifestations of culture: perquisites provided to executives, dress codes, level of technology utilized (and where it is utilized), and the physical layout of work spaces. All may be visible indicators of culture, but difficult to interpret. Artifacts and behavior also may tell us what a group is doing, but not why. One cartoon which captures this aspect shows two executives sitting at their desks in an office. Both have large billed black and white checked hats. One is saying to the other, "I don't know how it started, either. All I know is that it's part of our corporate culture."

VALUES

At the next level of culture are values. Values underlie and to a large extent determine behavior, but they are not directly observable, as behaviors are. There may be a difference between stated and operating values. People will attribute their behavior to stated values.

ASSUMPTIONS AND BELIEFS

To really understand culture, we have to get to the deepest level, the level of assumptions and beliefs. Schein contends that underlying assumptions grow out of values, until they become taken for granted and drop out of awareness. As the definition above states, and as the cartoon illustrates, people may be unaware of or unable to articulate the beliefs and assumptions forming their deepest level of culture.

To understand culture, we must understand all three levels, a difficult task. One additional aspect complicates the study of culture: the group or cultural unit which "owns" the culture. An organization may have many different cultures or subcultures, or even no discernible dominant culture at the organizational level. Recognizing the cultural unit is essential to identifying and understanding the culture.

Organizational cultures are created, maintained, or transformed by people. An organization's culture is, in part, also created and maintained by the organization's leadership. Leaders at the executive level are the principle source for the generation and re-infusion of an organization's ideology, articulation of core values and specification of norms. Organizational values express preferences for certain behaviors or certain outcomes. Organizational norms express behaviors accepted by others. They are culturally acceptable ways of pursuing goals. Leaders also establish the parameters for formal lines of communication and message content-the formal interaction rules for the organization. Values and norms, once transmitted through the organization, establish the permanence of the organization's culture.

WHAT RELEVANCE DOES ORGANIZATIONAL CULTURE HAVE TO LEADERS IN FEDERAL AGENCIES?

One of the most perplexing issues facing leaders within the Department of Defense and other agencies of the federal government can be classified under one rubric-change. Government organizations' responses to events such as the "re-invention of government", downsizing and defense conversion, shrinking operating budgets, acquisition reform, and the military's expanded role in operations other than war are requiring leaders to make course corrections. Leaders in these organizations are being challenged to think differently, to:

* Reconceptualize the role their organization plays in government
* Reconceptualize, the goals of their organization, and
* Reconceptualize how people in their organizations will work together to achieve these goals.

The term reconceptualize is emphasized here because the 21st century challenges for strategic leaders in this country involve interpreting what appears to be the same world in radically different ways. For example, not only must the Department of Defense work to make "jointness" achieve its potential, it must also reconceptualize how it can effectively operate with domestic and foreign civilian agencies in activities other than war. So DOD's goals of providing global deterrence and warfighting capability must be reconceptualized into simultaneously providing the capability for coalition building, peacekeeping, and humanitarian operations.

Strategic leaders have an additional set of challenges. They have to create the means and the opportunities to infuse their employees with new ways of looking at themselves and their capabilities. Leaders' new ideologies and values need to be communicated effectively, internalized by employees, and then translated into productive methods of thinking and working. The useful techniques for overcoming these challenges fall within the domains of evaluating and transforming organizational cultures.

ORGANIZATIONAL CULTURE IS ALSO A SYNTHESIS OF SUBCULTURES

Sociologists Gary Fine and Sherryl Kleinman discuss how distinct societies are composites of interacting subcultures rather than a single overarching culture. Organizations consist of subgroups that have specific characteristics and a sense of identification. Within organizations, people can easily classify themselves and others into various social categories or groups based on identification with their primary work group, occupational or professional skills, union membership, or age cohort. (Ouchi 1980, and Ashforth and Mael 1989). Subgroups in organizations can and do create subcultures that comprise specific networks of meaning; yet, at the same time, they remain associated with the ideologies and values of the organization's leadership. For example, at a macro level the culture that is attributed to the Department of Defense comprises the distinct cultures of the different military services and the corps of civil servants assigned to each service agency (Builder 1989). A closer examination of each service culture reveals still greater cultural differentiation among occupational specialties, specific units within the service, and between line and staff personnel. Yet all of these subcultures adhere to the core ideologies, values and norms of the DOD.

Numerous studies of organizational culture have highlighted that the formation and maintenance of culture requires interpersonal interaction within subgroups. For example, research led by Meryl Louis (Louis, Posner, and Powell 1983) demonstrated the benefits of subgroup interaction to newcomers "learning the ropes" of the jobs. Survey respondents in their first job experience reported that the three most important socialization aids were:

* Interaction with peers
* Interaction with their supervisor
* Interaction with senior co-workers.

Interaction with peers on the job was viewed as most important in helping newcomers becoming effective employees. Interaction is important for the acculturation of newcomers. However, to get a grasp on how cultures are formed and promulgated we need to ask: "what is the content of interpersonal interaction in work settings?"

Research conducted by John VanMaanan and Steven Barley (1984) provides some insight to this question. They discovered that the content of the interaction is behavioral and cognitive in nature. During initial interactions with newcomers, the established occupational community transmits to new members those shared occupational practices (including norms and roles), values, vocabularies and identities-all examples of the explicit social products that are indicative of culture in organizations. These findings were reinforced by Sonja Sackmann's research on subcultures in a medium sized conglomerate in the United States. She found that subcultures were found to form on the basis of functional domains; principally in their biased knowledge of events in the organization, in their biased explanations of cause and effect relationships, and in their patterns of behavior. The conglomerate's production division consisted of three subcultures: electronics production, shop floor production, and product inspection. Sackmann reported:

Each subgroup was influenced by the nature of its particular work. This "local" orientation also differentiated each group from the others. All three groupings clearly distinguished between "we" and "them". This distinction was supported by my observations of them. They dressed differently, and they worked in distinctly different work spaces that were furnished differently. They took separate breaks during the day, and the tone in which they interacted varied it its degree of roughness. The electronics group talked about "job security," "a small company," and "health and dental insurance." The shop floor production group talked about "more work," "upgrade of assembly," and "being in control of the job." [Discussion] themes in the shop floor production group were oriented toward people, growth in the division/company, and strategy. The inspection group mentioned an "expanded inspection department," "improvements in quality control," the "quality control system," or "partnership." Some [other discussion] themes in the group were growth of the division/company and orientation toward people (Sackmann 1992).

Organizations do not, however, always have homogeneous subcultures. The explicit social products produced by subcultures within organizations can be widely diverse and even result in countercultures. Such was the case of the Army Air Forces as its early proponents, such as Brig. General Billy Mitchell, tried to assert the value of airpower against the resistance of the traditional warfighting cultures of the Army and the Navy. The culmination of the airpower counter culture's assertiveness, both through word and deed resulted in the formation of the Air Force as a separate service in 1947. Similar examples of military counter cultures also exist in the Navy (e.g., Admiral Rickover's nuclear submarine counterculture) and the Army (e.g., General Hutton's skunkworks that created the armed helicopter)(Zald and Berger 1978).

In a more contemporary example, researchers Joanne Martin and Caren Siehl from Stanford University (1983) conducted an analysis of the events and stories related to John Delorean's tenure as division head at General Motors. They concluded that Delorean created a subculture counter to the corporate GM culture based in the core values of loyalty, hierarchy, and conformity. Executives were expected to show deferential respect for authority and accept deferential treatment from subordinates; openly express loyalty to the corporation; and to be conservative in their choices of wardrobe and office decoration.

Delorean took steps to create a counter culture that would try to force innovations when he could not get his ideas accepted by his superiors. Capitalizing on the support of his followers, Delorean and his people expressed a new culture with an alternative set of core values, preferring productivity to deference, objective measures of performance to subjective measures of conformity, and independence to blind loyalty. They dressed in contemporary styles, redecorated their offices in bright bold colors and modern furniture, and discarded GM's bureaucratic procedures for streamlined decision making processes. Delorean also refused to participate in the ceremonies and rituals of deference that were widely practiced in the corporation. As an ultimate rejection of GM's core values, Delorean attacked a GM icon, the Corvair (before Ralph Nader) for faulty construction, its unsafe performance and persistent maintenance problems. For a while, Delorean was able to maintain a delicate balance within the dominant culture's latitude of tolerance, but eventually met with disfavor; he was asked to leave the company and the counter culture disintegrated.

These examples illustrate that countercultures can have both productive and unproductive outcomes. Perhaps the key to a counterculture's success (i.e., the promulgation of its ideology, values and norms) is the group's ability to demonstrate how its idiosyncrasies are consonant with the core ideologies, values and norms of the dominant culture. The counter cultures in the military services still possessed the ethos of warfighters, albeit through different forms of warfighting technology. Overtime, the strategic bomber, the nuclear submarine, and the attack helicopter were embraced by their respective service cultures. The Delorean analysis illustrates how counter cultures can be dysfunctional and ultimately extinguished when they advocate a complete rejection of the dominant culture's ideology, values, and norms.

THE SYMBIOSIS BETWEEN THE ORGANIZATION'S OVERALL CULTURE AND ITS SUBCULTURES

Some people may debate which comes first in an organization: the organizational culture or the organization's subcultures. The question that is relevant to this chapter is how do the ideologies, values, and norms of subcultures compliment the organizational culture advocated by leadership? Explaining this relationship requires an understanding that cultures provide members with a reliable means to interpret a highly ambiguous environment. It is the leader's responsibility to specify the features of the environment that are relevant to the organization and then provide the supporting assumptions and rationale for its operating strategies.

The leader's cultural messages should address ambiguities that are beyond the scope of any organizational subculture to explain to employees. Returning to Sonja Sackmann's research with a U.S. conglomerate, she found that the top management team "defined and framed the slice of reality in which organizational members behaved in their role as employees." Top management consistently made highly visible business and personnel decisions that reinforced the business' ideologies, values and norms for success. Her interviews throughout the organization revealed that the functional subcultures shared the top manager's conceptualizations of how tasks were accomplished in the organization; how employees could advance; the ways employees related to each other; the ways adaptation and change were accomplished; and how new knowledge was acquired and perpetuated. The bottom line is that distinct subcultures in the organization were united in their understanding of how they had to perform to produce successful organizational outcomes.

Sackmann's findings provide important insight for leaders who are trying to influence organizational culture in light of the potential influence of organizational subcultures. Leaders should recognize that their cultural messages should specifically address cultural ambiguities associated with subculture practices within the organization, and limit their attempts to eliminate distinctions that are important to subculture's identities. In other words, leaders have a better chance of creating or transforming an organizational culture if they accept and foster productive organizational subcultures and consistently communicate how employees must perform in order for the organization to achieve its objectives.

Cultural change then relies on leaders' communication techniques that cross subcultural boundaries and carry messages about ideologies, values and norms that can be internalized by all employees. Memos and vision statements cannot achieve all of these objectives. Leaders, however, have a variety of sophisticated cultural communication techniques at their disposal to link subcultures to overarching cultural objectives of their organizations.

CULTURAL FORMS AS LINKING MECHANISMS

Cultural forms function as the linking mechanism by which networks of understanding develop among employees. (Trice, 1988) The cultural forms shown in the table on pages 293-94 act as a medium for communicating ideologies, values, and norms. Cultural forms enable leaders to transmit messages about desirable culture to influence thinking and ways of behaving. Cultural forms also address the emotional aspects of organizations that are commonly referred to as cohesion or camaraderie. Organizational scholars Janice Beyer and Harrison Trice elaborate on this point:

Cultural forms not only aid sensemaking through the meanings they convey; they also aid the sensemaking process through the emotional reassurances they provide that help people persist in their coping efforts. Forms provide a concrete anchoring point, even if the meaning they carry are vague and only imperfectly transmitted....Also many cultural forms involve the expression of emotion and, by this venting of emotions, help people to cope with stress.

Federal agencies are replete with cultural forms that serve these purposes. However the challenges facing strategic leaders of these agencies involve creating and orchestrating cultural forms that can foster change and have longevity beyond their tenure. Cultural forms that have longevity by their nature such as rites and ceremonies reaffirm the organization's core ideologies, values and norms.

HOW CAN LEADERS DETECT DESIRABLE AND UNDESIRABLE CHARACTERISTICS OF ORGANIZATIONAL CULTURE?

Productive cultural change will occur if leaders correctly analyze the organization's existing culture, and evaluate it against the cultural attributes needed to achieve strategic objectives. Consequently, leaders must first possess a clear understanding of the strategic objectives for their organization and identify the actions needed to reach those objectives. These two tasks by themselves are difficult, particularly for the federal agencies that are experiencing volatile rates of change and reorientation. Nevertheless, without these specifications, any cultural transformation is a blind exercise.

Next conduct an analysis of the organizations existing ideologies, values and norms. Two critical questions that leaders should ask are: (1) Are existing explanations of cause and effect relationships, and acceptable beliefs and behaviors applicable to the organization's achievement of strategic objectives? (2) Are organizational members facing ambiguities about the external environment and internal work processes that can only be clarified by organizational leadership?

FORMULATING STRATEGIES FOR TRANSFORMING CULTURES IN ORGANIZATIONS

Strategic leadership needs to be transformational if it is to serve the organization. Transformational leaders must operate from a foundation of high morality and ethical practices and

A List of Definitions that Distinguish

Frequently Studied Cultural Forms
Rite Relatively elaborate, dramatic, planned sets of activities that consolidates various forms of cultural expressions into one event, which is carried out through social interactions, usually for the benefit of an audience.
Ceremonial A system of several rites connected with a single occasion or event.
Ritual A standardized, detailed set of techniques and behaviors that manage anxieties, but seldom produce intended, technical consequences of practical importance.
Myth A dramatic narrative of imagined events, usually used to explain origins of transformations of something . Also, an unquestioned belief about the practical benefits of certain techniques and behaviors that is not supported by demonstrated facts.
Saga An historical narrative describing the unique accomplishments of a group and its leaders-usually in heroic terms.
Legend A handed-down narrative of some wonderful event that is based in history but has been embellished with fictional details.
Story A narrative based on true events-often a combination of truth and fiction
Folktale A completely fictional narrative.
Symbol Any object, act, event, quality, or relation that serves as a vehicle for conveying meaning, usually by representing another thing.
Language A particular form or manner in which members of a group use vocal sounds and written signs to convey meanings to each other.
Gesture Movements of parts of the body used to express meanings.
Physical Those things than surround people physically setting and provide them with immediate sensory stimuli as they carry out culturally expressive activities.
Artifact Material objects manufactured by people to facilitate culturally expressive activities.

Adapted from Trice, 1984.

have a fundamental understanding of the highly complex factors that support and make possible collective effort in an organization. They must personally act in accord with productive values and beliefs, and they must teach others to do the same. They must promulgate the culture. The key method strategy leaders should follow to transform cultures is to teach symbolically. This type of strategy involves the artful crafting of new stories, new symbols, new traditions, and even new humor so that the ambiguities surrounding organizational life can be productively managed by all members of the organization. Without collective understanding-shared networks of revised meaning- the new ways of acting and thinking cannot be internalized by organizational members.

Culture is deep seated and difficult to change, but leaders can influence or manage an organization's culture. It isn't easy, and it cannot be done rapidly, but leaders can have an effect on culture. Schein outlines some specific steps leaders can employ:

* What leaders pay attention to, measure and control. Something as simple as what is emphasized or measured, over time, can have an effect on an organization's culture. One example of this is an emphasis on form over substance. If leaders pay more attention to form, an organizational culture can develop where people start to believe that the substance of a recommendation is less important than the way it is presented. One can recall when more attention was paid to the format of viewgraphs used in a briefing than what was said; what we characterize as "eyewash."
* Where do you think people will focus their effort once it becomes accepted that a slick presentation is what the leaders are looking for? How could you go about changing that aspect of the organization's culture? Consider cultural assumptions and beliefs underlying a "zero defects" organizational mentality. "You must always be perfect; mistakes aren't allowed." If this assumption reflects a dysfunctional aspect of an organization's culture, how would you go about changing that perception?
* Leader reactions to critical incidents and organizational crises. The way leaders react to crises says a lot about the organization's values, norms and culture. Crises, by their nature, bring out the organization's underlying core values. Often, this is where rhetoric becomes apparent. Reactions to crises are normally highly visible, because everyone's attention is focused on the incident or situation. Disconnects between actions and words will usually be apparent, and actions always speak louder than words. Additionally, a crisis not only brings a great deal of attention, it also generates a great deal of emotional involvement on the part of those associated with the organization, particularly if the crisis threatens the organization's survival. This increases the potential for either reinforcing the existing culture, or leading to a change in the culture. Such a crisis can provide an opportunity for a leader to influence the organization's culture in either a positive or a negative way.
* Deliberate role modeling, teaching, and coaching. Nothing can take the place of leaders "walking their talk." The personal example of a strategic leader can send a powerful message to the members of an organization, particularly if it is ethical and consistent. Reinforcing that example with teaching and coaching will help others to internalize the desired values.
* Criteria for allocation of rewards and status. The consequences of behavior-what behavior is rewarded and what is punished-can significantly influence culture. If the organization reacts to new ideas by ridiculing the ideas and those who propose them, it won't take long before people believe that new ideas are not welcomed or desired. One belief of perceived organizational culture is reflected in the statement: "Don't raise questions or suggest improvements, because nothing will come of it and you will just get in trouble." If you were in an organization's strategic leader, what steps could you take to alter the reward system to change this aspect of the culture?
* Criteria for recruitment, selection, promotion, retirement and excommunication. One of the powerful ways of changing an organization's culture is through the type of people brought into, retained, and advanced in the organization. You should be able to establish a desired culture base in an organization by bringing in and advancing individuals with the values you want, and eliminating those with undesired value bases.

That is what organizations are attempting when they propose tightening up admissions standards to screen out undesirables. This strategy is consistent with the belief that the problems experienced by the organization result from a few "bad apples" and do not reflect systemic problems. However, if a strong culture bias exists, it may be too strong to be changed by selection alone.

The military academies are organizations which change over one fourth of their membership every year, which should provide an opportunity for changes to the organizational culture as new members are brought in. The catch, however, is that the socialization of those new members rests in the hands of those who are already part of the existing culture. How could the military academies make systemic culture changes not negated by the socialization process new members go through?

* Organizational design and structure. As we mentioned earlier, modifying the organization's basic structure may be a way of changing the existing norms, and hence the culture. For example, a culture of mistrust between the leaders and the members of an organization may be exacerbated by a "line" structure that discourages vertical communication.
* Organizational systems and procedures. The simplest definition of culture is "that's the way we do things around here." Routines or procedures can become so embedded that they become part of the culture, and changing the culture necessitates changing those routines. We can all think of organizations where a weekly or monthly meeting takes on a life of its own, becomes more formalized, lengthy, and elaborate, and becomes the only way information moves within the organization. Changing the culture to improve communication may only be possible by changing the meeting procedures or eliminating the meetings altogether.
* Design of physical space, facades, and buildings. The impact of the design of buildings on culture can easily be illustrated by considering the executive perks in an organization. Which organization do you think will have a more open and participative culture, one where top executives have reserved parking spaces, top floor offices, a special elevator and an executive dining room, or one where the executive offices are not separated from the rest of the company and executives park and eat in the same place as their employees?
* Stories about important events and people. This is a way that culture is perpetuated in an organization, in that it helps define and solidify the organization's identity. By what events and stories they emphasize, leaders influence that identity.
* Formal statements of organizational philosophy, creeds, and charts. This is the way leaders most often try and influence their organizations, and encompasses the vision or mission statement and statements of the organization's (or the leader's) values and philosophy. By themselves, however, formal statements will have little effect on the organization's culture. They must be linked to actions to affect culture.

Schein has five guidelines for the leader:

1. Don't oversimplify culture or confuse it with climate, values, or corporate philosophy. Culture underlies and largely determines these other variables. Trying to change values or climate without getting at the underlying culture will be a futile effort.

2. Don't label culture as solely a human resources (read "touchy-feely") aspect of an organization, affecting only its human side. The impact of culture goes far beyond the human side of the organization to affect and influence its basic mission and goals.

3. Don't assume that the leader can manipulate culture as he or she can control many other aspects of the organization. Culture, because it is largely determined and controlled by the members of the organization, not the leaders, is different. Culture may end up controlling the leader rather than being controlled by him or her.

4. Don't assume that there is a "correct" culture, or that a strong culture is better than a weak one. It should be apparent that different cultures may fit different organizations and their environments, and that the desirability of a strong culture depends on how well it supports the organization's strategic goals and objectives.

5. Don't assume that all the aspects of an organization's culture are important, or will have a major impact on the functioning of the organization. Some elements of an organization's culture may have little impact on its functioning, and the leader must distinguish which elements are important, and focus on those.

CONCLUDING THOUGHT

An understanding of culture, and how to transform it, is a crucial skill for leaders trying to achieve strategic outcomes. Strategic leaders have the best perspective, because of their position in the organization, to see the dynamics of the culture, what should remain, and what needs transformation. This is the essence of strategic success.

End semester Time table

2008-09-20T12:14:00.000+04:30

I P.G. END SEMESTER University Examination
(Freshers & Repeaters): Oct/Nov - 2008
 Time : 9.30 – 12.30 PM
Date & Day MSW
28.10.2008 Tuesday Social Work Profession and Philosophy & Ideologies
30.10.2008 Thursday Sociology for Social Workers
3.11.2008 Monday Social Case Work
5.11.2008 Wednesday Social Group Work
III P.G. END SEMESTER
Examination(Freshers & Repeaters) : Oct -2008
 Time : 1.30 – 4.30 PM
Date & Day MSW
14.10.2008 Tuesday Communication for Social Workers
16.10.2008 Thursday Organisational Behaviour
18.10.2008 Saturday Elective:
● Medical Social Work
● Rural Community Development
● Human Resources Development
23.10.2008 Thursday Elective:
● Psychiatric Social Work
● Urban Community Development
● Labour Legislation

A Must Read

2008-08-14T14:59:00.000+04:30

Keep the Spark

Inaugural Speech by Chetan Bhagat for the new batch at the Symbiosis BBA Program 2008

Good Morning everyone and thank you for giving me this chance to speak to you. This day is about you. You, who have come to this college, leaving the comfort of your homes (or in some cases discomfort), to become something in your life. I am sure you are excited. There are few days in human life when one is truly elated. The first day in college is one of them. When you were getting ready today, you felt a tingling in your stomach. What would the auditorium be like, what would the teachers be like, who are my new classmates - there is so much to be curious about. I call this excitement, the spark within you that makes you feel truly alive today. Today I am going to talk about keeping the spark shining. Or to put it another way, how to be happy most, if not all the time.

Where do these sparks start? I think we are born with them. My 3-year old twin boys have a million sparks. A little Spiderman toy can make them jump on the bed. They get thrills from creaky swings in the park. A story from daddy gets them excited. They do a daily countdown for birthday party - several months in advance - just for the day they will cut their own birthday cake.

I see students like you, and I still see some sparks. But when I see older people, the spark is difficult to find.. That means as we age, the
spark fades. People whose spark has faded too much are dull, dejected, aimless and bitter. Remember Kareena in the first half of Jab We Met vs the second half? That is what happens when the spark is lost. So how to save the spark?

Imagine the spark to be a lamp's flame. The first aspect is nurturing - to give your spark the fuel, continuously. The second is to guard against storms.

To nurture, always have goals. It is human nature to strive, improve and achieve full potential. In fact, that is success. It is what is possible for you. It isn't any external measure - a certain cost to company pay package, a particular car or house.

Most of us are from middle class families. To us, having material landmarks is success and rightly so. When you have grown up where money constraints force everyday choices, financial freedom is a big achievement.

But it isn't the purpose of life. If that was the case, Mr Ambani would not show up for work. Shah Rukh Khan would stay at home and not dance anymore. Steve Jobs won't be working hard to make a better iPhone, as he sold Pixar for billions of dollars already. Why do they do it? What makes them come to work everyday?

They do it because it makes them happy. They do it because it makes them feel alive. Just getting better from current levels feels good. If you study hard, you can improve your rank. If you make an effort to interact with people, you will do better in interviews. If you practice, your cricket will get better. You may also know that you cannot become Tendulkar, yet. But you can get to the next level. Striving for that next level is important.

Nature designed with a random set of genes and circumstances in which we were born. To be happy, we have to accept it and make the most of nature's design. Are you? Goals will help you do that.

I must add, don't just have career or academic goals. Set goals to give you a balanced, successful life. I use the word balanced before successful. Balanced means ensuring your health, relationships, mental peace are all in good order.

There is no point of getting a promotion on the day of your breakup. There is no fun in driving a car if your back hurts. Shopping is not enjoyable if your mind is full of tensions.

You must have read some quotes - Life is a tough race, it is a marathon or whatever. No, from what I have seen so far, life is one of those races in nursery school. Where you have to run with a marble in a spoon kept in your mouth. If the marble falls, there is no point coming first. Same with life, where health and relationships are the marble. Your striving is only worth it if there is harmony in your life. Else, you may achieve the success, but this spark, this feeling of being excited and alive, will start to die.

One last thing about nurturing the spark - don't take life seriously. One of my yoga teachers used to make students laugh during classes. One student asked him if these jokes would take away something from the yoga practice. The teacher said - don't be serious, be sincere. This quote has defined my work ever since. Whether its my writing, my job, my relationships or any of my goals. I get thousands of opinions on my writing everyday. There is heaps of praise, there is intense criticism.
If I take it all seriously, how will I write? Or rather, how will I live? Life is not to be taken seriously, as we are really temporary here. We are like a pre-paid card with limited validity. If we are lucky, we may last another 50 years. And 50 years is just 2,500 weekends. Do we really need to get so worked up? It's ok, bunk a few classes, goof up a few interviews, fall in love. We are people, not programmed devices.

I've told you three things - reasonable goals, balance and not taking it too seriously that will nurture the spark. However, there are four storms in life that will threaten to completely put out the flame. These must be guarded against. These are disappointment, frustration, unfairness and loneliness of purpose.

Disappointment will come when your effort does not give you the expected return. If things don't go as planned or if you face failure. Failure is extremely difficult to handle, but those that do come out stronger. What did this failure teach me? This is the question you will need to ask. You will feel miserable. You will want to quit, like I wanted to when nine publishers rejected my first book. Some IITians kill themselves over low grades - how silly is that? But that is how much failure can hurt you.

But it's life. If challenges could always be overcome, they would cease to be a challenge. And remember - if you are failing at something, that means you are at your limit or potential. And that's where you want to be.

Disappointment's cousin is frustration, the second storm. Have you ever been frustrated? It happens when things are stuck. This is especially relevant in India. From traffic jams to getting that job you deserve, sometimes things take so long that you don't know if you chose the right goal. After books, I set the goal of writing for Bollywood, as I thought they needed writers. I am called extremely lucky, but it took me five years to get close to a release.

Frustration saps excitement, and turns your initial energy into something negative, making you a bitter person. How did I deal with it?
A realistic assessment of the time involved - movies take a long time to make even though they are watched quickly, seeking a certain enjoyment in the process rather than the end result - at least I was learning how to write scripts, having a side plan - I had my third book to write and even something as simple as pleasurable distractions in your life - friends, food, travel can help you overcome it. Remember, nothing is to be taken seriously. Frustration is a sign somewhere, you took it too seriously.

Unfairness - this is hardest to deal with, but unfortunately that is how our country works. People with connections, rich dads, beautiful faces, pedigree find it easier to make it - not just in Bollywood, but everywhere. And sometimes it is just plain luck. There are so few opportunities in India, so many stars need to be aligned for you to make it happen. Merit and hard work is not always linked to achievement in the short term, but the long term correlation is high, and ultimately things do work out. But realize, there will be some people luckier than you.

In fact, to have an opportunity to go to college and understand this speech in English means you are pretty damn lucky by Indian standards.
Let's be grateful for what we have and get the strength to accept what we don't. I have so much love from my readers that other writers cannot even imagine it. However, I don't get literary praise. It's ok. I don't look like Aishwarya Rai, but I have two boys who I think are more beautiful than her. It's ok. Don't let unfairness kill your spark.

Finally, the last point that can kill your spark is isolation. As you grow older you will realize you are unique. When you are little, all kids want Ice cream and Spiderman. As you grow older to college, you still are a lot like your friends. But ten years later and you realize you are unique. What you want, what you believe in, what makes you feel, may be different from even the people closest to you. This can create conflict as your goals may not match with others. . And you may drop some of them. Basketball captains in college invariably stop playing basketball by the time they have their second child. They give up something that meant so much to them. They do it for their family. But in doing that, the spark dies.. Never, ever make that compromise. Love yourself first, and then others.

There you go. I've told you the four thunderstorms - disappointment, frustration, unfairness and isolation. You cannot avoid them, as like the monsoon they will come into your life at regular intervals. You just need to keep the raincoat handy to not let the spark die.

I welcome you again to the most wonderful years of your life. If someone gave me the choice to go back in time, I will surely choose college. But I also hope that ten years later as well, you eyes will shine the same way as they do today. That you will Keep the Spark alive, not only through college, but through the next 2,500 weekends. And I hope not just you, but my whole country will keep that spark alive, as we really need it now more than any moment in history. And there is something cool about saying - I come from the land of a billion sparks.

Thank You.

Research Notes - SAMPLING

2008-04-08T09:41:00.000+04:30

Sampling In Research

Mugo Fridah W.

INTRODUCTION

This tutorial is a discussion on sampling in research it is mainly designed to eqiup beginners with knowledge on the general issues on sampling that is the purpose of sampling in research, dangers of sampling and how to minimize them, types of sampling and guides for deciding the sample size. For a clear flow of ideas, a few definitions of the terms used are given.

What is research?

According Webster(1985), to research is to search or investigate exhaustively. It is a careful or diligent search, studious inquiry or examination especially investigation or experimentation aimed at the discovery and interpretation of facts, revision of accepted theories or laws in the light of new facts or practical application of such new or revised theories or laws, it can also be the collection of information about a particular subject.

What is a sample?

A sample is a finite part of a statistical population whose properties are studied to gain information about the whole(Webster, 1985). When dealing with people, it can be defined as a set of respondents(people) selected from a larger population for the purpose of a survey.

A population is a group of individuals persons, objects, or items from which samples are taken for measurement for example a population of presidents or professors, books or students.

What is sampling? Sampling is the act, process, or technique of selecting a suitable sample, or a representative part of a population for the purpose of determining parameters or characteristics of the whole population.

What is the purpose of sampling? To draw conclusions about populations from samples, we must use inferential statistics which enables us to determine a population`s characteristics by directly observing only a portion (or sample) of the population. We obtain a sample rather than a complete enumeration (a census ) of the population for many reasons. Obviously, it is cheaper to observe a part rather than the whole, but we should prepare ourselves to cope with the dangers of using samples. In this tutorial, we will investigate various kinds of sampling procedures. Some are better than others but all may yield samples that are inaccurate and unreliable. We will learn how to minimize these dangers, but some potential error is the price we must pay for the convenience and savings the samples provide.

There would be no need for statistical theory if a census rather than a sample was always used to obtain information about populations. But a census may not be practical and is almost never economical. There are six main reasons for sampling instead of doing a census. These are; -Economy -Timeliness -The large size of many populations -Inaccessibility of some of the population -Destructiveness of the observation -accuracy

The economic advantage of using a sample in research Obviously, taking a sample requires fewer resources than a census. For example, let us assume that you are one of the very curious students around. You have heard so much about the famous Cornell and now that you are there, you want to hear from the insiders. You want to know what all the students at Cornell think about the quality of teaching they receive, you know that all the students are different so they are likely to have different perceptions and you believe you must get all these perceptions so you decide because you want an indepth view of every student, you will conduct personal interviews with each one of them and you want the results in 20 days only, let us assume this particular time you are doing your research Cornell has only 20,000 students and those who are helping are so fast at the interviewing art that together you can interview at least 10 students per person per day in addition to your 18 credit hours of course work. You will require 100 research assistants for 20 days and since you are paying them minimum wage of $5.00 per hour for ten hours ($50.00) per person per day, you will require $100000.00 just to complete the interviews, analysis will just be impossible. You may decide to hire additional assistants to help with the analysis at another $100000.00 and so on assuming you have that amount on your account.

As unrealistic as this example is, it does illustrate the very high cost of census. For the type of information desired, a small wisely selected sample of Cornell students can serve the purpose. You don`t even have to hire a single assistant. You can complete the interviews and analysis on your own. Rarely does a circustance require a census of the population, and even more rarely does one justify the expense.

The time factor.

A sample may provide you with needed information quickly. For example, you are a Doctor and a disease has broken out in a village within your area of jurisdiction, the disease is contagious and it is killing within hours nobody knows what it is. You are required to conduct quick tests to help save the situation. If you try a census of those affected, they may be long dead when you arrive with your results. In such a case just a few of those already infected could be used to provide the required information.

The very large populations

Many populations about which inferences must be made are quite large. For example, Consider the population of high school seniors in United States of America, agroup numbering 4,000,000. The responsible agency in the government has to plan for how they will be absorbed into the differnt departments and even the private sector. The employers would like to have specific knowledge about the student`s plans in order to make compatiple plans to absorb them during the coming year. But the big size of the population makes it physically impossible to conduct a census. In such a case, selecting a representative sample may be the only way to get the information required from high school seniors.

The partly accessible populations

There are Some populations that are so difficult to get access to that only a sample can be used. Like people in prison, like crashed aeroplanes in the deep seas, presidents e.t.c. The inaccessibility may be economic or time related. Like a particular study population may be so costly to reach like the population of planets that only a sample can be used. In other cases, a population of some events may be taking too long to occur that only sample information can be relied on. For example natural disasters like a flood that occurs every 100 years or take the example of the flood that occured in Noah`s days. It has never occured again.

The destructive nature of the observation Sometimes the very act of observing the desired charecteristic of a unit of the population destroys it for the intended use. Good examples of this occur in quality control. For example to test the quality of a fuse, to determine whether it is defective, it must be destroyed. To obtain a census of the quality of a lorry load of fuses, you have to destroy all of them. This is contrary to the purpose served by quality-control testing. In this case, only a sample should be used to assess the quality of the fuses

Accuracy and sampling A sample may be more accurate than a census. A sloppily conducted census can provide less reliable information than a carefully obtained sample.

BIAS AND ERROR IN SAMPLING A sample is expected to mirror the population from which it comes, however, there is no guarantee that any sample will be precisely representative of the population from which it comes. Chance may dictate that a disproportionate number of untypical observations will be made like for the case of testing fuses, the sample of fuses may consist of more or less faulty fuses than the real population proportion of faulty cases. In practice, it is rarely known when a sample is unrepresentative and should be discarded.

Sampling error

What can make a sample unrepresentative of its population? One of the most frequent causes is sampling error.

Sampling error comprises the differences between the sample and the population that are due solely to the particular units that happen to have been selected.

For example, suppose that a sample of 100 american women are measured and are all found to be taller than six feet. It is very clear even without any statistical prove that this would be a highly unrepresentative sample leading to invalid conclusions. This is a very unlikely occurance because naturally such rare cases are widely distributed among the population. But it can occur. Luckily, this is a very obvious error and can be etected very easily.

The more dangerous error is the less obvious sampling error against which nature offers very little protection. An example would be like a sample in which the average height is overstated by only one inch or two rather than one foot which is more obvious. It is the unobvious error that is of much concern.

There are two basic causes for sampling error. One is chance: That is the error that occurs just because of bad luck. This may result in untypical choices. Unusual units in a population do exist and there is always a possibility that an abnormally large number of them will be chosen. For example, in a recent study in which I was looking at the number of trees, I selected a sample of households randomly but strange enough, the two households in the whole population, which had the highest number of trees (10,018 and 6345 ) were both selected making the sample average higher than it should be. The average with these two extremes removed was 828 trees. The main protection agaisnt this kind of error is to use a large enough sample. The second cause of sampling is sampling bias.

Sampling bias is a tendency to favour the selection of units that have paticular characteristics.

Sampling bias is usually the result of a poor sampling plan. The most notable is the bias of non response when for some reason some units have no chance of appearing in the sample. For example, take a hypothetical case where a survey was conducted recently by Cornell Graduate school to find out the level of stress that graduate students were going through. A mail questionnaire was sent to 100 randomly selected graduate students. Only 52 responded and the results were that students were not under strees at that time when the actual case was that it was the highest time of stress for all students except those who were writing their thesis at their own pace. Apparently, this is the group that had the time to respond. The researcher who was conducting the study went back to the questionnaire to find out what the problem was and found that all those who had responded were third and fourth PhD students. Bias can be very costly and has to be gaurded against as much as possible. For this case, $2000.00 had been spent and there were no reliable results in addition, it cost the reseacher his job since his employer thought if he was qualified, he should have known that before hand and planned on how to avoid it. A means of selecting the units of analysis must be designed to avoid the more obvious forms of bias. Another example would be where you would like to know the average income of some community and you decide to use the telephone numbers to select a sample of the total population in a locality where only the rich and middle class households have telephone lines. You will end up with high average income which will lead to the wrong policy decisions.

Non sampling error (measurement error)

The other main cause of unrepresentative samples is non sampling error. This type of error can occur whether a census or a sample is being used. Like sampling error, non sampling error may either be produced by participants in the statistical study or be an innocent by product of the sampling plans and procedures.

A non sampling error is an error that results solely from the manner in which the observations are made.

The simplest example of non sampling error is inaccurate measurements due to malfuntioning instruments or poor procedures. For example, Consider the observation of human weights. If persons are asked to state their own weights themselves, no two answers will be of equal reliability. The people will have weighed themselves on different scales in various states of poor caliberation. An individual`s weight fluctuates diurnally by several pounds, so that the time of weighing will affect the answer. The scale reading will also vary with the person`s state of undress. Responses therefore will not be of comparable validity unless all persons are weighed under the same circumstances.

Biased observations due to inaccurate measurement can be innocent but very devastating. A story is told of a French astronomer who once proposed a new theory based on spectroscopic measurements of light emitted by a particular star. When his colleques discovered that the measuring instrument had been contaminated by cigarette smoke, they rejected his findings.

In surveys of personal characteristics, unintended errors may result from: -The manner in which the response is elicited -The social desirability of the persons surveyed -The purpose of the study -The personal biases of the interviewer or survey writer

The interwiers effect

No two interviewers are alike and the same person may provide different answers to different interviewers. The manner in which a question is formulated can also result in inaccurate responses. Individuals tend to provide false answers to particular questions. For example, some people want to feel younger or older for some reason known to themselves. If you ask such a person their age in years, it is easier for the idividual just to lie to you by over stating their age by one or more years than it is if you asked which year they were born since it will require a bit of quick arithmetic to give a false date and a date of birth will definitely be more accurate.

The respondent effect

Respondents might also give incorrect answers to impress the interviewer. This type of error is the most difficult to prevent because it results from out right deceit on the part of the respondee. An example of this is what I witnessed in my recent study in which I was asking farmers how much maize they harvested last year (1995). In most cases, the men tended to lie by saying a figure which is the reccomended expected yield that is 25 bags per acre. The responses from men looked so uniform that I became suspicious. I compared with the responses of the wives of the these men and their responses were all different. To decide which one was right, whenever possible I could in a tactful way verify with an older son or daughter. It is important to acknowledge that certain psychological factors induce incorrect responses and great care must be taken to design a study that minimizes their effect.

Knowing the study purpose

Knowing why a study is being conducted may create incorrect responses. A classic example is the question: What is your income? If a government agency is asking, a different figure may be provided than the respondent would give on an application for a home mortgage. One way to guard against such bias is to camouflage the study`s goals; Another remedy is to make the questions very specific, allowing no room for personal interpretation. For example, "Where are you employed?" could be followed by "What is your salary?" and "Do you have any extra jobs?" A sequence of such questions may produce more accurate information.

Induced bias

Finally, it should be noted that the personal prejudices of either the designer of the study or the data collector may tend to induce bias. In designing a questionnaire, questions may be slanted in such a way that a particular response will be obtained even though it is inacurrate. For example, an agronomist may apply fertilizer to certain key plots, knowing that they will provide more favourable yields than others. To protect against induced bias, advice of an individual trained in statistics should be sought in the design and someone else aware of search pitfalls should serve in an auditing capacity.

SELECTING THE SAMPLE

The preceding section has covered the most common problems associated with statistical studies. The desirability of a sampling procedure depends on both its vulnerability to error and its cost. However, economy and reliability are competing ends, because, to reduce error often requires an increased expenditure of resources. Of the two types of statistical errors, only sampling error can be controlled by exercising care in determining the method for choosing the sample. The previous section has shown that sampling error may be due to either bias or chance. The chance component (sometimes called random error) exists no matter how carefully the selection procedures are implemented, and the only way to minimize chance sampling errors is to select a sufficiently large sample (sample size is discussed towards the end of this tutorial). Sampling bias on the other hand may be minimized by the wise choice of a sampling procedure.

TYPES OF SAMPLES

There are three primary kinds of samples: the convenience, the judgement sample, and the random sample. They differ in the manner in which the elementary units are chosen.

The convenient sample

A convenience sample results when the more convenient elementary units are chosen from a population for observation.

The judgement sample

A judgement sample is obtained according to the discretion of someone who is familiar with the relevant characteristics of the population.

The random sample

This may be the most important type of sample. A random sample allows a known probability that each elementary unit will be chosen. For this reason, it is sometimes referred to as a probability sample. This is the type of sampling that is used in lotteries and raffles. For example, if you want to select 10 players randomly from a population of 100, you can write their names, fold them up, mix them thoroughly then pick ten. In this case, every name had any equal chance of being picked. Random numbers can also be used (see Lapin page 81).

TYPES OF RANDOM SAMPLES

A simple random sample

A simple random sample is obtained by choosing elementary units in search a way that each unit in the population has an equal chance of being selected. A simple random sample is free from sampling bias. However, using a random number table to choose the elementary units can be cumbersome. If the sample is to be collected by a person untrained in statistics, then instructions may be misinterpreted and selections may be made improperly. Instead of using a least of random numbers, data collection can be simplified by selecting say every 10th or 100th unit after the first unit has been chosen randomly as discussed below. such a procedure is called systematic random sampling.

A systematic random sample

A systematic random sample is obtained by selecting one unit on a random basis and choosing additional elementary units at evenly spaced intervals until the desired number of units is obtained. For example, there are 100 students in your class. You want a sample of 20 from these 100 and you have their names listed on a piece of paper may be in an alphabetical order. If you choose to use systematic random sampling, divide 100 by 20, you will get 5. Randomly select any number between 1 and five. Suppose the number you have picked is 4, that will be your starting number. So student number 4 has been selected. From there you will select every 5th name until you reach the last one, number one hundred. You will end up with 20 selected students.

A stratified sample

A stratified sample is obtained by independently selecting a separate simple random sample from each population stratum. A population can be divided into different groups may be based on some characteristic or variable like income of education. Like any body with ten years of education will be in group A, between 10 and 20 group B and between 20 and 30 group C. These groups are referred to as strata. You can then randomly select from each stratum a given number of units which may be based on proportion like if group A has 100 persons while group B has 50, and C has 30 you may decide you will take 10% of each. So you end up with 10 from group A, 5 from group B and 3 from group C.

A cluster sample

A cluster sample is obtained by selecting clusters from the population on the basis of simple random sampling. The sample comprises a census of each random cluster selected. For example, a cluster may be some thing like a village or a school, a state. So you decide all the elementary schools in Newyork State are clusters. You want 20 schools selected. You can use simple or systematic random sampling to select the schools, then every school selected becomes a cluster. If you interest is to interview teachers on thei opinion of some new program which has been introduced, then all the teachers in a cluster must be interviewed. Though very economical cluster sampling is very susceptible to sampling bias. Like for the above case, you are likely to get similar responses from teachers in one school due to the fact that they interact with one another.

PURPOSEFUL SAMPLING

Purposeful sampling selects information rich cases for indepth study. Size and specific cases depend on the study purpose.

There are about 16 different types of purposeful sampling. They are briefly described below for you to be aware of them. The details can be found in Patton(1990)Pg 169-186.

Extreme and deviant case sampling This involves learning from highly unusual manifestations of the phenomenon of interest, suchas outstanding successes, notable failures, top of the class, dropouts, exotic events, crises.

Intensity sampling This is information rich cases that manifest the phenomenon intensely, but not extremely, such as good students,poor students, above average/below average.

Maximum variation sampling This involves purposefully picking a wide range of variation on dimentions of interest. This documents unique or diverse variations that have emerged in adapting to different conditions. It also identifies important common patterns that cut across variations. Like in the example of interviewing Cornell students, you may want to get students of different nationalities, professional backgrounds, cultures, work experience and the like.

Homogenious sampling This one reduces variation, simplifies analysis, facilitates group interviewing. Like instead of having the maximum number of nationalities as in the above case of maximum variation, it may focus on one nationality say Americans only.

Typical case sampling It involves taking a sample of what one would call typical, normal or average for a particular phenomenon,

Stratified purposeful sampling This illustrates charecteristics of particular subgroups of interest and facilitates comparisons between the different groups.

Critical case sampling> This permits logical generalization and maximum application of information to other cases like "If it is true for this one case, it is likely to be true of all other cases. You must have heard statements like if it happenned to so and so then it can happen to anybody. Or if so and so passed that exam, then anybody can pass.

Snowball or chain sampling This particular one identifies, cases of interest from people who know people who know what cases are information rich, that is good examples for study, good interview subjects. This is commonly used in studies that may be looking at issues like the homeless households. What you do is to get hold of one and he/she will tell you where the others are or can be found. When you find those others they will tell you where you can get more others and the chain continues.

Criterion sampling Here, you set a criteria and pick all cases that meet that criteria for example, all ladies six feet tall, all white cars, all farmers that have planted onions. This method of sampling is very strong in quality assurance.

Theory based or operational construct sampling. Finding manifestations of a theoretical construct of interest so as to elaborate and examine the construct.

Confirming and disconfirming cases Elaborating and deepening initial analysis like if you had already started some study, you are seeking further information or confirming some emerging issues which are not clear, seeking exceptions and testing variation.

Opportunistic Sampling This involves following new leads during field work, taking advantage of the unexpected flexibility.

Random purposeful sampling This adds credibility when the purposeful sample is larger than one can handle. Reduces judgement within a purposeful category. But it is not for generalizations or representativeness.

Sampling politically important cases This type of sampling attracts or avoids attracting attention undesired attention by purposisefully eliminating from the sample political cases. These may be individuals, or localities.

Convenience sampling It is useful in getting general ideas about the phenomenon of interest. For example you decide you will interview the first ten people you meet tomorrow morning. It saves time, money and effort. It is the poorest way of getting samples, has the lowest credibility and yields information-poor cases.

Combination or mixed purposeful sampling This combines various sampling strategies to achieve the desired sample. This helps in triangulation, allows for flexibility, and meets multiple interests and needs. When selecting a sampling strategy it is necessary that it fits the purpose of the study, the resources available, the question being asked and the constraints being faced. This holds true for sampling strategy as well as sample size.

SAMPLE SIZE

Before deciding how large a sample should be, you have to define your study population. For example, all children below age three in Tomkin`s County. Then determine your sampling frame which could be a list of all the chidren below three as recorded by Tomkin`s County. You can then struggle with the sample size.

The question of how large a sample should be is a difficult one. Sample size can be determined by various constraints. For example, the available funding may prespecify the sample size. When research costs are fixed, a useful rule of thumb is to spent about one half of the total amount for data collection and the other half for data analysis. This constraint influences the sample size as well as sample design and data collection procedures.

In general, sample size depends on the nature of the analysis to be performed, the desired precision of the estimates one wishes to achieve, the kind and number of comparisons that will be made, the number of variables that have to be examined simultaneously and how heterogenous a universe is sampled. For example, if the key analysis of a randomized experiment consists of computing averages for experimentals and controls in a project and comparing differences, then a sample under 100 might be adequate, assuming that other statistical assumptions hold.

In non-experimental research, most often, relevant variables have to be controlled statistically because groups differ by factors other than chance.

More technical considerations suggest that the required sample size is a function of the precision of the estimates one wishes to achieve, the variability or variance, one expects to find in the population and the statistical level of confidence one wishes to use. The sample size N required to estimate a population mean (average) with a given level of precision is:

The square root of N=(1.96)*(&)/precision Where & is the population standard deviation of the for the variable whose mean one is interested in estimating. Precision refers to width of the interval one is willing to tolerate and 1.96 reflects the confidence level. For details on this please see Salant and Dillman (1994).

For example, to estimate mean earnings in a population with an accuracy of $100 per year, using a 95% confidence interval and assuming that the standard deviation of earnings in the population is $1600.0, the required sample size is 983:[(1.96)(1600/100)] squared.

Deciding on a sample size for qualitative inquiry can be even more difficult than quantitative because there are no definite rules to be followed. It will depend on what you want to know, the purpose of the inquiry, what is at stake, what will be usefull, what will have credibility and what can be done with available time and resources. With fixed resources which is always the case, you can choose to study one specific phenomenon in depth with a smaller sample size or a bigger sample size when seeking breadth. In purposeful sampling, the sample should be judged on the basis of the purpose and rationale for each study and the sampling strategy used to achieve the studies purpose. The validity, meangfulness, and insights generated from qualitative inquiry have more to do with the information-richness of the cases selected and the observational/analytical capabilities of the researcher than with sample size.

CONCLUSION

In conclusion, it can be said that using a sample in research saves mainly on money and time, if a suitable sampling strategy is used, appropriate sample size selected and necessary precautions taken to reduce on sampling and measurement errors, then a sample should yield valid and reliable information. Details on sampling can be obtained from the references included below and many other books on statistics or qualitative research which can be found in libraries.

Counseling Notes

2008-04-04T16:50:00.001+04:30

History of Counselling & Psychotherapy

Although psychological therapies trace their history back to the contributions of Freud, many modern approaches to counselling and psychotherapy are now much more firmly grounded in other bodies of thought.

* Contents

* Freud and His Successors
* The Medical vs. Non-Medical Split
* The Counselling vs. Psychotherapy Divide
* Counselling and Psychotherapy Today
* Further Discussion

Freud and His Successors

Modern psychological therapies trace their history back to the work of Sigmund Freud in Vienna in the 1880s. Trained as a neurologist, Freud entered private practice in 1886 and by 1896 had developed a method of working with hysterical patients which he called 'psychoanalysis'. Others such as Alfred Adler, Snador Ferenczi, Karl Abraham and Otto Rank were also analysed by Freud and had brief apprentice-type training from him before becoming psychoanalysts in their own right.

In the early 1900s, Ernest Jones and A.A. Brill, from the UK and US respectively, visited Freud in Vienna and returned to their own countries to promote Freud's methods; Freud himself began a lecture tour of North America in 1909. Gradually many such as Ferenczi, Adler, Rank, Stekel and Reich began to develop their own theories and approaches, which sometimes differed markedly from Freud's. Jung in particular, a close collaborator of Freud's from 1907-1913 who was in some sense 'groomed' as Freud's intellectual successor, eventually split from Freud and pursued the development of his own school of analytical psychology, drawing heavily on both Freud's and Adler's ideas. All these immediate descendants of Freud's approach are characterized by a focus on the dynamics of the relationships between different parts of the psyche and the external world; thus the term 'psychodynamics'.

A separate strand of psychological therapies developed later under the influence of psychology and learning theory and leading thinkers such as B.F. Skinner. Rejecting the notion of 'hidden' aspects of the psyche which cannot be examined empirically (such as Freud's rendition of the 'unconscious'), practitioners in the behavioural tradition began to focus on what could actually be observed in the outside world.

Finally, under the influence of Adler and Rank, a 'third way' was pioneered by the US psychologist Carl Rogers. Originally called 'client-centred' and later 'person-centred', Rogers's approach focuses on the experience of the person, neither adopting elaborate and empirically untestable theoretical constructs of the type common in psychodynamic traditions, nor neglecting the internal world of the client in the way of early behaviourists. Other approaches also developed under what came to be called the 'humanistic' branch of psychotherapy, including Gestalt therapy and the psychodrama of J.L. Moreno. The figure below illustrates some of the historical links between these three main strands which developed from Freud's original contributions.

Three strands of development in the history of counselling and psychotherapy
The Medical vs. Non-Medical Split

Freud strongly supported the idea of lay analysts without medical training, and he analysed several lay people who later went on to become leading psychoanalysts, including Oskar Pfister, Otto Rank and his own daughter Anna Freud. He published two staunch defenses of lay analysis in 1926 and 1927, arguing that medicine and the practice of analysis were two different things. When Ernest Jones brought psychoanalysis to the UK in 1913, he followed Freud's preferences in this area, and the tradition of lay involvement continues to this day in the UK, where most psychoanalysts, psychotherapists and counsellors have a lay background.

In the US, however, Freud's analysand A.A. Brill insisted that analysts should be medically qualified -- even though there were already many lay analysts practising in the US who, like Brill, had trained with Freud in Vienna. Brill prevailed, however: in 1926 the state of New York made lay analysis illegal, and shortly thereafter the American Medical Association warned its members not to cooperate with lay analysts. To this day, almost all US psychoanalysts are medically qualified, and counsellors typically study psychology as undergraduates before becoming counsellors.
The Counselling vs. Psychotherapy Divide

It was largely in response to the US prejudice against lay therapists that Carl Rogers adopted the word 'counseling', originally used by social activist Frank Parsons in 1908. As a psychologist, Rogers was not originally permitted by the psychiatry profession to call himself a 'psychotherapist'. Ironically, Rogers himself became renowned as one of the most influential empirical scientists in the fields of psychology and psychiatry, introducing rigorous scientific methods to psychology and psychotherapy that psychoanalysts themselves had long resisted (and, in the view of many, still largely resist today). He became a joint Professor in the Departments of Psychology and Psychiatry at the University of Wisconsin as well as Head of the Psychotherapy Research Section of the Wisconsin Psychiatric Institute.

In the field as it now stands, the argument as to whether counselling differs significantly from psychotherapy is largely academic. Those from psychodynamic traditions sometimes equate 'psychoanalysis' and 'psychotherapy' -- suggesting that only psychoanalysts are really psychotherapists -- but this view is not common anywhere else. Others use 'psychotherapy' to refer to longer-term work (even though some psychotherapists offer brief therapy) and 'counselling' to refer to shorter term work (even though some counsellors may work with clients for years). The two terms are commonly used interchangeably in the US, with the obvious exception of 'guidance counseling', which is often provided in educational settings and focuses on career and social issues.
Counselling and Psychotherapy Today

Modern counselling and psychotherapy have benefited tremendously from the empirical tradition which was given such impetus by Carl Rogers, even though the research agendas of psychology and counselling have diverged greatly over the last half century. Additional work in cognitive psychology, learning theory and behaviour has informed many therapeutic approaches. The richness of the bodies of both empirical and theoretical work which are now available, coupled with the raw complexity of human beings, has led to a profusion of different approaches to the field. By some accounts, the different strands of counselling and psychotherapy now number in the hundreds. Mainstream approaches, however, are much fewer in number, and over time it is likely that many of the less well-grounded schools of thought will fade away, while more new ones will emerge to take their place. While the main approaches continue to develop, and others appear and then fade away, clients are left to choose for themselves what might be best for them. Hopefully the information provided by this site (incomplete though it very definitely is!) will be of some help in this process.

Difference between coaching, counseling and psychotherapy
Coaching tends to be future oriented, goal focused and asks the client to be accountable to themselves according to the specific goals agreed upon. Counseling tends to be oriented in equal measure to the past, present and future as well as problem and solution focused but less on psychopathology than psychotherapy.[citation needed]
Psychotherapy tends to deal more with individuals who wish to get to the source of their clinical depression, anxiety or personality disorder. This distinction is not hard and fast however, as in both common and professional usage counseling and psychotherapy are interchangeable, whilst coaching is perceived as different and limited to either executive or sports coaching, yet includes therapeutic coaching in its realm. This leads to confusion for both customers and practitioners in a complex service industry that now includes marriage mentoring, for example. The differences are usually to do with the type of training, accreditation and special interests of each type of coach, counselor or psychotherapist.
Coaching arose from management consultancy and leadership training, and has grown into traditional counseling and psychotherapy fields such as conflict coaching and systemic coaching. Coaching and counseling tend to arise from a humanistic and client-centered approach. Counselors attend to both normal social, cultural and developmental issues as well as the problems associated with physical, emotional, and mental disorders. These are nonpathologizing views of the person in context. A vital ingredient is their view that coaching and counseling are a meeting between practitioner and client, which invites the creative possibilities of dialogue in contrast to treatment of a disorder and in mentoring, a partnership of colleagues of greater and lesser experience. Many personal coaches and counselors use movement, psychodynamic and cognitive-behavioral approaches in their work, usually integrating these aspects into the process when appropriate and beneficial to their client.
Coaching, psychotherapy and counseling all encourage self help as a resource for change, but to different degrees. For example, will a person believed to be suffering a mental disorder think about self-help in a disordered way - using aluminum foil wrapping of the skull to prevent their thoughts being broadcast to a television set, for example. This could be considered disordered self-help. By contrast, in an approach that does not pathologize the person, the practitioner is unlikely to pathologize the client's self help strategy and some may even research the science of experience to find information about the effectiveness of a skullcap.
Coaching, psychotherapy and counseling, taken together and used together represent an eclectic approach and serve as perhaps the best approach when taken together, since clients come from various backgrounds and circumstances and represent different needs and issues.
An Introduction to Person-Centred Counselling
Taking the view that every individual has the internal resources they need for growth, person-centred counselling aims to provide three 'core conditions' (unconditional positive regard, empathy and congruence) which help that growth to occur.
• Contents
• Underlying Theory of Person-Centred Counselling
• Therapeutic Approach of Person-Centred Counselling
• Criticisms of Person-Centred Counselling
• Best Fit With Clients
• Further Reading on Person-Centred Counselling
• External Reading Suggestions on Person-Centred Counselling
Underlying Theory of Person-Centred Counselling
The person-centred approach views the client as their own best authority on their own experience, and it views the client as being fully capable of fulfilling their own potential for growth. It recognizes, however, that achieving potential requires favourable conditions and that under adverse conditions, individuals may well not grow and develop in the ways that they otherwise could. In particular, when individuals are denied acceptance and positive regard from others -- or when that positive regard is made conditional upon the individual behaving in particular ways -- they may begin to lose touch with what their own experience means for them, and their innate tendency to grow in a direction consistent with that meaning may be stifled.
One reason this may occur is that individuals often cope with the conditional acceptance offered to them by others by gradually coming to incorporate these conditions into their own views about themselves. They may form a self-concept which includes views of themselves like, "I am the sort of person who must never be late", or "I am the sort of person who always respects others", or "I am the sort of person who always keeps the house clean". Because of a fundamental need for positive regard from others, it is easier to 'be' this sort of person -- and to receive positive regard from others as a result -- than it is to 'be' anything else and risk losing that positive regard. Over time, their intrinsic sense of their own identity and their own evaluations of experience and attributions of value may be replaced by creations partly or even entirely due to the pressures felt from other people. That is, the individual displaces personal judgements and meanings with those of others.
Psychological disturbance occurs when the individual's 'self-concept' begins to clash with immediate personal experience -- i.e., when the evidence of the individual's own senses or the individual's own judgement clashes with what the self-concept says 'ought' to be the case. Unfortunately, disturbance is apt to continue as long as the individual depends on the conditionally positive judgements of others for their sense of self-worth and as long as the individual relies on a self-concept designed in part to earn those positive judgements. Experiences which challenge the self-concept are apt to be distorted or even denied altogether in order to preserve it.
Therapeutic Approach of Person-Centred Counselling
The person-centred approach maintains that three core conditions provide a climate conducive to growth and therapeutic change. They contrast starkly with those conditions believed to be responsible for psychological disturbance. The core conditions are:
1. Unconditional positive regard
2. Empathic understanding
3. Congruence
The first -- unconditional positive regard -- means that the counsellor accepts the client unconditionally and non-judgementally. The client is free to explore all thoughts and feelings, positive or negative, without danger of rejection or condemnation. Crucially, the client is free to explore and to express without having to do anything in particular or meet any particular standards of behaviour to 'earn' positive regard from the counsellor. The second -- empathic understanding -- means that the counsellor accurately understands the client's thoughts, feelings, and meanings from the client's own perspective. When the counsellor perceives what the world is like from the client's point of view, it demonstrates not only that that view has value, but also that the client is being accepted. The third -- congruence -- means that the counsellor is authentic and genuine. The counsellor does not present an aloof professional facade, but is present and transparent to the client. There is no air of authority or hidden knowledge, and the client does not have to speculate about what the counsellor is 'really like'.
Together, these three core conditions are believed to enable the client to develop and grow in their own way -- to strengthen and expand their own identity and to become the person that they 'really' are independently of the pressures of others to act or think in particular ways.
As a result, person-centred theory takes these core conditions as both necessary and sufficient for therapeutic movement to occur -- i.e., that if these core conditions are provided, then the client will experience therapeutic change. (Indeed, the achievement of identifying and articulating these core conditions and launching a significant programme of scientific research to test hypotheses about them was one of the greatest contributions of Carl Rogers, the American psychologist who first began formulating the person-centred approach in the 1930s and 1940s.) Notably, person-centred theory suggests that there is nothing essentially unique about the counselling relationship and that in fact healthy relationships with significant others may well manifest the core conditions and thus be therapeutic, although normally in a transitory sort of way, rather than consistently and continually.
Finally, as noted at the outset, the person-centred approach takes clients as their own best authorities. The focus of person-centred therapy is always on the client's own feelings and thoughts, not on those of the therapist -- and certainly not on diagnosis or categorization. The person-centred therapist makes every attempt to foster an environment in which clients can encounter themselves and become more intimate with their own thoughts, feelings and meanings.
Criticisms of Person-Centred Counselling
A frequent criticism of the person-centred approach is that delivering the core conditions is what all good therapists do anyway, before they move on to applying their expertise and doing the real work of 'making clients better'. On the face of it, this criticism reflects a misunderstanding of the real challenges of consistently manifesting unconditional positive regard, empathic understanding and congruence. This is especially true of congruence: to the extent that some therapeutic techniques deployed in some other traditions depend on the counsellor's willingness to 'hold back', mentally formulate hypotheses about the client, or conceal their own personal reactions behind a consistent professional face, there is a real challenge in applying these techniques with the openness and honesty which defines congruence. It may also demonstrate something of a reluctance to take seriously the empirical research on counselling effectiveness and the conclusion that the quality of the client-counsellor relationship is a leading predictor of therapeutic effectiveness -- although this is somewhat more controversial, since one might argue that providing the core conditions is not the only way to achieve a quality relationship. (See the page on Comparing Effectiveness.)
At a deeper level, however, there is a more sophisticated point lurking, which many expositions of person-centred theory seem to avoid addressing head-on. Namely, given that the self is the single most important resource the person-centred counsellor brings to the therapeutic relationship, it makes sense to ask: what (if anything) is it important that this self has, apart from the three core conditions? I.e., manifesting of the core conditions does not by itself tell us what experiences or philosophies the counsellor is bringing to the relationship. It tells us that the client will have transparent access to that self -- because the counsellor is congruent -- but it doesn't tell us anything else about that self. Whether or not that self should be developed in any particular way, or whether that self should acquire any particular background knowledge, seems to me a question which is more often side-stepped than answered within the person-centred tradition.
(Another way to understand this point is this: given two counsellors, each of whom manifests the core conditions to some specified degree, what else, if anything, matters? Would it be better for a given client to have the one who is an expert at astrophysics or the one who is an economist? Would it be better for a given client to have the one who struggled through a decade of ethnic cleansing in a war-torn country or the one who went to private school in an affluent suburb and subsequently worked as a stockbroker? Aside from academic expertise and personal history, what about personal philosophy, parenthood, and other factors?)
Best Fit With Clients
Clients who have a strong urge in the direction of exploring themselves and their feelings and who value personal responsibility may be particularly attracted to the person-centred approach. Those who would like a counsellor to offer them extensive advice, to diagnose their problems, or to analyse their psyches will probably find the person-centred approach less helpful. Clients who would like to address specific psychological habits or patterns of thinking may find some variation in the helpfulness of the person-centred approach, as the individual therapeutic styles of person-centred counsellors vary widely, and some will feel more able than others to engage directly with these types of concerns.
Further Reading on Person-Centred Counselling
The Annotated Bibliography includes pointers to additional reading on this and other therapeutic approaches. Mearns and Thorne (1999) provide a very readable account of person-centred counselling, while Rogers (1961) is a much more in-depth collection of papers. Barrett-Lennard (1998) offers a very detailed and scholarly treatment of the field.
A separate paper in the 'Critical Engagements' section of this site critically compares person-centred and existential counselling.
External Reading Suggestions on Person-Centred Counselling
The following books are presently bestsellers at Amazon in the area of person-centred counselling; the fact they're bestsellers doesn't necessarily imply anything good or bad about them as books, but it does imply that these are some of what people are buying in this field.
Underlying Theory of Rational Emotive Behaviour Therapy

Rational emotive behaviour therapy ('REBT') views human beings as 'responsibly hedonistic' in the sense that they strive to remain alive and to achieve some degree of happiness. However, it also holds that humans are prone to adopting irrational beliefs and behaviours which stand in the way of their achieving their goals and purposes. Often, these irrational attitudes or philosophies take the form of extreme or dogmatic 'musts', 'shoulds', or 'oughts'; they contrast with rational and flexible desires, wishes, preferences and wants. The presence of extreme philosophies can make all the difference between healthy negative emotions (such as sadness or regret or concern) and unhealthy negative emotions (such as depression or guilt or anxiety). For example, one person's philosophy after experiencing a loss might take the form: "It is unfortunate that this loss has occurred, although there is no actual reason why it should not have occurred. It is sad that it has happened, but it is not awful, and I can continue to function." Another's might take the form: "This absolutely should not have happened, and it is horrific that it did. These circumstances are now intolerable, and I cannot continue to function." The first person's response is apt to lead to sadness, while the second person may be well on their way to depression. Most importantly of all, REBT maintains that individuals have it within their power to change their beliefs and philosophies profoundly, and thereby to change radically their state of psychological health.

REBT employs the 'ABC framework' -- depicted in the figure below -- to clarify the relationship between activating events (A); our beliefs about them (B); and the cognitive, emotional or behavioural consequences of our beliefs (C). The ABC model is also used in some renditions of cognitive therapy or cognitive behavioural therapy, where it is also applied to clarify the role of mental activities or predispositions in mediating between experiences and emotional responses.

ABC model.

The figure below shows how the framework distinguishes between the effects of rational beliefs about negative events, which give rise to healthy negative emotions, and the effects of irrational beliefs about negative events, which lead to unhealthy negative emotions.

Negative events and healthy vs. unhealthy responses.

In addition to the ABC framework, REBT also employs three primary insights:

1. While external events are of undoubted influence, psychological disturbance is largely a matter of personal choice in the sense that individuals consciously or unconsciously select both rational beliefs and irrational beliefs at (B) when negative events occur at (A)
2. Past history and present life conditions strongly affect the person, but they do not, in and of themselves, disturb the person; rather, it is the individual's responses which disturb them, and it is again a matter of individual choice whether to maintain the philosophies at (B) which cause disturbance.
3. Modifying the philosophies at (B) requires persistence and hard work, but it can be done.

Therapeutic Approach of Rational Emotive Behaviour Therapy

The main purpose of REBT is to help clients to replace absolutist philosophies, full of 'musts' and 'shoulds', with more flexible ones; part of this includes learning to accept that all human beings (including themselves) are fallible and learning to increase their tolerance for frustration while aiming to achieve their goals. Although emphasizing the same 'core conditions' as person-centred counselling -- namely, empathy, unconditional positive regard, and counsellor genuineness -- in the counselling relationship, REBT views these conditions as neither necessary nor sufficient for therapeutic change to occur.

The basic process of change which REBT attempts to foster begins with the client acknowledging the existence of a problem and identifying any 'meta-disturbances' about that problem (i.e., problems about the problem, such as feeling guilty about being depressed). The client then identifies the underlying irrational belief which caused the original problem and comes to understand both why it is irrational and why a rational alternative would be preferable. The client challenges their irrational belief and employs a variety of cognitive, behavioural, emotive and imagery techniques to strengthen their conviction in a rational alternative. (For example, rational emotive imagery, or REI, helps clients practice changing unhealthy negative emotions into healthy ones at (C) while imagining the negative event at (A), as a way of changing their underlying philosophy at (B); this is designed to help clients move from an intellectual insight about which of their beliefs are rational and which irrational to a stronger 'gut' instinct about the same.) They identify impediments to progress and overcome them, and they work continuously to consolidate their gains and to prevent relapse.

To further this process, REBT advocates 'selective eclecticism', which means that REBT counsellors are encouraged to make use of techniques from other approaches, while still working specifically within the theoretical framework of REBT. In other words, REBT maintains theoretical coherence while pragmatically employing techniques that work.

Throughout, the counsellor may take a very directive role, actively disputing the client's irrational beliefs, agreeing homework assignments which help the client to overcome their irrational beliefs, and in general 'pushing' the client to challenge themselves and to accept the discomfort which may accompany the change process.
Criticisms of Rational Emotive Behaviour Therapy

As one leading proponent of REBT has indicated, REBT is easy to practise poorly, and it is from this that one immediate criticism suggests itself from the perspective of someone who takes a philosophical approach to life anyway: inelegant REBT could be profoundly irritating! The kind of conceptual disputing favoured by REBT could easily meander off track into minutiae relatively far removed from the client's central concern, and the mental gymnastics required to keep client and therapist on the same track could easily eat up time better spent on more productive activities. The counsellor's and client's estimations of relative importance could diverge rather profoundly, particularly if the client's outlook really does embody significant irrationalities. Having said all that, each of the preceding sentences includes the qualifier 'could', and with a great deal of skill, each pitfall undoubtedly could be avoided.

Perhaps more importantly, it would appear that the need to match therapeutic approach with client preference is even more pressing with REBT than with many others. In other words, it seems very important to adopt the REBT approach only with clients who truly are suitable, as it otherwise risks being strongly counter-productive. On this point, however, it is crucial to realize that some clients specifically do appreciate exactly this kind of approach, and counsellors who are unable or unwilling to provide the disputation required are probably not right for those clients.
Best Fit With Clients

REBT is much less empirically supported than some other approaches: the requisite studies simply have not been completed yet, and the relevant data points for determining the best match with clients are therefore thin on the ground. However, one may envision clients responding particularly well who are both willing and able to conceptualise their problems within the ABC framework, and who are committed to active participation in the process of identifying and changing irrational beliefs (including performing homework assignments in support of the latter). Clients will also need to be able to work collaboratively with a counsellor who will challenge and dispute with them directly, and a scientific and at least somewhat logical outlook would seem a pre-requisite. REBT would be less suitable for clients who do not meet one or more of the above. And as hinted above in the section on Criticims, one might also speculate that clients who are already highly skilled in philosophical engagement could find the approach less useful. (Perhaps REBT-style self help could be of more benefit for such clients?)
Further Reading on Rational Emotive Behaviour Therapy

The Annotated Bibliography includes pointers to additional reading on this and other therapeutic approaches. The comment referenced in the section on Criticisms, on the easiness of practising REBT poorly, is due to Dryden (2002b), p. 367; the notion of 'selective eclecticism' is due to Dryden (1987). Note that REBT is closely related to cognitive therapy and is viewed by many as a subset of it.
External Reading Suggestions on Rational Emotive Behaviour Therapy

The following books are presently bestsellers at Amazon in the area of rational emotive behaviour therapy; the fact they're bestsellers doesn't necessarily imply anything good or bad about them as books, but it does imply that these are some of what people are buying in this field.

An Introduction to Cognitive Therapy & Cognitive Behavioural Approaches

Cognitive therapy (or cognitive behavioural therapy) helps the client to uncover and alter distortions of thought or perceptions which may be causing or prolonging psychological distress.

* Contents

* Underlying Theory of Cognitive Therapy
* Therapeutic Approach of Cognitive or Cognitive Behavioural Therapy
* Criticisms of Cognitive Therapy and CBT
* Best Fit With Clients
* Further Reading on Cognitive Therapy
* External Reading Suggestions on Cognitive Therapy

Underlying Theory of Cognitive Therapy

The central insight of cognitive therapy as originally formulated over three decades ago is that thoughts mediate between stimuli, such as external events, and emotions. As in the figure below, a stimulus elicits a thought -- which might be an evaluative judgement of some kind -- which in turn gives rise to an emotion. In other words, it is not the stimulus itself which somehow elicits an emotional response directly, but our evaluation of or thought about that stimulus. (Some practitioners use Ellis's ABC model, described in the section on rational emotive behaviour therapy, to describe the role of thoughts or attitudes mediating between events and our emotional responses.) Two ancillary assumptions underpin the approach of the cognitive therapist: 1) the client is capable of becoming aware of his or her own thoughts and of changing them, and 2) sometimes the thoughts elicited by stimuli distort or otherwise fail to reflect reality accurately.

Stimulus --> Thought --> Emotion.

A common 'everyday example' of alternative thoughts or beliefs about the same experience and their resulting emotions might be the case of an individual being turned down for a job. She might believe that she was passed over for the job because she was fundamentally incompetent. In that case, she might well become depressed, and she might be less likely to apply for similar jobs in the future. If, on the other hand, she believed that she was passed over because the field of candidates was exceptionally strong, she might feel disappointed but not depressed, and the experience probably wouldn't dissuade her from applying for other similar jobs.

Cognitive therapy suggests that psychological distress is caused by distorted thoughts about stimuli giving rise to distressed emotions. The theory is particularly well developed (and empirically supported) in the case of depression, where clients frequently experience unduly negative thoughts which arise automatically even in response to stimuli which might otherwise be experienced as positive. For instance, a depressed client hearing "please stop talking in class" might think "everything I do is wrong; there is no point in even trying". The same client might hear "you've received top marks on your essay" and think "that was a fluke; I won't ever get a mark like that again", or he might hear "you've really improved over the last term" and think "I was really abysmal at the start of term". Any of these thoughts could lead to feelings of hopelessness or reduced self esteem, maintaining or worsening the individual's depression.

Usually cognitive therapeutic work is informed by an awareness of the role of the client's behaviour as well (thus the term 'cognitive behavioural therapy', or CBT). The task of cognitive therapy or CBT is partly to understand how the three components of emotions, behaviours and thoughts interrelate, and how they may be influenced by external stimuli -- including events which may have occurred early in the client's life.

Thought-Emotion-Behaviour interrelationship.
Therapeutic Approach of Cognitive or Cognitive Behavioural Therapy

Cognitive therapy aims to help the client to become aware of thought distortions which are causing psychological distress, and of behavioural patterns which are reinforcing it, and to correct them. The objective is not to correct every distortion in a client's entire outlook -- and after all, virtually everyone distorts reality in many ways -- just those which may be at the root of distress. The therapist will make every effort to understand experiences from the client's point of view, and the client and therapist will work collaboratively with an empirical spirit, like scientists, exploring the client's thoughts, assumptions and inferences. The therapist helps the client learn to test these by checking them against reality and against other assumptions.

Often this process will continue outside the therapeutic session. For instance, a client whose fear of dying in a car crash is causing them great anxiety when it comes time to drive to work might record on a slip of paper their estimate of the odds of dying in a car crash at various points in the morning -- when they first get up, when they are nearly ready to leave the house, when they are almost to the car, and when they are actually driving. (For someone experiencing such anxiety, these odds might go something like: 1,000 to 1 against when first getting up; 20 to 1 against when nearly ready to leave the house; 2 to 1 against when almost to the car; 5 to 1 in favour of dying in a car crash when actually driving.) This can help the client to see that their estimated odds of actually dying in a car crash are changing just as they move about the house and complete the morning routine. This can be the first step toward making those estimates more realistic and reducing the anxiety which accompanies the thought that one is very likely to die in a crash while driving.

Because of the interrelationship between thoughts, feelings and behaviours, therapeutic interventions frequently involve the client's behaviour. For instance, a client with a strong fear that squirrels will jump onto their head if they walk under trees may go to great lengths to avoid walking under trees. This behaviour will prevent the client from acquiring information that contradicts their thought that "if I walk under a tree, a squirrel will jump onto my head" or perhaps their mental image of a squirrel jumping onto their head the moment they step under a tree. The therapist may help the client to overcome this avoidance of walking under trees as part of the process of correcting the distorted thought that walking under trees will lead to squirrels jumping on the client's head.

Throughout this process of learning, exploring and testing, the client acquires coping strategies as well as improved skills of awareness, introspection and evaluation. This enables them to manage the process on their own in the future, reducing their reliance on the therapist and reducing the likelihood of experiencing a relapse.
Criticisms of Cognitive Therapy and CBT

On first hearing of the basic cognitive therapeutic approach, many people will observe that simply being told that a view doesn't accurately reflect reality doesn't actually make them feel any better. They might say, "I know squirrels aren't likely to jump on my head, but I can't help worrying about it anyway". But to suggest that a cognitive therapist merely tells the client something is wrong is to caricature the approach (and, in fact, few cognitive therapists would actually tell a client some view doesn't reflect reality anyway; they would help the client to explore whether it reflects reality). This would be like criticising the person-centred approach on the grounds that a therapist merely telling a client they are free to discuss anything they like, without judgement from the therapist, doesn't make it feel any easier to talk about difficult problems.

A more salient criticism for some clients may be that the therapist initially may fulfil something of an authority role, in the sense that they provide problem solving experience or expertise in cognitive psychology. Some people may also feel that the therapist can be 'leading' in their questioning and somewhat directive in terms of their recommendations.
Best Fit With Clients

Clients who are comfortable with introspection, who readily adopt the scientific method for exploring their own psychology, and who place credence in the basic theoretical approach of cognitive therapy, may find this approach a good match. Clients who are less comfortable with any of these, or whose distress is of a more general interpersonal nature -- such that it cannot easily be framed in terms of an interplay between thoughts, emotions and behaviours within a given environment -- may be less well served by cognitive therapy. Cognitive and cognitive-behavioural therapies have often proved especially helpful to clients suffering from depression, anxiety, panic and obsessive-compulsive disorder.
Further Reading on Cognitive Therapy

The Annotated Bibliography includes pointers to additional reading on this and other therapeutic approaches. The basic cognitive therapy framework is explained well by Beck (1976), and Trower, et al (1988) offer a good introduction to the modern cognitive behavioural approach.
At different points in life most people experience some kind of crisis. A crisis is defined as a situation or event in which a person feels overwhelmed or has difficulty coping. A crisis might be caused by an event such as the death of a family member, the loss of a job, or the ending of a relationship. During such times people experience a wide range of feelings, and each person's response to a crisis is different. It is normal to feel frightened, anxious, or depressed at such a time.

Crisis counseling involves providing support and guidance to an individual or a group of people such as a family or community during a crisis. The purpose of crisis counseling is to decrease emotional pain, provide emotional support, make sure that the person in crisis is safe, and help develop a plan for coping with the situation. Sometimes it also involves connecting a person to other community or health services that can provide long-term support.

Crisis counseling can be linked to health education if it is used to increase knowledge of how to avoid or cope with a crisis in the future. It can also be used to change people's attitudes and beliefs about people in crisis, and to provide people with information about help available in their community. Public health professionals, for example, might educate a community on how to cope with a natural disaster such as a hurricane or an earthquake.

Crisis counseling is also related to health promotion. People can be taught useful skills that will help them to anticipate and cope with a crisis. Skills, information, and support services gained through crisis counseling can also help a person or a group of people to improve their health and quality of life. Crisis counseling can also be tied to health promotion through the development of health-related public policy and supportive environments. For example, public health professionals might create a policy to build crisis counseling centers or to develop a peer counseling program in high schools or colleges.

A valuable tool for public health, crisis counseling has several advantages over other types of counseling or health services. It is relatively low-cost and simple to provide, and it is flexible and easy to learn. A wide variety of health professionals, including doctors, nurses, psychologists, and social workers, can be taught to help people through the application of crisis counseling techniques. Crisis counseling services can also be provided in a wide variety of places or settings, including hospitals, community clinics, military bases, and police stations, as well as through telephone-based services. New technologies have also created the possibility of Internet-based crisis counseling.

Such services provide an important link between a community and the health care system. By using these resources people can sometimes get the help they need without using more expensive health care services, and they can often take advantage of twenty-four-hour crisis services. People with chronic health problems such as schizophrenia or depression can also get help from twenty-four-hour services when their physician or psychiatrist is not available. Many communities have developed peer counseling programs for specific groups such as adolescents and senior centers.

Public health professionals who offer crisis counseling have been faced with a growing variety of issues and clients. Many communities are home to an increasing number of people from a wide variety of cultural and ethnic backgrounds. There are also more older people in society than ever before. These trends have increased the number of incidents of elder abuse, hate crimes, and cultural clashes. These types of events, along with issues such as AIDS (acquired immunodeficiency syndrome), have increased the workload of crisis counselors. The field has also grown with the development of "first response" programs. Police officers, firemen, paramedics, and others are being trained to deliver on-the-spot crisis counseling. People working in public places such as stores and airline terminals are also learning how to do crisis counseling in order to deal with unhappy or violent customers. These types of programs only add to the importance of crisis counseling for individuals, families, and communities.

Generic Counseling Principles
Given that crisis counseling is different from usual school counseling and
has the aforementioned gcals, it is useful to indicate a general strategy for
helping people in a crisis situation. What follows is a generic model taken
from the work of Lindemann (1944), Caplan (1964), and Rusk (1971) and oth¬
ers (see Golan, 1978; Roberts, 2000, or Slaikeu, 1990 for an exhaustive model).
An individual counselor will change and adapt these techniques depending
on the type of crisis, the age of student, and the specifics of the type of crisis.
Although I have outlined the principles in the general order that they are ap
plied in a crisis, they are not necessarily sequential in practice.In working with a pupil in crisis:
1. Begin counseling immediately. By definition, a crisis is a time when a
child is in danger of becoming extremely impaired emotionally. The longer
the pupil remains in a hazardous situation and is unable to take action, the
more difficult it will be to facilitate coping and a return to equilibrium (Nader
& Pynoos, 1993). When a person remains in a state of confusion without any
kind of human support, anxiety and pain are sure to result.
2. Be concerned and competent. The pupil will need a certain amount of
reassurance during a crisis situation. The more the counselor can present
him or herself as a model of competent problem solving and demonstrate
the process of taking in information, choosing between alternatives, and tak

ng action, the more the child will be able to begin to function appropriately.
This higher functioning will come about both from a sense of safety and secu
rity and from observeing a clear model. The counselor does not call atten
tion to his or her competence but keeps it in the background as the counsel
ing goes on.
3. Listen to the facts of the situation. Before proceeding, the counselor
must carefully gather information about the events leading up to the crisis,
eliciting as many details as possible. Not only will solutions come from these
facts, but concrete knowledge of the situation will also put into perspective
the pupil's behavior-Is this child behaving rationally or irrationally? Such a
determination allows the counselor to judge the severity of the crisis and to
proceed accordingly.
4. Reflect the individual's feelings. The counselor should explicitly focus
the discussion on the pupil's affective experience and encourage its appro
priate expression. The objective here is not only to create empathetic under
standing, but also to legitimize affect. The child must learn that feelings can
be discussed and are an important part of problem solving. By reflecting feel
ings the counselor also “primes the pump” in that it gives the counselee a
way to begin and continue exploration of what occurred. Reflecting feelings
is an important strategy to make psychological contact (Slaikeu, 1990). Koo
cher and Pollin (1994) identified eight fears associated with a medical crisis
that must be expressed and dealt with: Fear of loss of control, loss of self
image, depencency, stigma, abandonment, isolation, death, and expressing
anger.
5. Help the child realize that the crisis event has occurred. Do not accept
the child's defensiveness or let the mechanisms of denial or other defensives
operate and prolong the crisis situation unnecessarily. Some denial may ac
tually be coping, in that it gives the child a chance to be desensitized to what
has occurred. Prolonged or complete denial may not lead to coping. Encour
age the pupil to explore the crisis events without becoming overwhelmed.
By asking appropriate well-timed questions, the counselor can control the
pace of exploration. Roberts (2000) suggested questioning to determine pre
vious coping methods and dangerousness or leathality.
6. Do not encourage or support blaming. This strategy also is a way of
avoiding the pupil's defensiveness and of encouraging coping. If one can put
blame aside, and focus on what has occurred, the child may more quickly
move on. Dwelling on being a victim leaves one in a passive position rather
than moving on to an active role. The focus should be shifted to selfesteem
issues and internal strengths rather than remaining oriented toward exter
nal causation and guilt.
7. Do not give false reassurance. The counselor should always remain
truthful and realistic, even though it is tempting to offer unrealistic comfort.
The individual in crisis will always suffer anxiety, depression, or tension, and

-14-

Publication Information: Book Title: Handbook of Crisis Counseling, Intervention and Prevention in the Schools. Contributors: Jonathan Sandoval - editor. Publisher: Lawrence Erlbaum Associates. Place of Publicat

Definition
Gestalt therapy is a humanistic therapy technique that focuses on gaining an awareness of emotions and behaviors in the present rather than in the past. The therapist does not interpret experiences for the patient. Instead, the therapist and patient work together to help the patient understand him/herself. This type of therapy focuses on experiencing the present situation rather than talking about what occurred in the past. Patients are encouraged to become aware of immediate needs, meet them, and let them recede into the background. The well-adjusted person is seen as someone who has a constant flow of needs and is able to satisfy those needs.
Description
Gestalt therapy has developed into a form of therapy that emphasizes medium to large groups, although many Gestalt techniques can be used in one-on-one therapy. Gestalt therapy probably has a greater range of formats than any other therapy technique. It is practiced in individual, couples, and family therapies, as well as in therapy with children.
Ideally, the patient identifies current sensations and emotions, particularly ones that are painful or disruptive. Patients are confronted with their unconscious feelings and needs, and are assisted to accept and assert those repressed parts of themselves.
The most powerful techniques involve role-playing. For example, the patient talks to an empty chair as they imagine that a person associated with an unresolved issue is sitting in the chair. As the patient talks to the "person" in the chair, the patient imagines that the person responds to the expressed feelings. Although this technique may sound artificial and might make some people feel self-conscious, it can be a powerful way to approach buried feelings and gain new insight into them.
Sometimes patients use battacca bats, padded sticks that can be used to hit chairs or sofas. Using a battacca bat can help a patient safely express anger. A patient may also experience a Gestalt therapy marathon, where the participants and one or more facilitators have nonstop group therapy over a weekend. The effects of the intense emotion and the lack of sleep can eliminate many psychological defenses and allow significant progress to be made in a short time. This is true only if the patient has adequate psychological strength for a marathon and is carefully monitored by the therapist.

ransactional analysis, commonly known as TA to its adherents, is a psychoanalytic (ie, consciously post-Freudian) theory of psychology developed by Canadian-born US psychiatrist Eric Berne during the late 1950s.
The fact is that TA is not only post-Freudian but according to its founder's wishes consciously extra-Freudian. That is to say that while it has its roots in psychoanalysis - since Berne was a psychoanalytic-trained psychiatrist - it was designed as a dissenting branch of psychoanalysis in that it put its emphasis on transactional, rather than "psycho-", analysis.
With its focus on transactions, TA shifted its attention from internal psychological dynamics to the dynamics contained in people's interactions. Rather than believing that increasing awareness of the contents of unconsciously held ideas was the therapeutic path TA concentrated on the content of people's interactions with each other. Changing these interactions was TA's path to solving emotional problems.
In addition Berne believed in making a commitment to "curing" his patients rather than just understanding them. To that end he introduced one of the most important aspects of TA; the contract. The contract is an agreement--entered into by both client and therapist--to pursue specific changes that the client desires.
Revising Freud's concept of the human psyche as composed of the id, ego, and super-ego, Berne postulated instead three "ego states"—the Parent, Adult, and Child states—which were largely shaped through childhood experiences. These three were all parts of Freud's ego: neither represented the id or superego.
Unhealthy childhood experiences could damage the Adult or Parent ego states, which would bring discomfort to an individual and/or others in a variety of forms, including many types of mental illness.
Berne considered how individuals interact with one another, and how the ego states affected each set of transactions. Unproductive or counterproductive transactions were considered to be signs of ego state problems. Analysing these transactions, according to the person's individual developmental history, would enable the person to "get better". Berne thought that virtually everyone has something problematic about their ego states and that negative behaviour would not be addressed by "treating" only the problematic individual.
Berne identified a typology of common counterproductive social interactions, identifying these as "games".
Berne presented his theories in two popular books on transactional analysis: Games People Play (1964) and What Do You Say After You Say Hello? (1975). As a result of this popularity, TA came to be disdained in many[citation needed] mainstream mental health circles as an example of "pop psychology". I'm OK, You're OK (1969), written by Berne's longtime friend Thomas Anthony Harris, is probably the most popular TA book. Many TA therapists regard I'm OK, You're OK as an oversimplification or worse.
TA was also dismissed by the conventional psychoanalytic community[citation needed] because of its radical departures from Freudian theory. However, by the 1970s, because of its non-technical and non-threatening jargon and model of the human psyche, many of its terms and concepts were adopted by eclectic therapists as part of their individual approaches to psychotherapy. It also served well as a therapy model for groups of patients, or marital/family counselees, where interpersonal (rather than intrapersonal) disturbances were the focus of treatment. Critics[1] have charged that TA—especially as loosely interpreted by those outside the more formal TA community—is a pseudoscience; when it is in fact better understood as a belief system.
TA's popularity in the U.S. waned in the 1970s, but it retains some popularity elsewhere in the world.[1] The more dedicated TA purists banded together in 1964 with Berne to form a research and professional accrediting body, the International Transactional Analysis Association, or ITAA. The organization is still active as of 2007.
TA outline
TA is a theory of personality and a systematic psychotherapy for personal growth and personal change.
• As a theory of personality, TA describes how people are structured psychologically. It uses what is perhaps its best known model, the ego-state (Parent-Adult-Child) model to do this. This same model helps understand how people function and express themselves in their behaviour.
• As a theory of communication it extends to a method of analysing systems and organisations.
• It offers a theory for child development.
• It introduces the idea of a "Life (or Childhood) Script", that is, a story one perceives about ones own life, to answer questions such as "What matters", "How do I get along in life" and "What kind of person am I". This story, TA says, is often stuck to no matter the consequences, to "prove" one is right, even at the cost of pain, compulsion, self-defeating behaviour and other dysfunction. Thus TA offers a theory of a broad range of psychopathology.
• In practical application, it can be used in the diagnosis and treatment of many types of psychological disorders, and provides a method of therapy for individuals, couples, families and groups.
• Outside the therapeutic field, it has been used in education, to help teachers remain in clear communication at an appropriate level, in counseling and consultancy, in management and communications training, and by other bodies.
Key ideas of TA
TA emphasizes a pragmatic approach, that is, it seeks to find "what works" in treating patients, and, where applicable, develop models to assist understanding of why certain treatments work. Thus, TA continually evolves. However some core models and concepts are part of TA as follows:
The Ego-State (or Parent-Adult-Child, PAC) model
At any given time, a person experiences and manifests their personality through a mixture of behaviours, thoughts and feelings. Typically, according to TA, there are three ego-states that people consistently use:
• Parent ("exteropsychic"): a state in which people behave, feel, and think in response to an unconscious mimicking of how their parents (or other parental figures) acted, or how they interpreted their parent's actions. For example, a person may shout at someone out of frustration because they learned from an influential figure in childhood the lesson that this seemed to be a way of relating that worked.
• Adult ("neopsychic"): a state in which people behave, feel, and think in response to what is going on in the "here-and-now," using all of their resources as an adult human being with many years of life experience to guide them. This is the ideal ego state, and learning to strengthen the Adult is a goal of TA. While a person is in the Adult ego state, he/she is directed towards an objective appraisal of reality.
• Child ("archaeopsychic"): a state in which people revert to behaving, feeling and thinking similarly to how they did in childhood. For example, a person who receives a poor evaluation at work may respond as they did in their childhood, by looking at the floor, and feeling shame or anger, as they used to when scolded as a child.
Berne differentiated between the Parent, Adult and Child ego states by using capital letters when describing them; and actual adults, parents and children. The ego-states may or may not represent the relationships that they act out: In the workplace, an adult supervisor may take on the Parent role, and scold an adult employee as though he were a Child. Or a child, using his Parent eg- state, could scold his actual parent as though the parent were a Child.
Within each of these ego states are subdivisions. Thus Parental figures are often either nurturing (permission-giving, security-giving) or criticizing (comparing to family traditions and ideals in generally negative ways), Childhood behaviours are either natural (free) or adapted to others. Each of these tends to draw an individual to certain patterns of behaviour, feelings and ways of thinking, which may be beneficial (positive) or dysfunctional/counterproductive (negative).
Ego-states do not correspond directly to Sigmund Freud's Ego, Superego and Id, although there is an obvious parallel. Rather, ego states are consistent for each person and are argued by TA practitioners as more readily observable than the hypothetical Freudian model. In other words, the particular ego state that a given person is communicating from is determinable by external observation and experience.
There is no "universal" ego-state; each state is individually and visibly manifested for each person. For example, each Child ego state is unique to the childhood experiences, mentality, intellect, and family of each individual; it is not a generalised childlike state.
Ego states can become contaminated, for example when a person mistakes Parental rules and slogans, for here-and-now Adult reality, and beliefs are taken as facts. Or when a person "knows" that everyone is laughing at him, because "they always laughed". This would be an example of a childhood contamination, insofar as here-and-now reality is being overlaid with memories of previous historic incidents in childhood.
Ego states also do not correspond directly to thinking, feeling, and judging, as these behaviours are present in every ego state.
Berne suspected that Parent, Adult and Child ego states might be tied to specific areas of the human brain; this idea has not been proved.[1]
In more recent years the three ego state model has been questioned by a marginal TA group in Australia, who have devised a "two ego-state model" as a means of solving perceived theoretical problems in it:-
"The two ego-state model sought to correct inaccuracies in the three ego-state model Berne devised: namely, that there were Parent, Adult and Child ego-states. The two ego-state model says that there is a Child ego-state and a Parent ego-state. The Adult ego-state is placed in the Parent ego-state. The Adult ego-state is one part of the Parent ego-state. The information we learn at school is all Parent ego-state introjects. How we learn to speak, add up and learn how to think is all just copied from our teachers. Just as our morals and values are copied from our parents. There is no absolute truth where facts exist out side a person’s own belief system. Berne mistakenly concluded that there was and thus mistakenly put the Adult ego-state as separate from the Parent ego-state." For anyone interested in sourcing this deviation from mainstream TA
A Cognitive Behavioral Therapy (CBT) is a psychotherapy based on modifying cognitions, assumptions, beliefs and behaviors, with the aim of influencing disturbed emotions. The general approach developed out of behavior modification, Cognitive Therapy and Rational Emotive Behavior Therapy, and has become widely used to treat various kinds of neurosis and psychopathology, including mood disorders and anxiety disorders. The particular therapeutic techniques vary according to the particular kind of client or issue, but commonly include keeping a diary of significant events and associated feelings, thoughts and behaviors; questioning and testing cognitions, assumptions, evaluations and beliefs that might be unhelpful and unrealistic; gradually facing activities which may have been avoided; and trying out new ways of behaving and reacting. Relaxation and distraction techniques are also commonly included. CBT is widely accepted as an evidence and empirically based, cost-effective psychotherapy for many disorders and psychological problems. It is sometimes used with groups of people as well as individuals, and the techniques are also commonly adapted for self-help manuals and, increasingly, for self-help software packages.
The basics
CBT is commonly based on the idea that how we think (cognition), how we feel (emotion and affect), and how we act (behavior) all interact and go together. Specifically, that our thoughts influence our feelings and behavior, our feelings influence our behavior and thoughts and our behavior influence our emotions and thoughts. These modalities are therefore interrelated, and change in one modality will in all probability influence at least one of the others.[1]
An example will illustrate this process. Someone who, after making a mistake, thinks "I'm useless and can't do anything right." This has a negative impact on mood, making the person feel depressed; the problem may be worsened if the individual reacts by avoiding activities and then behaviorally confirming his negative belief to himself. As a result, a successful experience becomes more unlikely, which reinforces the original thought of being "useless." In therapy, the latter example could be identified as a self-fulfilling prophecy or "problem cycle," and the efforts of the therapist and client would be directed at working together to change this. This is done by addressing the way the client thinks and behaves in response to similar situations and by developing more flexible ways to think and respond, including reducing the avoidance of activities. If, as a result, the client escapes the negative thought patterns and destructive behaviors, the feelings of depression may, over time, be relieved. The client may then become more active, succeed more often, and further reduce feelings of depression.
The objectives of CBT typically are to identify irrational or maladaptive thoughts, assumptions and beliefs that are related to debilitating negative emotions and to identify how they are dysfunctional, inaccurate, or simply not helpful. This is done in an effort to reject the distorted cognitions and to replace them with more realistic and self-helping alternatives.
Cognitive behavioral therapy is not an overnight process. Even after patients have learned to recognize when and where their mental processes go awry, it can take months of concerted effort to replace any dysfunctional cognitive-affective-behavioral processes or habit with a more reasonable, salutary one.
The cognitive model especially emphasized in Aaron Beck's cognitive therapy says that a person's core beliefs (often formed in childhood) contribute to 'automatic thoughts' that pop up in every day life in response to situations. Cognitive Therapy practitioners hold that clinical depression is typically associated with negatively biased thinking and irrational thoughts.
Cognitive behavioral therapy is often used in conjunction with mood stabilizing medications to treat bipolar disorder. Its application in treating schizophrenia along with medication and family therapy is recognized by the NICE guidelines (see below) within the British NHS.
Cognitive Behavioral Therapy
CBT can be seen as an umbrella term for many different therapies that share some common elements.[2] While similar views of emotion have existed for millennia, the earliest form of Cognitive Behavior Therapy was developed by Albert Ellis (1913-2007) in the early 1950s. Ellis eventually called his approach Rational Emotive Behavioral Therapy, or REBT, as a reaction against popular psychoanalytic methods at the time.[1] Aaron T. Beck independently developed another CBT approach, called Cognitive Therapy, in the 1960s.[3] Cognitive therapy rapidly became a favorite intervention to study in psychotherapy research in academic settings. In initial studies, it was often contrasted with behavioral treatments to see which was most effective. However, in recent years, cognitive and behavioral techniques have often been combined into cognitive behavioral treatment. This is arguably the primary type of psychological treatment being studied in research today.
Concurrently with the pioneering contributions of Ellis and Beck, starting in the late 1950s and continuing through the 1970s, Arnold A. Lazarus developed what was arguably the first form of "Broad-Spectrum" Cognitive-Behavior Therapy. Indeed, in 1958, Arnold Lazarus was the first person to introduce the terms "behavior therapy" and "behavior therapist" into the professional literature (i.e., Lazarus, A. A. New methods in psychotherapy: a case study. South African Medical Journal, 1958, 32, 660-664).[citation needed] He later broadened the focus of behavioral treatment to incorporate cognitive aspects (e.g., see Arnold Lazarus' 1971 landmark book "Behavior Therapy and Beyond," perhaps the first clinical text on CBT). When it became clear that optimizing therapy's effectiveness and effecting durable treatment outcomes often required transcending more narrow focused cognitive and behavioral methods, Arnold Lazarus expanded the scope of CBT to include physical sensations (as distinct from emotional states), visual images (as distinct from language-based thinking), interpersonal relationships, and biological factors. The final product of Arnold Lazarus' approach to psychotherapy is called Multimodal Therapy and is, perhaps, the most comprehensive form of CBT in addition to REBT that also shares many of the same assumptions and theorizing.
Cognitive Behavioral Group Therapy (CBGT) is a similar approach in treating mental illnesses, based on the protocol by Richard Heimberg.[4] In this case, clients participate in a group and recognize they are not alone in suffering from their problems.
A sub-field of cognitive behavioral therapy used to treat Obsessive Compulsive Disorder makes use of classical conditioning through extinction (a type of conditioning) and habituation. (The specific technique, Exposure with Response Prevention (ERP) has been demonstrated to be more effective than the use of medication—typically SSRIs—alone). CBT has also been successfully applied to the treatment of Generalized Anxiety Disorder, health anxiety, Social phobia and Panic Disorder. In recent years, CBT has been used to treat symptoms of schizophrenia, such as delusions and hallucinations. This use has been developed in the UK by Douglas Turkington and David Kingdon.
Other types of Cognitive Behavioral Therapy include Dialectical Behavior Therapy, Self-Instructional Training, Schema-Focused Therapy and many others.[5]
CBT has a good evidence base in terms of its effectiveness in reducing symptoms and preventing relapse. It has been clinically demonstrated in over 400 studies to be effective for many psychiatric disorders and medical problems for both children and adolescents. It has been recommended in the UK by the National Institute for Health and Clinical Excellence as a treatment of choice for a number of mental health difficulties, including post-traumatic stress disorder, OCD, bulimia nervosa and clinical depression.
Cognitive Behavioral Therapy most closely allies with the Scientist-Practitioner Model of Clinical Psychology, in which clinical practice and research is informed by a scientific perspective; clear operationalization of the "problem" or "issue;" an emphasis on measurement (and measurable changes in cognition and behavior); and measurable goal-attainment.
Depression
Negative thinking dominates when a person experiences depression. The depressed person can experience negative thoughts as being beyond their control, thereby allowing them to become automatic and self-perpetuating.
Negative thinking can be categorized into a number of common patterns called "cognitive distortions." The cognitive therapist provides techniques to give the client a greater degree of control over negative thinking by correcting these distortions or correcting thinking errors that abet the distortions, in a process called cognitive restructuring.
Negative thoughts in depression are generally about one or more of three areas: negative view of self, negative view of the world and negative view of the future. These constitute what Beck called the "cognitive triad."
Attributional style
An approach to depression based upon attribution theory in social psychology is related to the concept of attributional style. First put forth by Lyn Abramson and her colleagues in 1978, this approach argues that depressives have a typical attributional style —they tend to attribute negative events in their lives to stable and global characteristics of themselves.[6] There is considerable evidence that depressives do exhibit such an attributional style, but it is important to remember that Abramson et al. do not claim that an attributional style of this nature is necessarily going to cause depression — only that it will lead to clinical depression if combined with a negative event. This theory is sometimes known as a revised version of learned helplessness theory.
In 1989, this theory was challenged by Hopelessness Theory.[7] This theory emphasised attributions to global and stable factors, rather than, as in the original model, internal attributions. Hopelessness Theory also emphasises that beliefs about the consequences of events and rated importance of events may be at least as important in understanding why some people react to negative events with clinical depression as are causal attributions.
The ABCs of Irrational Beliefs
A major aid in cognitive therapy is what Albert Ellis called the ABC Technique of Irrational Beliefs.[1] The first three steps analyze the process by which a person has developed irrational beliefs and may be recorded in a three-column table.
• A - Activating Event or objective situation. The first column records the objective situation, that is, an event that ultimately leads to some type of high emotional response or negative dysfunctional thinking.
• B - Beliefs. In the second column, the client writes down the negative thoughts that occurred to him or her.
• C - Consequence. The third column is for the negative disturbed feelings and dysfunctional behaviors that ensued. The negative thoughts of the second column are seen as a connecting bridge between the situation and the distressing feelings. The third column C is next explained by describing emotions or negative thoughts that the client thinks are caused by A. These could be anger, sorrow, anxiety, etc.
For example, Gina is upset because she got a low mark on a math test. The Activating event, A, is that she failed her test. The Belief, B, is that she must have good grades or she is worthless. The Consequence, C, is that Gina feels depressed.
• Reframing. After irrational beliefs have been identified, the therapist will often work with the client in challenging the negative thoughts on the basis of evidence from the client's experience by reframing it, meaning to re-interpret it in a more realistic light. This helps the client to develop more rational beliefs and healthy coping strategies.
From the example above, a therapist would help Gina realize that there is no evidence that she must have good grades to be worthwhile, or that getting bad grades is awful. She desires good grades, and it would be good to have them, but it hardly makes her worthless. If she realizes that getting bad grades is disappointing, but not awful, and that it means she is currently bad at math or at studying, but not as a person, she will feel sad or frustrated, but not depressed. The sadness and frustration are likely healthy negative emotions and may lead her to study harder from then on.

Home
Counselling Skills
Why are these important skills now?
The speed and complexity of modern life continue to increase as do people's expectations from it. Coping well requires autonomous and flexible thinking and clear decisions. Unfortunately most of us have been conditioned to conform, not think for ourselves.
Counselling skills help people to change as they learn to think things through for themselves and make their own decisions, free of the effects of past conditioning.
What is counselling for?
When we seek, or accept, help with an issue we have been unable to resolve on our own, there is often an emotional component in the situation. We often feel bad about needing help. The problem may itself cause confusing feelings "I like my boss but she/he drives me mad doing X, dare I level with her/him?". In the latter case feelings of liking, irritation and anxiety are present together.
It is extremely difficult to think clearly when we are feeling strong feelings whether good or bad. The primary function of counselling is to help people think clearly when feelings are present. The feelings can arise from an experience in the present. Hearing "Your job is redundant" would obviously generate negative feelings in most people. Someone who got into trouble with head teachers at school might equally find meeting a senior administrator intimidating. This would remind that person of the earlier painful experience. He or she would then find it hard to think.
What are counselling skills?
The counsellor's job is to help the other person, the client, help him/her self. If the client is to feel safe enough to be open about her/his thoughts and feelings, he/she needs to feel safe, respected and understood. I list some skills below.
The counsellor must
So that the client can
Listen
Develop his/her thinking
Not judge
Feel safe and respected
Pay attention
Know you care
Accept the client's feelings
Know he/she is not being judged
Understand the client's world and feelings, put yourself in the client's shoes. Express that understanding.
Know you are with him/her
Think about the client
Get the best help possible
The counsellor may
So that the client can
Ask questions
Develop her/his own thinking
Summarise
Hear her/his thoughts and know she/he is understood.
Ask the client to try new behaviour in the counselling session
Release blocking emotion such as. unexpressed anger or sadness.
Counsellors should not
This will make the client
Argue
Defensive
Dwell on their own difficulties
Withdraw
Solve the problem for the client
Dependant
Give advice
Dependant or hostile
Belittle the clients' concern
Withdraw or attack
Avoid painful areas
Be frustrated
How does counselling work?
I assume that all humans have immense potential and are intrinsically intelligent, powerful, co-operative, zestful and loving. Unfortunately, this basic nature is often obscured as we grow older.
Our nature is such that we are easily hurt and when hurting our thinking process shuts down. When we act without thinking, the consequences often cause further hurts (distress) which reduce our capacity to think in the situation still further. We then behave in a rigid, stereotyped way every time we experience a situation that reminds us enough of the original situation in which we were hurt. This complex process develops rigid (patterned) responses to situations rather than a flexible appropriate response.
Fortunately, we had highly effective mechanisms for discharging our hurts and thus recovering our ability to think in any situation. A child that is experiencing, or has experienced hurt, will typically find someone, often an adult, and get this person to pay attention to him/her. The child will then talk actively, laugh, sweat, shake, have a tantrum (storm), cry or yawn. If the adult can stay in touch with the child, perhaps offer a warm hug or hold a hand, the child will discharge the painful emotion exhaustively and then go back to playing etc. quite freely and with no rigidities installed by the hurtful experience.
The above describes the counselling process in its natural state. Unfortunately most adults have had their discharge processes thoroughly interfered with in their childhood so will suppress the exhaustive discharge required because it disturbs them. Children quickly learn that discharging painful emotion is punished and learn further rigid ways of controlling their feelings, when discharging them would be helpful.
In the counselling process the counsellor provides the love, safety and attention necessary for the client to feel her/his feelings and discharge them. The feelings that condition behaviour in rigid patterns may arise from present hurts or past hurts. It is necessary for the counsellor to examine many ways to identify and outwit the client's patterns, including the control patterns, so they can discharge.
Isolation is a component in almost all hurts so simple, warm, attentive listening is often enough. Where it is not, the counsellor has to listen well enough to understand where the client is hurting. Then he or she must think how to show to the client that the rigid injunctions he/she feels are distress not reality and do so. An example could be a client whose hurt is about being accommodating and being exploited who says "I have to put up with it, I am lucky to have a job". The counsellor might ask the client to stand proudly and say in a confident tone "I am NOT going to be a victim ever again". S/he would find this difficult to say and would laugh, cry, sweat and perhaps get angry trying to do so. This would, when persisted in, discharge the hurts that installed the victim pattern in the first place. Following discharge, the client can think clearly about the painful experiences and decide what to do freely without the compulsion of the "victim" pattern.
There are literally hundreds of techniques like the above to deal with particular distresses.
What are the implications for organisations?
Staggering! Most of the problems of organisations require people to work together to solve them. Listening is the key skill required. Counselling training is the best way to get people to appreciate the value of listening and want to listen well.
Organisational performance depends on the quality of the thinking of staff at all levels. Counselling enhances the ability of the client to think and his/her willingness to act powerfully.

COGNITIVE LEARNING
A change in the way information is processed as a result of experiences that a person or animal has had.

PLACE LEARNING
The learner is shown events to be associated but no reinforcement is given for particular responses. The learner is often but not always, physically restrained, so that no movement is possible when the new information is given.

IMITATION AND MODELING
A person watches or hears someone else say or do something and attempts to copy it.
Ability to model one’s own behavior.

INSIGHT LEARNING
It is a form of learning in which there is a perceptual reorganization of one’s experience. It can be partly explained as a transfer from previous learning in which the individual has formed learning sets- that is learned learn.