LEGASIS SERVICES PRIVATE LIMITED

SOP

For

Manual Making - legatrix

INTRODUCTION

‘Legatrix’ is web-based tool providing solution for statutory and regulatory compliances that are
applicable to any business. It is a repository of compliance tasks under various Acts, Rules, Regulations,
Notifications, Guidelines and Circulars (“Laws”), integrated with IT application for enabling effective
and efficient management of compliances including reporting, tracking and monitoring of the
compliance status by stakeholders.

The most important step of creating repository of compliance tasks is preparing a Manual from a statute
(Manual). The process starts with initial research to identify the Legislation and Rules, Regulations,
Orders or Guidelines issued thereunder. The legatrix repository comprises of Manuals of Indian and
international Laws. The Laws affecting businesses are primarily captured. The repository is further
classified into different categories of Law.

Research on Laws, particularly international Laws, needs a diligent and tenacious effort, firstly to
understand the Legal system of a particular country; secondly to identify reliable resource wherefrom
authentic versions of Laws are available; thirdly to translate into English the identified Laws if the texts
of Laws are not in English language; fourthly to revalidate the identified Laws by a local Lawyer/Law firm
so as to ensure applicability, exhaustiveness and accuracy thereof for the concerned client in a foreign
jurisdiction; and fifthly, to get validated the entire repository of compliance tasks prepared under such
identified Laws by a local lawyer/Law firm. For research on domestic Laws, it is important to find out the
authentic and reliable source and then, do the research exhaustively so that not only the parent statute
but all the currently valid Rules, Regulations, Notifications, Circulars and Orders thereunder are culled-
out to prepare compliance tasks. Each and every associate of Legatrix team has a unique login ID and
password, with which they can access the database. This Database is referred to as the “Central
Database (CDB)”. The IT team and the CORE team must be consulted for access and use of the CDB.

PURPOSE OF THIS DOCUMENT

This standard operating procedure (SOP) is prepared with the objective to standardize the process for
making a Manual of any domestic or foreign Law. The SOP will guide a member of the Implementation
Team to identify and capture correct set of compliances under any Law for the purpose of preparation
of a Manual.

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 PROCESS DIAGRAM

START

Requisition of Manual

Requisition of Manual Legal

Update

Need No Communication to
Check in CDB
Manual? Requestor

Allocation of Yes
Manual to Team

Allocation Manual to Legal

Associate Research

No Need Yes Corrections in

Preparation of Corrections? Content
Manual

Corrected Manual
Q. C. Content
of Manual
Need Yes Corrections in CDB
Corrections?
Uploading
Manual and
Q. C. in CDB
Forms in CDB
No

CDB

END

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STAGES OF MANUAL MAKING

The following process defines the stages involved in of Manual making for domestic as well as
international Laws in order to ensure the exhaustiveness, correctness and the accuracy of the
compliances to be captured.

• Allocation of Laws for Manual making

Stage I

• Preparation of Manual in standard template

Stage II

• Validation of compliances captured (International Laws)

Stage III

• Uploading of Manual in CDB

Stage IV

• Quality Check of Manual in CDB

Stage V

Manual making is the crux of legatrix. This is literally the backbone of entire implementation process.
Therefore, it goes without saying that it needs to be done very cautiously and with utmost diligence. For
that, we first need to understand the term Compliance (task). Compliance, from the way Legasis views
it, is a mandatory requirement (whether statutory or not) wherein a person is required to do something
or is refrained from doing something.

STAGE I: Allocation of Laws for Manual making

The requisition for new Manual is usually generated through Legal Research or Legal Update. The
concerned Associate from Implementation Team or Legal Update Team will raise the requisition for new
Manual to CORE Team. The CORE Team will check whether the Law referred in requisition exists in the
CDB or not. Primarily 2 points are required to be checked by CORE Team in CDB:

 Whether the Law referred in requisition already exists in CDB or not

 If Law exist in CDB, whether all provisions of requested Law are comprehensively covered or not

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After checking above mentioned points CORE Team will take decision about allocation of Law for
preparation of Manual. In consideration of work load of Implementation Team, the CORE Team will
allocate the Law for preparation of Manual to any of the Implementation Team’s SPOC. Further the
respective SPOC will allocate the same to the Associate.

Note: Before allocation of Manual making assignment the CORE team should first whether the same Law
has been already allocated to any team in Manual Making Tracker, where allocation details are
available.

STAGE II: Preparation of Manual in standard Manual template

The Manual must be prepared in the Standard Manual Template. The Standardized Manual Template is
herein below provided:

Import Tasks

The preparation Manual involves reading and understanding of the various provisions of the allocated
legislation and identification of compliances thereunder and then capturing the compliances by way of
tasks as per the defined protocol below. The formatting of Manual, how to fill up different fields of
Manual template are defined below:

A. Formatting of Manual template:

The Manual template must be formatted with respect to the following parameters:

 Format Cells – Alignment – Text Alignment – Horizontal: General

 Format Cells – Alignment – Text Alignment – Vertical: Top
 Format Cells – Alignment – Text Control – Wrap Text

B. Fields of Manual template & How to Update the Same:

The Table below illustrates the parameters compulsorily required to be maintained in the Standard
Manual template:

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 Column Number Standard Parameters Details of Standard Parameters

A Sr. No. Defined in the process step I

B Task ID Defined in the process step II
C Law Category Defined in the process step III
D Legislation Defined in the process step IV
E Title Defined in the process step V
F Task Applicability Defined in the process step VI
G Task Defined in the process step VII
H Reference Defined in the process step VIII
I Frequency Defined in the process step IX
J Impact Defined in the process step X
K Authority Defined in the process step XI
L Penalty Defined in the process step XII
M Additional Information Defined in the process step XIII
N Form Defined in the process step XIV
O Online Form Defined in the process step XV
P Online Link Defined in the process step XVI
Q to AT Event & Sub-Event Defined in the process step XVII
AU Legal Due Date Defined in the process step XVIII

Step I: Sr. No.

Chronological sequence of numerical against each task

Step II: Task ID

A system generated unique ID given to each and every task after they are uploaded into the CDB. No

need to fill this up at the time of preparation of Manual.

Step III: Law Category

In CDB, we have classified the Laws into following different categories:

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  Asset
It covers all the Laws pertaining to tangible in intangible assets. E.g. Motor Vehicle Act,
Copyright Act, Patents Act etc.
 Commercial
It covers all commercial Laws applicable across the industries. Prominently this category covers
Laws governing the business, commercial and consumer transactions; also the Laws governing
utilities in any business operations like lifts, fire extinguishers, weights / weighing instruments
etc. E.g. Laws related to payment of electricity duty, Lift Act, Consumer Protection Act,
Competition Act etc.
 Corporate
It covers all Laws related to incorporation, constitution, regulation and governance of all
corporate entities. E.g. Companies Act, Laws relating to securities including listing agreements
under Stock Exchange and securities’ Laws etc.
 Environment Health & Safety (EHS)
It covers all Laws related to protection of environment, health and safety of employees or
workmen at any workplace. E.g. Environment Protection Act etc.
 Human Resource
It covers all Laws relating to employment and labor welfare. E.g. Factories Act, Payment of
Gratuity Act etc.
 Immigration
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It covers Laws related to immigration.
 Regulatory
It covers all Laws that regulate the specific industries like pharma, food, and mining. E.g. The
Food Safety and Standards act, The Mines and Minerals (Development and Regulation) Act etc.
 Finance
It covers all Laws related to import, export direct and indirect taxes e.g. Income Tax, Service Tax,
Sales Tax, Excise and Customs etc.
 Local
It covers all local municipal/panchayat Laws, notification/order of a local body.

1
This is not standard category of law in legatrix however it is provided on specific requirement of client.

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Step IV: Legislation

The associate commences the Manual making process in the aforementioned Manual template by
clubbing together an Act with its respective Rules/Regulations/Orders etc. The “Legislation” tab is
provided in Column D. The Name of the Legislation commences with Name of the Act and is clubbed
with name of its respective Rules/Regulations/Orders etc.

For example: Section 30 of The Securities Exchange Board of India Act, 1992 empowers the Securities
Exchange Board of India (SEBI) to make regulation for regulating the business activity pertaining to
Mutual Fund businesses operated in India. Therefore as per the powers vested by Central legislature,
Securities Exchange Board of India (SEBI) promulgated The Securities Exchange Board of India (Mutual
Fund) Regulations, 1996.

Therefore, the name of the “Legislation” will appear as “The Securities Exchange Board of India Act,
1992 & The Securities Exchange Board of India (Mutual Fund) Regulations, 1996”.

There are three important points that are required to be borne in mind as illustrated in the example
above, while filling up the column of “Legislation”:

 Name of the Rules/Regulations/Orders etc. cannot ever stand on its own because their genesis
is derived from powers under some Act. So it is important and is mandatory to mention the
name of parent Legislation.
 Name of any Act or Rule or Regulation always need to commence with “The”
 “&” will divide the name of the primary Legislation like the Act from name of secondary or sub-
ordinate Rules/Regulations/Orders etc.
 Similarly, whenever a standalone Act is allocated, Associate must find out whether any
Rules/Regulations/Orders etc. are issued under that particular Act. Associate should highlight
this fact to the concerned member of CORE Team and an effort should be made to prepare
Manuals with Rules/Regulations/Orders etc. issued under the respective Act.

Step V: Title

The Title of any task is just heading of task which in a single phrase describes the task. Title of a task has
to be unique in any Manual.

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Step VI: Task Applicability

The task of “Applicability” contains the following parameters:

a) To whom the task in the provision applies?

Please ensure that the applicability is mentioned so as to clearly mention the person or category of
persons who are required to perform the task, without any ambiguity. Associate should avoid
mentioning absurd/ambiguous applicability in this entire column. For example “Every person
covered under Sec. 3” or “Every person mentioned under Sch. III” in such cases, as a layman it is
difficult to understand what does this applicability mean & whether I am covered under the said
Section/ Rule/ Schedule?” Therefore, while preparing Manuals we must always bear in mind that
our end user can be a lay man with limited/no knowledge of law/legal language. So avoid quoting
any section/rules or other references unless a copy of such provisions is attached for ready
reference.
b) Under what conditions or circumstances the task in the provision is applicable?
Associate must ensure that the condition(s) under which the compliance is triggered is correctly and
completely captured.

Step VII: Task

This is the most critical part. Associate must read the provisions of the legislations in hand carefully and
diligently to identify the compliances and capture each compliance correctly and intelligently so that any
layman can understand what the compliance is and what is he required to do. It is advised that
Associate should first read the provisions of the legislation carefully and keep on marking the provisions
which contain the compliances and after reading the entire legislations, when the Associate would get a
fair understanding of the legislation, the Associate would be in a better position to capture the
compliance intelligently.
In capturing the compliance task under any legislation, the Associate may adopt either of the following

two procedures.

a) Take the parent Act first for reading and identifying the compliances and then take up the
Rules/Regulations/Orders etc. thereunder for identifying the compliances thereunder to club
them with the correlated compliances under the parent legislation or
b) Take Rules/Regulations/Orders etc. under the parent Act and then club the compliances based on
the correlated provisions of the parent Act

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Next important thing is to prepare the Manual by capturing each compliance task in completeness so
that any layman can understand the compliance from the Manual itself and there is no confusion or
requirement to refer to any other document. E.g. if the task says “Comply with the conditions as
provided in Sch. II” and if the compliance task is prepared without capturing the contents of Sch. II, the
person who is required to perform the task would be at a loss to understand what is the compliance and
what is required to be done by him/her. Therefore while preparing the Manual, it is mandatory to
ensure completeness of the compliance task so that it is fairly understood from the Manual itself. If
required for the sake of complete knowledge of the task, the related information, provision or data or
other details should be captured in “Additional Information” column.

Step VIII: Reference

“Reference” tabulates the concerned Section number or number of secondary Rule/Regulation/Order

etc. of the provision from which the relevant task is captured. The standard parameters required to be
kept in mind for “Reference” column are:
 Section is denoted as “Sec.”
 Rule is denoted as “Rule”
 Regulation is denoted as “Reg.”
 Guideline is denoted as “Gd.”
 Schedule is denoted as “Sch.”
 Article is denoted as “Art.”
 Clause is denoted as “Cl.”
 All the aforesaid standard parameters of Sec., Rule, and Reg. have to necessarily begin with a
capital letter. E.g. Section 5 to be captured as “Sec. 5”; Regulation 5 as “Reg. 5” and so on.

Step IX: Frequency

Law stipulates the period for every provision of compliance and some provisions are required to be
complied annually, some are half-yearly, some may be bi-annually and so on. Capturing the period or
frequency of each compliance task is mandatory to ensure timely compliance of the statutory
requirements, otherwise it would be non-compliance. This “Frequency” is tabulated in Column I of the
Manual Making Template. The tasks are primarily classified as preliminary, periodic or conditional.
The frequency of tasks is ordinarily divided into the following tabulated categories:

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 Frequency Explanation on Frequency

Preliminary Those tasks that are required to be done at the Preliminary stage of setting
up a business or starting any activity or once in life time of that business
entity. For example, registration of factory or shop etc.
Ongoing Those compliance tasks that are required to be ensured on a daily basis

Weekly Those tasks that are required to be performed on a weekly basis

Fortnightly Those tasks that are required to be performed on a fortnightly basis

Monthly Those tasks that are required to be performed on a monthly basis

2 Monthly Those tasks that are required to be performed on a bi-monthly basis

4 Monthly Those tasks that are required to be performed at every 4 month

Quarterly Those tasks that are required to be performed on a quarterly basis

Half-Yearly Those tasks that are required to be performed on a half-yearly basis

Yearly Those tasks that are required to be performed on a yearly basis

2 Yearly Those tasks that are required to be performed on a by-annually basis

3 Yearly Those tasks that are required to be performed 3 yearly basis

4 Yearly Those tasks that are required to be performed 4 yearly basis

5 Yearly Those tasks that are required to be performed 5 yearly basis

8 Yearly Those tasks that are required to be performed 8 yearly basis

10 Yearly Those tasks that are required to be performed 10 yearly basis

15 Yearly Those tasks that are required to be performed 15 yearly basis

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 Frequency Explanation on Frequency

Conditional Those tasks that are required to be performed on the happening of some
event. For example, tasks are triggered on an accident happening in the
factory premises etc.

Step X: Impact

This is the severity of any task. This helps a business entity to analyse the impact or liability for non-
compliance and prioritize the activities accordingly so as to avoid the penalty in case of non-compliance.
Based on the quantum and nature of penalty, the impact has been categorized in 6 levels as mentioned
in the table below and while preparing Manuals, it is important to identify and capture the correct level
of impact so that it helps prioritizing the compliances. This has to be captured under column “Penalty”.
There are predefined parameters to define impact as below:

Impact Details of impact criteria

Trifling Fine up to Rs. 500/-

Low Fine from Rs. 501/- to Rs. 5000/-
Medium Fine from Rs. 5001/- to Rs 50000/-
High Fine imposed above Rs. 50000/-

Critical Where the penalty prescribed in Law is:

(a) imprisonment or
(b) cancellation of certificate / license / permission or
(c) Closure of business or
(d) materially adverse consequence of non-compliance
Super Critical Where the penalty prescribed in law is:
(a) Existence of two or more consequence referred in Critical category

In case multiple penalties are attracted on account of non-compliances, the impact will be of the highest
penalty.

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Step XI: Authority

Every legislation prescribes an “Authority” for administration of the provisions thereof. It is important to
capture such Authority for reporting compliances or for addressing any issue with respect to compliance
under the concerned legislation.

Step XII: Penalty

The penalty is the consequence of non-performance of a particular compliance prescribed under the
provision of a particular legislation. It is important to capture the penalty prescribed for non-compliance
of any provision of law so that a legal entity to which the law is applicable is aware of the penalty and is
able to take appropriate action to avoid such penalty. In fact, penalty is the driving force towards
compliance of law. Such penalty can be in the form of fine or imprisonment or both. Associate must, in
order to fill in the appropriate penalty:

a) Firstly, try to identify specific penalty prescribed for non-adherence of a particular compliance;
and
b) In case, no such specific penalty is provided in the law in hand, identify the general penalty
clause under the law or Rules/Regulations/Orders thereunder and capture it in the “Penalty”
column.

It may happen that the penalty for non-compliance of a particular provision of law may not be
mentioned specifically in the legislation; however, the parent Legislation may have specified this.
Therefore, Associate must go through the parent Legislation as well. In case multiple penalties
mentioned under different provisions are attracted on account of non-compliances, then Associate
must capture all the penalties in the “Penalty” column. The penalty, as identified in law requires to
be put in simple language. The following particulars are required to be specifically taken care of:

 The penalty tabulated in the Manual should start from “Fine” or “Imprisonment”.
 The specific Section or reference number from Rules/Regulations/Orders etc. wherein the
penalty is provided should be specifically mentioned. While doing so the rules specified under
the ‘reference’ column in Step VIII must be followed.

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  There are certain recommendatory standards or guidelines that have not become Law but are
rather in the nature of industry best practices. In such cases, the penalty attributable for non-
performance of such task will be “Recommendatory”. Sometimes there may be Legal provisions
which must be captured as conditional compliances such as ‘claiming income tax refunds’ in
such case the general penalties should not be mentioned, instead the consequence for not
claiming may be mentioned.

Step XIII: Additional Information

“Additional Information” denotes the additional details relevant and required to understand and
perform a particular compliance task, if any.
This is always ancillary to the main tasks this may contain practical guidance for completion of task. The
additional information may or may not be specified in the same provision as that of the task. Therefore,
while mentioning the information, please mention the reference for the provision in the brackets and
follow the instructions for writing reference as mentioned in Step VIII.

Step XIV: Form

The “Form” means statutory form prescribed under Law for the completion of compliance task. Where
the specific format is not prescribed under Law, Associate may mention the proof of compliance as a
form. Also wherever documentary proof of compliance is not available then Physical Verification should
be considered as a form. E.g. Ongoing compliances of display.

Step XV: Online Form & Step XVI: Online Link

In case the online filing option is available for the task on the Government website, Associate must
mention “Yes” in the column “Online Form” of the Manual and provide the URL of the online filing in
column “Online Link”. In the alternative, if online filing option is not available for a task, Associate must
mention “No” in column of “Online Form” and provide “NA” in column “Online Link”. The copy of the
form must be uploaded as a reference document for the task. This must be done by using the option on
the platform for uploading documents.

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Step XVII: Event & Sub Event

Event:

This is broader categorization of task for the ease of filtration and activation of Conditional tasks. This
functionality is applicable only for the Laws under category “Corporate”. Event is nothing but condition
under which the relevant task is activated. E.g. Accounts of Companies, Appointment of Directors,
Meetings of Board & its powers etc.
The appropriate Event has to be mentioned in Event column while preparing task list for Laws under
category “Corporate”.
More than one Event can be allocated for same task if the respective task is eligible to be classified
under those.

Sub Event

This is further segregation of tasks after allocation of Events. Similar to event allocation this is also for
the ease of filtration and activation of Conditional tasks & applicable only for the Laws under category
“Corporate”. However this is subordinate classification to the Event. E.g. under Event, “Meetings of
Board & its powers” Associate can further create sub-events like Acceptance of Deposits by Companies,
Accounts of Companies, Appointment and Qualification of Directors etc.
The appropriate Event has to be mentioned in Event column while preparing task list for Laws under
category “Corporate”. Along with subordinate Sub Event created under that Event.
More than one Events or Sub Events can be allocated for same task if the respective task is eligible to
classify under those.

Step XVIII: Legal Due Date

This is due date for the task as provided under provision of Law. Associate has to mention due date for
task in DD/MM/YYYY format, wherever the same has been provided in Law. For this purpose a year can
be put current year.

C. Spell Check:

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After completion of Manual, Associate should use F7 option of excel and check spelling accuracy for
entire Manual.

D. Quality check:

Each Implementation team has already identified SMEs for Manual Making. Post preparation of Manual,
the same must be allocated to concerned SME for quality check of content. The SPOC of each team is
responsible for allocation of Manual for QC. The quality check of Manual must be on three-fold
parameters and ensures that:

 The set format is followed

 Grammatical and spelling checks have been performed
 All applicable tasks are correctly and completely captured

E. Applicability of the Manual:

The first task of every Manual is always for applicability of Manual. This task should explain the
businesses which are within the scope of the respective Law and to which the concerned Manual is
applicable. Associate must go through the preamble of the Act, definition clause, and other sections so
as to correctly capture the Applicability of the Manual.
The “Applicability” task is required to be written in the Manual in the following format:

F. Example & Guidelines for preparation of Manual:

Pursuant to task identification, we now put the identified tasks in the Manual making format in the
manner as illustrated below:

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Legal provision under Clause 4 & 6 of The Maharashtra Solvent Raffinate and Slop (Licensing) Order,
2007:

“Clause 4. Application for licence or registration:

An application for grant of a licence for acquisition, storage, sale, storage for sale or consumption or
registration as a consumer of Solvent, Raffinate and Slop shall be made under this Order to the Licensing
Authority in the Forms specified for this purpose along with the specified licence or registration fee, as
specified in the Schedule-II:
Provided that, any person, who immediately, before the commencement of this Order, holding a licence
issued under the Maharashtra Solvent. Raffinate and Slop (Acquisition, Sale, Storage and prevention of
use in automobiles) Licensing Order, 2000 shall apply for the issue of licence under this Order within a
period of Forty-five days from the date of commencement of this Order.
Clause 5. Security Deposit:
Every person applying for a licence or for registration as a consumer, shall, before such licence or
registration is issued to him, deposit with the Licensing Authority, the security deposit as specified in the
schedule-II, in cash, for the due performance of the terms and conditions of the licence or registration to
be issued to him.
Clause 6. Issue of Licence or Registration:
The Licensing Authority shall, on receipt of the duly completed application for a licence or for registration
in the prescribed form and on the payment of prescribed licence fee or registration fee as the case may
be and security deposit, and after making such inquiry as he may deem fit, issue the licence or register as
the case may be within a period of 45 days, from the date of receipt of duly completed application.”
Illustration: Manual template:

Illustration - Import
Tasks

The details of arranging the identified tasks in our Manual Format are given below:

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a) Row 4: Applicability of Manual: As per the preamble this Order is issued in exercise of the powers
conferred by Section 3 of The Essential Commodities Act, 1955, and in pursuance of the provisions
of the sub-clause (i) of clause 3 of the Solvent, Raffinate and Slop (Acquisition, Sale, Storage and
prevention of use in automobiles) Order, 2000 and of all other powers enabling in this behalf.
b) In Row 5 – Column A: Serial number task.
c) In Row 5 – Column B: No inputs are required.
d) In Row 5 – Column C: Regulatory category as per the definitions in Step III.
e) In Row 5 – Column D: Parent Act & Order are clubbed.
f) In Row 5 – Column E: Task heading.
g) In Row 5 – Column F: The “Task Applicability” is “Every person intends to store, sale, storage for sale
or consumption of Solvent, Raffinate and Slop”. The following points are required to be kept in mind
while framing a “Task Applicability”:

 All Task Applicability should commence with “Every”.

 All Task Applicability should contain the information: To whom does the concerned task in the
Manual apply to? Under what conditions or circumstances will the task become applicable?
 Two tasks are required to be made for compliances like registration / licensing. One is for
application and other one for obtaining relevant registration / license copy. The same logic
applies for renewal of these registration / license.

h) In Row 5 – Column G: the “Task” is “Make an application for license or registration in the Forms
specified for this purpose along with the specified licence or registration fee and security deposit as
per Schedule-II to the licensing authority”. The following points are required to be kept in mind
while framing a “Task”:
 Every Task should commence with a verb like Deposit, Appoint, Ensure. However, this has to be
kept in mind that wherever the task can begin with a verb, please use verb instead of “Ensure
to…” E.g. Instead of preparing task like “Ensure make an application…” prepare tasks starting
with a verb “Make an application…..”
 Tasks which are refraining in nature E.g. Do not employ child labors. In such cases, the task
should begin with “Ensure not to…”
 Task should be presented in simple language so that it is understood by even a layman, not
qualified in law.

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 Task should be framed with a practical sense and giving out entire details required for
performing the task. E.g. Avoid preparing tasks like “Pay wages for the purpose of this Act” or
“Hold the client harmless” etc.
 This goes without saying that if a person is required to perform multiple activities in order to
comply with a task, club them in one single task. E.g. Instead of creating 2 different tasks for
making an application and for making payment for the same, these can be clubbed together.

i) In Row 5 – Column H: Reference of Order i.e. Cl. 4 & 5 from where relevant details are procured
for task framing.
j) In Row 5 – Column I: Frequencies mentioned here are statutory frequencies. One time
application and relevant obtaining license / registration copy compliance can be marked with
“Preliminary” frequency. However in case of renewal; the statutory frequency should be
allocated. Also the relevant task pertaining to obtaining of license copy should be given
frequency “Conditional”, in case there is no statutory time limit for disposal of application. In
case of limitation the frequency should be given as similar to the application of renewal
compliance.
k) In Row 5 – Column J: The impact is Super Critical as per the penalty given in Column L and our
predefined matrix of severity provided under Step XII.
l) In Row 5 – Column K: Authority is “The Licensing Authority”. According to Cl. 2(k), "Licensing
Authority" means the Authority appointed by the Government under the provisions of this order
and for the Mumbai-Thane Rationing Area; the Controller of Rationing and Director of Civil
Supplies, Mumbai and elsewhere the Additional Collector, in their respective areas
m) In Row 5 – Column L: In this Order there is no specific penalty provided for violation of Clause 4
to 6 hence we have considered the general penalty prescribed under Clause 12 to 14.
n) In Row 5 – Column M: Under column “Additional Information” important definitions and other
relevant details regarding the registration / licensing are provided with their reference in Order
so that user of this Manual should get all practical guidance for requisite action.
o) In Row 5 – Column N: The relevant forms details are provided in this column.
p) In Row 5 – Columns O & P: Online filling option for registration / licensing are not currently
available and prescribed under Order.
q) In Row 5 – Column Q to AT: The Event and Sub-Event allocation is not required for this task
hence these fields are left blank.
r) In Row 5 – Column AU: This Preliminary compliance hence there is no due date.

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STAGE III: Validation of compliances captured (International Laws)

This stage is only applicable and followed in case of Manual prepared for any foreign Law. Legasis is
already having tie up with foreign Laws firms for this 2validation process. After preparation of Manual
for any foreign Law the Manual is sent to concerned Law firm in that country for validation process. The
validator does the accuracy check of content and provides their relevant comments for further action.
Post receiving the validation comments from foreign Law firm, Associate does the necessary changes
and makes the content consistent with standard Manual template for further action. This validation
process may be followed for the Manuals of Indian Laws as well in case any special skill set; technical
knowledge or expertise is required. This is especially in case of Regulatory or Finance Laws. The decision
for validation of the Manual for any Indian Law may be taken by the CORE team post discussions.

STAGE IV: Uploading of Manual in Central Database (CDB)

The Manual after the Quality Check is uploaded into the CDB. The URL for CDB is given below:

http://192.168.1.10:81/Central-Database/ (This is only accessible in Legasis network).

The process for uploading task in the CDB is stipulated in diagrammatic representations below:

Fig 1: Login Screen of Legatrix

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There is defined set of guidelines for validation process. The validation process is always in line with those
guidelines.

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Each and every user of Legatrix, post his completion of training process, is given a Login ID and
Password.

Fig 2: After login, the following Task Database screen pops up:

Fig 3: Click on “Task Administration” “New Legislation”:

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Fig 4: The below mentioned window opens up:

Select the Country, Central/State (along with State if any) Law Category and then type name of
Legislation in the Legislation box. The details should be the exactly same as provided in Manual.

Then Click on the tab “Add”. The Legislation is now added to the CDB.

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Fig 5: Click on “Task Administration” “Events” “New Event”

Fig 6: The below mentioned window opens up:

Select the Country, Central/State (along with State if any), Law Category and then type in Event Name.
The Name of the Event as typed in should be in exact same manner as provided in Column Q onwards of
the Manual. After adding each event, click on the tab “Add”. The Event is now added to the CDB.

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Fig 7: Click on “Task Administration” “Events” “New SubEvent”

Fig 8: The below mentioned window opens up:

Select the Country, Central/State (along with State if any), Law Category, Event and then type in
SubEvent. The Name of the SubEvent as typed in should be in exact same manner as provided in Column

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R onwards of the Manual. After adding each SubEvent, click on the tab “Add”. The SubEvent is now
added to the CDB.
Creation of Event and SubEvent is required only in case where those are allocated in Manual template
e.g. for Corporate Laws.

Fig 9: Click on “Task Administration” “Import Task From Excel”

Please Note that this step should be performed after creating event and sub-event and legislation only.

Fig 10: The below mentioned window opens up:

Select Country, Central/State (along with State if any), Category and Legislation, then browse and upload
the Manual in excel file into the CDB.

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Click on the tab “Preview”. In case all the parameters are met, the entire Manual will be shown in the
space below “Import Task” tab. In the alternative, errors will be depicted in specific row and column of
the Manual. After correction of errors and previewing the Manual in the system, the Import Task tab
becomes activated.
Click on the tab “Import Task”. The tasks of the legislation are then on imported into the system.

Fig 11: Uploading of attachments for forms, schedules etc.:

Click on “Task Administration” “Legasis Tasks db”

Fig 12: The below mentioned window opens up:

Select Country, Central/State (along with State if any), Category, Legislation and QC Status as “Pending”
then all newly added tasks appear on screen.

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Check all the tasks where Forms, Schedules or any other attachments are to be uploaded. Also make
sure that all relevant attachments are available on desktop.

Fig 13: Click on the option “Upload Form” against task where attachment is to be uploaded:

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Fig 14: The below mentioned window opens up:

Select “Replace/Upload New Form”.

Fig 15: The below mentioned window opens up:

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Put the relevant details in “Form Title”, “Comments”, “Updation Reason”, “Updation Comments” &
browse correct file from desktop in “File” option, then click on “Upload”. The same process has to be
followed for all tasks where attachments are to be uploaded.

STAGE V: Quality Check of Manual in CDB

After uploading of Manual along with forms in CDB. The SME from respective team who has done the
quality check for content of the Manual checks the same Manual in CDB and does the quality check in
CDB. Primarily below points are checked while doing Quality Check in CDB:

 Whether all tasks made in Manual template are added in CDB

 Whether all forms, schedules etc. are attached to correct tasks or not

For this purpose the SME should have QC authority for CDB.
The process for quality check in CDB is explained as below:

Fig 16: Log-in to the CDB and Click on “Task Administration” “Legasis Tasks db”

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Fig 17: The below mentioned window opens up:

Select Country, Central/State (along with State if any), Category, Legislation and QC Status as “Pending”
then all newly added tasks appear on screen.

Check below two points across the Manual:

 Whether all tasks made in Manual template are added in CDB

 Whether all forms, schedules etc. are attached to correct tasks or not
 Make sure that correction is done in case of any discrepancy

Fig 18: Select the check box against each task to QC pass else check all check box by using “Select All”
option, then click on “Quality Check” box.

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Please note that the Manual can’t be extracted from CDB for further use until and unless it is QC passed
in system. Hence QC of each Manual is mandatory.

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