1. A Presentation on Legal Audit Services for Health Care Institutions.

2. Contents 1About us 2What is Legal Audit? 3Relevance 4Present context 5Objects 6Scope 7How we do it | A Presentation on Legal Audit Services for Health Care Institutions.

3. 1 About us | A Presentation on Legal Audit Services for Health Care Institutions.

4. About us & What we offer ► Pioneers in Legal Audit Services ► The ONLY Legal Firm in Kerala that undertakes Legal Audit ► Competencies in Litigation & Advisory Services ► Eminent Consultants from Medical, Banking, Labour & IP domains ► The Advantage of our associate network | A Presentation on Legal Audit Services for Health Care Institutions.

5. 2 What is Legal Audit? | A Presentation on Legal Audit Services for Health Care Institutions.

6. What is Legal Audit? Legal Audit is the process through which an Auditor audits the documents, processes, procedures and practices of an Organization to ► Identify Non-Compliances ► Detect irregularities ► Mitigate Legal Risks ► Avoid prosecutions & penalties that affect credibility ► Safeguard rights | A Presentation on Legal Audit Services for Health Care Institutions.

7. 3 The Relevance | A Presentation on Legal Audit Services for Health Care Institutions.

8. Legal Audit–the Relevance ► Complexity of Laws & Regulations (General Statutes & Special Statutes) ► Frequency of Amendments ► Prosecutions & Penalties ► Focus on good Corporate Governance ► Credibility | A Presentation on Legal Audit Services for Health Care Institutions.

9. 4 Present context | A Presentation on Legal Audit Services for Health Care Institutions.

10. Present context Section 134 of the New Companies Act & Director’s Responsibilities Compensation & Class Actions Upcoming Kerala Clinical Establishments (Registration & Regulation Bill), 2013 Agitations & increased focus on Labour Compliances | A Presentation on Legal Audit Services for Health Care Institutions.

11. 6 The Objects | A Presentation on Legal Audit Services for Health Care Institutions.

12. The Objects ► Ascertain extent of Legal Compliance ► Quantify and classify Legal Risks ► Cost effective compliance ► Identify potential opportunities ► Risk Management & Organisational development | A Presentation on Legal Audit Services for Health Care Institutions.

13. 7 The Scope | A Presentation on Legal Audit Services for Health Care Institutions.

14. The Scope Broadly, our Services include: a. Audit of HR & Labour Compliances b. Audit of all other Statutory Compliances c. Contract review & Compliances d. Review of Litigation Management e. Review of Intellectual Property Management | A Presentation on Legal Audit Services for Health Care Institutions.

15. a. Audit of HR & Labour Compliances 1.Audit of all compliances under applicable Labour laws including ► The Employees Provident Fund and Miscellaneous Provisions Act, 1952 ► The Employees State Insurance Act, 1948 ► The Payment of Wages Act, 1932 ► The Minimum Wages Act, 1948 ► The Payment of Bonus Act, 1965 2. Review of Certified Standing Orders/HR Manuals, Appointment Orders, Employment Contracts. | A Presentation on Legal Audit Services for Health Care Institutions.

16. b. Audit of all other Statutory Compliances Including ► The Environment Protection Act, 1986 ► The Bio-medical waste (Management & Handling ) Rules, 1998 ► The Medical Termination of Pregnancy Act, 1971 ► Pre-natal Diagnostic Techniques (Regulation & Prevention of Misuse) Act, 1999. | A Presentation on Legal Audit Services for Health Care Institutions.

17. c. Contract review and compliances ► Review of Contract compliance systems in the organization ► Review & Analyze material Contracts ► Review processes to rectify breach | A Presentation on Legal Audit Services for Health Care Institutions.

18. d. Review of Litigation Management ► Review of Litigation Management Systems ► Analyze existing litigations & Statutory Proceedings ► Assess legal risks & Costs ► Evaluate possibilities of Alternate Dispute Settlement | A Presentation on Legal Audit Services for Health Care Institutions.

19. e. Review of Intellectual Property Management ► Review registrations & compliances under the Trade Mark, Patent & Design Acts ► Review of TM Oppositions and Infringement Suits ► Evaluation of Processes to create, to capitalize on and to protect IP | A Presentation on Legal Audit Services for Health Care Institutions.

20. And a host of other services too... ► Hand holding assistance for continued compliances ► Assistance in Litigation and Statutory proceedings ► News letters and Intimations on amendments and other legal developments ► Assistance in maintaining standards and securing accreditations | A Presentation on Legal Audit Services for Health Care Institutions.

21. 7 How we do it | A Presentation on Legal Audit Services for Health Care Institutions.

22. How we do it Stage 1: Understanding the Entity Stage 2: Formulation of Tools & Processes Stage 3: Site Visits/Check Lists/Meetings Stage 4: Recommendations & Compliance Report Stage 1: Collect fundamental information pertaining to the entity. Evaluate the Standing Orders, Memorandum and Articles of Association, basic registrations, P&L and Balance Sheets. Stage 2: Identify the needs of the organization and on the basis of information secured, compile and formulate applicable Statutes, Checklists and Tools and devise the Audit Processes, in consultation with the institution, to suit it. Stage 3: Periodic visits to the institution and gathering of data through circulation of checklists and personal meetings with key management personnel. Stage 4: Offer recommendations and provide an exhaustive Compliance Report indicating the levels of compliance, classification and action points. | A Presentation on Legal Audit Services for Health Care Institutions.

23. Timelines ► Annual contract ► Quarterly reports pursuant to periodic visits, gathering of data and interactions ► Final compliance report with recommendations at the culmination of the contract tenure | A Presentation on Legal Audit Services for Health Care Institutions.

24. Would you need it if you have a Legal team? ► Focus ► Detachment and independence ► Core competency ► External agency may garner better attention ? you engage Statutory Auditors? ► Legal acumen ► not restricted to post –audit ► Hand holding partner ► Continued surveillance and assistance | A Presentation on Legal Audit Services for Health Care Institutions.

25. Attorneys & Consultants, 1st Floor, Vivail Building, K. K. Padmanabhan Road, Cochin, Kerala. Pin 680 018. Tel: +91 484 2390858, 9037184774. Email: audituslegal@gmail.com Web: www.audituslegal.com ©Auditus Legal This Presentation is solely intended for dissemination of information.