Compliance Requirements under the Rules in Accordance with the Code

1. Form XLI: Factory Licence Certificate in U.P. (Section 79, Rule 100, 101)

• • Factory License acts as an approval document provided by authorities to carry out manufacturing activities in Respective States
  • The occupier or manager of every factory to which the Code applies shall submit to the Chief Inspector-cum-Facilitator an application in Form-XXXVI for the license of factory. Occupier & manager of a place to which the provisions of the code made applicable, shall submit an application within 30 days of the date of the notification. License shall be granted in Form-XLI.
  • Every licence granted shall remain in force for a year from the date on which first application is received or from the date when the factory came in the knowledge of the Inspector-cum-Facilitator, whichever is earlier.

(1) Appropriate Government may make rules in respect of factory or class or description of factories for—

(a) submission of plans including specifications, nature and certification thereof;

(b) previous permission for the site on which the factory is to be situated and for the construction or extension thereof; and

(c) subject to the provision of sub-section 119, licensing and renewal thereof including fees to be payable for such, licensing and renewal, if required, as the case may be.

(2) The applicant shall submit to the Chief Inspector cum-Facilitator an application in Form XXXVI for the license of the factory with an application & registration certificate.

(3) License holder may, at any time before expiry of the license, apply for permission to transfer his license

In Form: XXXIX, Application submitted at least 30 days before the licence expiry date.

(1) An application for the renewal of license shall be made not later than 30 days before the date on which the license is due to expire.

(2) Further that an application for the renewal of license may be made for 10 consecutive years.

2. Liability of owner of premises in certain circumstances in U.P. (Section 80, Rule 109)

Where separate buildings in a premises are leased as individual factories, the owner shall provide and maintain common facilities such as roads, drainage, water, lighting, sanitation, fire safety, hygiene, ventilation, canteens, rest rooms, and crèches

1) Where independent floors or flats in a premises are leased as separate factories, owner shall be deemed occupier/manager and be liable for contraventions relating to:

i) Latrines, urinals, and washing facilities insofar as common water supply is concerned

ii) Fencing of machinery/plant owned by him but not entrusted to any occupier

iii) Safe access to floors, and maintenance/cleanliness of staircases and common passages

iv) Fire prevention and protection systems with adequate water supply

v) Maintenance of hoists and lifts

vi) Upkeep of other common facilities in the premises

2) Where premises independent rooms with common latrines, urinals and washing facilities are leased to different occupiers as separate factories, the owner shall likewise be liable for providing the facilities

3) Where in any premises portions or 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 provisions of this rule.

3. Form XLII: Amendment of Factory Licence Certificate in U.P (Rule 103)

Factory License acts as an approval document provided by authorities to carry out manufacturing activities in Respective States

A licensee must apply for amendment in Form XXXIX within 15 days in case of change in factory name or if the approved limits of horse-power or workers are exceeded or number of persons employed, by submitting an application with reasons to the Chief Inspector-cum-Facilitator or concerned Inspector.

4. Report of Existence of Imminent Danger (Rule 14)

If employer/employee perceives imminent danger of serious injury, death, or health risk, they must take immediate remedial action and send a report on the danger and actions taken, electronically or otherwise, to the Inspector-cum-Facilitator.

5. Maintenance of Inspection Book (Rule 57)

The employer or the manager of every factory shall maintain a bound Inspection Book. The Inspection Book shall be of the size 13″x8-1/2”. It shall contain at least 180 sheets. Every fourth sheet thereof shall be serially numbered and the two unnumbered sheets, between each two serially numbered sheets, shall have a vertical perforated straight line on the left-hand side at a margin of 1″.  Form-XXXVII   shall be kept posted up to date and Form-XXXIX shall be filled in every year or whenever there is change of manager or employer.

6. Payment of unpaid leave wages to Nominee in U.P. (Rule 58)

If a worker dies before resuming work, unpaid leave wages must be paid to the nominee within 1 month of death intimation. Each worker must submit a nomination in Form XX, signed and witnessed by two persons; it remains valid until revised or canceled.

(1) Payment of wages if the worker dies-where a worker dies before he resumes work, the balance of his pay, due for the period of leave with wages not availed of, shall be paid to his nominee within one month of the receipt of intimation of the death of the worker in accordance with sub-section (vi) of Section 32 of the Code. 

(2) Each worker shall submit a nomination in Form XX, duly signed by him and attested by two witnesses. The nomination shall remain in force until it is revised or cancelled by another nomination. 

7. Furnishing Information and Preservation of Records in U.P. (Rule 59)

Employer must provide info to Inspector-cum-Facilitator on request—immediately if available, or within 15 days in writing. All records under the Code to be kept for 3 years; medical records of notifiable/occupational diseases or accidents to be kept for 5 years.

8. Plantation of Trees within the precincts of the factory in U.P. (Rule 152)

Every occupier of a factory employing ordinary 100 or more workers shall plant and maintain trees within the precincts of the factory. The number, type and layout of trees to be planted shall be got approved by the forest officer of the area or any other qualified Horticulturist.