Compliance Requirements under the Rules in Accordance with the Code

1. General duties of employer in U.P. (Section 6(1))

Every employer shall,—

a) ensure that workplace is free from hazards which are likely to cause injury or occupational disease to employees

b) comply with occupational safety and health standards

c) provide annual health examination or test free of costs to employees of such age or such class of employees of establishments or such class of establishments, as prescribed

d) provide and maintain a working environment that is safe and without risk to the health of employees

e) ensure disposal of hazardous and toxic waste including e-waste

f) employer shall issue appointment letter

g) ensure that no charge is levied on any employee for maintenance of safety and health at workplace including conduct of medical examination and investigation for the purpose of detecting occupational diseases

h) relating to factory, mine, dock work, building or other construction work or plantation, ensure safety and health of employees, workers and other persons who are on work premises of employer

     2. Annual Health Examination of employees in U.P. (Section 6(1)(c), Rule 8)

The occupier of factory/Employer of building or other construction work shall arrange to conduct free of cost, medical examination annually i.e. within 120 days from the commencement of the calendar year for every worker/employee who has completed 45 years of age. The medical examination shall be conducted by a qualified medical practitioner as per pro forma in the Form VII.The Medical Certificate shall be submitted by the qualified medical practitioner to the employer and employee. If the examination is conducted for preemployment, it shall also be maintained in Form-VIII as a Certificate of Fitness. Findings of such examinations shall be shared with the employee concerned.

    3. Specific duties of employer of factory/ mines/ dock/ building/ construction/ plantation in U.P. (Section 6(2))

Duties of employer particularly in respect of factory, mines, dock, building or other construction work or plantation include-

(a) provision and maintenance of plant and systems of work in workplace that are safe and without risk to health

(b) arrangements in the workplace for ensuring safety and absence of risk to health in connection with the use, handling, storage and transport of articles and substances

(c) provision of such information, instruction, training and supervision as are necessary to ensure the health and safety of all employees at work

(d) maintenance of all places of work in the workplace in a condition that is safe and without risk to health and the provision and maintenance of such means of access to, and egress from, such places as are safe and without such risk

(e) provision, maintenance or monitoring of such working environment in the workplace for the employees that is safe, without risk to health as regards facilities and arrangements for their welfare at work

     4. Letter of appointment to be issued to every employee in U.P. (Section 6(1)(f), Rule 9)

No employee shall be employed in any establishment unless he has been issued a letter of appointment in the prescribed format.

Format for Factories / building or other construction work /Establishments:-

1. 1. Name of Employee
   2. Father’s/Husband’s Name
   3. Aadhar Number
   4. Labour Identification Number (LIN) of the Establishment
   5. Universal Account Number (UAN) / Insurance Number (ESIC)
   6. Designation
   7. Category of Skill
   8. Date of Joining
   9. Wages, Basic Pay and Dearness Allowance
   10. Other Allowance including accommodation whichever is/are applicable
   11. Avenue for achieving higher wages/higher position
   12. Applicability of Social Security EPFO and ESIC benefits applicable
   13. Health Check-Up
   14. Broad Nature of Duties to be Performed
   15. Any Other Information”

       5. Issue Letter of Appointment to employees not given one within 3 m of U.P. OSH Rules enforcement (Section 6(1)(f), Rule 9)

No employee shall be employed in any establishment unless he has been issued a letter of appointment in the prescribed format.

Format for Factories / building or other construction work /Establishments:-

1. 1. Name of Employee
   2. Father’s/Husband’s Name
   3. Aadhar Number
   4. Labour Identification Number (LIN) of the Establishment
   5. Universal Account Number (UAN) / Insurance Number (ESIC)
   6. Designation
   7. Category of Skill
   8. Date of Joining
   9. Wages, Basic Pay and Dearness Allowance
   10. Other Allowance including accommodation whichever is/are applicable
   11. Avenue for achieving higher wages/higher position
   12. Applicability of Social Security EPFO and ESIC benefits applicable
   13. Health Check-Up
   14. Broad Nature of Duties to be Performed
   15. Any Other Information

      6.  Duties and responsibilities of owner, agent and manager in relation to mine in U.P. (Section 7)

Owner and agent of every mine shall jointly and severally be responsible for making financial and other provisions and for compliance with provisions of this Code and rules, regulations, bye-laws and orders made thereunder, relating to mine.

      7. Duties of designers, manufacturers, importers or suppliers in U.P. (Section 8)

  Every person who designs, manufactures, imports or supplies any article for use in any establishment shall fulfil such duties as stipulated in Section 8 of Occupational Safety, Health and Working Conditions Code, 2020

     8. Duties of architect, project engineer and designer in U.P. (Section 9)

Architects, project engineers, or designers responsible for building or construction work must ensure that safety and health aspects of workers and employees are considered at the planning stage of projects.

1) Adequate care shall be taken by the architect, project engineer and other professionals involved in the project, not to include anything in the design which would involve the use of dangerous structures or other processes or materials, hazardous to health or safety of building workers and employees during the course of erection, operation and execution as the case may be.
2) It shall also be the duty of the professionals, involved in designing the buildings structures or other construction projects, to take into account the safety aspects associated with the maintenance and upkeep of the structures and buildings where maintenance and upkeep may involve such hazards as may be notified by the appropriate Government

     9. Form X: Notice of Accidents, or dangerous occurrence resulting in Death or Bodily Injury (Section 10(1), Rule 10)

When any accident results in the death of any person or results in such bodily injury to any person as is likely to cause his death, a notice as mentioned in sub-rule (1) shall be sent to :-
(a) the District Magistrate or Sub-Divisional Officer;

(b) the Officer-in-charge of the nearest police station; and

(c) the relatives of the injured or deceased person.

Provided that if in the case of an accident any person dies or is injured by such accident after the notice and reports referred to in the foregoing sub-rules have been sent, the employer or manager of the establishment shall forthwith send a notice electronically or otherwise to the authorities and persons mentioned in sub-rules (1) and (2) within 12 hours of such death or injury.
Provided further that if the period of disability from working for 48 hours or more referred to in sub-rule (4) does not occur immediately following the accident but occurs later, or occurs in more than one spell, the reports referred to shall be sent electronically or other wise, to the authorities and persons mentioned in sub-rules (1) and (2) in Form “X” within 24 hours immediately following the hour when the actual total period of disability from working from the accident becomes 48 hours.

    10. Form XI: Notice of dangerous occurrence (Section 11, Rule 10)

If a dangerous occurrence under Rule 8 causes death or likely death, the employer/manager must promptly notify the District Magistrate/Sub-Divisional Officer, the nearest police station, and the relatives of the injured/deceased, along with the Inspector-cum-Facilitator and Chief Inspector-cum-Facilitator. If a person dies or is injured after the initial report, a further notice must be sent to the same authorities within 12 hours of such event. If the disability from working for 48+ hours does not occur immediately but arises later or in multiple spells, the employer/manager must submit a report in Form X to the same authorities within 24 hours from the time the cumulative disability reaches 48 hours. These obligations ensure timely reporting of all critical consequences of a dangerous occurrence.

   11. Form XII: Notice of Certain Diseases (Section 12, Rule 12)

If a worker contracts a disease listed in the Third Schedule, the employer/manager must notify the Inspector-cum-Facilitator, Chief Inspector-cum-Facilitator, and District Chief Medical Officer in Form XII within 7 days of becoming aware of the disease.

    12. Submission of details wrt. OSH statistics electronically on web portal in U.P (Section 21, Rule 32)

Every employer must submit occupational safety and health stats to the State Govt and Director General, Labour Bureau electronically, as per Central Govt rules. Every inter-state migrant worker in UP, employed or self-employed, must register on the specified portal.

Penalties & Punishments

General Penalty u/s 94: For contravention, the employer or the principal employer of the establishment, as the case may be, shall be liable to penalty which shall not be less than two lakhs rupees but which may extend up to three lakh rupees, and if the contravention is continued after the conviction, then, with further penalty which may extend to two thousand rupees for each day till such contravention continues.