Compliance Requirements under the Rules in Accordance with the Code

1. Form II: Certificate of Registration of Trade Union (Section 6(1),(2), 8(1); Rule 8)

Seven or more members of a Trade Union can apply for registration under this Code by subscribing their names to the Trade Union’s rules and complying with registration provisions. Certificate of registration issued by the Registrar shall be in Form V.

Every application for registration of a Trade Union shall be made to the Registrar electronically or otherwise and be accompanied by—
(a) a declaration to be made by an affidavit in Form-III,

(b) copy of the rules of the Trade Union together with a copy of the resolution by the members of the Trade Union adopting such rules,

(c) a copy of the resolution adopted by the members of the Trade Union authorising the applicants to make an application for registration, and

(d) in the case of a Trade Union, being a federation or a U.P. organisation of Trade Unions, a copy of the resolution adopted by the members of each of the member Trade Unions, meeting separately, agreeing to constitute a federation or a U.P. organisation of Trade Unions.

2. Change in Constitution of Trade Union in U.P. (Section 9; Rule 9)

Every change in the constitution of a registered Trade Union shall be notified to the Registrar electronically or otherwise within fifteen days from the date of such change.

3. Maintenance of Register of Trade Unions in U.P. (Section 10; Rule 10)

Registrar shall maintain a register of Trade Unions in electronic form. The register shall contain particulars of registered Trade Unions and shall be open for inspection at such times and subject to such conditions as may be prescribed.

4. Cancellation of Registration of Trade Union in U.P. (Section 11; Rule 11)

Registrar may cancel the registration of a Trade Union if it has obtained registration by fraud or mistake or ceased to exist or has willfully and after notice contravened any provision of this Code.

5. Notice of Change in Name or Address of Trade Union in U.P. (Section 12; Rule 12)

Every change in the name or address of the registered Trade Union shall be notified to the Registrar electronically or otherwise within fifteen days of such change.

6. Submission of Annual Return by Trade Union in U.P. (Section 13; Rule 13)

Every registered Trade Union shall submit an annual return electronically or otherwise to the Registrar. The return shall be in such form and shall contain such particulars as may be prescribed.

7. Recognition of Negotiating Union or Negotiating Council in U.P. (Section 14(1),(2))

There shall be a negotiating union or negotiating council, as the case may be, in an industrial establishment having registered Trade Union for negotiating with the employer of the industrial establishment.

8. Recognition of negotiating union or negotiating council in U.P. (Section 14(3),(4); Rule 19)

There shall be a negotiating union or negotiating council in an industrial establishment having registered Trade Union for negotiating with the employer.

1. Single registered Trade Union → recognised as negotiating union.

2. Trade Union with 51% or more workers → recognised.

3. Otherwise, negotiating council with unions having not less than 20% support.

4. Validity of recognition is three years or such period as mutually decided. 

9. Negotiating Council Formation in Absence of Majority Union (Section 14(3),(4), Rule 20(2))

If no trade union has 51% worker support in an establishment, the employer shall form a negotiating council with unions having at least 20% support. Each 20% share gets one representative, with additional reps allotted proportionally for the remainder.

10. Appointment of Verification Officer for Trade Union (Section 14(3),(4), Rule 20(3))

Employer shall appoint an independent verification officer with no interest in any trade union to verify union membership. The process to form a negotiating union or council must begin three months before the expiry of the current recognition period under the Code of Discipline.

11. Form XI: Annual Filing and Inspection of Trade Union Records (Section 26, Rule 30)

Annual return to be furnished by Trade union nder Section 26 of the code shall be submitted manually or electronically to the Registrar by 31st day of July in each year & shall contain a full and correct statement of the particulars prescribed in Form XI, duly audited as per Rule 30

12. Form XII: Recognition of State-Level Trade Union or Federation (Section 27(2), Rule 31(1),(2))

For state-level recognition, a trade union or federation must apply to the State Government using Form-XIII, signed by its secretary and supported by a resolution backed by at least 51% of its members.

13. Form-14, Form- 15: Reporting Duties and Recognition Withdrawal of Trade Unions (Section 27(2), Rule 31(4),(5))

Recognized trade unions or federations must notify the State Government in Form-14 of any change in head office address or executive members within 7 days and submit a list of affiliated unions in Form-15 by December 31 each year.