Compliance Requirements under the Rules in Accordance with the Code

1. Payment of funeral Expenses in case of death of the Employee in U.P.(Section 76(1)(a), Rule 61)

If an employee dies due to injury, the employer besides paying compensation under the Code must pay ₹15,000 for funeral expenses to the eldest surviving dependent and in case employee does not have dependents or was not living with dependent at time of death, to the person who incurred the cost

2. Applications for Employee’s compensation without Medical Certificate(Section 79, Rule 62(1))

Application for review of half-monthly payment u/s 79(1) may be made without medical certificate if:

(a) wages increased/diminished,

(b) employer ceased payment without cause,

(c) compensation rate obtained by fraud/undue influence, or

(d) mistake/error on record

Any half-monthly payment payable under this Chapter, either under an agreement between the parties or under the order of a competent authority, may be reviewed by the competent authority, on the application either of the employer or of the employee accompanied by the certificate of a medical practitioner that there has been a change in the condition of the employee or, subject to such conditions as may be prescribed by the State Government, on application made without such certificate.

3. Procedure on Application for Review of Half-Monthly Payments (Section 79, Rule 62(2))

If an employer seeks reduction/discontinuance of half-monthly payment and the Competent Authority finds reasonable grounds, it may order withholding of payment (wholly/partly) after giving the employee an opportunity of being heard, pending final decision.

Any half-monthly payment payable under this Chapter, either under an agreement between the parties or under the order of a competent authority, may be reviewed by the competent authority, on the application either of the employer or of the employee accompanied by the certificate of a medical practitioner that there has been a change in the condition of the employee or, subject to such conditions as may be prescribed by the State Government, on application made without such certificate.

4. Procedure on Application for Commutation of Half-Monthly Payments(Section 79, Rule 62(3))

If an application is made under sub-section (7) for redemption of half-monthly payments into a lump-sum, the Competent Authority shall estimate the disablement period and fix an equivalent sum, deducting 0.5% per month. Fractions of a rupee shall be ignored

When in any case to which sub-rule (a) applies, the Competent Authority is unable to form an approximate estimate of the probable duration of the disablement, he may from time to time postpone a decision on the application for a period not exceeding two months at any one time

5. Employee’s Obligation for Medical Examination in U.P.(Section 84(1), Rule 64(1),(2))

An employee shall undergo medical examination only as per the rules in this part.

If the employee is at the employer’s premises and a registered medical practitioner is available for free examination, the employee must submit to the examination immediately.

1) An employee can’t be required to have medical exams more often than State Govt allows

2) If employee refuses/obstructs required medical exam, their right to compensation is suspended unless they have valid reason

3) If an employee leaves the area before undergoing a required medical exam, their right to compensation is suspended until they return and undergo exam. If they couldn’t attend due to events beyond their control and couldn’t inform anyone, delay may be excused, and their right to compensation restored

4) If an employee dies without a medical exam, competent authority may still direct compensation to their dependents

5) If compensation rights are suspended, no compensation is due during that period. If suspension starts before waiting period ends, the waiting period is extended by suspension duration

6) If an employee refuses medical treatment/disregards instructions, and this worsens injury, compensation will be based on how injury would have progressed with proper medical care

6. Rules Regarding Medical Examination of Employees in U.P.(Section 84(2),(3), Rule 64(4),(5),(6))

No woman shall without her consent be medically examined by a male practitioner, save in the presence of another woman; No woman shall be required to be medical examined by a male practitioner, if she deposits a sum sufficient to cover the expenses of examination by a female practitioner

Restriction on number of examination-An employee who is in receipt of a half-monthly payment shall not be required to submit himself for medical examination elsewhere then at a place where he is residing for the time being, more than twice in the first month following the accident, or more than once in any subsequent month. Examinations after suspension of right to compensation- If any employee whose right to compensation has been suspended under sub-section (2) or sub-section (3) of section 84 of the code, subsequently offers himself for medical examination, he examination shall take place on the employer’s premises or at such other place in the vicinity as may be fixed by the employer and at a time to be fixed by the employer, not being saved with the express consent of the employee more than seventy-two hours after the employee has so offered himself.

7. Form XXI, XXII: Notice of fatal accidents and serious bodily injuries(Section 88(1), Rule 65)

In case of fatal accident of an employee in the course of employment, employer shall submit statement of information to the competent authority in Form-XXII as required under section 88(1). Such statement shall be submitted by the employer within 30 days from the date of receipt of notice.

Where a competent authority receives information from any source that an employee has died as a result of an accident arising out of and in the course of his employment, he may send by registered post or where possible, electronically a notice to the employee’s employer requiring him to submit, within 30 days of the service of the notice, a statement, giving the circumstances attending the death of the employee, and indicating whether, in the opinion of the employer, he is or is not liable to deposit compensation on account of the death. notice shall also be sent by the competent authority in the same manner to the dependants of such employee ascertained by the competent authority.

8. Form XXIII,XXIV, XXV: Memorandum of Agreement in U.P.(Section 89(1), Rule 66)

Whenever amount of any lump sum amount is payable as employee compensation has been settled by agreement, a Memorandum shall be sent by employer to the Competent Authority under section 89(1) in Form–XXIII or Form–XXIV or Form–XXV.

9. Employer Liability for House Collapse Injury or Death Compensation in a plantation (Setion75)

If a worker or their family member suffers death or injury due to a house collapse provided by the employer in a plantation, and the collapse isn’t solely due to the fault of the occupants or a natural disaster, the employer is responsible for providing compensation.

For the purposes of this section, the expression “worker” means a person employed in a plantation for hire or reward, whether directly or through any agency, to do any work, skilled, unskilled, manual or clerical, and includes a person employed on contract for more than sixty days in a year, but does not include (i) a medical officer employed in the plantation (ii) any person employed in the plantation (including any member of the medical staff) whose monthly wages exceed the amount as determined by the appropriate Government, by notification, from time to time; (iii) any person employed in the plantation primarily in a managerial or administrative capacity, notwithstanding that his monthly wages do not exceed the amount as determined by the appropriate Government, by notification, from time to time; (iv) any person temporarily employed in the plantation in any work relating to the construction, development or maintenance of buildings, roads, bridges, drains or canals.

10. Compensation to be paid when due and damages for default in U.P. (Section 77(1),(2), 78)

Compensation to be paid when due. If the employer disputes liability, they must make provisional payments based on accepted claims. Payments go to the employee or competent authority, without prejudice to the right of the employee to make any further claim

Method of calculating monthly wages for purposes of compensation will be as per Section 78 of the Code on Social Security, 2020

11. Liability for Compensation of Principal Employer for Contractor’s Employees’ in U.P.(Section85)

When an employer engages a contractor to carry out work that is typically part of the employer’s trade or business, the employer is responsible for compensating any employee working on that project as if they were directly employed by the employer.

1) The compensation amount is determined based on the wages the employee would have received if they were directly employed by the employer

2) If the employer is liable for compensation, they can be indemnified by the contractor or anyone else from whom the employee could have recovered compensation. If a contractor liable for compensation or indemnity is also an employer, they can seek indemnity from another contractor

3) This section does not prevent an employee from recovering compensation from the contractor instead of the employer

4) This section does not apply if the accident occurs outside the employer’s premises or areas under their control

12. Deposit of compensation with competent authority in UP(Section81(1), (2))

Compensation for death or disability must be deposited with the competent authority, not paid directly by the employer. Advances up to three months’ wages to dependents are allowed, deducted by the authority from the total compensation and refunded to the employer as applicable.

1) No payment of compensation in respect of an employee whose injury has resulted in death, and no payment of a lump sum as compensation to a woman or a person under a legal disability, shall be made otherwise than by deposit with the competent authority, and no such payment made directly by an employer shall be deemed to be a payment of compensation Provided that, in the case of a deceased employee, an employer may make to any dependant, advances on account of compensation of an amount equal to three months’ wages of such employee and so much of such amount as does not exceed the compensation payable to that dependant shall be deducted by the competent authority from such compensation and repaid to the employer.

2)Any other sum amounting to not less than Rs. 5000 which is payable as compensation may be deposited with competent authority on behalf of the person entitled thereto

13. Liability for compensation for work injuries or occupational diseases in Schedule III(Section 74(1),(2))

Employers must compensate employees for work-related injuries or occupational diseases contracted & listed in Third Schedule, unless the injury results in disablement of less than three days or is caused by employee intoxication, disobedience of safety rules or deliberate disregard of safety devices

1)The employer is not liable for:

(a) injuries that do not result in the employee’s total or partial disablement for more than three days; and

(b) injuries not resulting in death or permanent total disablement if the accident is directly caused by:

(i) the employee being under the influence of alcohol or drugs at the time,

(ii) the employee’s wilful disobedience of an explicit safety order or rule, or

(iii) the employee’s intentional removal or disregard of a safety guard or device provided for their safety

2) An accident or occupational disease mentioned in sub-section (1) is considered to arise out of and in the course of an employee’s employment even if, at the time, the employee is violating applicable laws or orders from the employer, or acting without instructions, if:

(a) the accident or disease would have deemed to be arisen even without the contravention or lack of instructions, and

(b) the act was done for the employer’s trade or business purposes.

14. Compensation payable if employee in Schedule II job contracts disease in Schedule III(Section 74(3))

If an employee in a Second Schedule job contracts a Third Schedule occupational disease after at least 6 months of continuous service, disease is considered an injury by accident, presumed to arise out of & during employment unless proven otherwise & employer would be liable for compensation payment

15. Liability for accidents arising while commuting for employment related work(Section74(4))

If an employee has an accident while commuting to or from work, it will be considered to have happened during the course of employment if there is a clear connection between the circumstances, time, and location of the accident and the employee’s job.

16. Medical Examination of employees on receipt of notice of accident by employer in U.P.(Section 84)

Employees are required to promptly report accidents to their employer. If the employer offers a medical examination within three days of receiving notice, the employee must undergo it, particularly if they are receiving half-monthly payments.

1)An employee can’t be required to have medical exams more often than State Govt allows

2)If employee refuses/obstructs a required medical exam, their right to compensation is suspended unless they have valid reason

3)If an employee leaves the area before undergoing a required medical exam, their right to compensation is suspended until they return and undergo exam. If they couldn’t attend due to events beyond their control and couldn’t inform anyone, delay may be excused, and their right to compensation restored

4)If an employee dies without a medical exam, competent authority may still direct compensation to their dependents

5)If compensation rights are suspended, no compensation is due during that period. If suspension starts before waiting period ends, the waiting period is extended by suspension duration

6)If an employee refuses medical treatment/disregards instructions, and this worsens injury compensation will be based on how injury would have progressed with proper medical care

17. Transfer of Employer’s Rights to Insurers Upon Insolvency in U.P.(Section 87(1))

If an employer has contract with insurers concerning liability to employee and becomes insolvent, enters a composition/scheme of arrangement with creditors or if the employer is a company that begins winding-up proceedings, employer’s rights against insurers for that liability transfers to employee

Upon this transfer, the insurers assume the same rights, remedies, and liabilities as the employer, but their liability to the employee remains unchanged.