Compliance Requirements under the Rules in Accordance with the Code

1. Form-VIII: Register of workers employed, Wages, Overtime, Fine, Deduction for damage and loss in U.P. (Section 33(a), Rule 48)

a) Every employer shall ensure that manual registers and records are legibly maintained in English, Hindi, U.P. or the language understood by the majority of employees, and preserved in original for three years from the date of the last entry. If the originals are lost or destroyed within one year, true copies, if available, shall be preserved for the prescribed period.
b) In case, where during a wage period, no deduction has been made from the wage of a worker or no fine has been imposed on such worker or no overtime work has been performed by such worker or no payment has been made for overtime work to such worker, a “NIL” entry shall be made against such wage period at the appropriate place in the register maintained in Form VII.

      2. Maintenance of Records and Registers of workers in U.P. (Section 33, Rule 48)

Employer of every establishment shall maintain electronically or otherwise, records, registers, testing certificates, examinations, forms, reports, licences and no objection certificates as prescribed in the Code or Rules. These shall be readily available within the premises of the establishment.

3. Form XV: Maintenance of Leave With Wages Register in U.P. (Section 33, Rule 49)

The Employer or Manager shall keep a register for every employee in Form-XV hereinafter called the Leave With Wages Register’, under the provisions of Section 32 of the Code, which shall be filled weekly, or fortnightly or at least once a month.

4. Form XVI: Issuance and Maintenance of Leave Book in U.P. (Section 33, Rule 50)

Employer shall provide each employee a Leave Book in Form-XVI as per Section 32. It remains the worker’s property. Manager can request it only to record leave or service interruption and must return it within a week. Workers must submit it within 3 days when asked.

If a worker loses his Leave book, the Manager shall provide him with another copy on the payment of rupees ten, subject to the provisions of Section 21 of the Code on Wages, 2019 and shall complete it from his record.

5. Maintenance of Overtime Work Register in U.P. (Section 33, Rule 51)

The employer or manager shall maintain a register for the overtime work of worker under the provision of Section 27 of the Code in such format as prescribed under the Uttar Pradesh Code on Wages Rules, 2021 for this purpose.

6. Maintenance of Register of Workers in U.P. (Section 33(a)(v), Rule 52)

Every employer must maintain a Register of Workers in Form-XIII showing each worker’s name, nature of work, group, shift relay, and other details. No worker shall work unless entered in the register.

a) This register shall be produced or shown on demand by an Inspector-cum-Facilitator or the Medical Officer. The employer or manager shall be responsible for the production of the register on such demand, irrespective of the fact whether he is present or not in the establishment during an inspection.

b) A register for adolescent workers if any, shall also be maintained separately in Form-XIII.

c) If a person is found in a factory at any time, except during intervals for meals or rest when work is going on or the machinery is in motion, he shall until the contrary is proved, be deemed for the purposes of this Code and the Rules made thereunder to have been at that time employed in the factory.

      7. Maintenance of Accident Register in U.P. (Section 33, Rule 53)

The Employer or Manager of every establishment shall maintain a register of all accidents and dangerous occurrences, which occur in the establishment as prescribed under Section 10 and 11 respectively of the Code, in a register in Form-XVII.

8. Issuance of wage slip to workers in U.P. (Section 33(c), Rule 54)

Every employer shall issue wage slips (electronic or otherwise) in prescribed form on or before wage payment. Overtime wage slip shall be separate from regular slip and must mention overtime hours worked.

(1) Every employer shall issue wage slips, electronically or otherwise, to the workers in such form, as may be prescribed, by the rules made by the appropriate Government under the Code on Wages, 2019 (Central Act No. 29 of 2019) on or before the payment of wages.
(2) The wage slip for the payment of overtime work shall be separate from that of regular wage and overtime hours worked by the worker shall be mentioned in it.

9. Annual Return in U.P. (Section 33, Rule 55)

Employer/Manager of every establishment shall submit Annual return to the Inspector-cum-Facilitator in Form-XVIII by 31st Jan each year.

Provided that in the case of an establishment in which work is carried on only during a certain season or seasons of the year, the Employer or Manager shall submit the return within fifteen days after the closure of that season or last of these seasons, as the case may be.

10. Half-Yearly Return in U.P. (Section 33, Rule 55)

Employer/Manager of every establishment, in case of a Major Accident Hazard installation, shall also submit Half Yearly Return to the Inspector-cum-Facilitator in Form-XIX by 31st July each year for the period of 1st Jan to 30th June.

Provided that in the case of an establishment in which work is carried on only during a certain season or seasons of the year, the Employer or Manager shall submit the return within fifteen days after the closure of that season or last of these seasons, as the case may be.

11. Display of notice board at work place in U.P. (Section 33(b), Rule 56)

Every employer and manager shall display a painted sign board, with conspicuous letters written in white or luminous paint of any color at the main entrance of every establishment in such a manner which is visible from outside stating the following particulars:
(a) Registration or License number of the establishment;
(b) Name of the establishment;
(c) Address of the establishment (giving plot no, locality, street no., pin code etc.);
(d) Name of the employer;
(e) Name of the manager.

12. Provision of Alternative Employment on Suspension of Work in U.P. (Section 38(1)(d), Rule 65)

If any employee’s work is suspended for 15 or more days under Sec 38(1)(a), the occupier must provide alternative employment within 100 km, if available. A 3-day prior notice is required, and wages or facilities of the worker must not be reduced or affected adversely.

13. 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.