Compliance requirements under the Act in accordance with the Rule

1. Shops and Establishment Registration Certificate (Section 4B)

The employer of the establishment is required to apply for Registration of the Establishment within 6 months from the date of commencement of work. The registration certificate under these rules is not transferable. In case of transfer of ownership of a shop or commercial establishment, the new owner must apply afresh and obtain a registration certificate by paying the prescribed fee.

2. Form N: Amendment of Registration Certificate (Rule 2A(6)

The owner must communicate to the Inspector in Form N any change in the name or address of the shop/commercial establishment, name of employers, or change in the number of employees within 15 days of the occurrence of such change. This must be submitted along with the registration certificate and Treasury Challan/Bank Draft of ₹5 (if no employee) or ₹10 (if employees exist), and additional fees if employee strength increases.

3. Hours of Work & Overtime in Establishments (Section 6(1))

No employer shall require or allow any employee to work on any day for more than:

• • 5 hours in the case of a child,
  • 6 hours in the case of a young person, and
  • 8 hours in the case of any other employee.

4. Intervals for Rest and Spread-over of Working Hours (Section 7)

Working hours must be arranged so that each employee gets an interval of not less than half an hour for rest after not more than 5 hours of continuous work. The total spread-over of work and rest periods must not exceed 12 hours in one day.

5. Compliance with Holidays by Employer (Rule 5)

Every employer must observe the following as public holidays:

1. 1. Republic Day
   2. Holi Parewa
   3. Independence Day
   4. Birthday of Mahatma Gandhi
   5. Diwali Parewa
   6. Kartiki Poornima
   7. Id-ul-Fitr

6. Close Days in Establishments (Section 8(1)

Every employer shall keep his shop or commercial establishment (not included in Schedule II) closed on:

• • one day in a week, and
  • such prescribed public holidays as notified.

7. Form A: Notice of Close Days by Employer (Section 8(2) & Rule 7)

Employers are required to prominently display in their shop/establishment a notice specifying all close days in Form A.

8. Form B: Notice Specifying Close Day (Rule 8)

Employers must issue a notice specifying close days in Form B, and send a copy of such notice to the concerned Inspector within 2 days of its first display in the shop/establishment.

9. Notice of Closure of Establishment (Rule 2A(12)

In case of closure of an establishment, the employer is required to notify the Inspector in writing within 15 days from the date of closure of the establishment.

10. Display of Shops & Establishment Registration Number (Rule 2A(13)

Every owner of the commercial establishment shall display the registration number at a conspicuous place in the establishment, on a plate with letters and figures at least 5 cm high and 1 cm thick, written in white or luminous paint of any colour.

11. Entitlement of Earned Leave to Employees (Section 10)

Every employee, who has been in continuous employment with the same employer for a period of twelve months or more, shall, in addition to weekly holidays, be entitled to earned leave of not less than fifteen days for every twelve months of service. However, a watchman or caretaker in continuous employment for twelve months or more shall be entitled to not less than sixty days of earned leave for every twelve months of service.

12. Entitlement of Sickness Leave to Employees (Section 10(2)

Every employee, who has been in continuous employment of the same employer for six months or more, shall be entitled to sickness leave for not less than fifteen days in any one calendar year, subject to prescribed conditions. No application for sickness leave shall be refused, but the employer may require a supporting medical certificate from a registered practitioner.

13. Entitlement of Casual Leave to Employees (Section 10(3)

Every employee shall, subject to prescribed conditions, be entitled to casual leave of not less than ten days in any one calendar year, in addition to earned leave and sickness leave.

14. Earned Leave in Case of Termination of Employment (Section 10(7)

Where the services of an employee are terminated by the employer, or where the employee resigns, the employer shall be liable to pay wages for the number of days of earned leave due to the employee.

15. Timeines for Payment of Wages by Employer (Rule 11)

Wage periods may be monthly, fortnightly, weekly, or daily.

• • If monthly, wages must be paid before the expiry of the 7th day after the last day of the wage period.
  • If fortnightly or weekly, wages must be paid within 3 days of the wage period ending.
  • If daily, payment must be made within 24 hours of the wage period ending.

If an employee is absent on the due date, payment must be made within 3 days of return or on demand. All payments must be made on a working day

16. Deductions from Wages by Employer (Section 15 & Rule 12)

No deduction shall be made by an employer from the wages of an employee except for the following:
(a) fines,

(b) absence from duty,

(c) damage or loss caused by employee’s neglect/default,

(d) house accommodation supplied by employer,

(e) amenities and services specified by Government,

(f) recovery of advances or overpayment,

(g) income tax,

(h) court-ordered recoveries,

(i) provident fund contributions,

(j) cooperative society payments,

(k) revenue stamps,

(l) supply of cooked food/refreshments approved by Chief Inspector,

(m) insurance premiums, Defence Fund contributions (with employee authorization),

(n) security deposits (with written agreement and approval),

(o) contributions to superannuation funds or similar schemes approved by Chief Inspector.

17. Imposition of Fine on Employee (Rule 12(2))

No fine shall be imposed on an employee except for an act or omission specified by the employer with the approval of the Chief Inspector or Deputy Chief Inspector, and only after giving the employee a reasonable opportunity of showing cause. The employer may, if satisfied that it is not reasonably practicable to provide such an opportunity, dispense with it by recording the reasons in writing. This applies to all commercial establishments in Uttar Pradesh.

18. Form D: Register of Deduction from Wages (Rule 12(8), 18(1)(c))

All deductions from wages and all realizations must be recorded in a Register in Form D. This requirement is applicable to all commercial establishments in Uttar Pradesh.

19. Form E: Register of Fines (Section 17, Rule 13)

Every employer must maintain a register of fines and realizations thereof in Form E. At the beginning of the register, the approved purposes for which the fines realized can be expended must be entered serially and numbered. This applies to all commercial establishments in Uttar Pradesh.

20. Discharge ofEmployee by Employer (Section 19)

No employee, other than one engaged for a specified period in a leave vacancy, shall be discharged from service except on grounds of retrenchment of the post or physical infirmity/continued ill-health. A written notice of at least thirty days (or longer if required under employment terms) must be given. A shorter notice is permitted if wages for the shortfall are paid. This does not apply in cases of dismissal for misconduct. Applicable to commercial establishments in Uttar Pradesh.

21. Prohibition of Employment of Women During Certain Period (Section 23)

No employer shall knowingly require or allow a woman to work, and no woman shall work, in any shop or commercial establishment during the six weeks following the day of her delivery.

22. Right of Absence During Pregnancy (Section 24)

A pregnant woman employee may, by seven clear days’ notice in writing in Form F, require her employer to relieve her from duty for a period not exceeding six weeks preceding the expected date of delivery. The employer may get her examined by a qualified medical practitioner or midwife (lady doctor if she desires). If the employee refuses examination or is found not pregnant, the employer may refuse to relieve her from duty

23. Maternity Benefit to Women Employees (Section 26, Rule 16)

A woman employee with at least six months of continuous employment preceding delivery is entitled to maternity benefits for six weeks before and six weeks after delivery, in the prescribed manner. No benefits are payable for days on which she attends work and receives wages. This provision aligns with the Maternity Benefit Act, 1961 (Section 25).

24. Prohibition of Discharge During Maternity Absence ( Section 28)

No employer shall discharge or remove from service any woman employee on account of or during the period of absence for maternity. Further, no woman shall be deprived of maternity benefits if discharged within six months of delivery, unless such discharge is held by the Inspector to be for sufficient cause.

25. Creche Facility in Establishments (Section 28A(3))

Every shop or commercial establishment employing twenty or more women workers must provide and maintain creche facilities for their children. A group of establishments within one kilometre may provide a common creche with Inspector’s approval, subject to conditions.

26. First-Aid Facility in Establishments (Section 28A(4))

Every employer shall provide adequate first-aid facilities at the place of work, as prescribed.

27. Canteen Facility in Establishment (Section 28A(5))

A canteen must be provided where at least 250 workers are employed or ordinarily employed. A common canteen may be set up for a group of commercial establishments with Inspector’s approval.

28. Form C: Register of Attendance, Wages, Deductions and Leaves (for ≤10 employees) (Rule 18(1)(a))

Every employer employing up to ten employees shall maintain a register in Form CC covering attendance, payment of wages, deductions, and leave facilities.

29. Form G: Register of Attendance and Wages (for >10 but ≤25 employees) (Rule 18(1)(b))
    Every employer with more than ten but not exceeding twenty-five employees must maintain a register of attendance and wages in Form G.
30. Form H: Register of Leave (for >10 but ≤25 employees) (Rule 18(1)(b))

Every employer with more than ten but not exceeding twenty-five employees must maintain a register of leave in Form H.

31. Registers in Form G, and D (for >25 employees) (Rule 18(1)(c))

Every employer with more than twenty-five employees must maintain a register of attendance and wages in Form G, a register of leave in Form H, and a register of deductions from wages in Form D.

32. Display of Abstracts of the Act and Rules (Rule 18(2))

Every employer employing more than twenty-five employees shall exhibit in the shop or establishment a notice in Hindi, in Devanagari script, containing extracts of the Act and Rules, as directed by the Chief Inspector.

33. Inspector’s Visit and Insection Book (Section 32, Rule 20)

Every employer shall maintain an Inspector’s Visit and Inspection Book in the establishment and produce it on demand. The book shall contain all inspection notes and forms issued by the Inspector in respect of that establishment.