Rules 113 and 114 explained: this guide covers what it means, who it applies to, the step-by-step process, documents required, fees, due dates and penalties in India — so you can stay compliant with confidence and avoid costly mistakes.
Rule 113 says the examining authority must examine a mine employee to the standard in Form IX, issue the certificate to the person and the employer, and keep a third copy. Rule 114 says the mine manager must keep the medical records while the person is employed and for five years afterwards, and pass them on to another mine on request.
The examining authority examines to the standards in Form IX and issues a copy of the Form IX certificate to the person, electronically or by speed post, and a copy electronically to the mine employer; it retains the third copy. After a periodical examination it sends the previous certificates back to the manager. The manager keeps all medical records, with medical history and job details showing the occupational dust exposure profile, for as long as the person is employed and five years thereafter, and must send them to another mine's manager on request.
Context
Rules 113 and 114 come after the notice rules (111, 112; see our rules 111 and 112 article) and before identity and women's examination (rules 115, 116). The base rule is rule 109 and the form is Form IX; see our rules 109 and 110 article.
The Central Rules apply where the Central Government is the appropriate Government. Where the State Government is the appropriate Government, the State's own OSH rules apply. A labour law compliance check will show which set covers each mine.
Rule 113: standard and report
| Sub-rule | Requirement |
|---|---|
| 113(1) | The examining authority holding initial and periodical examination shall examine a person according to the standards laid down in Form IX |
| 113(2) | After examination, a copy of the Form IX certificate shall be issued to the person electronically or by speed post, and a copy sent to the mine employer electronically |
| 113(3) | The examining authority shall retain the third copy |
| 113(4) | For a periodical examination, the examining authority shall send the copy of previous medical certificates of the person back to the manager |
The three copies. Form IX is headed "To be issued in triplicate". Rule 113 accounts for all three: one to the person, one to the employer, one kept by the examining authority.
What the standard covers. Form IX has a certificate part (fit; unfit for any employment in the mine, for any employment below ground, or for particular work; or suffering from a disease and to be re-examined within a stated number of months, with a note on whether the person may continue duties meanwhile) and an annexure of findings that covers eyes, ears with audiometry, lung function (spirometry), heart (ECG) and more. Numbered notes at the end of the form add further tests (for example blood sugar, serum urea and creatinine, and sputum for acid fast bacilli for food handlers) and say that mere presence of albumin and sugar in the urine "without any gross organic disease producing signs and symptoms should not be considered as a disability". The form's own text, not this article, is the standard to apply.
Delivery. Electronic or speed post for the person; electronic for the employer. The rule does not name an electronic mode or portal and sets no deadline for sending the certificate. Do not assume one.
Previous certificates. Rule 111(3) requires the employer to send previous certificates to the examining authority with the notice of a periodical examination; rule 113(4) requires the examining authority to return them to the manager after the examination. Together they make a loop, and the manager should log both movements.
Rule 114: retention and transfer
114(1): how long. "All medical examination records with medical history and job details to depict the occupational dust exposure profile of persons employed or to be employed in a mine" must be kept "in the possession of the manager of the mine so long as the person is employed in the mine and for a period of five years thereafter".
- The duty sits with the manager.
- The period is employment plus five years. The rule does not say five years from which date; read it as five years after employment ends.
- The records are more than the certificate. They include medical history and job details, which together show the person's exposure to dust. Keep job-history entries up to date as the person changes work areas.
Proviso: transfer on request. If the manager of another mine where the person is to be employed asks, the manager of the mine where the person is or was employed "shall" send all medical certificates for that person. No time limit is stated. The text does not mention the person's consent for this transfer, so do not add a condition the rule does not contain; but treat personal data carefully under your own policies.
114(2): relieved examiner. If the examining authority is relieved of duties regarding medical examination, they must transfer all examination records in their possession to the manager of the mine concerned. A mine that changes its contracted doctor should ask for the handover in writing.
Practical examples
Example 1. A ventilation assistant leaves Mine A in 2027 and joins Mine B in 2029. Mine B's manager asks Mine A's manager for the certificates; Mine A sends all of them. Mine A keeps its own file until five years after his employment ended.
Example 2. The mine's contracted doctor resigns. Under rule 114(2) she hands over every record she holds to the manager, who logs the receipt.
Example 3. An examiner emails the Form IX to the person and the employer, and keeps the third copy. A worker with no email asks for speed post; rule 113(2) allows either mode to the person.
Need help with mine medical compliance?
Mines with many employees, shifts and contract workers need a records system that supports transfer requests and audits. Our team can review your retention practice against the Rules; start with our labour law compliance service.
Key takeaways
- Examination is to the standards in Form IX, issued in triplicate: person, employer, examining authority.
- The person's copy goes electronically or by speed post; the employer's copy electronically.
- Previous certificates come back to the manager after a periodical examination.
- The manager keeps records showing the dust exposure profile for the whole period of employment and five years after.
- Records must be sent on request to another mine's manager; a relieved examiner hands records to the manager.
Read next
- Rules 109 and 110: initial and periodical medical examination in mines
- Rules 115 and 116: identity of candidates and medical examination of women
- Rules 117 to 119: appeal for re-examination and appellate medical board
- Mines Act: safety provisions and DGMS framework
Disclaimer: Based on the Occupational Safety, Health and Working Conditions Code, 2020 (as enacted) and, where noted, the Occupational Safety, Health and Working Conditions (Central) Rules, 2026 (G.S.R. 345(E), 8 May 2026), as on 30 September 2026. The Code is in force from 21 November 2025; some provisions may be notified later, and State Governments make their own rules for establishments where the State is the appropriate Government. Verify the current position before acting.