Rules 40 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.
Rules 40 to 43 deal with how an aggrieved employee files a complaint under section 91 of the Code, and how a worker or an employer who is not part of a union or association can authorise someone to appear for them. They also state that a party is bound by what its representative does. Two forms are involved: Form XVI for the complaint and Form VI for the authorisation.
A complaint by an aggrieved employee under section 91 must be made in Form XVI, electronically or by speed post, with as many copies as there are opposite parties (rule 40(1)). It must be verified by the employee or the authorised representative (rule 40(2)). A worker who is not a union member can authorise an office-bearer of a union, or another worker in the industry, in Form VI (rule 41); an employer outside any association can authorise an association officer or another employer in the industry in Form VI (rule 42). A party is bound by the acts of its representative (rule 43).
The Code background
Section 90 of the Industrial Relations Code, 2020 stops an employer from changing conditions of service, or discharging or punishing workers, in the way it describes while a dispute is pending. Section 91 then gives an employee aggrieved by a contravention of section 90 the right to complain in writing "in such manner as may be prescribed". The complaint goes to the conciliation officer, who takes it into account in mediating, or to the arbitrator, Tribunal or National Industrial Tribunal, who adjudicates it as if it were a dispute referred to or pending before it and submits an award to the appropriate Government. The manner prescribed is rule 40. See our articles on section 90 and sections 91 and 92.
Sections 93 and 94 of the Code separately deal with who may appear for a party; rules 41 to 43 give the procedure (sections 93-94).
These Rules apply to Central-sphere establishments. Where the State Government is the appropriate Government, the State's rules apply.
The four rules at a glance
| Rule | Subject | Form | Key requirement |
|---|---|---|---|
| 40(1) | Complaint of aggrieved employee under s.91 | Form XVI | Electronically or by speed post, with a copy for each opposite party |
| 40(2) | Verification | Part of Form XVI | By the employee or authorised representative, to the satisfaction of the authority |
| 41 | Worker authorises a representative | Form VI | Union office-bearer or another worker in the same industry |
| 42 | Employer authorises a representative | Form VI | Association officer or another employer in the same industry |
| 43 | Effect of representation | None | Party bound by the representative's acts |
Rule 40: the complaint in Form XVI
Form XVI is headed "Complaint under section 91 of the Industrial Relations Code, 2020". It is addressed "Before the Conciliation officer / Arbitrator / Tribunal or National Industrial Tribunal", and carries the matter, the reference number, the complainant(s) and the opposite party(ies). As printed, its body says the petitioner complains that the opposite party "has been guilty of a contravention of the provisions of section 90" and asks you to set out briefly the particulars showing how the alleged contravention took place and the grounds on which the order or act of the management is challenged.
It ends with a prayer that the authority decide the complaint and pass such order as it deems fit, a line confirming that the copies required under rule 40 are submitted, the date and signature, and a Verification. In the verification the complainant declares that certain paragraphs are true to his knowledge and others are stated on information received and believed to be true, signed or marked with a thumb impression by the person verifying, with place and date.
If you are the employer's HR or legal team, the same rule tells you what you should expect to receive: a Form XVI with its copies. If you are an employee or union officer preparing one, our legal dispute resolution team can help you frame the facts.
How to file
- Use Form XVI, either electronically or by speed post (rule 40(1)). The rule does not name a portal.
- Attach as many copies as there are opposite parties named.
- Have the complaint verified (rule 40(2)) "to the satisfaction of" the conciliation officer, arbitrator, Tribunal or National Industrial Tribunal, as the case may be.
The rules do not set a time limit for a section 91 complaint in the text I have read; do not assume one.
Rule 41: worker authorises a representative
If the worker is not a member of any Trade Union, an executive member or other office-bearer of a Trade Union connected with the worker's industry, or another worker employed in that industry, may be authorised in Form VI to represent the worker in a proceeding relating to a dispute in which the worker is a party.
Rule 42: employer authorises a representative
If an employer is not a member of any association of employers, an officer of an association of employers connected with the industry, or another employer engaged in that industry, may be authorised in Form VI to represent the employer in a proceeding relating to a dispute to which that employer is a party.
Form VI in brief
Form VI is titled "Authorisation by worker, group of workers, employer or group of employers to be represented in proceeding before the authority". It carries: the authority concerned; the name of the proceeding; the workers on one side and the employer on the other; the sentence "I/we hereby authorise Shri/Shrimati/Kumari ... to represent me/us in the above matter"; date; the signature and address of the person(s) nominating the representative; and an "Accepted" block with the signature and address of the representative. It is used under rules 22, 41 and 42.
Rule 43: party bound by representative
"A party appearing through a representative shall be bound by the acts of that representative." So an admission, compromise or missed date by the representative is treated as the party's own. Choose the representative carefully and keep the Form VI on the file.
Example
A worker who is not in any union is aggrieved because his allowances were cut while a dispute was pending before a Tribunal. He signs Form VI naming a union office-bearer of his industry, who accepts by signing. The representative then files Form XVI, verified, with one copy for the employer. If the representative later agrees to an adjournment, the worker is bound by that.
Need help with a complaint or representation?
If a pending dispute has been followed by a change in conditions of service, a correctly drafted and verified Form XVI matters. Our legal dispute resolution team can help prepare the complaint, the Form VI authorisation and the copies for each opposite party.
Key takeaways
- A section 91 complaint is made in Form XVI, electronically or by speed post, with a copy for each opposite party.
- The complaint must be verified.
- A non-union worker or a non-association employer can authorise a representative in Form VI.
- A party is bound by the acts of its representative.
- These are Central Rules; State-sphere establishments follow the State's rules.
Read next
- Sections 91-92: complaint of contravention and transfer of proceedings
- Sections 93-94: protection of persons and representation of parties
- Rule 39: protected workers
- Forms 6 to 10: authorisation and recovery applications
Disclaimer: Based on the Industrial Relations Code, 2020 (as enacted) and, where noted, the Industrial Relations (Central) Rules, 2026 (G.S.R. 342(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.