Social Security 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.
The Uttar Pradesh Code on Social Security Rules, 2026 end with Forms I to XLII. An employer actually files only a handful: the gratuity forms, the register of women employees, the record of cess paid, the unified annual return, the vacancy and employment information forms, and, when a dispute arises, the forms that go with a compensation or gratuity case. This article lists them with the rule that calls for each, as printed.
Form-XI (gratuity nomination), Form-XII (gratuity application, filed with the employer) and Form-XIII (the employer's notice) are the everyday forms. Form-XXXVI (register of women employees) and Form-XXXVII(B) (record of cess paid) are registers; Form-XXXVIII is the unified annual return due on or before 1 February; Form-XLI reports vacancies and Form-XLII (EIR) is the yearly employment information return.
The rule set
This article covers the Uttar Pradesh Code on Social Security Rules, 2026, as notified by notification no. 1431/XXXVI-3-2026-1399661 dated 27 August 2026. Later amendments and State notifications under these rules should be checked in the State Gazette. Rule 1(3) says the rules "shall come into force with effect from the date of its publication in the official Gazette".
The Central versions are explained in rule 53 and the register and annual return forms. The form numbers in Uttar Pradesh are its own. If your payroll team has one master compliance calendar for several States, a payroll compliance audit can check that the Uttar Pradesh form numbers are the ones in use. Gratuity is explained in our gratuity article, and the returns and vacancy duties in authorities, compounding and vacancy reporting.
Forms used by employers in routine compliance
| Form | Rule | Purpose | Who files | When as printed |
|---|---|---|---|---|
| Form-XI | 52 | Nomination, fresh nomination or modification for gratuity | Employee, to the employer (in duplicate) | Ordinarily within ninety days of commencement (existing employees) or thirty days of one year of service |
| Form-XII | 53(1)(a) | Application for gratuity | Employee, nominee or legal heir, to the employer | Ordinarily within thirty days of the gratuity becoming payable |
| Form-XIII | 53(2) | Notice for payment or rejection of claim of gratuity | Employer, to the applicant | Within fifteen days of the application; copy to the competent authority and the Director General, Labour Bureau where the claim is rejected (rule 97 also has a copy of Form-XIII shared with them) |
| Form-XXXVI | 88(3) | Register of women employees | Employer of an establishment employing women | Kept at all times for inspection |
| Form-XXXVII(B) | 88(4) | Record of cess paid by the employer of building and other construction work | Employer of building or construction work | Maintained as an employer record |
| Form-XXXVIII | 90(1) and (2) | Unified annual return | Employer to whom Chapters V and VI of the Code apply | On or before 1 February; within one month of sale or abandonment or four months of discontinuance for a closing return |
| Form-XXXIX | 91(1) | Compounding notice (Part-III is the application) | Notice by the Compounding Officer; the person noticed applies | Deposit within fifteen days of the notice |
| Form-XL, Part-IV | 91(3) | Composition certificate | Compounding Officer | Within ten days of receipt of the amount |
| Form-XLI | 93(3)(b) | Reporting vacancies to Career and Counseling Centres | Employer | At least forty days before the last date for applications |
| Form-XLII (Form EIR) | 93(6) | Employment Information Return | Employer, to the Career and Counseling Centre (Regional) | Within thirty days of 31 March |
Forms used in disputes and proceedings
| Form | Rule | Purpose |
|---|---|---|
| Form-I | 45(1) | Application for second appeal before the Employees' Insurance Court |
| Form-II | 45(2) | List of documents produced before the Court |
| Form-III | 45(3) | Register of proceedings |
| Form-IV and Form-V | 45(6) | Summons to the opposite party |
| Form-VI and Form-VII | 45(14) | Application to set aside an ex-parte order, and the notice of that application |
| Form-VIII | 45(15) | Summons to witness |
| Form-IX | 46(2) | Decree |
| Form-X | 47(1) | Application for execution of decree |
| Form-XIV | 55(1) | Application to the competent authority for direction for payment of gratuity |
| Form-XV | 55(2) to (4) | Notice for appearance or summons by the competent authority |
| Form-XVI | 55(7), 57(8) | Notice directing payment of gratuity |
| Form-XVII | 58 | Application for recovery of gratuity |
| Form-XVIII | 59(1) | Complaint to the Inspector-cum-Facilitator on maternity benefit |
| Form-XIX | 60(2) | Appeal before the appellate authority under the maternity chapter |
| Form-XX | 63 | Notice book (where the State Government requires it) |
| Form-XXI and Form-XXII | 65 | Competent Authority's notice and the employer's statement in fatal accidents |
| Forms XXIII, XXIV, XXV | 66 | Memorandum of agreement: temporary disablement, permanent disablement, other |
| Form-XXVI to XXIX | 67 and 68 | Notices on recording or refusing to record a memorandum |
| Form-XXX | 70 | Register of agreements |
| Form-XXXI, XXXII, XXXIII | 72(2) | Application for compensation by employee; for order to deposit compensation; for commutation |
| Form-XXXIV and XXXV | 73 | Indemnity notices |
| Appeal proforma, Form-XXXVII(A) | 80 | Appeal against assessment or penalty order on cess |
The "Rule" column follows the cross-reference printed at the head of each form. For Form-XXXIX and Form-XL the rule text and the form headings refer to the parts in slightly different ways, so the rule text and the form should be read together.
How the forms connect
A gratuity case can run through Forms XI, XII and XIII with the employer, then Forms XIV to XVI before the competent authority, and Form-XVII for recovery. A compensation case can run from Form-XXI and Form-XXII to the memorandum forms XXIII to XXV and the register in Form-XXX, or through a contested application under Forms XXXI to XXXIII. The Employees' Insurance Court forms (I to X) are separate: they apply only to proceedings before that Court, described in our article on its procedure.
Because Form-XXXVIII is a unified return, one filing per year carries the general part and the Chapter V and VI information. The rule requires it to be uploaded online on the web portal of the Labour Commissioner, Uttar Pradesh.
A worked example
A private hospital group in Lucknow keeps a master sheet with four columns: Form-XI nomination status for each employee, a Form-XXXVI register of women employees kept in the HR system, the due date of the Form-XXXVIII upload (before 1 February) and, for its construction wing, the Form-XXXVII(B) cess record. When a nurse retires, the group's HR team uses Form-XII from the employee and replies with Form-XIII within fifteen days.
Common lapses
- Using a form from another State's set or the Central set by mistake.
- Not keeping the Form-XXXVI register for women employees, even where only a few are employed.
- Leaving the Form-XXXVII(B) cess record out of the project file.
- Treating the Form-XLII yearly return as optional after the vacancy-reporting duty has been notified for the establishment.
Need help with forms and returns?
If you manage compliance for Uttar Pradesh units and want one calendar covering the Form-XXXVIII upload, gratuity notices and the registers, our payroll compliance audit can build and test it with you. A shared calendar is cheaper than a missed deadline.
Key takeaways
- Routine employer forms: XI, XII, XIII, XXXVI, XXXVII(B), XXXVIII, XLI and XLII.
- Dispute forms (I to X for the Court, XIV to XVII for gratuity, XVIII to XIX for maternity, XXI to XXXV for compensation) arise only when a case arises.
- The annual return is due on or before 1 February.
- The form cross-references are those printed at the head of each form.
Read next
- Uttar Pradesh Code on Social Security Rules, 2026: gratuity nomination, application and appeal
- Uttar Pradesh Code on Social Security Rules, 2026: authorities, compounding and vacancy reporting
- Central rule 53: records and registers
- Uttar Pradesh Code on Wages Rules, 2026: registers, wage slip and forms
Disclaimer: Based on the State or Union territory rules named above, as notified under the Labour Codes and consulted on 4 October 2026. Later amendments, State notifications, fees and forms should be checked in the State Gazette and on the State labour department website. This article is general information, not legal advice; check the official text before acting.