Rules 2026 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.
Chapter IX Part V of the Uttar Pradesh Occupational Safety, Health and Working Conditions Rules, 2026 (rules 115 to 149) is the factory chapter: approval of the site and plans, the stability certificate, the licence and its fee scale, renewal, amendment, transfer and cancellation, hazardous processes, dangerous operations and appeals.
No factory site or building may be used until the Chief Inspector-cum-Facilitator approves the plan; the application in Form-41 goes at least thirty days before occupation, with a stability certificate in Form-43, valid five years. The licence fee depends on power installed and the maximum number of persons employed (rule 116 table). A licence can be renewed for up to ten years; a late renewal carries a twenty-five percent late fee. An appeal lies to the Labour Commissioner within thirty days.
The rule set
This article covers the Uttar Pradesh Occupational Safety, Health and Working Conditions Rules, 2026, as notified by notification no. 962/XXXVI-03-2026-1903305 dated 27 August 2026. Later amendments and State notifications under these rules should be checked in the State Gazette. Rule 1(4) says the rules "shall come into force from the date of their publication in the Official Gazette". Registration of establishments is dealt with in our first OSH article.
The Central companions are explained in rules 22 and 23 on cleanliness, ventilation, temperature and humidity, rule 53 on the canteen, rule 57 on the welfare officer and rule 58 on the creche facility. The Uttar Pradesh numbers differ, and the factory welfare duties in the State rules sit mostly in the Schedules. A labour law compliance review of a new plant usually starts with this Part.
Rule 115: approval of plans
No site is used for a factory, and no building is constructed, modified, extended or taken into use, without the previous approval of the Chief Inspector-cum-Facilitator. The application in Form-41 is made electronically on the Labour Department portal to the Inspector-cum-Facilitator at least thirty days before the premises are occupied or used. It is accompanied by:
- Form-42 duly filled, with the replies to its questionnaire;
- a Process Flow Diagram showing safety devices, fittings and mountings, processes and materials;
- plans to scale showing the site, surroundings (including hospitals, schools, petrol pumps, storage of inflammable material) and the nearest residential area with its distance, and detailed building plans, with lighting, ventilation, means of escape, fire-fighting systems and hazard areas, signed by a person with the qualifications in Serial Number 1 of Schedule-I to rule 4;
- a No Objection Certificate from the Municipal Corporation, Nagar Panchayat or notified area under the Model Building Construction and Development Bye-Laws, 2025;
- letters of no objection from the State Pollution Control Board and the Fire Department, and a licence or NOC under the Petroleum Rules, 1976 where petroleum is stored;
- a certificate of stability in Form-43; and
- payment of the licence fee by e-challan or online payment.
Rule 115(4) sets the internal height of a workroom (not less than 14 feet, 20 feet for a corrugated iron roof without the specified lining, with exemptions for factories employing fifty or fewer workmen and a lower figure of 12 feet for brick or concrete roofs), and rule 115(5) a floor space of at least 36 square feet and breathing space of at least 500 cubic feet for each person in a room using mechanical or electrical power. No manufacturing process starts until the Form-43 stability certificate has been delivered online and accepted; it is valid for five years if there is no change, and the person signing must not be in the employment of the owner or builder. The site plan approval certificate is in Form-44 and, if not issued within the Uttar Pradesh Janhit Guarantee Adhiniyam, 2011 period, the plan is deemed approved. Objections are to be raised on the portal all at one time within fifteen days. Plans approved earlier under the Factories Act, 1948 are deemed approved.
Rule 116: the licence and fee table
The occupier applies in Form-45 along with the site-plan application; once the plan is approved and the Code's requirements are met, the licence is issued in Form-46, digitally signed, on payment of the fee below. The power factor is taken as 0.9 if required.
| Power installed (kw) | Up to 50 persons | 51 to 100 | 101 to 150 | 151 to 300 | 301 to 500 | 501 to 1000 | 1001 to 2500 | Above 2500 |
|---|---|---|---|---|---|---|---|---|
| Nil | 500 | 625 | 750 | 1000 | 2000 | 4000 | 7500 | 10000 |
| Less than 50 | 750 | 1375 | 2000 | 3000 | 4000 | 7500 | 15000 | 18000 |
| 50 to 100 | 1500 | 2250 | 3000 | 4000 | 6000 | 10000 | 18000 | 20000 |
| 101 to 500 | 2500 | 4000 | 5500 | 7500 | 10000 | 15000 | 24000 | 27500 |
| 501 to 1000 | 5000 | 6250 | 7500 | 10000 | 12000 | 18000 | 26000 | 30000 |
| 1000 to 2000 | 6000 | 8000 | 10000 | 12000 | 15000 | 20000 | 28000 | 35000 |
| Above 2000 | 7000 | 10500 | 14000 | 15000 | 18000 | 24000 | 30000 | 38000 |
The columns show the maximum number of persons to be employed on any day during a year; the amounts are in rupees as printed.
Rules 117 to 123: renewal, amendment, transfer and cancellation
- Renewal (rule 117). A licence is in force for a year from the date the first application is received, or from the date the factory came to the Inspector-cum-Facilitator's knowledge, whichever is earlier. A renewal application for up to ten years is made online in Form-45 not less than thirty days before expiry, with a Form-43 stability certificate and fees, which are the number of years multiplied by the one-year fee. A late application carries an additional fee equal to twenty-five percent. A licence not renewed within the Janhit Guarantee period is deemed renewed.
- Amendment (rule 118). To increase power installed or the maximum number of workers, or to change the factory name or occupier, an application is made at least fifteen days before the change, in Form-45, with an amendment fee of rupees one hundred plus the difference in the licence fee (the rupees one hundred is not payable if made with a renewal). An Inspector-cum-Facilitator may call for a building and structure life test where a building seems dangerous.
- Transfer (rule 119). An application with the notice of occupation in Form-47, and a fee of one thousand rupees on each application. If the licensee dies or becomes insolvent, the person carrying on the business is not liable to penalty for up to two months while applying (rule 120).
- Cancellation (rule 121). The occupier gives notice on the portal at least two months before ceasing use of the premises as a factory, with an undertaking to clear dues to employees and remove hazardous substances and waste.
- Manager (rule 123). If no manager is appointed, the occupier is the manager; a change of manager is notified in Form-48 online.
- Owner of premises (rule 124). The owner is responsible for common facilities where separate buildings or floors are leased to different occupiers.
Hazardous processes and dangerous operations (rules 125 to 146)
Rule 125 lists the dangerous operations covered by Schedules III to XXXV (from aerated water and electroplating to ammonia cold storage), whose welfare amenities and requirements are in those Schedules; workers are periodically re-examined by a Factory Medical Officer at the occupier's cost. An Inspector-cum-Facilitator can prohibit employment in case of serious hazard for three days unless extended, with an appeal to the State Government (rule 126). A Site Appraisal Committee under the Labour Commissioner advises on location of a hazardous process factory; applications go in Form-49 with fifteen copies, and the committee reports to the State Government in Form-50 within ninety days (rules 127 to 129).
Occupiers of hazardous process factories keep Material Safety Data Sheets (rule 130), supply information to employees (rule 131), furnish it to the Chief Inspector-cum-Facilitator, the local authorities, and the District and Sub-Divisional Magistrates, plus an annual electronic return (rule 132), inform the public in the vicinity in consultation with the District Emergency Authority (rule 133), and keep a written health and safety policy (rule 134). Workers in a hazardous process are medically examined once before employment and once in six months, with a Form-8 certificate of fitness (rule 139); supervisors have specified chemistry or chemical engineering qualifications (rule 140); and an Occupational Health Centre is provided on a scale tied to the number of employees (rule 141). The threshold limits for exposure are in Schedule-XXXVII (rule 145).
Rules 146 to 149: appeal, deemed positions and inspection book
An occupier aggrieved by an order of the Inspector-cum-Facilitator or Chief Inspector-cum-Facilitator appeals to the Labour Commissioner within thirty days, with a Court-fee stamp as the rule specifies and a copy of the order; a late appeal may be entertained for sufficient cause (rule 146). Rule 147 lists persons deemed to hold supervisory, managerial or confidential positions (a register in Form-51 is kept). Rule 148 requires an Inspection Book, electronically or otherwise; every inspection note is prepared in triplicate.
A worked example
A chemicals unit near Aligarh plans to commission a new plant. The occupier files Form-41 with Form-42, the process flow diagram, the three NOCs and a Form-43 stability certificate at least thirty days before occupying the building, pays the Rule 116 fee for the power and headcount band, and, because the unit has a hazardous process, also prepares the MSDS file and the disclosure to the District Magistrate. The first renewal is applied for online, with a fresh stability certificate, not less than thirty days before expiry.
Common lapses
- Occupying a building before the plan approval and the stability certificate have been accepted.
- Applying for renewal with less than thirty days left, which adds twenty-five percent.
- Increasing power installed or headcount without an amendment application fifteen days earlier.
- Not telling the portal two months before closing a factory.
- A hazardous process unit without MSDS, public disclosure or a health and safety policy.
Need help with a factory licence?
If you are building, extending or buying a factory in Uttar Pradesh, our labour law compliance service can map the Form-41 documents, the fee band and the renewal calendar for you. The licence fee depends on two variables that change as a plant grows, so a yearly check is worthwhile.
Key takeaways
- Plan approval first: Form-41 at least thirty days before occupation; stability certificate in Form-43, valid five years.
- Licence fee from the rule 116 table by power installed and persons employed.
- Renewal for up to ten years; twenty-five percent late fee; amendment fee rupees one hundred plus the difference.
- Hazardous process factories: MSDS, disclosure, policy, half-yearly medical examination.
- Appeal to the Labour Commissioner within thirty days.
Read next
- Uttar Pradesh OSH Rules, 2026: beedi and cigar, audio-visual and plantation workers
- Uttar Pradesh OSH Rules, 2026: offences, compounding, the Social Security Fund and forms
- Central OSH rule 53: canteen
- Central OSH rule 57: welfare officer
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.