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.
Chapters X to XII of the Uttar Pradesh Occupational Safety, Health and Working Conditions Rules, 2026 (rules 170 to 176) close the rule text: the appeal against a penalty, compounding of offences, the Social Security Fund, the common licence and the safety and health survey. After them come the Schedules and Forms 1 to 58, which this article lists by rule.
An appeal against a penalty goes to the Labour Commissioner within sixty days in Form-57 with a non-refundable fee of five percent of the penalty. A compoundable offence is compounded on application in Form-53, with a notice in Form-53(A) and the compounding amount deposited within fifteen days; the certificate follows within ten days. A common licence is applied for in Form-54 and issued within forty-five days in Form-55.
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". The earlier chapters are in our articles on registration of establishments and on factories.
The Central companions are explained in rule 177 on the manner of holding enquiry, rule 182 on compounding of offences and rule 183 on the social security fund. The Uttar Pradesh numbers differ. For an employer facing a penalty order or a compounding notice, legal consultation at an early stage helps, because the periods are short. The rules print no penalty amount; the Code's penalty provisions apply.
Rule 170: appeal against a penalty
A person aggrieved by an order of the officer under the rules appeals before the Labour Commissioner, Uttar Pradesh within sixty days of receiving a copy of the order. The appeal, in Form-57, is accompanied by the order appealed against, a non-refundable fee equivalent to five percent of the amount of penalty levied, a statement of issues in dispute, documentary evidence and the relief sought.
Rule 171: compounding
An accused person who wants to compound a compoundable offence applies in Form-53, before or after the enquiry or the institution of prosecution. The notified officer issues a compounding notice electronically in Form-53(A) for an offence that is compoundable under section 114(1) of the Code. The person noticed may apply electronically or otherwise and deposit the entire compounding amount by electronic transfer or otherwise within fifteen days of receiving the notice. The officer issues a composition certificate within ten days of receipt of the amount. The text also provides that if the person fails to deposit within one month from receipt of the notice before institution of prosecution, prosecution proceeds before the competent Court; that no prosecution is instituted without giving the person an opportunity to comply, subject to the proviso to section 110(1) and compounding under section 114; and that where prosecution has already begun, a copy of the compounding order is sent to the court for further action.
| Step | Rule | Form | Period as printed |
|---|---|---|---|
| Penalty appeal | 170 | Form-57 | Within sixty days of receipt of the order; fee five percent of the penalty |
| Application to compound | 171(1) | Form-53 | Before or after enquiry or prosecution |
| Compounding notice | 171(1) | Form-53(A) | Issued electronically |
| Deposit of the compounding amount | 171(2) | - | Within fifteen days of receipt of the notice |
| Composition certificate | 171(3) | - | Within ten days of receipt of the amount |
| Non-deposit | 171 | - | Prosecution before the competent Court |
Rule 172: the Social Security Fund
In addition to the source in section 115(2)(i) of the Code, the Fund receives amounts given by the State Government to establish it, grants of the Government of India, the State Government and other authorities and statutory bodies, amounts for registration or renewal of beneficiaries and their contribution, amounts for implementing schemes notified by the Government of India or the State Government, contributions or donations from employers, their associations or CSR funds as the State Government determines by general or special order, and any other source the State Government approves. The Fund is administered as prescribed under the Code on Social Security, 2020 and the rules made under it.
Rules 173 to 175: common licence
A person seeking a common licence under section 119 applies electronically on the Labour Department portal in Form-54 with the cumulative application fees under the tables in rule 78(4), rule 104 and rule 115 (the contract labour, beedi and factory fee tables described in our articles on contract labour and beedi, cigar, audio-visual and plantation workers). The designated authority decides on the advice of the committee, which reports within fifteen days, and issues the licence in Form-55 within forty-five days of the application. A licence obtained by wrong information can be cancelled after an opportunity to show cause. An appeal lies to the State Government within thirty days, with Form-58, the order, a non-refundable fee equal to five percent of the fees deposited to obtain the common licence, a statement of issues and the relief sought.
Rule 176: safety and health survey
On the State Government's direction, the Chief Inspector-cum-Facilitator or another appointed officer may survey safety and health in an establishment and outside it at any time during normal working hours, or another time on written notice, and the employer affords facilities for examining plant and machinery and collecting samples. Time spent by a worker on medical examination or giving information for the survey counts as time worked for wages and overtime.
The list of Forms
The Forms follow the Schedules. The index of the rules shows the following, each with the rule it is used under in the rule text.
| Form | Used under | Purpose |
|---|---|---|
| Form-1, Form-2 | Rule 4 | Application and certificate of competent person |
| Form-3, 3(A), 4 | Rule 5 | Registration application, certificate and register of establishments |
| Form-5 | Rule 7 | Notice of commencement and cessation |
| Form-6 | Rules 10 and 59 | Register of workers or attendance register |
| Form-7, Form-8 | Rules 13 and 139 | Health Register and certificate of fitness |
| Form-9 | Rule 14 | Letter of appointment particulars |
| Forms 10, 11, 12 | Rules 15 and 17 | Notice of accident, dangerous occurrence, notified disease |
| Form-13 | Rule 54 | Notice of period of work for adults |
| Forms 14, 15, 16 | Rules 56, 57, 60 | Leave book, leave with wages register, accident register |
| Forms 17, 18, 19 | Rules 62, 64 | Annual return, half-yearly return, nomination |
| Form-20 | Rule 68 | Prohibition order or improvement notice |
| Forms 25 to 32 | Rules 78 to 96 | Contract labour licence, certificate, licence, return, registers, experience certificate, core activity |
| Form-33 | Rule 101 | Audio-visual worker agreement |
| Forms 34, 35, 36, 37 | Rules 103 to 108 | Beedi and cigar licence application, declaration, licence, premises register |
| Forms 38, 39, 40 | Rules 113 and 114 | Permission for outside work, outside-work record, home-worker register |
| Forms 41 to 44 | Rule 115 | Plan application, questionnaire, stability certificate, site-plan approval |
| Forms 45, 46 | Rules 116 to 118 | Factory licence application and licence |
| Forms 47, 48 | Rules 119, 122, 123 | Notice of occupation, notice of change of manager |
| Forms 49, 50 | Rules 127 to 129 | Site appraisal application and report |
| Forms 51, 52 | Rules 147 and 151 | Register of supervisory, managerial and confidential persons; plantation housing progress report |
| Forms 53, 53(A) | Rule 171 | Compounding application and notice |
| Forms 54, 55 | Rules 173 and 174 | Common licence application and licence |
| Forms 57, 58 | Rules 170 and 175 | Appeals |
The forms are not reproduced here; for any form use the Gazette copy.
A worked example
A fabrication unit in Bareilly receives a penalty order after an inspection. The occupier files Form-57 within sixty days with the fee of five percent of the penalty and a statement of the points in dispute. For a separate, compoundable contravention it has already received a Form-53(A) notice; the finance team pays the compounding amount within fifteen days and keeps the certificate that follows.
Common lapses
- Treating the sixty-day appeal period as longer, or omitting the five percent fee.
- Not depositing the compounding amount within fifteen days of the notice.
- Applying for a common licence without the cumulative fees of the three tables.
- Ignoring a survey notice under rule 176.
Need help with a penalty or compounding notice?
If you have received a penalty order, a compounding notice or an inspection note under the Uttar Pradesh OSH rules, legal consultation can help you weigh appeal against compounding and put the papers in order within the printed periods. The sooner the notice is read, the more options remain.
Key takeaways
- Penalty appeal to the Labour Commissioner in Form-57 within sixty days, with a five percent fee.
- Compounding: Form-53 application, Form-53(A) notice, deposit within fifteen days, certificate within ten days.
- Common licence: Form-54, decided within forty-five days; appeal to the State Government in thirty days.
- The Social Security Fund draws on grants, contributions and scheme receipts.
- Forms 1 to 58 are listed by rule above.
Read next
- Uttar Pradesh OSH Rules, 2026: notification, definitions and registration of establishments
- Uttar Pradesh OSH Rules, 2026: factories, plans, licence, welfare and hazardous processes
- Central OSH rule 182: manner of compounding of offences
- Central OSH rule 183: social security fund
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.