Reviewed and Validated by: Naman, Associate

Ministry of Labour and Employment Notification

New Delhi, the 29th October, 2020

G.S.R. 684(E).—The following draft rules, which the Central Government proposes to make in exercise of the powers conferred by section 99 of the Industrial Relations Code, 2020 (35 of 2020) read with section 24 of the General Clauses Act, 1897(10 of 1897) and in supersession of the –

• the Industrial Tribunal (Procedure) Rules, 1949;
• the Industrial Tribunal (Central Procedure) Rules, 1954;
• the Industrial Disputes (Central) Rules, 1957; and
• the Industrial Employment (Standing Orders) Central Rules,1946

except as respects things done or omitted to be done before such supersession, are hereby notified, as required by sub-section (1) of said section 99, for information of all persons likely to be affected thereby and notice is hereby given that the said draft notification will be taken into consideration after the expiry of a period of thirty days from the date on which the copies of the Official Gazette in which this notification is published are made available to the public;

Objections and suggestions

if any, may be addressed to Shri Sanjeev Nanda, Under Secretary to the Government of India, Ministry of Labour and Employment, Room No. 17, Shram Shakti Bhawan, Rafi  Marg, New Delhi-110001 or by email – sanjeev.dom@nic.in. The objections and suggestions should be sent in a proforma containing columns (i) specifying the name and address of the person/organization and column (ii) specifying the rule or sub-rule which is proposed to be modified and column (iii) specifying the revised rule or sub-rule proposed to be substituted and reasons therefor;

Objections and suggestions, which may be received from any person or organization with respect to the said draft notification before expiry of the period specified above, will be considered by the Central Government.

Draft Rules Chapter – I Preliminary

1. Short title, application and commencement- These rules may be called The Industrial Relation (Central) Rules, 2020.
2. They extend to whole of India including Union territories except Union Territories which have their respective legislature in respect to the industrial establishments and matters for which the Central Government is the appropriate Government.
3. They shall come into force on the date of their publication in the Official Gazette.

1A. Definition

• In these rules, unless the context otherwise requires,-
• Code‖ means the Industrial Relations Code, 2020;
• section‖ means the section of the Code;
• electronically‖ means any information submitted by email or uploading on the designated portal or
• digital payment in any mode for the purpose of Code;

(2) The words and expressions used in these rules which are not defined therein, but are defined in the Code, shall have their respective meaning as assigned to them in the Code.

Written Agreement for Settlement (Section 2)

• Written Agreement for the settlement before the Conciliation Officer under clause (zi) of Section 2.- The Agreement under clause (zi) of Section 2 for written agreement between the employer and worker shall be in the form specified in Form-I and shall be signed by the parties in the agreement and a copy thereof shall be sent to the concerned Conciliation Officer.

Chapter II: Bi-Partite Forums

1. Formation

• Employer shall constitute Works Committee
• Representation to categories/groups/sections
• Total members not exceeding 20
• Worker representatives not less than employer representatives

2. Employer Representatives

• Nominated by employer
• Preferably officials connected with establishment

3. Trade Union Information

• Employer may request Trade Union to provide membership details
• If false information suspected → referred to Regional Labour Commissioner

4. Selection of Worker Representatives

• Registered Trade Union proportionate representation
• If no union → workers choose representatives

Office Bearers

• Chairman: nominated by employer
• Vice-Chairman: elected by workers’ representatives
• Secretary & Joint Secretary: elected yearly

Rules of Election

• Equal votes → draw of lots
• Secretary/Jt. Secretary cannot hold office for 2 consecutive years
• Employer reps do not vote in worker elections

Term of Office

• 2 years (except casual vacancy)
• Casual vacancy filled for remaining term
• Non-attendance (3 meetings) leads to forfeiture

Additional Provisions

• Co-option allowed (non-voting experts)
• Meetings at least once in 3 months
• Employer must provide facilities and accommodation

Grievance Redressal Committee

• Equal employer and worker representation
• Max 10 members
• Employer nominates representatives
• Workers selected via Trade Union or directly
• Women representation mandatory (proportionate)

Filing of Grievance

• Must include:
  • Name, designation, employee code, department, etc.
• Can be filed electronically
• Time limit: 1 year from cause of action

Appeal to Conciliation Officer

• Must be filed within 60 days
• Via Samadhan Portal / registered post
• Digitization required if manual submission

Chapter III – Standing Orders

• Manner of forwarding information to certifying officer under sub-section (3) of section 30.-
• If the employer adopts the model standing order of the Central Government referred to in section 29 with respect to matters relevant to his industrial establishment or undertaking, then, he shall intimate the concerned certifying officer electronically the specific date from which the provisions of the model standing order which are relevant to his establishment have been adopted.
• On receipt of information in sub-rule (1) the certifying officer within a period of thirty days from such receipt may give his observation that the employer is required to include certain provisions which are relevant to his establishment and indicate those relevant provisions of the model standing orders which have not been adopted and shall also direct the employer to amend the standing order so adopted, by way of addition, deletion or modification within a period of thirty days from the date of the receipt of such direction and ask for compliance report only in respect of provisions which the certifying officer seeks to get so amended and such report shall be sent electronically by the employer.
• If no observation is made by certifying officer within a period of thirty days of the receipt of the information as specified in sub-rule (1) and (2), then, the standing order shall be deemed to have been adopted by the employer.
• Manner of choosing representatives of workers of the industrial establishment or undertaking for issuing notice by certifying officer where there is no Trade Union operating, under clause (ii) of sub-section (5) of section 30. – Where there is no such Trade Union as is referred to in clause (i) of said sub-section (5), then, the certifying officer shall call a meeting of the workers to choose three representatives, to whom he shall, upon their being chosen, forward a copy of the standing order requiring objections, if any, which the workers may desire to make to the draft standing order to be submitted within fifteen days from the receipt of the notice.

Manner of authentication of certified standing orders under sub-section (8) of section 30.-

Standing orders or modification in the standing orders, certified in pursuance of sub-section (8) of section

30 or the copies of the order of the appellate authority under sub-section (1) of section 33 shall be authenticated by the certifying officer or the appellate authority, as the case may be, and shall be sent electronically within a week to all concerned, but there shall not be any requirement of certification in cases of deemed certification under sub-section (3) of section 30 and in cases where the employer has certified adoption of model standing orders.

1. Statement to be accompanied with draft standing orders under sub-section (9) of section 30.- A statement to be accompanied with-
2. draft standing order shall contain, the particulars such as name of the industrial establishment or undertaking concerned, address, e-mail address, contact number and strength and details of workers employed therein including particulars of Trade union to which such workers belong; and
3. draft modification in the existing standing orders, shall contain the particulars of such standing orders which are proposed to be modified along with a tabular statement containing details of each of the relevant provision of standing order in force and proposed modification therein and reasons thereof and such statement shall be signed by a person authorized by the industrial establishment or undertaking.
4. Conditions for submission of draft standing order in similar establishment under sub- section (10) of section 30.- In cases of group of employer engaged in similar industrial establishment may submit a joint draft standing order under section 30 and for the purpose of proceedings specified in sub- sections (1), (5), (6), (8) and (9) thereof after consultation with the concerned Trade union.

Provided that the joint draft standing orders, in cases of group of employers engaged in similar industrial establishments, will be drafted and submitted to the Chief Labour Commissioner (Central) who shall, in consultation with the concerned certifying officers, certify or refuse to certify the said joint draft standing order, after recording reasons therefor.

Manner of disposal of appeal by appellate authority under section 32:-

• An employer or Trade Union desirous of preferring an appeal against the order of the certifying officer given under sub-section (5) of section 30 shall within sixty days of the receipt of such order shall draw up a memorandum of appeal in tabular form stating therein the provisions of the standing orders which are required to be altered or modified or deleted or added and reasons thereof and shall be filed electronically to the appellate authority.
• The appellate authority shall fix a date for the hearing of the appeal and direct notice thereof to be given –
  • where the appeal is filed by the employer or a worker, to Trade Union of the workers of the industrial establishment or to the representative body of the workers concerned or to the employer, as the case may be;
  • where the appeal is filed by a Trade Union, to the employer and all other Trade Unions of the workers of the industrial establishment; and
  • where the appeal is filed by the representative of the workers, to the employer and any other worker whom the appellate authority joins as a party to the appeal.
• The appellant shall furnish each of the respondents with a copy of the memorandum of appeal.
• The appellate authority may at any stage of the proceeding call for any evidence, if it considers necessary for the disposal of the appeal.
• On the date fixed under sub-rule (2) for the hearing of the appeal, the appellate authority shall take such evidence as it may have called or consider to be relevant if produced and after hearing the parties dispose of the appeal.
• The language and the manner of maintaining standing order under sub-section (1) and (2) of section 33.- (1) The standing order finally certified by certifying officer shall be sent electronically except in the case of deemed certification under section 30.

The text of the standing order as finally certified or deemed to have been certified or adopted model standing order under this Chapter shall be maintained by the employer in Hindi or in English and in the official language of the State where the industrial establishment is situated.

1. Register for final  certified copy of  Standing Order under section 34.-  (1) The certifying  officer shall maintain electronically, a register of all standing orders certified or deemed to have been certified or adopted model standing orders of all the concerned industrial establishments, inter-alia, containing the details of –
   1. the unique number assigned to each standing order;
   2. name  of industrial establishment;
   3. nature of industrial establishment;
   4. date of certification or deemed certification or date of adoption of model standing order by each establishment or undertaking;
   5. the areas of the operation of the industrial establishment; and
   6. such other details as may be relevant and helpful in retrieving the standing orders and create a data base of such of all standing orders.

The certifying officer shall furnish a copy of the certified standing orders or  deemed certifying     orders to any person applying there for on payment of two rupees per page of the certified standing orders or deemed certified standing orders, as the case may be. The payment for such purpose can also be made through electronic mode. Application for modification of Standing Order under sub-section (2) of section 35.- The application for modification of an existing standing order under sub-section (2) of section 35 shall be submitted electronically and contain the particulars of such standing orders which are proposed to be modified along with a tabular statement containing details of each of the relevant provisions of standing order in force, and proposed modifications therein, reasons thereof and the details of registered Trade union(s) operating therein, and such statement shall be signed by a person authorized by the industrial establishment or undertaking.

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Chapter IV – Notice of Change

1. The manner of giving of notice for change proposed to be effected under clause (i) of section 40.- (1) Any employer intending to effect any change in the conditions of service applicable to any worker in respect of any matter specified in the Third Schedule to the Code, shall give notice in Form-II to such worker affected by such change.
2. The notice referred in sub-rule (1) shall be displayed conspicuously by the employer on the notice  board at the main entrance of the industrial establishment and the office of the concerned Manager of the industrial establishment:
3. Provided that where there is a registered Trade Union or registered Trade Unions relating to the industrial establishment a copy of such notice shall also be served on the Secretary of such Trade Union or each of the Secretaries of such Unions, as the case may be.

Chapter V

1. Form of arbitration agreement and the manner thereof under sub-section (3) of section 42. –
2. Where the employer and workers agree to refer the dispute to arbitration, the Arbitration Agreement shall be in Form-III and shall be signed by the parties to the agreement. The agreement shall be accompanied by the consent either in writing or electronically of arbitrator or arbitrators.
3. The Arbitration Agreement referred to in sub-rule (1) shall be signed.-
4. In case of an employer, by the employer himself, or when the employer is an incorporated company or other body corporate, by the agent, manager or other officer of the corporation authorized for such purposes;
5. In the case of the workers by the officer of the registered Trade Union authorized in this behalf or by three representatives of the workers duly authorized in this behalf at a meeting of the concerned workers held for such purpose;
6. In the case of an individual worker, an individual worker by the worker himself or by an officer of registered Trade Union of which the worker is a member:

Explanation.- (1) In this rule, the expression officer‘ means any officer of a registered Trade Union or an association of the employer authorized for such purpose;

• In this rule officer‘ means any of the following officers, namely:-
  • the President;
  • the Vice-President;
  • the Secretary (including the General Secretary);
  • a Joint Secretary; and
  • any other officer of the Trade Union authorized in this behalf by the President and Secretary of the union.
• Manner of issue of notification under sub-section (5) of section 42.- Where an industrial dispute has been referred to arbitration and the Central Government is satisfied that the persons making the reference represent the majority of each party, it shall publish a notification in this behalf in the Official Gazette and electronically for the information of the employers and workers who are not parties to the arbitration agreement but are concerned in the dispute and they may present their case before the arbitrator or arbitrators appointed for such purpose.
• Manner of choosing representatives of workers where there is no Trade Union under sub- section (5) of section 42.- Where there is no Trade Union, the representative of workers to present their case before the arbitrator or arbitrators in pursuance of clause (c) of the proviso to sub-section (5) of section 42, shall be chosen by a resolution passed by the majority of concerned workers in Form-IV authorizing therein to represent the case. Such workers shall be bound by the acts of representatives who have been authorized to represent before the arbitrator or arbitrators, as the case may be.

Chapter VI

National Industrial Tribunal Members

• Appointed by Central Government via Search-cum-Selection Committee

Committee Composition:

• Chief Justice of India (Chair)
• Judicial/Administrative Member
• Labour Secretary
• DPIIT Secretary

Tenure & Salary

• Tenure: 4 years or up to 65 years
• Salary: ₹2,25,000 per month
• Allowances as Group A officer

Service Conditions

Includes:

• Pension rules
• Provident fund
• Leave rules
• Medical facilities
• Travel allowances

Removal & Inquiry

• Complaint → preliminary scrutiny
• Inquiry by SCSC
• Completion within 6 months
• Natural justice followed

Arbitration & Conciliation Procedures

• Conciliation report via Samadhan Portal
• Tribunal hearing rules defined
• Evidence, adjournments, ex-parte proceedings regulated
• Award communicated electronically

Chapter VII STRIKES AND LOCK-OUTS

Strike Notice

• Form-VII
• Signed by Secretary + 5 representatives
• Sent to employer + authorities

Lockout Notice

• Form-VIII
• Displayed publicly
• Sent electronically to authorities

Chapter VIII: Lay-off, Retrenchment & Closure

Retrenchment Notice

• Form-IX to Central Government
• Via email/post

Re-employment

• Retrenched workers must be given preference
• Notice minimum 10 days prior

Closure Notice

• Form-IX submitted before closure
• Displayed at establishment

Chapter IX: Special Provisions

Lay-off Permission

• Form-X application required
• Must be served to workers

Retrenchment Permission

• Form-X with reasons
• Review possible within 30 days

Closure Permission

• 90 days prior application required

Chapter X: Worker Re-skilling Fund

• Employer transfers 15 days wages per retrenched worker
• Transfer within 10 days
• Central Government transfers to workers within 45 days

Chapter XI: Offences and Penalties

Compounding of Offences

• Notice via Samadhan Portal (Form XI)
• Contains:
  • Details of offence
  • Penalty amount
  • Consequences
  • Application form
• Payment within 15 days electronically

Form-I (See Rule 2)

(Memorandum of settlement arrived at during conciliation/ or settlement arrived at between the employer and his workers otherwise than in the course of conciliation proceeding)

Names of Parties:

Witnesses: (1)

(2)

……………………………….……………. Representing employer(s);

…………………………….……………. Representing workers;

Short recital of the case

………………………………………………………..

Terms of settlement

……………………………………………………….

Signature of the parties

*Signature of Conciliation Officer

In case the settlement arrived at between the employer and his workers otherwise than in the course of conciliation proceeding the copy of the memorandum shall be marked to the concerned Deputy chief Labour Commissioner (c).

Form-II

(See Rule 16)

(Notice of change of service conditions proposed by an employer)

Name of employer……………………………………………………………………………………

Address…………………………………………………………………………………………………

Dated the …………………………………….. day of …………………………… 20…………..

In accordance with section 40(1) of Industrial Relation code I/We hereby give notice to all concerned that it is my/our intention to effect the change/changes specified in the annexure, with effect from……………………………………………………………………………………………………………………………….. in the

conditions of service applicable to workers in respect of the matters specified in the Third Schedule to this code

Signature…………………

Designation ……………..

Copy forwarded to:

ANNEXURE

(Here specify the change/changes intended to be effected)

1. The Secretary of registered Trade Union, if any.
   1. Concerned Deputy Chief Labour commissioner.

Form-III

(Agreement for voluntary arbitration ) (See Rule 17)

BETWEEN

………………Name of the parties representing employer (s) And

………………….Representing worker

It is hereby agreed between the parties to refer the following dispute to the arbitration of ……………………

[here specify the name(s) and address(es) of the arbitrator (s).

• Specific matters in dispute.
• Details of the parties to the dispute including the name and address of the establishment or undertaking involved.
• Name of the worker in case he himself is involved in the dispute or the name of the union, if any, representing the worker or workers in question.
• Total number of workers employed in the undertaking affected.
• Estimated number of workers affected or likely to be affected by the dispute.

*We further agree that the majority decision of the arbitrators) shall be binding on us in case the arbitrator(s) are equally divided in their opinion they shall appoint another person as umpire whose award shall be binding on us.

The arbitrator (s) shall make his (their) award within a period of …………………… (here specify the period agreed upon by the parties) from the date of publication of this agreement in the Official Gazette by the central Government or within such further time as is extended by mutual agreement between us in writing. In case, the award is not made within the period afore mentioned, the reference to the arbitration shall stand automatically cancelled and we shall be free to negotiate for fresh arbitrator.

Signature of the parties Representing employer] Representing worker/ workers. Witnesses

1. …………………………….

2. …………………………….

Copy to: (i) The Conciliation Officer [here enter office address of the Conciliation Officer for the area concerned]. .

• The Secretary to the Government of India, Ministry of Labour.

Form–IV

(See Rule 19, Rule 39 and Rule 40)

(Authorization by a worker, group of worker, employer, group of employer to be represented in a proceeding before the authority under this Code).

Before the Authority

(Here mention the authority concerned)

In the matter of:.                  (mention the name of the proceeding )

………………………………………workers

Versus…………………………………………………………………………………………. Employer

I/we hereby authorise Shri / Sarvashri  (if representatives are more than one) 1………2…………3…………. to

represent me/us in the above matter.

Dated this………………….day of…………………………20……….

Signature of person(s) nominating the representative(s) Address Accepted

Form-V

(See Rule 20 and 21)

Form of Oath of Office for Judicial Member or Administrative Member (whichever is applicable) of National Industrial Tribunal

I, A, B., having been appointed as Judicial Member/Administrative Member (whichever is applicable) of National Industrial Tribunal (Name of the Tribunal) do solemnly affirm/ do swear in the name of God that I will faithfully and conscientiously discharge my duties as the Judicial Member/Administrative Member of National Industrial Tribunal (Name of the Tribunal) to the best of my ability, knowledge and judgment, without fear or favour, affection or ill-will and that I will uphold the Constitution and the laws of the land.

(Signature)

Place:

Date:

Form–VI

(See Rule 22)

(Application to be submitted before the Tribunal in the matter not settled by the Conciliation Officer )

Before…………… (here mention the name of the Tribunal having jurisdiction over the area) In the matter of:

…………………………………….. Applicant

Address………………………………………….

Versus

………………………………………………………… Opposite party (ies)

Address………………………………………………

The above mentioned applicant begs to state as follows :- (Here set out the relevant facts and circumstances of the case).

The applicant prays that the instant dispute may please be admitted for adjudication and request to pass appropriate Award.

Date ………

Place ………

Form-VII

(See Rule 23)

(Notice of Strike to be given by Union(Name of Union)/ Group of Workers)

Name of five elected representatives of workers……………………………………………..

Dated the……………day of…………….20…………

To

(The name of the employer). Dear Sir/Sirs,

In accordance with the provisions contained in sub-section (1) of section 62 of the Industrial Relation code

I/We hereby give you notice that I propose to call a strike / we propose to go on  strike on………. 20….. ,

for the reasons explained in the annexure.

Yours faithfully, (Secretary of the Union)

Five representatives of the workers duly elected at a meeting held on …………………………. (date), vide resolution attached.]

Copy to;

Statement of the Case.

1. Deputy Chief Labour Commissioner (Central),of the concerned area .
2. Chief Labour Commissioner (central) New Delhi

Form-VIII

(See Rule 24)

(Notice of Lock-out to be given by an employer of an industrial establishment)

Name of employer …………………………………………………………………………………………….

Address…………………………………………………………………………………………………………..

Dated the……………day of…………….20……………….

In accordance with the provisions of 62(6) of this code, I/we hereby give notice to  all concerned that it is my/our intention to effect  lock  out in..,……………………………………………………………………………………………………………………….. department(s),

section(s) of my/our establishment with effect from………………. for the reasons explained in the annexure.

Signature……………………………………………..

Designation……………………………………..

Copy forwarded to:

• The Secretary of the Registered Union, if any
• Conciliation officer……… [Here enter office address of the Assistant Labour Commissioner /

Regional Labour commissioner/ Deputy Chief Labour commissioner (Central) of the concerned area.]

• Chief Labour Commissioner (central) New Delhi
• To the office of DG Labour Bureau.

Form- IX

(See Rule 25 and 27)

( To be submitted online. In case of exigencies, on paper in the prescribed format below) Name of Industrial Establishment /Undertaking/ Employer…………………………………..

Labour Identification Number ……………………………………………………………………………

Dated…………….. ( Note: The intimation for Closure/Retrenchment to the appropriate government shall be served 60 days and 30 days before commencement of Closure/Retrenchment respectively )

To,

The Secretary to the Government of India, Ministry of Labour & Employment

New Delhi

1. *(Retrenchment) (a) Under Section 70(C) of this Code, I/ we* hereby intimate you that I*/we* have decided to retrench……………………………. workers** out of  a  total  of  …….  Workers**  with  effect from. (DD/MM/YYYY)

or

*(Closure) (b) Under Section 74(1) of this Code, I / we* hereby intimate you that I*/we* have decided to close down,…………………. (name of the industrial establishment or undertaking) with effect

from……………………. (DD/MM/YYYY). The number of workers whose services would be terminated on account of the closure of the undertaking is        (number of workers)

• The reason for Retrenchment / Closure is ………………………………………………………….…………

………………………………………………………………………………………………………………………

…………..…………………………………………………………………….

• * The worker(s)* concerned were given on the……………… (DD/MM/YYYY) one month‘s notice in

writing as required under section 70(a)*/ section 75(1)* of this Code.

or

* The worker(s)   concerned have been given  on the……………. (DD/MM/YYYY) one month‘s pay in lieu of

the notice as required under section 70(a)*/ section 75(1)* of this Code.

• * I*/We* hereby declare that the worker(s) concerned have been*/will be* paid all their dues along with the compensation due to them under section 70* / section 75* of this Code before or on the expiry of the notice period.

or

*I/We* hereby state that currently Insolvency proceedings are on in respect of the said Industrial Establishment/Undertaking/Employer, and that I*/we* will pay all the dues along with the compensation  due to them under concerned laws.

• (Retrenchment) I/we* hereby declare that the worker(s) concerned have been* / will be* retrenched in compliance to the Section 71 and section 72 of this Code.

• I*/ we* hereby declare that no court case is pending before any Court in the matter, and if yes, the details thereof have been Annexed.
• I*/ we* hereby declare that the above information given by me*/us* in this notice and the Annexures is true, I*/ we* am*/ are* solely responsible for its accuracy and no facts/ materials has been suppressed in the matter.

Yours faithfully,

(Name of Employer/ ***Authorized Representative

with Seal)

(* Strike off which is not applicable.)

(** Indicate number in figures and words both)

(***Copy of Authorization letter issued by the employer shall be enclosed)

Copy to :

• To the Office of DG Labour Bureau, Ministry of Labour and Employment, (Only for statistical purpose.)
• DY. Chief Labour Commissioner (Central) of the concerned area.
• To the Registered Unions/ Authorised Representatives of Workers operating in the establishments or undertakings.

Form – X

[See Rule 28, 29, 31 and 33]

[Application for permission of Lay-off/ Continuation of Lay-off/ Retrenchment/ Closure to be given by an employer / Industrial establishment /Undertaking to the Central Government under the provisions of Chapter X of the Industrial Relations Code, 2020 and rules made there under]

(To be submitted online. In case of exigencies on paper in the prescribed format below) Name of Industrial Establishment or Undertaking or Employer……………………………….

Labour Identification Number……………………………………………………………………………..

Dated……………..

( Note: The application to the Central Government shall be served as indicated below: Lay-off : at least 15 days before the intended Lay-off

Continuation of Lay-off – at least 15 days before the expiry of earlier Lay-off Retrenchment – at least 60 days before the intended date of Retrenchment Closure – at least 90 days before the intended date of Closure)

To,

The Secretary to the Government of India, Ministry of Labour & Employment

New Delhi

1. *(Lay-off) (a). Under section 78(2) of the Industrial Relations Code, 2020, I*/we* hereby apply for

―permission   to   lay-off   ……….workers**   out   of   total   of   ……..   workers**   employed   in   my*/our*

establishment (details to be given in Annex-I) with effect from………… (DD/MM/YYYY).

or

*(Continuation of lay-off) (b) Under section 78(3) of the Industrial Relations Code, 2020, I*/we* hereby apply for permission to continue the Lay-off  ………workers** out of total of          laid off workers** in my*/our*

establishment (details to be given in Annex-I) with effect from             (DD/MM/YYYY).

or

*(Retrenchment) (c) Under section 79(2) of the Industrial Relations Code, 2020, I*/we* hereby apply for permission for intended retrenchment of…………….. workers out of total of …….. workers** employed in my*/our* establishment (details to be given in Annex-I) with effect from……………………………………………………………………………………………………… (DD/MM/YYYY).

or

*(Closure) (d) Under section 80(1) of the Industrial Relations Code, 2020, I / we* hereby inform you that I*/we* intended to close down the undertaking…………………………………. (name of the industrial establishment or undertaking or employer) (details to be given in Annex-1) with effect from………….

(DD/MM/YYYY). The number of workers whose services would be terminated on account of the closure of the undertaking is (number of workers)

• * (Lay-off/Continuation of Lay-off) The worker(s) concerned were given on……………… (DD/MM/YYYY)

notice in writing as required under section 78(2)*/ section 78(3)* of this Code.

or

*(Retrenchment/ Closure) The worker(s) concerned were given on……… (DD/MM/YYYY) one month‘s

notice in writing as required under section 79*/ section 80* of this Code.

or

*(Retrenchment/ Closure) The worker(s) have been given on             (DD/MM/YYYY) one month‘s pay in lieu

of notice as required under section 79*/ section 80* of this Code.

• The details of affected worker(s) is at Annexure II.
• (Retrenchment) I*/we* hereby declare that the workers concerned will be retrenched in compliance to the Section 71 and section 72 of this Code.
• *I/We* hereby declare that the worker(s) concerned have been*/will be* paid all the dues and compensation due to them under section 67, read with section 78(10)*/ section 79* / section 80* of this Code before or on the expiry of the notice period.

or

*I/We hereby state that currently Insolvency proceedings are on in respect of the said Industrial Establishment/Undertaking/Employer, and that I*/we* will pay all the dues along with the compensation  due to them under concerned laws.

• I/ we* hereby declare that no court case is pending before any Court in the matter, and if yes, the details thereof have been Annexed.
• I/ we hereby declare that the above information given by me/ us* in this notice and enclosures is/ are* true, I/ we am/ are solely responsible for its accuracy and no facts/ materials has been suppressed in the matter.

The permission sought for may please be granted.

Yours faithfully,

(* Strike off which is not applicable.)

(** Indicate number in figures and word both)

(Name of Employer/ ***Authorised Representative

with Seal)

(***Copy of Authorization letter issued by the employer shall be enclosed)

ANNEXURE I

(Please give replies against each item)

1	Name of the undertaking with complete postal address, email, mobile and land line.
2	Status of undertaking— Whether Central public sector/State public sector/ etc,Whether a private limited company/ partnership firm/ partnership firm (ii) Whether the undertaking is Licensed/registered and if so, name of licensing/ registration authority and licence/registration certificate numbers.
3	(a) MCA Number
(b) GSTN Number
4	Annual production, item wise for preceding three years-Production figures, month-wise, for the preceding twelve months,
5	Audit report of establishment/ undertaking including Balance sheets, profit and loss accounts for the last three years.	To be annexed
6	Names of the inter-connected companies or companies under the same management.
7	Details of lay-off/ Retrenchment resorted to in the last three years including the periods of such lay-offs/ Retrenchment the number of workmen involved in each such lay-off/ Retrenchment / continuation of lay off
8	Any other relevant details which have bearing on lay-off/ continuation of lay off/ retrenchment/ closure.

ANNEXURE II

(Details of affected workers)

Sl. No	UAN/ CMPFO	Name of the Worker	Category ( Highly Skilled / Skilled/ Semi-skilled / Unskilled )	Date from which in service in/with the said establishment /Undertaking/ Employer	Wage as on date of Application	Remark
1
2
3

Form –XI

(See Rule 36)

Notice to the Employer who committed an offence for the first time under this code, for compounding of offence under sub-section (4) of section 89,

The undersigned and the Compounding Officer under sub-section 1 of section 89 of the Industrial Relation Code, 2020 hereby intimates that the allegation has been made against you for committing offence for the violation of various provision of this Code as per the details given below;-

PART – I

1. Name and Address of the offender Employer-   ………………………………..
2. Address of the Establishment …………….………………………………………….

4. Particulars of the offence …………………………………………………………………………

• Section of the Code under which the offence is committed

……………………………………………………………..

• Compounding amount required to be paid towards composition of the

offence………………………………………………………………….

PART – II

You are advised to deposit the above mentioned amount within fifteen days from the date of issue of this notice for compounding the offence as per section 89 (1) of the Industrial Relation Code, 2020, alongwith an application dully filled in part – III of this notice.

In case you fail to deposit the said amount within the specified time, no further opportunity shall be given and necessary direction for filing of prosecution under section shall be issued.

(Signature of the Compounding Officer)

Date: Place:

Part – III

Application under sub-section (4) of section 89 for compounding of offence

1. Name of applicant (name of the employer who committed the offence under the Industrial Relation Code

2020 to be mentioned……………………………………………………..

2. Address of the applicant …………….………………………………………….

• Particulars of the offence

……………………………………………………………………………………………………………………………

………………………………………………………………………………………………………..

• Section of the Code under which the offence has been committed

……………………………………………………………..

• Details of the compounding amount deposited (electronically generated receipt to be

attached)………………………………………………………………….

• Details of the prosecution, if filed for the violation of above mentioned offences may be given

…………………………………………..

• Whether the offence is first offence or the applicant had committed any other offence prior to this offence, if committed, then, full details of the offence

……………………………………………………………………………………………………………………………

……………………………………………………………………………………………………………………………

…………………………………………………………………..

• Any other information which the applicant desires to provide

……………………………………………………………………………………………………………………………

……………………………………………………………………………………………………………………………

…………………………………………………………………..

Dated: Place:

Applicant (Name and signature)

Form –XII

(See Rule 38)

(Complaint under Section 91 of the Industrial Relation Code, 2020) Before the Conciliation officer/ Arbitrator/ Tribunal or, National Tribunal—————————————————————————————————- ,

In the matter of :…………………………….. Reference No…………………………………….

A………………….                           Complainant(s);

Versus

B………………….                        Opposite Party(ies).

Address:

The petitioner(s) begs/beg to complain that the Opposite Party(ies) has/have been

guilty of a contravention of the provisions of section 90 of the Industrial Relation code, as shown below:

(Here set out briefly the particulars showing the manner in which the alleged contravention has taken place and the grounds on which the order or act of the

management is challenged.)

The complainant(s) accordingly prays/pray that the Conciliation officer/ Arbitrator/ Industrial Tribunal or National Tribunal may be pleased to decide the complaint set out above and pass such order or orders thereon as it may deem fit and proper.

The number of copies of .the complaint and its annexure required under rule 91 of the Industrial Relation Code are submitted herewith.

Dated this…………day of…………20. Signature of the Complainant(s)

Verification

I do solemnly declare that what is stated in paragraph……… above is true to my

knowledge and that what is stated in paragraphs…………….. above is stated upon information received and

believed by me to be true. This verification is signed by me at……………………. on……………………… day

of………………..20…………………

Signature

or Thumb impression of the person verifying.