Trade Union Bill (HC Bill 58)

Trade Union BillPage 10

(c) regulations made under section 2(4) of the Health and Safety at
Work etc Act 1974.

(5) The regulations may make provision as to the calculation of working
time, of paid facility time, or of an employer’s total pay bill.

(6) 5The regulations may impose requirements on employers in relation to
whom the reserve powers are exercised to publish any further
information that the Minister considers appropriate.

(7) Where requirements are imposed under subsection (6) the regulations
may make provision—

(a) 10as to the times or intervals at which the further information is to
be published;

(b) as to the form in which the further information is to be
published.

(8) The regulations may provide that some or all of their provisions do not
15apply—

(a) in cases specified by the regulations, or

(b) if a person specified in the regulations is satisfied that
conditions that are so specified are met.

(9) The regulations may—

(a) 20make provision in relation to certain categories of employers in
relation to whom the reserve powers are exercisable, or in
relation to all such employers;

(b) make different provision in relation to different categories of
employer in relation to whom the reserve powers are
25exercisable;

(c) make transitional provision in connection with the coming into
force of any provision of the regulations;

(d) make consequential provision amending or otherwise
modifying section 170, contracts of employment or collective
30agreements.

(10) In this section—

(a) “publication requirements” means requirements imposed
under section 172A or subsection (6);

(b) “relevant public sector employer” has the same meaning as in
35section 172A, read with any regulations made under subsection
(9) of that section;

(c) “relevant union official” and “facility time” have the same
meanings as in section 172A.

(11) Subsections (10) and (11) of section 172A apply for the purposes of this
40section as they apply for the purposes of that section.

(12) Regulations under this section shall be made by statutory instrument.

(13) No regulations under this section shall be made unless a draft of them
has been laid before Parliament and approved by a resolution of each
House of Parliament.”

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Certification Officer

14 Investigatory powers etc

(1) After section 256B of the 1992 Act insert—

256C Investigatory powers

5Schedule A3 (Certification Officer: investigatory powers) shall have
effect.”

(2) After Schedule A2 to the 1992 Act insert, as Schedule A3, the Schedule set out
in Schedule 1 to this Act.

(3) Schedule 2, which makes amendments to the 1992 Act to enable the
10Certification Officer to exercise certain powers without an application or
complaint being made to the Officer, has effect.

15 Enforcement by Certification Officer of new annual return requirements

(1) After section 32ZB of the 1992 Act (inserted by section 11 above) insert—

32ZC Enforcement of sections 32ZA and 32ZB by Certification Officer

(1) 15Where the Certification Officer is satisfied that a trade union has failed
to comply with any of the requirements of section 32ZA or 32ZB, the
Officer may make a declaration to that effect.

(2) Before making such a declaration, the Certification Officer—

(a) may make such enquiries as the Officer thinks fit,

(b) 20must give the union an opportunity to make written
representations, and

(c) may give the union an opportunity to make oral
representations.

(3) If the Certification Officer makes a declaration it must specify the
25provisions with which the union has failed to comply.

(4) Where the Certification Officer makes a declaration and is satisfied—

(a) that steps have been taken by the union with a view to
remedying the declared failure or securing that a failure of the
same or any similar kind does not occur in future, or

(b) 30that the union has agreed to take such steps,

the Officer must specify those steps in the declaration.

(5) Where a declaration is made, the Certification Officer must give
reasons in writing for making the declaration.

(6) Where a declaration is made, the Certification Officer must also make
35an enforcement order unless the Officer considers that to do so would
be inappropriate.

(7) An “enforcement order” is an order requiring the union to take such
steps to remedy the declared failure, within such period, as may be
specified in the order.

(8) 40Where, having given the union an opportunity to make written
representations under subsection (2)(b), the Certification Officer

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determines not to make a declaration under subsection (1), the Officer
must give the union notice in writing of that determination.

(9) Where the Certification Officer requests a person to provide
information to the Officer in connection with enquiries under this
5section, the Officer must specify the date by which that information is
to be provided.

(10) Where the information is not provided by the specified date, the
Certification Officer must proceed with determining whether to make
a declaration under subsection (1) unless the Officer considers that it
10would be inappropriate to do so.

(11) A declaration made by the Certification Officer under this section may
be relied on as if it were a declaration made by the court.

(12) An enforcement order made by the Certification Officer under this
section may be enforced by the Officer in the same way as an order of
15the court.

(13) Where an enforcement order has been made, a person who is a member
of the union and was a member at the time it was made is entitled to
enforce obedience to the order as if the order had been made on an
application by that person.”

(2) 20Subsection (1) applies only to returns for periods that begin after the day on
which this section comes into force.

(3) In section 45 of the 1992 Act (offences), in subsection (1), for “sections 32”
substitute “section 32 (but not sections 32ZA and 32ZB) and sections 32A”.

16 Further powers of Certification Officer where enforcement order made

(1) 25After section 256C of the 1992 Act (inserted by section 14 above) insert—

256D Power to impose financial penalties

Schedule A4 (Certification Officer: power to impose financial penalties)
shall have effect.”

(2) After Schedule A3 to the 1992 Act (inserted by section 14 above) insert, as
30Schedule A4, the Schedule set out in Schedule 3 to this Act.

(3) Subsections (1) and (2) do not apply in relation to any acts or omissions of a
trade union or other person occurring before this section comes into force.

(4) The provisions of the 1992 Act set out below (which provide for certain orders
made by the Certification Officer to be enforceable in the same way as orders
35of the court) are amended as shown.

Provision Amendment
In section 24B (enforcement of
sections 24 to 24ZC by Certification
Officer), subsection (12)
after “enforced” insert “by the Officer”

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Provision Amendment
In section 25 (remedy for failure:
application to Certification Officer),
subsection (10)
after “enforced” insert “(by the
Certification Officer, the applicant or a
person mentioned in subsection (5B))”
In section 31 (remedy for failure to
comply with request for access),
subsection (5)
5after “enforced” insert “(by the
Certification Officer or the applicant)”
In section 45C (remedies and
enforcement), subsection (9)
after “enforced” insert “(by the
Certification Officer, the applicant or a
10person mentioned in subsection (6))”
In section 55 (application to Certif-
ication Officer), subsection (9)
after “enforced” insert “(by the
Certification Officer, the applicant or a
person mentioned in subsection (5C))”
In section 72A (application of funds in
breach of section 71), subsection (9)
after “enforced” insert “(by the
15Certification Officer, the applicant or a
person mentioned in subsection (8))”
In section 80 (application to Certif-
ication Officer), subsection (9)
after “enforced” insert “(by the
Certification Officer, the applicant or a
person mentioned in subsection (5C))”
In section 82 (rules as to political
fund), subsection (4B)
20after “enforced” insert “(by the
Certification Officer, the complainant or
a person mentioned in subsection
(4A))”
In section 108B (declarations and
orders), subsection (8)
after “enforced” insert “(by the
25Certification Officer, the applicant or a
person mentioned in subsection (7))”

17 Power to impose levy

(1) After section 257 of the 1992 Act insert—

257A Levy payable to Certification Officer

(1) 30The Secretary of State may by regulations make provision for the Certification
Officer to require trade unions and employers’ associations (“relevant
organisations”) to pay a levy to the Officer.

(2) The regulations must require the Certification Officer, in determining
the amounts to be levied, to aim to ensure that the total amount levied
35over any period of three years does not exceed the total amount of the
Officers’s expenses over that period that are referable to specified
functions of the Officer.

(3) The regulations may make provision for determining what things
count as expenses of the Certification Officer for the purposes of
40provision made by virtue of subsection (2), and may in particular
provide for the expenses to be treated as including—

(a) expenses incurred by ACAS in providing staff, accommodation,
equipment and other facilities under section 254(5),

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(b) payments made by ACAS under section 254(6), or

(c) expenses in respect of which payments are made under section
255(1) or (2).

(4) The regulations may provide for the Certification Officer to determine
5the amount of levy payable by a relevant organisation by reference to
specified criteria, which may include—

(a) the number of members or the amount of income that the
organisation has;

(b) whether the organisation is—

(i) 10a trade union,

(ii) a federated employers’ association, or

(iii) an employers’ association that is not a federated
employers’ association;

(c) the different proportions of the Officer’s expenses that are
15referable to—

(i) functions in relation to trade unions,

(ii) functions in relation to federated employers’
associations, and

(iii) functions in relation to employers’ associations that are
20not federated employers’ associations.

(5) The regulations may provide—

(a) for the levy not to be payable, or for a reduced amount to be
payable, in specified cases or in cases determined by the
Certification Officer in accordance with the regulations;

(b) 25for the intervals at which the levy is to be paid;

(c) for interest to be payable where a payment is not made by the
required date;

(d) for an amount levied to be recoverable by the Certification
Officer as a debt.

(6) 30The regulations may contain such incidental, supplementary or
transitional provisions as appear to the Secretary of State to be
necessary or expedient.

(7) In this section—

  • “federated employers’ association” has the same meaning as in
    35section 135;

  • “specified” means specified in the regulations.

(8) Before making regulations under this section the Secretary of State
must consult relevant organisations and ACAS.

(9) No regulations under this section shall be made unless a draft of them
40has been laid before Parliament and approved by a resolution of each
House of Parliament.

(10) The Certification Officer shall pay into the Consolidated Fund amounts
received by virtue of this section.

(2) In section 258 of that Act (annual reports and accounts), after subsection (1)
45insert—

(1A) A report under this section shall include details of—

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(a) amounts levied by the Certification Officer by virtue of section
257A in the year in question, and

(b) how the amounts were determined.”

General

18 5Minor and consequential amendments

Schedule 4 (minor and consequential amendments) has effect.

19 Financial provision

There is to be paid out of money provided by Parliament any increase attributable to
this Act in the sums payable under any other Act out of money so provided.

20 10Extent

An amendment or repeal made by this Act has the same extent as the
enactment to which it relates.

21 Commencement

(1) This Act, apart from sections 19 to 22 (which come into force on the day on
15which this Act is passed), comes into force on whatever day or days the
Secretary of State appoints by regulations made by statutory instrument.

(2) Regulations under this section may include saving, transitional or transitory
provision.

22 Short title

20This Act may be cited as the Trade Union Act 2015.

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SCHEDULES

Section 14

SCHEDULE 1 Certification Officer: investigatory powers:
Schedule to be inserted into the 1992 Act

Section 256C

5Schedule 1 Certification Officer: investigatory powers

Introduction

1 (1) The following are “relevant obligations” for the purposes of this
Schedule—

(a) 10any of the requirements of section 24(1) (duties regarding
the register of members);

(b) the requirement of section 45B (duty to secure positions
not held by certain offenders);

(c) any of the requirements of Chapter 4 of Part 1 (elections for
15certain positions);

(d) the restriction in section 71 on the application of a trade
union’s funds in the furtherance of political objects;

(e) any of the requirements of Chapter 6 of Part 1 about
compliance with rules as to ballots on political resolutions;

(f) 20any of the requirements of a trade union’s rules made in
pursuance of section 82 (rules as to political fund);

(g) any of the requirements of sections 99 to 100E (ballots on
amalgamations or transfers);

(h) any requirement of a conditional penalty order made
25under Schedule A4.

(2) In relation to the relevant obligations listed in sub-paragraph
(1)(d) to (g) as they apply to unincorporated employers’
associations by virtue of section 132 or 133, this Schedule applies
to an unincorporated employers’ association as in relation to a
30trade union.

(3) In its application to an unincorporated employers’ association,
this Schedule has effect—

(a) with any necessary modifications, and

(b) with such modifications as may be prescribed.

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Power of Certification Officer to require production of documents etc

2 (1) If the Certification Officer thinks there is good reason to do so, the
Officer—

(a) may give directions to a trade union, or a branch or section
5of a trade union, requiring it to produce such relevant
documents as are specified in the directions;

(b) may authorise a member of the Officer’s staff or any other
person (“an authorised person”), on producing (if so
required) evidence of that authority, to require a trade
10union, or a branch or section of a trade union, to produce
immediately to the authorised person such relevant
documents as that person specifies.

(2) “Relevant documents”, in relation to a trade union or a branch or
section of a trade union, means documents that in the opinion of
15the Certification Officer or authorised person may be relevant to
whether the trade union has failed to comply with a relevant
obligation.

(3) Directions under sub-paragraph (1)(a) must specify the time and
place at which the documents are to be produced.

(4) 20Where the Certification Officer, or an authorised person, has
power to require the production of documents by virtue of sub-
paragraph (1), the Officer or authorised person has the like power
to require production of those documents from any person who
appears to the Officer or authorised person to be in possession of
25them.

(5) The power under this paragraph to require the production of
documents includes the power—

(a) if the documents are produced—

(i) to take copies of them or extracts from them;

(ii) 30to require the person by whom they are produced
to provide an explanation of any of them;

(iii) to require any person who is or has been an official
or agent of the trade union to provide an
explanation of any of them;

(b) 35if the documents are not produced, to require the person
who was required to produce them to state, to the best of
the person’s knowledge and belief, where they are.

(6) For the purposes of sub-paragraph (5)(a)(iii), “agent” includes an
assurer appointed by the trade union under section 24ZB.

(7) 40For supplementary provision, see paragraph 6.

Investigation by inspectors

3 (1) If it appears to the Certification Officer that there are
circumstances suggesting that a trade union has failed to comply
with a relevant obligation, the Officer may appoint one or more

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members of the Officer’s staff or other persons as an inspector or
inspectors—

(a) to investigate whether the union has failed to comply with
such an obligation, and

(b) 5to report to the Officer in such manner as the Officer may
direct.

(2) Where any person appears to the inspector or inspectors to be in
possession of information relating to a matter considered by the
inspector or inspectors to be relevant to the investigation, the
10inspector or inspectors may require the person—

(a) to produce to the inspector or inspectors any relevant
documents relating to that matter,

(b) to attend before the inspector or inspectors, and

(c) otherwise to give the inspector or inspectors all assistance
15in connection with the investigation which the person is
reasonably able to give.

(3) “Relevant documents” means documents that in the opinion of the
inspector or inspectors may be relevant to whether the trade union
has failed to comply with a relevant obligation.

(4) 20Where a person who is not a member of the Certification Officer’s
staff is appointed as an inspector under this paragraph, there is
incorporated in the appointment the duty of confidentiality as
respects the register of the names and addresses of the trade
union’s members.

(5) 25The duty of confidentiality as respects that register is a duty which
the inspector owes to the Certification Officer—

(a) not to disclose any name or address in the register of the
names and addresses of the union’s members except in
permitted circumstances, and

(b) 30to take all reasonable steps to secure that there is no
disclosure of any such name or address by another person
except in permitted circumstances.

(6) The circumstances in which disclosure of a member’s name or
address is permitted are—

(a) 35where the member consents,

(b) where it is required or requested by the Certification
Officer for the purposes of the discharge of any of the
Officer’s functions,

(c) where it is required for the purposes of the discharge of
40any of the functions of the inspector or any other inspector
appointed by the Officer,

(d) where it is required for the purposes of the discharge of
any of the functions of an assurer appointed under section
24ZB, or

(e) 45where it is required for the purposes of the investigation of
crime or criminal proceedings.

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(7) For supplementary provision, see paragraph 6.

Inspectors’ reports etc

4 (1) An inspector or inspectors appointed under paragraph 3

(a) may make interim reports to the Certification Officer,

(b) 5must make such reports if so directed by the Officer, and

(c) on the conclusion of the investigation, must make a final
report to the Officer.

(2) A report under sub-paragraph (1) must be in writing.

(3) An inspector or inspectors—

(a) 10may at any time inform the Certification Officer of any
matters coming to their knowledge as a result of the
investigation, and

(b) must do so if the Officer so directs.

(4) The Certification Officer may direct an inspector or inspectors—

(a) 15to take no further steps in the investigation, or

(b) to take only such further steps as are specified in the
direction.

(5) Where such a direction is made, the inspector or inspectors are not
required under sub-paragraph (1)(c) to make a final report to the
20Certification Officer unless the Officer so directs.

Enforcement of paragraphs 2 and 3 by Certification Officer

5 (1) Where the Certification Officer is satisfied that a trade union or
any other person has failed to comply with any requirement
imposed under paragraph 2 or 3, the Officer may make an order
25requiring the trade union or person to comply with the
requirement.

(2) Before making such an order, the Certification Officer must give
the trade union or person an opportunity to be heard.

(3) In the case of a failure to comply with a requirement imposed
30under paragraph 2 or 3 to produce a document, the Certification
Officer may make an order only if the Officer is satisfied that—

(a) the document is in the possession of the union or person,
and

(b) it is reasonably practicable for the union or person to
35comply with the requirement.

(4) In the case of a failure to comply with any other requirement
imposed under paragraph 2 or 3, the Certification Officer may
make an order only if the Officer is satisfied that it is reasonably
practicable for the union or person to comply with the
40requirement.

(5) The order must specify—

(a) the requirement with which the trade union or person has
failed to comply, and

(b) the date by which the trade union or person must comply.