PART 2 continued
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 40
(7)
The Minister may pay to the appointed person such remuneration and
expenses as the Minister may determine.
(8)
“The Minister” means the Secretary of State or the Lord President of the
Council.
(1)
The Trade Union and Labour Relations (Consolidation) Act 1992 is amended
as follows.
(2)
10After section 24 (duty to maintain register of members’ names and addresses),
insert—
(1)
A trade union required to maintain a register of the names and
addresses of its members by section 24 must send to the Certification
15Officer a membership audit certificate in relation to each reporting
period.
(2)
In this section and in sections 24ZB to 24ZF, a “reporting period” means
a period in relation to which the union is required by section 32 to send
an annual return to the Certification Officer.
(3)
20The union must send the membership audit certificate in relation to a
reporting period to the Certification Officer at the same time as it sends
to the Officer its annual return under section 32 in relation to that
period.
(4)
In the case of a trade union required by section 24ZB to appoint an
25assurer in relation to a reporting period, the “membership audit
certificate” in relation to that period is the certificate which the assurer
is required to provide to the union in relation to that period pursuant
to that appointment.
(5)
In any other case, the “membership audit certificate” in relation to a
30reporting period is a certificate which—
(a)
must be signed by an officer of the trade union who is
authorised to sign on its behalf,
(b) must state the officer’s name, and
(c)
must state whether, to the best of the officer’s knowledge and
35belief, the union has complied with its duties under section
24(1) throughout the reporting period.
(6)
A trade union must, at a person’s request, supply the person with a
copy of its most recent membership audit certificate either free of
charge or on payment of a reasonable charge.
(7)
40The Certification Officer must at all reasonable hours keep available for
public inspection, either free of charge or on payment of a reasonable
charge, copies of all membership audit certificates sent to the Officer
under this section.”
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 41
(3)
In section 44(4) (discharge of duties in case of union having branches or
sections), at the appropriate place in the list insert—
“section 24ZA (duty to provide membership audit certificate),”.
(4) In section 118 (federated trade unions), after subsection (4) insert—
“(4A)
5In the case of a federated trade union which, by virtue of subsection (4),
is not required to send an annual return to the Certification Officer
under section 32, section 24ZA (duty to provide membership audit
certificate) applies as if section 32 does apply to the union.”
(1)
10The Trade Union and Labour Relations (Consolidation) Act 1992 is amended
as follows.
(2) After section 24ZA (which is inserted by section 40), insert—
(1)
A trade union required to maintain a register of the names and
15addresses of its members by section 24 must, in relation to each
reporting period, appoint a qualified independent person to be an
assurer in relation to that period.
(2)
There is incorporated in the assurer’s appointment a duty which the
assurer owes to the trade union—
(a)
20to provide to the union a membership audit certificate in
relation to the reporting period which accords with the
requirements of section 24ZD, and
(b)
to carry out such enquiries as the assurer considers necessary to
enable the assurer to provide that certificate.
(3) 25A person is a “qualified independent person” if—
(a)
the person either satisfies such conditions as may be specified
for the purposes of this section by order of the Secretary of State
or is specified by name in such an order, and
(b) the trade union has no grounds for believing that—
(i)
30the person will carry out an assurer’s functions
otherwise than competently, or
(ii)
the person’s independence in relation to the union
might reasonably be called into question.
(4) None of the following may act as an assurer—
(a)
35an officer or employee of the trade union or of any of its
branches or sections;
(b)
a person who is a partner of, or in the employment of, or who
employs, such an officer or employee.
(5)
This section does not apply to a trade union in relation to a reporting
40period if the number of its members at the end of the preceding
reporting period did not exceed 10,000.
(6)
Any order under this section is to be made by statutory instrument and
is to be subject to annulment in pursuance of a resolution of either
House of Parliament.
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 42
(1)
The rules of every trade union to which section 24ZB applies must
contain provision for the appointment and removal of an assurer.
But the following provisions have effect notwithstanding anything in
5the rules.
But the following provisions have effect notwithstanding anything in
the rules.
(2)
An assurer must not be removed from office except by resolution
passed at a general meeting of the members of the union or of delegates
10of its members.
(3)
A person duly appointed as an assurer in relation to a reporting period
must be reappointed as assurer in relation to the following reporting
period, unless—
(a)
a resolution has been passed at a general meeting of the trade
15union appointing somebody else instead or providing expressly
that the person is not to be re-appointed,
(b)
the person has given notice to the union in writing of the
person’s unwillingness to be re-appointed,
(c)
the person is not qualified for the appointment in accordance
20with section 24ZB, or
(d) the person has ceased to act as assurer by reason of incapacity.
(4) But a person need not automatically be re-appointed where—
(a) the person is retiring,
(b)
notice has been given of an intended resolution to appoint
25somebody else instead, and
(c)
that resolution cannot be proceeded with at the meeting
because of the death or incapacity of the proposed replacement.
(1)
For the purposes of section 24ZB(2)(a) the requirements of a
30membership audit certificate in relation to a reporting period provided
by an assurer are as follows.
(2) The certificate must state the name of, and be signed by, the assurer.
(3) The certificate must state—
(a)
whether, in the assurer’s opinion, the trade union’s system for
35compiling and maintaining the register of the names and
addresses of its members was satisfactory for the purposes of
complying with the union’s duties under section 24(1)
throughout the reporting period, and
(b)
whether, in the assurer’s opinion, the assurer has obtained the
40information and explanations which the assurer considers
necessary for the performance of the assurer’s functions.
(4) If the certificate states that—
(a)
in the assurer’s opinion, the trade union’s system for compiling
and maintaining the register was not satisfactory for the
45purposes of complying with the union’s duties under section
24(1) throughout the reporting period, or
(b)
in the assurer’s opinion, the assurer has failed to obtain the
information and explanations which the assurer considers
necessary for the performance of the assurer’s functions,
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 43
the certificate must state the assurer’s reasons for making that
statement.
(5)
In the case of a failure to obtain information or explanations as
described in subsection (4)(b), the certificate must also—
(a)
5provide a description of the information or explanations
requested or required which have not been obtained, and
(b)
state whether the assurer required that information or those
explanations from the union’s officers, or officers of any of its
branches or sections, under section 24ZE.
(6)
10The reference in subsection (2) to signature by the assurer is, where that
office is held by a body corporate or partnership, to signature in the
name of the body corporate or partnership by an individual authorised
to sign on its behalf.
(1) 15An assurer appointed by a trade union under section 24ZB—
(a)
has a right of access at all reasonable times to the register of the
names and addresses of the union’s members and to all other
documents which the assurer considers may be relevant to
whether the union has complied with any of the requirements
20of section 24(1), and
(b)
is entitled to require from the union’s officers, or the officers of
any of its branches or sections, such information and
explanations as the assurer considers necessary for the
performance of the assurer’s functions.
(2)
25In subsection (1) references to documents include information recorded
in any form.
If an assurer provides a membership audit certificate in relation to a
reporting period to a trade union which states that, in the assurer’s
30opinion—
(a)
the union’s system for compiling and maintaining the register
was not satisfactory for the purposes of complying with the
union’s duties under section 24(1) throughout that period, or
(b)
the assurer has failed to obtain the information and
35explanations which the assurer considers necessary for the
performance of the assurer’s functions,
the assurer must send a copy of the certificate to the Certification
Officer as soon as is reasonably practicable after it is provided to the
union.
(1)
The duty of confidentiality as respects the register is incorporated in an
assurer’s appointment by a trade union under section 24ZB.
(2)
The duty of confidentiality as respects the register is a duty which the
assurer owes to the union—
(a)
45not to disclose any name or address in the register of the names
and addresses of the union’s members except in permitted
circumstances, and
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 44
(b)
to take all reasonable steps to secure that there is no disclosure
of any such name or address by another person except in
permitted circumstances.
(3)
The circumstances in which disclosure of a member’s name or address
5is permitted are—
(a) where 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 any of
10the functions of an inspector appointed by the Officer,
(d)
where it is required for the purposes of the discharge of any of
the functions of the assurer, or
(e)
where it is required for the purposes of the investigation of
crime or criminal proceedings.”
(3)
15In section 24A(3) (securing confidentiality of register during ballots), after
“duty of confidentiality”” insert “, in the context of a scrutineer or independent
person,”.
(4)
In section 44(4) (discharge of duties in case of union having branches or
sections), at the appropriate place in the list insert—
(5)
In section 299 (index of defined expressions), in the entry for “the duty of
confidentiality”, after “confidentiality” insert “, in the context of a scrutineer or
independent person”.
(1)
25The Trade Union and Labour Relations (Consolidation) Act 1992 is amended
as follows.
(2) After section 24ZG (which is inserted by section 41), insert—
(1)
If the Certification Officer thinks there is good reason to do so, the
30Officer—
(a)
may give directions to a trade union, or a branch or section of 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
35person (“an authorised person”), on producing (if so required)
evidence of that authority, to require a trade union, or a branch
or section of a trade union, to produce immediately to the
authorised person such relevant documents as that person
specifies.
(2)
40“Relevant documents”, in relation to a trade union or a branch or
section of a trade union, means—
(a)
the register of the names and addresses of the trade union’s
members, and
(b)
documents of any other description which the Certification
45Officer or authorised person considers may be relevant to
whether the union has failed to comply with any of the
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 45
requirements of section 24(1) (duties regarding the register of
members).
(3)
Directions under subsection (1)(a) must specify the time and place at
which the documents are to be produced.
(4)
5Where the Certification Officer, or an authorised person, has power to
require the production of documents by virtue of subsection (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 them.
(5)
10The power under this section 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)
to require the person by whom they are produced to
15provide 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)
if the documents are not produced, to require the person who
20was required to produce them to state, to the best of the
person’s knowledge and belief, where they are.
(6)
For the purposes of subsection (5)(a)(iii), “agent” includes an assurer
appointed by the trade union under section 24ZB.
(7) For supplementary provision, see section 24ZK.
(1)
The Certification Officer may appoint one or more members of the
Officer’s staff or other persons as an inspector or inspectors to—
(a)
investigate whether a trade union has failed to comply with any
of the requirements of section 24(1) (duties regarding the
30register of members), and
(b) report to the Officer in such manner as the Officer may direct.
(2)
The Certification Officer may only make such an appointment if it
appears to the Officer that there are circumstances suggesting that the
union has failed to comply with a requirement of section 24(1), 24ZA or
3524ZB (duties etc relating to the register of members).
(3)
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 inspector
or inspectors may require the person—
(a)
40to 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 in
connection with the investigation which the person is
45reasonably able to give.
(4) “Relevant documents” means—
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 46
(a)
the register of the names and addresses of the trade union’s
members, and
(b)
documents of any other description which the inspector or
inspectors consider may be relevant to whether the union has
5failed to comply with any of the requirements of section 24(1).
(5)
Where a person who is not a member of the Certification Officer’s staff
is appointed as an inspector under this section, 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.
(6)
10The 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)
15to take all reasonable steps to secure that there is no disclosure
of any such name or address by another person except in
permitted circumstances.
(7)
The circumstances in which disclosure of a member’s name or address
is permitted are—
(a) 20where 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 any of
the functions of the inspector or any other inspector appointed
25by 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)
where it is required for the purposes of the investigation of
crime or criminal proceedings.
(8) 30For supplementary provision, see section 24ZK.
(1) An inspector or inspectors appointed under section 24ZI—
(a) may make interim reports to the Certification Officer,
(b) must make such reports if so directed by the Officer, and
(c)
35on the conclusion of the investigation, must make a final report
to the Officer.
(2) A report under subsection (1) must be in writing.
(3) An inspector or inspectors—
(a)
may at any time inform the Certification Officer of any matters
40coming 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) to take no further steps in the investigation, or
(b) to take only such further steps as are specified in the direction.
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(5)
Where such a direction is made, the inspector or inspectors are not
required under subsection (1)(c) to make a final report to the
Certification Officer unless the Officer so directs.
(1)
5Nothing in section 24ZH or 24ZI requires or authorises anyone to
require—
(a)
the disclosure by a person of information which the person
would in an action in the court be entitled to refuse to disclose
on grounds of legal professional privilege, or
(b)
10the production by a person of a document which the person
would in such an action be entitled to refuse to produce on such
grounds.
(2)
But a lawyer may be required under section 24ZH or 24ZI to disclose
the name and address of the lawyer’s client.
(3)
15A person is not excused from providing an explanation or making a
statement in compliance with a requirement imposed under section
24ZH(5) or 24ZI(3) on the ground that to do so would tend to expose
the person to proceedings for an offence.
(4)
But an explanation so provided or a statement so made may only be
20used in evidence against the person by whom it is provided or made on
a prosecution for an offence where, in giving evidence, the person
makes a statement inconsistent with it.
(5) In this section and in sections 24ZH and 24ZI—
(a)
references to documents include information recorded in any
25form, and
(b)
in relation to information recorded otherwise than in legible
form, references to its production are to the production of a
copy of the information in legible form.”
(3)
In section 24A(4)(b) (securing confidentiality of register during ballots), after
30“where it is” insert “required or”.
(1)
The Trade Union and Labour Relations (Consolidation) Act 1992 is amended
as follows.
(2) After section 24A (securing confidentiality of register during ballots), insert—
(1)
Where the Certification Officer is satisfied that a trade union has failed
to comply with any of the requirements of section 24, 24ZA, 24ZB or
24ZC (duties etc relating to the register of members), the Officer may
make a declaration to that effect.
(2) 40Before making such a declaration, the Certification Officer—
(a) may make such enquiries as the Officer thinks fit,
(b)
must give the union an opportunity to make written
representations, and
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 48
(c)
may give the union an opportunity to make oral
representations.
(3)
If the Certification Officer makes a declaration it must specify the
provisions with which the union has failed to comply.
(4) 5Where 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) that the union has agreed to take such steps,
10the 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
an enforcement order unless the Officer considers that to do so would
15be inappropriate.
(7)
An “enforcement order” is an order imposing on the union one or both
of the following requirements—
(a)
to take such steps to remedy the declared failure, within such
period, as may be specified in the order;
(b)
20to abstain from such acts as may be so specified with a view to
securing that a failure of the same or a similar kind does not
occur in future.
(8)
Where, having given the union an opportunity to make written
representations under subsection (2)(b), the Certification Officer
25determines 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
section, the Officer must specify the date by which that information is
30to 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
would be inappropriate to do so.
(11)
35A 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 in the same way as an order of the court.
(13)
Where an enforcement order has been made, a person who is a member
40of 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.
(1)
Where the Certification Officer is satisfied that a trade union or any
45other person has failed to comply with any requirement imposed
under—
Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration BillPage 49
(a)
section 24ZH (power of Certification Officer to require
production of documents etc), or
(b) section 24ZI (investigations by inspectors),
the Officer may make an order requiring the trade union or person to
5comply 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 under
section 24ZH or 24ZI to produce a document, the Certification Officer
10may 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 comply
with the requirement.
(4)
In the case of a failure to comply with any other requirement imposed
15under section 24ZH or 24ZI, 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 requirement.
(5) The order must specify—
(a)
the requirement with which the trade union or person has failed
20to comply, and
(b) the date by which the trade union or person must comply.
(6)
An order made by the Certification Officer under this section may be
enforced in the same way as an order of the court.”
(3)
In section 24(6) (remedies for failure to comply with that section), after “court)”
25insert “; see also the powers of the Certification Officer under section 24B to
make a declaration and an enforcement order”.
(4)
In section 25 (remedy for failure: application to the Certification Officer), after
subsection (6) insert—
“(6A)
For the purposes of subsection (6) the circumstances in which it is not
30reasonably practicable to determine an application within that time
frame may include, in particular, where delay is caused by the exercise
of the powers under section 24ZH or 24ZI (powers to require
production of documents etc and to appoint inspectors).”
(5)
In section 26 (remedy for failure: application to the court), after subsection (8)
35insert—
“(9)
Where a person applies under this section in relation to an alleged
failure and the Certification Officer has made a declaration regarding
that failure under section 24B, the court must have due regard to the
declaration and any order, observations or reasons made or given by
40the Officer under that section regarding that failure and brought to the
court’s notice.”
(6) In section 45D (appeals from Certification Officer), after “section” insert “24B, 24C,”.
(7) In section 256(1) (procedure before the Certification Officer)—
(a) omit the “or” at the end of paragraph (a), and