Employment Relations Act 1999

1999 c.26

An Act to amend the law relating to employment, to trade unions and to employment agencies and businesses.

Enacted[27th July 1999]

Be it enacted by the Queen’s most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:—

Trade unions¶

1 Collective bargaining: recognition.¶

1 The ^M1Trade Union and Labour Relations (Consolidation) Act 1992 shall be amended as follows.

2 After Chapter V of Part I (rights of trade union members) there shall be inserted—

3 Immediately before Schedule 1 there shall be inserted the Schedule set out in Schedule 1 to this Act.

2 Detriment related to trade union membership.¶

Schedule 2 shall have effect.

3 Blacklists.¶

1 The Secretary of State may make regulations prohibiting the compilation of lists which—

a contain details of members of trade unions or persons who have taken part in the activities of trade unions, and

b are compiled with a view to being used ^F69... for the purposes of discrimination in relation to recruitment or in relation to the treatment of workers.

2 The Secretary of State may make regulations prohibiting—

a the use of lists to which subsection (1) applies;

b the sale or supply of lists to which subsection (1) applies.

2A The Secretary of State may make regulations prohibiting—

a the use of lists which contain details of members of trade unions, or persons who have taken part in the activities of trade unions, for the purposes of discrimination in relation to recruitment or in relation to the treatment of workers;

b the sale or supply of such lists with a view to being used for those purposes.

3 Regulations under this section may, in particular—

za make provision for a person who causes another person to do something to be treated as doing that thing;

a confer jurisdiction (including exclusive jurisdiction) on employment tribunals and on the Employment Appeal Tribunal;

b include provision for or about the grant and enforcement of specified remedies by courts and tribunals;

c include provision for the making of awards of compensation calculated in accordance with the regulations;

d include provision permitting proceedings to be brought by trade unions on behalf of members in specified circumstances;

e include provision about cases where an employee is dismissed by his employer and the reason or principal reason for the dismissal, or why the employee was selected for dismissal, relates to a list to which subsection (1) or (2A) applies;

f create criminal offences;

g in specified cases or circumstances, extend liability for a criminal offence created under paragraph (f) to a person who aids the commission of the offence or to a person who is an agent, principal, employee, employer or officer of a person who commits the offence;

h provide for specified obligations or offences not to apply in specified circumstances;

i include supplemental, incidental, consequential and transitional provision, including provision amending an enactment;

j make different provision for different cases or circumstances.

4 Regulations under this section creating an offence may not provide for it to be punishable—

a by imprisonment,

b by a fine in excess of level 5 on the standard scale in the case of an offence triable only summarily, or

c by a fine in excess of the statutory maximum in the case of summary conviction for an offence triable either way.

5 In this section—

“list” includes any index or other set of items whether recorded electronically or by any other means, and
“worker” has the meaning given by section 13.

6 Subject to subsection (5), expressions used in this section and in the ^M2Trade Union and Labour Relations (Consolidation) Act 1992 have the same meaning in this section as in that Act.

4 Ballots and notices.¶

Schedule 3 shall have effect.

5 Training.¶

In Chapter VA of Part I of the Trade Union and Labour Relations (Consolidation) Act 1992 (collective bargaining: recognition) as inserted by section 1 above, there shall be inserted after section 70A—

70B Training.

1 This section applies where—

a a trade union is recognised, in accordance with Schedule A1, as entitled to conduct collective bargaining on behalf of a bargaining unit (within the meaning of Part I of that Schedule), and

b a method for the conduct of collective bargaining is specified by the Central Arbitration Committee under paragraph 31(3) of that Schedule (and is not the subject of an agreement under paragraph 31(5)(a) or (b)).

2 The employer must from time to time invite the trade union to send representatives to a meeting for the purpose of—

a consulting about the employer’s policy on training for workers within the bargaining unit,

b consulting about his plans for training for those workers during the period of six months starting with the day of the meeting, and

c reporting about training provided for those workers since the previous meeting.

3 The date set for a meeting under subsection (2) must not be later than—

a in the case of a first meeting, the end of the period of six months starting with the day on which this section first applies in relation to a bargaining unit, and

b in the case of each subsequent meeting, the end of the period of six months starting with the day of the previous meeting.

4 The employer shall, before the period of two weeks ending with the date of a meeting, provide to the trade union any information—

a without which the union’s representatives would be to a material extent impeded in participating in the meeting, and

b which it would be in accordance with good industrial relations practice to disclose for the purposes of the meeting.

5 Section 182(1) shall apply in relation to the provision of information under subsection (4) as it applies in relation to the disclosure of information under section 181.

6 The employer shall take account of any written representations about matters raised at a meeting which he receives from the trade union within the period of four weeks starting with the date of the meeting.

7 Where more than one trade union is recognised as entitled to conduct collective bargaining on behalf of a bargaining unit, a reference in this section to “the trade union” is a reference to each trade union.

8 Where at a meeting under this section (Meeting 1) an employer indicates his intention to convene a subsequent meeting (Meeting 2) before the expiry of the period of six months beginning with the date of Meeting 1, for the reference to a period of six months in subsection (2)(b) there shall be substituted a reference to the expected period between Meeting 1 and Meeting 2.

9 The Secretary of State may by order made by statutory instrument amend any of subsections (2) to (6).

10 No order shall be made under subsection (9) unless a draft has been laid before, and approved by resolution of, each House of Parliament.

70C Section 70B: complaint to employment tribunal.

1 A trade union may present a complaint to an employment tribunal that an employer has failed to comply with his obligations under section 70B in relation to a bargaining unit.

2 An employment tribunal shall not consider a complaint under this section unless it is presented—

a before the end of the period of three months beginning with the date of the alleged failure, or

b within such further period as the tribunal considers reasonable in a case where it is satisfied that it was not reasonably practicable for the complaint to be presented before the end of that period of three months.

3 Where an employment tribunal finds a complaint under this section well-founded it—

a shall make a declaration to that effect, and

b may make an award of compensation to be paid by the employer to each person who was, at the time when the failure occurred, a member of the bargaining unit.

4 The amount of the award shall not, in relation to each person, exceed two weeks’ pay.

5 For the purpose of subsection (4) a week’s pay—

a shall be calculated in accordance with Chapter II of Part XIV of the ^M3Employment Rights Act 1996 (taking the date of the employer’s failure as the calculation date), and

b shall be subject to the limit in section 227(1) of that Act.

6 Proceedings for enforcement of an award of compensation under this section—

a may, in relation to each person to whom compensation is payable, be commenced by that person, and

b may not be commenced by a trade union.

6 Unfair dismissal connected with recognition: interim relief.¶

In sections 128(1)(b) and 129(1) of the ^M4Employment Rights Act 1996 (interim relief) after “103” there shall be inserted “ or in paragraph 161(2) of Schedule A1 to the ^M5Trade Union and Labour Relations (Consolidation) Act 1992 ”.

Leave for family and domestic reasons¶

7 Maternity and parental leave.¶

The provisions set out in Part I of Schedule 4 shall be substituted for Part VIII of the Employment Rights Act 1996.

8 Time off for domestic incidents.¶

The provisions set out in Part II of Schedule 4 shall be inserted after section 57 of that Act.

9 Consequential amendments.¶

Part III of Schedule 4 (which makes amendments consequential on sections 7 and 8) shall have effect.

Disciplinary and grievance hearings¶

^C110 Right to be accompanied.¶

1 This section applies where a worker—

a is required or invited by his employer to attend a disciplinary or grievance hearing, and

b reasonably requests to be accompanied at the hearing.

2A Where this section applies, the employer must permit the worker to be accompanied at the hearing by one companion who—

a is chosen by the worker; and

b is within subsection (3).

2B The employer must permit the worker’s companion to—

a address the hearing in order to do any or all of the following—

i put the worker’s case;

ii sum up that case;

iii respond on the worker’s behalf to any view expressed at the hearing;

b confer with the worker during the hearing.

2C Subsection (2B) does not require the employer to permit the worker’s companion to—

a answer questions on behalf of the worker;

b address the hearing if the worker indicates at it that he does not wish his companion to do so; or

c use the powers conferred by that subsection in a way that prevents the employer from explaining his case or prevents any other person at the hearing from making his contribution to it.

3 A person is within this subsection if he is—

a employed by a trade union of which he is an official within the meaning of sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992,

b an official of a trade union (within that meaning) whom the union has reasonably certified in writing as having experience of, or as having received training in, acting as a worker’s companion at disciplinary or grievance hearings, or

c another of the employer’s workers.

4 If—

a a worker has a right under this section to be accompanied at a hearing,

b his chosen companion will not be available at the time proposed for the hearing by the employer, and

c the worker proposes an alternative time which satisfies subsection (5),

the employer must postpone the hearing to the time proposed by the worker.

5 An alternative time must—

a be reasonable, and

b fall before the end of the period of five working days beginning with the first working day after the day proposed by the employer.

6 An employer shall permit a worker to take time off during working hours for the purpose of accompanying another of the employer’s workers in accordance with a request under subsection (1)(b).

7 Sections 168(3) , (4) and (5), 169 and 171 to 173 of the ^M6Trade Union and Labour Relations (Consolidation) Act 1992 (time off for carrying out trade union duties) shall apply in relation to subsection (6) above as they apply in relation to section 168(1) of that Act.

11 Complaint to employment tribunal.¶

1 A worker may present a complaint to an employment tribunal that his employer has failed, or threatened to fail, to comply with section 10(2A), (2B) or (4).

2 A tribunal shall not consider a complaint under this section in relation to a failure or threat unless the complaint is presented—

a before the end of the period of three months beginning with the date of the failure or threat, or

2A Section 207B (extension of time limits to facilitate conciliation before institution of proceedings) of the Employment Rights Act 1996 applies for the purposes of subsection (2)(a).

2B Subsections (2) and (2A) are to be treated as provisions of the Employment Rights Act 1996 for the purposes of section 207B of that Act.

3 Where a tribunal finds that a complaint under this section is well-founded it shall order the employer to pay compensation to the worker of an amount not exceeding two weeks’ pay.

4 Chapter II of Part XIV of the ^M7Employment Rights Act 1996 (calculation of a week’s pay) shall apply for the purposes of subsection (3); and in applying that Chapter the calculation date shall be taken to be—

a in the case of a claim which is made in the course of a claim for unfair dismissal, the date on which the employer’s notice of dismissal was given or, if there was no notice, the effective date of termination, and

b in any other case, the date on which the relevant hearing took place (or was to have taken place).

5 The limit in section 227(1) of the Employment Rights Act 1996 (maximum amount of week’s pay) shall apply for the purposes of subsection (3) above.

^F516 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12 Detriment and dismissal.¶

1 A worker has the right not to be subjected to any detriment by any act, or any deliberate failure to act, by his employer done on the ground that he—

a exercised or sought to exercise the right under section 10(2A), (2B) or (4), or

b accompanied or sought to accompany another worker (whether of the same employer or not) pursuant to a request under that section.

2 Section 48 of the ^M8Employment Rights Act 1996 shall apply in relation to contraventions of subsection (1) above as it applies in relation to contraventions of certain sections of that Act.

3 A worker who is dismissed shall be regarded for the purposes of Part X of the Employment Rights Act 1996 as unfairly dismissed if the reason (or, if more than one, the principal reason) for the dismissal is that he—

a exercised or sought to exercise the right under section 10(2A), (2B) or (4), or

b accompanied or sought to accompany another worker (whether of the same employer or not) pursuant to a request under that section.

4 Sections 108 and 109 of that Act (qualifying period of employment and upper age limit) shall not apply in relation to subsection (3) above.

5 Sections 128 to 132 of that Act (interim relief) shall apply in relation to dismissal for the reason specified in subsection (3)(a) or (b) above as they apply in relation to dismissal for a reason specified in section 128(1)(b) of that Act.

6 In the application of Chapter II of Part X of that Act in relation to subsection (3) above, a reference to an employee shall be taken as a reference to a worker.

7 References in this section to a worker having accompanied or sought to accompany another worker include references to his having exercised or sought to exercise any of the powers conferred by section 10(2A) or (2B).

^I113 Interpretation.¶

1 In sections 10 to 12 and this section “worker” means an individual who is—

a a worker within the meaning of section 230(3) of the Employment Rights Act 1996,

b an agency worker,

c a home worker,

d a person in Crown employment within the meaning of section 191 of that Act, other than a member of the naval, military, air or reserve forces of the Crown, or

e employed as a relevant member of the House of Lords staff or the House of Commons staff within the meaning of section 194(6) or 195(5) of that Act.

2 In subsection (1) “agency worker” means an individual who—

a is supplied by a person (“the agent”) to do work for another (“the principal”) by arrangement between the agent and the principal,

b is not a party to a worker’s contract, within the meaning of section 230(3) of that Act, relating to that work, and

c is not a party to a contract relating to that work under which he undertakes to do the work for another party to the contract whose status is, by virtue of the contract, that of a client or customer of any professional or business undertaking carried on by the individual;

and, for the purposes of sections 10 to 12, both the agent and the principal are employers of an agency worker.

3 In subsection (1) “home worker” means an individual who—

a contracts with a person, for the purposes of the person’s business, for the execution of work to be done in a place not under the person’s control or management, and

b is not a party to a contract relating to that work under which the work is to be executed for another party to the contract whose status is, by virtue of the contract, that of a client or customer of any professional or business undertaking carried on by the individual;

and, for the purposes of sections 10 to 12, the person mentioned in paragraph (a) is the home worker’s employer.

^C34 For the purposes of section 10 a disciplinary hearing is a hearing which could result in—

a the administration of a formal warning to a worker by his employer,

b the taking of some other action in respect of a worker by his employer, or

c the confirmation of a warning issued or some other action taken.

^C35 For the purposes of section 10 a grievance hearing is a hearing which concerns the performance of a duty by an employer in relation to a worker.

6 For the purposes of section 10(5)(b) in its application to a part of Great Britain a working day is a day other than—

a a Saturday or a Sunday,

b Christmas Day or Good Friday, or

c a day which is a bank holiday under the ^M9Banking and Financial Dealings Act 1971 in that part of Great Britain.

14 Contracting out and conciliation.¶

Sections 10 to 13 of this Act shall be treated as provisions of Part V of the ^M10Employment Rights Act 1996 for the purposes of—

a section 203(1), (2)(e) and (f), (3) and (4) of that Act (restrictions on contracting out), and

b section 18(1)(b) of the ^M11Employment Tribunals Act 1996 (conciliation).

15 National security employees.¶

Sections 10 to 13 of this Act shall not apply in relation to a person employed for the purposes of—

a the Security Service,

b the Secret Intelligence Service, or

c the Government Communications Headquarters.

Other rights of individuals¶

16 Unfair dismissal of striking workers.¶

Schedule 5 shall have effect.

^F1517 ¶

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^I218 Agreement to exclude dismissal rights.¶

1 In section 197 of the ^M12Employment Rights Act 1996 (fixed-term contracts) subsections (1) and (2) (agreement to exclude unfair dismissal provisions) shall be omitted; and subsections (2) to (5) below shall have effect in consequence.

2 In sections 44(4), 46(2), 47(2), 47A(2) and 47B(2) of that Act—

a the words from the beginning to “the dismissal,” shall be omitted, and

b for “that Part” there shall be substituted “ Part X ”.

3 In section 45A(4) of that Act the words from “, unless” to the end shall be omitted.

4 In section 23 of the ^M13National Minimum Wage Act 1998, for subsection (4) there shall be substituted—

^F365 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19 Part-time work: discrimination.¶

1 The Secretary of State shall make regulations for the purpose of securing that persons in part-time employment are treated, for such purposes and to such extent as the regulations may specify, no less favourably than persons in full-time employment.

2 The regulations may—

a specify classes of person who are to be taken to be, or not to be, in part-time employment;

b specify classes of person who are to be taken to be, or not to be, in full-time employment;

c specify circumstances in which persons in part-time employment are to be taken to be, or not to be, treated less favourably than persons in full-time employment;

d make provision which has effect in relation to persons in part-time employment generally or provision which has effect only in relation to specified classes of persons in part-time employment.

3 The regulations may—

a confer jurisdiction (including exclusive jurisdiction) on employment tribunals and on the Employment Appeal Tribunal;

b create criminal offences in relation to specified acts or omissions by an employer, by an organisation of employers, by an organisation of workers or by an organisation existing for the purposes of a profession or trade carried on by the organisation’s members;

c in specified cases or circumstances, extend liability for a criminal offence created under paragraph (b) to a person who aids the commission of the offence or to a person who is an agent, principal, employee, employer or officer of a person who commits the offence;

d provide for specified obligations or offences not to apply in specified circumstances;

e make provision about notices or information to be given, evidence to be produced and other procedures to be followed;

f amend, apply with or without modifications, or make provision similar to any provision of the ^M14Employment Rights Act 1996 (including, in particular, Parts V, X and XIII) or the ^M15Trade Union and Labour Relations (Consolidation) Act 1992;

g provide for the provisions of specified agreements to have effect in place of provisions of the regulations to such extent and in such circumstances as may be specified;

h include supplemental, incidental, consequential and transitional provision, including provision amending an enactment;

i make different provision for different cases or circumstances.

^F144 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5 Regulations under this section which create an offence—

a shall provide for it to be triable summarily only, and

b may not provide for it to be punishable by imprisonment or by a fine in excess of level 5 on the standard scale.

20 Part-time work: code of practice.¶

1 The Secretary of State may issue codes of practice containing guidance for the purpose of—

a eliminating discrimination in the field of employment against part-time workers;

b facilitating the development of opportunities for part-time work;

c facilitating the flexible organisation of working time taking into account the needs of workers and employers;

d any matter dealt with in the framework agreement on part-time work annexed to Council Directive 97/81/EC.

2 The Secretary of State may revise a code and issue the whole or part of the revised code.

3 A person’s failure to observe a provision of a code does not make him liable to any proceedings.

4 A code—

a is admissible in evidence in proceedings before an employment tribunal, and

b shall be taken into account by an employment tribunal in any case in which it appears to the tribunal to be relevant.

21 Code of practice: supplemental.¶

1 Before issuing or revising a code of practice under section 20 the Secretary of State shall consult such persons as he considers appropriate.

2 Before issuing a code the Secretary of State shall—

a publish a draft code,

b consider any representations made to him about the draft,

c if he thinks it appropriate, modify the draft in the light of any representations made to him.

3 If, having followed the procedure under subsection (2), the Secretary of State decides to issue a code, he shall lay a draft code before each House of Parliament.

4 If the draft code is approved by resolution of each House of Parliament, the Secretary of State shall issue the code in the form of the draft.

5 In this section and section 20(3) and (4)—

a a reference to a code includes a reference to a revised code,

b a reference to a draft code includes a reference to a draft revision, and

c a reference to issuing a code includes a reference to issuing part of a revised code.

22 National minimum wage: communities.¶

The following shall be inserted after section 44 of the ^M16National Minimum Wage Act 1998 (exclusions: voluntary workers)—

44A Religious and other communities: resident workers.

1 A residential member of a community to which this section applies does not qualify for the national minimum wage in respect of employment by the community.

2 Subject to subsection (3), this section applies to a community if—

a it is a charity or is established by a charity,

b a purpose of the community is to practise or advance a belief of a religious or similar nature, and

c all or some of its members live together for that purpose.

3 This section does not apply to a community which—

a is an independent school, or

b provides a course of further or higher education.

4 The residential members of a community are those who live together as mentioned in subsection (2)(c).

5 In this section—

a “charity” has the same meaning as in section 44, and

b “independent school” has the same meaning as in section 463 of the ^M17Education Act 1996 (in England and Wales), section 135 of the ^M18Education (Scotland) Act 1980 (in Scotland) and Article 2 of the ^M19Education and Libraries (Northern Ireland) Order 1986 (in Northern Ireland).

6 In this section “course of further or higher education” means—

a in England and Wales, a course of a description referred to in Schedule 6 to the ^M20Education Reform Act 1988 or Schedule 2 to the ^M21Further and Higher Education Act 1992;

b in Scotland, a course or programme of a description mentioned in or falling within section 6(1) or 38 of the ^M22Further and Higher Education (Scotland) Act 1992;

c in Northern Ireland, a course of a description referred to in Schedule 1 to the ^M23Further Education (Northern Ireland) Order 1997 or a course providing further education within the meaning of Article 3 of that Order.

23 Power to confer rights on individuals.¶

1 This section applies to any right conferred on an individual against an employer (however defined) under or by virtue of any of the following—

a the ^M24Trade Union and Labour Relations (Consolidation) Act 1992;

b the ^M25Employment Rights Act 1996;

ba the Employment Act 2002;

c this Act;

d any instrument made under section 2(2) of the ^M26European Communities Act 1972.

2 The Secretary of State may by order make provision which has the effect of conferring any such right on individuals who are of a specified description.

3 The reference in subsection (2) to individuals includes a reference to individuals expressly excluded from exercising the right.

4 An order under this section may—

a provide that individuals are to be treated as parties to workers’ contracts or contracts of employment;

b make provision as to who are to be regarded as the employers of individuals;

c make provision which has the effect of modifying the operation of any right as conferred on individuals by the order;

d include such consequential, incidental or supplementary provisions as the Secretary of State thinks fit.

5 An order under this section may make provision in such way as the Secretary of State thinks fit^F37...^F64...

5A The ways in which an order under this section may make provision include, in particular—

a amending any enactment;

b excluding or applying (whether with or without amendment) any enactment.

5B In subsection (5A) “enactment” includes an enactment comprised in subordinate legislation made under an Act.

6 Section 209(7) of the ^M27Employment Rights Act 1996 (which is superseded by this section) shall be omitted.

7 Any order made or having effect as if made under section 209(7), so far as effective immediately before the commencement of this section, shall have effect as if made under this section.

CAC, ACAS, Commissioners and Certification Officer¶

24 CAC: members.¶

In section 260 of the ^M28Trade Union and Labour Relations (Consolidation) Act 1992 (members of the Committee) these subsections shall be substituted for subsections (1) to (3)—

25 CAC: proceedings.¶

1 The Trade Union and Labour Relations (Consolidation) Act 1992 shall be amended as follows.

2 In section 263 (proceedings of the Committee) this subsection shall be inserted after subsection (6)—

3 This section shall be inserted after section 263—

263A Proceedings of the Committee under Schedule A1.

1 For the purpose of discharging its functions under Schedule A1 in any particular case, the Central Arbitration Committee shall consist of a panel established under this section.

2 The chairman of the Committee shall establish a panel or panels, and a panel shall consist of these three persons appointed by him—

a the chairman or a deputy chairman of the Committee, who shall be chairman of the panel;

b a member of the Committee whose experience is as a representative of employers;

c a member of the Committee whose experience is as a representative of workers.

3 The chairman of the Committee shall decide which panel is to deal with a particular case.

4 A panel may at the discretion of its chairman sit in private where it appears expedient to do so.

5 If—

a a panel cannot reach a unanimous decision on a question arising before it, and

b a majority of the panel have the same opinion,

the question shall be decided according to that opinion.

6 If—

a a panel cannot reach a unanimous decision on a question arising before it, and

b a majority of the panel do not have the same opinion,

the chairman of the panel shall decide the question acting with the full powers of an umpire or, in Scotland, an oversman.

7 Subject to the above provisions, a panel shall determine its own procedure.

4 In section 264 (awards of the Committee)—

a in subsection (1) after “award” there shall be inserted “ , or in any decision or declaration of the Committee under Schedule A1, ”;

b in subsection (2) after “of the Committee,” there shall be inserted “ or of a decision or declaration of the Committee under Schedule A1, ”.

26 ACAS: general duty.¶

In section 209 of the ^M29Trade Union and Labour Relations (Consolidation) Act 1992 (ACAS’ general duty) the words from “, in particular” to the end shall be omitted.

27 ACAS: reports.¶

1 In section 253(1) of the Trade Union and Labour Relations (Consolidation) Act 1992 (ACAS: annual report) for “calendar year” there shall be substituted “ financial year ”.

2 In section 265(1) of that Act (ACAS: report about CAC) for “calendar year” there shall be substituted “ financial year ”.

28 Abolition of Commissioners.¶

^F91 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F552 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3 In section 32A of that Act (statement to members of union following annual return) in the third paragraph of subsection (6)(a) (application for assistance from Commissioner for the Rights of Trade Union Members) for the words from “may” to “case,” there shall be substituted “ should ”.

29 The Certification Officer.¶

Schedule 6 shall have effect.

Miscellaneous¶

30 Partnerships at work.¶

1 The Secretary of State may spend money or provide money to other persons for the purpose of encouraging and helping employers (or their representatives) and employees (or their representatives) to improve the way they work together.

2 Money may be provided in such way as the Secretary of State thinks fit (whether as grants or otherwise) and on such terms as he thinks fit (whether as to repayment or otherwise).

31 Employment agencies.¶

Schedule 7 shall have effect.

32 Employment rights: employment outside Great Britain.¶

1 In section 285(1) of the Trade Union and Labour Relations (Consolidation) Act 1992 (employment outside Great Britain) for “Chapter II (procedure for handling redundancies)” there shall be substituted “ sections 193 and 194 (duty to notify Secretary of State of certain redundancies) ”.

2 After section 287(3) of that Act (offshore employment) there shall be inserted—

3 Section 196 of the ^M30Employment Rights Act 1996 (employment outside Great Britain) shall cease to have effect; and in section 5(1) for “sections 196 and” there shall be substituted “ section ”.

4 After section 199(6) of that Act (mariners) there shall be inserted—

33 Unfair dismissal: special and additional awards.¶

^F311 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 In section 117(3)(b) of the Employment Rights Act 1996 (amount of additional award) for “the appropriate amount” there shall be substituted “ an amount not less than twenty-six nor more than fifty-two weeks’ pay ”; ^F62...

3 In section 14 of the ^M31Employment Rights (Dispute Resolution) Act 1998—

^F22a . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b in subsection (2) for “that Act” substitute “ the Employment Rights Act 1996 ”.

^I3^C434 Indexation of amounts, &c.¶

1 This section applies to the sums specified in the following provisions—

za section 27M(1) of the Employment Rights Act 1996 (complaints about tips etc: compensation);

zb section 27O(2) of that Act (complaints about information: compensation);

a section 31(1) of that Act (guarantee payments: limits);

b section 120(1) of that Act (unfair dismissal: minimum amount of basic award);

c section 124(1) of that Act (unfair dismissal: limit of compensatory award);

d section 186(1)(a) and (b) of that Act (employee’s rights on insolvency of employer: maximum amount payable);

e section 227(1) of that Act (maximum amount of a week’s pay for purposes of certain calculations);

ea section 145E(3) of the Trade Union and Labour Relations (Consolidation) Act 1992 (unlawful inducements: amount of award);

f section 156(1) of that Act (unfair dismissal: minimum basic award);

g section 176(6A) of that Act (right to membership of trade union: remedies).

2 If the retail prices index for September of a year is higher or lower than the index for the previous September, the Secretary of State shall ^F57... make an order in relation to each sum mentioned in subsection (1)—

a increasing each sum, if the new index is higher, or

b decreasing each sum, if the new index is lower,

by the same percentage as the amount of the increase or decrease of the index , with effect from the following 6th April .

3 In making the calculation required by subsection (2) the Secretary of State shall round the result to the nearest whole pound, taking 50p as nearest to the next whole pound above

4 For the sum specified in section 124(1) of the ^M32Employment Rights Act 1996 (unfair dismissal: limit of compensatory award) there shall be substituted the sum of £50,000 (subject to subsection (2) above).

4A A reference in this section to a sum specified in section 124(1) of the Employment Rights Act 1996 does not include anything specified by virtue of section 15(2)(b)(ii) of the Enterprise and Regulatory Reform Act 2013 (specified number multiplied by a week's pay of the individual concerned).

4B As regards a sum specified in section 124(1) of the Employment Rights Act 1996, the duty under subsection (2) to make an order with effect from 6 April in a particular year does not arise where an order varying such a sum with effect from a day within 12 months before that date has been made under section 15(1) of the Enterprise and Regulatory Reform Act 2013.

5 In this section “the retail prices index” means—

a the general index of retail prices (for all items) published by the Statistics Board, or

b where that index is not published for a month, any substituted index or figures published by the Board.

6 An order under this section—

a shall be made by statutory instrument,

b may include transitional provision, and

c shall be laid before Parliament after being made.

35 Guarantee payments.¶

For section 31(7) of the Employment Rights Act 1996 (guarantee payments: limits) there shall be substituted—

^I436 Sections 33 to 35: consequential.¶

1 The following provisions (which confer power to increase sums) shall cease to have effect—

a sections 120(2), 124(2), 186(2) and 227(2) to (4) of the Employment Rights Act 1996;

b sections 159 and 176(7) and (8) of the ^M33Trade Union and Labour Relations (Consolidation) Act 1992.

2 Section 208 of the Employment Rights Act 1996 (review of limits) shall cease to have effect.

3 An increase effected, before section 34 comes into force, by virtue of a provision repealed by this section shall continue to have effect notwithstanding this section (but subject to section 34(2) and (4)).

37 Compensatory award etc: removal of limit in certain cases.¶

1 After section 124(1) of the Employment Rights Act 1996 (limit of compensatory award etc) there shall be inserted—

^F272 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38 Transfer of undertakings.¶

1 The Secretary of State may by regulations make TUPE-like provision in relation to the treatment of employees in circumstances other than those to which the main part of the TUPE regulations applies.

2 In this section—

a the “main part of the TUPE regulations” means so much of the Transfer of Undertakings (Protection of Employment) Regulations 2006 (S.I. 2006/246) as relates to the treatment of employees on the transfer of an undertaking, business or part of an undertaking or business;

b “TUPE-like provision” means provision which is the same or similar to that made by the main part of the TUPE regulations.

2A The circumstances mentioned in subsection (1) include circumstances in which there is no transfer, or no transfer to which the main part of the TUPE regulations applies.

3 Regulations under this section shall be subject to annulment in pursuance of a resolution of either House of Parliament.

^C239 Minimum wage: information.¶

1 Information obtained by a revenue official in the course of carrying out a function of the Commissioners of Inland Revenue may be—

a supplied by the Commissioners of Inland Revenue to the Secretary of State for any purpose relating to the ^M34National Minimum Wage Act 1998;

b supplied by the Secretary of State with the authority of the Commissioners of Inland Revenue to any person acting under section 13(1)(b) of that Act;

c supplied by the Secretary of State with the authority of the Commissioners of Inland Revenue to an officer acting for the purposes of any of the agricultural wages legislation.

2 In this section—

“revenue official” means an officer of the Commissioners of Inland Revenue appointed under section 4 of the ^M35Inland Revenue Regulation Act 1890 (appointment of collectors, officers and other persons), and
“the agricultural wages legislation” has the same meaning as in section 16 of the National Minimum Wage Act 1998 (agricultural wages officers).

^F5040 Dismissal of school staff.¶

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

41 National security.¶

Schedule 8 shall have effect.

General¶

42 Orders and regulations.¶

1 Any power to make an order or regulations under this Act shall be exercised by statutory instrument.

2 No order or regulations shall be made under section 3, 17, 19 or 23 unless a draft has been laid before, and approved by resolution of, each House of Parliament.

43 Finance.¶

There shall be paid out of money provided by Parliament—

a any increase attributable to this Act in the sums so payable under any other enactment;

b any other expenditure of the Secretary of State under this Act.

44 Repeals.¶

The provisions mentioned in Schedule 9 are repealed (or revoked) to the extent specified in column 3.

^P145 Commencement.¶

1 The preceding provisions of this Act shall come into force in accordance with provision made by the Secretary of State by order made by statutory instrument.

2 An order under this section—

a may make different provision for different purposes;

b may include supplementary, incidental, saving or transitional provisions.

46 Extent.¶

1 Any amendment or repeal in this Act has the same extent as the provision amended or repealed.

2 An Order in Council under paragraph 1(1)(b) of Schedule 1 to the ^M36Northern Ireland Act 1974 (legislation for Northern Ireland in the interim period) which contains a statement that it is made only for purposes corresponding to any of the purposes of this Act—

a shall not be subject to paragraph 1(4) and (5) of that Schedule (affirmative resolution of both Houses of Parliament), but

b shall be subject to annulment in pursuance of a resolution of either House of Parliament.

3 Apart from sections 39 and 45 and subject to subsection (1), the preceding sections of this Act shall not extend to Northern Ireland.

47 Citation.¶

This Act may be cited as the Employment Relations Act 1999.

SCHEDULES

SCHEDULE 1 ¶

Collective Bargaining: Recognition

Section 1.

The Schedule to be inserted immediately before Schedule 1 to the ^M37Trade Union and Labour Relations (Consolidation) Act 1992 is as follows—

SCHEDULE A1

Collective Bargaining: Recognition

Part I Recognition

Introduction

1A trade union (or trade unions) seeking recognition to be entitled to conduct collective bargaining on behalf of a group or groups of workers may make a request in accordance with this Part of this Schedule.

1 This paragraph applies for the purposes of this Part of this Schedule.

2 References to the bargaining unit are to the group of workers concerned (or the groups taken together).

3 References to the proposed bargaining unit are to the bargaining unit proposed in the request for recognition.

4 References to the employer are to the employer of the workers constituting the bargaining unit concerned.

5 References to the parties are to the union (or unions) and the employer.

1 This paragraph applies for the purposes of this Part of this Schedule.

2 The meaning of collective bargaining given by section 178(1) shall not apply.

3 References to collective bargaining are to negotiations relating to pay, hours and holidays; but this has effect subject to sub-paragraph (4).

4 If the parties agree matters as the subject of collective bargaining, references to collective bargaining are to negotiations relating to the agreed matters; and this is the case whether the agreement is made before or after the time when the CAC issues a declaration, or the parties agree, that the union is (or unions are) entitled to conduct collective bargaining on behalf of a bargaining unit.

5 Sub-paragraph (4) does not apply in construing paragraph 31(3).

6 Sub-paragraphs (2) to (5) do not apply in construing paragraph 35 or 44.

Request for recognition

1 The union or unions seeking recognition must make a request for recognition to the employer.

2 Paragraphs 5 to 9 apply to the request.

5The request is not valid unless it is received by the employer.

6The request is not valid unless the union (or each of the unions) has a certificate under section 6 that it is independent.

1 The request is not valid unless the employer, taken with any associated employer or employers, employs—

a at least 21 workers on the day the employer receives the request, or

b an average of at least 21 workers in the 13 weeks ending with that day.

2 To find the average under sub-paragraph (1)(b)—

a take the number of workers employed in each of the 13 weeks (including workers not employed for the whole of the week);

b aggregate the 13 numbers;

c divide the aggregate by 13.

3 For the purposes of sub-paragraph (1)(a) any worker employed by an associated company incorporated outside Great Britain must be ignored unless the day the request was made fell within a period during which he ordinarily worked in Great Britain.

4 For the purposes of sub-paragraph (1)(b) any worker employed by an associated company incorporated outside Great Britain must be ignored in relation to a week unless the whole or any part of that week fell within a period during which he ordinarily worked in Great Britain.

5 For the purposes of sub-paragraphs (3) and (4) a worker who is employed on board a ship registered in the register maintained under section 8 of the Merchant Shipping Act 1995 shall be treated as ordinarily working in Great Britain unless—

a the ship’s entry in the register specifies a port outside Great Britain as the port to which the vessel is to be treated as belonging,

b the employment is wholly outside Great Britain, or

c the worker is not ordinarily resident in Great Britain.

6 The Secretary of State may by order—

a provide that sub-paragraphs (1) to (5) are not to apply, or are not to apply in specified circumstances, or

b vary the number of workers for the time being specified in sub-paragraph (1);

and different provision may be made for different circumstances.

7 An order under sub-paragraph (6)—

a shall be made by statutory instrument, and

b may include supplementary, incidental, saving or transitional provisions.

8 No such order shall be made unless a draft of it has been laid before Parliament and approved by a resolution of each House of Parliament.

8The request is not valid unless it—

a is in writing,

b identifies the union or unions and the bargaining unit, and

c states that it is made under this Schedule.

9The Secretary of State may by order made by statutory instrument prescribe the form of requests and the procedure for making them; and if he does so the request is not valid unless it complies with the order.

Parties agree

1 If before the end of the first period the parties agree a bargaining unit and that the union is (or unions are) to be recognised as entitled to conduct collective bargaining on behalf of the unit, no further steps are to be taken under this Part of this Schedule.

2 If before the end of the first period the employer informs the union (or unions) that the employer does not accept the request but is willing to negotiate, sub-paragraph (3) applies.

3 The parties may conduct negotiations with a view to agreeing a bargaining unit and that the union is (or unions are) to be recognised as entitled to conduct collective bargaining on behalf of the unit.

4 If such an agreement is made before the end of the second period no further steps are to be taken under this Part of this Schedule.

5 The employer and the union (or unions) may request ACAS to assist in conducting the negotiations.

6 The first period is the period of 10 working days starting with the day after that on which the employer receives the request for recognition.

7 The second period is—

a the period of 20 working days starting with the day after that on which the first period ends, or

b such longer period (so starting) as the parties may from time to time agree.

Employer rejects request

1 This paragraph applies if—

a before the end of the first period the employer fails to respond to the request, or

b before the end of the first period the employer informs the union (or unions) that the employer does not accept the request (without indicating a willingness to negotiate).

2 The union (or unions) may apply to the CAC to decide both these questions—

a whether the proposed bargaining unit is appropriate or some other bargaining unit is appropriate;

b whether the union has (or unions have) the support of a majority of the workers constituting the appropriate bargaining unit.

Negotiations fail

1 Sub-paragraph (2) applies if—

a the employer informs the union (or unions) under paragraph 10(2), and

b no agreement is made before the end of the second period.

2 The union (or unions) may apply to the CAC to decide both these questions—

a whether the proposed bargaining unit is appropriate or some other bargaining unit is appropriate;

b whether the union has (or unions have) the support of a majority of the workers constituting the appropriate bargaining unit.

3 Sub-paragraph (4) applies if—

a the employer informs the union (or unions) under paragraph 10(2), and

b before the end of the second period the parties agree a bargaining unit but not that the union is (or unions are) to be recognised as entitled to conduct collective bargaining on behalf of the unit.

4 The union (or unions) may apply to the CAC to decide the question whether the union has (or unions have) the support of a majority of the workers constituting the bargaining unit.

5 But no application may be made under this paragraph if within the period of 10 working days starting with the day after that on which the employer informs the union (or unions) under paragraph 10(2) the employer proposes that ACAS be requested to assist in conducting the negotiations and—

a the union rejects (or unions reject) the proposal, or

b the union fails (or unions fail) to accept the proposal within the period of 10 working days starting with the day after that on which the employer makes the proposal.

Acceptance of applications

13The CAC must give notice to the parties of receipt of an application under paragraph 11 or 12.

1 This paragraph applies if—

a two or more relevant applications are made,

b at least one worker falling within one of the relevant bargaining units also falls within the other relevant bargaining unit (or units), and

c the CAC has not accepted any of the applications.

2 A relevant application is an application under paragraph 11 or 12.

3 In relation to a relevant application, the relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

4 Within the acceptance period the CAC must decide, with regard to each relevant application, whether the 10 per cent test is satisfied.

5 The 10 per cent test is satisfied if members of the union (or unions) constitute at least 10 per cent of the workers constituting the relevant bargaining unit.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the last relevant application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

7 If the CAC decides that—

a the 10 per cent test is satisfied with regard to more than one of the relevant applications, or

b the 10 per cent test is satisfied with regard to none of the relevant applications,

the CAC must not accept any of the relevant applications.

8 If the CAC decides that the 10 per cent test is satisfied with regard to one only of the relevant applications the CAC—

a must proceed under paragraph 15 with regard to that application, and

b must not accept any of the other relevant applications.

9 The CAC must give notice of its decision to the parties.

10 If by virtue of this paragraph the CAC does not accept an application, no further steps are to be taken under this Part of this Schedule in relation to that application.

1 This paragraph applies to these applications—

a any application with regard to which no decision has to be made under paragraph 14;

b any application with regard to which the CAC must proceed under this paragraph by virtue of paragraph 14.

2 Within the acceptance period the CAC must decide whether—

a the request for recognition to which the application relates is valid within the terms of paragraphs 5 to 9, and

b the application is made in accordance with paragraph 11 or 12 and admissible within the terms of paragraphs 33 to 42.

3 In deciding those questions the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the request is not valid or the application is not made in accordance with paragraph 11 or 12 or is not admissible—

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the request is valid and the application is made in accordance with paragraph 11 or 12 and is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

Withdrawal of application

1 If an application under paragraph 11 or 12 is accepted by the CAC, the union (or unions) may not withdraw the application—

a after the CAC issues a declaration under paragraph 22(2), or

b after the union (or the last of the unions) receives notice under paragraph 22(3) or 23(2).

2 If an application is withdrawn by the union (or unions)—

a the CAC must give notice of the withdrawal to the employer, and

b no further steps are to be taken under this Part of this Schedule.

Notice to cease consideration of application

1 This paragraph applies if the CAC has received an application under paragraph 11 or 12 and—

a it has not decided whether the application is admissible, or

b it has decided that the application is admissible.

2 No further steps are to be taken under this Part of this Schedule if, before the final event occurs, the parties give notice to the CAC that they want no further steps to be taken.

3 The final event occurs when the first of the following occurs—

a the CAC issues a declaration under paragraph 22(2) in consequence of the application;

b the last day of the notification period ends;

and the notification period is that defined by paragraph 24(5) and arising from the application.

Appropriate bargaining unit

1 If the CAC accepts an application under paragraph 11(2) or 12(2) it must try to help the parties to reach within the appropriate period an agreement as to what the appropriate bargaining unit is.

2 The appropriate period is—

a the period of 20 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 This paragraph applies if—

a the CAC accepts an application under paragraph 11(2) or 12(2), and

b the parties have not agreed an appropriate bargaining unit at the end of the appropriate period.

2 The CAC must decide the appropriate bargaining unit within—

a the period of 10 working days starting with the day after that on which the appropriate period ends, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

3 In deciding the appropriate bargaining unit the CAC must take these matters into account—

a the need for the unit to be compatible with effective management;

b the matters listed in sub-paragraph (4), so far as they do not conflict with that need.

4 The matters are—

a the views of the employer and of the union (or unions);

b existing national and local bargaining arrangements;

c the desirability of avoiding small fragmented bargaining units within an undertaking;

d the characteristics of workers falling within the proposed bargaining unit and of any other employees of the employer whom the CAC considers relevant;

e the location of workers.

5 The CAC must give notice of its decision to the parties.

Union recognition

1 This paragraph applies if—

a the CAC accepts an application under paragraph 11(2) or 12(2),

b the parties have agreed an appropriate bargaining unit at the end of the appropriate period, or the CAC has decided an appropriate bargaining unit, and

c that bargaining unit differs from the proposed bargaining unit.

2 Within the decision period the CAC must decide whether the application is invalid within the terms of paragraphs 43 to 50.

3 In deciding whether the application is invalid, the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the application is invalid—

a the CAC must give notice of its decision to the parties,

b the CAC must not proceed with the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the application is not invalid it must—

a proceed with the application, and

b give notice to the parties that it is so proceeding.

6 The decision period is—

a the period of 10 working days starting with the day after that on which the parties agree an appropriate bargaining unit or the CAC decides an appropriate bargaining unit, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 This paragraph applies if—

a the CAC accepts an application under paragraph 11(2) or 12(2),

b the parties have agreed an appropriate bargaining unit at the end of the appropriate period, or the CAC has decided an appropriate bargaining unit, and

c that bargaining unit is the same as the proposed bargaining unit.

2 This paragraph also applies if the CAC accepts an application under paragraph 12(4).

3 The CAC must proceed with the application.

1 This paragraph applies if—

a the CAC proceeds with an application in accordance with paragraph 20 or 21, and

b the CAC is satisfied that a majority of the workers constituting the bargaining unit are members of the union (or unions).

2 The CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the workers constituting the bargaining unit.

3 But if any of the three qualifying conditions is fulfilled, instead of issuing a declaration under sub-paragraph (2) the CAC must give notice to the parties that it intends to arrange for the holding of a secret ballot in which the workers constituting the bargaining unit are asked whether they want the union (or unions) to conduct collective bargaining on their behalf.

4 These are the three qualifying conditions—

a the CAC is satisfied that a ballot should be held in the interests of good industrial relations;

b a significant number of the union members within the bargaining unit inform the CAC that they do not want the union (or unions) to conduct collective bargaining on their behalf;

c membership evidence is produced which leads the CAC to conclude that there are doubts whether a significant number of the union members within the bargaining unit want the union (or unions) to conduct collective bargaining on their behalf.

5 For the purposes of sub-paragraph (4)(c) membership evidence is—

a evidence about the circumstances in which union members became members;

b evidence about the length of time for which union members have been members, in a case where the CAC is satisfied that such evidence should be taken into account.

1 This paragraph applies if—

a the CAC proceeds with an application in accordance with paragraph 20 or 21, and

b the CAC is not satisfied that a majority of the workers constituting the bargaining unit are members of the union (or unions).

2 The CAC must give notice to the parties that it intends to arrange for the holding of a secret ballot in which the workers constituting the bargaining unit are asked whether they want the union (or unions) to conduct collective bargaining on their behalf.

1 This paragraph applies if the CAC gives notice under paragraph 22(3) or 23(2).

2 Within the notification period—

a the union (or unions), or

b the union (or unions) and the employer,

may notify the CAC that the party making the notification does not (or the parties making the notification do not) want the CAC to arrange for the holding of the ballot.

3 If the CAC is so notified—

a it must not arrange for the holding of the ballot,

b it must inform the parties that it will not arrange for the holding of the ballot, and why, and

c no further steps are to be taken under this Part of this Schedule.

4 If the CAC is not so notified it must arrange for the holding of the ballot.

5 The notification period is the period of 10 working days starting—

a for the purposes of sub-paragraph (2)(a), with the day on which the union (or last of the unions) receives the CAC’s notice under paragraph 22(3) or 23(2), or

b for the purposes of sub-paragraph (2)(b), with that day or (if later) the day on which the employer receives the CAC’s notice under paragraph 22(3) or 23(2).

1 This paragraph applies if the CAC arranges under paragraph 24 for the holding of a ballot.

2 The ballot must be conducted by a qualified independent person appointed by the CAC.

3 The ballot must be conducted within—

a the period of 20 working days starting with the day after that on which the qualified independent person is appointed, or

b such longer period (so starting) as the CAC may decide.

4 The ballot must be conducted—

a at a workplace or workplaces decided by the CAC,

b by post, or

c by a combination of the methods described in sub-paragraphs (a) and (b),

depending on the CAC’s preference.

5 In deciding how the ballot is to be conducted the CAC must take into account—

a the likelihood of the ballot being affected by unfairness or malpractice if it were conducted at a workplace or workplaces;

b costs and practicality;

c such other matters as the CAC considers appropriate.

6 The CAC may not decide that the ballot is to be conducted as mentioned in sub-paragraph (4)(c) unless there are special factors making such a decision appropriate; and special factors include—

a factors arising from the location of workers or the nature of their employment;

b factors put to the CAC by the employer or the union (or unions).

7 A person is a qualified independent person if—

a he satisfies such conditions as may be specified for the purposes of this paragraph by order of the Secretary of State or is himself so specified, and

b there are no grounds for believing either that he will carry out any functions conferred on him in relation to the ballot otherwise than competently or that his independence in relation to the ballot might reasonably be called into question.

8 An order under sub-paragraph (7)(a) shall be made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.

9 As soon as is reasonably practicable after the CAC is required under paragraph 24 to arrange for the holding of a ballot it must inform the parties—

a that it is so required;

b of the name of the person appointed to conduct the ballot and the date of his appointment;

c of the period within which the ballot must be conducted;

d whether the ballot is to be conducted by post or at a workplace or workplaces;

e of the workplace or workplaces concerned (if the ballot is to be conducted at a workplace or workplaces).

1 An employer who is informed by the CAC under paragraph 25(9) must comply with the following three duties.

2 The first duty is to co-operate generally, in connection with the ballot, with the union (or unions) and the person appointed to conduct the ballot; and the second and third duties are not to prejudice the generality of this.

3 The second duty is to give to the union (or unions) such access to the workers constituting the bargaining unit as is reasonable to enable the union (or unions) to inform the workers of the object of the ballot and to seek their support and their opinions on the issues involved.

4 The third duty is to do the following (so far as it is reasonable to expect the employer to do so)—

a to give to the CAC, within the period of 10 working days starting with the day after that on which the employer is informed under paragraph 25(9), the names and home addresses of the workers constituting the bargaining unit;

b to give to the CAC, as soon as is reasonably practicable, the name and home address of any worker who joins the unit after the employer has complied with paragraph (a);

c to inform the CAC, as soon as is reasonably practicable, of any worker whose name has been given to the CAC under paragraph (a) or (b) but who ceases to be within the unit.

5 As soon as is reasonably practicable after the CAC receives any information under sub-paragraph (4) it must pass it on to the person appointed to conduct the ballot.

6 If asked to do so by the union (or unions) the person appointed to conduct the ballot must send to any worker—

a whose name and home address have been given under sub-paragraph (5), and

b who is still within the unit (so far as the person so appointed is aware),

any information supplied by the union (or unions) to the person so appointed.

7 The duty under sub-paragraph (6) does not apply unless the union bears (or unions bear) the cost of sending the information.

8 Each of the following powers shall be taken to include power to issue Codes of Practice about reasonable access for the purposes of sub-paragraph (3)—

a the power of ACAS under section 199(1);

b the power of the Secretary of State under section 203(1)(a).

1 If the CAC is satisfied that the employer has failed to fulfil any of the three duties imposed by paragraph 26, and the ballot has not been held, the CAC may order the employer—

a to take such steps to remedy the failure as the CAC considers reasonable and specifies in the order, and

b to do so within such period as the CAC considers reasonable and specifies in the order.

2 If the CAC is satisfied that the employer has failed to comply with an order under sub-paragraph (1), and the ballot has not been held, the CAC may issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the bargaining unit.

3 If the CAC issues a declaration under sub-paragraph (2) it shall take steps to cancel the holding of the ballot; and if the ballot is held it shall have no effect.

1 This paragraph applies if the holding of a ballot has been arranged under paragraph 24 whether or not it has been cancelled.

2 The gross costs of the ballot shall be borne—

a as to half, by the employer, and

b as to half, by the union (or unions).

3 If there is more than one union they shall bear their half of the gross costs—

a in such proportions as they jointly indicate to the person appointed to conduct the ballot, or

b in the absence of such an indication, in equal shares.

4 The person appointed to conduct the ballot may send to the employer and the union (or each of the unions) a demand stating—

a the gross costs of the ballot, and

b the amount of the gross costs to be borne by the recipient.

5 In such a case the recipient must pay the amount stated to the person sending the demand, and must do so within the period of 15 working days starting with the day after that on which the demand is received.

6 In England and Wales, if the amount stated is not paid in accordance with sub-paragraph (5) it shall, if a county court so orders, be recoverable by execution issued from that court or otherwise as if it were payable under an order of that court.

7 References to the costs of the ballot are to—

a the costs wholly, exclusively and necessarily incurred in connection with the ballot by the person appointed to conduct it,

b such reasonable amount as the person appointed to conduct the ballot charges for his services, and

c such other costs as the employer and the union (or unions) agree.

1 As soon as is reasonably practicable after the CAC is informed of the result of a ballot by the person conducting it, the CAC must act under this paragraph.

2 The CAC must inform the employer and the union (or unions) of the result of the ballot.

3 If the result is that the union is (or unions are) supported by—

a a majority of the workers voting, and

b at least 40 per cent of the workers constituting the bargaining unit,

the CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the bargaining unit.

4 If the result is otherwise the CAC must issue a declaration that the union is (or unions are) not entitled to be so recognised.

5 The Secretary of State may by order amend sub-paragraph (3) so as to specify a different degree of support; and different provision may be made for different circumstances.

6 An order under sub-paragraph (5) shall be made by statutory instrument.

7 No such order shall be made unless a draft of it has been laid before Parliament and approved by a resolution of each House of Parliament.

Consequences of recognition

1 This paragraph applies if the CAC issues a declaration under this Part of this Schedule that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a bargaining unit.

2 The parties may in the negotiation period conduct negotiations with a view to agreeing a method by which they will conduct collective bargaining.

3 If no agreement is made in the negotiation period the employer or the union (or unions) may apply to the CAC for assistance.

4 The negotiation period is—

a the period of 30 working days starting with the start day, or

b such longer period (so starting) as the parties may from time to time agree.

5 The start day is the day after that on which the parties are notified of the declaration.

1 This paragraph applies if an application for assistance is made to the CAC under paragraph 30.

2 The CAC must try to help the parties to reach in the agreement period an agreement on a method by which they will conduct collective bargaining.

3 If at the end of the agreement period the parties have not made such an agreement the CAC must specify to the parties the method by which they are to conduct collective bargaining.

4 Any method specified under sub-paragraph (3) is to have effect as if it were contained in a legally enforceable contract made by the parties.

5 But if the parties agree in writing—

a that sub-paragraph (4) shall not apply, or shall not apply to particular parts of the method specified by the CAC, or

b to vary or replace the method specified by the CAC,

the written agreement shall have effect as a legally enforceable contract made by the parties.

6 Specific performance shall be the only remedy available for breach of anything which is a legally enforceable contract by virtue of this paragraph.

7 If at any time before a specification is made under sub-paragraph (3) the parties jointly apply to the CAC requesting it to stop taking steps under this paragraph, the CAC must comply with the request.

8 The agreement period is—

a the period of 20 working days starting with the day after that on which the CAC receives the application under paragraph 30, or

b such longer period (so starting) as the CAC may decide with the consent of the parties.

Method not carried out

1 This paragraph applies if—

a the CAC issues a declaration under this Part of this Schedule that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a bargaining unit,

b the parties agree a method by which they will conduct collective bargaining, and

c one or more of the parties fails to carry out the agreement.

2 The parties may apply to the CAC for assistance.

3 Paragraph 31 applies as if “paragraph 30” (in each place) read “paragraph 30 or paragraph 32”.

General provisions about admissibility

33An application under paragraph 11 or 12 is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

34An application under paragraph 11 or 12 is not admissible unless the union gives (or unions give) to the employer—

a notice of the application, and

b a copy of the application and any documents supporting it.

1 An application under paragraph 11 or 12 is not admissible if the CAC is satisfied that there is already in force a collective agreement under which a union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of any workers falling within the relevant bargaining unit.

2 But sub-paragraph (1) does not apply to an application under paragraph 11 or 12 if—

a the union (or unions) recognised under the collective agreement and the union (or unions) making the application under paragraph 11 or 12 are the same, and

b the matters in respect of which the union is (or unions are) entitled to conduct collective bargaining do not include pay, hours or holidays.

3 A declaration of recognition which is the subject of a declaration under paragraph 83(2) must for the purposes of sub-paragraph (1) be treated as ceasing to have effect to the extent specified in paragraph 83(2) on the making of the declaration under paragraph 83(2).

4 In applying sub-paragraph (1) an agreement for recognition (the agreement in question) must be ignored if—

a the union does not have (or none of the unions has) a certificate under section 6 that it is independent,

b at some time there was an agreement (the old agreement) between the employer and the union under which the union (whether alone or with other unions) was recognised as entitled to conduct collective bargaining on behalf of a group of workers which was the same or substantially the same as the group covered by the agreement in question, and

c the old agreement ceased to have effect in the period of three years ending with the date of the agreement in question.

5 It is for the CAC to decide whether one group of workers is the same or substantially the same as another, but in deciding the CAC may take account of the views of any person it believes has an interest in the matter.

6 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

1 An application under paragraph 11 or 12 is not admissible unless the CAC decides that—

a members of the union (or unions) constitute at least 10 per cent of the workers constituting the relevant bargaining unit, and

b a majority of the workers constituting the relevant bargaining unit would be likely to favour recognition of the union (or unions) as entitled to conduct collective bargaining on behalf of the bargaining unit.

2 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

3 The CAC must give reasons for the decision.

1 This paragraph applies to an application made by more than one union under paragraph 11 or 12.

2 The application is not admissible unless—

a the unions show that they will co-operate with each other in a manner likely to secure and maintain stable and effective collective bargaining arrangements, and

b the unions show that, if the employer wishes, they will enter into arrangements under which collective bargaining is conducted by the unions acting together on behalf of the workers constituting the relevant bargaining unit.

3 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 11(4).

1 This paragraph applies if—

a the CAC accepts a relevant application relating to a bargaining unit or proceeds under paragraph 20 with an application relating to a bargaining unit,

b the application has not been withdrawn,

c no notice has been given under paragraph 17(2),

d the CAC has not issued a declaration under paragraph 22(2), 27(2), 29(3) or 29(4) in relation to that bargaining unit, and

e no notification has been made under paragraph 24(2).

2 Another relevant application is not admissible if—

a at least one worker falling within the relevant bargaining unit also falls within the bargaining unit referred to in sub-paragraph (1), and

b the application is made by a union (or unions) other than the union (or unions) which made the application referred to in sub-paragraph (1).

3 A relevant application is an application under paragraph 11 or 12.

4 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

1 This paragraph applies if the CAC accepts a relevant application relating to a bargaining unit or proceeds under paragraph 20 with an application relating to a bargaining unit.

2 Another relevant application is not admissible if—

a the application is made within the period of 3 years starting with the day after that on which the CAC gave notice of acceptance of the application mentioned in sub-paragraph (1),

b the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and

c the application is made by the union (or unions) which made the application mentioned in sub-paragraph (1).

3 A relevant application is an application under paragraph 11 or 12.

4 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

5 This paragraph does not apply if paragraph 40 or 41 applies.

1 This paragraph applies if the CAC issues a declaration under paragraph 29(4) that a union is (or unions are) not entitled to be recognised as entitled to conduct collective bargaining on behalf of a bargaining unit; and this is so whether the ballot concerned is held under this Part or Part III of this Schedule.

2 An application under paragraph 11 or 12 is not admissible if—

a the application is made within the period of 3 years starting with the day after that on which the declaration was issued,

b the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and

c the application is made by the union (or unions) which made the application leading to the declaration.

3 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

1 This paragraph applies if the CAC issues a declaration under paragraph 121(3) that bargaining arrangements are to cease to have effect; and this is so whether the ballot concerned is held under Part IV or Part V of this Schedule.

2 An application under paragraph 11 or 12 is not admissible if—

a the application is made within the period of 3 years starting with the day after that on which the declaration was issued,

b the relevant bargaining unit is the same or substantially the same as the bargaining unit to which the bargaining arrangements mentioned in sub-paragraph (1) relate, and

c the application is made by the union which was a party (or unions which were parties) to the proceedings leading to the declaration.

3 The relevant bargaining unit is—

a the proposed bargaining unit, where the application is under paragraph 11(2) or 12(2);

b the agreed bargaining unit, where the application is under paragraph 12(4).

1 This paragraph applies for the purposes of paragraphs 39 to 41.

2 It is for the CAC to decide whether one bargaining unit is the same or substantially the same as another, but in deciding the CAC may take account of the views of any person it believes has an interest in the matter.

General provisions about validity

1 Paragraphs 44 to 50 apply if the CAC has to decide under paragraph 20 whether an application is valid.

2 In those paragraphs—

a references to the application in question are to that application, and

b references to the relevant bargaining unit are to the bargaining unit agreed by the parties or decided by the CAC.

1 The application in question is invalid if the CAC is satisfied that there is already in force a collective agreement under which a union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of any workers falling within the relevant bargaining unit.

2 But sub-paragraph (1) does not apply to the application in question if—

a the union (or unions) recognised under the collective agreement and the union (or unions) making the application in question are the same, and

b the matters in respect of which the union is (or unions are) entitled to conduct collective bargaining do not include pay, hours or holidays.

4 In applying sub-paragraph (1) an agreement for recognition (the agreement in question) must be ignored if—

a the union does not have (or none of the unions has) a certificate under section 6 that it is independent,

c the old agreement ceased to have effect in the period of three years ending with the date of the agreement in question.

5 It is for the CAC to decide whether one group of workers is the same or substantially the same an another, but in deciding the CAC may take account of the views of any person it believes has an interest in the matter.

45The application in question is invalid unless the CAC decides that—

a members of the union (or unions) constitute at least 10 per cent of the workers constituting the relevant bargaining unit, and

1 This paragraph applies if—

a the CAC accepts an application under paragraph 11 or 12 relating to a bargaining unit or proceeds under paragraph 20 with an application relating to a bargaining unit,

b the application has not been withdrawn,

c no notice has been given under paragraph 17(2),

d the CAC has not issued a declaration under paragraph 22(2), 27(2), 29(3) or 29(4) in relation to that bargaining unit, and

e no notification has been made under paragraph 24(2).

2 The application in question is invalid if—

a at least one worker falling within the relevant bargaining unit also falls within the bargaining unit referred to in sub-paragraph (1), and

b the application in question is made by a union (or unions) other than the union (or unions) which made the application referred to in sub-paragraph (1).

1 This paragraph applies if the CAC accepts an application under paragraph 11 or 12 relating to a bargaining unit or proceeds under paragraph 20 with an application relating to a bargaining unit.

2 The application in question is invalid if—

a the application is made within the period of 3 years starting with the day after that on which the CAC gave notice of acceptance of the application mentioned in sub-paragraph (1),

b the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and

c the application is made by the union (or unions) which made the application mentioned in sub-paragraph (1).

3 This paragraph does not apply if paragraph 48 or 49 applies.

2 The application in question is invalid if—

a the application is made within the period of 3 years starting with the date of the declaration,

b the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and

c the application is made by the union (or unions) which made the application leading to the declaration.

2 The application in question is invalid if—

a the application is made within the period of 3 years starting with the day after that on which the declaration was issued,

b the relevant bargaining unit is the same or substantially the same as the bargaining unit to which the bargaining arrangements mentioned in sub-paragraph (1) relate, and

c the application is made by the union which was a party (or unions which were parties) to the proceedings leading to the declaration.

1 This paragraph applies for the purposes of paragraphs 47 to 49.

Competing applications

1 For the purposes of this paragraph—

a the original application is the application referred to in paragraph 38(1) or 46(1), and

b the competing application is the other application referred to in paragraph 38(2) or the application in question referred to in paragraph 46(2);

but an application cannot be an original application unless it was made under paragraph 11(2) or 12(2).

2 This paragraph applies if—

a the CAC decides that the competing application is not admissible by reason of paragraph 38 or is invalid by reason of paragraph 46,

b at the time the decision is made the parties to the original application have not agreed the appropriate bargaining unit under paragraph 18, and the CAC has not decided the appropriate bargaining unit under paragraph 19, in relation to the application, and

c the 10 per cent test (within the meaning given by paragraph 14) is satisfied with regard to the competing application.

3 In such a case—

a the CAC must cancel the original application,

b the CAC must give notice to the parties to the application that it has been cancelled,

c no further steps are to be taken under this Part of this Schedule in relation to the application, and

d the application shall be treated as if it had never been admissible.

Part II Voluntary Recognition

Agreements for recognition

1 This paragraph applies for the purposes of this Part of this Schedule.

2 An agreement is an agreement for recognition if the following conditions are fulfilled in relation to it—

a the agreement is made in the permitted period between a union (or unions) and an employer in consequence of a request made under paragraph 4 and valid within the terms of paragraphs 5 to 9;

b under the agreement the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a group or groups of workers employed by the employer;

c if sub-paragraph (5) applies to the agreement, it is satisfied.

3 The permitted period is the period which begins with the day on which the employer receives the request and ends when the first of the following occurs—

a the union withdraws (or unions withdraw) the request;

b the union withdraws (or unions withdraw) any application under paragraph 11 or 12 made in consequence of the request;

c the CAC gives notice of a decision under paragraph 14(7) which precludes it from accepting such an application under paragraph 11 or 12;

d the CAC gives notice under paragraph 15(4)(a) or 20(4)(a) in relation to such an application under paragraph 11 or 12;

e the parties give notice to the CAC under paragraph 17(2) in relation to such an application under paragraph 11 or 12;

f the CAC issues a declaration under paragraph 22(2) in consequence of such an application under paragraph 11 or 12;

g the CAC is notified under paragraph 24(2) in relation to such an application under paragraph 11 or 12;

h the last day of the notification period ends (the notification period being that defined by paragraph 24(5) and arising from such an application under paragraph 11 or 12);

i the CAC is required under paragraph 51(3) to cancel such an application under paragraph 11 or 12.

4 Sub-paragraph (5) applies to an agreement if—

a at the time it is made the CAC has received an application under paragraph 11 or 12 in consequence of the request mentioned in sub-paragraph (2), and

b the CAC has not decided whether the application is admissible or it has decided that it is admissible.

5 This sub-paragraph is satisfied if, in relation to the application under paragraph 11 or 12, the parties give notice to the CAC under paragraph 17 before the final event (as defined in paragraph 17) occurs.

Other interpretation

1 This paragraph applies for the purposes of this Part of this Schedule.

2 In relation to an agreement for recognition, references to the bargaining unit are to the group of workers (or the groups taken together) to which the agreement for recognition relates.

3 In relation to an agreement for recognition, references to the parties are to the union (or unions) and the employer who are parties to the agreement.

1 This paragraph applies for the purposes of this Part of this Schedule.

2 The meaning of collective bargaining given by section 178(1) shall not apply.

3 Except in paragraph 63(2), in relation to an agreement for recognition references to collective bargaining are to negotiations relating to the matters in respect of which the union is (or unions are) recognised as entitled to conduct negotiations under the agreement for recognition.

4 In paragraph 63(2) the reference to collective bargaining is to negotiations relating to pay, hours and holidays.

Determination of type of agreement

1 This paragraph applies if one or more of the parties to an agreement applies to the CAC for a decision whether or not the agreement is an agreement for recognition.

2 The CAC must give notice of receipt of an application under sub-paragraph (1) to any parties to the agreement who are not parties to the application.

3 The CAC must within the decision period decide whether the agreement is an agreement for recognition.

4 If the CAC decides that the agreement is an agreement for recognition it must issue a declaration to that effect.

5 If the CAC decides that the agreement is not an agreement for recognition it must issue a declaration to that effect.

6 The decision period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application under sub-paragraph (1), or

b such longer period (so starting) as the CAC may specify to the parties to the agreement by notice containing reasons for the extension.

Termination of agreement for recognition

1 The employer may not terminate an agreement for recognition before the relevant period ends.

2 After that period ends the employer may terminate the agreement, with or without the consent of the union (or unions).

3 The union (or unions) may terminate an agreement for recognition at any time, with or without the consent of the employer.

4 Sub-paragraphs (1) to (3) have effect subject to the terms of the agreement or any other agreement of the parties.

5 The relevant period is the period of three years starting with the day after the date of the agreement.

1 If an agreement for recognition is terminated, as from the termination the agreement and any provisions relating to the collective bargaining method shall cease to have effect.

2 For this purpose provisions relating to the collective bargaining method are—

a any agreement between the parties as to the method by which collective bargaining is to be conducted with regard to the bargaining unit, or

b anything effective as, or as if contained in, a legally enforceable contract and relating to the method by which collective bargaining is to be conducted with regard to the bargaining unit.

Application to CAC to specify method

1 This paragraph applies if the parties make an agreement for recognition.

2 The parties may in the negotiation period conduct negotiations with a view to agreeing a method by which they will conduct collective bargaining.

3 If no agreement is made in the negotiation period the employer or the union (or unions) may apply to the CAC for assistance.

4 The negotiation period is—

a the period of 30 working days starting with the start day, or

b such longer period (so starting) as the parties may from time to time agree.

5 The start day is the day after that on which the agreement is made.

1 This paragraph applies if—

a the parties to an agreement for recognition agree a method by which they will conduct collective bargaining, and

b one or more of the parties fails to carry out the agreement as to a method.

2 The employer or the union (or unions) may apply to the CAC for assistance.

1 This paragraph applies if an application for assistance is made to the CAC under paragraph 58 or 59.

2 The application is not admissible unless the conditions in sub-paragraphs (3) and (4) are satisfied.

3 The condition is that the employer, taken with any associated employer or employers, must—

a employ at least 21 workers on the day the application is made, or

b employ an average of at least 21 workers in the 13 weeks ending with that day.

4 The condition is that the union (or every union) has a certificate under section 6 that it is independent.

5 To find the average under sub-paragraph (3)(b)—

a take the number of workers employed in each of the 13 weeks (including workers not employed for the whole of the week);

b aggregate the 13 numbers;

c divide the aggregate by 13.

6 For the purposes of sub-paragraph (3)(a) any worker employed by an associated company incorporated outside Great Britain must be ignored unless the day the application was made fell within a period during which he ordinarily worked in Great Britain.

7 For the purposes of sub-paragraph (3)(b) any worker employed by an associated company incorporated outside Great Britain must be ignored in relation to a week unless the whole or any part of that week fell within a period during which he ordinarily worked in Great Britain.

8 For the purposes of sub-paragraphs (6) and (7) a worker who is employed on board a ship registered in the register maintained under section 8 of the Merchant Shipping Act 1995 shall be treated as ordinarily working in Great Britain unless—

a the ship’s entry in the register specifies a port outside Great Britain as the port to which the vessel is to be treated as belonging,

b the employment is wholly outside Great Britain, or

c the worker is not ordinarily resident in Great Britain.

9 An order made under paragraph 7(6) may also—

a provide that sub-paragraphs (2), (3) and (5) to (8) of this paragraph are not to apply, or are not to apply in specified circumstances, or

b vary the number of workers for the time being specified in sub-paragraph (3).

1 An application to the CAC is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

2 An application which is made by a union (or unions) to the CAC is not admissible unless the union gives (or unions give) to the employer—

a notice of the application, and

b a copy of the application and any documents supporting it.

3 An application which is made by an employer to the CAC is not admissible unless the employer gives to the union (or each of the unions)—

a notice of the application, and

b a copy of the application and any documents supporting it.

CAC’s response to application

1 The CAC must give notice to the parties of receipt of an application under paragraph 58 or 59.

2 Within the acceptance period the CAC must decide whether the application is admissible within the terms of paragraphs 60 and 61.

3 In deciding whether an application is admissible the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the application is not admissible—

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the application is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 If the CAC accepts an application it must try to help the parties to reach in the agreement period an agreement on a method by which they will conduct collective bargaining.

2 If at the end of the agreement period the parties have not made such an agreement the CAC must specify to the parties the method by which they are to conduct collective bargaining.

3 Any method specified under sub-paragraph (2) is to have effect as if it were contained in a legally enforceable contract made by the parties.

4 But if the parties agree in writing—

a that sub-paragraph (3) shall not apply, or shall not apply to particular parts of the method specified by the CAC, or

b to vary or replace the method specified by the CAC,

the written agreement shall have effect as a legally enforceable contract made by the parties.

5 Specific performance shall be the only remedy available for breach of anything which is a legally enforceable contract by virtue of this paragraph.

6 If the CAC accepts an application, the applicant may not withdraw it after the end of the agreement period.

7 If at any time before a specification is made under sub-paragraph (2) the parties jointly apply to the CAC requesting it to stop taking steps under this paragraph, the CAC must comply with the request.

8 The agreement period is—

a the period of 20 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the parties may from time to time agree.

Part III Changes affecting bargaining unit

Introduction

1 This Part of this Schedule applies if—

a the CAC has issued a declaration that a union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a bargaining unit, and

b provisions relating to the collective bargaining method apply in relation to the unit.

2 In such a case, in this Part of this Schedule—

a references to the original unit are to the bargaining unit on whose behalf the union is (or unions are) recognised as entitled to conduct collective bargaining, and

b references to the bargaining arrangements are to the declaration and to the provisions relating to the collective bargaining method which apply in relation to the original unit.

3 For this purpose provisions relating to the collective bargaining method are—

a the parties’ agreement as to the method by which collective bargaining is to be conducted with regard to the original unit,

b anything effective as, or as if contained in, a legally enforceable contract and relating to the method by which collective bargaining is to be conducted with regard to the original unit, or

c any provision of this Part of this Schedule that a method of collective bargaining is to have effect with regard to the original unit.

65References in this Part of this Schedule to the parties are to the employer and the union (or unions) concerned.

Either party believes unit no longer appropriate

1 This paragraph applies if the employer believes or the union believes (or unions believe) that the original unit is no longer an appropriate bargaining unit.

2 The employer or union (or unions) may apply to the CAC to make a decision as to what is an appropriate bargaining unit.

1 An application under paragraph 66 is not admissible unless the CAC decides that it is likely that the original unit is no longer appropriate by reason of any of the matters specified in sub-paragraph (2).

2 The matters are—

a a change in the organisation or structure of the business carried on by the employer;

b a change in the activities pursued by the employer in the course of the business carried on by him;

c a substantial change in the number of workers employed in the original unit.

1 The CAC must give notice to the parties of receipt of an application under paragraph 66.

2 Within the acceptance period the CAC must decide whether the application is admissible within the terms of paragraphs 67 and 92.

3 In deciding whether the application is admissible the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the application is not admissible —

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the application is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 This paragraph applies if—

a the CAC gives notice of acceptance of the application, and

b before the end of the first period the parties agree a bargaining unit or units (the new unit or units) differing from the original unit and inform the CAC of their agreement.

2 If in the CAC’s opinion the new unit (or any of the new units) contains at least one worker falling within an outside bargaining unit no further steps are to be taken under this Part of this Schedule.

3 If sub-paragraph (2) does not apply—

a the CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the new unit or units;

b so far as it affects workers in the new unit (or units) who fall within the original unit, the declaration shall have effect in place of any declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the original unit;

c the method of collective bargaining relating to the original unit shall have effect in relation to the new unit or units, with any modifications which the CAC considers necessary to take account of the change of bargaining unit and specifies in the declaration.

4 The first period is—

a the period of 10 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the parties may from time to time agree and notify to the CAC.

5 An outside bargaining unit is a bargaining unit which fulfils these conditions—

a it is not the original unit;

b a union is (or unions are) recognised as entitled to conduct collective bargaining on its behalf;

c the union (or at least one of the unions) is not a party referred to in paragraph 64.

1 This paragraph applies if—

a the CAC gives notice of acceptance of the application, and

b the parties do not inform the CAC before the end of the first period that they have agreed a bargaining unit or units differing from the original unit.

2 During the second period—

a the CAC must decide whether or not the original unit continues to be an appropriate bargaining unit;

b if the CAC decides that the original unit does not so continue, it must decide what other bargaining unit is or units are appropriate;

c the CAC must give notice to the parties of its decision or decisions under paragraphs (a) and (b).

3 In deciding whether or not the original unit continues to be an appropriate bargaining unit the CAC must take into account only these matters—

a any change in the organisation or structure of the business carried on by the employer;

b any change in the activities pursued by the employer in the course of the business carried on by him;

c any substantial change in the number of workers employed in the original unit.

4 In deciding what other bargaining unit is or units are appropriate the CAC must take these matters into account—

a the need for the unit or units to be compatible with effective management;

b the matters listed in sub-paragraph (5), so far as they do not conflict with that need.

5 The matters are—

a the views of the employer and of the union (or unions);

b existing national and local bargaining arrangements;

c the desirability of avoiding small fragmented bargaining units within an undertaking;

d the characteristics of workers falling within the original unit and of any other employees of the employer whom the CAC considers relevant;

e the location of workers.

6 If the CAC decides that two or more bargaining units are appropriate its decision must be such that no worker falls within more than one of them.

7 The second period is—

a the period of 10 working days starting with the day after that on which the first period ends, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

71If the CAC gives notice under paragraph 70 of a decision that the original unit continues to be an appropriate bargaining unit no further steps are to be taken under this Part of this Schedule.

72Paragraph 82 applies if the CAC gives notice under paragraph 70 of—

a a decision that the original unit is no longer an appropriate bargaining unit, and

b a decision as to the bargaining unit which is (or units which are) appropriate.

1 This paragraph applies if—

a the parties agree under paragraph 69 a bargaining unit or units differing from the original unit,

b paragraph 69(2) does not apply, and

c at least one worker falling within the original unit does not fall within the new unit (or any of the new units).

2 In such a case—

a the CAC must issue a declaration that the bargaining arrangements, so far as relating to the worker or workers mentioned in sub-paragraph (1)(c), are to cease to have effect on a date specified by the CAC in the declaration, and

b the bargaining arrangements shall cease to have effect accordingly.

Employer believes unit has ceased to exist

1 If the employer—

a believes that the original unit has ceased to exist, and

b wishes the bargaining arrangements to cease to have effect,

he must give the union (or each of the unions) a notice complying with sub-paragraph (2) and must give a copy of the notice to the CAC.

2 A notice complies with this sub-paragraph if it—

a identifies the unit and the bargaining arrangements,

b states the date on which the notice is given,

c states that the unit has ceased to exist, and

d states that the bargaining arrangements are to cease to have effect on a date which is specified in the notice and which falls after the end of the period of 35 working days starting with the day after that on which the notice is given.

3 Within the validation period the CAC must decide whether the notice complies with sub-paragraph (2).

4 If the CAC decides that the notice does not comply with sub-paragraph (2)—

a the CAC must give the parties notice of its decision, and

b the employer’s notice shall be treated as not having been given.

5 If the CAC decides that the notice complies with sub-paragraph (2) it must give the parties notice of the decision.

6 The bargaining arrangements shall cease to have effect on the date specified under sub-paragraph (2)(d) if—

a the CAC gives notice under sub-paragraph (5), and

b the union does not (or unions do not) apply to the CAC under paragraph 75.

7 The validation period is—

a the period of 10 working days starting with the day after that on which the CAC receives the copy of the notice, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 Paragraph 76 applies if—

a the CAC gives notice under paragraph 74(5), and

b within the period of 10 working days starting with the day after that on which the notice is given the union makes (or unions make) an application to the CAC for a decision on the questions specified in sub-paragraph (2).

2 The questions are—

a whether the original unit has ceased to exist;

b whether the original unit is no longer appropriate by reason of any of the matters specified in sub-paragraph (3).

3 The matters are—

a a change in the organisation or structure of the business carried on by the employer;

b a change in the activities pursued by the employer in the course of the business carried on by him;

c a substantial change in the number of workers employed in the original unit.

1 The CAC must give notice to the parties of receipt of an application under paragraph 75.

2 Within the acceptance period the CAC must decide whether the application is admissible within the terms of paragraph 92.

3 In deciding whether the application is admissible the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the application is not admissible—

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the application is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

1 If the CAC accepts an application it—

a must give the employer and the union (or unions) an opportunity to put their views on the questions in relation to which the application was made;

b must decide the questions before the end of the decision period.

2 If the CAC decides that the original unit has ceased to exist—

a the CAC must give the parties notice of its decision, and

b the bargaining arrangements shall cease to have effect on the termination date.

3 If the CAC decides that the original unit has not ceased to exist, and that it is not the case that the original unit is no longer appropriate by reason of any of the matters specified in paragraph 75(3)—

a the CAC must give the parties notice of its decision, and

b the employer’s notice shall be treated as not having been given.

4 If the CAC decides that the original unit has not ceased to exist, and that the original unit is no longer appropriate by reason of any of the matters specified in paragraph 75(3), the CAC must give the parties notice of its decision.

5 The decision period is—

a the period of 10 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

6 The termination date is the later of—

a the date specified under paragraph 74(2)(d), and

b the day after the last day of the decision period.

1 This paragraph applies if—

a the CAC gives notice under paragraph 77(4), and

b before the end of the first period the parties agree a bargaining unit or units (the new unit or units) differing from the original unit and inform the CAC of their agreement.

3 If sub-paragraph (2) does not apply—

a the CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the new unit or units;

4 The first period is—

a the period of 10 working days starting with the day after that on which the CAC gives notice under paragraph 77(4), or

b such longer period (so starting) as the parties may from time to time agree and notify to the CAC.

5 An outside bargaining unit is a bargaining unit which fulfils these conditions—

a it is not the original unit;

b a union is (or unions are) recognised as entitled to conduct collective bargaining on its behalf;

c the union (or at least one of the unions) is not a party referred to in paragraph 64.

1 This paragraph applies if—

a the CAC gives notice under paragraph 77(4), and

b the parties do not inform the CAC before the end of the first period that they have agreed a bargaining unit or units differing from the original unit.

2 During the second period the CAC—

a must decide what other bargaining unit is or units are appropriate;

b must give notice of its decision to the parties.

3 In deciding what other bargaining unit is or units are appropriate, the CAC must take these matters into account—

a the need for the unit or units to be compatible with effective management;

b the matters listed in sub-paragraph (4), so far as they do not conflict with that need.

4 The matters are—

a the views of the employer and of the union (or unions);

b existing national and local bargaining arrangements;

c the desirability of avoiding small fragmented bargaining units within an undertaking;

d the characteristics of workers falling within the original unit and of any other employees of the employer whom the CAC considers relevant;

e the location of workers.

5 If the CAC decides that two or more bargaining units are appropriate its decision must be such that no worker falls within more than one of them.

6 The second period is—

a the period of 10 working days starting with the day after that on which the first period ends, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

80Paragraph 82 applies if the CAC gives notice under paragraph 79 of a decision as to the bargaining unit which is (or units which are) appropriate.

1 This paragraph applies if—

a the parties agree under paragraph 78 a bargaining unit or units differing from the original unit,

b paragraph 78(2) does not apply, and

c at least one worker falling within the original unit does not fall within the new unit (or any of the new units).

2 In such a case —

b the bargaining arrangements shall cease to have effect accordingly.

Position where CAC decides new unit

1 This paragraph applies if the CAC gives notice under paragraph 70 of—

a a decision that the original unit is no longer an appropriate bargaining unit, and

b a decision as to the bargaining unit which is (or units which are) appropriate.

2 This paragraph also applies if the CAC gives notice under paragraph 79 of a decision as to the bargaining unit which is (or units which are) appropriate.

3 The CAC—

a must proceed as stated in paragraphs 83 to 89 with regard to the appropriate unit (if there is one only), or

b must proceed as stated in paragraphs 83 to 89 with regard to each appropriate unit separately (if there are two or more).

4 References in those paragraphs to the new unit are to the appropriate unit under consideration.

1 This paragraph applies if in the CAC’s opinion the new unit contains at least one worker falling within a statutory outside bargaining unit.

2 In such a case—

a the CAC must issue a declaration that the relevant bargaining arrangements, so far as relating to workers falling within the new unit, are to cease to have effect on a date specified by the CAC in the declaration, and

b the relevant bargaining arrangements shall cease to have effect accordingly.

3 The relevant bargaining arrangements are—

a the bargaining arrangements relating to the original unit, and

b the bargaining arrangements relating to each statutory outside bargaining unit containing workers who fall within the new unit.

4 The bargaining arrangements relating to the original unit are the bargaining arrangements as defined in paragraph 64.

5 The bargaining arrangements relating to an outside unit are—

a the declaration recognising a union (or unions) as entitled to conduct collective bargaining on behalf of the workers constituting the outside unit, and

b the provisions relating to the collective bargaining method.

6 For this purpose the provisions relating to the collective bargaining method are—

a any agreement by the employer and the union (or unions) as to the method by which collective bargaining is to be conducted with regard to the outside unit,

b anything effective as, or as if contained in, a legally enforceable contract and relating to the method by which collective bargaining is to be conducted with regard to the outside unit, or

c any provision of this Part of this Schedule that a method of collective bargaining is to have effect with regard to the outside unit.

7 A statutory outside bargaining unit is a bargaining unit which fulfils these conditions—

a it is not the original unit;

b a union is (or unions are) recognised as entitled to conduct collective bargaining on its behalf by virtue of a declaration of the CAC;

c the union (or at least one of the unions) is not a party referred to in paragraph 64.

8 The date specified under sub-paragraph (1)(a) must be—

a the date on which the relevant period expires, or

b if the CAC believes that to maintain the relevant bargaining arrangements would be impracticable or contrary to the interests of good industrial relations, the date after the date on which the declaration is issued;

and the relevant period is the period of 65 working days starting with the day after that on which the declaration is issued.

1 This paragraph applies if in the CAC’s opinion the new unit contains—

a at least one worker falling within a voluntary outside bargaining unit, but

b no worker falling within a statutory outside bargaining unit.

2 In such a case—

a the CAC must issue a declaration that the original bargaining arrangements, so far as relating to workers falling within the new unit, are to cease to have effect on a date specified by the CAC in the declaration, and

b the original bargaining arrangements shall cease to have effect accordingly.

3 The original bargaining arrangements are the bargaining arrangements as defined in paragraph 64.

4 A voluntary outside bargaining unit is a bargaining unit which fulfils these conditions—

a it is not the original unit;

b a union is (or unions are) recognised as entitled to conduct collective bargaining on its behalf by virtue of an agreement with the employer;

c the union (or at least one of the unions) is not a party referred to in paragraph 64.

5 The date specified under sub-paragraph (2)(a) must be—

a the date on which the relevant period expires, or

b if the CAC believes that to maintain the original bargaining arrangements would be impracticable or contrary to the interests of good industrial relations, the date after the date on which the declaration is issued;

and the relevant period is the period of 65 working days starting with the day after that on which the declaration is issued.

1 If the CAC’s opinion is not that mentioned in paragraph 83(1) or 84(1) it must—

a decide whether the difference between the original unit and the new unit is such that the support of the union (or unions) within the new unit needs to be assessed, and

b inform the parties of its decision.

2 If the CAC’s decision is that such support does not need to be assessed—

a the CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the new unit;

b so far as it affects workers in the new unit who fall within the original unit, the declaration shall have effect in place of any declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the original unit;

c the method of collective bargaining relating to the original unit shall have effect in relation to the new unit, with any modifications which the CAC considers necessary to take account of the change of bargaining unit and specifies in the declaration.

1 This paragraph applies if the CAC decides under paragraph 85(1) that the support of the union (or unions) within the new unit needs to be assessed.

2 The CAC must decide these questions—

a whether members of the union (or unions) constitute at least 10 per cent of the workers constituting the new unit;

b whether a majority of the workers constituting the new unit would be likely to favour recognition of the union (or unions) as entitled to conduct collective bargaining on behalf of the new unit.

3 If the CAC decides one or both of the questions in the negative—

a the CAC must issue a declaration that the bargaining arrangements, so far as relating to workers falling within the new unit, are to cease to have effect on a date specified by the CAC in the declaration, and

b the bargaining arrangements shall cease to have effect accordingly.

1 This paragraph applies if—

a the CAC decides both the questions in paragraph 86(2) in the affirmative, and

b the CAC is satisfied that a majority of the workers constituting the new unit are members of the union (or unions).

2 The CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the workers constituting the new unit.

3 But if any of the three qualifying conditions is fulfilled, instead of issuing a declaration under sub-paragraph (2) the CAC must give notice to the parties that it intends to arrange for the holding of a secret ballot in which the workers constituting the new unit are asked whether they want the union (or unions) to conduct collective bargaining on their behalf.

4 These are the three qualifying conditions—

a the CAC is satisfied that a ballot should be held in the interests of good industrial relations;

b a significant number of the union members within the new unit inform the CAC that they do not want the union (or unions) to conduct collective bargaining on their behalf;

c membership evidence is produced which leads the CAC to conclude that there are doubts whether a significant number of the union members within the new unit want the union (or unions) to conduct collective bargaining on their behalf.

5 For the purposes of sub-paragraph (4)(c) membership evidence is—

a evidence about the circumstances in which union members became members;

b evidence about the length of time for which union members have been members, in a case where the CAC is satisfied that such evidence should be taken into account.

6 If the CAC issues a declaration under sub-paragraph (2)—

a so far as it affects workers in the new unit who fall within the original unit, the declaration shall have effect in place of any declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the original unit;

b the method of collective bargaining relating to the original unit shall have effect in relation to the new unit, with any modifications which the CAC considers necessary to take account of the change of bargaining unit and specifies in the declaration.

1 This paragraph applies if—

a the CAC decides both the questions in paragraph 86(2) in the affirmative, and

b the CAC is not satisfied that a majority of the workers constituting the new unit are members of the union (or unions).

2 The CAC must give notice to the parties that it intends to arrange for the holding of a secret ballot in which the workers constituting the new unit are asked whether they want the union (or unions) to conduct collective bargaining on their behalf.

1 If the CAC gives notice under paragraph 87(3) or 88(2) the union (or unions) may within the notification period notify the CAC that the union does not (or unions do not) want the CAC to arrange for the holding of the ballot; and the notification period is the period of 10 working days starting with the day after that on which the union (or last of the unions) receives the CAC’s notice.

2 If the CAC is so notified—

a it must not arrange for the holding of the ballot,

b it must inform the parties that it will not arrange for the holding of the ballot, and why,

c it must issue a declaration that the bargaining arrangements, so far as relating to workers falling within the new unit, are to cease to have effect on a date specified by it in the declaration, and

d the bargaining arrangements shall cease to have effect accordingly.

3 If the CAC is not so notified it must arrange for the holding of the ballot.

4 Paragraph 25 applies if the CAC arranges under this paragraph for the holding of a ballot (as well as if the CAC arranges under paragraph 24 for the holding of a ballot).

5 Paragraphs 26 to 29 apply accordingly, but as if references to the bargaining unit were references to the new unit.

6 If as a result of the ballot the CAC issues a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the new unit—

7 If as a result of the ballot the CAC issues a declaration that the union is (or unions are) not entitled to be recognised as entitled to conduct collective bargaining on behalf of the new unit—

a the CAC must state in the declaration the date on which the bargaining arrangements, so far as relating to workers falling within the new unit, are to cease to have effect, and

b the bargaining arrangements shall cease to have effect accordingly.

8 Paragraphs (a) and (b) of sub-paragraph (6) also apply if the CAC issues a declaration under paragraph 27(2).

Residual workers

1 This paragraph applies if—

a the CAC decides an appropriate bargaining unit or units under paragraph 70 or 79, and

b at least one worker falling within the original unit does not fall within the new unit (or any of the new units).

2 In such a case —

a the CAC must issue a declaration that the bargaining arrangements, so far as relating to the worker or workers mentioned in sub-paragraph (1)(b), are to cease to have effect on a date specified by the CAC in the declaration, and

b the bargaining arrangements shall cease to have effect accordingly.

1 This paragraph applies if—

a the CAC has proceeded as stated in paragraphs 83 to 89 with regard to the new unit (if there is one only) or with regard to each new unit (if there are two or more), and

b in so doing the CAC has issued one or more declarations under paragraph 83.

2 The CAC must—

a consider each declaration issued under paragraph 83, and

b in relation to each declaration, identify each statutory outside bargaining unit which contains at least one worker who also falls within the new unit to which the declaration relates;

and in this paragraph each statutory outside bargaining unit so identified is referred to as a parent unit.

3 The CAC must then—

a consider each parent unit, and

b in relation to each parent unit, identify any workers who fall within the parent unit but who do not fall within the new unit (or any of the new units);

and in this paragraph the workers so identified in relation to a parent unit are referred to as a residual unit.

4 In relation to each residual unit, the CAC must issue a declaration that the outside union is (or outside unions are) recognised as entitled to conduct collective bargaining on its behalf.

5 But no such declaration shall be issued in relation to a residual unit if the CAC has received an application under paragraph 66 or 75 in relation to its parent unit.

6 In this paragraph references to the outside union (or to outside unions) in relation to a residual unit are to the union which is (or unions which are) recognised as entitled to conduct collective bargaining on behalf of its parent unit.

7 If the CAC issues a declaration under sub-paragraph (4)—

a the declaration shall have effect in place of the existing declaration that the outside union is (or outside unions are) recognised as entitled to conduct collective bargaining on behalf of the parent unit, so far as the existing declaration relates to the residual unit;

b if there is a method of collective bargaining relating to the parent unit, it shall have effect in relation to the residual unit with any modifications which the CAC considers necessary to take account of the change of bargaining unit and specifies in the declaration.

Applications under this Part

1 An application to the CAC under this Part of this Schedule is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

2 An application which is made by a union (or unions) to the CAC under this Part of this Schedule is not admissible unless the union gives (or unions give) to the employer—

a notice of the application, and

b a copy of the application and any documents supporting it.

3 An application which is made by an employer to the CAC under this Part of this Schedule is not admissible unless the employer gives to the union (or each of the unions)—

a notice of the application, and

b a copy of the application and any documents supporting it.

Withdrawal of application

1 If an application under paragraph 66 or 75 is accepted by the CAC, the applicant (or applicants) may not withdraw the application—

a after the CAC issues a declaration under paragraph 69(3) or 78(3),

b after the CAC decides under paragraph 77(2) or 77(3),

c after the CAC issues a declaration under paragraph 83(1), 85(2), 86(3) or 87(2) in relation to the new unit (where there is only one) or a declaration under any of those paragraphs in relation to any of the new units (where there is more than one),

d after the union has (or unions have) notified the CAC under paragraph 89(1) in relation to the new unit (where there is only one) or any of the new units (where there is more than one), or

e after the end of the notification period referred to in paragraph 89(1) and relating to the new unit (where there is only one) or any of the new units (where there is more than one).

2 If an application is withdrawn by the applicant (or applicants)—

a the CAC must give notice of the withdrawal to the other party (or parties), and

b no further steps are to be taken under this Part of this Schedule.

Meaning of collective bargaining

1 This paragraph applies for the purposes of this Part of this Schedule.

2 Except in relation to paragraphs 69(5), 78(5) and 83(6), the meaning of collective bargaining given by section 178(1) shall not apply.

3 In relation to a new unit references to collective bargaining are to negotiations relating to the matters which were the subject of collective bargaining in relation to the corresponding original unit; and the corresponding original unit is the unit which was the subject of an application under paragraph 66 or 75 in consequence of which the new unit was agreed by the parties or decided by the CAC.

4 But if the parties agree matters as the subject of collective bargaining in relation to the new unit, references to collective bargaining in relation to that unit are to negotiations relating to the agreed matters; and this is the case whether the agreement is made before or after the time when the CAC issues a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the new unit.

5 In relation to a residual unit in relation to which a declaration is issued under paragraph 91, references to collective bargaining are to negotiations relating to the matters which were the subject of collective bargaining in relation to the corresponding parent unit.

6 In construing paragraphs 69(3)(c), 78(3)(c), 85(2)(c), 87(6)(b) and 89(6)(b)—

a sub-paragraphs (3) and (4) do not apply, and

b references to collective bargaining are to negotiations relating to pay, hours and holidays.

Method of collective bargaining

1 This paragraph applies for the purposes of this Part of this Schedule.

2 Where a method of collective bargaining has effect in relation to a new unit, that method shall have effect as if it were contained in a legally enforceable contract made by the parties.

3 But if the parties agree in writing—

a that sub-paragraph (2) shall not apply, or shall not apply to particular parts of the method, or

b to vary or replace the method,

the written agreement shall have effect as a legally enforceable contract made by the parties.

4 Specific performance shall be the only remedy available for breach of anything which is a legally enforceable contract by virtue of this paragraph.

Part IV Derecognition: General

Introduction

1 This Part of this Schedule applies if the CAC has issued a declaration that a union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a bargaining unit.

2 In such a case references in this Part of this Schedule to the bargaining arrangements are to the declaration and to the provisions relating to the collective bargaining method.

3 For this purpose the provisions relating to the collective bargaining method are—

a the parties’ agreement as to the method by which collective bargaining is to be conducted,

b anything effective as, or as if contained in, a legally enforceable contract and relating to the method by which collective bargaining is to be conducted, or

c any provision of Part III of this Schedule that a method of collective bargaining is to have effect.

97For the purposes of this Part of this Schedule the relevant date is the date of the expiry of the period of 3 years starting with the date of the CAC’s declaration.

98References in this Part of this Schedule to the parties are to the employer and the union (or unions) concerned.

Employer employs fewer than 21 workers

1 This paragraph applies if—

a the employer believes that he, taken with any associated employer or employers, employed an average of fewer than 21 workers in any period of 13 weeks, and

b that period ends on or after the relevant date.

2 If the employer wishes the bargaining arrangements to cease to have effect, he must give the union (or each of the unions) a notice complying with sub-paragraph (3) and must give a copy of the notice to the CAC.

3 A notice complies with this sub-paragraph if it—

a identifies the bargaining arrangements,

b specifies the period of 13 weeks in question,

c states the date on which the notice is given,

d is given within the period of 5 working days starting with the day after the last day of the specified period of 13 weeks,

e states that the employer, taken with any associated employer or employers, employed an average of fewer than 21 workers in the specified period of 13 weeks, and

f states that the bargaining arrangements are to cease to have effect on a date which is specified in the notice and which falls after the end of the period of 35 working days starting with the day after that on which the notice is given.

4 To find the average number of workers employed by the employer, taken with any associated employer or employers, in the specified period of 13 weeks—

a take the number of workers employed in each of the 13 weeks (including workers not employed for the whole of the week);

b aggregate the 13 numbers;

c divide the aggregate by 13.

5 For the purposes of sub-paragraph (1)(a) any worker employed by an associated company incorporated outside Great Britain must be ignored in relation to a week unless the whole or any part of that week fell within a period during which he ordinarily worked in Great Britain.

6 For the purposes of sub-paragraph (5) a worker who is employed on board a ship registered in the register maintained under section 8 of the Merchant Shipping Act 1995 shall be treated as ordinarily working in Great Britain unless—

a the ship’s entry in the register specifies a port outside Great Britain as the port to which the vessel is to be treated as belonging,

b the employment is wholly outside Great Britain, or

c the worker is not ordinarily resident in Great Britain.

7 An order made under paragraph 7(6) may also—

a provide that sub-paragraphs (1) to (6) of this paragraph and paragraphs 100 to 103 are not to apply, or are not to apply in specified circumstances, or

b vary the number of workers for the time being specified in sub-paragraphs (1)(a) and (3)(e).

100

1 Within the validation period the CAC must decide whether the notice complies with paragraph 99(3).

2 If the CAC decides that the notice does not comply with paragraph 99(3)—

a the CAC must give the parties notice of its decision, and

b the employer’s notice shall be treated as not having been given.

3 If the CAC decides that the notice complies with paragraph 99(3) it must give the parties notice of the decision.

4 The bargaining arrangements shall cease to have effect on the date specified under paragraph 99(3)(f) if—

a the CAC gives notice under sub-paragraph (3), and

b the union does not (or unions do not) apply to the CAC under paragraph 101.

5 The validation period is—

a the period of 10 working days starting with the day after that on which the CAC receives the copy of the notice, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

101

1 This paragraph applies if—

a the CAC gives notice under paragraph 100(3), and

b within the period of 10 working days starting with the day after that on which the notice is given, the union makes (or unions make) an application to the CAC for a decision whether the period of 13 weeks specified under paragraph 99(3)(b) ends on or after the relevant date and whether the statement made under paragraph 99(3)(e) is correct.

2 An application is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

3 An application is not admissible unless the union gives (or unions give) to the employer—

a notice of the application, and

b a copy of the application and any documents supporting it.

4 An application is not admissible if—

a a relevant application was made within the period of 3 years prior to the date of the application,

b the relevant application and the application relate to the same bargaining unit, and

c the CAC accepted the relevant application.

5 A relevant application is an application made to the CAC—

a by the union (or the unions) under this paragraph,

b by the employer under paragraph 106, 107 or 128, or

c by a worker (or workers) under paragraph 112.

102

1 The CAC must give notice to the parties of receipt of an application under paragraph 101.

2 Within the acceptance period the CAC must decide whether the application is admissible within the terms of paragraph 101.

3 In deciding whether an application is admissible the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the application is not admissible—

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application,

c no further steps are to be taken under this Part of this Schedule, and

d the bargaining arrangements shall cease to have effect on the date specified under paragraph 99(3)(f).

5 If the CAC decides that the application is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

103

1 If the CAC accepts an application it—

a must give the employer and the union (or unions) an opportunity to put their views on the questions whether the period of 13 weeks specified under paragraph 99(3)(b) ends on or after the relevant date and whether the statement made under paragraph 99(3)(e) is correct;

b must decide the questions within the decision period and must give reasons for the decision.

2 If the CAC decides that the period of 13 weeks specified under paragraph 99(3)(b) ends on or after the relevant date and that the statement made under paragraph 99(3)(e) is correct the bargaining arrangements shall cease to have effect on the termination date.

3 If the CAC decides that the period of 13 weeks specified under paragraph 99(3)(b) does not end on or after the relevant date or that the statement made under paragraph 99(3)(e) is not correct, the notice under paragraph 99 shall be treated as not having been given.

4 The decision period is—

a the period of 10 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

5 The termination date is the later of—

a the date specified under paragraph 99(3)(f), and

b the day after the last day of the decision period.

Employer’s request to end arrangements

104

1 This paragraph and paragraphs 105 to 111 apply if after the relevant date the employer requests the union (or each of the unions) to agree to end the bargaining arrangements.

2 The request is not valid unless it—

a is in writing,

b is received by the union (or each of the unions),

c identifies the bargaining arrangements, and

d states that it is made under this Schedule.

105

1 If before the end of the first period the parties agree to end the bargaining arrangements no further steps are to be taken under this Part of this Schedule.

2 Sub-paragraph (3) applies if before the end of the first period—

a the union informs the employer that the union does not accept the request but is willing to negotiate, or

b the unions inform the employer that the unions do not accept the request but are willing to negotiate.

3 The parties may conduct negotiations with a view to agreeing to end the bargaining arrangements.

4 If such an agreement is made before the end of the second period no further steps are to be taken under this Part of this Schedule.

5 The employer and the union (or unions) may request ACAS to assist in conducting the negotiations.

6 The first period is the period of 10 working days starting with the day after—

a the day on which the union receives the request, or

b the last day on which any of the unions receives the request.

7 The second period is—

a the period of 20 working days starting with the day after that on which the first period ends, or

b such longer period (so starting) as the parties may from time to time agree.

106

1 This paragraph applies if—

a before the end of the first period the union fails (or unions fail) to respond to the request, or

b before the end of the first period the union informs the employer that it does not (or unions inform the employer that they do not) accept the request (without indicating a willingness to negotiate).

2 The employer may apply to the CAC for the holding of a secret ballot to decide whether the bargaining arrangements should be ended.

107

1 This paragraph applies if —

a the union informs (or unions inform) the employer under paragraph 105(2), and

b no agreement is made before the end of the second period.

2 The employer may apply to the CAC for the holding of a secret ballot to decide whether the bargaining arrangements should be ended.

3 But no application may be made if within the period of 10 working days starting with the day after that on which the union informs (or unions inform) the employer under paragraph 105(2) the union proposes (or unions propose) that ACAS be requested to assist in conducting the negotiations and—

a the employer rejects the proposal, or

b the employer fails to accept the proposal within the period of 10 working days starting with the day after that on which the union makes (or unions make) the proposal.

108

1 An application under paragraph 106 or 107 is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

2 An application under paragraph 106 or 107 is not admissible unless the employer gives to the union (or each of the unions)—

a notice of the application, and

b a copy of the application and any documents supporting it.

109

1 An application under paragraph 106 or 107 is not admissible if—

a a relevant application was made within the period of 3 years prior to the date of the application under paragraph 106 or 107,

b the relevant application and the application under paragraph 106 or 107 relate to the same bargaining unit, and

c the CAC accepted the relevant application.

2 A relevant application is an application made to the CAC—

a by the union (or the unions) under paragraph 101,

b by the employer under paragraph 106, 107 or 128, or

c by a worker (or workers) under paragraph 112.

110

1 An application under paragraph 106 or 107 is not admissible unless the CAC decides that—

a at least 10 per cent of the workers constituting the bargaining unit favour an end of the bargaining arrangements, and

b a majority of the workers constituting the bargaining unit would be likely to favour an end of the bargaining arrangements.

2 The CAC must give reasons for the decision.

111

1 The CAC must give notice to the parties of receipt of an application under paragraph 106 or 107.

2 Within the acceptance period the CAC must decide whether—

a the request is valid within the terms of paragraph 104, and

b the application is made in accordance with paragraph 106 or 107 and admissible within the terms of paragraphs 108 to 110.

3 In deciding those questions the CAC must consider any evidence which it has been given by the employer or the union (or unions).

4 If the CAC decides that the request is not valid or the application is not made in accordance with paragraph 106 or 107 or is not admissible—

a the CAC must give notice of its decision to the parties,

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the request is valid and the application is made in accordance with paragraph 106 or 107 and is admissible it must—

a accept the application, and

b give notice of the acceptance to the parties.

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.

Workers’ application to end arrangements

112

1 A worker or workers falling within the bargaining unit may after the relevant date apply to the CAC to have the bargaining arrangements ended.

2 An application is not admissible unless—

a it is made in such form as the CAC specifies, and

b it is supported by such documents as the CAC specifies.

3 An application is not admissible unless the worker gives (or workers give) to the employer and to the union (or each of the unions)—

a notice of the application, and

b a copy of the application and any documents supporting it.

113

1 An application under paragraph 112 is not admissible if—

a a relevant application was made within the period of 3 years prior to the date of the application under paragraph 112,

b the relevant application and the application under paragraph 112 relate to the same bargaining unit, and

c the CAC accepted the relevant application.

2 A relevant application is an application made to the CAC—

a by the union (or the unions) under paragraph 101,

b by the employer under paragraph 106, 107 or 128, or

c by a worker (or workers) under paragraph 112.

114

1 An application under paragraph 112 is not admissible unless the CAC decides that—

a at least 10 per cent of the workers constituting the bargaining unit favour an end of the bargaining arrangements, and

b a majority of the workers constituting the bargaining unit would be likely to favour an end of the bargaining arrangements.

2 The CAC must give reasons for the decision.

115

1 The CAC must give notice to the worker (or workers), the employer and the union (or unions) of receipt of an application under paragraph 112.

2 Within the acceptance period the CAC must decide whether the application is admissible within the terms of paragraphs 112 to 114.

3 In deciding whether the application is admissible the CAC must consider any evidence which it has been given by the employer, the union (or unions) or any of the workers falling within the bargaining unit.

4 If the CAC decides that the application is not admissible—

a the CAC must give notice of its decision to the worker (or workers), the employer and the union (or unions),

b the CAC must not accept the application, and

c no further steps are to be taken under this Part of this Schedule.

5 If the CAC decides that the application is admissible it must—

a accept the application, and

b give notice of the acceptance to the worker (or workers), the employer and the union (or unions).

6 The acceptance period is—

a the period of 10 working days starting with the day after that on which the CAC receives the application, or

b such longer period (so starting) as the CAC may specify to the worker (or workers), the employer and the union (or unions) by notice containing reasons for the extension.

116

1 If the CAC accepts the application, in the negotiation period the CAC must help the employer, the union (or unions) and the worker (or workers) with a view to—

a the employer and the union (or unions) agreeing to end the bargaining arrangements, or

b the worker (or workers) withdrawing the application.

2 The negotiation period is—

a the period of 20 working days starting with the day after that on which the CAC gives notice of acceptance of the application, or

b such longer period (so starting) as the CAC may decide with the consent of the worker (or workers), the employer and the union (or unions).

Ballot on derecognition

117

1 This paragraph applies if the CAC accepts an application under paragraph 106 or 107.

2 This paragraph also applies if—

a the CAC accepts an application under paragraph 112, and

b in the period mentioned in paragraph 116(1) there is no agreement or withdrawal as there described.

3 The CAC must arrange for the holding of a secret ballot in which the workers constituting the bargaining unit are asked whether the bargaining arrangements should be ended.

4 The ballot must be conducted by a qualified independent person appointed by the CAC.

5 The ballot must be conducted within—

a the period of 20 working days starting with the day after that on which the qualified independent person is appointed, or

b such longer period (so starting) as the CAC may decide.

6 The ballot must be conducted—

a at a workplace or workplaces decided by the CAC,

b by post, or

c by a combination of the methods described in sub-paragraphs (a) and (b),

depending on the CAC’s preference.

7 In deciding how the ballot is to be conducted the CAC must take into account—

a the likelihood of the ballot being affected by unfairness or malpractice if it were conducted at a workplace or workplaces;

b costs and practicality;

c such other matters as the CAC considers appropriate.

8 The CAC may not decide that the ballot is to be conducted as mentioned in sub-paragraph (6)(c) unless there are special factors making such a decision appropriate; and special factors include—

a factors arising from the location of workers or the nature of their employment;

b factors put to the CAC by the employer or the union (or unions).

9 A person is a qualified independent person if—

a he satisfies such conditions as may be specified for the purposes of this paragraph by order of the Secretary of State or is himself so specified, and

10 An order under sub-paragraph (9)(a) shall be made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.

11 As soon as is reasonably practicable after the CAC is required under sub-paragraph (3) to arrange for the holding of a ballot it must inform the employer and the union (or unions)—

a that it is so required;

b of the name of the person appointed to conduct the ballot and the date of his appointment;

c of the period within which the ballot must be conducted;

d whether the ballot is to be conducted by post or at a workplace or workplaces;

e of the workplace or workplaces concerned (if the ballot is to be conducted at a workplace or workplaces).

118

1 An employer who is informed by the CAC under paragraph 117(11) must comply with the following three duties.

4 The third duty is to do the following (so far as it is reasonable to expect the employer to do so)—

a to give to the CAC, within the period of 10 working days starting with the day after that on which the employer is informed under paragraph 117(11), the names and home addresses of the workers constituting the bargaining unit;