Certification Officer for Trade Unions and Employers’ Associations Annual Report

In this report

Review of the Year The Certification Office Our Work this Year Trade Unions – Overview of the Year Lists of Trade Unions and Employers’ Associations Annual Returns Mergers Political Funds Complaints Appendices – Trade Union and Employers’ Association Data Statutory Fees Certification Office Publications Certification Officer Functions Certification Officer’s Letter to General Secretaries regarding the Pandemic 2019-20 Alok Sharma MP Secretary of State for Business, Energy and Industrial Strategy 1 Victoria Street London SW1H 0ET

Sir Brendan Barber Chair of ACAS Advisory, Conciliation and Arbitration Service Euston Tower 286 Euston Road London NW1 3JJ

I am required by the Trade Union and Labour Relations (Consolidation) Act 1992 to submit to you both a report on my activities as the Certification Officer during the previous reporting period. I have pleasure in submitting such a report for the period 1 April 2019 to 31 March 2020.

Accredited 2 Until 2020 Review of the year

This Annual Report covers the period from 1 April 2019 together with information about political funds, industrial to 31 March 2020. It has been an interesting year closing action and ballots, electronically. We are pleased to report with us being significantly impacted by the COVID-19 that all those unions who were required to report on their Pandemic and most of us, in my office and in many political funds have done so. We have received returns unions, working remotely. I say more about this below covering ballots and industrial action from 26 unions. but wanted to highlight my view that unions must follow government guidance on dealing with the pandemic, and Complaints from Union Members that the health and safety of union members, staff and There has been a fall in the number of complaints coming the wider public must be at the forefront of decision- to our office which are accepted and progressed. It is making. difficult to identify the reasons for this; however, the reduction in complaints has enabled my team to focus My Certification Office Team has been through some on other areas including the accessibility of our guidance changes over the last year. We were joined in July by and providing more digital services. Thomas Price as Assistant Certification Officer. Thomas brought a wealth of operational and policy experience During the year I held 6 Hearings to consider 12 from his background in the Civil Service which has helped complaints brought by 6 union members. As in us to review our guidance and some of our processes. previous years the recurring theme has been election We have reduced our staffing as the Certification Officer procedures and disciplinary action; however, this year reforms under the Trade Union Act 2016 have not yet I also considered two complaints from members about been implemented and we have moved some services, statutory ballot procedures. such as the submission of Annual Reports, online. There is little that I can add to what I said last year on Advice and Guidance these issues. The importance of record keeping and of Our website has continued to be the primary source regular governance procedures remains, especially where of information and advice for those wishing to use our a procedure has not been used for some time. services. Over the last year we have reviewed and re- published our advice to ensure that it remains accurate My only other comment is that unions should note that but also more accessible to those using it. This has the remaining parts of the implementation of the Trade included a review of the language used and the format Union Act 2016 gives greater scope for complaints to in which it is published. Our aim has been to ensure that be made by non union members about statutory ballot anyone wishing to read the guidance can do so regardless procedures. of the equipment they are using. We would be grateful for any feedback on our work especially from anyone who COVID-19 is experiencing difficulty in reading or understanding it. We are not alone in dealing with the impact, both professionally and personally, of the COVID-19 pandemic. We do, of course, continue to provide advice and My team and myself have been working remotely since information by telephone and email and encourage March 2020 and will continue to do so until it is safe to anyone to contact us if, after reading the guidance on our return to our office. We recognise and understand that website, they have queries or need further advice. unions are also dealing with the impact of the pandemic on their staff and members and that they are likely to be Reporting Requirements devoting significant resources to this. We have been working with unions to enable them to submit their annual return electronically and move away I am clear that unions must prioritise the health and from paper submissions. We are grateful to the unions safety of their members, staff and the wider public in who have helped with this work and are pleased to report these difficult times. I wrote to all General Secretaries that most unions are now submitting their annual return, in May 2020 to set out my views on how they should

Accredited Until 2020 3 approach issues where complying with Government One of our key objectives is to make all our publicly guidance on the pandemic might result in a breach available documents such as rulebooks, statement to of their Rules or statute, for instance by deferring an members, political funds, listing, mergers and certificates election or meeting. Whilst this falls outside the period of independence available from our website. This will of this annual report I think it helpful to include this letter reduce environmental impact and benefit both unions as Appendix 13. I will report on any complaints I receive and members of the public who will be able to access on this issue, and how I approached them, in the next these documents more easily. Annual Report. It is also worth noting that some of the difficulties faced by unions have arisen because of the Finally, we have, for the first time, published our requirement for postal ballots for some elections. This is Operational Plan for the next reporting period. My report a statutory requirement which I have no power to waive. next year will include information about our progress on It is for the Government to decide whether it is necessary that plan. to continue to require certain ballots to be held by post.

Cost of office The net cost of the office was £749,110 which is a decrease of £60,927 or 7.5%. The reduction stems from my decision not to fill vacancies until we know the implementation timetable for the Certification Officer reforms under the Trade Union Act 2016 and the reduction in some of our administrative work as we move services online. Consequently, our costs may increase after implementation of the 2016 Act. It is estimated that the costs of services such as IT equipment, its maintenance, HR and other support services provided by Acas was £161,322. Sarah Bedwell My salary as Certification Officer was £129,798 which is Certification Officer taxed under PAYE. This is pensionable with an employer’s 26 June 2020 contribution to my pension of £39,310. In addition, I received back pay for 2018/19 of £1,228; £314 was paid in this reporting period; the remaining £914 was paid in 2020/21 and will be included in next year’s report.

Looking Forward We do not yet have an implementation date for the remaining parts of the Trade Union Act 2016; however, we will continue to prepare for implementation so that we can begin a period of consultation on our draft policies and guidance on the Act as soon as implementation is announced and draft regulations have been laid in Parliament.

We will also continue to monitor our workload and costs to ensure that we remain efficient over the coming year, recruiting additional staff only where necessary to maintain our current levels of service. Where possible we will learn from our experience with remote working to identify any further areas suitable for digital delivery including the possibility of holding hearings by Video Conference in some cases.

We will begin to reduce the use of paper, in line with the government’s green targets and move towards digitisation.

Accredited 4 Until 2020 The Certification Office (31 March 2020)

1 Certification Officer 6 Staff Members

Functions of the Certification Officer

Determine complaints Ensure compliance Ensure observance of concerning trade union with statutory statutory requirements elections, certain other requirements for annual governing mergers ballots and certain returns from trade unions between trade unions and breaches of and employers’ between employers’ trade union rules associations associations

Oversee the political Maintain a list of Certify the funds and the finances trade unions and independence of trade unions and employers’ associations of trade unions employers’ associations

Accredited Until 2020 5 Our work this year

Trade Unions and Employers’ Complaints Associations

26 breach of union rule 1 Enquiry on the status of a Union complaints determinded

3 breach of statute complaints determined

3 Unions added

Of these 14 complaints were struck out or withdrawn

6 hearings held 6 Unions and 5 Employers’ Associations removed

4 Declarations made by the CO against unions for breaching its rules

2 Transfers of engagements 1 Enforcement order

Accredited 6 Until 2020 Trade Unions – Overview of the year

Trade Union Membership

7,086,116

Drop of 4.5%

6,767,824 98% of annual Drop of 1.07% returns received on time

6,695,098 Trade Union Membership Trade

2013-14 2018-19 2019-20

IncomeIncome fromfrom membersmembers Gross expenditure £899.65£902.76 millionmillion £1,146.35 million

DecreaseIncrease ofof 0.4%1.9% Increase of 5.9% fromfrom previousprevious yearyear from previous year

Gross income £1,413.62£1,222.34 millionmillion

IncreaseDecrease of of9% 13.5% fromfrom previous previous year year

Accredited Until 2020 7 Chapter 1 – Lists of Trade Unions and Employers’ Associations

The Certification Officer maintains a list of trade unions and a list of employers’ associations. Listing is voluntary The current lists are available on and any organisation of workers or of employers may www.gov.uk/certificationofficer or available for apply to be listed. The name of the organisation shall be inspection free of charge at the Certification Office, entered in the relevant list if the Certification Officer is Lower Ground, Fleetbank House, 2-6 Salisbury satisfied that it meets the definition in the Trade Union Square, London EC4Y 8JX. and Labour Relations (Consolidation) Act 1992 (“the 1992 Act”). The lists of organisations with their head office in Scotland are also available for inspection at There are a number of advantages of being a listed trade the office of the Assistant Certification Officer union, one of which is that it is an essential preliminary to for Scotland, Melrose House, 69a George Street, making an application for a certificate of independence Edinburgh EH2 2JG. and thereafter formal recognition.

CO Enquiry of Trade Unions An enquiry was received that the Independent Workers Total Trade Unions: 139 Union of Great Britain (IWGB) did not meet the (on list and schedule) definition of a trade union under the 1992 Act, with the complainant alleging that the majority of its members were not workers, as defined in law. The Certification Officer sought information from the Union about its membership and concluded, from the information 90 provided, that the majority of members of the Union met 2121 the definition of a worker under section 296 of the 1992 Act and took no further action. Trade Unions Trade Unions holding Certificate with Political Additions and Removals of Independence Funds Three trade unions were added to the list and schedule during the period 1 April 2019 to 31 March 2020. Six trade unions and five employers’ associations were removed Total Employers’ from the lists and schedules during this period. Associations: 85 (on list and schedule) These were either dissolved, merged into another union or deemed to no longer meet the statutory definition of a trade union or employers’ association. As entry on the lists is voluntary, it is difficult to know precisely how many trade unions and employers’ associations exist but have not applied to be listed. At the end of this reporting period, the Certification Officer was aware of 9 trade unions and 33 employers’ associations which met the statutory definition, but which had not sought to be listed. These are included on the schedules to the relevant lists

Accredited 8 Until 2020 Table 1 – Organisations added or removed from list or schedule

Employers’ Region Trade Unions Associations Added England and Wales • CWOATA Trade Union (Listed) • WALGAS TU • Union Workers’ Union

England and Wales • BLUECHIP STAFF ASSOCIATION • Mastic Asphalt Council (Listed) • R & C Trade Union • CU Staff Consultative Group • Leicestershire Overmen Deputies and Shotfirers Association • Independent Democratic Union • City Screen Staff Forum England and Wales • British Allied Trade (Scheduled) Federation Removed • Radio, Electrical and Television Retailers’ Association (RETRA) Limited

Scotland (Scheduled) • Scottish Building Federation • Perth and District Master Plumbers Association

Figure 1 – Changes between 1 April 2019 and 31 March 2020 in number of organisations on list and schedule

Listed Trade Unions 133 130

9 Scheduled Trade Unions 9 53 Listed Employers’ Associations 52

37 Scheduled Employers’ Associations 33

2019 2020 Certificates of Independence No formal reviews of existing certificates of independence A listed trade union may apply for a certificate of were undertaken during the period. independence. Independence is defined in Section 5 of the 1992 Act as meaning independence from an One certificate of independence was cancelled because employer or group of employers. the union concerned ceased to exist as a result of a merger. This was for the Independent Democratic Union During this reporting period, the Certification Officer because it merged with Community. did not receive any applications for a certificate of independence. On 31 March 2020, 90 unions held a certificate of independence.

Accredited Until 2020 9 Chapter 2 – Annual Returns

A trade union or employers’ association is required to submitted returns for this period. The number of unions submit an annual return to the Certification Officer and employers’ associations which submit annual returns before 1 June in the calendar year following the year to in any given reporting year is seldom the same as the which the annual return relates. This applies to most number of unions and employers’ associations on the organisations (69%) whose financial year coincides with list as at the end of the reporting year. This is because the calendar year and ends on 31 December. The organisations which have ceased to exist still have to remaining 31% have differing reporting periods that have submit an annual return and new organisations may not been agreed by the Certification Officer. have to submit a return until the next reporting period.

Copies of the annual returns and the rules of trade unions and employers’ associations from 1974 Trade Union Membership onwards are available for public inspection. The returns of existing organisations are available from the Certification Office. 6,695,098 members of trade unions

The returns of former trade unions and employers’ associations are mainly kept at The National Archive where they are available for inspection. 5,708,386 members in 12 largest unions

The Certification Officer’s responsibility is to ensure that accounts in the prescribed form, covering all funds administered by the organisation, are available for public The 12 unions with a membership of over 100,000, inspection. Annual returns are checked for discrepancies, accounted for 5,708,386 members or 85.3% of the total. but the Certification Officer makes no comment on the financial status of trade unions or employers’ associations.

By 31 March 2020, 98.7% of returns due in that reporting year had been received. Only 9.4% of organisations submitted their annual returns late, more than three months after their due date. The Certification Officer continues to seek full compliance with the statutory requirements and will take steps to help improve the performance of those organisations which consistently submit late annual returns.

Failure to submit an annual return to the Certification Officer may result in prosecution. No prosecutions for failure to submit an annual return were initiated during this period.

The information in this chapter is derived from the annual returns received during the reporting period. A total of 228 trade unions and employers’ associations

Accredited 10 Until 2020 Table 2 – Distribution of trade union membership 2019-20

Membership Number of Unions of all Unions

As a Percentage As a Percentage Number of Members Number of Unions Membership Under 100 23 0.0 565 16.2 100-499 24 0.1 6,746 16.9 500-999 13 0.1 9,598 9.2 1,000-2,499 25 0.6 40,319 17.6 2,500-4,999 7 0.4 25,107 4.9 5,000-9,999 9 1.0 66,000 6.3 10,000-14,999 4 0.7 47,242 2.8 15,000-24,999 10 2.9 193,608 7.0 25,000-49,999 12 6.0 401,512 8.5 50,000-99,999 3 2.9 196,015 2.1 100,000-249,999 5 11.9 793,205 3.5 250,000 and over 7 73.4 4,915,181 4.9 Total 142 100 6,695,098 100

The current trade union membership of 6,695,098 Membership Audit Certificate reported in this annual report shows a decrease of Where trade union membership exceeds 10,000, a union 72,726 members from last year’s reported membership is required to appoint a qualified independent person to of 6,767,824. be an assurer to provide the union with a membership audit certificate. The certificate must state whether, This is a decrease of 1.07% over the last year. The total in the assurer’s opinion, the trade union’s system for reported membership of around 6.7 million compares compiling and maintaining the register of the names with membership of around 7.09 million in 2013, a fall of and addresses of its members was satisfactory for the approximately 4.5% over the intervening period. purposes of complying with the union’s duties throughout the reporting period. Where a trade union’s membership Figure 2 shows the trade unions whose membership has is less than 10,000, the membership audit certificate changed by 10,000 members or more since the previous must be completed by an authorised officer of the union. reporting period. In this reporting year 142 membership audit certificates Figure 2 – Decreased membership over 10,000 were due and received. The Certification Officer has the members power to require the production of documents if she thinks there is a good reason to do so.

End of 2018 End of 2019 No circumstances arose leading the Certification Officer to use her powers. 1,377,006 UNISON No complaints regarding a union’s membership audit 1,369,114 certificate were received during this reporting period

1,310,508 Unite 1,291,017

Accredited Until 2020 11 Trade Union Financial information The net assets were £2,272 million compared to From the returns received during this reporting period, £2,300 million the previous year, a decrease of 1.2%. the gross income of trade unions was £1,222.34 million (see Appendix 4) a decrease of 13.5% on that reported by unions in the previous year. Income from members Salaries and benefits increased by 0.4% to £902.9 million. Income from Trade unions are required to include in their annual investments fell by 22.1% and income from other sources returns to the Certification Officer information about fell by 39.5%. the salaries and benefits paid to certain national officers and executive members from the organisation’s funds. Figure 3 – Comparison of trade union finances Information from trade union annual returns received in the reporting period showed that 22.1% of unions TU Income TU Expenditure TU Assets paid a salary to their general secretary of over £100,000; 19.2% paid between £60,001 and £100,000; 10.7% 2017-18 2018-19 paid between £30,000 and £60,000 and 9.2% paid up to £30,000; while the general secretaries of 38.5% did not receive a salary. A further six unions (4%), although paying no salary to their general secretary, did provide an honorarium or other benefits. Appendix 5 gives information on the salary and benefit payments in respect of each union which makes a payment to its £1222,341 £1,413,619 £2,299,304 £2,272,001 £1,082,978 £1,146,350 general secretary.

Figure 4 – Distribution of salaries paid as a Gross expenditure by unions during this reporting period percentage of all unions rose by 5.9% to £1,146.35 million (see Appendix 4),while No Salary but in receipt of benefits at the end of the reporting period total funds (net assets) 4% amounted to £1,647.37 million (see Appendix 4), an increase of 0.1% over the previous period. Over 100K No Salary 22% 39% From the returns received in this period, the figures show the gross income of employers’ associations was £495.67 million (see Appendix 6 ) compared with £484.06 million reported for the previous year, an increase of 2.4%. Income from members rose from £195.65 million to £197.41 million, an increase of 0.9%. Income from 60-100K 19% investments fell from £15.08 million to £12.61 million, Up to 30K a decrease of 16.3%. Other income rose from £273.33 9% million to £285.4 million an increase of 4.5%. During the 30-60K same period, expenditure rose from £472.70 million to 11% £505.38 million, an increase of 6.9%.

Trade unions must send a statement to all members containing certain information from the union’s annual return for that year. The statement Total Trade Union Assets: £2,272m must be sent no later than eight weeks from the day on which the annual return is sent to the Certification Officer. Total Employers’ Association Assets: £746m

Total Political Fund Assets: £41m

Accredited 12 Until 2020 Superannuation schemes Any superannuation scheme maintained by a trade union or employers’ association covering members must be examined periodically by a qualified actuary with a copy of the actuarial report sent to the Certification Officer.

The Certification Officer is aware of eight members’ superannuation schemes maintained by three trade unions. They are listed in Appendix 7 and are mostly small schemes. At the time of their last actuarial examination, four schemes had assets of over £500,000 and only the scheme of the National Union of Rail Maritime and Transport Workers covered more than 10,000 members.

No actuarial reports were due on superannuation schemes during the reporting period. The actuarial report for Unite the Union Litho Printers SuperannuationFund is due to be submitted by the 31 December 2020.

Information on Industrial Action and Ballots 26 unions reported on ballots held and Industrial action taken. Of these 14 reported both, 11 reported holding ballots only and 1 reported industrial action only. The ballot for this action had been held the previous year.

Information on Political Funds 21 Trade unions have Political Funds. Of these 15 reported detailed expenditures of over £2,000.

Accredited Until 2020 13 Chapter 3 – Mergers

There are statutory procedures for trade unions and A third transfer of engagement application was received unincorporated employers’ associations to merge under from a union, however, its members voted against the the Trade Union and Labour Relations (Consolidation) Act proposed merger. The transfer therefore did not go 1992 Act. This can be by either a transfer of engagement ahead. or an amalgamation. No complaints about mergers were received in the Under a transfer of engagement, the transferring reporting period. organisation loses its legal identity whilst the organisation to which it transfers continues in being with its legal identity unchanged. An amalgamation produces a new organisation replacing each of the amalgamating bodies which cease to exist.

The 1992 Act and the Trade Unions and Employers’ Associations (Amalgamations, etc.) Regulations 1975 lay down procedures governing both types of mergers. These procedures help safeguard the rights of members affected by ensuring members are informed about the proposal and have the opportunity to vote on it.

A member from the transferring union can make a complaint to the Certification Officer about the merger ballot. This must be done within six weeks of the application to register the instrument of transfer being sent

Mergers need to be endorsed by a majority of members. For transfers of engagements only members of the transferring organisation vote on the resolution. An amalgamation requires a favourable vote by members of each of the amalgamating organisations. If a merger is endorsed, an application to register the instrument of transfer or amalgamation must be made to the Certification Officer.

During this reporting period, there were two transfers of engagements involving trade unions.

The two registered transfers of engagements were the transfer of the BLUECHIP STAFF ASSOCIATION to Community and the transfer of the Independent Democratic Union to Community. Details are given at Appendix 8. These involved an estimated total of 8,011 members of the transferring unions.

Accredited 14 Until 2020 Chapter 4 – Political Funds

The 1992 Act enables trade unions and unincorporated The returns received within the period also show that the employers’ associations to establish separate funds in total value of political funds during the reporting period furtherance of political objectives as part of their aims. A was £41.35 million: up £6 million (17%) on the £35.35 resolution to adopt these political objects must be passed million in the previous reporting period. by a ballot of the members. Organisations wishing to continue to spend money on political objects must hold Figure 5 – Comparison of total political fund income and expenditure a review ballot of members at least every 10 years. The Certification Officer is the statutory authority for approving Income Expenditure the establishment and continuance of political funds. 2018-19 2019-20 As at 31 March 2020, there were 21 unions which had political fund resolutions in force. This is the same number that was reported last year.

Members who joined a trade union with a political fund before 1 March 2018, can send a notice to £24,059,274

the union notifying it of their objection to paying £22,832,331 £22,741,229 into the political fund. The union is required to £16,012,190 comply with this request. Exemption notices are obtainable from the organisation concerned or from the Certification Office. The annual returns show that the number of union members contributing to a political fund was 4,133,678 Members who joined a trade union with a compared to 4,604,808 in the previous reporting period, political fund on or after 1 March 2018 will be a decrease of 471,130 members or 10.2%. automatically opted out from contribution to the political fund unless they give notice to the union The annual returns reported 1,308,976 members who that they wish to contribute to the political fund belong to unions with a political fund but who do not make a political fund contribution, either because they have claimed exemption or they belong to a category of All trade unions which operate a political fund must notify membership which, under the rules of the union, does their members of their right to withdraw an opt-in notice not contribute to the political fund. and send a copy of this notification to the Certification Office. All unions which were required to provide a copy of this notification during this reporting period did so.

No trade unions were required to hold the 10-yearly review ballots.

Information on political funds taken from annual returns is shown in Appendix 9. The total income of political funds was £22.83 million compared with £24.06 million reported during the period 2017-2018, a decrease of 5.1%. The total expenditure from political funds was £16.01 million compared with £22.74 million in the preceding year, a decrease of 29.6%.

Accredited Until 2020 15 A member can complain to the Certification Officer if a political fund ballot has been held, or is proposed to be held, in a way that does not comply with the rules for holding the ballot. Any complaint must be made within the period of one year beginning with the date on which the result of the ballot is announced by the union.

A trade union member who claims that their trade union has spent money on political objects without a political fund resolution being in force or without approved political fund rules may apply to the Certification Officer for a declaration that it has done so.

During the period 1 April 2019 to 31 March 2020, one complaint regarding the use of a trade union’s funds for political purposes was determined. The decision on that complaint, Oley & Others v Unite the Union, is summarised in the next chapter.

Accredited 16 Until 2020 Chapter 5 – Complaints

Elections for Certain Positions the National Council of the Union; or b) directly elected A trade union must ensure that no-one takes up a as Assistant General Secretary following an election position as a member of its executive committee, or as complying with the statutory provisions. The Union has its general secretary without having been elected to that since confirmed that it has complied with the order. position. Nor may anyone remain in such a position for more than five years without having been re-elected to it. There are, however, exemptions in respect of Financial irregularities amalgamations, newly formed unions, special register The 1992 Act allows the Certification Officer to investigate bodies and officers nearing retirement. Elections are the financial affairs of almost all trade unions and required to be by postal ballot of the members of the employers’ associations (exceptions being in respect of union, conducted in accordance with the relevant federated employers’ associations and trade unions, and provisions in the 1992 Act. in respect of organisations that have been in existence for less than 12 months). Individual trade union members, and candidates in the election, have the statutory right to apply to the Two allegations of financial irregularities within trade Certification Officer for a declaration that their trade unions which were received during the previous reporting union has failed to comply with one or more of the period were considered this year. In addition, two new relevant provisions of the 1992 Act. The Certification allegations were raised during this reporting period. Officer will determine any such application and will give Following correspondence with the individuals making written reasons for her decision. these allegations, the Certification Officer did not consider there was sufficient reason to make enquiries In the period 1 April 2019 to 31 March 2020, two people with the union or to otherwise engage her powers and no made complaints to the Certification Officer about further action was taken. elections. They both made one complaint each and both were determined by the Certification Officer. The details of these decision are: Access to accounting records One member made a complaint relating to access to Parlour v NASUWT (D/19/19-20) accounting records in this reporting year. The case is due Mrs Parlour made a complaint under section 46 of the to be determined in the next reporting period. 1992 Act alleging that the current General Secretary had been in post for more than five years. The Union conceded a breach of section 46 (1) (a) and (b) of the Political Funds 1992 Act. The Certification Officer therefore upheld the In the reporting year 2017-18, Mr Oley and seven other complaint and made a declaration but did not consider it members made a complaint against Unite the Union on appropriate to make an enforcement order as the union the use of its political funds: Oley & Others v Unite the had already started the process of electing a new General Union (D/12/19-20). The applicants’ complaint was that Secretary. the Union had spent a sum of money on political objects from its general fund rather than from its political fund. Crew v Aegis the Union (D/26/19-20) The Certification Officer upheld the complaint following Mr Crew made a complaint under section 46 of the the union conceding to the breach. However, she did not 1992 Act relating to the election for Assistant General consider it appropriate to make an enforcement order as Secretary for the Union’s Aegon Branch. The Certification the union had already repaid the monies from its political Officer upheld the complaint and made an enforcement fund to the general fund. This case was determined order requiring that the union ensures that any person without the need for an oral hearing. undertaking the role of Assistant General Secretary for the Aegon Branch of the Union has been: a) elected to

Accredited Until 2020 17 Breach of Union Rules Kelly v Musicians’ Union (D/41/18-19) – this decision Individual trade union members have the right to apply was reported in the previous Annual Report. The Union to the Certification Officer if there has been a breach or successfully appealed the decision to the Employment threatened breach of a trade union’s rules relating to any Appeals Tribunal. Mr Kelly appealed the EAT decision at of the matters set out in section 108A(2) of the 1992 Act. the Court of Appeal. The outcome of that appeal is still pending. The Appeal Court will consider the appeal in the The matters are:- next reporting period. (a) the appointment or election of a person to, or the removal of a person from, any office; Cases that remain to be determined (b) disciplinary proceedings by the union (including As of 31 March 2020, complaints from six members expulsion); remain to be determined. (c) the balloting of members on any issue other than industrial action; Cases determined (d) the constitution or proceedings of any executive Watkins v BMA (D/13-18/19-20) committee or of any decision-making meeting; Dr Watkins made seven complaints; one of which was struck out. Dr Watkins’ application related to a If the Certification Officer accepts a complaint, she is disciplinary process applied to him following a complaint required to make such enquiries as she thinks fit and, about his conduct from another union member. Dr before reaching a decision on the complaint, provide the Watkins alleged various breaches of rules contained claimant and the trade union with an opportunity to be in the Union’s Articles of Association, Bye-Laws and its heard. All hearings before the Certification Officer are Living our Values Support and Sanctions Process. One held in public. issue was the Union’s refusal to accept Dr Watkins’ nomination to stand for Council elections during his The Certification Officer must give written reasons for year-long suspension. The Certification Officer dismissed her decision and, where she makes a declaration, she complaints 2-6. Complaint 1, which was that the Union is required to make an enforcement order unless she had imposed suspension on Dr Watkins ahead of the considers that it would be inappropriate to do so. outcome of his appeal, was conceded by the Union. The Certification Officer declined to make an enforcement Complaints received in this reporting period (2019-20) order as the breach had no impact on Dr Watkins’ In this reporting period, seven union members made eligibility for the Council election. complaints to the Certification Officer against six different unions. These cases comprised 11 separate complaints Dunham v Society of Radiographers (D/24/19-20) for the Certification Officer’s determination. Mr Dunham made one complaint that the Union had Seven of these have been determined by the Certification breached a disciplinary rule in relation to disciplinary Officer. Five were struck out on the basis that they had proceedings. The Certification Officer refused the no reasonable prospect of success or were otherwise complaint. misconceived. Dinsdale (2) v GMB (D/27-28/19-20) The Certification Officer made one declaration that a Mr Dinsdale made two complaints that the Union had union had breached or threatened to breach its rules. breached rules relating to the appointment and/or No enforcement order was issued. removal of a person from office. The Certification Officer refused his complaints. Complaints received in previous reporting years The Certification Officer determined 19 complaints St John v Unite the Union (D/29/19-20) received from nine union members from previous years. Mr St John made a complaint that the Union had breached a provision of its EC Guidance relating to the Of these, two complaints were dismissed by the election of workplace representatives. The Certification Certification Officer on withdrawal by the applicant. Nine Officer refused the complaint. Although the Union were struck out on the basis that they had no reasonable submitted that the EC Guidance did not form part of the prospect of success or were otherwise misconceived. rules of the Union, the Certification Officer’s conclusion meant that she did not need to determine this point. In the case of McFadden v Unite the Union, the Certification Officer held a direction hearing to determine a preliminary point. See further details on page 19.

Accredited 18 Until 2020 McFadden v Unite the Union (PH/1/19-20) General advice on the role of the 77 This preliminary decision results from Mr McFadden’s Certification Officer second application to this Office in relation to disciplinary Issues relating to the listing of trade 55 proceedings against him which arose from a complaint unions and employers’ associations from another union member. The first application was Enquiries about annual returns and 143 upheld by the Assistant Certification Officer (D/28-29/17- financial issues 18 dated 3 October 2017) who made a declaration that a Certificates of independence 5 union disciplinary proceeding were “null and void and of Appointment, election or dismissal no effect”. 14 from/to any office in the union Disciplinary proceedings within the union 35 The preliminary hearing addressed the question Balloting of union members (other than of whether the Union was entitled to initiate the 9 industrial action) second disciplinary action against Mr McFadden. The Certification Officer decided the Union was not Political funds 28 prevented from launching the second action because a Statutory elections 22 union’s disciplinary procedures could not be construed Inadequate representation of members 276 as litigation or an adjudication that is susceptible to the by their union doctrine of res judicata. She therefore directed that the Others 76 application be listed for a full hearing. Total 740

Mr McFadden appealed the decision to the Employment Appeal Tribunal who upheld his appeal on the basis that Protected Disclosures and the the declaration made by the Assistant Certification Officer Certification Officer prevented the Union from taking forward a second set The Certification Officer is a designated or a ‘prescribed of disciplinary procedures. The Union has appealed this person’ under the Public Interest Disclosure Regulations decision to the Court of Appeal. 2014 in relation to relevant disclosures by employees/ workers of trade unions and employers’ associations. Under Part IVA of the Employment Rights Act 1996 and Enquiries to the Certification Officer the 2014 Regulations, employees/workers of a trade In addition to the applications determined during this union or employers’ association may be protected if they reporting year, a further eight enquiries or applications make a relevant disclosure to the Certification Officer. A required further significant correspondence to establish relevant disclosure to the Certification Officer is defined whether the Certification Officer had powers to consider in the 2014 Regulations as being one related to fraud, and the complaints. Ultimately these enquiries were either other irregularities relating to the financial affairs of trade not pursued by the applicant, or did not relate to issues unions and employers’ associations. that could be determined by the Certification Officer. During this reporting period the Certification Officer In the period 1 April 2019 to 31 March 2020, a total received no relevant disclosures. of 740 enquiries were received. These fall under the following broad headings in the table below.

Not all enquires result in applications to the Certification Officer. For example, the Certification Officer has no jurisdiction regarding complaints about inadequate representation of members by their union (276 queries) or in relation to the provision of union benefits or membership.

Accredited Until 2020 19 Appendices

Appendix 1 List of Trade Unions at 31 March 2020

Appendix 2 List of Employers’ Associations at 31 March 2020

Appendix 3 Decisions on Trade Union Independence during the period 1 April 2019 to 31 March 2020

Appendix 4 Summary of Statistics – Trade Unions, returns received during the period 1 April 2019 to 31 March 2020

Appendix 5 Salary and Benefits of Trade Union General Secretaries

Appendix 6 Summary of Statistics – Employers’ Associations, returns received during the period 1 April 2019 to 31 March 2020

Appendix 7 Trade Unions Maintaining Members’ Superannuation Schemes at 31 March 2020

Appendix 8 Mergers completed during the period 1 April 2019 to 31 March 2020

Appendix 9 Political Funds of Trade Unions, 2018-2019

Appendix 10 Current statutory fees applicable

Appendix 11 Certification Office Publications

Appendix 12 Certification Officer Functions

Appendix 13 Certification Officer Letter to General Secretaries regarding the Pandemic

Accredited 20 Until 2020 Appendix 1 List of Trade Unions at 31 March 2020

Notes:

Italics Denotes a trade union first entered in the list during 1 April 2019 to 31 March 2020. * Denotes a trade union holding a certificate of independence at 31 March 2020. (P) Denotes a trade union with a political fund resolution in force at 31 March 2020.

England and Wales

* Accord * Advance * Affinity Aircrew Officers Association Europe Alliance for Finance * Artists’ Union England * Associated Society of Locomotive Engineers and Firemen (P) * Associated Train Crew Union * Association for Clinical Biochemistry & Laboratory Medicine, The * Association of Educational Psychologists * Association of Local Authority Chief Executives * Association of Revenue and Customs * Association of School and College Leaders

* Bakers Food and Allied Workers Union (P) Balfour Beatty Group Staff Association Boots Pharmacists’ Association (BPA) * British Air Line Pilots Association * British Association of Dental Nurses * British Association of Journalists * British Association of Occupational Therapists Limited * British Dental Association * British Dietetic Association * British Medical Association * British Orthoptic Society Trade Union

Cabin Crew Union UK * Chartered Society of Physiotherapy * Cleaners and Allied Independent Workers Union (CAIWU) * College of Podiatry, The * Communication Workers Union (P) * Community (P) Confederation of British Surgery Currys Supply Chain Staff Association (CSCSA) CWOATA Trade Union

Accredited Until 2020 21 Driver and General Union

Employees General Union Employees United Equality for Workers Union (EFWU) * Equity (Incorporating the Variety Artistes Federation) European SOS Trade Union

* FDA * Fire Brigades Union (P) * Fire Officers Association * Fire and Rescue Services Association * Finance Services Union

G4S Care and Justice Services Staff Association General Federation of Trade Unions * GMB (P) * Guild of Professional Teachers of Dance, Movement to Music and Dramatic Arts

Headmasters and Headmistresses Conference * Hospital Consultants and Specialists Association

*Independent Pilots Association *Independent Workers Union of Great Britain (IWGB) *Industrial Workers of the World Institute of Football Management and Administration * Institute of Journalists (Trade Union) * ISU

Leeds Building Society Colleague Association * Leek United Building Society Staff Association Locum Doctors Association

* Musicians’ Union (P) Myunion

* NAPO – the Trade Union and Professional Association for Family Court and Probation Staff * National Association of Head Teachers * National Association of NFU Group Secretaries * National Association of Racing Staff * National Association of Schoolmasters Union of Women Teachers (P) * National Crime Officers Association * National Education Union (P) * National House Building Council Staff Association * National Society for Education in Art and Design * National Union of Journalists * National Union of Mineworkers (P) National Union of Mineworkers (Cokemen’s Area) * National Union of Mineworkers (Colliery Officials and Staffs Area) * National Union of Mineworkers (Colliery Officials and Staffs Area) (Region No. 4) National Union of Mineworkers (South Wales Area) * National Union of Rail Maritime and Transport Workers (P) * Nationwide Group Staff Union * Nautilus International

Accredited 22 Until 2020 News Union North of England Zoological Society Staff Association

Palm Paper Staff Association * PDA Union * POA (P) Poole Greyhound Trainers Union * PPU * Prison Governors Association Professional Cricketers’ Association Professional Footballers’ Association * Prospect (P) Psychotherapy and Counselling Union PTSC * Public and Commercial Services Union (P)

* Retail Book Stationery and Allied Trades Employees Association * Royal College of Midwives * Royal College of Nursing of the United Kingdom RSPB Staff Association Rugby Players’ Association

* Sales Staff Association * SKYSHARE * Social Workers Union (SWU) * Society of Authors * Society of Radiographers (P) * Society of Union Employees (UNISON)

* Transport Salaried Staffs Association (P)

* Undeb Cenedlaethol Athrawon Cymru (National Association of Teachers of Wales) * Union of Democratic Mineworkers Union of General and Volunteer Workers * Union of Shop Distributive and Allied Workers (P) * UNISON – The Public Service Union (P) Union Workers’ Union * United Road Transport Union * United Voices of the World * Unite the Union (P) * University and College Union (P)

* Voice

WALGAS TU Warwick International Staff Association Welsh Rugby Players Association * Workers of England Union * Workers Uniting * Writers Guild of Great Britain

Accredited Until 2020 23 Scotland

* Aegis the Union * Association of Head Teachers and Deputes in Scotland

* Educational Institute of Scotland (P)

Independent Federation of Nursing in Scotland

Scottish Artists Union * Scottish Secondary Teachers’ Association Solidarity

* United and Independent Union

Accredited 24 Until 2020 Schedule to Appendix 1

This schedule contains the names of those trade unions known to the Certification Officer which are within the statutory definition of a trade union but which have not applied to be entered on the list at 31 March 2020.

Notes: (≠) Denotes a branch of an American trade union.

England and Wales

Association of Flight Attendants (Council 07) ≠ Association of Local Council Clerks Association of Trade Union Political and Public Sector Staff

Confederation of Shipbuilding and Engineering Unions

Employees Representatives

Federation of Entertainment Unions

International Transport Workers Federation

Trades Union Congress

Scotland

Professional Footballers’ Association Scotland

Accredited Until 2020 25 Appendix 2 List of Employers’ Associations at 31 March 2020

Note:

Italics Denotes an Employers’ Association first entered in the list during 1 April 2019 to 31 March 2020.

England and Wales

Advertising Producers’ Association Association of British Orchestras Association of Circus Proprietors of Great Britain Association of Indian Banks in the United Kingdom Association of Newspaper and Magazine Wholesalers Association of Plumbing and Heating Contractors

British Amusement Catering Trades Association British Lace Federation British Printing Industries Federation Builders Merchants Federation Ltd Building & Engineering Services Association

Construction Plant-Hire Association

East of England Local Government Association EEF Limited Electrical Contractors’ Association Engineering Construction Industry Association England and Wales Cricket Board Limited

Federation of Dredging Contractors Federation of Master Builders Federation of Window Cleaners

Glass and Glazing Federation

Lancashire Textile Manufacturers’ Association Leather Producers’ Association London Councils

National Association of Farriers Blacksmiths and Agricultural Engineers National Association of Master Bakers National Farmers Union National Federation of Retail Newsagents National Hair and Beauty Federation Limited National Trainers Federation North East Regional Employers’ Organisation for Local Authorities

Accredited 26 Until 2020 North Western Local Authorities Employers’ Organisation

Producers Alliance for Cinema and Television

Retail Motor Industry Federation Ltd

Showmens Guild of Great Britain Smithfield Market Tenants’ Association London South East Employers

Thermal Insulation Contractors Association 7

UK Cinema Association UK Fashion and Textile Association Ltd

Vehicle Builders and Repairers Association Limited

Welsh Local Government Association West Midlands Employers

Yorkshire and Humber (Local Authorities) Employers’ Association

Scotland

Electrical Contractors’ Association of Scotland Employers in Voluntary Housing Limited

Print Scotland

Malt Distillers’ Association of Scotland

NFU Scotland

Scottish Decorators’ Federation Scottish Engineering Scottish and Northern Ireland Plumbing Employers’ Federation

Accredited Until 2020 27 Schedule to Appendix 2

This schedule contains the names of those employers’ associations known to the Certification Officer which are within the statutory definition of an employers’ association but which have not applied to be entered on the list at 31 March 2020.

England and Wales

Association of Colleges

BFM Limited British Footwear Association British Printing Industries Federation Ltd British Travelgoods and Accessories Association

Chemical Industries Association Ltd Confederation of Paper Industries Ltd Co-operative Employers’ Association Limited

Dairy UK

East Midlands Councils

Freight Transport Association

Incorporated Guild of Hairdressers Wigmakers and Perfumers Improvement and Development Agency

London Association of Funeral Directors

Master Carvers Association Metal Packaging Manufacturers’ Association

National Federation of Roofing Contractors Ltd

Refractory Users Federation Road Haulage Association Limited

Society of London Theatre “SOLT” South West Councils

UK Theatre Association Universities and Colleges Employers’ Association

Accredited 28 Until 2020 Scotland

Angus and Kincardine Master Plumbers’ Association

Banff and Moray Master Plumbers’ Association British Packaging Association

Fife and Kinross Master Plumbers’ Association

Glasgow and West of Scotland Plumbing Employers’ Association

Inverness and Northern District Master Plumbers’ Association

Perth and District Master Plumbers’ Association

Scottish Association of Master Bakers Scottish Association of Meat Wholesalers Scottish Motor Trade Association Limited SNIPEF Edinburgh and District Branch

Accredited Until 2020 29 Appendix 3 Decisions on Trade Union Independence during the period 1 April 2019 to 31 March 2020

Certificates of independence issued

None

Certificates of independence refused

None

Certificates of independence withdrawn

None

Certificates cancelled because the union’s name was removed from the list of trade unions

None

Certificates cancelled because the union’s name was removed from the list of trade unions as the result of a merger

Independent Democratic Union

Applications in progress

None

Number of Certificates in force as at 31 March 2020

90

Accredited 30 Until 2020 Appendix 4 Summary of Statistics – Trade Unions, returns received during the period 1 April 2019 to 31 March 2020

The annual returns completed by trade unions for the Certification Officer require the accounts to be shown in a particular way. The figures used in this Appendix are taken from the summary sheets of these annual returns and provide a simple analysis of each union’s financial affairs for the year. Individual annual returns are available on the website www.gov.uk/certificationofficer or copies can be obtained from the Certification Office.

The information in the table relates to returns received during the reporting period. Although a large proportion of these returns are for the year ending 31 December 2018, the table includes returns from trade unions with year ending dates ranging from October 2018 to September 2019 and therefore due in this Office between 1 April 2019 and 31 March 2020.

Notes to the Summary of Statistics schedule

(a) The total membership reported by some trade unions includes a number of special categories (e.g. honorary or retired) who are members under the union’s rules but who either pay no contribution to union funds or make a nominal payment only.

(b) Investment income is shown net of certain items such as outgoings on property held as an investment, but not, for most unions, net of tax paid on that income.

(c) The total income and total expenditure figures are not confined to normal revenue income and expenditure. The figures cover all items which increased or decreased a union’s total funds during the year. They are inclusive of recognised gains and losses, including revaluation of property and assets and other changes in the value of assets, which are not offset by an equal change in liabilities. Tax recoveries and provisions no longer required are included in total income, and tax paid is included in total expenditure.

Accredited Until 2020 31 4,402 1,935 49,815 29,266 16,884 26,709 10,522 10,722 (13) Total 152,105 £000’s Liabilities 90,443 55,595 45,111 54,790 34,385 (12) Total 108,826 111,257 269,458 407,669 £000’s Assets 4,798 41,730 32,511 11,730 16,041 21,055 11,751 (11) 158,774 172,560 Other £000’s Assets 6,363 1,412 GROSS ASSETS GROSS 28,064 26,196 20,424 73,589 10,750 33,735 59,454 (10) £000’s Assets Investment 0 5,124 39,032 53,551 30,373 22,707 99,934 21,222 (9) Fixed 175,655 £000’s Assets : Appendix 4 61,441 61,177 38,711 18,401 44,268 32,449 (8) 104,424 117,353 396,947 £000’s End of The Year TOTAL FUNDS TOTAL 65,358 36,139 17,906 47,709 38,847 22,394 (7) (d) 105,338 112,560 332,691 £000’s Beginning of The Year 2018-2019 70,534 49,634 30,889 30,026 31,674 46,542 19,689 (c) (6) 178,060 148,817 Total £000’s GROSS Expenditure EXPENDITURE (c) 69,620 45,717 33,460 30,522 51,963 29,744 (5) 45,142, Total 182,853 213,073 £000’s Income 326 -611 4,172 4,010 2,571 2,501 7,932 (c) 19,304 43,335 (4) Other £000’s Income 866 503 578 603 1,310 4,379 1,515 1,458 2,511 GROSS INCOME GROSS (3) (b) From From £000’s Investments 68,921 48,596 37,166 39,617 29,431 29,693 21,233 (2) 162,946 167,227 From £000’s Members (a) (1) 615,558 458,142 436,051 431,610 313,565 191,438 180,646 1,369,114 1,291,017 Members Number of GMB Union Union Teachers Public and Service Union Nursing of the Nursing Union of Shop Allied Workers Workers Union Workers Communication Communication Royal College of College Royal Unite the Union Unite Distributive and Distributive United Kingdom United Union of Women Union of Women of Schoolmasters of Schoolmasters National Education Education National UNISON: The Public National Association Association National Commercial Services Commercial Summary of Statistics – Trade Unions, – Summary of Statistics page – see previous Notes

Accredited 32 Until 2020 28,970 15,451 11,618 42,738 60,322 163,166 407,104 570,270 624,626 654,021 51,461 44,314 92,974 577,438 143,201 184,978 1,458,287 2,035,825 2,271,999 2,299,304 4,342 28,856 16,917 11,490 53,435 125,366 557,583 682,949 711,355 682,555 1,362 32,834 10,452 294,886 104,280 121,900 416,083 710,968 825,700 930,304 9,643 14,285 14,096 65,605 27,431 157,286 484,622 641,908 734,944 686,442 22,491 28,863 81,356 124,656 414,372 100,463 1,465,555 1,647,374 1,645,283 1,051,183 22,807 32,205 84,606 102,872 426,397 123,553 936,826 1,363,223 1,571,382 1,314,642 26,961 26,436 35,698 73,458 123,129 254,803 782,391 1,037,193 1,146,349 1,082,978 26,645 23,095 32,448 50,368 144,913 242,778 896,747 1,139,525 1,222,342 1,413,619 182 3,101 90,545 48,213 13,668 41,669 177,369 225,582 280,918 464,628 38 6,349 2,191 3,405 2,175 10,580 22,302 32,881 38,461 49,345 6,525 48,019 21,353 22,874 15,375 183,896 697,077 881,062 902,963 899,646 48 2,897 155,792 143,866 121,463 983,767 5,708,386 6,692,153 6,695,098 6,767,824 unions Prospect Congress members 2018-2019 2017-2018 which have which have Association Trades Union Trades College Union College Total for listed listed for Total Total for above above for Total British Medical British Medical University and University unlisted unions unlisted Total for 7 other for Total less than 100,000 listed unions with listed submitted returns submitted members or more members Total for all unions for Total all unions for Total Total for 120 other for Total unions with 100,000

Accredited Until 2020 33 Appendix 5 Salary and Benefits of Trade Union General Secretaries

Title Salary Benefits (General Secretary unless otherwise stated) £ £ England and Wales Accord General Secretary 126,842 14,368 Advance General Secretary 16,404 4,992 Affinity General Secretary 101,520 30,978 Associated Society of Locomotive General Secretary 99,986 26,384 Engineers and Firemen Association of Educational General Secretary 67,602 7,487 Psychologists Association of School and College General Secretary 134,172 18,912 Leaders Association of Trade Union Political Acting General 0 100 (b) and Public Sector Staff Secretary

Bakers, Food and Allied Workers’ General Secretary 49,216 19,097 Union Bluechip Staff Association General Secretary 17,208 3,429 Boots Pharmacists’ Association (BPA), Chief Executive Officer 0 23,678 (b) The British Air Line Pilots Association General Secretary 111,822 20,507 British Association of Journalists General Secretary 35,000 613 British Dental Association General Secretary 75,000 0 British Medical Association Chairman 171,000 0

Chartered Society of Physiotherapy Chief Executive 124,142 21,711 College of Podiatry, The General Secretary 102,326 8,186 Communication Workers Union General Secretary 97,898 29,100 Community General Secretary 115,069 34,918 Confederation of Shipbuilding and General Secretary 85,422 17,340 Engineering Unions Curry’s Supply Chain Staff Association General Secretary 28,973 2,897 (CSCSA)

Driver and General Union General Secretary 10,389 77

Equality For Workers Union (EFWU) General Secretary 29,516 476 Equity (Incorporating the Variety General Secretary 111,195 6,000 Artistes’ Federation)

Accredited 34 Until 2020 Title Salary Benefits (General Secretary unless otherwise stated) £ £ FDA General Secretary 105,928 26,113 Financial Services Union General Secretary 110,992 (a) 240,579 (c) Fire and Rescue Services Association Chief Executive 45,542 3,960 Fire Brigades Union General Secretary 74,834 48,411 Fire Officers’ Association General Secretary 37,376 3,023

G4S Care and Justice Services Staff General Secretary 35,492 12,008 Association General Federation of Trade Unions General Secretary 75,000 20,981 GMB General Secretary 105,000 36,000 Guild of Professional Teachers of Dance, Movement to Music and General Secretary 15,390 0 Dramatic Arts

Headmasters’ and Headmistresses’ General Secretary 144,261 (d) 12,932 (d) Conference Hospital Consultants and Specialists Chief Executive 69,176 6,918 Association

Independent Democratic Union General Secretary 57,557 5,275 Independent Pilots Association General Secretary 40,940 2,441 Independent Workers Union of Great General Secretary 28,405 3,062 Britain (IWGB) Institute of Journalists (Trade Union) General Secretary 42,500 2,628 International Transport Workers General Secretary 180,000 32,000 Federation ISU General Secretary 80,136 0

Locum Doctor’s Association Chairperson 0 300 (b)

Musicians’ Union General Secretary 129,985 1,570 (a)

NAPO – The Trade Union and Professional Association for Family General Secretary 72,295 2,892 Court and Probation Staff National Association of Head General Secretary 141,290 25,600 Teachers National Association of NFU Group General Secretary 7,368 0 Secretaries National Association of Racing Staff Chief Executive 63,460 3,155 National Association of Schoolmasters Union of Women General Secretary 105,282 42,241 Teachers

Accredited Until 2020 35 Title Salary Benefits (General Secretary unless otherwise stated) £ £ National Crime Officers Association Secretary 36,467 577 National Education Union General Secretary 145,088 (d) 32,721 (d) National Union of Journalists General Secretary 90,467 10,903 National Union of Mineworkers Secretary 35,530 11,392 National Union of Mineworkers (Colliery Officials and Staffs Area) General Secretary 12,240 2,576 Region No 4 National Union of Mineworkers General Secretary 49,477 703 (South Wales Area) National Union of Rail, Maritime and Acting 103,902 42,678 Transport Workers General Secretary Nationwide Group Staff Union General Secretary 133,656 29,941 Nautilus International General Secretary 94,877 22,796 News Union General Secretary 86,224 3,416

PDA Union General Secretary 0 5,000 (b) POA General Secretary 73,676 36,581 Professional Cricketers Association General Secretary 126,209 8,075 Professional Footballers’ Association General Secretary 1,188,765 833,932 (e) Prospect General Secretary 116,000 15,000 Public and Commercial Services General Secretary 95,165 15,036 Union

Retail Book Stationery and Allied President 39,793 22,872 Trades Employees Association Royal College of Midwives General Secretary 125,407 (f) 23,326 (f) Royal College of Nursing of the United General Secretary 174,098 (d)(g) 117,650 (d)(g) Kingdom RSPB Staff Association Chairperson 0 1,200 (b) Rugby Players Association, The General Secretary 125,080 10,540

Social Workers Union, The General Secretary 73,892 1,436 Society of Authors, The General Secretary 100,803 8,776 Society of Radiographers Chief Executive 56,921 22,118

Trades Union Congress General Secretary 112,142 40,014 Transport Salaried Staffs Association General Secretary 87,890 24,609

Undeb Cenedlaethol Athrawon Cymru (The National Association of the General Secretary 55,124 (d) 9,435 (d) Teachers of Wales)

Accredited 36 Until 2020 Title Salary Benefits (General Secretary unless otherwise stated) £ £ Union of Democratic Mineworkers General Secretary 50,050 11,915 Union of General & Volunteer General Secretary 0 750 (b) Workers Union of Shop Distributive and Allied General Secretary 130,739 (d) 39,280 (d) Workers UNISON: The Public Service Union General Secretary 113,756 9,718 Unite the Union General Secretary 77,324 9,254 United Road Transport Union General Secretary 65,479 56,473 United Voices of the World General Secretary 23,900 0 University and College Union General Secretary 72,805 (d) 417,565 (d)(i)

Voice General Secretary 67,749 3,057

Welsh Rugby Players Association General Secretary 64,483 (h) 1,084 (h) Workers of England Union General Secretary 17,103 200 Writers Guild of Great Britain General Secretary 60,500 5,445

Scotland Aegis General Secretary 65,978 19,886 Association of Headteachers and General Secretary 67,307 11,410 Deputes in Scotland

Educational Institute of Scotland General Secretary 104,555 31,663

Independent Federation of Nursing in General Secretary 29,904 0 Scotland

Scottish Secondary Teachers General Secretary 91,556 15,850 Association

Solidarity General Secretary 8,109 40

Accredited Until 2020 37 Notes:

(a) Total paid in respect of three people holding office as General Secretary within the reporting period.

(b) Honorarium.

(c) Ex- Gratia Payments of £231,130 was paid to two people holding post for the reporting period.

(d) Total paid in respect of two people holding office as General Secretary within the reporting period.

(e) This includes a bonus of £777,183.

(f) Salary paid to General Secretary includes all aspects of the College and not just the Union.

(g) This includes payment of £99,953 made in respect of the General Secretary’s role as Chief Executive of the RCN Charter Body. The amount of £83,705 was paid to one individual as a post -employment payment.

(h) The total amount paid is for the accounting period of 17 months Jan 2018–May 2019.

(i) A post-employment payment of £400,000 was paid to one individual.

Accredited 38 Until 2020 Appendix 6 Summary of Statistics – Employers’ Associations, returns received during the period 1 April 2019 to 31 March 2020

The figures used are taken from the summary sheets of the annual returns received from employers’ associations and provide a simple analysis of each association’s financial affairs for the year. Individual annual returns are available on the website or can be viewed at, or obtained from, the Certification Office. Where an association has functions outside the field of employment relations, the return may relate to its activities as a whole and not merely to its employment relations functions.

The information in the table relates to returns received during the reporting period. Although a large proportion of these returns are for the year ending 31 December 2018, the table includes returns from employers’ associations with year ending dates ranging from October 2018 to September 2019 and therefore due in this Office between 1 April 2019 and 31 March 2020.

Notes

(a) Income from investments includes interest on short term deposits.

(b) Total income and gross expenditure figures are not confined to normal revenue income and expenditure. The figures include all items which increased or decreased an association’s funds during the year. This includes any increases or decreases in the valuation of property and other assets. Tax recoveries and provisions no longer required are included in total income and tax paid is included in total expenditure.

(c) Some figures may have changed from last year’s report due to later information.

Accredited Until 2020 39 35 95 342 270 217 1,109 2,692 1,898 7,239 1,237 8,052 (13) 80,168 10,175 17,506 Members Number of 800 6,684 4,757 3,906 6,049 7,223 2,164 (12) Total 14,514 19,617 32,454 37,799 16,955 36,667 £000’s 109,609 Liabilities 6,494 7,162 5,800 9,126 (11) Total 20,957 25,750 18,590 62,070 28,976 88,747 14,909 10,420 £000’s Assets 120,857 155,942 922 6,218 7,514 9,015 4,285 5,508 9,496 6,664 2,032 (10) 65,436 19,393 24,426 12,704 13,086 Other £000’s Assets 0 0 0 0 50 416 100 6,979 2,426 GROSS ASSETS GROSS (9) 53,956 47,891 24,079 49,534 £000’s 128,564 Investments 276 292 1564 2362 1,324 1,465 2,596 4,997 1,475 3,975 5,962 2,827 (8) 26,127 19,864 Fixed £000’s Assets 1,635 1,894 1,340 8,860 1,903 8,256 6,362 (7) -8,020 11,248 52,080 55,386 24,219 £000’s End of -12,049 123,488 The Year TOTAL FUNDS TOTAL 8,580 1,026 2,736 1,102 8,783 2,001 8,290 5,738 (c) (6) -8,114 58,079 56,510 24,899 £000’s -14,233 128,754 Beginning of The Year 9,078 5,583 6,850 7,710 5,645 4,497 (b) (5) 62,701 10,486 50,080 42,065 30,578 11,898 11,725 168,066 £000’s GROSS EXPENDITURE 9,172 4,741 7,088 7,030 5,611 5,121 (b) (4) Total 64,885 11,095 44,081 36,799 30,655 11,800 10,601 £000’s Income 170,734 835 134 7,464 4,215 1,080 6,498 7,831 5,593 2,575 1,386 1,558 (3) 20,177 24,651 Other £000’s Income 170,004 4 11 28 14 730 633 356 284 -536 -262 -299 2,930 3,972 2,006 (a) GROSS INCOME GROSS (2) From From £000’s Investments 0 562 3,965 3,893 4,375 5,256 4,099 3,941 1,557 3,650 (1) 45,244 16,500 31,992 30,507 From £000’s Members Employers’ Associations with Associations Employers’ income £2,500,000 total over England and Wales Cricket Cricket England and Wales Limited Board London Councils EEF Limited Union Farmers National Association Transport Freight Limited Association Haulage Road Limited Building & Engineering Services Association Contractors Electrical Association of Colleges Association of London Theatre Society “SOLT” Industry Motor Retail Limited Federation Builders of Master Federation Contractors Electrical of Scotland Association Industries Chemical Limited Association Summary of Statistics – Employers’ Associations, 2018-2019: Appendix 6 Associations, – Employers’ Summary of Statistics

Accredited 40 Until 2020 2 52 200 549 468 6,732 1,250 3,627 1,324 8,318 14,970 12,268 159,093 180,795 187,871 511 760 945 919 1,653 6,589 4,676 1,016 1,401 2,384 19,506 32,539 320,057 372,102 342,707 8,652 7,297 2,561 7,855 1,180 3,431 2,729 3,668 3,887 38,540 78,038 12,190 629,252 745,831 727,726 840 715 833 3,346 2,561 1,645 3,417 2,559 2,705 2,704 11,040 26,539 208,025 245,604 268,065 0 3 0 0 0 437 466 2,197 2,890 1,946 24,790 36,694 323,499 384,983 339,417 0 14 465 498 170 164 7,375 3,948 2,710 4,013 7,540 97,728 14,806 115,244 120,244 6,999 2,723 6,786 7,095 2,415 1,328 2,968 9,807 -4,028 -3,496 45,499 19,035 309,194 373,729 385,019 7,300 2,552 6,510 7,510 2,059 1,367 2,910 9,528 -2,829 -3,112 44,630 20,858 317,943 383,432 373,667 3,292 3,438 2,754 3,830 4,854 4,050 3,048 3,197 3,014 3,752 24,331 18,859 462,191 505,381 472,701 2,991 3,609 3,030 2,631 4,439 3,666 3,404 3,158 3,072 4,031 25,200 17,036 453,442 495,678 484,053 851 515 800 1,722 3,157 2,071 1,980 9,341 6,143 1,420 1,570 2,074 270,161 285,645 273,323 2 0 1 3 59 37 72 23 16 575 826 1,132 10,910 12,617 15,077 436 957 651 3,529 1,131 2,245 2,852 1,585 2,200 1,246 14,727 10,317 172,371 197,416 195,653 National Federation of Retail Retail of Federation National Newsagents Glass and Glazing Federation Industries British Printing Federation Trade Motor Scottish Limited Association Cinema Alliance for Producers Limited and Television of Federation National Limited Contractors Roofing NFU Scotland Guild of Great Showmen’s The Britain, Dairy UK Limited of England Local East Association Government Employers’ above for Total Associations 37 other listed for Total Associations Employers’ 27 other unlisted for Total Associations Employers’ all Employers’ for Total 2018-2019 Associations all Employers’ for Total 2017-2018 Associations

Accredited Until 2020 41 Appendix 7 Trade Unions Maintaining Members’ Superannuation Schemes at 31 March 2020

Note: * Denotes schemes exempt from the need for actuarial examination. These three schemes are reported on within Unite the Union’s annual return each year.

GMB (BMS Section Members’ Superannuation Fund)

National Union of Rail Maritime and Transport Workers (Orphan Fund)

Unite the Union: (6 schemes listed below) AEEU Section Superannuation Scheme British Aerospace Senior Staff Association Superannuation Fund Litho Printers’ Section Superannuation Fund Plate Preparers’ Section Superannuation Fund* MSF Section Craft Members (formally known as Sheet Metal Workers) Superannuation Fund* TGWU Members/National Vehicle Builders Union Members’ Superannuation Scheme *

Accredited 42 Until 2020 Appendix 8 Mergers completed during the period 1 April 2019 to 31 March 2020

Trade Union: Transfers of Engagements

Engagements transferred from To Transfer registered on BLUECHIP Staff Association Community 2 July 2019 Independent Democratic Union Community 27 January 2020

Trade Union: Amalgamations

Amalgamating Unions Forming Amalgamation registered on None

Employers’ Association: Transfers of Engagements

None

Employers’ Association: Amalgamations

None

Accredited Until 2020 43 £ (7) End 61,742 40,368 40,000 43,917 -6,594* of Year Fund at 613,000 294,000 658,638 897,000 385,240 120,783 116,000 120,301 652,054 40,250 1,710,087 2,819,352 £ (6) 52,985 31,118 41,642 49,980 12,000 14,000 69,540 -77,837 of Year Fund at 629,000 186,000 591,652 484,000 246,861 140,030 512,786 Beginning 1,146,512 2,681,649 Political Fund (a) Political £ 2,625 5,659 6,250 (5) 85,000 33,287 32,916 31,695 49,468 48,000 55,576 174,529 124,000 172,567 153,000 153,750 1,088,206 2,573,000 Expenditure £ 1,351 7,126 (4) 69,000 41,673 40,827 56,420 76,000 Income 170,990 187,847 245,332 232,000 239,553 255,000 194,844 128,004 1,651,781 2,986,000 0 3 0 16 23 86 664 272 793 8,007 4,915 3,130 (3) 16,366 24,801 23,024 29,382 15,723 to the to Members Number of contributing exempt from exempt Political Fund Political 213 944 1,539 8,280 5,698 9,604 3,664 8,502 6,771 2,241 (2) 17,960 34,003 65,847 65,046 29,382 23,881 to the to 432,052 Number of contributing Political Fund Political Members not Members 98 3,999 (1) 20,885 16,516 19,476 39,706 26,999 20,715 76,439 22,399 24,062 15,615 to the to 157,435 549,711 248,519 114,484 156,765 Members Number of contributing Political Fund Political Bakers Food and Allied Workers Union and Allied Workers Food Bakers Union Workers Communication Community Scotland of Institute Educational Union Brigades Fire GMB Musicians’ Union Teachers Women Union of of Schoolmasters Association National Union Education National Union of Mineworkers National Workers Transport Union of Rail Maritime and National POA Prospect Services Union Public and Commercial of Radiographers Society Association Salaried Staffs Transport Associated Society of Locomotive Engineers and Firemen Engineers of Locomotive Society Associated Appendix 9: Political Funds of Trade Unions, 2018-2019 Trade Funds of Appendix 9: Political

Accredited 44 Until 2020 14,387 1,294,165 41,346,690 35,349,209 18,736,000 12,696,000 13,592 929,039 34,526,549 34,031,244 14,909,000 11,863,000 156,685 4,004,000 1,740,977 5,321,000 16,012,190 22,741,229 157,480 7,831,000 2,106,103 6,154,000 22,832,331 24,059,274 0 5,579 39,220 26,969 198,973 211,812 41,887 36,073 305,446 209,943 765,053 1,308,976 79.576 395,537 985,571 1,159,171 4,133,678 4,604,808 Union of Shop Distributive and Allied Workers Workers and Allied Union of Shop Distributive UNISON: The Public Service Union the Union Unite Union and College University in this reported funds which the 21 unions with political for Total period in the reported funds which the 21 unions with political for Total period previous Notes: The information in the table is derived from annual returns received during 2019-2020, most of which relate to the year ending December 2018. to the relate of which during 2019-2020, most received returns annual from table is derived in the The information Notes: to (1st January to the short financial period year and due start of the membership at the contributions fund political collected the NEU fact that to the was due *The deficit year. financial in the current contributions fund £550,000 in political over received It has now a small number of joiners. for it only collected August) 31st

Accredited Until 2020 45 Appendix 10 Current statutory fees applicable

Fees are set by the Secretary of State and were amended in Parliament by The Certification Officer (Amendment of Fees) Regulations 2005 (SI 2005/713) under the provisions of sections 108 and 293 of the Trade Union and Labour Relations (Consolidation) Act 1992.

Current Fee Application for entry in the list of trade unions £150 Application for entry in the list of employers’ £150 associations Application for entry in the list of an amalgamated organisation where each amalgamating organisation £41 was already entered Provision of a certificate of independence to an amalgamated union where each amalgamating £41 organisation already had a certificate of independence Application for approval of a change of name £96 Application for a certificate of independence £4,066 Application for formal approval of an instrument of transfer of engagements or an instrument of £1,850 amalgamation Inspection of merger documents £19

Accredited 46 Until 2020 Appendix 11 Certification Office Publications

The latest version of the following Certification Office publications are available to be printed or downloaded from the Certification Officer’s website: www.gov.uk/certificationofficer. Printed copies may also be obtained free of charge on application to the Certification Office.

• Guidance on making a complaint to the Certification Officer against a trade union

• Disclosure of identity of individuals making applications and complaints to the Certification Officer

• Guidance on procedure at formal hearings of the Certification Officer

• Financial Irregularities in trade unions and employers’ associations: the approach of the Certification Officer in exercising his powers of investigation

• Independence: a guide for trade unions wishing to apply for a certificate of independence

• Mergers: a guide to the statutory requirements for transfers of engagements and amalgamations of trade unions

• Mergers: a guide to the statutory requirements for transfers of engagements and amalgamation of employers’ associations

• Political funds: a guide for trade unions and employers’ associations wishing to establish a political fund

• Political funds: a guide on the provisions in the Trade Union Act 2016

• Political funds: a guide to review ballots

• Trade Union’ Register of Members: the Certification Officer’s powers of investigation and enforcement

• Certification Officer’s Publication Scheme

• Annual Reports of the Certification Officer

• Guidance on The Certification Officer’s Role as a Prescribed Person for the Purposes of Public Interest Disclosure Act 1998’ – ‘whistleblowing’

• How to apply to be entered on the list of trade unions

Accredited Until 2020 47 Appendix 12 Certification Officer Functions

Certification Officer’s functions are contained in the Trade Union and Labour Relations (Consolidation) Act 1992 (as amended) (referred to in this report as “the 1992 Act” or “the Act”). They are summarised here, along with links to the related guidance, containing full details of the Certification Officer’s statutory duties. The Certification Officer’s functions include the responsibility:

under Part I, Chapter I – for maintaining a list of trade unions and for determining the independence of trade unions;

See: • Apply to have a trade union or employers’ association on the public list • How trade unions apply for a certificate of independence

under Part I, Chapter III – for dealing with complaints by members that a trade union has failed to maintain an accurate register of members or failed to permit access to its accounting records; for seeing that trade unions keep proper accounting records, have their accounts properly audited and submit annual returns; for the investigation of the financial affairs of trade unions; for ensuring that the statutory requirements concerning the actuarial examination of members’ superannuation schemes are observed; and for dealing with complaints that a trade union has failed in its duty to secure that positions in the union are not held by certain offenders;

See: • Complain to the Certification Officer about a trade union or employers’ association • Complain about financial irregularities in a trade union or employers’ association • BEIS Guidance: trade union register of members and membership audit certificate requirements

under Part I, Chapter IV – for dealing with complaints by members that a trade union has failed to comply with one or more of the provisions of the Act which require a trade union to secure that its president, general secretary and members of its executive are elected to those positions in accordance with the Act;

See: • Complain to the Certification Officer about a trade union or employers’ association

under Part I, Chapter VI – for ensuring observance by trade unions of the statutory procedures governing the setting up, operation and review of political funds; and for dealing with complaints about breaches of political fund rules or about the conduct of political fund ballots or the application of general funds for political objects;

See: • Set up a political fund for a trade union or employers’ association • Political funds: a guide to review ballots

under Part I, Chapter VII – for seeing that the statutory procedures for amalgamations, transfers of engagements and changes of name are complied with, and for dealing with complaints by members about the conduct of merger ballots;

See: • Mergers between trade unions

Accredited 48 Until 2020 under Part I, Chapter VIIA – for dealing with complaints by members that there has been a breach, or threatened breach of the rules of a trade union relating to the appointment, election or removal of an office holder; disciplinary proceedings; ballots of members other than in respect of industrial action; or relating to the constitution or proceedings of an executive committee or decision making meeting;

See: • Complain to the Certification Officer about a trade union or employers’ association under Part II – for maintaining a list of employers’ associations; for ensuring compliance with the statutory requirements concerning accounting records, annual returns, financial affairs and political funds; and for ensuring that the statutory procedures applying to amalgamations and transfers of engagements in respect of employers’ associations are followed.

Accredited Until 2020 49 Appendix 13 Certification Officer’s Letter to General Secretaries regarding the Pandemic

Certifi cation Offi ce for Trade Unions & Employers’ Associations

To: General Secretaries of Trade Unions Your ref: Our ref: By E-mail only Date: 01 May 2020

Dear General Secretary

Complaints Arising from Acti on Taken in Response to the COVID-19 Pandemic

I hope that this lett er  nds you and those around you, well.

Over the last few weeks I have received a number of queries from Unions who have reported to me that they are unable to comply with the requirements of their Rules, or with the Trade Union and Labour Relati ons (Consolidated) Act 1992 (“1992 Act”), because of the current Government guidance on dealing with the COVID-19 pandemic. I am also aware that there is concern that a Union may be the subject of complaints to me where it has taken a decision to act outside of its Rules by, for instance, deferring an electi on or meeti ng. It might, therefore, be helpful if I set out my approach to the current situati on.

I recognise that by following speci c Government guidance you may  nd it diffi cult to meet some of the requirements of the 1992 Act and your own Rules. In deciding how to move forward your  rst priority must be to safeguard your Members, staff and the wider public by following the Government’s advice on dealing with the COVID-19 pandemic. Should this mean that you are likely to  nd yourself in breach of the 1992 Act, or your Rules, then I recommend that you consider the following questi ons when reaching a decision about how to proceed:

1. The health and safety of Union Members, staff and the wider public should be your primary concern.

2. Is it possible to comply with the relevant Union Rules or the relevant statutory provisions and the Government guidance by some other means? For instance, is it possible to hold a meeti ng using video or teleconferencing, or could the Union off er access to accounti ng records electronically rather than by giving access to paper copies in an offi ce environment?

3. If an electi on is due, can the Union’s electi on scruti neer off er any advice as to the best way forward?

4. When is the Union likely to be in a positi on to comply with the relevant Rule or statutory provision and what is the best way to achieve that?

5. Is it possible to engage with the Union’s Members, or those aff ected by the decision if it aff ects a Branch or Secti on, about the best way forward? It may not be possible for you to do that in advance of a decision, but the Union should be in a positi on to explain to Members the reasons for a decision and the Union’s plans to bring it back into compliance once the government has removed or eased existi ng restricti ons.

Cont/d

www.gov.uk/certifi cationoffi cer

Accredited 50 Until 2020 (2)

6. What is the best way to document the Union’s decision, including recording its reasons, how the decision was taken and who it consulted before taking the decision?

The above is not intended to be an exhausti ve list of matt ers that you will need to consider in such circumstances, and you should give appropriate regard to any other factors that may be relevant.

It is, of course, for each Union to decide what is right for its Members and diff erent Unions may take diff erent decisions in what may appear to be similar circumstances. My team is happy to discuss our broad advice with Unions; however, we cannot give you detailed advice or guidance as to the right decision for your Union. Nor do we have the power to enable any Union to breach its Rules, or the 1992 Act, or to indemnify Unions from complaints from its Members.

I recognise that some Union Members may exercise their right to complain to me about breaches of Rules or the 1992 Act which have occurred solely because of the Government guidance on dealing with the COVID-19 pandemic. I propose to deal with such complaints in the usual way, but it will be more effi cient for all of us if I am noti  ed of any breaches, and the reasons for them, as soon as they occur. This will enable me to take the Union’s positi on into account when considering the initi al complaint and may lead to the complaint being closed at an early stage. Consequently, it would be helpful if you could let me know if your Union has taken a decision to breach its Rules or the 1992 Act for reasons related to the COVID-19 pandemic, why that was necessary, your plans for bringing the Union back into compliance and what steps have been taken to share that with your Members. This may enable me to close a complaint at an early stage. Even if it does not, an acceptance of the breach, an explanati on of the reasons for the breach and the Union’s plans for achieving compliance in the future may enable me to bring the complaint to a swift er conclusion. It may be possible to do so without a Hearing but, where a Hearing is necessary, the fact that a Union has accepted that a breach has occurred may limit the scope of any Hearing to whether an enforcement order is appropriate.

I should add, however, that where a breach has occurred for reasons which are not solely related to the pandemic it is likely that I will deal with that breach in the usual way in accordance with my statutory powers. It is, therefore, important that Unions consider whether an alternati ve approach, as highlighted at point two above is considered and document the reasons why this is, or is not, appropriate.

You may also be aware that, as for other Courts and Tribunals, we are aiming to use video conferencing for some hearings during the current restricti ons, where it is appropriate to do so. If that proves successful, we may be able to use such technology for some shorter hearings in the future which, in turn, should reduce the costs to all involved.

If you have any queries about this guidance or wish to noti fy me of any decisions relati ng to the above taken by your Union, then please do get in touch. We are all working away from the offi ce so please send any correspondence by email to certoffi ce@certoffi ce.org. Please do not send any correspondence by ordinary mail as we may not receive it unti l we return to the offi ce.

Yours sincerely

Sarah Bedwell Certi  cati on Offi cer

Accredited Until 2020 51 Certification Office for Trade Unions and Employers’ Associations

Lower Ground Floor, Fleetbank House, 2-6 Salisbury Square, London EC4Y 8JX Tel 0330 109 3602 email: [email protected]