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 – and Employers’ Association Data Statutory Fees Certification Office Publications Certification Officer Functions 2018-19 The Rt Hon Greg Clark MP Secretary of State for Business, Energy and Industrial Strategy 1 Victoria Street 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 2018 to 31 March 2019.

Sarah Bedwell The Certification Officer 28 June 2019

Accredited 2 Until 2020 Review of the year

This Report explains the work of the Certification Office At the same time we have been working with trade over the last year. We have adapted a new format for this unions on those parts of the Act which have already period to highlight our core activities, reflect on some been implemented. This year we have offered advice issues which have arisen over the year and share some and guidance to unions on compliance with the new statistics about trade unions and employers’ associations. annual requirement to advise all new union members We hope that you will find this format more accessible that they have the right to withdraw any previously given and we welcome any feedback. notice to opt-in to the political fund. And we have been working with unions, and their advisers, on the reporting Working Principles requirements which relate to ballots for industrial This has been my first full year in the role of the action. For some unions, this is a significant and resource Certification Officer which has given me the opportunity intensive change to their reporting arrangements. My to consider how my team can support unions and office has greatly appreciated trade unions’ input and employers’ associations to work within the statutory involvement with regards to the process for submitting framework. I recognise the important role played by and receiving this information. This joined up working has unions in society and the value which they bring to the resulted in improving systems for both us and them. economy and the workforce. Consequently, it is important that my team works in a way which enables unions to Complaints from Union Members meet their statutory responsibilities and supports them We have determined 18 applications brought by union with advice and guidance where appropriate. Together members, 11 of which were determined at a hearing. with my team, I have adopted the following principles to I appointed HHJ Jeffrey Burke QC to hear complaints guide our work: brought by Mr Gerard Coyne against and • We will follow the principles of Better Regulation heard all other complaints myself. where they are compatible with our statutory framework. In particular, I or those acting on my Most of these complaints have alleged a breach of union behalf, will explain why I have reached a decision rules; usually in relation to an election or to the use on the use of my powers and when considering of disciplinary procedures. Whilst each complaint has complaints. been different in nature, and the volume of complaints • We will provide an open, accessible and is relatively small, we have been able to identify two efficient service to all of our service users and trends both of which fall within a general heading of good stakeholders. governance. • We will work alongside our stakeholders, including the Government and trade unions, to The first is the lack of notes recording a decision. In some deliver our statutory functions. cases, this may be because a note was not taken of an • We will be impartial when dealing with important decision; in others a note may have been taken complaints from union members offering but the note does not record the reasons, or justification guidance on our powers as necessary. for a decision. Of course the lack of notes, or the quality of those notes, is not necessarily a breach of rules; that Trade Union Act 2016 would only be the case where a union‘s rules required a We had expected that the remaining parts of the Trade note to be taken. But it does leave the union in a position Union Act 2016 would have been implemented during where it may be difficult to satisfy itself that a decision this year. Whilst this has not been the case, my team was taken properly or to explain, at a later date, why have ensured that we have draft policies and procedures the decision was taken. It also leaves the union open to prepared so that we can begin a period of consultation challenge; for instance through a complaint to myself. My as soon as implementation is announced and draft advice to unions is to ensure that appropriate records are regulations have been laid in Parliament. kept of all significant decisions, even at Branch level. It is not necessary for the record to be comprehensive but

Accredited Until 2020 3 a note of the decision, who took it and the reasons for costs for legal services. It is estimated that the costs of that decision would enable the union to better account services such as IT equipment, its maintenance, HR and for a decision when challenged. It may be necessary for other support services provided by Acas was £293,000. Regional Officials to support Branch Officials in this area My salary as Certification Officer was £125,695 which is and I would encourage unions to look at the best way to taxed under PAYE. This is pensionable with employer’s do this. contributions of £30,795. It should be noted that although costs have increased to ensure I can carry The second is not so easily resolved. It is rare for most out my increased functions from both the Lobbying unions to take disciplinary action against its members. Act and the Trade Union Act, the latter has yet to be Consequently, the disciplinary procedures in place are fully implemented and further cost increases should be used infrequently and are, in some cases, out of date. expected. This may be because of changes in disciplinary practice or in the governance of the union, or because of changes in Looking Forward expectations within the union or in society more widely. For the coming year, my team continues to prepare In practice this means that some unions only discover for the implementation of the Trade Union Act 2016. that their disciplinary procedures are out of date, and We will also work closely with those unions preparing potentially impractical, when they need to use them to annual returns under the new provisions. On a personal deal with a difficult issue. My advice to unions is that they note our Assistant Certification Officer, Gerard Walker, should review their disciplinary procedures regularly. This will be leaving us after several years working within the needs, of course, to be proportionate bearing in mind Office including approximately 18 months as Certification that it is rare for unions to use the procedures; however, Officer immediately before my appointment. We will miss the union should at least review the procedures where Gerard’s commitment and experience and the whole they have changed the governance arrangements within team wish him well for the future. a union or where they can foresee the likelihood of an increase in disciplinary cases. If they do not do so then Finally, I am grateful for the support of my team and they may find themselves using out of date procedures colleagues from ACAS and BEIS to enable me to fulfil my which are no longer fit for purpose. role and ensure that I meet my statutory responsibilities.

I would add that, as I have identified above, records of all decisions are important to demonstrate accountability. Where a Branch is responsible for a disciplinary procedure officials may need support from their Regional Office to manage the disciplinary procedure within the rules as well as ensuring that decisions are properly recorded.

Advice and Guidance Our website has continued to be the primary source Sarah Bedwell for people to obtain information about the work of the Certification Officer Certification Office. We now ensure that where possible, all new documents on the website are in an accessible format. We welcome any feedback on the accessibility of our guidance as well as the content.

Cost of office The net cost of the office was £810,037. This represents a significant increase of £158,667 or 24%. This is a result of a combination of increase to costs, namely, the fact that this is the first year of my appointment as a full time Certification Officer, combined with other increases in staffing resources, related to the Trade Union Act 2016; significant increase in accommodation costs; the cost of appointing an Assistant Certification Officer, prior to my appointment to hear complex cases; and an increase in

Accredited 4 Until 2020 The Certification Office (31 March 2019)

1 Certification Officer 8 Staff Members

Functions of the Certification Officer

Determine complaints Ensure compliance Ensuring 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

42 Allegations of breach of union rules 8 Unions reviewed

4 Allegations of breach of statute

2 Unions added

18 Cases considered by the CO including withdrawals

6 Unions and 1 employers’ association removed

11 Cases considered at a hearing

2 Transfer of engagements 8 Declarations made by the CO against a union for breaching its rules

1 Certificate of Independence approved 6 Enforcement orders

Accredited 6 Until 2020 Trade Unions – Overview of the year

Trade Union Membership

13.2 Million

Drop of 48%

6,875,231 94% of annual Drop of 1.6% returns received on time

6,767,824 Trade Union Membership Trade

1979 2017-18 2018-19

Income from members Gross expenditure £899.65 million £1,082.98 million

Decrease of 1.9% Decrease of 23% from previous year from previous year

Gross income £1,413.62 million

Increase of 9% from previous year

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

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

They also appear on the website of the Total Trade Unions: 142 Certification Officer, (on list and schedule) www.gov.uk/certificationofficer

Review of Trade Unions 91 Following a query about the status of the National Union 2121 of Mineworkers (NUM) and the NUM area offices, the Certification Officer carried out a review of the NUM and Trade Unions Trade Unions the six area offices. holding Certificate with Political of Independence Funds Having looked at the above mining unions, the Certification Officer also decided to review the status of the Union of Democratic Mineworkers. Total Employers’ Associations: 90 As a result of the reviews, two unions, the National Union (on list and schedule) of Mineworkers (North East Area) and the National Union of Mineworkers (Scotland Area), were removed from the schedule of trade unions.

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 37 employers’ associations which met the statutory definitions but which had not sought to be listed. These are on the schedules to the relevant lists.

Accredited 8 Until 2020 Additions and Removals

Two trade unions were added to the list and schedule These were either dissolved, merged into another union during the period 1 April 2018 to 31 March 2019. Six trade or deemed to no longer meet the statutory definition of a unions and one employers’ association were removed from trade union or employers’ association. the lists and schedules during this period.

Table 1 – Organisations added or removed from list or schedule

Employers’ Region Trade Unions Associations Added and • Poole Greyhound Trainers Union (Listed) • Psychotherapy and Counselling Union

England and Wales • National Association of Co-operative Officials (Listed) • • ASPSU England and Wales • National Union of Mineworkers • Lanarkshire Master Removed (Scheduled) (North East Area) Plumbers Association Scotland (Scheduled) • Scottish Colliery Enginemen Boilermen & Tradesmen’s Association • National Union of Mineworkers (Scotland Area)

Figure 1 – Changes between 1 April 2018 and 31 March 2019 in number of organisations on list and schedule

Listed Trade Unions 134 133

12 Scheduled Trade Unions 9 53 Listed Employers’ Associations 53

38 Scheduled Employers’ Associations 37

2018 2019

Certificates of Independence A trade union which is on the list of trade unions may No formal reviews of existing certificates of independence apply for a certificate of independence. Independence is were undertaken during the period. defined as meaning independence from an employer or group of employers. Two certificates of independence were cancelled because the unions concerned ceased to exist, both of which were During the reporting period, the Certification Officer as a result of a merger. These were: issued one certificate of independence to the Cleaners • National Association of Co-operative Officials; and and Allied Independent Workers Union (CAIWU). This was • Britannia Staff Union issued on 3 December 2018. On 31 March 2019 there were 91 unions which held a certificate of independence.

Accredited Until 2020 9 Chapter 2 – Annual Returns

A trade union or employers’ association is required to and employers’ associations which submit annual returns submit an annual return to the Certification Officer in any given reporting year is seldom the same as the before 1 June in the calendar year following the year to number of unions and employers’ associations on the which the annual return relates. This applies to most list as at the end of the reporting year. This is because organisations (70%) whose financial year coincides organisations which have ceased to exist still have to with the calendar year and ends on 31 December. The submit an annual return and new organisations may not remaining 30% have differing reporting periods that have have to submit a return until the next reporting period. been agreed by the Certification Officer.

6,767,824 members of trade unions Copies of the annual returns and the rules of trade unions and employers’ associations from 1974 onwards are available for public inspection. The returns of existing organisations are available from the Certification Office. 5,788,562 members in 13 largest unions The returns of former trade unions and employers’ associations are mainly kept at The National Archive where they are available for inspection. Trade Union Membership Information The trade unions from which returns were received, recorded a total membership of 6,767,824 (see The Certification Officer’s responsibility is to ensure Appendix 4). that accounts in the prescribed form covering all funds administered by the organisation are available for public The 13 unions with a membership of over 100,000, inspection. Annual returns are checked for discrepancies, accounted for 5,788,562 members or 85.5% of the total. but the Certification Officer makes no comment on the financial status of trade unions or employers’ associations.

By 31 March 2019 all due returns had been received. Only 6% of organisations submitted their annual returns 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 233 trade unions and employers’ associations submitted returns for this period. The number of unions

Accredited 10 Until 2020 Table 2 – Distribution of trade union membership 2018-19

Membership Number of Unions of all Unions

As a Percentage As a Percentage Number of Members Number of Unions Membership Under 100 22 – 519 15.1 100-499 26 0.1 7,510 17.8 500-999 14 0.2 10,476 9.6 1,000-2,499 28 0.6 42,885 19.1 2,500-4,999 8 0.4 30,220 5.5 5,000-9,999 8 0.9 61,113 5.5 10,000-14,999 5 0.9 61,799 3.4 15,000-24,999 9 2.6 177,032 6.2 25,000-49,999 12 5.8 394,925 8.2 50,000-99,999 3 2.8 192,783 2.1 100,000-249,999 5 19.0 1,282,922 3.4 250,000 and over 6 66.6 4,505,640 4.1 Total 146 100.0 6,767,824 100

Returns received in the period show the distribution of Membership Audit Certificate trade union membership by size in Table 2, above. Where trade union membership exceeds 10,000, a union is required to appoint a qualified independent person to The trade union membership of 6,767,824 recorded in be an assurer to provide to the union a membership audit this annual report compares to 6,875,231 reported in the certificate. The certificate must state whether, in the previous annual report. assurer’s opinion, the trade union’s system for compiling and maintaining the register of the names and addresses This shows a decrease of 107,407 members or 1.6%. The of its members was satisfactory for the purposes of total recorded membership of around 6.8 million compares complying with the union’s duties throughout the with a peak of 13.2 million in 1979, a fall of about 48.5%. reporting period. Where a trade union’s membership is less than 10,000, the membership audit certificate must Figure 2 shows the trade unions whose membership has be completed by an authorised officer of the union. decreased by 10,000 members or more since the previous reporting period. Only one trade union, Unite the Union, In this reporting year 153 membership audit certificates increased its membership by more than 10,000. were due and received. No circumstances arose leading the Certification Officer to use her investigatory powers. Figure 2 – Decreased membership over 10,000 No complaints regarding a union’s membership audit members certificate were received during this reporting period. 2016-17 2017-18

1,397,803 1,377,006

Association of Teachers 192,646 and Lecturers 153,093

National Union 372,937 of Teachers 338,033

Accredited Until 2020 11 Trade Union Financial information The net assets were £385.02 million compared to From the returns received during this reporting period, £375.92 million the previous year, an increase of 2.4%. the gross income of trade unions was £1,413.62 million (see Appendix 4) an increase of 9.4% on that recorded by unions in the previous year. Income from members fell by Salaries and benefits 1.9% to 899.65 million. Income from investments fell by Trade unions are required to include in their annual 5.9% and income from other sources rose by 44.3%. returns to the Certification Officer information about 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 20% of unions paid a TU Income TU Expenditure TU Assets salary to their general secretary of over £100,000; 19% paid between £60,001 and £100,000; 12% paid between 2016-17 2017-18 £30,001 and £60,000; 11% paid up to £30,000; while the general secretaries of 38% 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 £2,299,304 £1,413,619 £1,082,978 £1,429,402 £2,173,091 £1,291,920 payment to its general secretary.

Figure 4 – Distribution of salaries paid as a Gross expenditure by unions during this reporting period percentage of all unions fell by 23.4% to £1,082.98 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 £1,645.28 million (see Appendix 4), an increase of 25.8 % over the previous period. Over 100K No Salary 20.2% 33.4% From the returns received in this period, the figures show the gross income of employers’ associations was £484.06 million (see Appendix 4) compared with £449.04 million recorded for the previous year, an increase of 7.8%. Income from members rose from £191.76 million to £195.65 million, an increase of 2%. Income from 60-100K 19.4% investments rose from £12.53 million to £15.08 million, Up to 30K an increase of 20.3%. Other income rose from £244.75 11.1% million to £273.33 million an increase of 11.7%. During 30-60K the same period, expenditure fell from £486.52 million to 11.8% £472.70 million, a decrease of 2.8%.

There were no returns received by the Certification Officer during this reporting period containing an audit report in which the auditors gave a qualified opinion as to Total Trade Union Assets: £2,299m whether the return gave a true and fair view.

Total Employers’ Association Assets: £728m Trade unions must send a statement to all members containing certain information from the union’s annual return for that year. The statement must be sent no later than eight weeks from the Total Political Fund Assets: £35m day on which the annual return is sent to the Certification Officer.

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 and a copy of each actuarial report sent to the Certification Officer.

At the end of the reporting period there were eight members’ superannuation schemes known to the Certification Officer 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 and none are due in the next reporting period.

Information on Industrial Action, Ballots and Political Funds New duties on trade unions to include information about industrial action and more detail on political fund expenditure in their annual returns have begun to apply to reporting periods beginning after 1 March 2017. For the majority of trade unions this will mean that they will provide this information for the first time in their annual returns for the period ending 31 December 2018 which should be provided to me by 1 June 2019.

However, a small number of unions (23) were required to report on this information in this reporting year.

Of these, two unions reported on industrial action taken during this reporting period (National Union of Journalists and University and College Union).

All 23 unions submitted the information as required without the need for the office to make further enquiries.

Accredited Until 2020 13 Chapter 3 – Mergers

There are statutory procedures for trade unions and The two registered transfers of engagements were unincorporated employers’ associations to join together National Association of Co-operative Officials to Union of in two ways; these are commonly known as mergers but Shop Distributive and Allied Workers and Britannia Staff are either transfers of engagements or amalgamations Union to Unite the Union. Details are given at Appendix under the Trade Union and Labour Relations 8. These involved an estimated total of 2,162 members (Consolidation) Act 1992 Act. of the transferring unions. Further, the instrument of transfer of engagements for BLUECHIP Staff Association Under a transfer of engagements, the transferring to was received within this reporting period organisation loses its legal identity whilst the organisation but was not approved or registered before the end of this to which it transfers continues in being with its legal reporting year. It has subsequently been approved and a identity unchanged. An amalgamation produces a new ballot result is expected in the next reporting period. organisation replacing each of the amalgamating bodies, both of which cease to exist. No complaints about mergers were received in the reporting period. The procedures in the 1992 Act and the Trade Unions and Employers’ Associations (Amalgamations, etc.) Regulations 1975, as amended, lay down procedures governing both types of mergers. Their main purposes are to facilitate the processes and to safeguard the rights of members affected by ensuring that they are fully informed about the proposal and have the opportunity to vote on it.

Member complaints about the ballot for a merger can be made within a six week period following receipt of an application to register the instrument of transfer or the instrument of amalgamation.

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 may be made to the Certification Officer.

During this reporting period, there were two transfers of engagements involving trade unions. Ballots of the members of the two unions were held with a positive result.

Accredited 14 Until 2020 Chapter 4 – Political Funds

The 1992 Act enables trade unions and unincorporated All trade unions which operate a political fund must notify employers’ associations to establish separate funds in their members who joined after the implementation of furtherance of political objectives as part of their aims. the 2016 Act of their right to withdraw an opt-in notice A resolution to adopt the political objects must be passed and send a copy of this notification to the Certification by a ballot of the members. Organisations wishing to Office. All unions which were required to provide a copy continue to spend money on political objects must hold of this notification during this reporting period did so. a review ballot of members at least every 10 years. The Certification Officer is the statutory authority for During the reporting period, two trade unions held approving the establishment and continuance of political review ballots as required every 10 years. These were funds. University and College Union and NASUWT whose review dates were 29 April 2018 and 14 June 2019 respectively. As at 31 March 2019, there were 21 unions which had University and College Union’s political fund was political fund resolutions in force. This is the same approved on 13 December 2017 and the NASUWT’s was number that was reported last year. approved on 3 January 2019.

Annual returns show the total income of political funds For members who joined before 1 March 2018, it is as £24.06 million (see Appendix 9) compared with £24.41 a statutory requirement that members who notify million reported during the period 2017-2018, a decrease their objection to contributing to the political fund of 1.4%. The total expenditure from political funds was must be exempted from making that contribution. £22.74 million (see Appendix 9) compared with £22.06 Exemption notices are obtainable from the million in the preceding year, an increase of 3.1%. organisation concerned or from the Certification Office. The returns received within the period also show that the total value of political funds during the reporting period Amendments as a result of the Trade Union Act was £35.35 million: up £1.32 million (3.9%) on the £34.03 2016 (“the 2016 Act”) mean that members who million reported in 2017-2018. joined a trade union with a political fund from 1 March 2018 cannot be required to contribute to the political fund unless they have given notice Figure 5 – Comparison of total political fund of their willingness to contribute to that fund (an income and expenditure “opt-in notice”). A member may give a ‘withdrawal notice‘ to withdraw their opt-in. Income Expenditure

2016-17 2017-18

The political fund rules of all trade unions with resolutions in force were amended by those trade unions in line with the 2016 Act changes and the amended rules were approved by the Certification Officer during the last reporting period. The political fund rules of 10 trade unions were further amended and these amendments were approved in the current reporting year. These £22,741,229 £24,059,274 £22,062,610 were all minor changes resulting from correspondence £24,412,086 between the unions and the Certification Office to ensure that the rules were consistent with the new requirements.

Accredited Until 2020 15 The annual returns show that the number of union members contributing to a political fund was 4,604,808 compared with 4,652,084 reported in 2016-2017, a decrease of 47,276 members or 1.0%.

The annual returns recorded 765,053 members who belong to unions with a political fund but who do not make a political fund contribution (see Appendix 9), either because they have claimed exemption or they belong to a category of membership which, under the rules of the union, does not contribute to the political fund.

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 his or her 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 2018 to 31 March 2019, one complaint regarding the use of a trade union’s fund for political purposes was ongoing from the previous year and is due to be determined at a hearing in 2019.

The amendments brought in by the 2016 Act mean that trade unions that spend more than £2,000 from their political fund and have annual return reporting periods beginning on or after 1 March 2017 are required to provide a breakdown of their expenditure on the political objects as set out in the 2016 Act.

All unions with political funds reported to us within this period. Only one of these, the Educational Institute of Scotland, fell under the new reporting requirements. Their annual return was received in February 2019.

Accredited 16 Until 2020 Chapter 5 – Complaints

Elections for Certain Positions Financial irregularities A trade union must ensure that no-one takes up a The 1992 Act allows the Certification Officer to investigate position as a member of its executive committee, or as the financial affairs of almost all trade unions and its general secretary without having been elected to that employers’ associations (exceptions being in respect of position. Nor may anyone remain in such a position for federated employers’ associations and trade unions made more than five years without having been re-elected up wholly or mainly of representatives of constituent to it. There are, however, exemptions in respect of affiliated organisations and in respect of organisations amalgamations, newly formed unions, special register that have been in existence for less than 12 months). bodies and officers nearing retirement. Elections are required to be by postal ballot of the members of the A complaint regarding financial irregularities in the Bassa union, conducted in accordance with the relevant branch of Unite the Union, which was received in 2016- provisions in the 1992 Act. 17, concluded in this reporting period. Having made enquiries of the union, the Assistant Certification Officer Individual trade union members, and candidates in decided that there were no circumstances allowing the election, have the statutory right to apply to the the Certification Officer to use her further powers of Certification Officer for a declaration that their trade investigation. union has failed to comply with one or more of the relevant provisions of the 1992 Act. The Certification One allegation of financial irregularities within a trade Officer will determine any such application and will give union which was raised during the previous reporting written reasons for her decision. period was considered during this year. Following correspondence with the individual making the In the period 1 April 2018 to 31 March 2019, an allegation, the Certification Officer did not deem it application was made by Mr Coyne and Mr Brooks. The necessary to make enquiries with the union. details of this decision are as follows: Two new concerns regarding financial irregularities within Mr Coyne and Mr Brooks v Unite the Union trade unions were raised during this reporting period. (D/12-20/18-19) Following correspondence with both individuals, no Mr Coyne and Mr Brooks made 10 complaints relating to further action was taken. the 2017 election of the General Secretary of Unite the Union. Eight of these complaints were breach of union rules with regards to the same position. The application Access to accounting records was received in the previous reporting period and the There was one complaint relating to access to accounting Certification Officer appointed His Honour Judge Jeffrey records outstanding from the previous reporting year. Burke QC as an Assistant Certification Officer (ACO) A further complaint was received at the very end of to hear the case. Following a preliminary hearing to the last reporting period. Of these two complaints, determine complaint one, on 27 March 2018, a decision the first, against Unite the Union, was put to the union was issued on 4 May 2018; the ACO did not uphold the and resulted in the applicant being given access to the complaint. An appeal by the applicants to the EAT was requested records. The complaint was subsequently dismissed on 12 June 2018. A further hearing on the withdrawn without the need for a formal decision by the remaining nine complaints took place between 25-28 Certification Officer. June 2018. In a decision issued 5 October 2018, the ACO found that none of the complaints succeeded and all The second complaint, Ali v RMT (D/40/18-19), was were dismissed. dismissed upon withdrawal by Mr Ali on 21 January 2019.

No new complaints under this section were received during the reporting year.

Accredited Until 2020 17 Breach of Union Rules Of the complaints determined, the following are Individual trade union members have the right to apply noteworthy:- to the Certification Officer if there has been a breach or threatened breach of a trade union’s rules relating to any Dinsdale v GMB (D/3-4/18-19) of the matters set out in section 108A(2) of the 1992 Act. Mr Dinsdale made two complaints that the union had breached its rules when it allowed the election of branch The matters are: - officers by a postal ballot rather than a show of hands by (a) the appointment or election of a person to, or the members taking part in a general meeting. removal of a person from, any office; (b) disciplinary proceedings by the union (including Following a hearing on 19 April 2018, the Certification expulsion); Officer refused both complaints. (c) the balloting of members on any issue other than industrial action; Gates v Society of Chiropodists and Podiatrists (d) the constitution or proceedings of any executive (D/7/18-19) committee or of any decision-making meeting; Mr Gates made a complaint that the Union had breached (e) such other matters as may be specified in an order a provision of its handbook in relation to a representative made by the Secretary of State. post in NHS Highland.

If the Certification Officer accepts a complaint she is On 16 July 2018 the Certification Officer refused this required to make such enquiries as she thinks fit and, complaint having found that the handbook does not form before reaching a decision on the complaint, provide the part of the Union’s rules. claimant and the trade union with an opportunity to be heard. All hearings before the Certification Officer are Peros v – the Trade Union and Professional held in public. Association for Family Court and Probation Staff (D/8-11/18-19) The Certification Officer must give written reasons for her Mr Peros made four complaints concerning breaches of decision and, where she makes the declaration sought, union rules in relation to disciplinary proceedings against is required to make an enforcement order unless she him. considers that it would be inappropriate to do so. The Certification Officer upheld all the complaints but In this reporting period, the Certification Officer declined to make an enforcement order. determined ten of the twelve applications (against seven unions) that were outstanding from the previous Armstrong v Unite the Union (D/24/18-19) reporting period. Mrs Armstrong made a complaint that the Union had breached a disciplinary rule in relation to the applicant’s The Certification Officer received 15 new applications suspension from a branch office. The Certification Officer (against eight unions) relating to alleged breaches of refused this complaint by a decision dated 15 October union rules in this reporting period. Seven of these 2018. applications were determined in this reporting period. Hussain v Communication Workers Union As of 31 March 2018, nine applications remained to be (D/28-29/18-19) determined, including one outstanding from the previous Mr Hussain made two complaints of breaches of union reporting period. rules in relation to branch elections. Prior to the hearing, the union conceded that the breaches had occurred. The Certification Officer determined 42 complaints on 18 The Certification Officer upheld the complaints and applications of breach of rule during the period 1 April considered it appropriate to make an enforcement order. 2018 to 31 March 2019. Of these 14 complaints were The Certification Officer ordered that:- dismissed by the Certification Officer on withdrawal by the applicant. The Union undertake the remaining stages of the current ballot, which was originally concluded in December 2017 Eight declarations were made that a union had breached and which is the subject of the complaints made by Mr or threatened to breach its rules and six enforcement Hussain, in accordance with the union’s rules. The result orders were issued. of the ballot should be declared by 3 December 2018.

Accredited 18 Until 2020 Blackledge v University and College Union The Certification Officer declined to make an (D/31-37/18-19) enforcement order. Mr Blackledge made seven complaints that the Union had breached rules relating to disciplinary proceedings. The Certification Officer can make payments towards applicants and their witnesses who attend hearings. Such Following a hearing on 13 November 2018, the payments amounted to £3,409.35 during this period. Certification Officer refused all seven complaints. Assistance with legal costs is not available.

Robinson v GMB (D/39/18-19) Mr Robinson made one complaint that the Union had Enquiries to the Certification Officer breached rules relating to removal from office. In addition to the 18 applications determined during this reporting year, a further 18 enquiries or applications Following a hearing on 28 November 2018, the required further significant correspondence to establish Certification Officer refused the complaint. whether the Certification Officer had powers to consider the complaints. Ultimately these enquiries were either Kelly v Musicians’ Union (D/41/18-19) not pursued by the applicants, or did not relate to issues Mr Kelly made six complaints that the Union had that could be determined by the Certification Officer. breached rules relating to disciplinary proceedings. In the period 1 April 2018 to 31 March 2019, a total A hearing on the first complaint was held on 8 January of 822 enquiries were received. These fall under the 2019. Following the hearing, the Certification Officer following broad headings in the table below. There was a upheld the complaint and considered it appropriate to decrease of 102 enquiries in the current reporting period make an enforcement order. The Certification Officer compared to the figure reported in 2017-18. ordered that:- Not all enquires made could result in applications to 1. Mr Kelly be restored to membership of the Musicians’ the Certification Officer. For example, the Certification Union. Officer has no jurisdiction regarding alleged inadequate 2. Mr Kelly be reinstated to the Recording and Broadcast representation of members by their union (154 queries) Committee. or in relation to the provision of union benefits or 3. Mr Kelly be restored as an Approved Musicians’ Union membership. Contractor. 4. The Union must not remove Mr Kelly’s Approved Musicians’ Union Contractor Status, or include General advice on the role of the 39 Certification Officer him within the Ask us First List, on the basis of any disciplinary or other Union process which arises from Issues relating to the listing of trade 60 unions and employers’ associations Mr Kelly’s membership of the Union and which is based on information which was considered as part of Enquiries about annual returns and 303 financial issues the disciplinary process which began with the General Secretary’s letter of 24 January 2018. Certificates of independence 8 Appointment, election or dismissal 35 The Union has appealed to the Employment Appeal from/to any office in the union Tribunal and a decision on the appeal is expected Disciplinary proceedings within the union 73 within the next reporting period. Mr Kelly’s remaining Balloting of union members (other than 10 complaints are stayed until the outcome of that appeal. industrial action) Political funds 40 Connolly v USDAW (D/45/18-19) Statutory elections 20 Mrs Connolly made one complaint that the Union had Inadequate representation of members 154 breached rules relating to disciplinary proceedings. by their union Others 80 Following a hearing on 12 March 2019, the Certification Total 822 Officer made a declaration that the Union breached its rules in removing her from her position as a shop steward.

Accredited Until 2020 19 Protected Disclosures and the Certification Officer The Certification Officer is a designated or a ‘prescribed person’ under the Public Interest Disclosure Regulations 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 the 2014 Regulations, employees/workers of a trade union or employers’ association may be protected if they make a relevant disclosure to me. A relevant disclosure to the Certification Officer is defined in the 2014 Regulations as being one related to fraud, and other irregularities relating to the financial affairs of trade unions and employers’ associations.

During this reporting period the Certification Officer received no relevant disclosures.

Accredited 20 Until 2020 Appendix 1 List of Trade Unions at 31 March 2019

Notes: Italics Denotes a trade union first entered in the list during 1 April 2018 to 31 March 2019. * Denotes a trade union holding a certificate of independence at 31 March 2019. (P) Denotes a trade union with a political fund resolution in force at 31 March 2019.

England and Wales

* * * Affinity Aircrew Officers Association Europe * 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 BLUECHIP 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 City Screen Staff Forum * 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)

Accredited Until 2020 21 CU Staff Consultative Group

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 * (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 Democratic Union *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 Leicestershire Overmen Deputies and Shotfirers 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 * (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)

Accredited 22 Until 2020 National Union of Mineworkers (South Wales Area) * National Union of Rail Maritime and Transport Workers (P) * Nationwide Group Staff Union * Nautilus International 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 * (P) Psychotherapy and Counselling Union PTSC * Public and Commercial Services Union (P)

R&C Trade Union * Retail Book Stationery and Allied Trades Employees Association * Royal College of Midwives * Royal College of Nursing of the RSPB Staff Association Rugby Players’ Association

* Sales Staff Association * SKYSHARE * Social Workers Union (SWU) * Society of Authors * (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) * United Road Transport Union * United Voices of the World * Unite the Union (P) * University and College Union (P)

* Voice

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

Accredited Until 2020 23 Scotland

* * 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 2019.

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 2019

Note: Italics Denotes an Employers’ Association first entered in the list during 1 April 2018 to 31 March 2019.

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

Mastic Asphalt Council

National Association of Farriers Blacksmiths and Agricultural Engineers National Association of Master Bakers National Farmers Union National Federation of Retail Newsagents National Hairdressers Federation Ltd

Accredited 26 Until 2020 National Trainers Federation North East Regional Employers’ Organisation for Local Authorities 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 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 2019.

England and Wales

Association of Colleges

BFM Limited British Allied Trade Federation 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

Radio Electrical and Television Retailers’ Association (RETRA) 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 Building Federation 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 2018 to 31 March 2019

Certificates of independence issued

Cleaners & Allied Independent Workers Union (CAIWU)

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

National Association of Co-operative Officials Britannia Staff Union

Applications in progress

None

Number of Certificates in force as at 31 March 2019

91

Accredited 30 Until 2020 Appendix 4 Summary of Statistics – Trade Unions, returns received during the period 1 April 2018 to 31 March 2019

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 2017, the table includes returns from trade unions with year ending dates ranging from October 2017 to September 2018 and therefore due in this Office between 1 April 2018 and 31 March 2019.

The Association of Teachers and Lecturers (ATL) and the National Union of Teachers (NUT) amalgamated to form the National Education Union (NEU) on 1 September 2017.

The final annual returns were received from the ATL and the NUT covering an eight month period (1 January 2017- 31 August 2017). The figures in Chapters 2 and 4 and Appendices 4, 5 and 9 use information from these returns because the first annual return of the NEU has yet to be received. The exclusion of these two unions from the statistics in this report would have had a significant impact on the figures.

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.

(d) Some figures may have changed from last year’s report due to later information. Some unions may have made adjustments to the beginning of year figure.

Accredited Until 2020 31 1,810 4,640 9,952 35,464 43,070 20,801 26,762 16,174 (13) Total 154,098 £000’s Liabilities 92,867 90,779 56,690 44,667 24,203 48,799 (12) Total 109,978 266,658 348,865 £000’s Assets 4,092 5,602 44,239 43,674 15,069 14,757 19,834 (11) 157,780 122,300 Other £000’s Assets 6,803 1,416 9,693 GROSS ASSETS GROSS 30,735 14,079 23,187 69,815 28,965 60,410 (10) £000’s Assets Investment 0 5,895 35,004 35,024 29,411 23,107 17,185 99,185 (9) Fixed 166,155 £000’s Assets 57,403 47,709 35,889 17,905 22,393 38,847 (8) 105,338 112,560 332,691 £000’s End of The Year TOTAL FUNDS TOTAL 8,972 93,586 57,563 36,838 37,269 21,460 53,486 32,979 (7) (d) 206,953 £000’s Beginning of The Year 62,647 28,452 35,087 34,981 34,025 20,039 47,602 (c) (6) 174,712 157,405 Total £000’s GROSS Expenditure EXPENDITURE (c) 74,399 28,292 45,958 33,601 30,470 33,460 53,470 (5) Total 233,786 283,143 £000’s Income 728 594 4,855 4,040 3,845 2,647 (c) 12,344 70,766 (4) 107,128 Other £000’s Income 654 180 331 -151 1,902 1,259 2,021 1,141 7,960 GROSS INCOME GROSS (3) (b) From From £000’s Investments 67,642 26,305 50,169 39,897 28,615 29,696 21,267 (2) 162,689 168,055 From £000’s Members (a) (1) 614,494 338,033 454,142 433,260 316,230 191,421 181,063 1,377,006 1,310,508 Members Number of GMB Union Teachers Public and of Teachers Service Union Nursing of the Nursing Union of Shop Allied Workers Workers Union Workers National Union National Communication Communication Royal College of College Royal Distributive and Distributive United Kingdom United Unite The Union Unite Union of Women Union of Women of Schoolmasters of Schoolmasters UNISON: The Public National Association Association National Commercial Services Commercial Summary of Statistics – Trade Unions, 2017-2018: Appendix 4 – Summary of Statistics page – see previous Notes

Accredited 32 Until 2020 8,784 4,400 30,543 12,052 46,258 82,088 157,125 438,586 595,711 654,021 865,192 53,350 40,990 96,658 25,081 644,651 170,108 184,960 1,387,887 2,032,538 2,299,304 2,173,091 4,587 7,963 25,290 18,265 18,099 49,208 131,706 514,485 646,191 682,555 608,551 1,271 5,570 32,214 12,895 374,449 132,782 410,181 126,023 784,630 930,307 897,921 9,729 16,549 14,429 65,498 19,227 11,548 138,496 463,221 601,717 686,442 666,620 22,807 32,206 84,606 20,681 102,872 487,526 123,850 949,301 1,436,827 1,645,283 1,307,901 14,542 78,092 26,331 80,531 21,143 433,436 111,461 689,214 1,122,650 1,314,642 1,429,382 16,172 21,441 28,715 50,827 14,954 113,158 242,761 760,675 1,003,436 1,082,978 1,413,402 24,437 27,316 32,790 63,216 14,492 137,938 296,851 1,020,762 1,317,613 1,413,619 1,291,920 147 4,856 3,151 84,230 97,318 14,141 53,838 299,331 396,649 464,628 322,092 20 101 5,626 3,350 3,225 1,379 20,347 24,394 44,641 49,345 52,466 7,999 48,082 11,240 20,940 22,440 15,424 179,186 697,037 676,223 899,646 917,362 49 4,372 156,262 153,093 142,486 120,564 974,841 5,788,562 6,763,403 6,767,824 6,875,231 unions Prospect Congress Lecturers members 2017-2018 2016-2017 which have which have Association Teachers and Teachers Trades Union Trades College Union College Association of Association Total for listed listed for Total Total for above above for Total British Medical British Medical University and University unlisted unions unlisted Total for 11 other for Total less than 100,000 listed unions with listed submitted returns submitted members or more members total for all unions for total Total for all unions for Total Total for 121 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 119,007 23,506 Advance General Secretary 17,127 4,404 Affinity General Secretary 105,470 30,258 Associated Society of Locomotive General Secretary 96,741 25,136 Engineers and Firemen Association of Educational General Secretary 66,276 6,417 Psychologists Association of School and College General Secretary 122,636 (a) 16,645 (a) Leaders Association of Teachers and Lecturers General Secretary 83,981 (i) 12,422 (i) Association of Trade Union Political Acting 0 100 (b) and Public Sector Staff General Secretary

Bakers, Food and Allied Workers’ General Secretary 48,251 17,085 Union Bluechip Staff Association General Secretary 31,872 0 Boots Pharmacists’ Association Chief Executive 0 21,222 (b) (BPA), The Officer Britannia Staff Association General Secretary 54,124 (c) 9,076 (c) British Air Line Pilots Association General Secretary 107,625 20,136 British Association of Journalists General Secretary 24,511 (a) 169 (a) British Dental Association General Secretary 75,000 0 British Medical Association Chairman 105,674 (a) 0 (a)

Chartered Society of Physiotherapy Chief Executive 121,392 20,636 College of Podiatry, The General Secretary 129,298 (a) 2,154 Communication Workers Union General Secretary 97,418 28,239 Community General Secretary 111,723 33,355 Confederation of Shipbuilding and General Secretary 107,535 (a) 20,275 (a) Engineering Unions Curry’s Supply Chain Staff Association General Secretary 28,991 2,899 (CSCSA)

Driver and General Union General Secretary 4,312 0

Equality For Workers Union (EFWU) General Secretary 25,693 601 Equity (Incorporating the Variety General Secretary 109,504 6,000 Artistes’ Federation)

Accredited 34 Until 2020 Title Salary Benefits (General Secretary unless otherwise stated) £ £ FDA General Secretary 104,748 25,558 Financial Services Union General Secretary 137,806 67,671 Fire and Rescue Services Association Chief Executive 44,836 3,960 Fire Brigades Union General Secretary 73,184 48,459 Fire Officers’ Association General Secretary 36,986 2,993

G4S Care and Justice Services Staff General Secretary 35,505 6,374 Association General Federation of Trade Unions General Secretary 69,709 17,153 GMB General Secretary 102,000 33,000 Guild of Professional Teachers of Dance, Movement to Music and General Secretary 15,390 0 Dramatic Arts

Headmasters’ and Headmistresses’ General Secretary 117,231 20,652 Conference Hospital Consultants and Specialists Chief Executive 116,401 5,688 Association

Independent Democratic Union General Secretary 57,426 5,263 Independent Pilots Association General Secretary 39,540 2,353 Independent Workers Union of Great General Secretary 12,870 1,673 Britain (IWGB) Institute of Football Management and General Secretary 7,792 0 Administration, The Institute of Journalists (Trade Union) General Secretary 40,000 2,570 International Transport Workers General Secretary 173,000 36,000 Federation ISU General Secretary 70,778 0

Locum Doctor’s Association Chairperson 0 300 (b)

Musicians’ Union General Secretary 313,410 (a) 59,892 (a)

NAPO – The Trade Union and Professional Association for Family General Secretary 71,831 1,503 Court and Probation Staff National Association of Co-operative General Secretary 93,673 29,648 Officials National Association of Head General Secretary 161,672 (a) 29,653 (a) Teachers National Association of NFU Group General Secretary 10,628 0 Secretaries National Association of Racing Staff Chief Executive 60,325 2,016 National Association of Schoolmasters Union of Women General Secretary 104,373 36,807 Teachers

Accredited Until 2020 35 Title Salary Benefits (General Secretary unless otherwise stated) £ £ National Crime Officers Association Secretary 35,331 562 National Society for Education in Art General Secretary 45,450 0 and Design National Union of Journalists General Secretary 84,165 22,423 National Union of Mineworkers Secretary 34,194 1,248 National Union of Mineworkers (Colliery Officials and Staffs Area) General Secretary 12,240 2,576 Region No 4 National Union of Mineworkers General Secretary 56,023 8,000 (South Wales Area) National Union of Rail, Maritime and Acting 99,958 40,807 Transport Workers General Secretary National Union of Teachers General Secretary 66,776 (i) 19,186 (i) Nationwide Group Staff Union General Secretary 129,132 29,094 Nautilus International General Secretary 95,315 21,290 News Union General Secretary 84,263 1,113

PDA Union General Secretary 0 5,000 (b) POA General Secretary 78,659 31,944 Professional Cricketers Association General Secretary 138,667 8,431 Professional Footballers’ Association General Secretary 1,965,948 (d) 54,445 Prospect General Secretary 114,085 14,338 Public and Commercial Services General Secretary 94,007 11,849 Union

Retail Book Stationery and Allied President 37,557 13,268 Trades Employees Association Royal College of Midwives General Secretary 142,455 (a)(e) 27,386 (a)(e) Royal College of Nursing of the General Secretary 163,992 (f) 13,082 (f) United Kingdom RSPB Staff Association Chairperson 0 1,200 (b) Rugby Players Association, The General Secretary 122,044 10,541

Social Workers Union, The General Secretary 62,850 1,192 Society of Authors, The General Secretary 98,215 8,302 Society of Radiographers Chief Executive 55,737 (g) 21,657 (g)

Trades Union Congress General Secretary 111,982 47,610 Transport Salaried Staffs Association General Secretary 84,591 16,495

Undeb Cenedlaethol Athrawon Cymru (The National Association of the General Secretary 52,315 9,096 Teachers of Wales)

Accredited 36 Until 2020 Title Salary Benefits (General Secretary unless otherwise stated) £ £ Union of Democratic Mineworkers General Secretary 50,030 11,910 Union of General & Volunteer General Secretary 0 750 (b) Workers Union of Shop Distributive and Allied General Secretary 106,708 35,455 Workers UNISON: The Public Service Union General Secretary 106,458 (h) 13,950 (h) Unite the Union General Secretary 73,976 11,270 United Road Transport Union General Secretary 62,985 54,994 United Voices of the World General Secretary 20,843 0 University and College Union General Secretary 107,448 23,339

Voice General Secretary 65,852 1,962

Welsh Rugby Players Association General Secretary 35,474 228 Workers of England Union General Secretary 8,147 0 Writers Guild of Great Britain General Secretary 53,500 4,815

Scotland Aegis General Secretary 67,345 16,540 Association of Headteachers and General Secretary 63,757 11,385 Deputes in Scotland

Educational Institute of Scotland 98,730 29,899

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

National Union of Mineworkers General Secretary 20,487 2,567 (Scotland Area)

Professional Footballers Association Chief Executive 73,566 877 Scotland

Scottish Secondary Teachers General Secretary 90,155 15,598 Association

Solidarity General Secretary 7,488 90

Accredited Until 2020 37 Notes:

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

(b) Honorarium.

(c) Union submitted two returns in the reporting period. Salary reported on is taken from the union’s 2017 return. The union’s second return covering the period 1 December 2017 to 30 June 2018 is published online along with the 2017 return.

(d) This includes bonus of £777,183.

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

(f) This includes payment of £52,595 made in respect of the General Secretary’s role as Chief Executive of the RCN Charter Body.

(g) Similar amounts are paid by the College of Radiographers.

(h) The above salary is inclusive of salary sacrifice of £5,411.

(i) Figure taken from an eight month return.

Accredited 38 Until 2020 Appendix 6 Summary of Statistics – Employers’ Associations, returns received during the period 1 April 2018 to 31 March 2019

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 2017, the table includes returns from employers’ associations with year ending dates ranging from October 2017 to September 2018 and therefore due in this Office between 1 April 2018 and 31 March 2019.

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 93 321 350 194 2,709 7,123 1,928 1,221 8,210 (13) 81,489 10,469 17,184 13,152 Members Number of 712 5,434 3,929 5,293 6,019 4,819 2,226 (12) Total 78,813 14,749 34,946 38,785 19,027 37,235 17,040 £000’s Liabilities 6,634 7,924 8,223 7,555 (11) Total 87,393 24,551 61,944 30,192 20,129 95,314 14,802 17,926 10,515 £000’s Assets 163,700 6,372 9,603 5,503 1,319 1,231 7,189 7,439 2,823 (10) 59,565 23,296 36,193 18,528 15,091 10,966 Other £000’s Assets 0 0 0 0 0 304 2,862 7,263 2,336 GROSS ASSETS GROSS (9) 25,831 23,882 23,098 53,919 £000’s 134,319 Investments 262 366 1,255 1,997 2,117 1,601 3,836 1,869 4,130 3,224 5,775 5,356 (8) 19,778 26,304 Fixed £000’s Assets 886 8,580 3,995 1,102 8,783 2,736 7,510 8,289 (7) -8,115 58,079 56,509 24,899 £000’s End of -14,234 128,754 The Year TOTAL FUNDS TOTAL 3,726 1,354 1,102 4,063 2,714 8,011 8,047 (c) (6) -8,966 35,747 55,937 50,948 24,367 £000’s -17,588 109,654 Beginning of The Year 9,300 6,718 4,637 4,768 6,810 5,227 (b) (5) 61,955 10,756 10,824 37,764 42,551 24,763 19,876 156,077 £000’s GROSS EXPENDITURE 6,719 4,659 4,267 7,342 5,469 (b) (4) Total 65,309 11,025 10,356 10,151 56,864 44,693 29,483 25,437 £000’s Income 128,910 92 478 7,072 6,705 5,414 6,167 1,049 2,953 1,338 (3) 19,147 22,351 23,293 20,098 Other £000’s Income 128,469 4 18 72 19 16 441 374 396 -739 -130 -284 4,398 5,120 1,129 (a) GROSS INCOME GROSS (2) From From £000’s Investments 0 532 4,210 3,935 3,781 5,021 4,015 3,735 3,606 3,717 (1) 46,901 30,115 16,280 29,375 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 Union Farmers National EEF Ltd Association Transport Freight Limited Contractors Electrical Association Association Haulage Road Limited Building & Engineering Services Association of Colleges Association Industry Motor Retail Limited Federation of London Theatre Society “SOLT” Builders of Master Federation Industries Chemical Limited Association Retail of Federation National Newsagents Summary of Statistics – Employers’ Associations, 2017-2018: Appendix 6 Associations, – Employers’ Summary of Statistics

Accredited 40 Until 2020 2 640 532 428 4,924 2,915 1,232 3,491 1,271 1,171 8,258 14,295 164,418 183,637 187,871 495 900 817 2,484 1,465 1,341 4,357 1,054 1,273 2,244 19,654 37,593 285,459 342,707 367,420 7,203 7,005 5,610 1,245 3,114 3,452 3,727 2,641 31,902 18,095 75,158 11,771 620,665 727,726 743,338 852 771 670 4,261 3,000 1,766 3,093 2,495 2,469 3,874 11,736 27,960 228,369 268,065 250,308 0 4 0 0 50 442 351 2,893 1,319 10,965 14,190 35,389 293,063 339,417 383,584 21 474 515 164 172 4,001 9,201 2,525 3,053 2,892 7,546 99,233 11,809 120,244 109,446 2,552 6,510 2,910 2,060 4,269 5,738 1,367 9,527 -3,112 37,565 12,248 15,611 335,206 385,019 375,918 2,391 6,184 2,668 1,524 4,148 5,531 1,328 -3,213 37,452 11,605 14,822 10,111 324,610 373,667 413,397 2,872 2,573 3,432 2,887 2,455 2,526 3,315 3,598 2,840 3,395 24,677 16,106 431,919 472,701 486,515 3,033 2,899 3,533 3,129 2,991 2,647 4,104 3,805 2,880 2,811 24,790 16,748 442,515 484,053 449,036 933 373 726 779 687 2,629 1,923 9,681 5,879 1,282 2,211 1,594 257,763 273,323 244,748 1 0 1 78 26 36 14 658 369 750 1,300 1,010 13,119 15,077 12,531 390 975 1,524 1,461 2,251 2,118 2,592 2,100 1,114 1,885 13,809 10,211 171,633 195,653 191,757 British Allied Trade Federation Trade British Allied Contractors Electrical of Scotland Association Industries British Printing Federation NFU Scotland Trade Motor Scottish Limited Association Cinema Alliance For Producers Limited and Television Guild of Great Showmen’s The Britain, of Federation National Limited Contractors Roofing Glass and Glazing Federation Merchants Builders Federation Employers’ above for Total Associations 36 other listed for Total Associations Employers’ 28 other unlisted for Total Associations Employers’ all Employers’ for Total 2017-2018 Associations all Employers’ for Total 2016-2017 Associations

Accredited Until 2020 41 Appendix 7 Trade Unions Maintaining Members’ Superannuation Schemes at 31 March 2019

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 2018 to 31 March 2019

Trade Union: Transfers of Engagements

Engagements transferred from To Transfer registered on National Association of Co-operative Union of Shop Distributive and Allied 1 May 2018 Officials Workers Britannia Staff Union Unite the Union 1 July 2018

Trade Union: Amalgamations

Amalgamating Unions Forming Amalgamation registered on None

Employers’ Association: Transfers of Engagements

None

Employers’ Association: Amalgamations

No

Accredited Until 2020 43 0 £ (7) End 11,200 31,118 54,603 49,980 14,000 69,540 52,985 (77,837) of Year Fund at 186,000 591,652 484,000 950,568 629,000 246,861 512,786 1,146,512 2,681,649 £ 7,536 (6) 24,384 30,738 82,771 13,821 29,000 14,943 (34,978) of Year Fund at 165,000 639,968 133,851 579,000 890,442 660,000 147,259 386,672 Beginning 1,266,304 2,624,659 Political Fund (a) Political £ 2,873 (5) 32,112 98,529 32,759 31,881 89,230 69,458 75,046 182,829 192,000 291,421 294,000 181,562 135,966 292,740 109,000 1,772,837 3,255,000 Expenditure £ 2,115 3,713 (4) 77,561 85,345 33,139 57,470 78,000 Income 188,832 218,988 213,000 126,448 243,105 279,000 138,703 352,866 201,160 1,653,045 3,160,000 0 0 16 16 703 187 474 479 6,299 9,451 4,551 7,390 5,485 3,492 1,993 3,619 (3) 20,238 26,344 to the to Members Number of contributing exempt from exempt Political Fund Political 0 231 703 942 187 891 6,597 5,398 7,685 5,485 5,782 (2) 13,865 29,758 26,344 81,352 70,400 13,085 13,233 to the to Number of contributing Political Fund Political Members not Members 0 116 (1) 21,375 17,512 19,680 41,386 27,644 22,736 80,204 24,526 24,573 17,278 to the to 161,663 588,150 234,878 267,633 129,401 167,830 Members Number of contributing Political Fund Political Association of Revenue and Customs Revenue of Association 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 of Mineworkers National Workers Transport Union of Rail Maritime and National Teachers Union of 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, 2017-2018 Trade Funds of Appendix 9: Political

Accredited 44 Until 2020 13,592 929,000 35,349,209 34,033,035 11,863,000 14,909,000 11,874 807,000 34,031,244 31,683,559 11,086,000 14,465,000 161,986 2,023,000 5,779,000 7,638,000 22,741,229 22,062,610 163,704 2,145,000 6,556,000 8,082,000 24,059,274 24,412,086 5,708 31,522 12,018 71,827 211,812 169,593 34,210 20,903 213,210 214,792 765,053 785,686 86,354 413,357 1,163,796 1,095,716 4,604,808 4,652,084 Union of Shop Distributive and Allied Workers and Allied Union of Shop Distributive UNISON: The Public Service Union the Union Unite Union and College University reported funds which the 21 unions with political for Total in this period reported funds which the 24 unions with political for Total period in the previous Notes: The information in the table is derived from annual returns received during 2018-2019, most of which relate to the year ending December 2017. to the relate of which during 2018-2019, most received returns annual from table is derived in the The information Notes:

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 £4066 Application for formal approval of an instrument of transfer of engagements or an instrument of £1850 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 • Trade Unions’ Registers of Members: the Certification Officer’s powers of investigation and enforcement

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 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]