(1)The following provisions of this Chapter do not apply to a trade union which has been in existence for less than twelve months—
(a)section 27 (duty to supply copy of rules),
(b)sections 32 to 37 (annual return, [F1statement for members,] accounts and audit), F2. . .
F3[(ba)sections 37A to 37E (investigation of financial affairs), and]
(c)sections 38 to 42 (members’ superannuation schemes).
(2)Sections 24 to 26 (register of members’ names and addresses) do not apply to a trade union until more than one year has elapsed since its formation (by amalgamation or otherwise).
For this purpose the date of formation of a trade union formed otherwise than by amalgamation shall be taken to be the date on which the first members of the executive of the union are first appointed or elected.
Textual Amendments
F1Words in s. 43(1)(b) inserted (1.1.1994) by 1993 c. 19, s. 49(2), Sch. 8 para. 43(a); S.I. 1993/1908, art. 2(3), Sch. 3
F2Word in s. 43(1)(b) repealed (30.8.1993) by 1993 c. 19, s. 51, Sch. 10; S.I. 1993/1908, art. 2(1), Sch. 1
F3S. 43(1)(ba) inserted (30.8.1993) by 1993 c. 19, s. 49(2), Sch. 8 para. 43(b); S.I. 1993/1908, art. 2(1), Sch. 1
(1)The following provisions apply where a trade union consists of or includes branches or sections.
(2)Any duty falling upon the union in relation to a branch or section under the provisions of—
section 28 (duty to keep accounting records),
[F4sections 32 and 33 to 37] (annual return, accounts and audit), or
sections 38 to 42 (members’ superannuation schemes),
shall be treated as discharged to the extent to which a branch or section discharges it instead of the union.
(3)In sections 29 to 31 (right of member to access to accounting records) references to a branch or section do not include a branch or section which is itself a trade union.
(4)Any duty falling upon a branch or section by reason of its being a trade union under—
section 24 (register of members’ names and addresses),
[F5 section 24ZA (duty to provide membership audit certificate), ]
[F6 sections 24ZB and 24ZC (duty to appoint an assurer etc), ]
section 28 (duty to keep accounting records),
[F4sections 32 and 33 to 37] (annual return, accounts and audit), or
section 38 to 42 (members’ superannuation schemes),
shall be treated as discharged to the extent to which the union of which it is a branch or section discharges the duty instead of it.
F7[(5)Where the duty falling on a trade union under section 32 to send to the Certification Officer a return relating to its affairs is treated as discharged by the union by virtue of subsection (2) or (4) of this section, the duties imposed by section 32A in relation to the return shall be treated as duties of the branch or section of the union, or the trade union of which it is a branch or section, by which that duty is in fact discharged.]
Textual Amendments
F4Words in s. 44(2)(4) substituted (1.1.1994) by 1993 c. 19, s. 49(2), Sch. 8 para. 44(a); S.I. 1993/1908, art. 2(3), Sch. 3
F5Words in s. 44(4) inserted (6.4.2015 with application in accordance with art. 3 of the commencing S.I.) by Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration Act 2014 (c. 4), ss. 40(3), 45(1)(c); S.I. 2015/717, art. 3(1)(a)
F6Words in s. 44(4) inserted (30.1.2014 for specified purposes, 6.4.2015 in so far as not already in force and with application in accordance with art. 3 of the commencing S.I.) by Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration Act 2014 (c. 4), ss. 41(4), 45(3)(c); S.I. 2015/717, art. 3(1)(b)
F7S. 44(5) inserted (1.1.1994) by 1993 c. 19, s. 49(2), Sch. 8 para. 44(b); S.I. 1993/1908, art. 2(3), Sch.3
(1)If a trade union refuses or wilfully neglects to perform a duty imposed on it by or under any of the provisions of—
section 27 (duty to supply copy of rules),
sections 28 to 30 (accounting records),
[F8section 32 (but not sections 32ZA and 32ZB) and sections 32A] to 37 (annual return, [F9statement for members,] accounts and audit), or
sections 38 to 42 (members’ superannuation schemes),
it commits an offence.
(2)The offence shall be deemed to have been also committed by—
(a)every officer of the trade union who is bound by the rules of the union to discharge on its behalf the duty breach of which constitutes the offence, or
(b)if there is no such officer, every member of the general committee of management of the union.
(3)In any proceedings brought against an officer or member by virtue of subsection (2) in respect of a breach of duty, it is a defence for him to prove that he had reasonable cause to believe, and did believe, that some other person who was competent to discharge that duty was authorised to discharge it instead of him and had discharged it or would do so.
(4)A person who wilfully alters or causes to be altered a document which is required for the purposes of any of the provisions mentioned in subsection (1), with intent to falsify the document or to enable a trade union to evade any of those provisions, commits an offence.
F10[(5)If a person contravenes any duty, or requirement imposed, under section 37A (power of Certification officer to require production of documents etc.) or 37B (investigations by inspectors) he commits an offence.
(6)In any proceedings brought against a person in respect of a contravention of a requirement imposed under section 37A(3) or 37B(4) to produce documents it is a defence for him to prove—
(a)that the documents were not in his possession, and
(b)that it was not reasonably practicable for him to comply with the requirement.
(7)If an official or agent of a trade union—
(a)destroys, mutilates or falsifies, or is privy to the destruction, mutilation or falsification of, a document relating to the financial affairs of the trade union, or
(b)makes, or is privy to the making of, a false entry in any such document,
he commits an offence unless he proves that he had no intention to conceal the financial affairs of the trade union or to defeat the law.
(8)If such a person fraudulently—
(a)parts with, alters or deletes anything in any such document, or
(b)is privy to the fraudulent parting with, fraudulent alteration of or fraudulent deletion in, any such document,
he commits an offence.
(9)If a person in purported compliance with a duty, or requirement imposed, under section 37A or 37B to provide an explanation or make a statement—
(a)provides or makes an explanation or statement which he knows to be false in a material particular, or
(b)recklessly provides or makes an explanation or statement which is false in a material particular,
he commits an offence.]
Textual Amendments
F8Words in s. 45(1) substituted (1.3.2017) by Trade Union Act 2016 (c. 15), ss. 18(3), 25(1); S.I. 2017/139, reg. 2(m)
F9Words in s. 45(1) inserted (1.1.1994) by 1993 c. 19, s. 49(2), Sch. 8 para.45; S.I. 1993/1908, art. 2(3), Sch.3
F10S. 45(5)-(9) substituted (30.8.1993) for s. 45(5) by 1993 c. 19, s. 11(1); S.I. 1993/1908, art. 1(2), Sch. 1
(1)A person guilty of an offence under section 45 is liable on summary conviction—
(a)in the case of an offence under subsection (1) or (5), to a fine not exceeding level 5 on the standard scale;
(b)in the case of an offence under subsection (4), (7), (8) or (9), to imprisonment for a term not exceeding six months or to a fine not exceeding level 5 on the standard scale or to both.
(2)Proceedings for an offence under section 45(1) relating to the duty imposed by section 32 (duty to send annual return to Certification Officer) may be commenced at any time before the end of the period of three years beginning with the date when the offence was committed.
(3)Proceedings for any other offence under section 45(1) may be commenced—
(a)at any time before the end of the period of six months beginning with the date when the offence was committed, or
(b)at any time after the end of that period but before the end of the period of twelve months beginning with the date when evidence sufficient in the opinion of the Certification Officer or, in Scotland, the procurator fiscal, to justify the proceedings came to his knowledge;
but no proceedings may be commenced by virtue of paragraph (b) after the end of the period of three years beginning with the date when the offence was committed.
(4)For the purposes of subsection (3)(b), a certificate signed by or on behalf of the Certification Officer or the procurator fiscal which states the date on which evidence sufficient in his opinion to justify the proceedings came to his knowledge shall be conclusive evidence of that fact.
(5)A certificate stating that matter and purporting to be so signed shall be deemed to be so signed unless the contrary is proved.
(6)For the purposes of this section—
(a)in England and Wales, proceedings are commenced when an information is laid, and
(b)in Scotland, subsection (3) of [F12section 136 of the Criminal Procedure (Svotland) Act 1995]] (date of commencement of proceedings) applies as it applies for the purposes of that section.
Textual Amendments
F11S 45A inserted (30.8.1993) by 1993 c. 19, s. 11(2); S.I. 1993/1908, art. 2(1), Sch. 1
F12Words in s. 45A(6) substituted (1.4.1996) by 1995 c. 40, ss. 5, 7(2), Sch. 4 para. 85
(1)A trade union shall secure that a person does not at any time hold a position in the union to which this section applies if—
(a)within the period of five years immediately preceding that time he has been convicted of an offence under subsection (1) or (5) of section 45, or
(b)within the period of ten years immediately preceding that time he has been convicted of an offence under subsection (4), (7), (8) or (9) of that section.
(2)Subject to subsection (4), the positions to which this section applies are—
(a)member of the executive,
(b)any position by virtue of which a person is a member of the executive,
(c)president, and
(d)general secretary.
(3)For the purposes of subsection (2)(a) “member of the executive” includes any person who, under the rules or practice of the union, may attend and speak at some or all of the meetings of the executive, otherwise than for the purpose of providing the committee with factual information or with technical or professional advice with respect to matters taken into account by the executive in carrying out its functions.
(4)This section does not apply to the position of president or general secretary if the holder of that position—
(a)is not, in respect of that position, either a voting member of the executive or an employee of the union,
(b)holds that position for a period which under the rules of the union cannot end more than thirteen months after he took it up, and
(c)has not held either position at any time in the period of twelve months ending with the day before he took up that position.
(5)In subsection (4)(a) “a voting member of the executive” means a person entitled in his own right to attend meetings of the executive and to vote on matters on which votes are taken by the executive (whether or not he is entitled to attend all such meetings or to vote on all such matters or in all circumstances).]
Textual Amendments
F13S. 45B inserted (30.8.1993) by 1993 c. 19, s.12; S.I. 1993/1908, art. 2(1), Sch.1
(1)A member of a trade union who claims that the union has failed to comply with the requirement of section 45B may apply to the Certification Officer or to the court for a declaration to that [F15effect; but the Certification Officer may also exercise the powers under this section where no application is made under this section.]
[F16(1A)Where an application is made to the Certification Officer under this section, the Officer must ensure that, so far as is reasonably practicable, it is determined within six months of being made.]
[F17(2)Where the Certification Officer is satisfied that a trade union has failed to comply with the requirement of section 45B, the Officer may make a declaration to that effect.
(2A)Before deciding the matter the Certification Officer—
(a)may make such enquiries as the Officer thinks fit,
(b)must give the union and the applicant (if any) an opportunity to make written representations, and
(c)may give the union and the applicant (if any) an opportunity to make oral representations.
(2B)The Certification Officer must give reasons for the Officer's decision in writing.]
F18(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F18(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5)Where the court makes a declaration it shall also, unless it considers that it would be inappropriate, make an order imposing on the trade union a requirement to take within such period as may be specified in the order such steps to remedy the declared failure as may be so specified.
[F19(5A)Where the Certification Officer makes a declaration he shall also, unless he considers that it would be inappropriate, make an order imposing on the trade union a requirement to take within such period as may be specified in the order such steps to remedy the declared failure as may be so specified.
(5B)The following paragraphs have effect if a person applies to the Certification Officer under this section in relation to an alleged failure—
(a)that person may not apply to the court under this section in relation to that failure;
(b)on an application by a different person to the court under this section in relation to that failure, the court shall have due regard to any declaration, order, observations or reasons made or given by the Certification Officer regarding that failure and brought to the court’s notice.
(5C)The following paragraphs have effect if a person applies to the court under this section in relation to an alleged failure—
(a)that person may not apply to the Certification Officer under this section in relation to that failure;
(b)on an application by a different person to the Certification Officer under this section in relation to that failure, the Certification Officer shall have regard to any declaration, order, observations or reasons made or given by the court regarding that failure and brought to the Certification Officer’s notice.]
(6)Where an order has been made [F20under subsection (5) or (5A)], any person who is a member of the trade union and was a member at the time the order was made is entitled to enforce the order as if he had made [F21an application under this section].
[F22(7)Where the Certification Officer requests a person to furnish information to him in connection with enquiries made by him under this section, he shall specify the date by which that information is to be furnished and, unless he considers that it would be inappropriate to do so, shall proceed with his determination F23... notwithstanding that the information has not been furnished to him by the specified date.
(8)A declaration made by the Certification Officer under this section may be relied on as if it were a declaration made by the court.
(9)An order made by the Certification Officer under this section may be enforced [F24(by the Certification Officer, the applicant or a person mentioned in subsection (6))] in the same way as an order of the court.]]
Textual Amendments
F14S. 45C inserted (30.8.1993) by 1993 c. 19, s. 12; S.I. 1993/1908, art. 2(1), Sch. 1
F15Words in s. 45C(1) substituted (1.4.2022) by Trade Union Act 2016 (c. 15), s. 25(1), Sch. 2 para. 1(2); S.I. 2021/1373, reg. 4(b) (with reg. 7)
F16S. 45C(1A) inserted (1.4.2022) by Trade Union Act 2016 (c. 15), s. 25(1), Sch. 2 para. 1(3); S.I. 2021/1373, reg. 4(b) (with reg. 7)
F17S. 45C(2)-(2B) substituted for s. 45C(2) (1.4.2022) by Trade Union Act 2016 (c. 15), s. 25(1), Sch. 2 para. 1(4); S.I. 2021/1373, reg. 4(b) (with reg. 7)
F18S. 45C(3)(4) repealed (25.10.1999) by 1999 c. 26, ss. 29, 44, Sch. 6 paras. 1, 7(1)(4), Sch. 9(7); S.I. 1999/2830, art. 2(1)(3), Sch. 1 Pt. I, Sch. 2 Pt. I (with Sch. 3 para. 5)
F19S. 45C(5A)-(5C) inserted (25.10.1999) by 1999 c. 26, s. 29, Sch. 6 paras. 1, 7(1)(5); S.I. 1999/2830, art. 2(1), Sch. 1 Pt. I (with Sch. 3 para. 4)
F20Words in s. 45C(6) inserted (25.10.1999) by 1999 c. 26, s. 29, Sch. 6 paras. 1, 7(1)(6); S.I. 1999/2830, art. 2(1), Sch. 1 Pt. I (with Sch. 3 para. 4)
F21Words in s. 45C(6) substituted (1.4.2022) by Trade Union Act 2016 (c. 15), s. 25(1), Sch. 2 para. 1(5); S.I. 2021/1373, reg. 4(b) (with reg. 7)
F22S. 45C(7)-(9) inserted (25.10.1999) by 1999 c. 26, s. 29, Sch. 6, paras. 1, 7(1)(7); S.I. 1999/2830, art. 2(1), Sch. 1 Pt. I (with Sch. 3 para. 4)
F23Words in s. 45C(7) omitted (1.4.2022) by virtue of Trade Union Act 2016 (c. 15), s. 25(1), Sch. 2 para. 1(6); S.I. 2021/1373, reg. 4(b) (with reg. 7)
F24Words in s. 45C(9) inserted (1.4.2022) by Trade Union Act 2016 (c. 15), ss. 19(4), 25(1); S.I. 2021/1373, reg. 4(c) (with reg. 15)
An appeal lies to the Employment Appeal Tribunal [F26on any question arising] in proceedings before or arising from any decision of the Certification Officer under section [F27 24B, F28...] 25, 31 [F29 , 32ZC ] or 45C [F30or paragraph 5 of Schedule A3].]
Textual Amendments
F25S. 45D inserted (25.10.1999) by 1999 c. 26 s. 29, Sch. 6 paras. 1, 8; S.I. 1999/2830, art. 2(1), Sch. 1 Pt. I (with Sch. 3 para. 4)
F26Words in s. 45D substituted (1.4.2022) by Trade Union Act 2016 (c. 15), ss. 21(a), 25(1); S.I. 2021/1373, reg. 4(d) (with reg. 16)
F27Words in s. 45D inserted (1.6.2016) by Transparency of Lobbying, Non-Party Campaigning and Trade Union Administration Act 2014 (c. 4), ss. 43(6), 45(1)(c); S.I. 2015/717, art. 4(b)
F28Word in s. 45D omitted (1.4.2022) by virtue of Trade Union Act 2016 (c. 15), s. 25(1), Sch. 4 para. 3(a); S.I. 2021/1373, reg. 4(e)
F29Word in s. 45D inserted (1.3.2017) by Trade Union Act 2016 (c. 15), ss. 18(4), 25(1); S.I. 2017/139, reg. 2(m)
F30Words in s. 45D inserted (1.4.2022) by Trade Union Act 2016 (c. 15), s. 25(1), Sch. 4 para. 3(b); S.I. 2021/1373, reg. 4(e)