The Trade Union (Power of the Certification Officer to Impose Financial Penalties) Regulations 2022

• Citation: S.I. 2022/264
• Sections: 4

Section 1 Citation, commencement, extent and interpretation

(1) These Regulations may be cited as the Trade Union (Power of the Certification Officer to Impose Financial Penalties) Regulations 2022.

(2) These Regulations come into force on 1st April 2022.

(3) These Regulations extend to England and Wales and Scotland.

(4) In these Regulations “ the 1992 Act ” means the Trade Union and Labour Relations (Consolidation) Act 1992.

Section 2 Minimum penalties

The minimum amount that may be specified in a penalty order or conditional penalty order is £200.

Section 3 Maximum penalties

(1) The level of maximum penalty that may be specified in a penalty order or conditional penalty order where the person in default is an organisation is—

(a) Level 1 in relation to enforcement orders made, or capable of being made, under—

(i) section 45C(5A) of the 1992 Act (order on failure by union to comply with duty to secure positions not held by certain offenders);

(ii) section 55(5A) of the 1992 Act (order on failure by union to comply with requirements about elections for certain positions);

(iii) section 72A(5) of the 1992 Act (order on failure by union to comply with restriction on applying union’s funds in the furtherance of political objects);

(iv) section 80(5A) of the 1992 Act (order on failure by union to comply with rules as to ballots on political resolutions);

(v) section 82(2A) of the 1992 Act (order on failure by union to comply with rules as to political fund) ;

(vi) section 84A(5) of the 1992 Act (order on failure by union to provide required information to members about contributing to political fund);

(b) Level 2 in relation to enforcement orders made, or capable of being made, under section 24B(6) or 25(5A) of the 1992 Act (order on failure by union to comply with duties regarding the register of members);

(c) Level 3 in relation to enforcement orders made, or capable of being made, under—

(i) section 31(2B) of the 1992 Act (order on failure by union to comply with member’s request for access to accounting records);

(ii) section 32ZC(6) of the 1992 Act (order on failure by union to provide details of industrial action etc., or political expenditure, in annual return);

(iii) section 108B(3) of the 1992 Act (order on breach or threatened breach by union of rules on certain matters);

(iv) paragraph 5(1) of Schedule A3 to the 1992 Act (order on failure by union or other person to comply with investigatory requirements).

(2) A Level 1 maximum penalty is as follows—

(3) A Level 2 maximum penalty is as follows—

(4) A Level 3 maximum penalty is as follows—

(5) Where a trade union is in whole or part an association or combination of other unions, these Regulations apply to that union as if the individual members of the component unions were members of that union and not of the component unions.

(6) Where an employers’ association is in whole or part an association or combination of other associations, these Regulations apply to that association as if the individual members of the component associations were members of that association and not of the component associations.

(7) For the purposes of paragraphs (2) to (4), the number of members of an organisation refers to—

(a) the number of members identified in the most recent annual return sent by the organisation to the Certification Officer under section 32 of the 1992 Act , if the organisation has sent a return that includes such information; or

(b) in the absence of such a return, the number of members the Certification Officer reasonably believes the organisation has on the day the Certification Officer makes the penalty order or the conditional penalty order.

(8) The maximum amount that may be specified in a penalty order or conditional penalty order relating to an enforcement order made, or capable of being made, under paragraph 5(1) of Schedule A3 to the 1992 Act, where the person in default is an individual, is £1,000.

Section 4 Recovery of financial penalties

(1) This regulation applies if all or part of a penalty is unpaid by the relevant payment date.

(2) In this regulation, the relevant payment date is—

(a) if there is no appeal under paragraph 5 of Schedule A4 to the 1992 Act then—

(i) the date specified in the penalty order; or

(ii) in the case of a conditional penalty order, the date specified in a further order the Certification Officer makes in accordance with paragraph 3(3) of Schedule A4 to the 1992 Act;

(b) if there is an appeal then the date when the appeal is withdrawn or finally determined.

(3) Where any amount of a penalty is unpaid by the relevant payment date, that unpaid amount is recoverable as a civil debt due to the Certification Officer.