Further Statutory Recognition guidance:

A guidance document for the parties.
 (Word version only)

Parts IV and V-Guide for the Parties

THE CAC's STATUTORY DUTIES

Part I of Schedule A1 of the Trade Union and Labour Relations (Consolidation) Act 1992 (TULR(C)A), as inserted by Section 1 of the Employment Relations Act 1999, provides that in certain circumstances a trade union (or trade unions) may make an application to the CAC for a declaration that it should be recognised to conduct collective bargaining regarding pay, hours and holidays on behalf of a group or groups of workers employed by an employer in a particular bargaining unit.

If the CAC receives an application from a trade union(s) under Part I, it must first decide whether or not it can accept the application. It does this by applying a number of admissibility tests laid down in Schedule A1. These tests include whether or not the trade union has 10% of the workforce in its proposed bargaining unit in membership and whether or not a majority of workers in the proposed bargaining unit would be likely to support recognition of the trade union. Where the CAC decides it can accept the application, and where the bargaining unit proposed by the trade union in its originating application has not been agreed with the employer, the CAC must next decide whether or not the proposed bargaining unit is the appropriate one. The CAC does this by considering primarily whether or not what is proposed is compatible with effective management. If the CAC decides a different bargaining unit is the appropriate one, it must next consider whether or not the application remains valid. It does this by reapplying to the bargaining unit it has determined a number of the tests it applied to the bargaining unit proposed by the trade union in its originating application.

Where the CAC decides the application remains valid and over 50% of the appropriate bargaining unit are members of the applicant union(s), the CAC may declare the union(s) should be recognised.  Alternatively, where the CAC is satisfied that the interests of good industrial relations require a secret ballot to be held, or for other specified reasons, the CAC may still decide to hold a ballot  even though the union(s) has majority membership in the appropriate bargaining unit.  If the CAC is unsatisfied that the applicant union(s) has majority membership in the appropriate bargaining unit, the CAC must always arrange for a ballot to be held before deciding whether or not to grant recognition.  Where a ballot is held, the CAC will grant recognition where a majority of participants in the ballot, and at least 40% of the workers constituting the appropriate bargaining unit, vote in favour. 

Click on the link highlighted to download Part 1 Recognition Application form. - see Publications

Where the CAC issues a declaration granting recognition, or where a semi-voluntary agreement (see below) has been concluded, the parties have 30 days to negotiate and agree a bargaining procedure. If no agreement can be reached, even with CAC assistance, the CAC will determine the procedure. 

Part II of the Schedule provides that where an agreement for recognition is made between the parties after a request for recognition has been made by an independent trade union in accordance with the requirements of the Schedule but before the CAC has determined the application, the employer has to maintain that agreement for three years unless the union ends it before that time. This is known as semi-voluntary recognition. If, following the conclusion of an agreement for recognition, the parties are unable to agree a bargaining procedure, an application may be made to the CAC for it to determine one in respect of the agreement.

Part III sets out a procedure to be followed by the parties and the CAC where a union was recognised through the statutory procedures and, as a result of a change in the employer's business, either the union or the employer believes the bargaining unit has changed or has ceased to exist.

Parts IV and V of the Schedule provide, in certain circumstances, for the CAC to declare a union de-recognised where the employer or workers in the bargaining unit make such a request, and where recognition resulted from an earlier declaration by the CAC. Part VI provides for workers to be able to invoke the statutory de-recognition procedure where an employer has voluntarily recognised a union which does not have a certificate of independence. Part VII sets out the effect of a union recognised through the statutory procedure losing its certificate of independence.

In exercising its functions under the Schedule, the CAC has to have regard to a general duty to encourage and promote fair and efficient practices and arrangements in the workplace so far as that objective is consistent with applying other provisions of the Schedule in the case concerned.

Disclosure of information for collective bargaining purposes

Section 181 of TULR(C)A provides that an employer who recognises a trade union for collective bargaining purposes shall disclose to trade union representatives such information in his possession as is necessary to ensure they are not impeded in carrying on collective bargaining with him, and which is in accordance with good industrial relations practice.

A trade union may in accordance with section 183 of TULR(C)A present a complaint to the CAC that an employer has failed to disclose necessary information or to confirm such information in writing.

Should an employer fail to disclose necessary information following a declaration by the CAC that the trade union's complaint under section 183 was well-founded, a trade union may present a further complaint to the CAC under section 184 of TULR(C)A, and may present to the CAC a claim in respect of one or more descriptions of employees specified in the claim that their contracts should include the terms and conditions specified in the claim. If the CAC finds such a further complaint well-founded, it may make an award that the employer shall, from a specified date, observe the terms and conditions set out in the claim or such other terms and conditions as the CAC considers appropriate

Information and Consultation

The Information and Consultations Regulations 2004 came into force on 6 April 2005 for undertakings with at least 150 employees.  The regulations require employers to establish arrangements for informing and consulting employees by way of either a negotiated agreement or the standard provisions laid down in the Regulations. The CAC's responsibility is to resolve disputes about the establishment and operation of these arrangements.

Click here to download the Guide to the CAC's role under the Regulations

Claims and complaints regarding the establishment and operation of European Works Councils (EWCs)

The Transnational Information and Consultation of Employees Regulations 1999 were commenced on 15 January 2000 to give effect in the UK to the European Union (EU) directive requiring certain EU-wide undertakings to establish EWCs for the purposes of informing and consulting employees.

Regulation 8 provides that an employee or their representative may present a claim to the CAC that the employer has failed to provide necessary information, required by Regulation 7, to assist them to determine whether or not the employer is part of a EU-wide undertaking.

If a request is received by an employer to establish a EWC, Regulation 10 provides that the central management of that employer may apply to the CAC for a declaration that it is not a EU-wide undertaking within the meaning of the Regulations, or that insufficient numbers of employees have requested that a EWC be established.

Regulation 15 provides that, following the establishment of a Special Negotiating Body (SNB) to agree the scope, composition, functions and term of office of a EWC, employees' representatives may complain to the CAC that the SNB arrangements are in some way defective (eg the number of seats allocated is incorrect). Regulation 15 also provides that either management or employee representatives may make a complaint to the CAC that a nomination to the SNB is invalid.

Regulations 23 provides that an employer may seek a declaration from the CAC that information provided to members of the EWC should be held in confidence by the EWC. Regulation 24 provides that employee or employer representatives may seek a declaration from the CAC that certain information should or should not be disclosed to the EWC.

Provision of voluntary arbitration

Section 212 of TULR(C)A 1992 provides that where a trade dispute exists, the parties to that dispute may request ACAS to refer all or any of the matters in dispute to the CAC for settlement by way of arbitration. Before doing so, however, ACAS has to consider the likelihood of the dispute being settled by conciliation and whether or not agreed procedures for settlement of disputes between the parties have been used.

The European Public Limited-Liability Company Regulations 2004

The Regulations came into force on 8 October 2004 and set out requirements for the information, consultation and participation of employees when a European Company is formed.  The CAC's responsibility is to resolve disputes about those requirements.