Certification Officer




The role of Certification Officer (CO) was created in 1975, as an independent and neutral agency appointed by the government in consultation with Acas to regulate trade unions and employers’ associations. Its original functions and powers were fairly limited and included administering the list of independent trade unions and certifying whether unions are independent;
ensuring that annual returns are submitted on time and checking for any financial irregularity; considering complaints by members about union elections and ballots
and union membership records;
resolving disputes over union rules; ensuring compliance with rules about inter-union mergers and
overseeing union political funds and finances.



From 1 June 2016, extra powers and responsibilities were added by the Lobbying Act 2014 in connection with the requirements for an annual “membership audit” (see above). Anyone, whether or not a member, can complain to the CO, alleging that a union has not complied with these obligations. The CO can also consider “references in the media” alleging non-compliance. 


More extensive powers (not yet in force) were added by the TUA 16, transforming the CO into an enforcement agency that can launch investigations into union decision-making processes at the request of third parties, even if no union member has complained (section 15 and 16 and schedules 1 to 3, TUA 16). Once in force, the CO will have powers:


• to initiate an investigation into union activities whether or not a union member has raised a concern;




• to appoint investigators, either from the CO’s own staff or external investigators, where there are “reasonable grounds to suspect” that a union has breached its statutory duties, and for these investigators to have the power to summon union officers to appear before them and to provide “all reasonable assistance” with the investigation;




• to demand immediate production by unions (including national officers or branch officials) of documents, including membership records (subject to a duty of confidentiality) and to take copies;




• to make declarations and enforcement orders when unions have failed to comply (for example, where a union has failed to produce documents or co-operate with an external inspector); and




• to impose financial penalties of up to £20,000.




A government consultation on the penalties to be imposed in connection with these new enforcement powers closed on 21 May 2017. Draft regulations, the Trade Union Financial Penalties Regulations, have been prepared but have not yet been enacted. These new powers, if implemented, are likely to place the government in breach of ILO standards, which state that unions must be free to draw up their own rules and administer their own affairs (Articles 3 and 5, ILO Convention No.87).





The TUA 16 also provides for a new levy on unions and employers’ associations to fund the CO’s running costs (section 18(1), TUA 16), to be administered by the CO. These costs are likely to increase significantly if the CO’s role is expanded as envisaged. The government has conceded that the levy will not be used to fund the cost of external investigators. A consultation on the amount of the levy (but not on whether there should be a levy at all) closed on 26 October 2017. Under government proposals, if implemented, the levy will impose a far greater financial burden on unions than on employers’ associations.