Employment Relations Bill - continued        House of Lords
SCHEDULE A1, COLLECTIVE BARGAINING: RECOGNITION - continued
PART I, RECOGNITION - continued
Union recognition - continued

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     20. - (1) This paragraph applies if-
 
 
    (a) the CAC proceeds with an application in accordance with paragraph 17 or 18, and
 
    (b) the CAC is not satisfied that a majority of the workers constituting the bargaining unit are members of the union (or unions).
      (2) The CAC must arrange for the holding of a secret ballot in which the workers constituting the bargaining unit are asked whether they want the union (or unions) to conduct collective bargaining on their behalf.
 
     21. - (1) This paragraph applies if the CAC arranges under paragraph 19 or 20 for the holding of a ballot.
 
      (2) The ballot must be conducted by a qualified independent person appointed by the CAC.
 
      (3) The ballot must be conducted within-
 
 
    (a) the period of 20 working days starting with the day after that on which the qualified independent person is appointed, or
 
    (b) such longer period (so starting) as the CAC may specify to the parties by notice containing reasons for the extension.
      (4) The ballot must be conducted-
 
 
    (a) at a workplace or workplaces decided by the CAC, or
 
    (b) by post,
  depending on the CAC's preference.
 
      (5) In deciding how the ballot is to be conducted the CAC must take into account-
 
 
    (a) the likelihood of the ballot being affected by unfairness or malpractice if it were conducted at a workplace or workplaces;
 
    (b) costs and practicality;
 
    (c) such other matters as the CAC considers appropriate.
      (6) A person is a qualified independent person if-
 
 
    (a) he satisfies such conditions as may be specified for the purposes of this paragraph by order of the Secretary of State or is himself so specified, and
 
    (b) there are no grounds for believing either that he will carry out any functions conferred on him in relation to the ballot otherwise than competently or that his independence in relation to the ballot might reasonably be called into question.
      (7) An order under sub-paragraph (6)(a) shall be made by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.
 
      (8) As soon as is reasonably practicable after the CAC has decided to arrange for the holding of a ballot it must inform the parties-
 
 
    (a) of the decision;
 
    (b) of the name of the person appointed to conduct the ballot and the date of his appointment;
 
    (c) of the period within which the ballot must be conducted;
 
    (d) whether the ballot is to be conducted by post or at a workplace or workplaces;
 
    (e) of the workplace or workplaces concerned (if the ballot is to be conducted at a workplace or workplaces).
     22. - (1) An employer who is informed by the CAC under paragraph 21(8) must comply with the following three duties.
 
      (2) The first duty is to co-operate generally, in connection with the ballot, with the union (or unions) and the person appointed to conduct the ballot; and the second and third duties are not to prejudice the generality of this.
 
      (3) The second duty is to give to the union (or unions) such access to the workers constituting the bargaining unit as is reasonable to enable the union (or unions) to inform the workers of the object of the ballot and to seek their support and their opinions on the issues involved.
 
      (4) The third duty is to do the following (so far as it is reasonable to expect the employer to do so)-
 
 
    (a) to give to the CAC, within the period of 10 working days starting with the day the employer is informed under paragraph 21(8), the names and home addresses of the workers constituting the bargaining unit;
 
    (b) to give to the CAC, as soon as is reasonably practicable, the name and home address of any worker who joins the unit after the employer has complied with paragraph (a);
 
    (c) to inform the CAC, as soon as is reasonably practicable, of any worker whose name has been given to the CAC under paragraph (a) or (b) but who ceases to be within the unit.
      (5) As soon as is reasonably practicable after the CAC receives any information under sub-paragraph (4) it must pass it on to the person appointed to conduct the ballot.
 
      (6) If asked to do so by the union (or unions) the person appointed to conduct the ballot must send to any worker-
 
 
    (a) whose name and home address have been given under sub-paragraph (5), and
 
    (b) who is still within the unit (so far as the person so appointed is aware),
  any information supplied by the union (or unions) to the person so appointed.
 
      (7) The duty under sub-paragraph (6) does not apply unless the union bears (or unions bear) the cost of sending the information.
 
      (8) Each of the following powers shall be taken to include power to issue Codes of Practice about reasonable access for the purposes of sub-paragraph (3)-
 
 
    (a) the power of ACAS under section 199(1);
 
    (b) the power of the Secretary of State under section 203(1)(a).
     23. - (1) If the CAC is satisfied that the employer has failed to fulfil any of the three duties imposed by paragraph 22, and the ballot has not been held, the CAC may order the employer-
 
 
    (a) to take such steps to remedy the failure as the CAC considers reasonable and specifies in the order, and
 
    (b) to do so within such period as the CAC considers reasonable and specifies in the order.
      (2) If the CAC is satisfied that the employer has failed to comply with an order under sub-paragraph (1), and the ballot has not been held, the CAC may issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the bargaining unit.
 
      (3) If the CAC issues a declaration under sub-paragraph (2) it shall take steps to cancel the holding of the ballot; and if the ballot is held it shall have no effect.
 
     24. - (1) This paragraph applies if the holding of a ballot has been arranged under paragraph 19 or 20, whether or not it has been cancelled.
 
      (2) The gross costs of the ballot shall be borne-
 
 
    (a) as to half, by the employer, and
 
    (b) as to half, by the union (or unions).
      (3) If there is more than one union they shall bear their half of the gross costs-
 
 
    (a) in such proportions as they jointly indicate to the person appointed to conduct the ballot, or
 
    (b) in the absence of such an indication, in equal shares.
      (4) The person appointed to conduct the ballot may send to the employer and the union (or each of the unions) a written demand stating-
 
 
    (a) the gross costs of the ballot, and
 
    (b) the amount of the gross costs to be borne by the recipient.
      (5) In such a case the recipient must pay the amount stated to the person sending the demand, and must do so within the period of 21 days starting with the day the demand is received.
 
      (6) In England and Wales, if the amount stated is not paid in accordance with sub-paragraph (5) it shall, if a county court so orders, be recoverable by execution issued from that court or otherwise as if it were payable under an order of that court.
 
      (7) References to the costs of the ballot are to-
 
 
    (a) the costs wholly, exclusively and necessarily incurred in connection with the ballot by the person appointed to conduct it,
 
    (b) such reasonable amount as the person appointed to conduct the ballot charges for his services, and
 
    (c) such other costs as the employer and the union (or unions) agree.
     25. - (1) As soon as is reasonably practicable after the CAC is informed of the result of a ballot by the person conducting it, the CAC must act under this paragraph.
 
      (2) The CAC must inform the employer and the union (or unions) of the result of the ballot.
 
      (3) If the result is that the union is (or unions are) supported by-
 
 
    (a) a majority of the workers voting, and
 
    (b) at least 40 per cent of the workers constituting the bargaining unit,
  the CAC must issue a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of the bargaining unit.
 
      (4) If the result is otherwise the CAC must issue a declaration that the union is (or unions are) not entitled to be so recognised.
 
      (5) The Secretary of State may by order amend sub-paragraph (3) so as to specify a different degree of support; and different provision may be made for different circumstances.
 
      (6) An order under sub-paragraph (5) shall be made by statutory instrument.
 
      (7) No such order shall be made unless a draft of it has been laid before Parliament and approved by a resolution of each House of Parliament.
 
 
Consequences of recognition
     26. - (1) This paragraph applies if the CAC issues a declaration that the union is (or unions are) recognised as entitled to conduct collective bargaining on behalf of a bargaining unit.
 
      (2) The parties may in the negotiation period conduct negotiations with a view to agreeing a method by which they will conduct collective bargaining.
 
      (3) If no agreement is made in the negotiation period the employer or the union (or unions) may apply to the CAC for assistance.
 
      (4) The negotiation period is-
 
 
    (a) the period of 42 days starting with the start day, or
 
    (b) such longer period (so starting) as the parties may from time to time agree.
      (5) The start day is the day on which the parties are notified of the declaration.
 
     27. - (1) This paragraph applies if an application for assistance is made to the CAC under paragraph 26.
 
      (2) The CAC must try to help the parties to reach in the agreement period an agreement on a method by which they will conduct collective bargaining.
 
      (3) If at the end of the agreement period the parties have not made such an agreement the CAC must specify to the parties the method by which they are to conduct collective bargaining.
 
      (4) Any method specified under sub-paragraph (3) is to have effect as if it were contained in a legally enforceable contract made by the parties.
 
      (5) But if the parties agree in writing-
 
 
    (a) that sub-paragraph (4) shall not apply, or shall not apply to particular parts of the method specified by the CAC, or
 
    (b) to vary or replace the method specified by the CAC,
  the written agreement shall have effect as a legally enforceable contract made by the parties.
 
      (6) Specific performance shall be the only remedy available for breach of anything which is a legally enforceable contract by virtue of this paragraph.
 
      (7) If at any time before a specification is made under sub-paragraph (3) the parties jointly apply to the CAC requesting it to stop taking steps under this paragraph, the CAC must comply with the request.
 
      (8) The agreement period is-
 
 
    (a) the period of 28 days starting with the day after that on which the CAC receives the application under paragraph 26, or
 
    (b) such longer period (so starting) as the CAC may decide with the consent of the parties.
 
General provisions about applications
     28. An application to the CAC under this Part of this Schedule is not admissible unless-
 
 
    (a) it is made in such form as the CAC specifies, and
 
    (b) it is supported by such documents as the CAC specifies.
     29. An application under paragraph 10 or 11 is not admissible unless the union gives (or unions give) to the employer-
 
 
    (a) notice of the application, and
 
    (b) a copy of the application and any documents supporting it.
     30. - (1) An application under paragraph 10 or 11 is not admissible if the CAC is satisfied that a union is already recognised as entitled to conduct collective bargaining on behalf of any workers falling within the relevant bargaining unit.
 
      (2) In applying sub-paragraph (1) an agreement for recognition (the agreement in question) must be ignored if-
 
 
    (a) the union does not have a certificate under section 6 that it is independent,
 
    (b) at some time there was an agreement (the old agreement) between the employer and the union under which the union (whether alone or with other unions) was recognised as entitled to conduct collective bargaining on behalf of a group of workers which was the same or substantially the same as the group covered by the agreement in question, and
 
    (c) the old agreement ceased to have effect in the period of three years ending with the date of the agreement in question.
      (3) It is for the CAC to decide whether one group of workers is the same or substantially the same as another, but in deciding the CAC may take account of the views of any person it believes has an interest in the matter.
 
      (4) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
     31. - (1) An application under paragraph 10 or 11 is not admissible unless the CAC decides that-
 
 
    (a) members of the union (or unions) constitute at least 10 per cent of the workers constituting the relevant bargaining unit, and
 
    (b) a majority of the workers constituting the relevant bargaining unit would be likely to favour recognition of the union (or unions) as entitled to conduct collective bargaining on behalf of the bargaining unit.
      (2) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
      (3) The CAC must give reasons for the decision.
 
     32. - (1) This paragraph applies to an application made by more than one union under paragraph 10 or 11.
 
      (2) The application is not admissible unless-
 
 
    (a) the unions show that they will co-operate with each other in a manner likely to secure and maintain stable and effective collective bargaining arrangements, and
 
    (b) the unions show that, if the employer wishes, they will enter into arrangements under which collective bargaining is conducted by the unions acting together on behalf of the workers constituting the relevant bargaining unit.
      (3) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
     33. - (1) This paragraph applies if-
 
 
    (a) the CAC accepts for decision an application under paragraph 10 or 11 relating to a bargaining unit, and
 
    (b) the CAC has not issued a declaration under paragraph 19(2), 25(3) or 25(4) in relation to that bargaining unit.
      (2) Another application under paragraph 10 or 11 is not admissible if-
 
 
    (a) at least one worker falling within the relevant bargaining unit also falls within the bargaining unit referred to in sub-paragraph (1), and
 
    (b) the application is made by a union (or unions) other than the union (or unions) which made the application referred to in sub-paragraph (1).
      (3) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
     34. - (1) This paragraph applies if the CAC accepts for decision an application under paragraph 10 or 11 relating to a bargaining unit.
 
      (2) Another application under paragraph 10 or 11 is not admissible if-
 
 
    (a) the application is made within the period of 3 years starting with the date of the application mentioned in sub-paragraph (1),
 
    (b) the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and
 
    (c) the application is made by the union (or unions) which made the application mentioned in sub-paragraph (1).
      (3) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
      (4) This paragraph does not apply if paragraph 35 applies.
 
     35. - (1) This paragraph applies if the CAC issues a declaration that a union is (or unions are) not entitled to be recognised as entitled to conduct collective bargaining on behalf of a bargaining unit.
 
      (2) An application under paragraph 10 or 11 is not admissible if-
 
 
    (a) the application is made within the period of 3 years starting with the date of the declaration,
 
    (b) the relevant bargaining unit is the same or substantially the same as the bargaining unit mentioned in sub-paragraph (1), and
 
    (c) the application is made by the union (or unions) which made the application leading to the declaration.
      (3) The relevant bargaining unit is-
 
 
    (a) the proposed bargaining unit, where the application is under paragraph 10(2) or 11(2);
 
    (b) the agreed bargaining unit, where the application is under paragraph 11(4).
     36. - (1) This paragraph applies for the purposes of paragraphs 34 and 35.
 
      (2) It is for the CAC to decide whether one bargaining unit is the same or substantially the same as another, but in deciding the CAC may take account of the views of any person it believes has an interest in the matter.
 
 
Competing applications
     37. - (1) For the purposes of this paragraph-
 
 
    (a) the original application is the application referred to in paragraph 33(1), and
 
    (b) the competing application is the other application referred to in paragraph 33(2).
      (2) This paragraph applies if-
 
 
    (a) the CAC decides that the competing application is not admissible by reason of paragraph 33,
 
    (b) at the time the decision is made the parties to the original application have not agreed the appropriate bargaining unit under paragraph 15, and the CAC has not decided the appropriate bargaining unit under paragraph 16, in relation to the application, and
 
    (c) the 10 per cent test (within the meaning given by paragraph 13) is satisfied with regard to the competing application.
      (3) In such a case-
 
 
    (a) the CAC must cancel the original application,
 
    (b) the CAC must give notice to the parties to the application that it has been cancelled,
 
    (c) no further steps are to be taken under this Part of this Schedule in relation to the application, and
 
    (d) the application shall be treated as if it had never been admissible.
 
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