About our services
Certification Office’s Operational Plan 2020-2021
Introduction
I am very happy to share with you the Certification Office’s Operational Plan for the current year. The plan sets out, in line with our strategic aims, what we will be working on in the coming months and the changes you can expect to see.
My working principles remain as set out in last year’s annual report. I, and my team, aim to carry out my statutory functions in a way that is fair, impartial and independent for trade unions, employers’ associations, their members and other interested parties. We will achieve this by:
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Following the principles of better regulation and explaining why decisions have been reached on the use of my powers and when considering complaints
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Providing an open, accessible and efficient service to all our service users and stakeholders
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Working alongside all of our stakeholders, including the Government and the TUC to deliver my statutory functions
Our objectives are included within the plan, but I wanted to highlight that we will be building on the work we have already undertaken to digitise our services by reducing our dependence on paper and providing more online services. Using our experience with developing the online Annual Return we will work with our stakeholders and service users to ensure that any changes we make improve our existing services.
We also need to take into account the restrictions placed on all of us during the current pandemic. It is likely that it will be a significant period of time before we can return to our office and so we will become more dependent on digital communications and on cooperation with stakeholders and service users to deliver our services. We are grateful for your cooperation so far. We will ensure that we continue to prioritise the health of everyone involved in trade unions and employers’ associations, and my team, whilst continuing to deliver our usual high standard of service. We will also ensure that we learn from this experience and continue with new ways of working where they deliver an improvement to our service.
My annual report for 2020/21 will include an update on our progress toward our objectives. In the meantime, I welcome your feedback on our working principles and the operational plan. Please do get in touch if you have any comments or would like to discuss our plans with my team.
Contact details for Sarah Bedwell
My powers are included within the Trade Union and Labour Relation (Consolidation) Act 1992 (“the 1992 Act”). For more detailed guidance on an issue matter that comes under my remit please consult the relevant guidance on Gov.uk or phone a member of my team on 0330 109 3602
Our objectives for this year:
1a Guide trade unions, employers’ associations, their members and the wider public regarding each of our statutory roles
b Support trade unions and employers’ associations to fulfil their statutory duties
2 Improve the efficiency, transparency and cost effectiveness of our services
3 Prepare for the implementation of further provisions in the Trade Union Act 2016 relating to the Certification Officer’s increased investigative powers, power to impose financial penalties and the levy on trade unions and employers’ associations
4 Develop our people
5a Reduce use of paper, in line with the government’s green targets and move to towards digitisation
b make all our publicly available electronic documents as accessible as possible
6 Seek sustainable ways of working through the COVID-19 pandemic and beyond
How we will meet these objectives
1a Guide trade unions, employers’ associations, their members and the wider public regarding each of our statutory roles
b Support trade unions and employers’ associations to fulfil their statutory duties
Key targets for these statutory responsibilities are:
I. Addition or removal to the list of Trade Unions and Employers’ Associations
- A decision on whether your organisation meets the statutory definition will normally be made within 6 months of receipt of the application
II. Annual Returns from Trade Unions and Employers’ Associations
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To provide an effective service aimed at securing trade unions’ and employers’ associations’ cooperation in meeting their reporting requirements. We will use a flexible approach which seeks to avoid the need for prosecution
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We will aim for all annual returns to be published no more than three months after the due date
III. Complaints within the Certification Officer’s jurisdiction
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We will reply to complaint applications usually not more than 10 working days after receipt. Throughout your complaint we will keep you updated on progress
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All complaints will be dealt with expeditiously and with a view to ensuring that the formal decision is issued within 6 months where reasonably practicable
IV. Information for the Public/ Enquiries
- We will reply to enquiries usually not more than 10 working days after receipt
2 Improve the efficiency, ease of use and cost effectiveness of our services
Seek people’s views about their experience of using our service and use those suggestions to make improvements to the way we handle enquiries and applications
Annual returns
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Continue supporting trade unions in using the new electronic forms for completing their annual returns and in fulfilling the additional reporting requirements
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Seek to apply what worked well in the electronic forms more widely in digitising other documents
Complaint applications and listing applications
- Review our office processes with the aim to make them easier to understand and less time consuming for all parties. Specific changes include redesigning application forms and using more telephone contact
By when? The end of the fourth quarter of the year
3 Prepare for the implementation of further provisions in the Trade Union Act 2016 relating to the Certification Officer’s increased investigative powers, power to impose financial penalties and the levy on trade unions and employers’ associations
We will seek to ensure that we have the necessary resources to discharge our functions under the new powers when they are implemented by:
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liaising with the Department for Business, Energy and Industrial Strategy (BEIS) regarding the timing and implementation of the new powers
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engaging in early discussions with Acas on resourcing requirements
In relation to trade unions
- We will prepare and provide appropriate guidance on the new provisions
- Once the implementation timetable is confirmed by BEIS we will consult trade unions where appropriate
4 Develop our people
To improve the service we provide we will build on individuals’ skills and develop our capacity as a team
The COVID-19 pandemic means all team members are working away the office for the foreseeable future. We will:
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Empower people to make the best use of digital technology to continue providing our core services wherever possible
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Find sustainable ways of working by helping people to manage their work remotely with due regard to their safety and physical and mental wellbeing
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Apply successful working methods learnt from the pandemic in the future
To further develop our capacity, we will:
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Develop the skills team members need in preparation for the new powers in the 2016 Act, such as investigative skills and financial skills
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Work towards achieving the Investors in People accreditation, Silver level (currently Standard) by December 2020
5a Reduce use of paper, in line with the government’s green targets and move to towards digitisation
Our targets:
All newly received annual returns, rule books and statements to members to be completed, processed and stored in electronic form only
b Make all our publicly available electronic documents as accessible as possible.
All our published guidance and policy documents to be as accessible as possible and all newly published decisions to be fully accessible
For example, when we produce a document we aim to:
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provide it in HTML where possible
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tag headings and other parts of the document properly, so screen readers can understand the page structure
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endeavour where possible to include alt text alongside non-decorative images, so people who cannot see them understand what they are
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avoid using tables, except when we are presenting data
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write in plain English
By when? The end of the second quarter of the year, then ongoing
6 Seek sustainable ways of working through the COVID-19 pandemic and beyond
In meeting the challenges of the pandemic our priority is the health and safety of our team members and everyone who uses our services, with due regard to government guidance
In particular:
During the pandemic we will seek ways to continue meeting all our statutory duties for example by:
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using video conferencing for hearings where appropriate; and
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enabling public access to as wide a range of documents as possible in digital form
After we return to our premises we will seek ways to apply what worked well longer term by
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Seeking ways to make better use of digital technologies to build our capacity in changed circumstances
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Assessing the benefits of using remote hearings or remote meetings for some cases
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We will move our London office within the financial year or at the beginning of next year. We will use this an opportunity to make the most efficient use of space, for example by increased remote working
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As part of our preparations for the move we will communicate with our service users to minimise any disruption
12 June 2020