European Companies: applications and complaints
ISSUES UNDER THE EUROPEAN PUBLIC LIMITED-LIABILITY COMPANY (EMPLOYEE INVOLVEMENT) REGULATIONS ON WHICH APPLICATIONS OR COMPLAINTS CAN BE MADE TO THE CAC
Applies to England, Scotland and Wales
DUTY ON PARTICIPATING COMPANY TO PROVIDE INFORMATION
Regulation 6
Complaint by an employee or an employees’ representative that a participating company has failed to provide information or the information is false or incomplete in a material particular. The information that must be provided must include information:
(a) identifying the participating companies, concerned subsidiaries and establishments,
(b) giving the number of employees employed by each participating company and concerned subsidiary and at each concerned establishment, and
(c) giving the number of employees employed to work in each Relevant State.
Further, when a special negotiating body has been formed it must be provided with such information as is necessary to keep it informed of the plan and progress of establishing the SE or the UK Societas up to the time the SE or the UK Societas has been registered.
There is no deadline for a complaint under this heading.
CAC can make an order requiring the participating company to disclose information to the complainant specifying: * the information to be disclosed; and
- the date by which it must be disclosed.
COMPLAINT ABOUT ESTABLISHMENT OF SPECIAL NEGOTIATING BODY
Regulation 9
Complaint by an employee or an employees’ representative or a member of the special negotiating body or a participating company or concerned subsidiary that the special negotiating body has not been established at all or has not been established properly.
Complaint must be submitted within one month of the date upon which the management of a participating company informed, or should have informed, the employees of the identity of the members of the special negotiating body.
CAC can make a declaration that the participating company is still obliged to establish a special negotiating body.
COMPLAINT ABOUT THE BALLOT ARRANGEMENTS
Regulation 10
Complaint by a UK employee or UK employees’ representative who believes the arrangements for the ballot do not comply with the provisions of the regulations.
Complaint must be submitted within 21 days of the publication of the final ballot arrangements.
CAC can order management to: * modify the arrangements so as to comply with the regulations; or
- consult with the UK employees’ representatives before the final ballot arrangements are brought to the attention of all UK employees and UK employees’ representatives.
COMPLAINT ABOUT THE APPOINTMENT OF UK MEMBERS BY A CONSULTATIVE COMMITTEE
Regulation 12
Complaint by a participating company or an employee or employees’ representative that the consultative committee does not satisfy the requirements of the regulations or that a person (or persons) appointed by the consultative committee was not eligible to be appointed.
Complaint must be submitted within 21 days of the date on which the consultative committee published the names of those appointed.
CAC can make an order declaring the appointment made by the consultative committee is ineffective and that the members of the special negotiating body are to be elected by ballot.
COMPLAINT ABOUT DECISIONS OF SPECIAL NEGOTIATING BODY
Regulation 18
Complaint by a member of the special negotiating body, an employee representative, or an unrepresented employee that decisions of the special negotiating body have not been correctly published or, where required by the regulations, have not been made by a majority.
Complaint must be submitted within 21 days of the publication of the decision or within 21 days of the date by which the decision should have been published.
CAC can make a declaration that the decision was not taken properly and that it shall have no effect.
DISPUTES ABOUT OPERATION OF AN EMPLOYEE INVOLVEMENT AGREEMENT OR THE STANDARD RULES OF EMPLOYEE INVOLVEMENT
Regulation 20
Where either an employee involvement agreement has been agreed or the standard rules apply, a complaint may be presented by a member of a representative body, if one has been established, or where there is no representative body, an information and consultative representative or an employee who considers that the management of participating company or an SE or the UK Societas has failed to comply with the terms of the employee involvement agreement or, where applicable, the standard rules for information and consultation.
A complaint must be brought within a period of 3 months starting with the date of the alleged failure, or where the failure takes place over a period, the last day of that period.
The CAC can make an order requiring the SE or the UK Societas to take such steps necessary to comply with the terms of the employee involvement agreement or, where applicable, the standard rules on employee involvement specifying:
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the steps which the SE or the UK Societas is required to take;
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the date of the failure; and
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the period within which the order must be complied with.
If the CAC issues a declaration upholding the complaint, the applicant has 3 months in which to apply to the Appeal Tribunal for a penalty notice to be issued.
MISUSE OF PROCEDURES
Regulation 22
A complaint can be made by an employees’ representative, or if there is no such representative, an employee, who believes that a participating company, an SE or the UK Societas is misusing or intending to misuse the SE or the powers in these Regulations for the purpose of:
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depriving the employees of that particular company or of any concerned subsidiaries of their rights to employee involvement; or
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withholding such rights from any of the employees referred to above.
A complaint can be made before registration of the SE or within the period of 12 months following the date of its registration as an SE (including registration as an SE which subsequently converted to a UK Societas on 1 January 2021).
The complaint shall be upheld unless the respondent proves that it did not misuse or intend to misuse the SE or the powers in these Regulations for either of the above purposes.
The CAC can make an order requiring the participating company, the SE or the UK Societas to take such action to ensure that employees are not deprived of their rights to employee involvement or that such rights are not withheld from them.
If the CAC issues a declaration upholding the complaint, the applicant has three months in which to apply to the Appeal Tribunal for a penalty notice to be issued.
DISPUTES OVER CONFIDENTIAL INFORMATION
Regulation 24
Application as to whether it was reasonable for an SE, a UK Societas or a subsidiary of an SE or a UK Societas or a participating company or a concerned subsidiary to require the recipient of information received to hold the information or document in confidence.
There is no deadline for a complaint under this regulation.
CAC will issue declaration as to whether or not it was reasonable for the body to require the recipient to hold the information or document in confidence.
DISPUTES REGARDING THE WITHHOLDING OF INFORMATION
Regulation 25
Application by a member of a representative body or, where no such body has been established, an information and consultation representative or an employee or the SE or the UK Societas or participating company as to whether or not the disclosure of the information or document would seriously harm the functioning of, or would be prejudicial to the SE, the UK Societas or any of its subsidiaries or the participating company or any of its subsidiaries.
If the CAC declares that the disclosure of the information or document in question would not be seriously harmful or prejudicial, the CAC can order the company to disclose information to the complainant specifying:
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the information or document to be disclosed;
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the person or persons to whom the information or document is to be disclosed;
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any terms on which the information or document is to be disclosed; and
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the date before which the information or document is to be disclosed.