Certification Officer
Legal duty to submit an annual return
By 1 June every year (unless the Certification Officer (CO) has agreed a different submission date), every trade union must send to the CO:
- an annual return (using annual return form AR21)
- a copy of the trade union rules
- a membership audit certificate
The annual return provides information on:
- officers in post and the dates they were elected to post
- the finances of the union, including political funds
- salaries and benefits paid to the general secretary, president and members of the executive
- membership of the union and whether the register of members is accurate and up to date
- industrial action ballots and any subsequent action that the union has taken
- the auditors report
Within 8 weeks of submitting the annual return to the CO, the union must also [issue a statement to members], setting out:
- overall income and expenditure for the union
- overall income and expenditure for political funds
- salaries and benefits paid to the general secretary, president and members of the executive
- the auditors report
- what a member can do if they are concerned that there may be some financial irregularity at the union
Figures in the statement must be consistent with the contents of the annual return.
If the union has a political fund, it must send a notice to its members who joined the union on or after 1 March 2018 informing them of their right to withdraw from contributing to the unions political fund and the method for submitting a withdrawal notice.
As the CO has a duty to provide public access to annual returns, relevant information submitted will be published on her website.
Failure to submit an annual return
It is a criminal offence to refuse or neglect to submit an annual return. Contact the COs team as early as possible if you think your union may struggle to complete form AR21 or submit it on time.
Email: info@certoffice.org
Telephone: 0330 109 3602
Download annual return form AR21
You must use form AR21 to submit your trade unions annual return.
The form does not have to be manually signed. You can use an electronic signature.
Download
Download
Ballots and industrial action spreadsheet
If you have had more than 6 ballots or 6 periods of industrial action, you will also need to complete the ballots and industrial action spreadsheet.
Download
Template for a statement to members
You do not have to use the COs template for your statement for members. However, if you do not you must include all the information contained within it. The figures in your statement must also be consistent with the contents of your annual return.
You must issue your statement to members within 8 weeks of submitting your annual return to the CO.
You can either:
- send a copy of the statement directly to every member
- publish it using your usual distribution method for providing information to members (for example publish it on your union website or in a newsletter to all members)
Download
Alternative to issuing a statement to members
You do not have to send your full annual return to your members if you issue a statement to members.
However, as an alternative to issuing a statement to members, you can give members a copy of the full annual return. If you do that, you must include the following irregularity statement:
A member who is concerned that some irregularity may be occurring, or have occurred, in the conduct of the financial affairs of the union may take steps with a view to investigating further, obtaining clarification and, if necessary, securing regularisation of that conduct.
The member may raise any such concern with such one or more of the following as it seems appropriate to raise it with: the officials of the union, the trustees of the property of the union, the auditor or auditors of the union, the Certification Officer (who is an independent officer appointed by the Secretary of State) and the police.
Where a member believes that the financial affairs of the union have been or are being conducted in breach of the new law or in breach of the rules of the union and contemplates bringing civil proceedings against it the union or responsible officials or trustees, the member should consider obtaining independent legal advice.
If you send the full annual return and irregularity statement to all members, you do not have to send a copy of your annual return to the CO again. However, you must contact them in writing to:
- confirm that the annual return has been issued to members
- provide a copy of the irregularity statement
How to submit your return and related documents
Email your return to: returns@certoffice.org
Include the name of the trade union in your email subject.
You should send:
- the completed form AR21
- a copy of your trade union rules for the relevant year
- the ballots and industrial action spreadsheet, if you have used it
Additionally, within 8 weeks of sending in your AR21, you should also send:
- a copy of your statement to members
- a copy of the political fund notice, if you have a political fund
You can contact the COs team for advice on preparing or submitting your return.
Email: info@certoffice.org
Telephone: 0330 109 3602