A trade union is said to be recognised once an employer has agreed to negotiate with it on pay and working conditions on behalf of a particular group of workers.

The subsequent negotiation process is known as collective bargaining, with the group of workers the union represents referred to as the bargaining unit.

If an employer agrees to recognise a trade union the employer has certain legal obligations towards the union and its members - see the consequences of trade union recognition.

Voluntary trade union recognition

The most common way a union can gain recognition for collective bargaining purposes is by the employer simply agreeing to recognise it voluntarily.

In practice this means the union becomes recognised by the employer without using any legal procedures. See voluntary recognition of a trade union.

Statutory trade union recognition

If an employer and trade union find they are unable to come to a voluntary recognition agreement, a trade union can make an application for statutory recognition. This only applies where the employer, together with any associated employers, employs 21 or more workers.

See statutory recognition of a trade union - starting the procedure.

Note that there can be voluntary agreements even after the union has triggered the statutory process - see voluntary recognition within the statutory procedure.

As an employer, there is nothing to stop you from voluntarily agreeing to recognise one or more trade unions.

Most union recognition arrangements are established in this way. Such voluntary recognition provides maximum flexibility to the parties and avoids them having to use the alternative - potentially complex - statutory recognition procedures.

Once an employer recognises a union for the first time, the two parties will usually draw up an agreement which specifies how the recognition arrangement, and its associated bargaining processes, will work.

Formal written agreements of this kind - known as 'procedural' agreements - prevent misunderstanding and achieve continuity and consistency. As relationships develop, the parties may periodically wish to revise and update their procedural agreements. The Labour Relations Agency (LRA) can facilitate meetings to assist the parties in drafting procedural and recognition agreements.

The LRA can also provide impartial information on bargaining agreements. See LRA guidance on collective bargaining.

If you voluntarily recognise a union, you will have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

If you find you are unable to come to a voluntary recognition agreement with the trade union, it can make an application for statutory recognition. This only applies where you - together with any associated employers - employ 21 or more workers.

The union's request must:

• clearly identify the union and the bargaining unit
• state that the request is made under the Employment Relations (NI) Order 1999

You have ten working days to respond, starting with the first working day after the day you receive the request.

If you agree to the request, you have formally recognised the trade union for collective bargaining purposes.

If you reject the request or fail to respond in time, the union can apply to the Industrial Court for statutory recognition - see statutory recognition of a trade union - applying to the Industrial Court.

Negotiations with the union following its request

If you tell the union that you don't accept the request but are willing to negotiate, you have 20 working days to agree on the appropriate bargaining unit and to agree on recognition. The Labour Relations Agency (LRA) may also be of assistance.

The 20-day period starts on the day after the first ten-day period ends. You can agree with the union to extend the 20-day period.

If you fail to reach an agreement at the end of that period - or you agree on a bargaining unit but don't agree to recognise the union - the union can apply to the Industrial Court.

If - following negotiations between you and the union - the union's proposed bargaining unit is modified but you fail to agree on the bargaining unit, the union must make a new request to you that complies in full with the statutory requirements before it can make an application to the Industrial Court.

You can reach a voluntary agreement with the union even after the statutory process has started - see voluntary recognition within the statutory procedure.

If you reach an agreement, the statutory procedure ends.

Approaching LRA for help

You or the union can approach the LRA for help at any time. The LRA can provide its conciliation services to assist the parties in reaching agreement.

If you propose to the union that the LRA helps but the union fails to respond within ten working days or rejects your proposal, the union cannot make any application to the Industrial Court. The ten-day period starts on the day after that on which you made your proposal.

You have to make this proposal within ten working days of informing the union that you are willing to negotiate. This period starts on the day after you so inform the union.

There are a number of consequences once a trade union becomes recognised.

Many apply regardless of whether recognition was voluntary, semi-voluntary or statutory. However, some are only relevant where a union uses the statutory procedure.

Making arrangements for the conduct of collective bargaining

Once a union has achieved recognition, either via a voluntary or the statutory procedure, you and the union - 'the parties' - need to agree how you will conduct collective bargaining.

Such an agreement could cover the following issues:

• bargaining procedure
• how and when meetings will be arranged
• who the employer and union representatives are
• time off for union representatives to attend meetings
• how agreements and disagreements will be communicated to the workforce
• conduct during negotiations - how and when issues can be raised
• the specific matters which will be subject to joint agreement, eg pay and working hours
• dispute resolution - what should happen if deadlock is reached on a particular issue, eg conciliation and arbitration
• union recruitment activities in the workplace
• union representation of workers at disciplinary and grievance hearings
• deduction of union contributions from employees' wages

Deciding what a collective agreement will cover

Collective agreements usually cover pay arrangements and other terms and conditions of employment. They might also cover such matters as:

• matters of discipline
• trade union membership or non-membership
• facilities for officials of trade unions

The procedural agreement should set out the level at which negotiations will take place, eg site, company, regional or national level.

It should also specify the bargaining methods where two or more unions are recognised, eg whether unions should bargain separately or as a single bargaining unit.

The parties usually need training on aspects of employment relations and the bargaining process. Some trade unions and independent organisations provide accredited courses.

Usually, collective agreements are not in themselves legally enforceable. However, parts of collective agreements such as pay rates, or references to agreements, may be inserted and thus legally incorporated into the employment contracts of individual employees. Because individual employment contracts are legally enforceable, many collective agreements are indirectly underpinned by law.

Legal consequences of statutory trade union recognition

Once the Industrial Court declares that a union is recognised, the union is entitled to conduct collective bargaining with you on pay, hours and holidays - although the parties can agree to cover additional issues.

The parties must first agree on how they will conduct collective bargaining, calling on the services of the Labour Relations Agency (LRA) if necessary.

If no agreement is reached within 30 working days, either party has the right to apply to the Industrial Court for assistance.

The Industrial Court has 20 working days from the application date to help achieve an agreement. If no agreement is reached, the Industrial Court will impose a legally binding method of bargaining.

However, the imposed method of collective bargaining can be modified by the parties, providing they both agree.

If the imposed method is not followed, either party can apply to a court to order the other party to act in accordance with the prescribed method.

If this order is ignored by the relevant party, that party will be in contempt of court, and may face a fine or imprisonment.

Where the Industrial Court has imposed a method for carrying out collective bargaining, the union has the right to be consulted by you on your policies and plans for training workers in the bargaining unit at least once every six months.

If you fail to meet these consultation obligations, the union has three months to make a complaint to an industrial tribunal. If the tribunal finds the complaint well founded, it may award up to two weeks' pay to each affected worker.

Note that there is a statutory limit on a week's pay. See a table of current tribunal and arbitration compensation limits.

Disclosing information to trade unions

You have a duty to disclose - if requested - relevant information to a recognised trade union during the collective bargaining process.

The LRA has a code of practice on disclosure of information to trade unions for collective bargaining purposes. The code imposes no legal obligations on you to disclose any specific item of information and failure to observe the code does not by itself mean you would be liable to legal proceedings.

However, the law requires any relevant provisions to be taken into account in proceedings before the Industrial Court.

Read Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.

General legal consequences of trade union recognition

Once a union becomes recognised, you have a legal duty to:

• allow lay union representatives to take reasonable time off with pay to perform their duties
• allow members covered by the recognition arrangements the right to reasonable unpaid time off to carry out trade union activities
• allow union learning representatives time off with pay to carry out their duties

For more on time-off rights for union representatives and members, see trade union membership rights.

You also have a legal duty to:

• inform and consult the union during collective redundancy situations and business transfers - see redundancy: the options and responsibilities to employees if you buy or sell a business
• inform and consult the union on certain changes to your occupational pension scheme - if you operate one - or employees' personal pension schemes if you contribute to them - see keeping employees informed
• allow the union to appoint health and safety representatives, with whom it has to consult on workplace health and safety issues - see how to consult your employees on health and safety

All these obligations apply regardless of whether the recognition was via the statutory or voluntary route.

If, during the statutory trade union recognition procedure, you voluntarily agree to recognise a union, it may withdraw its request for statutory recognition.

Alternatively, if the union had made an application to the Industrial Court, you and the union - 'the parties' - may have jointly asked the Industrial Court to take no further action.

However, this must happen before the Industrial Court either makes a declaration that the union is entitled to recognition without a ballot, or arranges a recognition ballot. See statutory recognition of a trade union - starting the procedure.

This type of agreement is known as an agreement for recognition or a semi-voluntary agreement. It is not the same as a voluntary agreement made outside the statutory procedure.

Once an agreement for recognition has been reached, the parties must enter into negotiations on collective bargaining arrangements.

If they can't agree on an appropriate method, either party may apply to the Industrial Court for help. The Industrial Court can assist if it is satisfied that there is an 'agreement for recognition' as defined in the legislation.

If the parties still fail to reach agreement, the Industrial Court will impose a method for collective bargaining.

Duration of recognition

Once you have agreed to recognise a trade union for collective bargaining purposes, the union may terminate the agreement at any time, unless you have previously agreed with the union to the contrary.

You may not terminate the agreement for a period of three years unless you have agreed with the union to the contrary.

For the circumstances under which a union may become derecognised, see statutory derecognition of a trade union - an introduction.

If the agreement becomes difficult to maintain, either party can apply to the LRA to help it resolve the difficulties.

If a union achieved recognition via the statutory procedure, certain procedures have to be followed for it to be derecognised.

However, you can only seek statutory derecognition three or more years after recognition was originally granted.

There are three main grounds for derecognition:

1. you - taken with any associated employers - no longer employ 21 or more workers
2. application by the employer or by a worker or workers where it is believed that there is no longer majority support for bargaining arrangements
3. union membership in the bargaining unit falls below 50 per cent

In situations where grounds 2 or 3 apply and an application for derecognition is accepted by the Industrial Court, the Industrial Court could declare that a derecognition ballot be held.

A situation may arise when a union or employer feels that the bargaining unit - the group of workers the union represents - is no longer appropriate or has ceased to exist. Either party may apply to the Industrial Court to determine what bargaining unit is appropriate.

In order for the Industrial Court to reach its decision, the bargaining unit must have changed because of one or more of the following:

• the business' activities
• the organisation or structure of the business
• the number of workers in the bargaining unit

Industrial Court guidance on trade union recognition.

Workers have certain rights relating to their involvement in recognition and derecognition procedures.

Protection from detrimental treatment and unfair dismissal

An employer must not subject a worker to a detriment on grounds related to the process of union recognition or derecognition, eg for taking part in a recognition ballot or for campaigning for recognition.

Detriment is broadly defined but essentially means that the worker should not suffer disadvantage on account of any act or omission by you. This could include:

• suspending the worker
• cutting their pay
• moving them to new duties
• failing to give them a pay rise

For a worker who isn't an employee, their dismissal may also count as a detriment. Only employees can claim unfair dismissal.

If any of the above occurs, a worker could bring a claim before an industrial tribunal. If the tribunal finds that you acted unlawfully, it may award compensation.

If an employee is dismissed or selected for redundancy on grounds relating to union recognition or derecognition, they may be able to make a claim for unfair dismissal to the tribunal.

Rights regarding inducements to disapply collective agreements

Many members of trade unions have their pay and other terms and conditions of employment set by a collective agreement negotiated by their union and their employer.

These members have rights to ensure that the employer does not interfere between the union member and their union in certain matters related to collective bargaining.

An employee or other worker who is a member of an independent trade union which is recognised by - or seeking recognition from - their employer for collective bargaining purposes has the right not to have certain offers made to them by their employer.

This is in circumstances where the employer's sole or main purpose is to achieve the result that, if the offer and like offers to other workers are accepted, all or any of those workers' terms and conditions will no longer be determined by a collective agreement negotiated by or on behalf of the trade union.

In addition, an employee has the right not to be dismissed, or selected for redundancy, by their employer on the grounds that they did not accept any such offer.

An employee or other worker has the right not to be subjected to a detriment for failing to accept any such offer.

Right of complaint to an industrial tribunal

Individuals who think that any of their rights as set out above have been infringed can complain to an industrial tribunal.

If an employee has been dismissed - including cases where they have been dismissed on grounds of redundancy - their complaint is one of unfair dismissal.

If an employee or other worker considers that they have been subjected to a detriment by their employer, their complaint is one of detriment.

If an employee or other worker considers that you have made an unlawful inducement as described above, their complaint is one of unlawful inducement.

Compensation

There are certain limits on the compensatory awards for the claims in relation to dismissal, detriment and unlawful inducements. See a table of current tribunal and arbitration compensation limits.

Note that in cases where an employee or other worker makes a related complaint to the tribunal concerning detriment, and the tribunal upholds that complaint, the tribunal may award compensation for the detriment suffered.

In deciding the amount of such compensation, the tribunal will not take into account the fact that:

• a complainant contributed to their loss by accepting or not accepting an unlawful inducement
• the complainant has received or is entitled to an award on the grounds that an unlawful inducement has been made to them

Status of contractual changes resulting from unlawful inducements

If an unlawful inducement has been accepted by an employee or other worker, but any consequent agreement by them to vary their terms and conditions has not yet been effected, the agreement to vary the terms and conditions is not enforceable.

Also, in such circumstances, the employer cannot recover any cash paid or other benefits conferred on the employer or worker concerned.

However, in cases where the agreed variation in terms and conditions have been effected, those variations are enforceable.

A union can apply to the Industrial Court if it sends you a request for statutory recognition but you either reject the request, or following negotiations between you and the union - 'the parties' - you fail to agree on the bargaining unit.

Industrial Court panels

A panel of three Industrial Court members will be convened to deal with each application. The panel will consist of:

• the Industrial Court Chairman or Deputy Chairman
• one member with experience as a representative of employers
• one member with experience as a representative of workers

The individuals making up the panel could change if one becomes unavailable.

An Industrial Court official will be appointed to act as case manager for the application. They act as the main point of contact between you, the panel and the union.

Admissibility tests for union applications to the Industrial Court

In order for the Industrial Court to accept an application for recognition from a trade union, it must be:

• on the proper Industrial Court application form
• copied and sent to you, together with any supporting documents

The following conditions must also apply:

• The union must have a certificate of independence from the Certification Office.
• As the employer, you - together with any associated employer(s) - must employ at least 21 workers. Part-time workers count as whole numbers.
• There must not be a competing application relating to the same or overlapping bargaining units.
• There must not be an existing recognition agreement under which a union is entitled to conduct collective bargaining on behalf of any workers in the proposed bargaining unit.
• At least 10% of the workers in the proposed bargaining unit must belong to the union making the application.
• The majority of workers must be likely to favour recognition. Evidence of this could be a petition from workers.
• If the application is made by more than one union, the unions concerned must show that they will co-operate with each other to achieve stable collective bargaining arrangements.
• There must not have been a previous application from the same union covering the same - or substantially the same - bargaining unit accepted by the Industrial Court within the last three years.

On receiving an application, the Industrial Court will send you:

• notification that it has received the application
• a questionnaire for you to fill in to give it information relating to the admissibility criteria

The Industrial Court has ten working days to decide whether or not to accept the application.

Industrial Court acceptance of the union's application

If the Industrial Court accepts a trade union's application for statutory recognition, the parties have 20 days - which may be extended or reduced if the Industrial Court decides there is no reasonable chance of agreement between the parties - to agree on the appropriate bargaining unit.

In these circumstances, you must provide the following information to both the Industrial Court and the union within five working days, starting with the day after that on which you received notice of the acceptance:

• A list of the categories of worker in the proposed bargaining unit.
• The number of workers you reasonably believe are in each of the categories at each of the workplaces.
• A list of the workplaces at which they work. A workplace is the set of premises a person works at/from, or - where there are no such premises - the premises with which the worker's employment has the closest connection.

The information you give to the union and the Industrial Court must be the same and as accurate as is reasonably practicable in light of the information you have at the time.

If you fail to supply the required information - or fail to provide it in accordance with the statutory criteria - the union can request that the Industrial Court itself decides the bargaining unit.

If the Industrial Court agrees that you have failed to comply with this duty, it will decide the bargaining unit - usually within ten working days starting with the day after that on which the union made the request.

Union communications with workers following the Industrial Court's acceptance of the application

Where the Industrial Court accepts an application, the union may want to communicate with workers who are in the proposed or agreed bargaining unit.

To do so, the union must apply in writing to the Industrial Court asking it to appoint a suitable independent person (SIP) to handle these communications.

The Industrial Court will appoint the SIP as soon as possible after the union's request and will then notify the name, and appointment date, of the appointed person to the parties.

Once the Industrial Court appoints a SIP, you must - as soon as reasonably practicable - provide certain information to the Industrial Court that will enable the SIP to fulfil their role.

This information is as follows:

• The names and home addresses of the 'relevant workers'. You must do this within ten working days, starting with the day after that on which you are informed of the name and date of appointment of the SIP. Relevant workers are either those falling within the proposed bargaining unit or - if a bargaining unit has already been agreed by the parties or decided by the Industrial Court - those within that bargaining unit.
• If you have given the Industrial Court the names of workers in the proposed bargaining unit and then either you and the union agree on a different bargaining unit or the Industrial Court decides the bargaining unit, you must give the Industrial Court the names and home addresses of those who are now the 'relevant workers', ie those workers who fall within the different bargaining unit. You must do this within ten working days, starting with the day after that on which you and the union agree on the bargaining unit or the Industrial Court informs you of its decision on the bargaining unit.
• The name and home address of any worker who subsequently joins the bargaining unit after you supply the initial list.
• The details of any worker who ceases to be a 'relevant worker' because they have left the bargaining unit - except where a new complete list is supplied because the definition of the bargaining unit changes.

If you fail to comply with these duties, the Industrial Court may order you to remedy the failure within a set timescale.

If you fail to comply with the order, the Industrial Court may issue a notice to you and the union confirming that you have failed to comply with the order and may also declare that the union is recognised.

If the Industrial Court accepts a trade union's application for statutory recognition but you and the union - 'the parties' - fail to agree on the bargaining unit, the Industrial Court panel must try to help the parties reach agreement on what the appropriate bargaining unit is.

It is important that the parties are clear as to which workers are included in the bargaining unit. This is because if - at a later stage in the process - a ballot is held, both the parties and the Industrial Court will need to know exactly which workers are entitled to receive a ballot paper.

To reach a decision on the bargaining unit, the Industrial Court may:

• itself mediate between the parties
• suggest the parties seek help from the LRA
• allow the parties - if they prefer - to conduct these negotiations between themselves directly

The Industrial Court has a period of 20 working days (the appropriate period) in which to try to help the parties reach an agreement. The period starts with the day following that on which the Industrial Court gives notice that it has accepted the trade union's application - see statutory recognition of a trade union - applying to the Industrial Court.

The Industrial Court can extend the appropriate period or bring it to an end if it believes that the parties are unlikely to reach an agreement. In addition, both parties can apply to the Industrial Court to bring the appropriate period to an early end.

Failure to agree on the appropriate bargaining unit

If the parties cannot agree on the bargaining unit or the union asks the Industrial Court to decide on the bargaining unit as set out in statutory recognition of a trade union - applying to the Industrial Court, the Industrial Court must decide within a period of ten working days whether or not the union's proposed bargaining unit is appropriate.

If the Industrial Court decides that the union's proposed bargaining unit is not appropriate, it must decide on a bargaining unit which is appropriate.

To make its decision, the Industrial Court has to consider:

• the location of workers
• the views of both parties
• existing national and local bargaining arrangements
• the preference to avoid small, fragmented bargaining units
• the characteristics of workers in the proposed bargaining unit and any other workers the Industrial Court considers relevant
• the need for the unit to be compatible with effective management - this factor takes priority over all the others

The Industrial Court may ask you and the union for your views on these issues - eg any views you may have on an alternative bargaining unit to the one proposed by the union.

If there is conflicting evidence on whether the union's proposed bargaining unit is appropriate, the Industrial Court panel is likely to call a hearing to determine the question.

Where the agreed or decided bargaining unit differs from the one initially proposed

Whether a bargaining unit is agreed between the parties or is decided by the Industrial Court, if that bargaining unit is different from the one proposed in the union's initial application for statutory recognition, the Industrial Court has to determine whether or not the new bargaining unit is 'valid'.

The bargaining unit will only be valid if:

• there is at least 10 per cent union membership in the new bargaining unit
• a majority of workers in the new bargaining unit is likely to favour recognition
• there is not a competing application including any workers covered by the new bargaining unit
• there is not an existing agreement under which a union can conduct collective bargaining on behalf of any workers in the new bargaining unit
• there has not been a previous application from the same union covering the same - or substantially the same - bargaining unit within the last three years

Following any necessary investigations, the Industrial Court panel may call a hearing to determine the validity of the revised bargaining unit. It normally has ten working days to reach its decision.

If - as a result of changes to the bargaining unit - the application does not meet the applied validity tests, the Industrial Court cannot proceed with the union's application.

However, the union can re-apply for statutory recognition of this revised bargaining unit within three years.

Industrial Court hearings

The Industrial Court will normally arrange hearings as quickly as possible in order to meet its statutory deadlines. This may mean imposing a hearing date even if it's not the most convenient date for either or both parties.

The Industrial Court expects that hearings will normally be completed in a day. The Industrial Court is based in Belfast, but it may hold hearings at other, more convenient locations. Hearings are normally informal and held in public.

Before a hearing, the chairman of the Industrial Court panel may hold a preliminary meeting in order to set out procedures and identify the issues disputed.

The Industrial Court will ask the parties to submit and exchange written evidence before the hearing.

The Industrial Court will only allow new evidence at hearings for good reasons and at the discretion of the panel. Where it is admitted, parties can request that the panel allows some additional time - such as a short adjournment - to consider the new evidence.

The Industrial Court will ask the parties to inform the panel in advance of the names of the speakers and any witnesses proposed for the hearing. The parties may appoint legal representatives but there is no obligation to do so.

Once the Industrial Court accepts an application and the bargaining unit has been agreed on or decided, the Industrial Court panel has to decide whether to call a ballot on union recognition.

Industrial Court's decision on whether or not to hold a recognition ballot

The main test is the level of union membership in the bargaining unit. If the Industrial Court panel is not satisfied that the majority of the workers in the bargaining unit belong to the union making the application, it has to call a ballot on union recognition.

If necessary, the Industrial Court panel can require:

• you to provide information concerning the workers in a bargaining unit
• the union to provide information concerning the union members in a bargaining unit

Using this information, the Industrial Court case manager will compile a report and send a copy to you, the panel and the union.

If either you or the union fail to supply the information required by the Industrial Court, the report must mention that failure and this could influence the panel's decision.

On receiving the report, the Industrial Court will then decide whether to make a declaration of recognition or hold a ballot of workers in the bargaining unit.

Generally, if the report shows that a majority of the workers in the bargaining unit are union members, the Industrial Court will make a declaration of recognition. If not, it will call a ballot.

However, the Industrial Court may still call a ballot - even if there is majority union membership - if:

• it is satisfied that holding a ballot would be in the interests of good industrial relations
• it believes it has credible evidence from a significant number of union members in the bargaining unit that they do not want the union to conduct collective bargaining on their behalf
• there is evidence relating to how workers joined the union or their length of membership that leads the Industrial Court to doubt whether a significant number of union members in the bargaining unit want the union to conduct collective bargaining on their behalf

Within ten days of the parties receiving notification of the ballot from the Industrial Court, you may - in agreement with the union - notify the Industrial Court that you no longer wish a ballot to be held.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has a discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not to attend a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within 10 working days, starting with the day after you were told of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of these requirements, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can issue a declaration of recognition.

During the balloting period, the union is entitled to access the workers belonging to the proposed bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Unfair practices can include:

• providing incentives for members to vote a certain way
• threatening disciplinary action if a certain result is not achieved

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day after it received the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and make a declaration that the union is - or is not - recognised.

These circumstances are where the Industrial Court:

• declares that an unfair practice complaint is well founded and that the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued an unfair practices remedial order and the party to whom it is issued fails to comply with it
• having issued an unfair practices remedial order to a party, makes a further declaration that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the Industrial Court can declare the union recognised. If the failing party is the union, the Industrial Court may declare the union not recognised.

Where it orders a fresh ballot - or declares that the union is recognised or not recognised - the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court informs both parties of the ballot result and its consequences.

To be recognised, the union needs the support of a majority of those voting and at least 40% of those entitled to vote.

If the union fails to get the necessary support, it must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

Once you have recognised a union, the collective bargaining process can begin and you have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

Requests for costs for recognition ballots

Following the ballot, the QIP will normally send you and the union a demand for its costs.

The demand will show the gross costs of the ballot and the share of the cost to be paid by you and the union.

Both parties must pay the QIP within 15 working days, starting with the day after they receive the demand.

If you dispute the demand, you can appeal to an industrial tribunal within four weeks, starting with the day after you receive the demand.

For your appeal to succeed, you must show that the gross costs of the ballot are too great or your share of the costs is too great.

You may seek to derecognise a trade union where you employ fewer than 21 workers - including workers with any associated employers - in any period of 13 weeks.

To do this, you must first send a notice to the union.

The notice must be copied to the Industrial Court and:

• identify the bargaining arrangements
• state the date on which the notice is given
• specify the period of 13 weeks in question
• state that you - taken with any associated employer(s) - employed an average of fewer than 21 workers in the specified 13-week period
• state that the bargaining arrangements are to cease to have effect on a specific date, which must fall after the end of a period of 35 working days, day one being the working day following that on which you give the notice

You must give the notice to the union before the end of the fifth working day, starting with the day after the last day of the specified period of 13 weeks.

The Industrial Court's decision on your notice of derecognition

When it receives your notice, the Chairman of the Industrial Court will appoint a panel of three Industrial Court members to consider whether or not it's valid.

The panel has ten working days, starting with the day after that on which the Industrial Court receives the notice, to reach a decision.

If the panel decides that your notice is not valid, it will tell you of this decision and your notice will be treated as if you had not given it. The bargaining arrangements would therefore remain in force.

If the panel decides that your notice is valid, it will tell you of this decision and the bargaining arrangements will then cease to have effect on the date specified in your notice.

The union's challenge to the validity of your notice

The union can challenge the Industrial Court's decision to accept your application for derecognition on the grounds that:

• The 13-week period specified in your notice ended before the relevant date. This is the date the three-year period, starting with the day of the Industrial Court declaration of recognition, expires.
• You - along with any associated employer(s) - did not employ an average of fewer than 21 workers in the 13-week period.

The union's application must be:

• in the proper form and supported by such documents as the Industrial Court may have specified
• copied to you, along with any supporting documents
• made within ten working days, starting with the day after that on which you gave your notice

The Industrial Court's decision on the union's application

The Industrial Court has ten working days - starting with the day after that on which the Industrial Court gave notice of acceptance of the union's application - to reach a decision.

Once you and the union have been given the opportunity to state your views, the Industrial Court will decide on the two issues of whether or not the 13-week period ended before the relevant date or whether you - along with any associated employers - did in fact employ fewer than 21 workers over the specified 13-week period.

If the Industrial Court decides that either the 13-week period ended before the relevant date or you - taken with any associated employers - employed 21 or more workers in that period, your notice shall be treated as not having been given.

If the Industrial Court decides that the 13-week period did not end before the relevant date and that you, taken with any associated employers, employed fewer than 21 workers in that period, the bargaining arrangements will cease to have effect on the 'termination date'.

The termination date will be the date that was specified in your notice to the union or the day after the last day of the Industrial Court's ten-day decision period, whichever is later.

You can - at any time - make a request to a recognised trade union to end collective bargaining arrangements on the grounds that the union no longer has the support of the bargaining unit. The union can decline the request.

However, if the union declines a request after three years of statutory recognition, you can apply to the Industrial Court to hold a secret ballot.

Similarly, where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot - but only after three years of statutory recognition.

Your request to the union for derecognition

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, the union has ten working days to respond, starting with the day after the union receives your request.

If - before the end of the ten-day period - the union agrees to end the bargaining arrangement, the matter ends there.

If the union either fails to respond to your request or - before the end of the ten-day period - tells you that it doesn't accept your request (and does not indicate a willingness to negotiate), you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

If - before the end of the ten-day period - the union tells you that it doesn't accept your request but is willing to negotiate, you and the union (the parties) have 20 working days - starting with the working day immediately following the end of the ten-day period - to negotiate with a view to agreeing to end the bargaining arrangements.

During this 20-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

Your application to the Industrial Court

If the parties fail to reach an agreement, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not the bargaining arrangements should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after that on which it receives your application, the Industrial Court normally has ten working days in which to decide whether or not:

• your request to the union is valid
• you negotiated properly with the union if you were required to do so
• your application to the Industrial Court is admissible

If the Industrial Court decides that you have failed to meet any or all of these requirements, it will not accept the application and the issue ends there.

If the Industrial Court decides that you have met all of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

A worker's application to the Industrial Court

Where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot to determine whether or not collective bargaining arrangements should end.

A worker can only make such an application after three years of statutory recognition. However, unlike employers, they do not need to first make a request to the union (or even the employer) to end bargaining arrangements.

The Industrial Court will only accept the worker's ballot application if:

• it is made in the proper form
• they have copied the application and any supporting documents to both you and the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following the worker's application

Starting with the day after that on which it receives the worker's application, the Industrial Court normally has ten working days in which to decide whether or not the worker's application to the Industrial Court is admissible.

If the Industrial Court decides that the worker's application is not admissible, it won't accept the application and the issue ends there.

If the Industrial Court decides that the worker's application is admissible, it will accept the application. The Industrial Court will then give notice of this acceptance decision to you, the worker and the union.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

The consequences of the Industrial Court accepting the worker's application

Where the Industrial Court accepts a worker's application, it normally has 20 working days - starting with the day after the Industrial Court gives notice that it has accepted the application - to help you, the union and the worker negotiate with a view to either agreeing that the worker will withdraw the application, or reaching an agreement that the parties will end the bargaining arrangements.

If - in the 20-day period - the parties agree to end the bargaining arrangements or the worker agrees to withdraw the application, the Industrial Court will cease its considerations.

If the parties fail to reach an agreement in the 20-day period, the Industrial Court must arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Sometimes, a trade union obtains statutory recognition without a ballot because more than 50% of the bargaining unit were union members.

If you recognised a union under these circumstances but you believe that union membership in the bargaining unit has since fallen to below 50%, you can - after at least three years of recognition - apply to the Industrial Court to hold a secret ballot to decide whether recognition should end.

Your request to the union

Before applying to the Industrial Court, you must make a request to the union, asking it to voluntarily end collective bargaining arrangements.

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that fewer than half the workers in the bargaining unit are members of the union
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, you and the union - 'the parties' - have ten working days, starting with the day after the union receives your request, to agree to end the bargaining arrangements.

During this ten-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

If - before the end of this period - the parties agree to end the bargaining arrangements, the matter ends there.

Your application to the Industrial Court

If the parties fail to agree to end the bargaining arrangements before the end of the ten-day period, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• fewer than half the workers in the bargaining unit are members of the union
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after it receives your application, the Industrial Court normally has ten working days to decide whether or not your request to the union is valid or your application to the Industrial Court is admissible.

If the Industrial Court decides that you have failed to meet either or both of these requirements, it will not accept your application, and the issue ends there.

If the Industrial Court decides that you have met both of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Workers may use the statutory procedure to seek to derecognise a non-independent trade union that their employer has voluntarily recognised.

The reason for derecognition must be that the majority of workers in the bargaining unit do not support the recognition arrangements.

In this case, a worker - or workers - from the bargaining unit can apply to the Industrial Court for derecognition.

The Industrial Court will only accept the application if it believes that:

• the union is not independent - ie it does not have a certificate of independence from the Certification Officer
• at least 10% of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition

If the Industrial Court accepts the application, it will try to help the employer, worker(s) and union to reach an agreement on derecognition.

If an agreement is not reached, the Industrial Court will arrange a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Following a request for statutory derecognition, the Industrial Court may call for a secret ballot to determine whether or not collective bargaining arrangements should end.

Once the Industrial Court has told you and the union - 'the parties' - in writing that there will be a ballot, the parties should negotiate and agree access arrangements for the union during the ballot period and send a copy of the access agreements to the Industrial Court case manager.

Where necessary, the Industrial Court may arrange a hearing on access so that it can determine an access arrangement.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not attending a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within ten working days, starting with the day after you were informed of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of the duties above, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can refuse your application for derecognition.

During the balloting period, the union is entitled to access the workers belonging to the bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Examples of unfair practices include offering money to a worker to vote in a particular way and dismissing - or threatening to dismiss or take disciplinary action against - a worker for voting in the ballot.

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day following receipt of the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, and/or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and:

• if the party concerned is you, refuse your application for derecognition
• if the party concerned is the union, issue a declaration that collective bargaining is to end

These circumstances are where the Industrial Court:

• declares that both an unfair practice complaint is well founded and the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued to a party an unfair practices remedial order but the party fails to comply with it
• having issued an unfair practices remedial order to a party, declares that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the applicant worker and/or the union may enforce obedience to the law.

Where it orders a fresh ballot, refuses your application or declares an unfair practice complaint as well founded, the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to the usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court will inform the parties of the ballot result and its consequences.

In order for collective bargaining arrangements to end as the result of a ballot, a majority of those voting, and at least 40 per cent of the workers in the bargaining unit, must vote in favour of ending those arrangements.

If you fail to get the necessary support, you must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

If the union is derecognised as a result of the ballot, the Industrial Court will declare that the bargaining arrangements are to cease to have effect on a specified date.

The Industrial Court cannot accept any applications for statutory recognition from the union in respect of that bargaining unit - or one substantially the same - if the union makes the application within three years of the day after that on which the Industrial Court issued its declaration.

A trade union is said to be recognised once an employer has agreed to negotiate with it on pay and working conditions on behalf of a particular group of workers.

The subsequent negotiation process is known as collective bargaining, with the group of workers the union represents referred to as the bargaining unit.

If an employer agrees to recognise a trade union the employer has certain legal obligations towards the union and its members - see the consequences of trade union recognition.

Voluntary trade union recognition

The most common way a union can gain recognition for collective bargaining purposes is by the employer simply agreeing to recognise it voluntarily.

In practice this means the union becomes recognised by the employer without using any legal procedures. See voluntary recognition of a trade union.

Statutory trade union recognition

If an employer and trade union find they are unable to come to a voluntary recognition agreement, a trade union can make an application for statutory recognition. This only applies where the employer, together with any associated employers, employs 21 or more workers.

See statutory recognition of a trade union - starting the procedure.

Note that there can be voluntary agreements even after the union has triggered the statutory process - see voluntary recognition within the statutory procedure.

As an employer, there is nothing to stop you from voluntarily agreeing to recognise one or more trade unions.

Most union recognition arrangements are established in this way. Such voluntary recognition provides maximum flexibility to the parties and avoids them having to use the alternative - potentially complex - statutory recognition procedures.

Once an employer recognises a union for the first time, the two parties will usually draw up an agreement which specifies how the recognition arrangement, and its associated bargaining processes, will work.

Formal written agreements of this kind - known as 'procedural' agreements - prevent misunderstanding and achieve continuity and consistency. As relationships develop, the parties may periodically wish to revise and update their procedural agreements. The Labour Relations Agency (LRA) can facilitate meetings to assist the parties in drafting procedural and recognition agreements.

The LRA can also provide impartial information on bargaining agreements. See LRA guidance on collective bargaining.

If you voluntarily recognise a union, you will have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

If you find you are unable to come to a voluntary recognition agreement with the trade union, it can make an application for statutory recognition. This only applies where you - together with any associated employers - employ 21 or more workers.

The union's request must:

• clearly identify the union and the bargaining unit
• state that the request is made under the Employment Relations (NI) Order 1999

You have ten working days to respond, starting with the first working day after the day you receive the request.

If you agree to the request, you have formally recognised the trade union for collective bargaining purposes.

If you reject the request or fail to respond in time, the union can apply to the Industrial Court for statutory recognition - see statutory recognition of a trade union - applying to the Industrial Court.

Negotiations with the union following its request

If you tell the union that you don't accept the request but are willing to negotiate, you have 20 working days to agree on the appropriate bargaining unit and to agree on recognition. The Labour Relations Agency (LRA) may also be of assistance.

The 20-day period starts on the day after the first ten-day period ends. You can agree with the union to extend the 20-day period.

If you fail to reach an agreement at the end of that period - or you agree on a bargaining unit but don't agree to recognise the union - the union can apply to the Industrial Court.

If - following negotiations between you and the union - the union's proposed bargaining unit is modified but you fail to agree on the bargaining unit, the union must make a new request to you that complies in full with the statutory requirements before it can make an application to the Industrial Court.

You can reach a voluntary agreement with the union even after the statutory process has started - see voluntary recognition within the statutory procedure.

If you reach an agreement, the statutory procedure ends.

Approaching LRA for help

You or the union can approach the LRA for help at any time. The LRA can provide its conciliation services to assist the parties in reaching agreement.

If you propose to the union that the LRA helps but the union fails to respond within ten working days or rejects your proposal, the union cannot make any application to the Industrial Court. The ten-day period starts on the day after that on which you made your proposal.

You have to make this proposal within ten working days of informing the union that you are willing to negotiate. This period starts on the day after you so inform the union.

There are a number of consequences once a trade union becomes recognised.

Many apply regardless of whether recognition was voluntary, semi-voluntary or statutory. However, some are only relevant where a union uses the statutory procedure.

Making arrangements for the conduct of collective bargaining

Once a union has achieved recognition, either via a voluntary or the statutory procedure, you and the union - 'the parties' - need to agree how you will conduct collective bargaining.

Such an agreement could cover the following issues:

• bargaining procedure
• how and when meetings will be arranged
• who the employer and union representatives are
• time off for union representatives to attend meetings
• how agreements and disagreements will be communicated to the workforce
• conduct during negotiations - how and when issues can be raised
• the specific matters which will be subject to joint agreement, eg pay and working hours
• dispute resolution - what should happen if deadlock is reached on a particular issue, eg conciliation and arbitration
• union recruitment activities in the workplace
• union representation of workers at disciplinary and grievance hearings
• deduction of union contributions from employees' wages

Deciding what a collective agreement will cover

Collective agreements usually cover pay arrangements and other terms and conditions of employment. They might also cover such matters as:

• matters of discipline
• trade union membership or non-membership
• facilities for officials of trade unions

The procedural agreement should set out the level at which negotiations will take place, eg site, company, regional or national level.

It should also specify the bargaining methods where two or more unions are recognised, eg whether unions should bargain separately or as a single bargaining unit.

The parties usually need training on aspects of employment relations and the bargaining process. Some trade unions and independent organisations provide accredited courses.

Usually, collective agreements are not in themselves legally enforceable. However, parts of collective agreements such as pay rates, or references to agreements, may be inserted and thus legally incorporated into the employment contracts of individual employees. Because individual employment contracts are legally enforceable, many collective agreements are indirectly underpinned by law.

Legal consequences of statutory trade union recognition

Once the Industrial Court declares that a union is recognised, the union is entitled to conduct collective bargaining with you on pay, hours and holidays - although the parties can agree to cover additional issues.

The parties must first agree on how they will conduct collective bargaining, calling on the services of the Labour Relations Agency (LRA) if necessary.

If no agreement is reached within 30 working days, either party has the right to apply to the Industrial Court for assistance.

The Industrial Court has 20 working days from the application date to help achieve an agreement. If no agreement is reached, the Industrial Court will impose a legally binding method of bargaining.

However, the imposed method of collective bargaining can be modified by the parties, providing they both agree.

If the imposed method is not followed, either party can apply to a court to order the other party to act in accordance with the prescribed method.

If this order is ignored by the relevant party, that party will be in contempt of court, and may face a fine or imprisonment.

Where the Industrial Court has imposed a method for carrying out collective bargaining, the union has the right to be consulted by you on your policies and plans for training workers in the bargaining unit at least once every six months.

If you fail to meet these consultation obligations, the union has three months to make a complaint to an industrial tribunal. If the tribunal finds the complaint well founded, it may award up to two weeks' pay to each affected worker.

Note that there is a statutory limit on a week's pay. See a table of current tribunal and arbitration compensation limits.

Disclosing information to trade unions

You have a duty to disclose - if requested - relevant information to a recognised trade union during the collective bargaining process.

The LRA has a code of practice on disclosure of information to trade unions for collective bargaining purposes. The code imposes no legal obligations on you to disclose any specific item of information and failure to observe the code does not by itself mean you would be liable to legal proceedings.

However, the law requires any relevant provisions to be taken into account in proceedings before the Industrial Court.

Read Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.

General legal consequences of trade union recognition

Once a union becomes recognised, you have a legal duty to:

• allow lay union representatives to take reasonable time off with pay to perform their duties
• allow members covered by the recognition arrangements the right to reasonable unpaid time off to carry out trade union activities
• allow union learning representatives time off with pay to carry out their duties

For more on time-off rights for union representatives and members, see trade union membership rights.

You also have a legal duty to:

• inform and consult the union during collective redundancy situations and business transfers - see redundancy: the options and responsibilities to employees if you buy or sell a business
• inform and consult the union on certain changes to your occupational pension scheme - if you operate one - or employees' personal pension schemes if you contribute to them - see keeping employees informed
• allow the union to appoint health and safety representatives, with whom it has to consult on workplace health and safety issues - see how to consult your employees on health and safety

All these obligations apply regardless of whether the recognition was via the statutory or voluntary route.

If, during the statutory trade union recognition procedure, you voluntarily agree to recognise a union, it may withdraw its request for statutory recognition.

Alternatively, if the union had made an application to the Industrial Court, you and the union - 'the parties' - may have jointly asked the Industrial Court to take no further action.

However, this must happen before the Industrial Court either makes a declaration that the union is entitled to recognition without a ballot, or arranges a recognition ballot. See statutory recognition of a trade union - starting the procedure.

This type of agreement is known as an agreement for recognition or a semi-voluntary agreement. It is not the same as a voluntary agreement made outside the statutory procedure.

Once an agreement for recognition has been reached, the parties must enter into negotiations on collective bargaining arrangements.

If they can't agree on an appropriate method, either party may apply to the Industrial Court for help. The Industrial Court can assist if it is satisfied that there is an 'agreement for recognition' as defined in the legislation.

If the parties still fail to reach agreement, the Industrial Court will impose a method for collective bargaining.

Duration of recognition

Once you have agreed to recognise a trade union for collective bargaining purposes, the union may terminate the agreement at any time, unless you have previously agreed with the union to the contrary.

You may not terminate the agreement for a period of three years unless you have agreed with the union to the contrary.

For the circumstances under which a union may become derecognised, see statutory derecognition of a trade union - an introduction.

If the agreement becomes difficult to maintain, either party can apply to the LRA to help it resolve the difficulties.

If a union achieved recognition via the statutory procedure, certain procedures have to be followed for it to be derecognised.

However, you can only seek statutory derecognition three or more years after recognition was originally granted.

There are three main grounds for derecognition:

1. you - taken with any associated employers - no longer employ 21 or more workers
2. application by the employer or by a worker or workers where it is believed that there is no longer majority support for bargaining arrangements
3. union membership in the bargaining unit falls below 50 per cent

In situations where grounds 2 or 3 apply and an application for derecognition is accepted by the Industrial Court, the Industrial Court could declare that a derecognition ballot be held.

A situation may arise when a union or employer feels that the bargaining unit - the group of workers the union represents - is no longer appropriate or has ceased to exist. Either party may apply to the Industrial Court to determine what bargaining unit is appropriate.

In order for the Industrial Court to reach its decision, the bargaining unit must have changed because of one or more of the following:

• the business' activities
• the organisation or structure of the business
• the number of workers in the bargaining unit

Industrial Court guidance on trade union recognition.

Workers have certain rights relating to their involvement in recognition and derecognition procedures.

Protection from detrimental treatment and unfair dismissal

An employer must not subject a worker to a detriment on grounds related to the process of union recognition or derecognition, eg for taking part in a recognition ballot or for campaigning for recognition.

Detriment is broadly defined but essentially means that the worker should not suffer disadvantage on account of any act or omission by you. This could include:

• suspending the worker
• cutting their pay
• moving them to new duties
• failing to give them a pay rise

For a worker who isn't an employee, their dismissal may also count as a detriment. Only employees can claim unfair dismissal.

If any of the above occurs, a worker could bring a claim before an industrial tribunal. If the tribunal finds that you acted unlawfully, it may award compensation.

If an employee is dismissed or selected for redundancy on grounds relating to union recognition or derecognition, they may be able to make a claim for unfair dismissal to the tribunal.

Rights regarding inducements to disapply collective agreements

Many members of trade unions have their pay and other terms and conditions of employment set by a collective agreement negotiated by their union and their employer.

These members have rights to ensure that the employer does not interfere between the union member and their union in certain matters related to collective bargaining.

An employee or other worker who is a member of an independent trade union which is recognised by - or seeking recognition from - their employer for collective bargaining purposes has the right not to have certain offers made to them by their employer.

This is in circumstances where the employer's sole or main purpose is to achieve the result that, if the offer and like offers to other workers are accepted, all or any of those workers' terms and conditions will no longer be determined by a collective agreement negotiated by or on behalf of the trade union.

In addition, an employee has the right not to be dismissed, or selected for redundancy, by their employer on the grounds that they did not accept any such offer.

An employee or other worker has the right not to be subjected to a detriment for failing to accept any such offer.

Right of complaint to an industrial tribunal

Individuals who think that any of their rights as set out above have been infringed can complain to an industrial tribunal.

If an employee has been dismissed - including cases where they have been dismissed on grounds of redundancy - their complaint is one of unfair dismissal.

If an employee or other worker considers that they have been subjected to a detriment by their employer, their complaint is one of detriment.

If an employee or other worker considers that you have made an unlawful inducement as described above, their complaint is one of unlawful inducement.

Compensation

There are certain limits on the compensatory awards for the claims in relation to dismissal, detriment and unlawful inducements. See a table of current tribunal and arbitration compensation limits.

Note that in cases where an employee or other worker makes a related complaint to the tribunal concerning detriment, and the tribunal upholds that complaint, the tribunal may award compensation for the detriment suffered.

In deciding the amount of such compensation, the tribunal will not take into account the fact that:

• a complainant contributed to their loss by accepting or not accepting an unlawful inducement
• the complainant has received or is entitled to an award on the grounds that an unlawful inducement has been made to them

Status of contractual changes resulting from unlawful inducements

If an unlawful inducement has been accepted by an employee or other worker, but any consequent agreement by them to vary their terms and conditions has not yet been effected, the agreement to vary the terms and conditions is not enforceable.

Also, in such circumstances, the employer cannot recover any cash paid or other benefits conferred on the employer or worker concerned.

However, in cases where the agreed variation in terms and conditions have been effected, those variations are enforceable.

A union can apply to the Industrial Court if it sends you a request for statutory recognition but you either reject the request, or following negotiations between you and the union - 'the parties' - you fail to agree on the bargaining unit.

Industrial Court panels

A panel of three Industrial Court members will be convened to deal with each application. The panel will consist of:

• the Industrial Court Chairman or Deputy Chairman
• one member with experience as a representative of employers
• one member with experience as a representative of workers

The individuals making up the panel could change if one becomes unavailable.

An Industrial Court official will be appointed to act as case manager for the application. They act as the main point of contact between you, the panel and the union.

Admissibility tests for union applications to the Industrial Court

In order for the Industrial Court to accept an application for recognition from a trade union, it must be:

• on the proper Industrial Court application form
• copied and sent to you, together with any supporting documents

The following conditions must also apply:

• The union must have a certificate of independence from the Certification Office.
• As the employer, you - together with any associated employer(s) - must employ at least 21 workers. Part-time workers count as whole numbers.
• There must not be a competing application relating to the same or overlapping bargaining units.
• There must not be an existing recognition agreement under which a union is entitled to conduct collective bargaining on behalf of any workers in the proposed bargaining unit.
• At least 10% of the workers in the proposed bargaining unit must belong to the union making the application.
• The majority of workers must be likely to favour recognition. Evidence of this could be a petition from workers.
• If the application is made by more than one union, the unions concerned must show that they will co-operate with each other to achieve stable collective bargaining arrangements.
• There must not have been a previous application from the same union covering the same - or substantially the same - bargaining unit accepted by the Industrial Court within the last three years.

On receiving an application, the Industrial Court will send you:

• notification that it has received the application
• a questionnaire for you to fill in to give it information relating to the admissibility criteria

The Industrial Court has ten working days to decide whether or not to accept the application.

Industrial Court acceptance of the union's application

If the Industrial Court accepts a trade union's application for statutory recognition, the parties have 20 days - which may be extended or reduced if the Industrial Court decides there is no reasonable chance of agreement between the parties - to agree on the appropriate bargaining unit.

In these circumstances, you must provide the following information to both the Industrial Court and the union within five working days, starting with the day after that on which you received notice of the acceptance:

• A list of the categories of worker in the proposed bargaining unit.
• The number of workers you reasonably believe are in each of the categories at each of the workplaces.
• A list of the workplaces at which they work. A workplace is the set of premises a person works at/from, or - where there are no such premises - the premises with which the worker's employment has the closest connection.

The information you give to the union and the Industrial Court must be the same and as accurate as is reasonably practicable in light of the information you have at the time.

If you fail to supply the required information - or fail to provide it in accordance with the statutory criteria - the union can request that the Industrial Court itself decides the bargaining unit.

If the Industrial Court agrees that you have failed to comply with this duty, it will decide the bargaining unit - usually within ten working days starting with the day after that on which the union made the request.

Union communications with workers following the Industrial Court's acceptance of the application

Where the Industrial Court accepts an application, the union may want to communicate with workers who are in the proposed or agreed bargaining unit.

To do so, the union must apply in writing to the Industrial Court asking it to appoint a suitable independent person (SIP) to handle these communications.

The Industrial Court will appoint the SIP as soon as possible after the union's request and will then notify the name, and appointment date, of the appointed person to the parties.

Once the Industrial Court appoints a SIP, you must - as soon as reasonably practicable - provide certain information to the Industrial Court that will enable the SIP to fulfil their role.

This information is as follows:

• The names and home addresses of the 'relevant workers'. You must do this within ten working days, starting with the day after that on which you are informed of the name and date of appointment of the SIP. Relevant workers are either those falling within the proposed bargaining unit or - if a bargaining unit has already been agreed by the parties or decided by the Industrial Court - those within that bargaining unit.
• If you have given the Industrial Court the names of workers in the proposed bargaining unit and then either you and the union agree on a different bargaining unit or the Industrial Court decides the bargaining unit, you must give the Industrial Court the names and home addresses of those who are now the 'relevant workers', ie those workers who fall within the different bargaining unit. You must do this within ten working days, starting with the day after that on which you and the union agree on the bargaining unit or the Industrial Court informs you of its decision on the bargaining unit.
• The name and home address of any worker who subsequently joins the bargaining unit after you supply the initial list.
• The details of any worker who ceases to be a 'relevant worker' because they have left the bargaining unit - except where a new complete list is supplied because the definition of the bargaining unit changes.

If you fail to comply with these duties, the Industrial Court may order you to remedy the failure within a set timescale.

If you fail to comply with the order, the Industrial Court may issue a notice to you and the union confirming that you have failed to comply with the order and may also declare that the union is recognised.

If the Industrial Court accepts a trade union's application for statutory recognition but you and the union - 'the parties' - fail to agree on the bargaining unit, the Industrial Court panel must try to help the parties reach agreement on what the appropriate bargaining unit is.

It is important that the parties are clear as to which workers are included in the bargaining unit. This is because if - at a later stage in the process - a ballot is held, both the parties and the Industrial Court will need to know exactly which workers are entitled to receive a ballot paper.

To reach a decision on the bargaining unit, the Industrial Court may:

• itself mediate between the parties
• suggest the parties seek help from the LRA
• allow the parties - if they prefer - to conduct these negotiations between themselves directly

The Industrial Court has a period of 20 working days (the appropriate period) in which to try to help the parties reach an agreement. The period starts with the day following that on which the Industrial Court gives notice that it has accepted the trade union's application - see statutory recognition of a trade union - applying to the Industrial Court.

The Industrial Court can extend the appropriate period or bring it to an end if it believes that the parties are unlikely to reach an agreement. In addition, both parties can apply to the Industrial Court to bring the appropriate period to an early end.

Failure to agree on the appropriate bargaining unit

If the parties cannot agree on the bargaining unit or the union asks the Industrial Court to decide on the bargaining unit as set out in statutory recognition of a trade union - applying to the Industrial Court, the Industrial Court must decide within a period of ten working days whether or not the union's proposed bargaining unit is appropriate.

If the Industrial Court decides that the union's proposed bargaining unit is not appropriate, it must decide on a bargaining unit which is appropriate.

To make its decision, the Industrial Court has to consider:

• the location of workers
• the views of both parties
• existing national and local bargaining arrangements
• the preference to avoid small, fragmented bargaining units
• the characteristics of workers in the proposed bargaining unit and any other workers the Industrial Court considers relevant
• the need for the unit to be compatible with effective management - this factor takes priority over all the others

The Industrial Court may ask you and the union for your views on these issues - eg any views you may have on an alternative bargaining unit to the one proposed by the union.

If there is conflicting evidence on whether the union's proposed bargaining unit is appropriate, the Industrial Court panel is likely to call a hearing to determine the question.

Where the agreed or decided bargaining unit differs from the one initially proposed

Whether a bargaining unit is agreed between the parties or is decided by the Industrial Court, if that bargaining unit is different from the one proposed in the union's initial application for statutory recognition, the Industrial Court has to determine whether or not the new bargaining unit is 'valid'.

The bargaining unit will only be valid if:

• there is at least 10 per cent union membership in the new bargaining unit
• a majority of workers in the new bargaining unit is likely to favour recognition
• there is not a competing application including any workers covered by the new bargaining unit
• there is not an existing agreement under which a union can conduct collective bargaining on behalf of any workers in the new bargaining unit
• there has not been a previous application from the same union covering the same - or substantially the same - bargaining unit within the last three years

Following any necessary investigations, the Industrial Court panel may call a hearing to determine the validity of the revised bargaining unit. It normally has ten working days to reach its decision.

If - as a result of changes to the bargaining unit - the application does not meet the applied validity tests, the Industrial Court cannot proceed with the union's application.

However, the union can re-apply for statutory recognition of this revised bargaining unit within three years.

Industrial Court hearings

The Industrial Court will normally arrange hearings as quickly as possible in order to meet its statutory deadlines. This may mean imposing a hearing date even if it's not the most convenient date for either or both parties.

The Industrial Court expects that hearings will normally be completed in a day. The Industrial Court is based in Belfast, but it may hold hearings at other, more convenient locations. Hearings are normally informal and held in public.

Before a hearing, the chairman of the Industrial Court panel may hold a preliminary meeting in order to set out procedures and identify the issues disputed.

The Industrial Court will ask the parties to submit and exchange written evidence before the hearing.

The Industrial Court will only allow new evidence at hearings for good reasons and at the discretion of the panel. Where it is admitted, parties can request that the panel allows some additional time - such as a short adjournment - to consider the new evidence.

The Industrial Court will ask the parties to inform the panel in advance of the names of the speakers and any witnesses proposed for the hearing. The parties may appoint legal representatives but there is no obligation to do so.

Once the Industrial Court accepts an application and the bargaining unit has been agreed on or decided, the Industrial Court panel has to decide whether to call a ballot on union recognition.

Industrial Court's decision on whether or not to hold a recognition ballot

The main test is the level of union membership in the bargaining unit. If the Industrial Court panel is not satisfied that the majority of the workers in the bargaining unit belong to the union making the application, it has to call a ballot on union recognition.

If necessary, the Industrial Court panel can require:

• you to provide information concerning the workers in a bargaining unit
• the union to provide information concerning the union members in a bargaining unit

Using this information, the Industrial Court case manager will compile a report and send a copy to you, the panel and the union.

If either you or the union fail to supply the information required by the Industrial Court, the report must mention that failure and this could influence the panel's decision.

On receiving the report, the Industrial Court will then decide whether to make a declaration of recognition or hold a ballot of workers in the bargaining unit.

Generally, if the report shows that a majority of the workers in the bargaining unit are union members, the Industrial Court will make a declaration of recognition. If not, it will call a ballot.

However, the Industrial Court may still call a ballot - even if there is majority union membership - if:

• it is satisfied that holding a ballot would be in the interests of good industrial relations
• it believes it has credible evidence from a significant number of union members in the bargaining unit that they do not want the union to conduct collective bargaining on their behalf
• there is evidence relating to how workers joined the union or their length of membership that leads the Industrial Court to doubt whether a significant number of union members in the bargaining unit want the union to conduct collective bargaining on their behalf

Within ten days of the parties receiving notification of the ballot from the Industrial Court, you may - in agreement with the union - notify the Industrial Court that you no longer wish a ballot to be held.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has a discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not to attend a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within 10 working days, starting with the day after you were told of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of these requirements, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can issue a declaration of recognition.

During the balloting period, the union is entitled to access the workers belonging to the proposed bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Unfair practices can include:

• providing incentives for members to vote a certain way
• threatening disciplinary action if a certain result is not achieved

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day after it received the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and make a declaration that the union is - or is not - recognised.

These circumstances are where the Industrial Court:

• declares that an unfair practice complaint is well founded and that the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued an unfair practices remedial order and the party to whom it is issued fails to comply with it
• having issued an unfair practices remedial order to a party, makes a further declaration that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the Industrial Court can declare the union recognised. If the failing party is the union, the Industrial Court may declare the union not recognised.

Where it orders a fresh ballot - or declares that the union is recognised or not recognised - the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court informs both parties of the ballot result and its consequences.

To be recognised, the union needs the support of a majority of those voting and at least 40% of those entitled to vote.

If the union fails to get the necessary support, it must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

Once you have recognised a union, the collective bargaining process can begin and you have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

Requests for costs for recognition ballots

Following the ballot, the QIP will normally send you and the union a demand for its costs.

The demand will show the gross costs of the ballot and the share of the cost to be paid by you and the union.

Both parties must pay the QIP within 15 working days, starting with the day after they receive the demand.

If you dispute the demand, you can appeal to an industrial tribunal within four weeks, starting with the day after you receive the demand.

For your appeal to succeed, you must show that the gross costs of the ballot are too great or your share of the costs is too great.

You may seek to derecognise a trade union where you employ fewer than 21 workers - including workers with any associated employers - in any period of 13 weeks.

To do this, you must first send a notice to the union.

The notice must be copied to the Industrial Court and:

• identify the bargaining arrangements
• state the date on which the notice is given
• specify the period of 13 weeks in question
• state that you - taken with any associated employer(s) - employed an average of fewer than 21 workers in the specified 13-week period
• state that the bargaining arrangements are to cease to have effect on a specific date, which must fall after the end of a period of 35 working days, day one being the working day following that on which you give the notice

You must give the notice to the union before the end of the fifth working day, starting with the day after the last day of the specified period of 13 weeks.

The Industrial Court's decision on your notice of derecognition

When it receives your notice, the Chairman of the Industrial Court will appoint a panel of three Industrial Court members to consider whether or not it's valid.

The panel has ten working days, starting with the day after that on which the Industrial Court receives the notice, to reach a decision.

If the panel decides that your notice is not valid, it will tell you of this decision and your notice will be treated as if you had not given it. The bargaining arrangements would therefore remain in force.

If the panel decides that your notice is valid, it will tell you of this decision and the bargaining arrangements will then cease to have effect on the date specified in your notice.

The union's challenge to the validity of your notice

The union can challenge the Industrial Court's decision to accept your application for derecognition on the grounds that:

• The 13-week period specified in your notice ended before the relevant date. This is the date the three-year period, starting with the day of the Industrial Court declaration of recognition, expires.
• You - along with any associated employer(s) - did not employ an average of fewer than 21 workers in the 13-week period.

The union's application must be:

• in the proper form and supported by such documents as the Industrial Court may have specified
• copied to you, along with any supporting documents
• made within ten working days, starting with the day after that on which you gave your notice

The Industrial Court's decision on the union's application

The Industrial Court has ten working days - starting with the day after that on which the Industrial Court gave notice of acceptance of the union's application - to reach a decision.

Once you and the union have been given the opportunity to state your views, the Industrial Court will decide on the two issues of whether or not the 13-week period ended before the relevant date or whether you - along with any associated employers - did in fact employ fewer than 21 workers over the specified 13-week period.

If the Industrial Court decides that either the 13-week period ended before the relevant date or you - taken with any associated employers - employed 21 or more workers in that period, your notice shall be treated as not having been given.

If the Industrial Court decides that the 13-week period did not end before the relevant date and that you, taken with any associated employers, employed fewer than 21 workers in that period, the bargaining arrangements will cease to have effect on the 'termination date'.

The termination date will be the date that was specified in your notice to the union or the day after the last day of the Industrial Court's ten-day decision period, whichever is later.

You can - at any time - make a request to a recognised trade union to end collective bargaining arrangements on the grounds that the union no longer has the support of the bargaining unit. The union can decline the request.

However, if the union declines a request after three years of statutory recognition, you can apply to the Industrial Court to hold a secret ballot.

Similarly, where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot - but only after three years of statutory recognition.

Your request to the union for derecognition

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, the union has ten working days to respond, starting with the day after the union receives your request.

If - before the end of the ten-day period - the union agrees to end the bargaining arrangement, the matter ends there.

If the union either fails to respond to your request or - before the end of the ten-day period - tells you that it doesn't accept your request (and does not indicate a willingness to negotiate), you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

If - before the end of the ten-day period - the union tells you that it doesn't accept your request but is willing to negotiate, you and the union (the parties) have 20 working days - starting with the working day immediately following the end of the ten-day period - to negotiate with a view to agreeing to end the bargaining arrangements.

During this 20-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

Your application to the Industrial Court

If the parties fail to reach an agreement, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not the bargaining arrangements should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after that on which it receives your application, the Industrial Court normally has ten working days in which to decide whether or not:

• your request to the union is valid
• you negotiated properly with the union if you were required to do so
• your application to the Industrial Court is admissible

If the Industrial Court decides that you have failed to meet any or all of these requirements, it will not accept the application and the issue ends there.

If the Industrial Court decides that you have met all of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

A worker's application to the Industrial Court

Where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot to determine whether or not collective bargaining arrangements should end.

A worker can only make such an application after three years of statutory recognition. However, unlike employers, they do not need to first make a request to the union (or even the employer) to end bargaining arrangements.

The Industrial Court will only accept the worker's ballot application if:

• it is made in the proper form
• they have copied the application and any supporting documents to both you and the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following the worker's application

Starting with the day after that on which it receives the worker's application, the Industrial Court normally has ten working days in which to decide whether or not the worker's application to the Industrial Court is admissible.

If the Industrial Court decides that the worker's application is not admissible, it won't accept the application and the issue ends there.

If the Industrial Court decides that the worker's application is admissible, it will accept the application. The Industrial Court will then give notice of this acceptance decision to you, the worker and the union.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

The consequences of the Industrial Court accepting the worker's application

Where the Industrial Court accepts a worker's application, it normally has 20 working days - starting with the day after the Industrial Court gives notice that it has accepted the application - to help you, the union and the worker negotiate with a view to either agreeing that the worker will withdraw the application, or reaching an agreement that the parties will end the bargaining arrangements.

If - in the 20-day period - the parties agree to end the bargaining arrangements or the worker agrees to withdraw the application, the Industrial Court will cease its considerations.

If the parties fail to reach an agreement in the 20-day period, the Industrial Court must arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Sometimes, a trade union obtains statutory recognition without a ballot because more than 50% of the bargaining unit were union members.

If you recognised a union under these circumstances but you believe that union membership in the bargaining unit has since fallen to below 50%, you can - after at least three years of recognition - apply to the Industrial Court to hold a secret ballot to decide whether recognition should end.

Your request to the union

Before applying to the Industrial Court, you must make a request to the union, asking it to voluntarily end collective bargaining arrangements.

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that fewer than half the workers in the bargaining unit are members of the union
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, you and the union - 'the parties' - have ten working days, starting with the day after the union receives your request, to agree to end the bargaining arrangements.

During this ten-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

If - before the end of this period - the parties agree to end the bargaining arrangements, the matter ends there.

Your application to the Industrial Court

If the parties fail to agree to end the bargaining arrangements before the end of the ten-day period, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• fewer than half the workers in the bargaining unit are members of the union
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after it receives your application, the Industrial Court normally has ten working days to decide whether or not your request to the union is valid or your application to the Industrial Court is admissible.

If the Industrial Court decides that you have failed to meet either or both of these requirements, it will not accept your application, and the issue ends there.

If the Industrial Court decides that you have met both of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Workers may use the statutory procedure to seek to derecognise a non-independent trade union that their employer has voluntarily recognised.

The reason for derecognition must be that the majority of workers in the bargaining unit do not support the recognition arrangements.

In this case, a worker - or workers - from the bargaining unit can apply to the Industrial Court for derecognition.

The Industrial Court will only accept the application if it believes that:

• the union is not independent - ie it does not have a certificate of independence from the Certification Officer
• at least 10% of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition

If the Industrial Court accepts the application, it will try to help the employer, worker(s) and union to reach an agreement on derecognition.

If an agreement is not reached, the Industrial Court will arrange a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Following a request for statutory derecognition, the Industrial Court may call for a secret ballot to determine whether or not collective bargaining arrangements should end.

Once the Industrial Court has told you and the union - 'the parties' - in writing that there will be a ballot, the parties should negotiate and agree access arrangements for the union during the ballot period and send a copy of the access agreements to the Industrial Court case manager.

Where necessary, the Industrial Court may arrange a hearing on access so that it can determine an access arrangement.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not attending a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within ten working days, starting with the day after you were informed of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of the duties above, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can refuse your application for derecognition.

During the balloting period, the union is entitled to access the workers belonging to the bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Examples of unfair practices include offering money to a worker to vote in a particular way and dismissing - or threatening to dismiss or take disciplinary action against - a worker for voting in the ballot.

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day following receipt of the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, and/or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and:

• if the party concerned is you, refuse your application for derecognition
• if the party concerned is the union, issue a declaration that collective bargaining is to end

These circumstances are where the Industrial Court:

• declares that both an unfair practice complaint is well founded and the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued to a party an unfair practices remedial order but the party fails to comply with it
• having issued an unfair practices remedial order to a party, declares that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the applicant worker and/or the union may enforce obedience to the law.

Where it orders a fresh ballot, refuses your application or declares an unfair practice complaint as well founded, the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to the usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court will inform the parties of the ballot result and its consequences.

In order for collective bargaining arrangements to end as the result of a ballot, a majority of those voting, and at least 40 per cent of the workers in the bargaining unit, must vote in favour of ending those arrangements.

If you fail to get the necessary support, you must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

If the union is derecognised as a result of the ballot, the Industrial Court will declare that the bargaining arrangements are to cease to have effect on a specified date.

The Industrial Court cannot accept any applications for statutory recognition from the union in respect of that bargaining unit - or one substantially the same - if the union makes the application within three years of the day after that on which the Industrial Court issued its declaration.

A trade union is said to be recognised once an employer has agreed to negotiate with it on pay and working conditions on behalf of a particular group of workers.

The subsequent negotiation process is known as collective bargaining, with the group of workers the union represents referred to as the bargaining unit.

If an employer agrees to recognise a trade union the employer has certain legal obligations towards the union and its members - see the consequences of trade union recognition.

Voluntary trade union recognition

The most common way a union can gain recognition for collective bargaining purposes is by the employer simply agreeing to recognise it voluntarily.

In practice this means the union becomes recognised by the employer without using any legal procedures. See voluntary recognition of a trade union.

Statutory trade union recognition

If an employer and trade union find they are unable to come to a voluntary recognition agreement, a trade union can make an application for statutory recognition. This only applies where the employer, together with any associated employers, employs 21 or more workers.

See statutory recognition of a trade union - starting the procedure.

Note that there can be voluntary agreements even after the union has triggered the statutory process - see voluntary recognition within the statutory procedure.

As an employer, there is nothing to stop you from voluntarily agreeing to recognise one or more trade unions.

Most union recognition arrangements are established in this way. Such voluntary recognition provides maximum flexibility to the parties and avoids them having to use the alternative - potentially complex - statutory recognition procedures.

Once an employer recognises a union for the first time, the two parties will usually draw up an agreement which specifies how the recognition arrangement, and its associated bargaining processes, will work.

Formal written agreements of this kind - known as 'procedural' agreements - prevent misunderstanding and achieve continuity and consistency. As relationships develop, the parties may periodically wish to revise and update their procedural agreements. The Labour Relations Agency (LRA) can facilitate meetings to assist the parties in drafting procedural and recognition agreements.

The LRA can also provide impartial information on bargaining agreements. See LRA guidance on collective bargaining.

If you voluntarily recognise a union, you will have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

If you find you are unable to come to a voluntary recognition agreement with the trade union, it can make an application for statutory recognition. This only applies where you - together with any associated employers - employ 21 or more workers.

The union's request must:

• clearly identify the union and the bargaining unit
• state that the request is made under the Employment Relations (NI) Order 1999

You have ten working days to respond, starting with the first working day after the day you receive the request.

If you agree to the request, you have formally recognised the trade union for collective bargaining purposes.

If you reject the request or fail to respond in time, the union can apply to the Industrial Court for statutory recognition - see statutory recognition of a trade union - applying to the Industrial Court.

Negotiations with the union following its request

If you tell the union that you don't accept the request but are willing to negotiate, you have 20 working days to agree on the appropriate bargaining unit and to agree on recognition. The Labour Relations Agency (LRA) may also be of assistance.

The 20-day period starts on the day after the first ten-day period ends. You can agree with the union to extend the 20-day period.

If you fail to reach an agreement at the end of that period - or you agree on a bargaining unit but don't agree to recognise the union - the union can apply to the Industrial Court.

If - following negotiations between you and the union - the union's proposed bargaining unit is modified but you fail to agree on the bargaining unit, the union must make a new request to you that complies in full with the statutory requirements before it can make an application to the Industrial Court.

You can reach a voluntary agreement with the union even after the statutory process has started - see voluntary recognition within the statutory procedure.

If you reach an agreement, the statutory procedure ends.

Approaching LRA for help

You or the union can approach the LRA for help at any time. The LRA can provide its conciliation services to assist the parties in reaching agreement.

If you propose to the union that the LRA helps but the union fails to respond within ten working days or rejects your proposal, the union cannot make any application to the Industrial Court. The ten-day period starts on the day after that on which you made your proposal.

You have to make this proposal within ten working days of informing the union that you are willing to negotiate. This period starts on the day after you so inform the union.

There are a number of consequences once a trade union becomes recognised.

Many apply regardless of whether recognition was voluntary, semi-voluntary or statutory. However, some are only relevant where a union uses the statutory procedure.

Making arrangements for the conduct of collective bargaining

Once a union has achieved recognition, either via a voluntary or the statutory procedure, you and the union - 'the parties' - need to agree how you will conduct collective bargaining.

Such an agreement could cover the following issues:

• bargaining procedure
• how and when meetings will be arranged
• who the employer and union representatives are
• time off for union representatives to attend meetings
• how agreements and disagreements will be communicated to the workforce
• conduct during negotiations - how and when issues can be raised
• the specific matters which will be subject to joint agreement, eg pay and working hours
• dispute resolution - what should happen if deadlock is reached on a particular issue, eg conciliation and arbitration
• union recruitment activities in the workplace
• union representation of workers at disciplinary and grievance hearings
• deduction of union contributions from employees' wages

Deciding what a collective agreement will cover

Collective agreements usually cover pay arrangements and other terms and conditions of employment. They might also cover such matters as:

• matters of discipline
• trade union membership or non-membership
• facilities for officials of trade unions

The procedural agreement should set out the level at which negotiations will take place, eg site, company, regional or national level.

It should also specify the bargaining methods where two or more unions are recognised, eg whether unions should bargain separately or as a single bargaining unit.

The parties usually need training on aspects of employment relations and the bargaining process. Some trade unions and independent organisations provide accredited courses.

Usually, collective agreements are not in themselves legally enforceable. However, parts of collective agreements such as pay rates, or references to agreements, may be inserted and thus legally incorporated into the employment contracts of individual employees. Because individual employment contracts are legally enforceable, many collective agreements are indirectly underpinned by law.

Legal consequences of statutory trade union recognition

Once the Industrial Court declares that a union is recognised, the union is entitled to conduct collective bargaining with you on pay, hours and holidays - although the parties can agree to cover additional issues.

The parties must first agree on how they will conduct collective bargaining, calling on the services of the Labour Relations Agency (LRA) if necessary.

If no agreement is reached within 30 working days, either party has the right to apply to the Industrial Court for assistance.

The Industrial Court has 20 working days from the application date to help achieve an agreement. If no agreement is reached, the Industrial Court will impose a legally binding method of bargaining.

However, the imposed method of collective bargaining can be modified by the parties, providing they both agree.

If the imposed method is not followed, either party can apply to a court to order the other party to act in accordance with the prescribed method.

If this order is ignored by the relevant party, that party will be in contempt of court, and may face a fine or imprisonment.

Where the Industrial Court has imposed a method for carrying out collective bargaining, the union has the right to be consulted by you on your policies and plans for training workers in the bargaining unit at least once every six months.

If you fail to meet these consultation obligations, the union has three months to make a complaint to an industrial tribunal. If the tribunal finds the complaint well founded, it may award up to two weeks' pay to each affected worker.

Note that there is a statutory limit on a week's pay. See a table of current tribunal and arbitration compensation limits.

Disclosing information to trade unions

You have a duty to disclose - if requested - relevant information to a recognised trade union during the collective bargaining process.

The LRA has a code of practice on disclosure of information to trade unions for collective bargaining purposes. The code imposes no legal obligations on you to disclose any specific item of information and failure to observe the code does not by itself mean you would be liable to legal proceedings.

However, the law requires any relevant provisions to be taken into account in proceedings before the Industrial Court.

Read Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.

General legal consequences of trade union recognition

Once a union becomes recognised, you have a legal duty to:

• allow lay union representatives to take reasonable time off with pay to perform their duties
• allow members covered by the recognition arrangements the right to reasonable unpaid time off to carry out trade union activities
• allow union learning representatives time off with pay to carry out their duties

For more on time-off rights for union representatives and members, see trade union membership rights.

You also have a legal duty to:

• inform and consult the union during collective redundancy situations and business transfers - see redundancy: the options and responsibilities to employees if you buy or sell a business
• inform and consult the union on certain changes to your occupational pension scheme - if you operate one - or employees' personal pension schemes if you contribute to them - see keeping employees informed
• allow the union to appoint health and safety representatives, with whom it has to consult on workplace health and safety issues - see how to consult your employees on health and safety

All these obligations apply regardless of whether the recognition was via the statutory or voluntary route.

If, during the statutory trade union recognition procedure, you voluntarily agree to recognise a union, it may withdraw its request for statutory recognition.

Alternatively, if the union had made an application to the Industrial Court, you and the union - 'the parties' - may have jointly asked the Industrial Court to take no further action.

However, this must happen before the Industrial Court either makes a declaration that the union is entitled to recognition without a ballot, or arranges a recognition ballot. See statutory recognition of a trade union - starting the procedure.

This type of agreement is known as an agreement for recognition or a semi-voluntary agreement. It is not the same as a voluntary agreement made outside the statutory procedure.

Once an agreement for recognition has been reached, the parties must enter into negotiations on collective bargaining arrangements.

If they can't agree on an appropriate method, either party may apply to the Industrial Court for help. The Industrial Court can assist if it is satisfied that there is an 'agreement for recognition' as defined in the legislation.

If the parties still fail to reach agreement, the Industrial Court will impose a method for collective bargaining.

Duration of recognition

Once you have agreed to recognise a trade union for collective bargaining purposes, the union may terminate the agreement at any time, unless you have previously agreed with the union to the contrary.

You may not terminate the agreement for a period of three years unless you have agreed with the union to the contrary.

For the circumstances under which a union may become derecognised, see statutory derecognition of a trade union - an introduction.

If the agreement becomes difficult to maintain, either party can apply to the LRA to help it resolve the difficulties.

If a union achieved recognition via the statutory procedure, certain procedures have to be followed for it to be derecognised.

However, you can only seek statutory derecognition three or more years after recognition was originally granted.

There are three main grounds for derecognition:

1. you - taken with any associated employers - no longer employ 21 or more workers
2. application by the employer or by a worker or workers where it is believed that there is no longer majority support for bargaining arrangements
3. union membership in the bargaining unit falls below 50 per cent

In situations where grounds 2 or 3 apply and an application for derecognition is accepted by the Industrial Court, the Industrial Court could declare that a derecognition ballot be held.

A situation may arise when a union or employer feels that the bargaining unit - the group of workers the union represents - is no longer appropriate or has ceased to exist. Either party may apply to the Industrial Court to determine what bargaining unit is appropriate.

In order for the Industrial Court to reach its decision, the bargaining unit must have changed because of one or more of the following:

• the business' activities
• the organisation or structure of the business
• the number of workers in the bargaining unit

Industrial Court guidance on trade union recognition.

Workers have certain rights relating to their involvement in recognition and derecognition procedures.

Protection from detrimental treatment and unfair dismissal

An employer must not subject a worker to a detriment on grounds related to the process of union recognition or derecognition, eg for taking part in a recognition ballot or for campaigning for recognition.

Detriment is broadly defined but essentially means that the worker should not suffer disadvantage on account of any act or omission by you. This could include:

• suspending the worker
• cutting their pay
• moving them to new duties
• failing to give them a pay rise

For a worker who isn't an employee, their dismissal may also count as a detriment. Only employees can claim unfair dismissal.

If any of the above occurs, a worker could bring a claim before an industrial tribunal. If the tribunal finds that you acted unlawfully, it may award compensation.

If an employee is dismissed or selected for redundancy on grounds relating to union recognition or derecognition, they may be able to make a claim for unfair dismissal to the tribunal.

Rights regarding inducements to disapply collective agreements

Many members of trade unions have their pay and other terms and conditions of employment set by a collective agreement negotiated by their union and their employer.

These members have rights to ensure that the employer does not interfere between the union member and their union in certain matters related to collective bargaining.

An employee or other worker who is a member of an independent trade union which is recognised by - or seeking recognition from - their employer for collective bargaining purposes has the right not to have certain offers made to them by their employer.

This is in circumstances where the employer's sole or main purpose is to achieve the result that, if the offer and like offers to other workers are accepted, all or any of those workers' terms and conditions will no longer be determined by a collective agreement negotiated by or on behalf of the trade union.

In addition, an employee has the right not to be dismissed, or selected for redundancy, by their employer on the grounds that they did not accept any such offer.

An employee or other worker has the right not to be subjected to a detriment for failing to accept any such offer.

Right of complaint to an industrial tribunal

Individuals who think that any of their rights as set out above have been infringed can complain to an industrial tribunal.

If an employee has been dismissed - including cases where they have been dismissed on grounds of redundancy - their complaint is one of unfair dismissal.

If an employee or other worker considers that they have been subjected to a detriment by their employer, their complaint is one of detriment.

If an employee or other worker considers that you have made an unlawful inducement as described above, their complaint is one of unlawful inducement.

Compensation

There are certain limits on the compensatory awards for the claims in relation to dismissal, detriment and unlawful inducements. See a table of current tribunal and arbitration compensation limits.

Note that in cases where an employee or other worker makes a related complaint to the tribunal concerning detriment, and the tribunal upholds that complaint, the tribunal may award compensation for the detriment suffered.

In deciding the amount of such compensation, the tribunal will not take into account the fact that:

• a complainant contributed to their loss by accepting or not accepting an unlawful inducement
• the complainant has received or is entitled to an award on the grounds that an unlawful inducement has been made to them

Status of contractual changes resulting from unlawful inducements

If an unlawful inducement has been accepted by an employee or other worker, but any consequent agreement by them to vary their terms and conditions has not yet been effected, the agreement to vary the terms and conditions is not enforceable.

Also, in such circumstances, the employer cannot recover any cash paid or other benefits conferred on the employer or worker concerned.

However, in cases where the agreed variation in terms and conditions have been effected, those variations are enforceable.

A union can apply to the Industrial Court if it sends you a request for statutory recognition but you either reject the request, or following negotiations between you and the union - 'the parties' - you fail to agree on the bargaining unit.

Industrial Court panels

A panel of three Industrial Court members will be convened to deal with each application. The panel will consist of:

• the Industrial Court Chairman or Deputy Chairman
• one member with experience as a representative of employers
• one member with experience as a representative of workers

The individuals making up the panel could change if one becomes unavailable.

An Industrial Court official will be appointed to act as case manager for the application. They act as the main point of contact between you, the panel and the union.

Admissibility tests for union applications to the Industrial Court

In order for the Industrial Court to accept an application for recognition from a trade union, it must be:

• on the proper Industrial Court application form
• copied and sent to you, together with any supporting documents

The following conditions must also apply:

• The union must have a certificate of independence from the Certification Office.
• As the employer, you - together with any associated employer(s) - must employ at least 21 workers. Part-time workers count as whole numbers.
• There must not be a competing application relating to the same or overlapping bargaining units.
• There must not be an existing recognition agreement under which a union is entitled to conduct collective bargaining on behalf of any workers in the proposed bargaining unit.
• At least 10% of the workers in the proposed bargaining unit must belong to the union making the application.
• The majority of workers must be likely to favour recognition. Evidence of this could be a petition from workers.
• If the application is made by more than one union, the unions concerned must show that they will co-operate with each other to achieve stable collective bargaining arrangements.
• There must not have been a previous application from the same union covering the same - or substantially the same - bargaining unit accepted by the Industrial Court within the last three years.

On receiving an application, the Industrial Court will send you:

• notification that it has received the application
• a questionnaire for you to fill in to give it information relating to the admissibility criteria

The Industrial Court has ten working days to decide whether or not to accept the application.

Industrial Court acceptance of the union's application

If the Industrial Court accepts a trade union's application for statutory recognition, the parties have 20 days - which may be extended or reduced if the Industrial Court decides there is no reasonable chance of agreement between the parties - to agree on the appropriate bargaining unit.

In these circumstances, you must provide the following information to both the Industrial Court and the union within five working days, starting with the day after that on which you received notice of the acceptance:

• A list of the categories of worker in the proposed bargaining unit.
• The number of workers you reasonably believe are in each of the categories at each of the workplaces.
• A list of the workplaces at which they work. A workplace is the set of premises a person works at/from, or - where there are no such premises - the premises with which the worker's employment has the closest connection.

The information you give to the union and the Industrial Court must be the same and as accurate as is reasonably practicable in light of the information you have at the time.

If you fail to supply the required information - or fail to provide it in accordance with the statutory criteria - the union can request that the Industrial Court itself decides the bargaining unit.

If the Industrial Court agrees that you have failed to comply with this duty, it will decide the bargaining unit - usually within ten working days starting with the day after that on which the union made the request.

Union communications with workers following the Industrial Court's acceptance of the application

Where the Industrial Court accepts an application, the union may want to communicate with workers who are in the proposed or agreed bargaining unit.

To do so, the union must apply in writing to the Industrial Court asking it to appoint a suitable independent person (SIP) to handle these communications.

The Industrial Court will appoint the SIP as soon as possible after the union's request and will then notify the name, and appointment date, of the appointed person to the parties.

Once the Industrial Court appoints a SIP, you must - as soon as reasonably practicable - provide certain information to the Industrial Court that will enable the SIP to fulfil their role.

This information is as follows:

• The names and home addresses of the 'relevant workers'. You must do this within ten working days, starting with the day after that on which you are informed of the name and date of appointment of the SIP. Relevant workers are either those falling within the proposed bargaining unit or - if a bargaining unit has already been agreed by the parties or decided by the Industrial Court - those within that bargaining unit.
• If you have given the Industrial Court the names of workers in the proposed bargaining unit and then either you and the union agree on a different bargaining unit or the Industrial Court decides the bargaining unit, you must give the Industrial Court the names and home addresses of those who are now the 'relevant workers', ie those workers who fall within the different bargaining unit. You must do this within ten working days, starting with the day after that on which you and the union agree on the bargaining unit or the Industrial Court informs you of its decision on the bargaining unit.
• The name and home address of any worker who subsequently joins the bargaining unit after you supply the initial list.
• The details of any worker who ceases to be a 'relevant worker' because they have left the bargaining unit - except where a new complete list is supplied because the definition of the bargaining unit changes.

If you fail to comply with these duties, the Industrial Court may order you to remedy the failure within a set timescale.

If you fail to comply with the order, the Industrial Court may issue a notice to you and the union confirming that you have failed to comply with the order and may also declare that the union is recognised.

If the Industrial Court accepts a trade union's application for statutory recognition but you and the union - 'the parties' - fail to agree on the bargaining unit, the Industrial Court panel must try to help the parties reach agreement on what the appropriate bargaining unit is.

It is important that the parties are clear as to which workers are included in the bargaining unit. This is because if - at a later stage in the process - a ballot is held, both the parties and the Industrial Court will need to know exactly which workers are entitled to receive a ballot paper.

To reach a decision on the bargaining unit, the Industrial Court may:

• itself mediate between the parties
• suggest the parties seek help from the LRA
• allow the parties - if they prefer - to conduct these negotiations between themselves directly

The Industrial Court has a period of 20 working days (the appropriate period) in which to try to help the parties reach an agreement. The period starts with the day following that on which the Industrial Court gives notice that it has accepted the trade union's application - see statutory recognition of a trade union - applying to the Industrial Court.

The Industrial Court can extend the appropriate period or bring it to an end if it believes that the parties are unlikely to reach an agreement. In addition, both parties can apply to the Industrial Court to bring the appropriate period to an early end.

Failure to agree on the appropriate bargaining unit

If the parties cannot agree on the bargaining unit or the union asks the Industrial Court to decide on the bargaining unit as set out in statutory recognition of a trade union - applying to the Industrial Court, the Industrial Court must decide within a period of ten working days whether or not the union's proposed bargaining unit is appropriate.

If the Industrial Court decides that the union's proposed bargaining unit is not appropriate, it must decide on a bargaining unit which is appropriate.

To make its decision, the Industrial Court has to consider:

• the location of workers
• the views of both parties
• existing national and local bargaining arrangements
• the preference to avoid small, fragmented bargaining units
• the characteristics of workers in the proposed bargaining unit and any other workers the Industrial Court considers relevant
• the need for the unit to be compatible with effective management - this factor takes priority over all the others

The Industrial Court may ask you and the union for your views on these issues - eg any views you may have on an alternative bargaining unit to the one proposed by the union.

If there is conflicting evidence on whether the union's proposed bargaining unit is appropriate, the Industrial Court panel is likely to call a hearing to determine the question.

Where the agreed or decided bargaining unit differs from the one initially proposed

Whether a bargaining unit is agreed between the parties or is decided by the Industrial Court, if that bargaining unit is different from the one proposed in the union's initial application for statutory recognition, the Industrial Court has to determine whether or not the new bargaining unit is 'valid'.

The bargaining unit will only be valid if:

• there is at least 10 per cent union membership in the new bargaining unit
• a majority of workers in the new bargaining unit is likely to favour recognition
• there is not a competing application including any workers covered by the new bargaining unit
• there is not an existing agreement under which a union can conduct collective bargaining on behalf of any workers in the new bargaining unit
• there has not been a previous application from the same union covering the same - or substantially the same - bargaining unit within the last three years

Following any necessary investigations, the Industrial Court panel may call a hearing to determine the validity of the revised bargaining unit. It normally has ten working days to reach its decision.

If - as a result of changes to the bargaining unit - the application does not meet the applied validity tests, the Industrial Court cannot proceed with the union's application.

However, the union can re-apply for statutory recognition of this revised bargaining unit within three years.

Industrial Court hearings

The Industrial Court will normally arrange hearings as quickly as possible in order to meet its statutory deadlines. This may mean imposing a hearing date even if it's not the most convenient date for either or both parties.

The Industrial Court expects that hearings will normally be completed in a day. The Industrial Court is based in Belfast, but it may hold hearings at other, more convenient locations. Hearings are normally informal and held in public.

Before a hearing, the chairman of the Industrial Court panel may hold a preliminary meeting in order to set out procedures and identify the issues disputed.

The Industrial Court will ask the parties to submit and exchange written evidence before the hearing.

The Industrial Court will only allow new evidence at hearings for good reasons and at the discretion of the panel. Where it is admitted, parties can request that the panel allows some additional time - such as a short adjournment - to consider the new evidence.

The Industrial Court will ask the parties to inform the panel in advance of the names of the speakers and any witnesses proposed for the hearing. The parties may appoint legal representatives but there is no obligation to do so.

Once the Industrial Court accepts an application and the bargaining unit has been agreed on or decided, the Industrial Court panel has to decide whether to call a ballot on union recognition.

Industrial Court's decision on whether or not to hold a recognition ballot

The main test is the level of union membership in the bargaining unit. If the Industrial Court panel is not satisfied that the majority of the workers in the bargaining unit belong to the union making the application, it has to call a ballot on union recognition.

If necessary, the Industrial Court panel can require:

• you to provide information concerning the workers in a bargaining unit
• the union to provide information concerning the union members in a bargaining unit

Using this information, the Industrial Court case manager will compile a report and send a copy to you, the panel and the union.

If either you or the union fail to supply the information required by the Industrial Court, the report must mention that failure and this could influence the panel's decision.

On receiving the report, the Industrial Court will then decide whether to make a declaration of recognition or hold a ballot of workers in the bargaining unit.

Generally, if the report shows that a majority of the workers in the bargaining unit are union members, the Industrial Court will make a declaration of recognition. If not, it will call a ballot.

However, the Industrial Court may still call a ballot - even if there is majority union membership - if:

• it is satisfied that holding a ballot would be in the interests of good industrial relations
• it believes it has credible evidence from a significant number of union members in the bargaining unit that they do not want the union to conduct collective bargaining on their behalf
• there is evidence relating to how workers joined the union or their length of membership that leads the Industrial Court to doubt whether a significant number of union members in the bargaining unit want the union to conduct collective bargaining on their behalf

Within ten days of the parties receiving notification of the ballot from the Industrial Court, you may - in agreement with the union - notify the Industrial Court that you no longer wish a ballot to be held.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has a discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not to attend a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within 10 working days, starting with the day after you were told of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of these requirements, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can issue a declaration of recognition.

During the balloting period, the union is entitled to access the workers belonging to the proposed bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Unfair practices can include:

• providing incentives for members to vote a certain way
• threatening disciplinary action if a certain result is not achieved

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day after it received the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and make a declaration that the union is - or is not - recognised.

These circumstances are where the Industrial Court:

• declares that an unfair practice complaint is well founded and that the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued an unfair practices remedial order and the party to whom it is issued fails to comply with it
• having issued an unfair practices remedial order to a party, makes a further declaration that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the Industrial Court can declare the union recognised. If the failing party is the union, the Industrial Court may declare the union not recognised.

Where it orders a fresh ballot - or declares that the union is recognised or not recognised - the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court informs both parties of the ballot result and its consequences.

To be recognised, the union needs the support of a majority of those voting and at least 40% of those entitled to vote.

If the union fails to get the necessary support, it must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

Once you have recognised a union, the collective bargaining process can begin and you have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

Requests for costs for recognition ballots

Following the ballot, the QIP will normally send you and the union a demand for its costs.

The demand will show the gross costs of the ballot and the share of the cost to be paid by you and the union.

Both parties must pay the QIP within 15 working days, starting with the day after they receive the demand.

If you dispute the demand, you can appeal to an industrial tribunal within four weeks, starting with the day after you receive the demand.

For your appeal to succeed, you must show that the gross costs of the ballot are too great or your share of the costs is too great.

You may seek to derecognise a trade union where you employ fewer than 21 workers - including workers with any associated employers - in any period of 13 weeks.

To do this, you must first send a notice to the union.

The notice must be copied to the Industrial Court and:

• identify the bargaining arrangements
• state the date on which the notice is given
• specify the period of 13 weeks in question
• state that you - taken with any associated employer(s) - employed an average of fewer than 21 workers in the specified 13-week period
• state that the bargaining arrangements are to cease to have effect on a specific date, which must fall after the end of a period of 35 working days, day one being the working day following that on which you give the notice

You must give the notice to the union before the end of the fifth working day, starting with the day after the last day of the specified period of 13 weeks.

The Industrial Court's decision on your notice of derecognition

When it receives your notice, the Chairman of the Industrial Court will appoint a panel of three Industrial Court members to consider whether or not it's valid.

The panel has ten working days, starting with the day after that on which the Industrial Court receives the notice, to reach a decision.

If the panel decides that your notice is not valid, it will tell you of this decision and your notice will be treated as if you had not given it. The bargaining arrangements would therefore remain in force.

If the panel decides that your notice is valid, it will tell you of this decision and the bargaining arrangements will then cease to have effect on the date specified in your notice.

The union's challenge to the validity of your notice

The union can challenge the Industrial Court's decision to accept your application for derecognition on the grounds that:

• The 13-week period specified in your notice ended before the relevant date. This is the date the three-year period, starting with the day of the Industrial Court declaration of recognition, expires.
• You - along with any associated employer(s) - did not employ an average of fewer than 21 workers in the 13-week period.

The union's application must be:

• in the proper form and supported by such documents as the Industrial Court may have specified
• copied to you, along with any supporting documents
• made within ten working days, starting with the day after that on which you gave your notice

The Industrial Court's decision on the union's application

The Industrial Court has ten working days - starting with the day after that on which the Industrial Court gave notice of acceptance of the union's application - to reach a decision.

Once you and the union have been given the opportunity to state your views, the Industrial Court will decide on the two issues of whether or not the 13-week period ended before the relevant date or whether you - along with any associated employers - did in fact employ fewer than 21 workers over the specified 13-week period.

If the Industrial Court decides that either the 13-week period ended before the relevant date or you - taken with any associated employers - employed 21 or more workers in that period, your notice shall be treated as not having been given.

If the Industrial Court decides that the 13-week period did not end before the relevant date and that you, taken with any associated employers, employed fewer than 21 workers in that period, the bargaining arrangements will cease to have effect on the 'termination date'.

The termination date will be the date that was specified in your notice to the union or the day after the last day of the Industrial Court's ten-day decision period, whichever is later.

You can - at any time - make a request to a recognised trade union to end collective bargaining arrangements on the grounds that the union no longer has the support of the bargaining unit. The union can decline the request.

However, if the union declines a request after three years of statutory recognition, you can apply to the Industrial Court to hold a secret ballot.

Similarly, where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot - but only after three years of statutory recognition.

Your request to the union for derecognition

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, the union has ten working days to respond, starting with the day after the union receives your request.

If - before the end of the ten-day period - the union agrees to end the bargaining arrangement, the matter ends there.

If the union either fails to respond to your request or - before the end of the ten-day period - tells you that it doesn't accept your request (and does not indicate a willingness to negotiate), you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

If - before the end of the ten-day period - the union tells you that it doesn't accept your request but is willing to negotiate, you and the union (the parties) have 20 working days - starting with the working day immediately following the end of the ten-day period - to negotiate with a view to agreeing to end the bargaining arrangements.

During this 20-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

Your application to the Industrial Court

If the parties fail to reach an agreement, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not the bargaining arrangements should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after that on which it receives your application, the Industrial Court normally has ten working days in which to decide whether or not:

• your request to the union is valid
• you negotiated properly with the union if you were required to do so
• your application to the Industrial Court is admissible

If the Industrial Court decides that you have failed to meet any or all of these requirements, it will not accept the application and the issue ends there.

If the Industrial Court decides that you have met all of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

A worker's application to the Industrial Court

Where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot to determine whether or not collective bargaining arrangements should end.

A worker can only make such an application after three years of statutory recognition. However, unlike employers, they do not need to first make a request to the union (or even the employer) to end bargaining arrangements.

The Industrial Court will only accept the worker's ballot application if:

• it is made in the proper form
• they have copied the application and any supporting documents to both you and the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following the worker's application

Starting with the day after that on which it receives the worker's application, the Industrial Court normally has ten working days in which to decide whether or not the worker's application to the Industrial Court is admissible.

If the Industrial Court decides that the worker's application is not admissible, it won't accept the application and the issue ends there.

If the Industrial Court decides that the worker's application is admissible, it will accept the application. The Industrial Court will then give notice of this acceptance decision to you, the worker and the union.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

The consequences of the Industrial Court accepting the worker's application

Where the Industrial Court accepts a worker's application, it normally has 20 working days - starting with the day after the Industrial Court gives notice that it has accepted the application - to help you, the union and the worker negotiate with a view to either agreeing that the worker will withdraw the application, or reaching an agreement that the parties will end the bargaining arrangements.

If - in the 20-day period - the parties agree to end the bargaining arrangements or the worker agrees to withdraw the application, the Industrial Court will cease its considerations.

If the parties fail to reach an agreement in the 20-day period, the Industrial Court must arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Sometimes, a trade union obtains statutory recognition without a ballot because more than 50% of the bargaining unit were union members.

If you recognised a union under these circumstances but you believe that union membership in the bargaining unit has since fallen to below 50%, you can - after at least three years of recognition - apply to the Industrial Court to hold a secret ballot to decide whether recognition should end.

Your request to the union

Before applying to the Industrial Court, you must make a request to the union, asking it to voluntarily end collective bargaining arrangements.

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that fewer than half the workers in the bargaining unit are members of the union
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, you and the union - 'the parties' - have ten working days, starting with the day after the union receives your request, to agree to end the bargaining arrangements.

During this ten-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

If - before the end of this period - the parties agree to end the bargaining arrangements, the matter ends there.

Your application to the Industrial Court

If the parties fail to agree to end the bargaining arrangements before the end of the ten-day period, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• fewer than half the workers in the bargaining unit are members of the union
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after it receives your application, the Industrial Court normally has ten working days to decide whether or not your request to the union is valid or your application to the Industrial Court is admissible.

If the Industrial Court decides that you have failed to meet either or both of these requirements, it will not accept your application, and the issue ends there.

If the Industrial Court decides that you have met both of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Workers may use the statutory procedure to seek to derecognise a non-independent trade union that their employer has voluntarily recognised.

The reason for derecognition must be that the majority of workers in the bargaining unit do not support the recognition arrangements.

In this case, a worker - or workers - from the bargaining unit can apply to the Industrial Court for derecognition.

The Industrial Court will only accept the application if it believes that:

• the union is not independent - ie it does not have a certificate of independence from the Certification Officer
• at least 10% of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition

If the Industrial Court accepts the application, it will try to help the employer, worker(s) and union to reach an agreement on derecognition.

If an agreement is not reached, the Industrial Court will arrange a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Following a request for statutory derecognition, the Industrial Court may call for a secret ballot to determine whether or not collective bargaining arrangements should end.

Once the Industrial Court has told you and the union - 'the parties' - in writing that there will be a ballot, the parties should negotiate and agree access arrangements for the union during the ballot period and send a copy of the access agreements to the Industrial Court case manager.

Where necessary, the Industrial Court may arrange a hearing on access so that it can determine an access arrangement.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not attending a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within ten working days, starting with the day after you were informed of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of the duties above, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can refuse your application for derecognition.

During the balloting period, the union is entitled to access the workers belonging to the bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Examples of unfair practices include offering money to a worker to vote in a particular way and dismissing - or threatening to dismiss or take disciplinary action against - a worker for voting in the ballot.

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day following receipt of the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, and/or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and:

• if the party concerned is you, refuse your application for derecognition
• if the party concerned is the union, issue a declaration that collective bargaining is to end

These circumstances are where the Industrial Court:

• declares that both an unfair practice complaint is well founded and the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued to a party an unfair practices remedial order but the party fails to comply with it
• having issued an unfair practices remedial order to a party, declares that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the applicant worker and/or the union may enforce obedience to the law.

Where it orders a fresh ballot, refuses your application or declares an unfair practice complaint as well founded, the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to the usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court will inform the parties of the ballot result and its consequences.

In order for collective bargaining arrangements to end as the result of a ballot, a majority of those voting, and at least 40 per cent of the workers in the bargaining unit, must vote in favour of ending those arrangements.

If you fail to get the necessary support, you must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

If the union is derecognised as a result of the ballot, the Industrial Court will declare that the bargaining arrangements are to cease to have effect on a specified date.

The Industrial Court cannot accept any applications for statutory recognition from the union in respect of that bargaining unit - or one substantially the same - if the union makes the application within three years of the day after that on which the Industrial Court issued its declaration.

A trade union is said to be recognised once an employer has agreed to negotiate with it on pay and working conditions on behalf of a particular group of workers.

The subsequent negotiation process is known as collective bargaining, with the group of workers the union represents referred to as the bargaining unit.

If an employer agrees to recognise a trade union the employer has certain legal obligations towards the union and its members - see the consequences of trade union recognition.

Voluntary trade union recognition

The most common way a union can gain recognition for collective bargaining purposes is by the employer simply agreeing to recognise it voluntarily.

In practice this means the union becomes recognised by the employer without using any legal procedures. See voluntary recognition of a trade union.

Statutory trade union recognition

If an employer and trade union find they are unable to come to a voluntary recognition agreement, a trade union can make an application for statutory recognition. This only applies where the employer, together with any associated employers, employs 21 or more workers.

See statutory recognition of a trade union - starting the procedure.

Note that there can be voluntary agreements even after the union has triggered the statutory process - see voluntary recognition within the statutory procedure.

As an employer, there is nothing to stop you from voluntarily agreeing to recognise one or more trade unions.

Most union recognition arrangements are established in this way. Such voluntary recognition provides maximum flexibility to the parties and avoids them having to use the alternative - potentially complex - statutory recognition procedures.

Once an employer recognises a union for the first time, the two parties will usually draw up an agreement which specifies how the recognition arrangement, and its associated bargaining processes, will work.

Formal written agreements of this kind - known as 'procedural' agreements - prevent misunderstanding and achieve continuity and consistency. As relationships develop, the parties may periodically wish to revise and update their procedural agreements. The Labour Relations Agency (LRA) can facilitate meetings to assist the parties in drafting procedural and recognition agreements.

The LRA can also provide impartial information on bargaining agreements. See LRA guidance on collective bargaining.

If you voluntarily recognise a union, you will have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

If you find you are unable to come to a voluntary recognition agreement with the trade union, it can make an application for statutory recognition. This only applies where you - together with any associated employers - employ 21 or more workers.

The union's request must:

• clearly identify the union and the bargaining unit
• state that the request is made under the Employment Relations (NI) Order 1999

You have ten working days to respond, starting with the first working day after the day you receive the request.

If you agree to the request, you have formally recognised the trade union for collective bargaining purposes.

If you reject the request or fail to respond in time, the union can apply to the Industrial Court for statutory recognition - see statutory recognition of a trade union - applying to the Industrial Court.

Negotiations with the union following its request

If you tell the union that you don't accept the request but are willing to negotiate, you have 20 working days to agree on the appropriate bargaining unit and to agree on recognition. The Labour Relations Agency (LRA) may also be of assistance.

The 20-day period starts on the day after the first ten-day period ends. You can agree with the union to extend the 20-day period.

If you fail to reach an agreement at the end of that period - or you agree on a bargaining unit but don't agree to recognise the union - the union can apply to the Industrial Court.

If - following negotiations between you and the union - the union's proposed bargaining unit is modified but you fail to agree on the bargaining unit, the union must make a new request to you that complies in full with the statutory requirements before it can make an application to the Industrial Court.

You can reach a voluntary agreement with the union even after the statutory process has started - see voluntary recognition within the statutory procedure.

If you reach an agreement, the statutory procedure ends.

Approaching LRA for help

You or the union can approach the LRA for help at any time. The LRA can provide its conciliation services to assist the parties in reaching agreement.

If you propose to the union that the LRA helps but the union fails to respond within ten working days or rejects your proposal, the union cannot make any application to the Industrial Court. The ten-day period starts on the day after that on which you made your proposal.

You have to make this proposal within ten working days of informing the union that you are willing to negotiate. This period starts on the day after you so inform the union.

There are a number of consequences once a trade union becomes recognised.

Many apply regardless of whether recognition was voluntary, semi-voluntary or statutory. However, some are only relevant where a union uses the statutory procedure.

Making arrangements for the conduct of collective bargaining

Once a union has achieved recognition, either via a voluntary or the statutory procedure, you and the union - 'the parties' - need to agree how you will conduct collective bargaining.

Such an agreement could cover the following issues:

• bargaining procedure
• how and when meetings will be arranged
• who the employer and union representatives are
• time off for union representatives to attend meetings
• how agreements and disagreements will be communicated to the workforce
• conduct during negotiations - how and when issues can be raised
• the specific matters which will be subject to joint agreement, eg pay and working hours
• dispute resolution - what should happen if deadlock is reached on a particular issue, eg conciliation and arbitration
• union recruitment activities in the workplace
• union representation of workers at disciplinary and grievance hearings
• deduction of union contributions from employees' wages

Deciding what a collective agreement will cover

Collective agreements usually cover pay arrangements and other terms and conditions of employment. They might also cover such matters as:

• matters of discipline
• trade union membership or non-membership
• facilities for officials of trade unions

The procedural agreement should set out the level at which negotiations will take place, eg site, company, regional or national level.

It should also specify the bargaining methods where two or more unions are recognised, eg whether unions should bargain separately or as a single bargaining unit.

The parties usually need training on aspects of employment relations and the bargaining process. Some trade unions and independent organisations provide accredited courses.

Usually, collective agreements are not in themselves legally enforceable. However, parts of collective agreements such as pay rates, or references to agreements, may be inserted and thus legally incorporated into the employment contracts of individual employees. Because individual employment contracts are legally enforceable, many collective agreements are indirectly underpinned by law.

Legal consequences of statutory trade union recognition

Once the Industrial Court declares that a union is recognised, the union is entitled to conduct collective bargaining with you on pay, hours and holidays - although the parties can agree to cover additional issues.

The parties must first agree on how they will conduct collective bargaining, calling on the services of the Labour Relations Agency (LRA) if necessary.

If no agreement is reached within 30 working days, either party has the right to apply to the Industrial Court for assistance.

The Industrial Court has 20 working days from the application date to help achieve an agreement. If no agreement is reached, the Industrial Court will impose a legally binding method of bargaining.

However, the imposed method of collective bargaining can be modified by the parties, providing they both agree.

If the imposed method is not followed, either party can apply to a court to order the other party to act in accordance with the prescribed method.

If this order is ignored by the relevant party, that party will be in contempt of court, and may face a fine or imprisonment.

Where the Industrial Court has imposed a method for carrying out collective bargaining, the union has the right to be consulted by you on your policies and plans for training workers in the bargaining unit at least once every six months.

If you fail to meet these consultation obligations, the union has three months to make a complaint to an industrial tribunal. If the tribunal finds the complaint well founded, it may award up to two weeks' pay to each affected worker.

Note that there is a statutory limit on a week's pay. See a table of current tribunal and arbitration compensation limits.

Disclosing information to trade unions

You have a duty to disclose - if requested - relevant information to a recognised trade union during the collective bargaining process.

The LRA has a code of practice on disclosure of information to trade unions for collective bargaining purposes. The code imposes no legal obligations on you to disclose any specific item of information and failure to observe the code does not by itself mean you would be liable to legal proceedings.

However, the law requires any relevant provisions to be taken into account in proceedings before the Industrial Court.

Read Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.

General legal consequences of trade union recognition

Once a union becomes recognised, you have a legal duty to:

• allow lay union representatives to take reasonable time off with pay to perform their duties
• allow members covered by the recognition arrangements the right to reasonable unpaid time off to carry out trade union activities
• allow union learning representatives time off with pay to carry out their duties

For more on time-off rights for union representatives and members, see trade union membership rights.

You also have a legal duty to:

• inform and consult the union during collective redundancy situations and business transfers - see redundancy: the options and responsibilities to employees if you buy or sell a business
• inform and consult the union on certain changes to your occupational pension scheme - if you operate one - or employees' personal pension schemes if you contribute to them - see keeping employees informed
• allow the union to appoint health and safety representatives, with whom it has to consult on workplace health and safety issues - see how to consult your employees on health and safety

All these obligations apply regardless of whether the recognition was via the statutory or voluntary route.

If, during the statutory trade union recognition procedure, you voluntarily agree to recognise a union, it may withdraw its request for statutory recognition.

Alternatively, if the union had made an application to the Industrial Court, you and the union - 'the parties' - may have jointly asked the Industrial Court to take no further action.

However, this must happen before the Industrial Court either makes a declaration that the union is entitled to recognition without a ballot, or arranges a recognition ballot. See statutory recognition of a trade union - starting the procedure.

This type of agreement is known as an agreement for recognition or a semi-voluntary agreement. It is not the same as a voluntary agreement made outside the statutory procedure.

Once an agreement for recognition has been reached, the parties must enter into negotiations on collective bargaining arrangements.

If they can't agree on an appropriate method, either party may apply to the Industrial Court for help. The Industrial Court can assist if it is satisfied that there is an 'agreement for recognition' as defined in the legislation.

If the parties still fail to reach agreement, the Industrial Court will impose a method for collective bargaining.

Duration of recognition

Once you have agreed to recognise a trade union for collective bargaining purposes, the union may terminate the agreement at any time, unless you have previously agreed with the union to the contrary.

You may not terminate the agreement for a period of three years unless you have agreed with the union to the contrary.

For the circumstances under which a union may become derecognised, see statutory derecognition of a trade union - an introduction.

If the agreement becomes difficult to maintain, either party can apply to the LRA to help it resolve the difficulties.

If a union achieved recognition via the statutory procedure, certain procedures have to be followed for it to be derecognised.

However, you can only seek statutory derecognition three or more years after recognition was originally granted.

There are three main grounds for derecognition:

1. you - taken with any associated employers - no longer employ 21 or more workers
2. application by the employer or by a worker or workers where it is believed that there is no longer majority support for bargaining arrangements
3. union membership in the bargaining unit falls below 50 per cent

In situations where grounds 2 or 3 apply and an application for derecognition is accepted by the Industrial Court, the Industrial Court could declare that a derecognition ballot be held.

A situation may arise when a union or employer feels that the bargaining unit - the group of workers the union represents - is no longer appropriate or has ceased to exist. Either party may apply to the Industrial Court to determine what bargaining unit is appropriate.

In order for the Industrial Court to reach its decision, the bargaining unit must have changed because of one or more of the following:

• the business' activities
• the organisation or structure of the business
• the number of workers in the bargaining unit

Industrial Court guidance on trade union recognition.

Workers have certain rights relating to their involvement in recognition and derecognition procedures.

Protection from detrimental treatment and unfair dismissal

An employer must not subject a worker to a detriment on grounds related to the process of union recognition or derecognition, eg for taking part in a recognition ballot or for campaigning for recognition.

Detriment is broadly defined but essentially means that the worker should not suffer disadvantage on account of any act or omission by you. This could include:

• suspending the worker
• cutting their pay
• moving them to new duties
• failing to give them a pay rise

For a worker who isn't an employee, their dismissal may also count as a detriment. Only employees can claim unfair dismissal.

If any of the above occurs, a worker could bring a claim before an industrial tribunal. If the tribunal finds that you acted unlawfully, it may award compensation.

If an employee is dismissed or selected for redundancy on grounds relating to union recognition or derecognition, they may be able to make a claim for unfair dismissal to the tribunal.

Rights regarding inducements to disapply collective agreements

Many members of trade unions have their pay and other terms and conditions of employment set by a collective agreement negotiated by their union and their employer.

These members have rights to ensure that the employer does not interfere between the union member and their union in certain matters related to collective bargaining.

An employee or other worker who is a member of an independent trade union which is recognised by - or seeking recognition from - their employer for collective bargaining purposes has the right not to have certain offers made to them by their employer.

This is in circumstances where the employer's sole or main purpose is to achieve the result that, if the offer and like offers to other workers are accepted, all or any of those workers' terms and conditions will no longer be determined by a collective agreement negotiated by or on behalf of the trade union.

In addition, an employee has the right not to be dismissed, or selected for redundancy, by their employer on the grounds that they did not accept any such offer.

An employee or other worker has the right not to be subjected to a detriment for failing to accept any such offer.

Right of complaint to an industrial tribunal

Individuals who think that any of their rights as set out above have been infringed can complain to an industrial tribunal.

If an employee has been dismissed - including cases where they have been dismissed on grounds of redundancy - their complaint is one of unfair dismissal.

If an employee or other worker considers that they have been subjected to a detriment by their employer, their complaint is one of detriment.

If an employee or other worker considers that you have made an unlawful inducement as described above, their complaint is one of unlawful inducement.

Compensation

There are certain limits on the compensatory awards for the claims in relation to dismissal, detriment and unlawful inducements. See a table of current tribunal and arbitration compensation limits.

Note that in cases where an employee or other worker makes a related complaint to the tribunal concerning detriment, and the tribunal upholds that complaint, the tribunal may award compensation for the detriment suffered.

In deciding the amount of such compensation, the tribunal will not take into account the fact that:

• a complainant contributed to their loss by accepting or not accepting an unlawful inducement
• the complainant has received or is entitled to an award on the grounds that an unlawful inducement has been made to them

Status of contractual changes resulting from unlawful inducements

If an unlawful inducement has been accepted by an employee or other worker, but any consequent agreement by them to vary their terms and conditions has not yet been effected, the agreement to vary the terms and conditions is not enforceable.

Also, in such circumstances, the employer cannot recover any cash paid or other benefits conferred on the employer or worker concerned.

However, in cases where the agreed variation in terms and conditions have been effected, those variations are enforceable.

A union can apply to the Industrial Court if it sends you a request for statutory recognition but you either reject the request, or following negotiations between you and the union - 'the parties' - you fail to agree on the bargaining unit.

Industrial Court panels

A panel of three Industrial Court members will be convened to deal with each application. The panel will consist of:

• the Industrial Court Chairman or Deputy Chairman
• one member with experience as a representative of employers
• one member with experience as a representative of workers

The individuals making up the panel could change if one becomes unavailable.

An Industrial Court official will be appointed to act as case manager for the application. They act as the main point of contact between you, the panel and the union.

Admissibility tests for union applications to the Industrial Court

In order for the Industrial Court to accept an application for recognition from a trade union, it must be:

• on the proper Industrial Court application form
• copied and sent to you, together with any supporting documents

The following conditions must also apply:

• The union must have a certificate of independence from the Certification Office.
• As the employer, you - together with any associated employer(s) - must employ at least 21 workers. Part-time workers count as whole numbers.
• There must not be a competing application relating to the same or overlapping bargaining units.
• There must not be an existing recognition agreement under which a union is entitled to conduct collective bargaining on behalf of any workers in the proposed bargaining unit.
• At least 10% of the workers in the proposed bargaining unit must belong to the union making the application.
• The majority of workers must be likely to favour recognition. Evidence of this could be a petition from workers.
• If the application is made by more than one union, the unions concerned must show that they will co-operate with each other to achieve stable collective bargaining arrangements.
• There must not have been a previous application from the same union covering the same - or substantially the same - bargaining unit accepted by the Industrial Court within the last three years.

On receiving an application, the Industrial Court will send you:

• notification that it has received the application
• a questionnaire for you to fill in to give it information relating to the admissibility criteria

The Industrial Court has ten working days to decide whether or not to accept the application.

Industrial Court acceptance of the union's application

If the Industrial Court accepts a trade union's application for statutory recognition, the parties have 20 days - which may be extended or reduced if the Industrial Court decides there is no reasonable chance of agreement between the parties - to agree on the appropriate bargaining unit.

In these circumstances, you must provide the following information to both the Industrial Court and the union within five working days, starting with the day after that on which you received notice of the acceptance:

• A list of the categories of worker in the proposed bargaining unit.
• The number of workers you reasonably believe are in each of the categories at each of the workplaces.
• A list of the workplaces at which they work. A workplace is the set of premises a person works at/from, or - where there are no such premises - the premises with which the worker's employment has the closest connection.

The information you give to the union and the Industrial Court must be the same and as accurate as is reasonably practicable in light of the information you have at the time.

If you fail to supply the required information - or fail to provide it in accordance with the statutory criteria - the union can request that the Industrial Court itself decides the bargaining unit.

If the Industrial Court agrees that you have failed to comply with this duty, it will decide the bargaining unit - usually within ten working days starting with the day after that on which the union made the request.

Union communications with workers following the Industrial Court's acceptance of the application

Where the Industrial Court accepts an application, the union may want to communicate with workers who are in the proposed or agreed bargaining unit.

To do so, the union must apply in writing to the Industrial Court asking it to appoint a suitable independent person (SIP) to handle these communications.

The Industrial Court will appoint the SIP as soon as possible after the union's request and will then notify the name, and appointment date, of the appointed person to the parties.

Once the Industrial Court appoints a SIP, you must - as soon as reasonably practicable - provide certain information to the Industrial Court that will enable the SIP to fulfil their role.

This information is as follows:

• The names and home addresses of the 'relevant workers'. You must do this within ten working days, starting with the day after that on which you are informed of the name and date of appointment of the SIP. Relevant workers are either those falling within the proposed bargaining unit or - if a bargaining unit has already been agreed by the parties or decided by the Industrial Court - those within that bargaining unit.
• If you have given the Industrial Court the names of workers in the proposed bargaining unit and then either you and the union agree on a different bargaining unit or the Industrial Court decides the bargaining unit, you must give the Industrial Court the names and home addresses of those who are now the 'relevant workers', ie those workers who fall within the different bargaining unit. You must do this within ten working days, starting with the day after that on which you and the union agree on the bargaining unit or the Industrial Court informs you of its decision on the bargaining unit.
• The name and home address of any worker who subsequently joins the bargaining unit after you supply the initial list.
• The details of any worker who ceases to be a 'relevant worker' because they have left the bargaining unit - except where a new complete list is supplied because the definition of the bargaining unit changes.

If you fail to comply with these duties, the Industrial Court may order you to remedy the failure within a set timescale.

If you fail to comply with the order, the Industrial Court may issue a notice to you and the union confirming that you have failed to comply with the order and may also declare that the union is recognised.

If the Industrial Court accepts a trade union's application for statutory recognition but you and the union - 'the parties' - fail to agree on the bargaining unit, the Industrial Court panel must try to help the parties reach agreement on what the appropriate bargaining unit is.

It is important that the parties are clear as to which workers are included in the bargaining unit. This is because if - at a later stage in the process - a ballot is held, both the parties and the Industrial Court will need to know exactly which workers are entitled to receive a ballot paper.

To reach a decision on the bargaining unit, the Industrial Court may:

• itself mediate between the parties
• suggest the parties seek help from the LRA
• allow the parties - if they prefer - to conduct these negotiations between themselves directly

The Industrial Court has a period of 20 working days (the appropriate period) in which to try to help the parties reach an agreement. The period starts with the day following that on which the Industrial Court gives notice that it has accepted the trade union's application - see statutory recognition of a trade union - applying to the Industrial Court.

The Industrial Court can extend the appropriate period or bring it to an end if it believes that the parties are unlikely to reach an agreement. In addition, both parties can apply to the Industrial Court to bring the appropriate period to an early end.

Failure to agree on the appropriate bargaining unit

If the parties cannot agree on the bargaining unit or the union asks the Industrial Court to decide on the bargaining unit as set out in statutory recognition of a trade union - applying to the Industrial Court, the Industrial Court must decide within a period of ten working days whether or not the union's proposed bargaining unit is appropriate.

If the Industrial Court decides that the union's proposed bargaining unit is not appropriate, it must decide on a bargaining unit which is appropriate.

To make its decision, the Industrial Court has to consider:

• the location of workers
• the views of both parties
• existing national and local bargaining arrangements
• the preference to avoid small, fragmented bargaining units
• the characteristics of workers in the proposed bargaining unit and any other workers the Industrial Court considers relevant
• the need for the unit to be compatible with effective management - this factor takes priority over all the others

The Industrial Court may ask you and the union for your views on these issues - eg any views you may have on an alternative bargaining unit to the one proposed by the union.

If there is conflicting evidence on whether the union's proposed bargaining unit is appropriate, the Industrial Court panel is likely to call a hearing to determine the question.

Where the agreed or decided bargaining unit differs from the one initially proposed

Whether a bargaining unit is agreed between the parties or is decided by the Industrial Court, if that bargaining unit is different from the one proposed in the union's initial application for statutory recognition, the Industrial Court has to determine whether or not the new bargaining unit is 'valid'.

The bargaining unit will only be valid if:

• there is at least 10 per cent union membership in the new bargaining unit
• a majority of workers in the new bargaining unit is likely to favour recognition
• there is not a competing application including any workers covered by the new bargaining unit
• there is not an existing agreement under which a union can conduct collective bargaining on behalf of any workers in the new bargaining unit
• there has not been a previous application from the same union covering the same - or substantially the same - bargaining unit within the last three years

Following any necessary investigations, the Industrial Court panel may call a hearing to determine the validity of the revised bargaining unit. It normally has ten working days to reach its decision.

If - as a result of changes to the bargaining unit - the application does not meet the applied validity tests, the Industrial Court cannot proceed with the union's application.

However, the union can re-apply for statutory recognition of this revised bargaining unit within three years.

Industrial Court hearings

The Industrial Court will normally arrange hearings as quickly as possible in order to meet its statutory deadlines. This may mean imposing a hearing date even if it's not the most convenient date for either or both parties.

The Industrial Court expects that hearings will normally be completed in a day. The Industrial Court is based in Belfast, but it may hold hearings at other, more convenient locations. Hearings are normally informal and held in public.

Before a hearing, the chairman of the Industrial Court panel may hold a preliminary meeting in order to set out procedures and identify the issues disputed.

The Industrial Court will ask the parties to submit and exchange written evidence before the hearing.

The Industrial Court will only allow new evidence at hearings for good reasons and at the discretion of the panel. Where it is admitted, parties can request that the panel allows some additional time - such as a short adjournment - to consider the new evidence.

The Industrial Court will ask the parties to inform the panel in advance of the names of the speakers and any witnesses proposed for the hearing. The parties may appoint legal representatives but there is no obligation to do so.

Once the Industrial Court accepts an application and the bargaining unit has been agreed on or decided, the Industrial Court panel has to decide whether to call a ballot on union recognition.

Industrial Court's decision on whether or not to hold a recognition ballot

The main test is the level of union membership in the bargaining unit. If the Industrial Court panel is not satisfied that the majority of the workers in the bargaining unit belong to the union making the application, it has to call a ballot on union recognition.

If necessary, the Industrial Court panel can require:

• you to provide information concerning the workers in a bargaining unit
• the union to provide information concerning the union members in a bargaining unit

Using this information, the Industrial Court case manager will compile a report and send a copy to you, the panel and the union.

If either you or the union fail to supply the information required by the Industrial Court, the report must mention that failure and this could influence the panel's decision.

On receiving the report, the Industrial Court will then decide whether to make a declaration of recognition or hold a ballot of workers in the bargaining unit.

Generally, if the report shows that a majority of the workers in the bargaining unit are union members, the Industrial Court will make a declaration of recognition. If not, it will call a ballot.

However, the Industrial Court may still call a ballot - even if there is majority union membership - if:

• it is satisfied that holding a ballot would be in the interests of good industrial relations
• it believes it has credible evidence from a significant number of union members in the bargaining unit that they do not want the union to conduct collective bargaining on their behalf
• there is evidence relating to how workers joined the union or their length of membership that leads the Industrial Court to doubt whether a significant number of union members in the bargaining unit want the union to conduct collective bargaining on their behalf

Within ten days of the parties receiving notification of the ballot from the Industrial Court, you may - in agreement with the union - notify the Industrial Court that you no longer wish a ballot to be held.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has a discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not to attend a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within 10 working days, starting with the day after you were told of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of these requirements, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can issue a declaration of recognition.

During the balloting period, the union is entitled to access the workers belonging to the proposed bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Unfair practices can include:

• providing incentives for members to vote a certain way
• threatening disciplinary action if a certain result is not achieved

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day after it received the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and make a declaration that the union is - or is not - recognised.

These circumstances are where the Industrial Court:

• declares that an unfair practice complaint is well founded and that the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued an unfair practices remedial order and the party to whom it is issued fails to comply with it
• having issued an unfair practices remedial order to a party, makes a further declaration that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the Industrial Court can declare the union recognised. If the failing party is the union, the Industrial Court may declare the union not recognised.

Where it orders a fresh ballot - or declares that the union is recognised or not recognised - the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court informs both parties of the ballot result and its consequences.

To be recognised, the union needs the support of a majority of those voting and at least 40% of those entitled to vote.

If the union fails to get the necessary support, it must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

Once you have recognised a union, the collective bargaining process can begin and you have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

Requests for costs for recognition ballots

Following the ballot, the QIP will normally send you and the union a demand for its costs.

The demand will show the gross costs of the ballot and the share of the cost to be paid by you and the union.

Both parties must pay the QIP within 15 working days, starting with the day after they receive the demand.

If you dispute the demand, you can appeal to an industrial tribunal within four weeks, starting with the day after you receive the demand.

For your appeal to succeed, you must show that the gross costs of the ballot are too great or your share of the costs is too great.

You may seek to derecognise a trade union where you employ fewer than 21 workers - including workers with any associated employers - in any period of 13 weeks.

To do this, you must first send a notice to the union.

The notice must be copied to the Industrial Court and:

• identify the bargaining arrangements
• state the date on which the notice is given
• specify the period of 13 weeks in question
• state that you - taken with any associated employer(s) - employed an average of fewer than 21 workers in the specified 13-week period
• state that the bargaining arrangements are to cease to have effect on a specific date, which must fall after the end of a period of 35 working days, day one being the working day following that on which you give the notice

You must give the notice to the union before the end of the fifth working day, starting with the day after the last day of the specified period of 13 weeks.

The Industrial Court's decision on your notice of derecognition

When it receives your notice, the Chairman of the Industrial Court will appoint a panel of three Industrial Court members to consider whether or not it's valid.

The panel has ten working days, starting with the day after that on which the Industrial Court receives the notice, to reach a decision.

If the panel decides that your notice is not valid, it will tell you of this decision and your notice will be treated as if you had not given it. The bargaining arrangements would therefore remain in force.

If the panel decides that your notice is valid, it will tell you of this decision and the bargaining arrangements will then cease to have effect on the date specified in your notice.

The union's challenge to the validity of your notice

The union can challenge the Industrial Court's decision to accept your application for derecognition on the grounds that:

• The 13-week period specified in your notice ended before the relevant date. This is the date the three-year period, starting with the day of the Industrial Court declaration of recognition, expires.
• You - along with any associated employer(s) - did not employ an average of fewer than 21 workers in the 13-week period.

The union's application must be:

• in the proper form and supported by such documents as the Industrial Court may have specified
• copied to you, along with any supporting documents
• made within ten working days, starting with the day after that on which you gave your notice

The Industrial Court's decision on the union's application

The Industrial Court has ten working days - starting with the day after that on which the Industrial Court gave notice of acceptance of the union's application - to reach a decision.

Once you and the union have been given the opportunity to state your views, the Industrial Court will decide on the two issues of whether or not the 13-week period ended before the relevant date or whether you - along with any associated employers - did in fact employ fewer than 21 workers over the specified 13-week period.

If the Industrial Court decides that either the 13-week period ended before the relevant date or you - taken with any associated employers - employed 21 or more workers in that period, your notice shall be treated as not having been given.

If the Industrial Court decides that the 13-week period did not end before the relevant date and that you, taken with any associated employers, employed fewer than 21 workers in that period, the bargaining arrangements will cease to have effect on the 'termination date'.

The termination date will be the date that was specified in your notice to the union or the day after the last day of the Industrial Court's ten-day decision period, whichever is later.

You can - at any time - make a request to a recognised trade union to end collective bargaining arrangements on the grounds that the union no longer has the support of the bargaining unit. The union can decline the request.

However, if the union declines a request after three years of statutory recognition, you can apply to the Industrial Court to hold a secret ballot.

Similarly, where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot - but only after three years of statutory recognition.

Your request to the union for derecognition

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, the union has ten working days to respond, starting with the day after the union receives your request.

If - before the end of the ten-day period - the union agrees to end the bargaining arrangement, the matter ends there.

If the union either fails to respond to your request or - before the end of the ten-day period - tells you that it doesn't accept your request (and does not indicate a willingness to negotiate), you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

If - before the end of the ten-day period - the union tells you that it doesn't accept your request but is willing to negotiate, you and the union (the parties) have 20 working days - starting with the working day immediately following the end of the ten-day period - to negotiate with a view to agreeing to end the bargaining arrangements.

During this 20-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

Your application to the Industrial Court

If the parties fail to reach an agreement, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not the bargaining arrangements should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after that on which it receives your application, the Industrial Court normally has ten working days in which to decide whether or not:

• your request to the union is valid
• you negotiated properly with the union if you were required to do so
• your application to the Industrial Court is admissible

If the Industrial Court decides that you have failed to meet any or all of these requirements, it will not accept the application and the issue ends there.

If the Industrial Court decides that you have met all of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

A worker's application to the Industrial Court

Where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot to determine whether or not collective bargaining arrangements should end.

A worker can only make such an application after three years of statutory recognition. However, unlike employers, they do not need to first make a request to the union (or even the employer) to end bargaining arrangements.

The Industrial Court will only accept the worker's ballot application if:

• it is made in the proper form
• they have copied the application and any supporting documents to both you and the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following the worker's application

Starting with the day after that on which it receives the worker's application, the Industrial Court normally has ten working days in which to decide whether or not the worker's application to the Industrial Court is admissible.

If the Industrial Court decides that the worker's application is not admissible, it won't accept the application and the issue ends there.

If the Industrial Court decides that the worker's application is admissible, it will accept the application. The Industrial Court will then give notice of this acceptance decision to you, the worker and the union.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

The consequences of the Industrial Court accepting the worker's application

Where the Industrial Court accepts a worker's application, it normally has 20 working days - starting with the day after the Industrial Court gives notice that it has accepted the application - to help you, the union and the worker negotiate with a view to either agreeing that the worker will withdraw the application, or reaching an agreement that the parties will end the bargaining arrangements.

If - in the 20-day period - the parties agree to end the bargaining arrangements or the worker agrees to withdraw the application, the Industrial Court will cease its considerations.

If the parties fail to reach an agreement in the 20-day period, the Industrial Court must arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Sometimes, a trade union obtains statutory recognition without a ballot because more than 50% of the bargaining unit were union members.

If you recognised a union under these circumstances but you believe that union membership in the bargaining unit has since fallen to below 50%, you can - after at least three years of recognition - apply to the Industrial Court to hold a secret ballot to decide whether recognition should end.

Your request to the union

Before applying to the Industrial Court, you must make a request to the union, asking it to voluntarily end collective bargaining arrangements.

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that fewer than half the workers in the bargaining unit are members of the union
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, you and the union - 'the parties' - have ten working days, starting with the day after the union receives your request, to agree to end the bargaining arrangements.

During this ten-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

If - before the end of this period - the parties agree to end the bargaining arrangements, the matter ends there.

Your application to the Industrial Court

If the parties fail to agree to end the bargaining arrangements before the end of the ten-day period, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• fewer than half the workers in the bargaining unit are members of the union
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after it receives your application, the Industrial Court normally has ten working days to decide whether or not your request to the union is valid or your application to the Industrial Court is admissible.

If the Industrial Court decides that you have failed to meet either or both of these requirements, it will not accept your application, and the issue ends there.

If the Industrial Court decides that you have met both of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Workers may use the statutory procedure to seek to derecognise a non-independent trade union that their employer has voluntarily recognised.

The reason for derecognition must be that the majority of workers in the bargaining unit do not support the recognition arrangements.

In this case, a worker - or workers - from the bargaining unit can apply to the Industrial Court for derecognition.

The Industrial Court will only accept the application if it believes that:

• the union is not independent - ie it does not have a certificate of independence from the Certification Officer
• at least 10% of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition

If the Industrial Court accepts the application, it will try to help the employer, worker(s) and union to reach an agreement on derecognition.

If an agreement is not reached, the Industrial Court will arrange a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Following a request for statutory derecognition, the Industrial Court may call for a secret ballot to determine whether or not collective bargaining arrangements should end.

Once the Industrial Court has told you and the union - 'the parties' - in writing that there will be a ballot, the parties should negotiate and agree access arrangements for the union during the ballot period and send a copy of the access agreements to the Industrial Court case manager.

Where necessary, the Industrial Court may arrange a hearing on access so that it can determine an access arrangement.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not attending a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within ten working days, starting with the day after you were informed of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of the duties above, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can refuse your application for derecognition.

During the balloting period, the union is entitled to access the workers belonging to the bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Examples of unfair practices include offering money to a worker to vote in a particular way and dismissing - or threatening to dismiss or take disciplinary action against - a worker for voting in the ballot.

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day following receipt of the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, and/or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and:

• if the party concerned is you, refuse your application for derecognition
• if the party concerned is the union, issue a declaration that collective bargaining is to end

These circumstances are where the Industrial Court:

• declares that both an unfair practice complaint is well founded and the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued to a party an unfair practices remedial order but the party fails to comply with it
• having issued an unfair practices remedial order to a party, declares that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the applicant worker and/or the union may enforce obedience to the law.

Where it orders a fresh ballot, refuses your application or declares an unfair practice complaint as well founded, the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to the usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court will inform the parties of the ballot result and its consequences.

In order for collective bargaining arrangements to end as the result of a ballot, a majority of those voting, and at least 40 per cent of the workers in the bargaining unit, must vote in favour of ending those arrangements.

If you fail to get the necessary support, you must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

If the union is derecognised as a result of the ballot, the Industrial Court will declare that the bargaining arrangements are to cease to have effect on a specified date.

The Industrial Court cannot accept any applications for statutory recognition from the union in respect of that bargaining unit - or one substantially the same - if the union makes the application within three years of the day after that on which the Industrial Court issued its declaration.

A trade union is said to be recognised once an employer has agreed to negotiate with it on pay and working conditions on behalf of a particular group of workers.

The subsequent negotiation process is known as collective bargaining, with the group of workers the union represents referred to as the bargaining unit.

If an employer agrees to recognise a trade union the employer has certain legal obligations towards the union and its members - see the consequences of trade union recognition.

Voluntary trade union recognition

The most common way a union can gain recognition for collective bargaining purposes is by the employer simply agreeing to recognise it voluntarily.

In practice this means the union becomes recognised by the employer without using any legal procedures. See voluntary recognition of a trade union.

Statutory trade union recognition

If an employer and trade union find they are unable to come to a voluntary recognition agreement, a trade union can make an application for statutory recognition. This only applies where the employer, together with any associated employers, employs 21 or more workers.

See statutory recognition of a trade union - starting the procedure.

Note that there can be voluntary agreements even after the union has triggered the statutory process - see voluntary recognition within the statutory procedure.

As an employer, there is nothing to stop you from voluntarily agreeing to recognise one or more trade unions.

Most union recognition arrangements are established in this way. Such voluntary recognition provides maximum flexibility to the parties and avoids them having to use the alternative - potentially complex - statutory recognition procedures.

Once an employer recognises a union for the first time, the two parties will usually draw up an agreement which specifies how the recognition arrangement, and its associated bargaining processes, will work.

Formal written agreements of this kind - known as 'procedural' agreements - prevent misunderstanding and achieve continuity and consistency. As relationships develop, the parties may periodically wish to revise and update their procedural agreements. The Labour Relations Agency (LRA) can facilitate meetings to assist the parties in drafting procedural and recognition agreements.

The LRA can also provide impartial information on bargaining agreements. See LRA guidance on collective bargaining.

If you voluntarily recognise a union, you will have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

If you find you are unable to come to a voluntary recognition agreement with the trade union, it can make an application for statutory recognition. This only applies where you - together with any associated employers - employ 21 or more workers.

The union's request must:

• clearly identify the union and the bargaining unit
• state that the request is made under the Employment Relations (NI) Order 1999

You have ten working days to respond, starting with the first working day after the day you receive the request.

If you agree to the request, you have formally recognised the trade union for collective bargaining purposes.

If you reject the request or fail to respond in time, the union can apply to the Industrial Court for statutory recognition - see statutory recognition of a trade union - applying to the Industrial Court.

Negotiations with the union following its request

If you tell the union that you don't accept the request but are willing to negotiate, you have 20 working days to agree on the appropriate bargaining unit and to agree on recognition. The Labour Relations Agency (LRA) may also be of assistance.

The 20-day period starts on the day after the first ten-day period ends. You can agree with the union to extend the 20-day period.

If you fail to reach an agreement at the end of that period - or you agree on a bargaining unit but don't agree to recognise the union - the union can apply to the Industrial Court.

If - following negotiations between you and the union - the union's proposed bargaining unit is modified but you fail to agree on the bargaining unit, the union must make a new request to you that complies in full with the statutory requirements before it can make an application to the Industrial Court.

You can reach a voluntary agreement with the union even after the statutory process has started - see voluntary recognition within the statutory procedure.

If you reach an agreement, the statutory procedure ends.

Approaching LRA for help

You or the union can approach the LRA for help at any time. The LRA can provide its conciliation services to assist the parties in reaching agreement.

If you propose to the union that the LRA helps but the union fails to respond within ten working days or rejects your proposal, the union cannot make any application to the Industrial Court. The ten-day period starts on the day after that on which you made your proposal.

You have to make this proposal within ten working days of informing the union that you are willing to negotiate. This period starts on the day after you so inform the union.

There are a number of consequences once a trade union becomes recognised.

Many apply regardless of whether recognition was voluntary, semi-voluntary or statutory. However, some are only relevant where a union uses the statutory procedure.

Making arrangements for the conduct of collective bargaining

Once a union has achieved recognition, either via a voluntary or the statutory procedure, you and the union - 'the parties' - need to agree how you will conduct collective bargaining.

Such an agreement could cover the following issues:

• bargaining procedure
• how and when meetings will be arranged
• who the employer and union representatives are
• time off for union representatives to attend meetings
• how agreements and disagreements will be communicated to the workforce
• conduct during negotiations - how and when issues can be raised
• the specific matters which will be subject to joint agreement, eg pay and working hours
• dispute resolution - what should happen if deadlock is reached on a particular issue, eg conciliation and arbitration
• union recruitment activities in the workplace
• union representation of workers at disciplinary and grievance hearings
• deduction of union contributions from employees' wages

Deciding what a collective agreement will cover

Collective agreements usually cover pay arrangements and other terms and conditions of employment. They might also cover such matters as:

• matters of discipline
• trade union membership or non-membership
• facilities for officials of trade unions

The procedural agreement should set out the level at which negotiations will take place, eg site, company, regional or national level.

It should also specify the bargaining methods where two or more unions are recognised, eg whether unions should bargain separately or as a single bargaining unit.

The parties usually need training on aspects of employment relations and the bargaining process. Some trade unions and independent organisations provide accredited courses.

Usually, collective agreements are not in themselves legally enforceable. However, parts of collective agreements such as pay rates, or references to agreements, may be inserted and thus legally incorporated into the employment contracts of individual employees. Because individual employment contracts are legally enforceable, many collective agreements are indirectly underpinned by law.

Legal consequences of statutory trade union recognition

Once the Industrial Court declares that a union is recognised, the union is entitled to conduct collective bargaining with you on pay, hours and holidays - although the parties can agree to cover additional issues.

The parties must first agree on how they will conduct collective bargaining, calling on the services of the Labour Relations Agency (LRA) if necessary.

If no agreement is reached within 30 working days, either party has the right to apply to the Industrial Court for assistance.

The Industrial Court has 20 working days from the application date to help achieve an agreement. If no agreement is reached, the Industrial Court will impose a legally binding method of bargaining.

However, the imposed method of collective bargaining can be modified by the parties, providing they both agree.

If the imposed method is not followed, either party can apply to a court to order the other party to act in accordance with the prescribed method.

If this order is ignored by the relevant party, that party will be in contempt of court, and may face a fine or imprisonment.

Where the Industrial Court has imposed a method for carrying out collective bargaining, the union has the right to be consulted by you on your policies and plans for training workers in the bargaining unit at least once every six months.

If you fail to meet these consultation obligations, the union has three months to make a complaint to an industrial tribunal. If the tribunal finds the complaint well founded, it may award up to two weeks' pay to each affected worker.

Note that there is a statutory limit on a week's pay. See a table of current tribunal and arbitration compensation limits.

Disclosing information to trade unions

You have a duty to disclose - if requested - relevant information to a recognised trade union during the collective bargaining process.

The LRA has a code of practice on disclosure of information to trade unions for collective bargaining purposes. The code imposes no legal obligations on you to disclose any specific item of information and failure to observe the code does not by itself mean you would be liable to legal proceedings.

However, the law requires any relevant provisions to be taken into account in proceedings before the Industrial Court.

Read Labour Relations Agency guidance on disclosure of information to trade unions for collective bargaining purposes.

General legal consequences of trade union recognition

Once a union becomes recognised, you have a legal duty to:

• allow lay union representatives to take reasonable time off with pay to perform their duties
• allow members covered by the recognition arrangements the right to reasonable unpaid time off to carry out trade union activities
• allow union learning representatives time off with pay to carry out their duties

For more on time-off rights for union representatives and members, see trade union membership rights.

You also have a legal duty to:

• inform and consult the union during collective redundancy situations and business transfers - see redundancy: the options and responsibilities to employees if you buy or sell a business
• inform and consult the union on certain changes to your occupational pension scheme - if you operate one - or employees' personal pension schemes if you contribute to them - see keeping employees informed
• allow the union to appoint health and safety representatives, with whom it has to consult on workplace health and safety issues - see how to consult your employees on health and safety

All these obligations apply regardless of whether the recognition was via the statutory or voluntary route.

If, during the statutory trade union recognition procedure, you voluntarily agree to recognise a union, it may withdraw its request for statutory recognition.

Alternatively, if the union had made an application to the Industrial Court, you and the union - 'the parties' - may have jointly asked the Industrial Court to take no further action.

However, this must happen before the Industrial Court either makes a declaration that the union is entitled to recognition without a ballot, or arranges a recognition ballot. See statutory recognition of a trade union - starting the procedure.

This type of agreement is known as an agreement for recognition or a semi-voluntary agreement. It is not the same as a voluntary agreement made outside the statutory procedure.

Once an agreement for recognition has been reached, the parties must enter into negotiations on collective bargaining arrangements.

If they can't agree on an appropriate method, either party may apply to the Industrial Court for help. The Industrial Court can assist if it is satisfied that there is an 'agreement for recognition' as defined in the legislation.

If the parties still fail to reach agreement, the Industrial Court will impose a method for collective bargaining.

Duration of recognition

Once you have agreed to recognise a trade union for collective bargaining purposes, the union may terminate the agreement at any time, unless you have previously agreed with the union to the contrary.

You may not terminate the agreement for a period of three years unless you have agreed with the union to the contrary.

For the circumstances under which a union may become derecognised, see statutory derecognition of a trade union - an introduction.

If the agreement becomes difficult to maintain, either party can apply to the LRA to help it resolve the difficulties.

If a union achieved recognition via the statutory procedure, certain procedures have to be followed for it to be derecognised.

However, you can only seek statutory derecognition three or more years after recognition was originally granted.

There are three main grounds for derecognition:

1. you - taken with any associated employers - no longer employ 21 or more workers
2. application by the employer or by a worker or workers where it is believed that there is no longer majority support for bargaining arrangements
3. union membership in the bargaining unit falls below 50 per cent

In situations where grounds 2 or 3 apply and an application for derecognition is accepted by the Industrial Court, the Industrial Court could declare that a derecognition ballot be held.

A situation may arise when a union or employer feels that the bargaining unit - the group of workers the union represents - is no longer appropriate or has ceased to exist. Either party may apply to the Industrial Court to determine what bargaining unit is appropriate.

In order for the Industrial Court to reach its decision, the bargaining unit must have changed because of one or more of the following:

• the business' activities
• the organisation or structure of the business
• the number of workers in the bargaining unit

Industrial Court guidance on trade union recognition.

Workers have certain rights relating to their involvement in recognition and derecognition procedures.

Protection from detrimental treatment and unfair dismissal

An employer must not subject a worker to a detriment on grounds related to the process of union recognition or derecognition, eg for taking part in a recognition ballot or for campaigning for recognition.

Detriment is broadly defined but essentially means that the worker should not suffer disadvantage on account of any act or omission by you. This could include:

• suspending the worker
• cutting their pay
• moving them to new duties
• failing to give them a pay rise

For a worker who isn't an employee, their dismissal may also count as a detriment. Only employees can claim unfair dismissal.

If any of the above occurs, a worker could bring a claim before an industrial tribunal. If the tribunal finds that you acted unlawfully, it may award compensation.

If an employee is dismissed or selected for redundancy on grounds relating to union recognition or derecognition, they may be able to make a claim for unfair dismissal to the tribunal.

Rights regarding inducements to disapply collective agreements

Many members of trade unions have their pay and other terms and conditions of employment set by a collective agreement negotiated by their union and their employer.

These members have rights to ensure that the employer does not interfere between the union member and their union in certain matters related to collective bargaining.

An employee or other worker who is a member of an independent trade union which is recognised by - or seeking recognition from - their employer for collective bargaining purposes has the right not to have certain offers made to them by their employer.

This is in circumstances where the employer's sole or main purpose is to achieve the result that, if the offer and like offers to other workers are accepted, all or any of those workers' terms and conditions will no longer be determined by a collective agreement negotiated by or on behalf of the trade union.

In addition, an employee has the right not to be dismissed, or selected for redundancy, by their employer on the grounds that they did not accept any such offer.

An employee or other worker has the right not to be subjected to a detriment for failing to accept any such offer.

Right of complaint to an industrial tribunal

Individuals who think that any of their rights as set out above have been infringed can complain to an industrial tribunal.

If an employee has been dismissed - including cases where they have been dismissed on grounds of redundancy - their complaint is one of unfair dismissal.

If an employee or other worker considers that they have been subjected to a detriment by their employer, their complaint is one of detriment.

If an employee or other worker considers that you have made an unlawful inducement as described above, their complaint is one of unlawful inducement.

Compensation

There are certain limits on the compensatory awards for the claims in relation to dismissal, detriment and unlawful inducements. See a table of current tribunal and arbitration compensation limits.

Note that in cases where an employee or other worker makes a related complaint to the tribunal concerning detriment, and the tribunal upholds that complaint, the tribunal may award compensation for the detriment suffered.

In deciding the amount of such compensation, the tribunal will not take into account the fact that:

• a complainant contributed to their loss by accepting or not accepting an unlawful inducement
• the complainant has received or is entitled to an award on the grounds that an unlawful inducement has been made to them

Status of contractual changes resulting from unlawful inducements

If an unlawful inducement has been accepted by an employee or other worker, but any consequent agreement by them to vary their terms and conditions has not yet been effected, the agreement to vary the terms and conditions is not enforceable.

Also, in such circumstances, the employer cannot recover any cash paid or other benefits conferred on the employer or worker concerned.

However, in cases where the agreed variation in terms and conditions have been effected, those variations are enforceable.

A union can apply to the Industrial Court if it sends you a request for statutory recognition but you either reject the request, or following negotiations between you and the union - 'the parties' - you fail to agree on the bargaining unit.

Industrial Court panels

A panel of three Industrial Court members will be convened to deal with each application. The panel will consist of:

• the Industrial Court Chairman or Deputy Chairman
• one member with experience as a representative of employers
• one member with experience as a representative of workers

The individuals making up the panel could change if one becomes unavailable.

An Industrial Court official will be appointed to act as case manager for the application. They act as the main point of contact between you, the panel and the union.

Admissibility tests for union applications to the Industrial Court

In order for the Industrial Court to accept an application for recognition from a trade union, it must be:

• on the proper Industrial Court application form
• copied and sent to you, together with any supporting documents

The following conditions must also apply:

• The union must have a certificate of independence from the Certification Office.
• As the employer, you - together with any associated employer(s) - must employ at least 21 workers. Part-time workers count as whole numbers.
• There must not be a competing application relating to the same or overlapping bargaining units.
• There must not be an existing recognition agreement under which a union is entitled to conduct collective bargaining on behalf of any workers in the proposed bargaining unit.
• At least 10% of the workers in the proposed bargaining unit must belong to the union making the application.
• The majority of workers must be likely to favour recognition. Evidence of this could be a petition from workers.
• If the application is made by more than one union, the unions concerned must show that they will co-operate with each other to achieve stable collective bargaining arrangements.
• There must not have been a previous application from the same union covering the same - or substantially the same - bargaining unit accepted by the Industrial Court within the last three years.

On receiving an application, the Industrial Court will send you:

• notification that it has received the application
• a questionnaire for you to fill in to give it information relating to the admissibility criteria

The Industrial Court has ten working days to decide whether or not to accept the application.

Industrial Court acceptance of the union's application

If the Industrial Court accepts a trade union's application for statutory recognition, the parties have 20 days - which may be extended or reduced if the Industrial Court decides there is no reasonable chance of agreement between the parties - to agree on the appropriate bargaining unit.

In these circumstances, you must provide the following information to both the Industrial Court and the union within five working days, starting with the day after that on which you received notice of the acceptance:

• A list of the categories of worker in the proposed bargaining unit.
• The number of workers you reasonably believe are in each of the categories at each of the workplaces.
• A list of the workplaces at which they work. A workplace is the set of premises a person works at/from, or - where there are no such premises - the premises with which the worker's employment has the closest connection.

The information you give to the union and the Industrial Court must be the same and as accurate as is reasonably practicable in light of the information you have at the time.

If you fail to supply the required information - or fail to provide it in accordance with the statutory criteria - the union can request that the Industrial Court itself decides the bargaining unit.

If the Industrial Court agrees that you have failed to comply with this duty, it will decide the bargaining unit - usually within ten working days starting with the day after that on which the union made the request.

Union communications with workers following the Industrial Court's acceptance of the application

Where the Industrial Court accepts an application, the union may want to communicate with workers who are in the proposed or agreed bargaining unit.

To do so, the union must apply in writing to the Industrial Court asking it to appoint a suitable independent person (SIP) to handle these communications.

The Industrial Court will appoint the SIP as soon as possible after the union's request and will then notify the name, and appointment date, of the appointed person to the parties.

Once the Industrial Court appoints a SIP, you must - as soon as reasonably practicable - provide certain information to the Industrial Court that will enable the SIP to fulfil their role.

This information is as follows:

• The names and home addresses of the 'relevant workers'. You must do this within ten working days, starting with the day after that on which you are informed of the name and date of appointment of the SIP. Relevant workers are either those falling within the proposed bargaining unit or - if a bargaining unit has already been agreed by the parties or decided by the Industrial Court - those within that bargaining unit.
• If you have given the Industrial Court the names of workers in the proposed bargaining unit and then either you and the union agree on a different bargaining unit or the Industrial Court decides the bargaining unit, you must give the Industrial Court the names and home addresses of those who are now the 'relevant workers', ie those workers who fall within the different bargaining unit. You must do this within ten working days, starting with the day after that on which you and the union agree on the bargaining unit or the Industrial Court informs you of its decision on the bargaining unit.
• The name and home address of any worker who subsequently joins the bargaining unit after you supply the initial list.
• The details of any worker who ceases to be a 'relevant worker' because they have left the bargaining unit - except where a new complete list is supplied because the definition of the bargaining unit changes.

If you fail to comply with these duties, the Industrial Court may order you to remedy the failure within a set timescale.

If you fail to comply with the order, the Industrial Court may issue a notice to you and the union confirming that you have failed to comply with the order and may also declare that the union is recognised.

If the Industrial Court accepts a trade union's application for statutory recognition but you and the union - 'the parties' - fail to agree on the bargaining unit, the Industrial Court panel must try to help the parties reach agreement on what the appropriate bargaining unit is.

It is important that the parties are clear as to which workers are included in the bargaining unit. This is because if - at a later stage in the process - a ballot is held, both the parties and the Industrial Court will need to know exactly which workers are entitled to receive a ballot paper.

To reach a decision on the bargaining unit, the Industrial Court may:

• itself mediate between the parties
• suggest the parties seek help from the LRA
• allow the parties - if they prefer - to conduct these negotiations between themselves directly

The Industrial Court has a period of 20 working days (the appropriate period) in which to try to help the parties reach an agreement. The period starts with the day following that on which the Industrial Court gives notice that it has accepted the trade union's application - see statutory recognition of a trade union - applying to the Industrial Court.

The Industrial Court can extend the appropriate period or bring it to an end if it believes that the parties are unlikely to reach an agreement. In addition, both parties can apply to the Industrial Court to bring the appropriate period to an early end.

Failure to agree on the appropriate bargaining unit

If the parties cannot agree on the bargaining unit or the union asks the Industrial Court to decide on the bargaining unit as set out in statutory recognition of a trade union - applying to the Industrial Court, the Industrial Court must decide within a period of ten working days whether or not the union's proposed bargaining unit is appropriate.

If the Industrial Court decides that the union's proposed bargaining unit is not appropriate, it must decide on a bargaining unit which is appropriate.

To make its decision, the Industrial Court has to consider:

• the location of workers
• the views of both parties
• existing national and local bargaining arrangements
• the preference to avoid small, fragmented bargaining units
• the characteristics of workers in the proposed bargaining unit and any other workers the Industrial Court considers relevant
• the need for the unit to be compatible with effective management - this factor takes priority over all the others

The Industrial Court may ask you and the union for your views on these issues - eg any views you may have on an alternative bargaining unit to the one proposed by the union.

If there is conflicting evidence on whether the union's proposed bargaining unit is appropriate, the Industrial Court panel is likely to call a hearing to determine the question.

Where the agreed or decided bargaining unit differs from the one initially proposed

Whether a bargaining unit is agreed between the parties or is decided by the Industrial Court, if that bargaining unit is different from the one proposed in the union's initial application for statutory recognition, the Industrial Court has to determine whether or not the new bargaining unit is 'valid'.

The bargaining unit will only be valid if:

• there is at least 10 per cent union membership in the new bargaining unit
• a majority of workers in the new bargaining unit is likely to favour recognition
• there is not a competing application including any workers covered by the new bargaining unit
• there is not an existing agreement under which a union can conduct collective bargaining on behalf of any workers in the new bargaining unit
• there has not been a previous application from the same union covering the same - or substantially the same - bargaining unit within the last three years

Following any necessary investigations, the Industrial Court panel may call a hearing to determine the validity of the revised bargaining unit. It normally has ten working days to reach its decision.

If - as a result of changes to the bargaining unit - the application does not meet the applied validity tests, the Industrial Court cannot proceed with the union's application.

However, the union can re-apply for statutory recognition of this revised bargaining unit within three years.

Industrial Court hearings

The Industrial Court will normally arrange hearings as quickly as possible in order to meet its statutory deadlines. This may mean imposing a hearing date even if it's not the most convenient date for either or both parties.

The Industrial Court expects that hearings will normally be completed in a day. The Industrial Court is based in Belfast, but it may hold hearings at other, more convenient locations. Hearings are normally informal and held in public.

Before a hearing, the chairman of the Industrial Court panel may hold a preliminary meeting in order to set out procedures and identify the issues disputed.

The Industrial Court will ask the parties to submit and exchange written evidence before the hearing.

The Industrial Court will only allow new evidence at hearings for good reasons and at the discretion of the panel. Where it is admitted, parties can request that the panel allows some additional time - such as a short adjournment - to consider the new evidence.

The Industrial Court will ask the parties to inform the panel in advance of the names of the speakers and any witnesses proposed for the hearing. The parties may appoint legal representatives but there is no obligation to do so.

Once the Industrial Court accepts an application and the bargaining unit has been agreed on or decided, the Industrial Court panel has to decide whether to call a ballot on union recognition.

Industrial Court's decision on whether or not to hold a recognition ballot

The main test is the level of union membership in the bargaining unit. If the Industrial Court panel is not satisfied that the majority of the workers in the bargaining unit belong to the union making the application, it has to call a ballot on union recognition.

If necessary, the Industrial Court panel can require:

• you to provide information concerning the workers in a bargaining unit
• the union to provide information concerning the union members in a bargaining unit

Using this information, the Industrial Court case manager will compile a report and send a copy to you, the panel and the union.

If either you or the union fail to supply the information required by the Industrial Court, the report must mention that failure and this could influence the panel's decision.

On receiving the report, the Industrial Court will then decide whether to make a declaration of recognition or hold a ballot of workers in the bargaining unit.

Generally, if the report shows that a majority of the workers in the bargaining unit are union members, the Industrial Court will make a declaration of recognition. If not, it will call a ballot.

However, the Industrial Court may still call a ballot - even if there is majority union membership - if:

• it is satisfied that holding a ballot would be in the interests of good industrial relations
• it believes it has credible evidence from a significant number of union members in the bargaining unit that they do not want the union to conduct collective bargaining on their behalf
• there is evidence relating to how workers joined the union or their length of membership that leads the Industrial Court to doubt whether a significant number of union members in the bargaining unit want the union to conduct collective bargaining on their behalf

Within ten days of the parties receiving notification of the ballot from the Industrial Court, you may - in agreement with the union - notify the Industrial Court that you no longer wish a ballot to be held.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has a discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not to attend a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within 10 working days, starting with the day after you were told of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of these requirements, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can issue a declaration of recognition.

During the balloting period, the union is entitled to access the workers belonging to the proposed bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Unfair practices can include:

• providing incentives for members to vote a certain way
• threatening disciplinary action if a certain result is not achieved

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day after it received the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and make a declaration that the union is - or is not - recognised.

These circumstances are where the Industrial Court:

• declares that an unfair practice complaint is well founded and that the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued an unfair practices remedial order and the party to whom it is issued fails to comply with it
• having issued an unfair practices remedial order to a party, makes a further declaration that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the Industrial Court can declare the union recognised. If the failing party is the union, the Industrial Court may declare the union not recognised.

Where it orders a fresh ballot - or declares that the union is recognised or not recognised - the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court informs both parties of the ballot result and its consequences.

To be recognised, the union needs the support of a majority of those voting and at least 40% of those entitled to vote.

If the union fails to get the necessary support, it must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

Once you have recognised a union, the collective bargaining process can begin and you have certain legal obligations towards the union and its members. See the consequences of trade union recognition.

Requests for costs for recognition ballots

Following the ballot, the QIP will normally send you and the union a demand for its costs.

The demand will show the gross costs of the ballot and the share of the cost to be paid by you and the union.

Both parties must pay the QIP within 15 working days, starting with the day after they receive the demand.

If you dispute the demand, you can appeal to an industrial tribunal within four weeks, starting with the day after you receive the demand.

For your appeal to succeed, you must show that the gross costs of the ballot are too great or your share of the costs is too great.

You may seek to derecognise a trade union where you employ fewer than 21 workers - including workers with any associated employers - in any period of 13 weeks.

To do this, you must first send a notice to the union.

The notice must be copied to the Industrial Court and:

• identify the bargaining arrangements
• state the date on which the notice is given
• specify the period of 13 weeks in question
• state that you - taken with any associated employer(s) - employed an average of fewer than 21 workers in the specified 13-week period
• state that the bargaining arrangements are to cease to have effect on a specific date, which must fall after the end of a period of 35 working days, day one being the working day following that on which you give the notice

You must give the notice to the union before the end of the fifth working day, starting with the day after the last day of the specified period of 13 weeks.

The Industrial Court's decision on your notice of derecognition

When it receives your notice, the Chairman of the Industrial Court will appoint a panel of three Industrial Court members to consider whether or not it's valid.

The panel has ten working days, starting with the day after that on which the Industrial Court receives the notice, to reach a decision.

If the panel decides that your notice is not valid, it will tell you of this decision and your notice will be treated as if you had not given it. The bargaining arrangements would therefore remain in force.

If the panel decides that your notice is valid, it will tell you of this decision and the bargaining arrangements will then cease to have effect on the date specified in your notice.

The union's challenge to the validity of your notice

The union can challenge the Industrial Court's decision to accept your application for derecognition on the grounds that:

• The 13-week period specified in your notice ended before the relevant date. This is the date the three-year period, starting with the day of the Industrial Court declaration of recognition, expires.
• You - along with any associated employer(s) - did not employ an average of fewer than 21 workers in the 13-week period.

The union's application must be:

• in the proper form and supported by such documents as the Industrial Court may have specified
• copied to you, along with any supporting documents
• made within ten working days, starting with the day after that on which you gave your notice

The Industrial Court's decision on the union's application

The Industrial Court has ten working days - starting with the day after that on which the Industrial Court gave notice of acceptance of the union's application - to reach a decision.

Once you and the union have been given the opportunity to state your views, the Industrial Court will decide on the two issues of whether or not the 13-week period ended before the relevant date or whether you - along with any associated employers - did in fact employ fewer than 21 workers over the specified 13-week period.

If the Industrial Court decides that either the 13-week period ended before the relevant date or you - taken with any associated employers - employed 21 or more workers in that period, your notice shall be treated as not having been given.

If the Industrial Court decides that the 13-week period did not end before the relevant date and that you, taken with any associated employers, employed fewer than 21 workers in that period, the bargaining arrangements will cease to have effect on the 'termination date'.

The termination date will be the date that was specified in your notice to the union or the day after the last day of the Industrial Court's ten-day decision period, whichever is later.

You can - at any time - make a request to a recognised trade union to end collective bargaining arrangements on the grounds that the union no longer has the support of the bargaining unit. The union can decline the request.

However, if the union declines a request after three years of statutory recognition, you can apply to the Industrial Court to hold a secret ballot.

Similarly, where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot - but only after three years of statutory recognition.

Your request to the union for derecognition

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, the union has ten working days to respond, starting with the day after the union receives your request.

If - before the end of the ten-day period - the union agrees to end the bargaining arrangement, the matter ends there.

If the union either fails to respond to your request or - before the end of the ten-day period - tells you that it doesn't accept your request (and does not indicate a willingness to negotiate), you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

If - before the end of the ten-day period - the union tells you that it doesn't accept your request but is willing to negotiate, you and the union (the parties) have 20 working days - starting with the working day immediately following the end of the ten-day period - to negotiate with a view to agreeing to end the bargaining arrangements.

During this 20-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

Your application to the Industrial Court

If the parties fail to reach an agreement, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not the bargaining arrangements should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after that on which it receives your application, the Industrial Court normally has ten working days in which to decide whether or not:

• your request to the union is valid
• you negotiated properly with the union if you were required to do so
• your application to the Industrial Court is admissible

If the Industrial Court decides that you have failed to meet any or all of these requirements, it will not accept the application and the issue ends there.

If the Industrial Court decides that you have met all of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

A worker's application to the Industrial Court

Where a worker believes that their union no longer has the support of the bargaining unit, they can apply to the Industrial Court to hold a secret ballot to determine whether or not collective bargaining arrangements should end.

A worker can only make such an application after three years of statutory recognition. However, unlike employers, they do not need to first make a request to the union (or even the employer) to end bargaining arrangements.

The Industrial Court will only accept the worker's ballot application if:

• it is made in the proper form
• they have copied the application and any supporting documents to both you and the union
• at least 10 per cent of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following the worker's application

Starting with the day after that on which it receives the worker's application, the Industrial Court normally has ten working days in which to decide whether or not the worker's application to the Industrial Court is admissible.

If the Industrial Court decides that the worker's application is not admissible, it won't accept the application and the issue ends there.

If the Industrial Court decides that the worker's application is admissible, it will accept the application. The Industrial Court will then give notice of this acceptance decision to you, the worker and the union.

In reaching its decision, the Industrial Court panel may, where it considers it appropriate, convene a hearing. The parties will be invited to attend and present evidence to the panel.

The consequences of the Industrial Court accepting the worker's application

Where the Industrial Court accepts a worker's application, it normally has 20 working days - starting with the day after the Industrial Court gives notice that it has accepted the application - to help you, the union and the worker negotiate with a view to either agreeing that the worker will withdraw the application, or reaching an agreement that the parties will end the bargaining arrangements.

If - in the 20-day period - the parties agree to end the bargaining arrangements or the worker agrees to withdraw the application, the Industrial Court will cease its considerations.

If the parties fail to reach an agreement in the 20-day period, the Industrial Court must arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Sometimes, a trade union obtains statutory recognition without a ballot because more than 50% of the bargaining unit were union members.

If you recognised a union under these circumstances but you believe that union membership in the bargaining unit has since fallen to below 50%, you can - after at least three years of recognition - apply to the Industrial Court to hold a secret ballot to decide whether recognition should end.

Your request to the union

Before applying to the Industrial Court, you must make a request to the union, asking it to voluntarily end collective bargaining arrangements.

To be valid, your request must:

• be in writing
• be received by the union
• identify the bargaining arrangements
• state that fewer than half the workers in the bargaining unit are members of the union
• state that the request is made under Schedule 1A of the Trade Union and Labour Relations (Northern Ireland) Order 1995

Once the union receives your request, you and the union - 'the parties' - have ten working days, starting with the day after the union receives your request, to agree to end the bargaining arrangements.

During this ten-day period, the parties may request the assistance of the LRA in their negotiations. The parties can agree to extend this period as required.

If - before the end of this period - the parties agree to end the bargaining arrangements, the matter ends there.

Your application to the Industrial Court

If the parties fail to agree to end the bargaining arrangements before the end of the ten-day period, you may apply to the Industrial Court for the holding of a secret ballot to decide whether or not collective bargaining should end.

The Industrial Court will only accept your ballot application if:

• it is made in the proper form
• you have copied the application and any supporting documents to the union
• fewer than half the workers in the bargaining unit are members of the union
• there hasn't been a previous application for an end to the bargaining arrangements in the last three years

The Industrial Court's decision following your application

Starting with the day after it receives your application, the Industrial Court normally has ten working days to decide whether or not your request to the union is valid or your application to the Industrial Court is admissible.

If the Industrial Court decides that you have failed to meet either or both of these requirements, it will not accept your application, and the issue ends there.

If the Industrial Court decides that you have met both of these requirements, it will accept your application and arrange for the holding of a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Workers may use the statutory procedure to seek to derecognise a non-independent trade union that their employer has voluntarily recognised.

The reason for derecognition must be that the majority of workers in the bargaining unit do not support the recognition arrangements.

In this case, a worker - or workers - from the bargaining unit can apply to the Industrial Court for derecognition.

The Industrial Court will only accept the application if it believes that:

• the union is not independent - ie it does not have a certificate of independence from the Certification Officer
• at least 10% of the workers in the bargaining unit favour derecognition
• a majority of the workers in the bargaining unit are likely to favour derecognition

If the Industrial Court accepts the application, it will try to help the employer, worker(s) and union to reach an agreement on derecognition.

If an agreement is not reached, the Industrial Court will arrange a secret ballot - see statutory derecognition of a trade union - derecognition ballots.

Following a request for statutory derecognition, the Industrial Court may call for a secret ballot to determine whether or not collective bargaining arrangements should end.

Once the Industrial Court has told you and the union - 'the parties' - in writing that there will be a ballot, the parties should negotiate and agree access arrangements for the union during the ballot period and send a copy of the access agreements to the Industrial Court case manager.

Where necessary, the Industrial Court may arrange a hearing on access so that it can determine an access arrangement.

The form of ballot

The Industrial Court has to decide whether the ballot should be a workplace ballot, a postal ballot or a combination of the two.

The Industrial Court decision will depend on factors such as:

• costs and practicality
• the preference of the parties
• the chance of the ballot being affected by unfairness or malpractice if it were conducted at a workplace

Conduct in the run up to and during a recognition ballot

If it decides to hold a ballot, the Industrial Court will appoint a qualified independent person (QIP) to conduct it within 20 working days of being appointed - although the Industrial Court has discretion to choose a longer period.

The QIP will come from a body specified in legislation.

You must:

• Co-operate generally with the union and QIP relating to the ballot.
• Not make an offer to a worker or workers that induces them not attending a relevant meeting between the union and the workers.
• Not take or threaten to take any action against a worker because they attended or took part in a relevant meeting or they indicated their intention to do so.
• Give the union reasonable access to the workers in the bargaining unit in accordance with the code of practice on access and unfair practices during recognition and derecognition ballots.
• Pass names and addresses of workers in the bargaining unit to the Industrial Court within ten working days, starting with the day after you were informed of the QIP's name and ballot arrangements. You must also give the Industrial Court details of any workers joining or leaving the bargaining unit.

If it is found that you have failed to comply with any of the duties above, the Industrial Court can order you to remedy the failure within a set timescale. If you fail to remedy the failure, the Industrial Court can refuse your application for derecognition.

During the balloting period, the union is entitled to access the workers belonging to the bargaining unit. Both you and the union must not, at this time, use 'unfair practices' to influence the ballot result.

Examples of unfair practices include offering money to a worker to vote in a particular way and dismissing - or threatening to dismiss or take disciplinary action against - a worker for voting in the ballot.

Unfair practices complaints

An unfair practices complaint must be made on - or before - the first working day after the date of the ballot or - if votes can be cast on more than one day such as in a postal ballot - the last of those days.

Following a valid complaint, the Industrial Court normally has ten working days in which to decide whether the complaint is well founded, starting with the day following receipt of the complaint.

If the Industrial Court decides that the complaint is well founded, it will declare this finding and may then issue a remedial order telling the party what steps it must take in order to mitigate the effect of the unfair practice and when to take those steps by, and/or give notice to the parties that a secret ballot will be held - in effect ordering a new ballot.

Circumstances where a ballot may be abandoned

In some circumstances, the Industrial Court has the power to cancel a ballot and:

• if the party concerned is you, refuse your application for derecognition
• if the party concerned is the union, issue a declaration that collective bargaining is to end

These circumstances are where the Industrial Court:

• declares that both an unfair practice complaint is well founded and the unfair practice consisted of - or included - the use of violence or the dismissal of a union official
• has issued to a party an unfair practices remedial order but the party fails to comply with it
• having issued an unfair practices remedial order to a party, declares that a complaint that the same party used an unfair practice is well founded

If the 'failing' party is you, the applicant worker and/or the union may enforce obedience to the law.

Where it orders a fresh ballot, refuses your application or declares an unfair practice complaint as well founded, the Industrial Court will:

• Take steps to cancel the 'original' ballot. If that ballot is held anyway, the result will not have any effect.
• If a fresh ballot is held, make certain changes to the usual ballot procedure.

Informing the parties of the result of the recognition ballot

The Industrial Court will inform the parties of the ballot result and its consequences.

In order for collective bargaining arrangements to end as the result of a ballot, a majority of those voting, and at least 40 per cent of the workers in the bargaining unit, must vote in favour of ending those arrangements.

If you fail to get the necessary support, you must wait three years before making a new application involving the same - or substantially the same - bargaining unit.

If the union is derecognised as a result of the ballot, the Industrial Court will declare that the bargaining arrangements are to cease to have effect on a specified date.

The Industrial Court cannot accept any applications for statutory recognition from the union in respect of that bargaining unit - or one substantially the same - if the union makes the application within three years of the day after that on which the Industrial Court issued its declaration.