Certification Officer’s hearing procedures
Source: gov.uk (2025-03-30)

Guidance for applicants and unions attending a hearing with the Certification Officer (CO).

Who this guidance is for

This guidance is for applicants and trade unions who are participants at a hearing to determine complaint(s). It sets out the procedures for hearings held by the CO. CO hearings will normally be held by Zoom unless the CO decides otherwise.

Slightly different procedures may apply for in-person hearings. If your hearing is going to be in person, the case manager will explain any changes to the procedures.

What a hearing is

A hearing is a way for the CO to determine a complaint. where there is a dispute between an applicant and a trade union about an alleged breach of rule or the law. A hearing gives the CO an opportunity to:

explore the relevant evidence

ensure that both sides have an opportunity to present their case

Adjustments at a hearing for participants with a disability

If any participant at a hearing requires any special adjustments to be made, contact the Certification Office as soon as possible to ask for reasonable adjustments. These are adjustments to make it easier for people with a disability to take part in the proceedings. We will discuss your needs and make the necessary arrangements, where appropriate.

Email: xxx@xxx.xx (mailto:xxx@xxx.xx)

Telephone: xx-xxxx-xxxx

Preparations before a hearing

The CO aims to avoid unnecessary formality and to take a flexible approach in the proceedings where appropriate. This is to ensure both sides (often referred to as ‘parties’) are able to participate fully in the proceedings.

Information your case manager will give you

Your case manager will send you a directions letter, which sets out the following information:
- the date for a case management meeting
- the date for the hearing
- the date by which you can ask for the hearing to be postponed
- the date by which any additional documents must be submitted
- the date by which both sides must submit written statements for any witnesses (if the applicant is to give evidence, they must also provide a statement)
- the date by which both sides must submit skeleton arguments
- the date by which both sides must submit copies of any legal authorities they will be relying on
- the date by which both sides must inform the CO of the names and contact details of those attending the hearing, for example witnesses
The hearing date

If you do not think the hearing date gives you enough time to prepare or present your case, you should contact your case manager as early as possible.

Apply for the hearing to be postponed

If it is not possible for you or your witnesses to attend the hearing on the date set, you must:
- inform the CO by the date specified in the directions letter
- give reasons why you or your witnesses cannot attend on the date set (the CO may ask to see evidence such as proof of hospital appointments and travel tickets)
- provide dates that you are available in the 8 weeks following the original hearing date
The CO will decide whether to rearrange the hearing and, if so, set a new date.

The documents for use at the Hearing – The bundle

The CO will need to see all documents which each side believes to be relevant to the case. You will have to provide all relevant documents ahead of the hearing by a set date.

The CO’s team will combine documents provided by both sides for use at the hearing. They will add relevant copies of correspondence you have had with the Certification Office. This is called the bundle. The CO will only consider documents in the bundle at the hearing, unless he gives permission for any other document to be included.

Each page of the bundle will be numbered. References to any document at the hearing, or in witness statements, should include the relevant page number.

It is important to note that neither side nor the CO can insist that the other side provides any documents. It is up to each side to identify, and provide, what they believe to be relevant. The CO may ask you to provide something which he thinks would help him to consider the case, but he cannot require you to provide it.

Witness statements

Each witness will need to provide a statement before the hearing. The witness statement should:
- be set out in chronological order so as to ‘tell the story’ from that witness’s point of view
- be set out in numbered paragraphs and contain page numbers
- record only the factual evidence that is relevant to the complaint(s)
- set out what someone said or whether or not a certain procedure was followed
- include the page number of any document in the bundle which the witness refers to
- not have documents attached to it (if a witness needs to refer to a document which is not in the bundle, you should ask for permission to add that document to the bundle)
If your witness is not giving oral evidence the CO may take this into account where there is conflicting evidence. This is because your witness is not available for questions.

The CO has no power to require anyone to give witness evidence.

Skeleton arguments and legal authorities

You must provide the CO with an outline summary of your arguments in support of your case. This is called a skeleton argument. Once the CO has received a skeleton argument from both sides, he will share each side’s arguments with the other side.

In your skeleton argument, you must summarise the facts in your case. If you dispute the facts, explain why you think the CO should agree with you.

You must also make any relevant arguments If you wish to rely on any past legal decision(s) (also referred to as legal authorities). You must provide a copy of that decision(s) to the CO at the same time as the skeleton argument.

You must also explain why any legal authority you refer to supports your case.

Late submission of documents

If you need to submit extra documents for inclusion in the bundle after the deadline has passed, you must apply to the CO in writing. You must:
- submit the documents you want to be included to the case manager and email a copy to: xxx@xxx.xx
- explain why the document is relevant
- explain why it was not submitted by the specified date
- copy the request to the other side and ask the other side to let the CO know, within 3 days, whether they consent to the admission of the additional documents and why
If, within 3 days of the hearing including on the day of the hearing, you identify additional documents you want to submit, you must contact the case manager immediately.

You should not assume that the CO will accept the document. If he does it could lead to the hearing being delayed to give the other side more time to prepare.

Case management meeting

The CO normally holds a case management meeting before the hearing. This is usually a week or two before the hearing.

The CO will explain the format of the hearing and ask you, and the other side, to agree a set of facts and the issues which need to be resolved at the hearing. This enables you to focus on any areas of disagreement at the hearing.

It is important that you and your representative attend the case management meeting. The CO will not expect you to raise any additional issues at the hearing itself.

The case management meeting will normally be held via Zoom. The CO has produced guidance for participants (https://acasorguk.sharepoint.com/:w:/s/co/EQaWxvL9i5VNi1cSbIgwzlkBoGf70iMrVitwG8iM2R9rqg?e=vsntj9) on how to use Zoom for CO hearings.

The CO will consider alternatives if Zoom is not accessible for either side. You can download Zoom free of charge. The CO’s team will explain how to do this if you are unsure.

You, your witnesses and representatives should familiarise yourselves with how to use Zoom prior to the case management meeting and hearing.

Procedure at the hearing

The hearing will usually be held by zoom unless the CO agrees otherwise.

The CO will have read all the documentation, including witness statements before the hearing. The CO will confirm the agreed facts and the issues to be determined at the start of the hearing.

Most applicants are not represented at hearings. The CO will take steps to ensure that they are not disadvantaged by their lack of legal representation. This may include, for example, ensuring that legal terms are fully explained, or giving applicants time to prepare a response to the submissions.

Who will be at the hearing

The following people usually attend the hearing:
- the CO, who chairs the hearing and makes a decision on the complaint
- the CO’s legal adviser
- the Assistant CO and your case manager, who support the CO and make all arrangements for the hearing
- the applicant, their representative (if they have one) and any witnesses
- officials from the trade union, their representative (if they have one), and any witnesses
- observers, who may be union members, the applicant’s supporters or colleagues and any other interested people
Witnesses

Your witnesses will have provided witness statements ahead of the hearing which will have been disclosed to the other side. A witness may also give oral evidence, which means that they will attend the hearing so that you, the other side and the CO can ask them questions.

If the applicant also decides to give evidence, they must also submit a witness statement ahead of the hearing. The union, and the CO, may ask them questions about what happened.

If the applicant does not submit a witness statement, they will not be asked to give evidence.

Witnesses do not have to attend the hearing to give evidence. But if your witness is not giving oral evidence the CO may take this into account where there is conflicting evidence. This is because your witness is not available for questions.

The CO has no power to require anyone to give witness evidence.

Oral evidence

The CO will decide the order in which witnesses will give evidence. Each witness will be asked to confirm their witness statement.

You will have an opportunity to ask questions of your own witnesses. However, these questions should only relate to issues which are relevant to the complaint(s). Once you have asked questions the other side may ask questions of that witness and then the CO will be able to do so. You will then have an opportunity to ask any further questions which have arisen from the evidence.

If you are unrepresented, you will not be able to ask yourself questions. However, you may bring a friend, a colleague or a representative for the purpose of asking you questions. If you wish to do this, you must notify your case manager ahead of the hearing in accordance with the directions letter.

The CO will usually hear the applicant’s witnesses first and then the union’s witnesses. The CO will usually tell you the order of the witnesses at the case management meeting.

You can only ask questions of witnesses. You cannot ask questions to the person representing the other side.

Submissions

Your skeleton argument (#skeleton) should have set out why you think the CO should agree with you. During the hearing, you will have an opportunity to add to your skeleton argument, with reference to the witness evidence and the other side’s skeleton argument. This is referred to as your submissions.

The CO will hear the applicant’s submissions first then the trade union’s before giving the applicant an opportunity to respond to the union’s submission.

The submission should only address the issues that have been identified at the hearing. It is each side’s opportunity to explain why the CO should agree with them.

The CO will then ask each side what, if any, enforcement order should be made if he decides that the union has breached its rules or the law.

The enforcement order can require the union to put right the breach and/or to take steps to prevent a similar breach happening again. The CO will ask the applicant to speak first, then ask the union’s views before returning to the applicant.

The CO may also seek the views on whether he should impose a financial penalty.

Recording of the Hearing by the CO

All parties are asked to take note that hearings, save for case management meetings, before the Certification Officer will be recorded. These audio recordings will be retained for six years after the hearing date and thereafter securely destroyed.

For the avoidance of any doubt, no party, representative, witness, or member of the press or public observer may record or broadcast a hearing without the permission of the Certification Officer. Permission will only be granted in exceptional circumstances. Making any recording without permission may be a contempt of court and/or a criminal offence.

Copies of audio recordings made by the Certification Office will not be provided to any party, representative, witness, or member of the press or public. In exceptional circumstances, the Certification Officer may permit a party or representative, upon request within six months of their respective date of hearing of the final date of hearing, to listen to all or part of an audio recording of a hearing.

The CO’s decision

The CO will not make his decision at the hearing but will indicate when he expects to be able to issue a written decision, with reasons.

In reaching his decision, the CO will consider all the evidence provided to him (including the submissions). He aims to make his decision within 3 weeks of the hearing.

Possible outcomes

The possible outcomes include:
- the CO does not agree that the union has breached its rules or legal requirements
- where there is more than one complaint - the CO decides that the union breached some of its rules or legal requirement but not others
- The CO upholds the complaint(s)
If the CO decides that the union has breached one or more rules or legal requirements, he will make a declaration to say that. If he makes a declaration, he will consider whether it is appropriate to make an enforcement order.

There may be circumstances where it is not appropriate to make an enforcement order, for instance if the union has already rectified the breach.

If the CO has the power to make an enforcement order, he may issue a financial penalty order. He will only impose a financial penalty where he believes it is proportionate to do so, and he will always explain why he is imposing the penalty.

See guidance on complaining to the CO (https://www.gov.uk/guidance/report-financial-irregularity-in-a-trade-union-or-employers-association) for information about financial penalties.

Right of Appeal

There is a right of appeal to the Employment Appeal Tribunal (https://www.gov.uk/courts-tribunals/employment-appeal-tribunal) (EAT) from a decision of the Certification Officer. An appeal must be made to the EAT within 42 days from the date the decision was issued.

Expenses

The CO does not pay for expenses where the hearing is via video conference.

Where the hearing is in person, the CO may be able to pay reasonable travel costs and for certain other costs incurred by the applicant and their necessary witnesses. In these cases, the applicant should raise the matter with the case manager.

The CO has no power to pay any costs incurred by a trade union.

Further questions

If you have any questions or concerns that aren’t answered or addressed in this guidance, you should raise them in the first instance with the case manager handling the case. Or you can email your question to: xxx@xxx.xx (mailto:xxx@xxx.xx)