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The Information and Consultation of Employees Regulations 2004

Country:
United Kingdom

Employee request to negotiate an agreement in respect of information and consultation
Section 7.—(1) On receipt of a valid employee request, the employer shall, subject to paragraphs (8) and (9), initiate negotiations by taking the steps set out in regulation 14(1).
(2) Subject to paragraph (3), an employee request is not a valid employee request unless it consists of—
(a)a single request made by at least 10% of the employees in the undertaking; or
(b)a number of separate requests made on the same or different days by employees which when taken together mean that at least 10% of the employees in that undertaking have made requests, provided that the requests are made within a period of six months.
(3) Where the figure of 10% in paragraph (2) would result in less than 15 or more than 2,500 employees being required in order for a valid employee request to be made, that paragraph shall have effect as if, for the figure of 10%, there were substituted the figure of 15, or as the case may be, 2,500.
(4) An employee request is not a valid employee request unless the single request referred to in paragraph (2)(a) or each separate request referred to in paragraph (2)(b)—
(a)is in writing;
(b)is sent to—
(i)the registered office, head office or principal place of business of the employer; or
(ii)the CAC; and
(c)specifies the names of the employees making it and the date on which it is sent.
(5) Where a request is sent to the CAC under paragraph (4)(b)(ii), the CAC shall—
(a)notify the employer that the request has been made as soon as reasonably practicable;
(b)request from the employer such information as it needs to verify the number and names of the employees who have made the request; and
(c)inform the employer and the employees who have made the request how many employees have made the request on the basis of the information provided by the employees and the employer.
(6) Where the CAC requests information from the employer under paragraph (5)(b), the employer shall provide the information requested as soon as reasonably practicable.
(7) The date on which an employee request is made is—
(a)where the request consists of a single request satisfying paragraph (2)(a) or of separate requests made on the same day satisfying paragraph (2)(b), the date on which the request is or requests are sent to the employer by the employees or the date on which the CAC informs the employer and the employees in accordance with paragraph (5)(c) of how many employees have made the request; and
(b)where the request consists of separate requests made on different days, the date on which—
(i)the request which results in paragraph (2)(b) being satisfied is sent to the employer by the employees; or
(ii)the CAC informs the employer and the employees in accordance with paragraph (5)(c) of how many employees have made the request where that request results in paragraph (2)(b) being satisfied.
(8) If the employer decides to hold a ballot under regulation 8 or 9, the employer shall not be required to initiate negotiations unless and until the outcome of the ballot is that in regulation 8(5)(b).
(9) If an application is made to the CAC under regulation 13, the employer shall not be required to initiate negotiations unless and until if the CAC declares that there was a valid employee request or that the employer’s notification was valid.
Application of standard information and consultation provisions
Section 18.—(1) Subject to paragraph (2)—
(a)where the employer is under a duty, following the making of a valid employee request or issue of a valid employer notification, to initiate negotiations in accordance with regulation 14 but does not do so, the standard information and consultation provisions shall apply from the date—
(i)which is six months from the date on which the valid employee request was made or the valid employer notification was issued, or
(ii)information and consultation representatives are elected under regulation 19,
whichever is the sooner; and
(b)if the parties do not reach a negotiated agreement within the time limit referred to in regulation 14(3) (or that period as extended by agreement under paragraph (5) of that regulation) the standard information and consultation provisions shall apply from the date—
(i)which is six months from the date on which that time limit expires; or
(ii)information and consultation representatives are elected under regulation 19,
whichever is the sooner.
(2) Where the standard information and consultation provisions apply, the employer and the information and consultation representatives elected pursuant to regulation 19 may, at any time, reach an agreement that provisions other than the standard information and consultation provisions shall apply.
(3) An agreement referred to in paragraph (2) shall only have effect if it covers all the employees of the undertaking, complies with the requirements listed in regulation 16(1)(a) to (c), (e) and (f), and is signed by a majority of the information and consultation representatives.

Election of information and consultation representatives
Section 19.—(1) Where the standard information and consultation provisions are to apply, the employer shall, before the standard information and consultation provisions start to apply, arrange for the holding of a ballot of its employees to elect the relevant number of information and consultation representatives.
(2) The provisions in Schedule 2 to these Regulations apply in relation to the arrangements for and conduct of any such ballot.
(3) In this regulation the “relevant number of information and consultation representatives” means one representative per fifty employees or part thereof, provided that that number is at least 2 and does not exceed 25.
(4) An employee or an employee’s representative may complain to the CAC that the employer has not arranged for the holding of a ballot in accordance with paragraph (1).
(5) Where the CAC finds the complaint well-founded, it shall make an order requiring the employer to arrange, or re-arrange, and hold the ballot.
(6) Where the CAC finds a complaint under paragraph (4) well-founded, the employee or the employee’s representative may make an application to the Appeal Tribunal under regulation 22(6) and paragraphs (7) and (8) of that regulation shall apply to any such application.

Standard information and consultation provisions
Section 20.—(1) Where the standard information and consultation provisions apply pursuant to regulation 18, the employer must provide the information and consultation representatives with information on—
(a)the recent and probable development of the undertaking’s activities and economic situation;
(b)the situation, structure and probable development of employment within the undertaking and on any anticipatory measures envisaged, in particular, where there is a threat to employment within the undertaking; and
(c)subject to paragraph (5), decisions likely to lead to substantial changes in work organisation or in contractual relations, including those referred to in—
(i)sections 188 to 192 of the Trade Union and Labour Relations (Consolidation) Act 1992(1); and
(ii)regulations 10 to 12 of the Transfer of Undertakings (Protection of Employment) Regulations 1981(2).
(2) The information referred to in paragraph (1) must be given at such time, in such fashion and with such content as are appropriate to enable, in particular, the information and consultation representatives to conduct an adequate study and, where necessary, to prepare for consultation.
(3) The employer must consult the information and consultation representatives on the matters referred to in paragraph (1)(b) and (c).
(4) The employer must ensure that the consultation referred to in paragraph (3) is conducted—
(a)in such a way as to ensure that the timing, method and content of the consultation are appropriate;
(b)on the basis of the information supplied by the employer to the information and consultation representatives and of any opinion which those representatives express to the employer;
(c)in such a way as to enable the information and consultation representatives to meet the employer at the relevant level of management depending on the subject under discussion and to obtain a reasoned response from the employer to any such opinion; and
(d)in relation to matters falling within paragraph (1)(c), with a view to reaching agreement on decisions within the scope of the employer’s powers.
(5) The duties in this regulation to inform and consult the information and consultation representatives on decisions falling within paragraph (1)(c) cease to apply once the employer is under a duty under—
(a)section 188 of the Act referred to in paragraph (1)(c)(i) (duty of employer to consult representatives); or
(b)regulation 10 of the Regulations referred to in paragraph (1)(c)(ii) (duty to inform and consult representatives),
and he has notified the information and consultation representatives in writing that he will be complying with his duty under the legislation referred to in sub-paragraph (a) or (b), as the case may be, instead of under these Regulations, provided that the notification is given on each occasion on which the employer has become or is about to become subject to the duty.
(6) Where there is an obligation in these Regulations on the employer to inform and consult his employees, a failure on the part of a person who controls the employer (either directly or indirectly) to provide information to the employer shall not constitute a valid reason for the employer failing to inform and consult.
Employee request to negotiate an agreement in respect of information and consultation
Section 7.—(1) On receipt of a valid employee request, the employer shall, subject to paragraphs (8) and (9), initiate negotiations by taking the steps set out in regulation 14(1).
(2) Subject to paragraph (3), an employee request is not a valid employee request unless it consists of—
(a)a single request made by at least 10% of the employees in the undertaking; or
(b)a number of separate requests made on the same or different days by employees which when taken together mean that at least 10% of the employees in that undertaking have made requests, provided that the requests are made within a period of six months.
(3) Where the figure of 10% in paragraph (2) would result in less than 15 or more than 2,500 employees being required in order for a valid employee request to be made, that paragraph shall have effect as if, for the figure of 10%, there were substituted the figure of 15, or as the case may be, 2,500.
(4) An employee request is not a valid employee request unless the single request referred to in paragraph (2)(a) or each separate request referred to in paragraph (2)(b)—
(a)is in writing;
(b)is sent to—
(i)the registered office, head office or principal place of business of the employer; or
(ii)the CAC; and
(c)specifies the names of the employees making it and the date on which it is sent.
(5) Where a request is sent to the CAC under paragraph (4)(b)(ii), the CAC shall—
(a)notify the employer that the request has been made as soon as reasonably practicable;
(b)request from the employer such information as it needs to verify the number and names of the employees who have made the request; and
(c)inform the employer and the employees who have made the request how many employees have made the request on the basis of the information provided by the employees and the employer.
(6) Where the CAC requests information from the employer under paragraph (5)(b), the employer shall provide the information requested as soon as reasonably practicable.
(7) The date on which an employee request is made is—
(a)where the request consists of a single request satisfying paragraph (2)(a) or of separate requests made on the same day satisfying paragraph (2)(b), the date on which the request is or requests are sent to the employer by the employees or the date on which the CAC informs the employer and the employees in accordance with paragraph (5)(c) of how many employees have made the request; and
(b)where the request consists of separate requests made on different days, the date on which—
(i)the request which results in paragraph (2)(b) being satisfied is sent to the employer by the employees; or
(ii)the CAC informs the employer and the employees in accordance with paragraph (5)(c) of how many employees have made the request where that request results in paragraph (2)(b) being satisfied.
(8) If the employer decides to hold a ballot under regulation 8 or 9, the employer shall not be required to initiate negotiations unless and until the outcome of the ballot is that in regulation 8(5)(b).
(9) If an application is made to the CAC under regulation 13, the employer shall not be required to initiate negotiations unless and until if the CAC declares that there was a valid employee request or that the employer’s notification was valid.
Application of standard information and consultation provisions
Section 18.—(1) Subject to paragraph (2)—
(a)where the employer is under a duty, following the making of a valid employee request or issue of a valid employer notification, to initiate negotiations in accordance with regulation 14 but does not do so, the standard information and consultation provisions shall apply from the date—
(i)which is six months from the date on which the valid employee request was made or the valid employer notification was issued, or
(ii)information and consultation representatives are elected under regulation 19,
whichever is the sooner; and
(b)if the parties do not reach a negotiated agreement within the time limit referred to in regulation 14(3) (or that period as extended by agreement under paragraph (5) of that regulation) the standard information and consultation provisions shall apply from the date—
(i)which is six months from the date on which that time limit expires; or
(ii)information and consultation representatives are elected under regulation 19,
whichever is the sooner.
(2) Where the standard information and consultation provisions apply, the employer and the information and consultation representatives elected pursuant to regulation 19 may, at any time, reach an agreement that provisions other than the standard information and consultation provisions shall apply.
(3) An agreement referred to in paragraph (2) shall only have effect if it covers all the employees of the undertaking, complies with the requirements listed in regulation 16(1)(a) to (c), (e) and (f), and is signed by a majority of the information and consultation representatives.

Election of information and consultation representatives
Section 19.—(1) Where the standard information and consultation provisions are to apply, the employer shall, before the standard information and consultation provisions start to apply, arrange for the holding of a ballot of its employees to elect the relevant number of information and consultation representatives.
(2) The provisions in Schedule 2 to these Regulations apply in relation to the arrangements for and conduct of any such ballot.
(3) In this regulation the “relevant number of information and consultation representatives” means one representative per fifty employees or part thereof, provided that that number is at least 2 and does not exceed 25.
(4) An employee or an employee’s representative may complain to the CAC that the employer has not arranged for the holding of a ballot in accordance with paragraph (1).
(5) Where the CAC finds the complaint well-founded, it shall make an order requiring the employer to arrange, or re-arrange, and hold the ballot.
(6) Where the CAC finds a complaint under paragraph (4) well-founded, the employee or the employee’s representative may make an application to the Appeal Tribunal under regulation 22(6) and paragraphs (7) and (8) of that regulation shall apply to any such application.

Standard information and consultation provisions
Section 20.—(1) Where the standard information and consultation provisions apply pursuant to regulation 18, the employer must provide the information and consultation representatives with information on—
(a)the recent and probable development of the undertaking’s activities and economic situation;
(b)the situation, structure and probable development of employment within the undertaking and on any anticipatory measures envisaged, in particular, where there is a threat to employment within the undertaking; and
(c)subject to paragraph (5), decisions likely to lead to substantial changes in work organisation or in contractual relations, including those referred to in—
(i)sections 188 to 192 of the Trade Union and Labour Relations (Consolidation) Act 1992(1); and
(ii)regulations 10 to 12 of the Transfer of Undertakings (Protection of Employment) Regulations 1981(2).
(2) The information referred to in paragraph (1) must be given at such time, in such fashion and with such content as are appropriate to enable, in particular, the information and consultation representatives to conduct an adequate study and, where necessary, to prepare for consultation.
(3) The employer must consult the information and consultation representatives on the matters referred to in paragraph (1)(b) and (c).
(4) The employer must ensure that the consultation referred to in paragraph (3) is conducted—
(a)in such a way as to ensure that the timing, method and content of the consultation are appropriate;
(b)on the basis of the information supplied by the employer to the information and consultation representatives and of any opinion which those representatives express to the employer;
(c)in such a way as to enable the information and consultation representatives to meet the employer at the relevant level of management depending on the subject under discussion and to obtain a reasoned response from the employer to any such opinion; and
(d)in relation to matters falling within paragraph (1)(c), with a view to reaching agreement on decisions within the scope of the employer’s powers.
(5) The duties in this regulation to inform and consult the information and consultation representatives on decisions falling within paragraph (1)(c) cease to apply once the employer is under a duty under—
(a)section 188 of the Act referred to in paragraph (1)(c)(i) (duty of employer to consult representatives); or
(b)regulation 10 of the Regulations referred to in paragraph (1)(c)(ii) (duty to inform and consult representatives),
and he has notified the information and consultation representatives in writing that he will be complying with his duty under the legislation referred to in sub-paragraph (a) or (b), as the case may be, instead of under these Regulations, provided that the notification is given on each occasion on which the employer has become or is about to become subject to the duty.
(6) Where there is an obligation in these Regulations on the employer to inform and consult his employees, a failure on the part of a person who controls the employer (either directly or indirectly) to provide information to the employer shall not constitute a valid reason for the employer failing to inform and consult.