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LI 5: /« / Negotiation Impasse, Grievance, and Arbitration in Federal Agreem ents__ BULLETIN 1661 U.S. DEPARTMENT OF LABOR bureau of labor statistics Dayton & Montgomery Public Library AUG 1 7 1 9 7 0 DOCUMENT COLLECTION • Negotiation Impasse, Grievance, and Arbitration in Federal Agreem ents__ BULLETIN 1661 U. S. DEPARTMENT OF LABOR George P. Shultz, Secretary BUREAU OF LABOR STATISTICS Geoffrey H. Moore, Commissioner 1970 W T32L' For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. Price 75 cents. Preface S i n c e the i s s u a n c e o f E x e c u t i v e O r d e r 10988 in 196 2 , u n io n m e m b e r s h ip am ong F e d e r a l e m p lo y e e s has in c r e a s e d m a rk e d ly a n d h a s b e e n a c c o m p a n i e d b y a g r o w t h in c o l l e c t i v e b a r g a i n i n g a g r e e m e n t s c o v e r i n g a v a r i e t y o f p e r s o n n e l p o l i c i e s and p r a c t i c e s . B e c a u s e o f the g r o w i n g i m p o r t a n c e o f e m p l o y e e - m a n a g e m e n t r e l a t i o n s in the F e d e r a l S e r v i c e , the B u r e a u o f L a b o r S t a t i s t i c s h a s e s t a b l i s h e d a f i l e o f F e d e r a l a g r e e m e n t s a s the b a s i s f o r m a k i n g c o l l e c t i v e b a r g a i n i n g p r o v i s i o n s t u d ie s s i m i l a r to t h o s e m a d e a s p a r t o f i t s r e g u l a r p r o g r a m d e a l i n g w ith the p riv a te s e c t o r . T h i s b u ll e t in m a r k s the B u r e a u ' s s e c o n d s tu d y o f F e d e r a l a g r e e m e n t s , but the f i r s t t o p r o v i d e e x t e n s i v e d e t a i l s on n e g o t i a t e d g r i e v a n c e s y s t e m s , a d v i s o r y a r b i t r a t i o n , and n e g o t i a t i o n i m p a s s e p r o c e d u r e s . T h e s e a r e a r e a s c o m m a n d i n g th e a tt e n t io n o f the n e g o t i a t i n g p a r t i e s , and m a y p e r h a p s be t e r m e d the c e n t r a l i s s u e s in e m p l o y e e - m a n a g e m e n t r e l a t i o n s in th e p u b lic s e r v i c e . I n d e e d E x e c u t i v e O r d e r 1 1 4 9 1 , w ith it s a p p a r e n t i m p a c t on t h e s e i s s u e s , n e c e s s i t a t e s a r e v i e w , at t h is t i m e , o f e x i s t i n g n e g o t i a t e d s y s t e m s t o e s t a b l i s h a f a c t u a l b a s i s that the p a r t i e s m a y w an t to u s e in w o r k i n g out f u r t h e r r e f i n e m e n t s . T h e a g r e e m e n t c l a u s e s q u o t e d in t h is stu d y i d e n t i f i e d b y a g e n c y and u n io n in an a p p e n d i x , a r e not in t e n d e d a s m o d e l o r re co m m e n d e d cla u se s. T h e c l a s s i f i c a t i o n and i n t e r p r e t a t i o n o f c l a u s e s do not n e c e s s a r i l y r e f l e c t the u n d e r s t a n d i n g o f the p a r t i e s w h o n e g o t i a t e d the c l a u s e s . M in or e d ito r ia l ch a n g es w e r e m a d e w h e r e n e c e s s a r y to e n h a n c e c l a r i t y and i r r e l e v a n t p a r t s w e r e om itted w h ere fe a s ib le . W h e r e a p p r o p r i a t e , the fin d i n g in the 1964 and the p r e s e n t stu dy a r e c o m p a r e d . T h i s b u l l e t i n w a s p r e p a r e d in the O f f i c e o f W a g e s and I n d u s t r i a l R e l a t i o n s b y R o n a l d W. G l a s s u n d e r the d i r e c t i o n o f L e o n E . L u n d e n in th e D i v i s i o n o f I n d u s t r i a l R e l a t i o n s . iii Contents Page C h a p t e r I. I n t r o d u c t i o n ----------------------------------------------------------------------------------------------------------------S c o p e o f s t u d y ____________________________________________________________________________________ C h a p t e r II. A g r e e m e n t i m p a s s e p r o c e d u r e s ------------------------------------------------------------------------F a c t f i n d i n g c o m m i t t e e s ------------------------------------------------------------------------------------------------------------R e f e r r a l t o h i g h e r a u t h o r i t y ---------------------------------------------------------------------------------------------------M e d i a t i o n __________________________________________________________________________________________ C h a p t e r III. N e g o t i a t e d g r i e v a n c e p r o c e d u r e s --------------------------------------------------------------------S e l e c t i o n o f g r i e v a n c e p r o c e d u r e ---------------------------------------------------------------------------------------U n i o n r o l e _________________________________________________________________________________________ S c o p e o f th e g r i e v a n c e p r o c e d u r e __________________________________________________________ P r o c e d u r a l s t e p s ________________________________________________________________________________ F a c t f i n d i n g a n d h e a r i n g p a n e l s ---------------------------------------------------------------------------------------------C h a p t e r I V . A d v i s o r y a r b i t r a t i o n ---------------------------------------------------------------------------------------------I n i t i a t i o n o f a d v i s o r y a r b i t r a t i o n ------------------------------------------------------------------------------------------S e l e c t i n g th e a r b i t r a t o r ------------------------------------------------------------------------------------------------------------O f f i c i a l t i m e o f f ---------------------------------------------------------------------------------------------------------------------------C h a p te r V . G r i e v a n c e , a r b it r a t io n , and n e g o t ia t io n i m p a s s e p r o c e d u r e s in th e n a t i o n a l p o s t a l a g r e e m e n t --------------------------------------------------------------------N e g o t i a t i o n i m p a s s e p r o c e d u r e s ------------------------------------------------------------------------------------------G r i e v a n c e a n d a r b i t r a t i o n p r o c e d u r e s --------------------------------------------------------------------------------A d v i s o r y a r b i t r a t i o n ------------------------------------------------------------------------------------------------------------------S p e c i a l p r o c e d u r e s ______________________________________________________________________________ P a y s t a t u s -------------------------------------------------------------------------------------------------------------------------------------T a b les: F e d e r a l c o lle c t iv e b a rg a in in g a g r e e m e n ts — 1. B y a g e n c y a n d u n i o n a f f i l i a t i o n , 196 7 a n d 196 4 ---------------------------------------------------2. B y a g e n c y a n d n u m b e r o f e m p l o y e e o r g a n i z a t i o n s , 1 9 6 7 a n d 1 9 6 4 ____________ 3. B y a g e n c y a n d b r o a d o c c u p a t i o n a l c o v e r a g e , 196 7 a n d 1 9 6 4 -----------------------------4 . B y s i z e o f b a r g a i n i n g u n i t , 1 967 a n d 1 9 6 4 _________________________________________ 5. E x c l u s i v e o f P o s t O f f i c e , b y r e g i o n , 196 7 a n d 1 9 6 4 ___________________________ 6. P r o c e d u r e s to r e s o l v e n e g o t i a t i n g i m p a s s e s in F e d e r a l c o l l e c t i v e b a r g a i n i n g a g r e e m e n t s b y a g e n c y , 1 967 ------------------------------------------------------------------7. P r o v i s i o n s f o r n e g o t i a t e d g r i e v a n c e p r o c e d u r e s i n F e d e r a l c o l l e c t i v e b a r g a i n i n g a g r e e m e n t s , b y a g e n c y , 1 9 6 7 ___________________________________________ 8. P r o v i s i o n s f o r a d v i s o r y a r b i t r a t i o n o f g r i e v a n c e s in F e d e r a l c o l l e c t i v e b a r g a i n i n g a g r e e m e n t s , b y a g e n c y , 1 9 6 7 _____________________________ A p p en d ix es: A . I d e n t i f i c a t i o n o f c l a u s e s -----------------------------------------------------------------------------------------------------B . 1 9 6 8 —70 N a t i o n a l p o s t a l a g r e e m e n t ' s g r i e v a n c e , a r b i t r a t i o n , a n d n e g o t i a t i o n i m p a s s e r e s o l u t i o n p r o c e d u r e s _________________________________________ C . G r i e v a n c e a r b i t r a t i o n a w a r d s ------------------------------------------------------------------------------------------D . E x e c u t i v e O r d e r 1 1 4 9 1 : L a b o r - m a n a g e m e n t r e l a t i o n s i n th e F e d e r a l s e r v i c e ----------------------------------------------------------------------------------------------------------------E . C o m p a r a t i v e a n a l y s i s : E x e c u t i v e O r d e r s 1 0 9 8 8 a n d 1 1 4 9 1 ______________________ v 1 1 7 8 11 13 16 16 17 18 20 21 25 25 27 29 33 33 34 35 35 35 4 4 5 6 6 15 24 32 36 41 46 56 67 Negotiation Impasse, Grievance, and Arbitration in Federal Agreements Chapter I. Introduction E x e c u t i v e O r d e r 1 1 4 9 1 , " L a b o r - M a n a g e m e n t R e l a t i o n s in th e F e d e r a l S e r v i c e , " is s u e d on O c t o b e r 29, 1969, in t r o d u c e s m a j o r c h a n g e s f o r settlin g n e g o tia tio n im p a s s e s and e m p lo y e e g rie v a n ce s. B r i e f l y , the n e w E x e c u t i v e o r d e r a u t h o r i z e s n e g o t i a t o r s , i f s t a l e m a t e d , t o a v a i l t h e m s e l v e s o f th e s e r v i c e s o f t h e F e d e r a l M e d i a t i o n a n d C o n c il ia t i o n S e r v i c e (F M C S ) and f u r t h e r , sh ou ld m e d i a t io n fa i l, to b r in g th e ir d isp u te b e fo r e a n ew ly e s ta b lis h e d F e d e r a l S e r v ic e Im p a s s e s P a n e l fo r settlem en t. The ord er a l s o p e r m i t s u n i o n s a n d e m p l o y e r s t o e l i m i n a t e th e p r e s e n t l y e x i s t i n g d u a l e m p l o y e e g r i e v a n c e s y s t e m u n d e r w h ic h the a g e n c y 's u n i l a t e r a l l y e s t a b l i s h e d p r o c e d u r e c o e x i s t s w ith a n e g o tia te d s y s t e m . T h e p a r t i e s m a y n o w d e s ig n a t e th e n e g o t ia t e d a s the o n ly on e a v a ila b le to e m p l o y e e s f o r p r o c e s s i n g g r i e v a n c e s . A ls o e lim in a te d w a s a d v is o r y a r b i t r a t i o n in f a v o r o f b i n d i n g a r b i t r a t i o n , m o d i f i e d s o m e w h a t b y a l i m i t e d r i g h t o f a p p e a l f r o m th e a r b i t r a t o r ' s d e c i s i o n to a n e w ly e s t a b l i s h e d F e d e r a l L a b o r R e l a t i o n s C o u n c il . T h e p r e s e n t s t u d y o f c o n t r a c t s in e f f e c t in N o v e m b e r 1 9 6 7 , th e l a t e s t y e a r f o r w h i c h a f u ll c o m p l e m e n t o f a g r e e m e n t s is p r e s e n t l y a v a i l a b l e in the B u r e a u , p r o v i d e s s t a t is t i c a l data on F e d e r a l g r i e v a n c e and n e g o t ia t io n i m p a s s e r e s o l u t i o n p r o c e d u r e s and w i l l s e r v e a s a b e n c h m a r k to m e a s u r e fu t u r e c h a n g e s in n e g o t ia t e d s y s t e m s . A lth ou g h E x e c u t i v e O r d e r 11491 i s l i k e l y to h a v e a c o n s i d e r a b l e e f f e c t o n the s u b je c t d i s c u s s e d in t h i s s t u d y , m a n a g e m e n t a n d u n i o n s m a y w a n t t o r e v i e w t h e i r o w n e x p e r i e n c e o n th e b a s is o f a r r a n g e m e n ts a d o p te d v o lu n ta r ily by n e g o tia t o r s to m e e t th e ir ow n n e e d s . A p p e n d i x A i d e n t i f i e s the c l a u s e s u s e d a s i l l u s t r a t i o n s ; a p p e n d ix B r e p r o d u c e s g r i e v a n c e , a r b i t r a t i o n , a n d i m p a s s e r e s o l u t i o n p r o c e d u r e s in t h e N a t i o n a l P o s t a l A g r e e m en t; ap pen dix C p r e s e n ts a s e le c t io n of g r ie v a n c e a r b itra tio n a w a rd s; appen dix D c o n t a in s the te x t o f E x e c u t i v e O r d e r 1 1 491; and a p p e n d ix E c o m p a r e s m a j o r p r o v i s i o n s o f both E x e c u tiv e o r d e r s . S c o p e o f S tu d y T h i s s t u d y i s b a s e d o n 6 8 5 a g r e e m e n t s c o v e r i n g n e a r l y 1 m i l l i o n e m p l o y e e s in 25 F e d e r a l d e p a r t m e n t s a n d a g e n c i e s ( t a b l e 1). F o r a n e a r l i e r s t u d y in 1 9 6 4 , 1 t h e B u r e a u i n c l u d e d 209 a g r e e m e n t s c o v e r i n g a b o u t 6 0 0 , 000 e m p l o y e e s . T h e n u m b e r o f a g r e e m e n t s n e g o t i a t e d b y i n d e p e n d e n t u n i o n s i n c r e a s e d f r o m 27 in 1 9 6 4 t o 133 in 1 967 a n d r o s e f r o m 13 t o 20 p e r c e n t o f t h e a g r e e m e n t s s t u d i e d . D espite the g r o w t h in the n u m b e r o f a g r e e m e n t s f o r in d e p e n d e n t u n i o n s , e m p l o y e e c o v e r a g e o f c o n t r a c t s i n v o l v i n g A F L - C I O u n i o n s i n c r e a s e d d u r i n g t h e 1 9 6 4 - 6 7 p e r i o d f r o m 87 t o 92 p e r c e n t . M o r e t h a n 1 2 5 , 0 0 0 o f th e A F L - C I O ' s i n c r e a s e d c o v e r a g e r e s u l t e d f r o m (1 ) g a i n s in t h e P o s t O f f i c e D e p a r t m e n t , a n d (2 ) t h e c h a n g e in s t a t u s o f th e N a t i o n a l A s s o c i a t i o n o f P o s t O ffic e and G e n e r a l S e r v ic e M a in ten a n ce E m p lo y e e s f r o m an u n a ff ilia t e d to an A F L - C I O u n ion . F iv e a g e n c ie s ( A ir F o r c e , A r m y , P o s t O f f ic e , N a v y , and V e t e r a n s A d m in is t r a t io n ) h a d t h e l a r g e s t g r o w t h in e m p l o y e e c o v e r a g e s i n c e 1 9 6 4 . E x c l u s i v e o f th e P o s t O f f i c e D e p a r tm e n t, th r e e o f th e s e a g e n c ie s , A r m y , N av y , and V e te r a n s A d m in is t r a tio n c o n s t i t u t e d 58 p e r c e n t o f a l l a g r e e m e n t s s t u d i e d a n d t w o - t h i r d s o f a l l w o r k e r s c o v e r e d in 1 9 6 7 . E x c e p t f o r the F e d e r a l A v i a t i o n A g e n c y , w h ic h w a s m e r g e d w ith th e D e p a r t m e n t o f T r a n s p o r t a t i o n , an d the C i v i l A e r o n a u t i c s B o a r d , w h ic h w a s r e p o r t e d a s n ot h a v in g 1 Collective Bargaining Agreements in the Federal Service, Late Summer 1964, BLS Bulletin 1451 (1965). 1 a u n i o n i n 1 9 6 7 , a l l a g e n c i e s r e p r e s e n t e d i n t h e 1 9 6 4 s t u d y a l s o a r e i n c l u d e d in th e p r e s e n t s t u d y . S i x a g e n c i e s a p p e a r f o r th e f i r s t t i m e — t h e C i v i l S e r v i c e C o m m i s s i o n , D e p a r tm e n t o f J u s t ic e , D e p a r t m e n t o f T r a n s p o r t a t io n , N a tion a l A e r o n a u t ic s and S p a ce A d m i n i s t r a t i o n , S m a l l B u s i n e s s A d m i n i s t r a t i o n , a n d th e T e n n e s s e e V a l l e y A u t h o r i t y ( T V A ) . 2 F r o m 1964 to 1 967, the n u m b e r o f u n io n s w h ic h had n e g o t ia t e d a g r e e m e n t s w ith F e d e r a l d e p a r t m e n t s a n d a g e n c i e s h a d i n c r e a s e d f r o m 34 t o 64 ( t a b l e 2 ). A F L -C IO u n i o n s c o n s t i t u t e d a p p r o x i m a t e l y t h e s a m e p r o p o r t i o n o f u n i o n s in 1 967 ( 6 6 p e r c e n t ) a s i n 1 9 6 4 (6 8 p e r c e n t ) . T h e c o m p l e x i t y o f l a b o r - m a n a g e m e n t r e l a t i o n s i s i n d ic a t e d b y the A r m y a n d N a v y ; e a c h b a r g a i n s w i t h 22 d i f f e r e n t l a b o r o r g a n i z a t i o n s . N in e o th e r a g e n c i e s d e a l w ith fiv e u n io n s o r m o r e . T h r e e u n i o n s i n c l u d e d i n t h e 1 9 6 4 s t u d y d o n o t a p p e a r h e r e , a n d 33 u n i o n s n o t i n c l u d e d in 1 9 6 4 a r e p a r t o f t h e p r e s e n t s t u d y . N o n e o f th e t h r e e u n io n s e x c l u d e d w e r e l i s t e d in the U n ite d S ta te s C i v i l S e r v i c e C o m m i s s i o n ’ s 1967 r o s t e r o f u n io n s h old in g e x c lu s iv e r e c o g n it io n r ig h ts . T h e 33 n e w l y a d d e d u n i o n s r e p r e s e n t e d 8 2 , 6 6 9 e m p l o y e e s . M ost of th ese w o r k e r s w e r e f o u n d in P o s t O f f i c e M a il H a n d le r s , 3 w h ich a lo n e w a s r e s p o n s ib le fo r o v e r 4 2 , 0 0 0 w o r k e r s , an d tw o u n io n s at th e T V A , 4 in v o lv i n g a n o t h e r 1 8 ,0 0 0 e m p l o y e e s . T h e r e m a i n i n g 2 2 , 0 0 0 w o r k e r s w e r e s p r e a d a m o n g 30 u n i o n s . A m o n g a l l 64 u n i o n s , t h e A m e r i c a n F e d e r a t i o n o f G o v e r n m e n t E m p l o y e e s ( A F L C I O ) h a d n e g o t i a t e d a l m o s t h a l f o f t h e a g r e e m e n t s ( 3 3 2 ) c o v e r i n g a l m o s t h a l f o f th e w o r k e r s ( 1 7 8 , 5 1 4 ) , e x c l u s i v e o f th e P o s t O f f ic e a g r e e m e n t . O n ly s e v e n o th e r u n io n s n e g o t i a t e d 10 a g r e e m e n t s o r m o r e , a s s h o w n b e l o w . E i g h t u n i o n s n e g o t i a t e d 78 p e r c e n t o f t h e a g r e e m e n t s a n d r e p r e s e n t e d 84 p e r c e n t o f th e e m p l o y e e s in t h e s t u d y . Union Agreements Employees Total --------------------------------------------- ------ 684 3 75 ,4 85 A ll selected unions--------------------------------- -----Government Employees (AFGE) ------ -----Metal Trades C ou n cils---------------------- -----Government Employees (N A G E )-----M ach in ists-----------------------------------------Federal Employees (NFFE)---------------- -----Electrical Workers (IB E W )---------------Lithographers-------------------------------------------Fire Fighters---------------------------------------------- 537 332 29 50 31 36 20 13 26 315, 758 1 78 ,5 14 76, 333 2 1 ,7 5 5 18,951 13,8 2 7 3 ,5 5 6 1, 675 1, 147 T he g row th of c o lle c t iv e b a rg a in in g a m on g C la s s ific a tio n A c t e m p lo y e e s a ffe cte d t h e d i s t r i b u t i o n o f t y p e s o f b a r g a i n i n g u n i t s a p p e a r i n g in F e d e r a l a g r e e m e n t s ( t a b l e 3 ). 5 E x c l u s i v e o f P o s t O f f i c e e m p l o y e e s , W a g e B o a r d u n i t s in 1 9 6 4 c l e a r l y p r e d o m i n a t e d in th e c o n t r a c t s s t u d ie d , n u m e r i c a l l y an d r e l a t i v e to t o t a l e m p l o y e e c o v e r a g e . By 1 9 6 7 , th e r e l a t i v e i m p o r t a n c e o f e m p l o y e e c o v e r a g e s h ift e d f r o m W a g e B o a r d e m p l o y e e s to m i x e d u n its ; th e la t t e r , in c lu d in g W a g e B o a r d w ith C l a s s i f i c a t i o n A c t e m p l o y e e s , ro s e m a rk e d ly : 2 TVA was excluded from the 1964 study because its labor-management relations program antedates Executive Order 10988. 3 Since merged with the Laborers International Union (AFL-CIO). 4 Both unions bargain collectively and consist of several units each. The Tennessee Valley Trades and Labor Council includes 15 AFL-CIO affiliates and 1' independent. The Salary Policy Employees Council involves two AFL-CIO affiliates, one directly affiliated local union and two independent professional associations. For this study, each council is considered a union. 5 The Classification A ct covers most professional, administrative, and clerical employees; the Postal Field Service; the Foreign Service; and the medical service of the Veterans Administration. They are paid on an annual basis. Wage Board employees, excluded from the Classification Act for paysetting purposes only, are those in trades, crafts, and manual occupa tions. They are paid on an hourly basis. 2 Percent of total employee coverage* Type of bargaining unit 1964 1967 ---------------------------------------- 1 00 .0 100 .0 Professional or Classification A ct employees o n ly -------------------------------------Wage Board employees only-------------------Mixed u n it s ---------------------------------------------- 1 6 .6 4 8 .9 34. 5 9 .6 3 1 .9 5 8 .5 A ll units 1 Exclusive of Post Office Department. T h e i n c r e a s e in m i x e d u n its w a s m a d e up in l a r g e m e a s u r e by A ir F o r c e , A r m y , N a vy, and V e te r a n s A d m in is t r a tio n a g r e e m e n t s . T h e g a i n s in t h e s e f o u r a g e n c i e s c o n s t i t u t e d m o r e t h a n t h r e e - f o u r t h s o f t h e t o t a l g r o w t h in m i x e d u n i t s f r o m 1 9 6 4 t o 1 9 6 7 . A s in 1 9 6 4 , th e n a t io n a l P o s t O f f i c e D e p a r t m e n t a g r e e m e n t s t r o n g l y i n f l u e n c e d t h e d i s t r i b u t i o n o f e m p l o y e e c o v e r a g e b y s i z e o f b a r g a i n i n g u n it ( t a b l e 4 ) . W h en the P o s t O f f i c e a g r e e m e n t i s e x c l u d e d , t h e p r o p o r t i o n o f e m p l o y e e s c o v e r e d in s m a l l u n i t s r e m a i n e d r e l a t i v e l y s ta b le b e t w e e n 1964 an d 1967. M e d i u m s i z e b a r g a i n i n g u n i t s (1 0 1 t o 5 0 0 a n d 501 t o 1 , 0 0 0 ) g r e w , a n d l a r g e u n i t s d e c l i n e d s l i g h t l y : Percent of employees covered 1964 1967 A ll bargaining u n its ----------- -- --------- 1 00 .0 1 00 .0 i_ io o -------------------------------------------- -------1 0 1 -5 0 0 ------------------------------------ -------- ........... 5 0 1 -1 ,0 0 0 -------------- ---------------------- --------1, 001 and over ------------------------------ --------- 2 .3 1 2 .7 1 6 .4 6 8 .6 2 .9 1 6 .4 18.1 6 2 .6 Size In t o t a l , h o w e v e r , l a r g e u n i t s o f a l l e m p l o y e e s in t h e s t u d y . d o m i n a t e d in b o t h y e a r s , and c o v e r e d o v e r t h r e e -fift h s T h e l a r g e s t c o n c e n t r a t i o n o f o r g a n i z e d F e d e r a l e m p l o y e e s w e r e in t h r e e r e g i o n s : T h e M i d d l e A t l a n t i c , t h e S o u t h A t l a n t i c , a n d t h e P a c i f i c ( t a b l e 5 ). E x c l u s i v e o f th e P o s t O ffice a g r e e m e n t w h ich c o u ld not be a llo c a te d on a g e o g r a p h ic a l b a s is , th ese th re e r e g i o n s c o n s t i t u t e d b e t t e r t h a n 55 p e r c e n t o f t h e e m p l o y e e s r e p r e s e n t e d i n t h e s t u d y . F o r W a sh in g to n , D. C. , M a r y la n d , and V ir g in ia , o r g a n iz e d F e d e r a l e m p l o y e e s t o taled 4 8 ,2 9 9 . F o r the r e m a i n d e r o f th is s tu d y , the N a t io n a l P o s t a l A g r e e m e n t w i l l b e e x c l u d e d b e c a u s e o f t h e h e a v y i m p a c t th a t it h a s o n e m p l o y e e c o v e r a g e . The P osta l agreem en t, h o w e v e r , i s d e s c r i b e d s e p a r a t e l y in c h a p t e r V a n d p e r t i n e n t s e c t i o n s o f i t s a g r e e m e n t p r o v i s i o n s a r e r e p r o d u c e d in a p p e n d ix B . 3 T a b le 1. F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y a g e n c y and u n ion a ffilia t io n , 1967 and 1964 T o t a l stu d ie d A g en cy T o t a l _____________________ A g r i c u l t u r e ------------------------------*--------------------C o m m e r c e -----------------------------------------------------D e f e n s e -----------------------------------------------------------A ir F ^ r r ^ ___________ A r m y ______ __ _____________________________ N avy H e a lth , E d u c a t io n , and W e l f a r e ---------------I n t e r i o r -----------------------------------------------------------J u s t ic e _________ L a b o r --------------------------------------------------------------P o s t O f f i c e ----------------------------------------------------T r a n s p o r t a t i o n ---------------------------------------------T r e a s u r y --------------------------------------------------------A t o m ic E n e r g y C o m m i s s i o n ----------------------C iv il S e r v i c e C o m m i s s i o n -------------------------G e n e r a l S e r v i c e s A d m i n i s t r a t i o n ------------I n t e r s t a t e C o m m e r c e C o m m i s s i o n ---------N a tio n a l A e r o n a u t ic s and S p a ce A d m in i s t r a t io n ------------ ------------------------------N a tio n a l L a b o r R e la t io n s B o a r d ---------------R a ilr o a d R e t ir e m e n t B o a r d -----------------------S m a ll B u s in e s s A d m in i s t r a t io n ----------------S m ith s o n ia n I n s t itu tio n ------------------ -----------T a r if f C o m m i s s i o n --------------------------------------T e n n e s s e e V a lle y A u t h o r it y 2--------------------V e t e r a n s A d m in is t r a t io n ----------------------------C iv il A e r o n a u t ic s B o a r d 3 --------------------------F e d e r a l A v ia t io n A g e n c y 3--------------------------- A g reem en ts 1967 1964 685 209 14 10 6 49 no 181 24 45 17 2 1 34 9 7 1 47 1 3 3 1 9 34 65 10 14 3 1 5 1 5 5 1 1 3 1 3 108 - 1 1 1 1 - 21 1 - 29 1 4 A F L -C I O W ork ers 1964 1967 984, 318 599, 542 2, 206 039 766 922 7, 931 14, 739 66, 12, 569 148 4 60 4, 035 833 4 7 1 , 387 054 397 98 5, 240 1, 19 6, 2, 2, 38, 53, 140, 19, 4, 2, 9, 608, 4, 3, 5, 4 84 1, 529 1, 612 28 4 35 8 17, 978 5 5 ,4 0 1 " 983 230 264 210 337 696 259 724 079 4 14 - 732 22 772 20 42 1, 800 30 7 - 14, 071 11 832 1967 1964 1 553 1 183 8 7 6 41 95 152 23 39 17 2 11 18 7 7 i 25 1 2 3 1 7 30 58 9 12 3 11 5 1 16 1 5 1 1 1 26 1 4 - 1 1 3 1 23 89 - U n a ffilia te d W ork ers A g re e m e n ts 1967 9 0 4 ,9 5 2 A g reem en ts W ork ers 1964 1967 1964 1967 1964 525, 274 1 133 ‘ 27 79, 366 7 4 ,2 6 8 4 , 165 2, 558 701 230 264 2, 766 33, 825 4 , 910 4 5 ,0 5 4 10, 445 1 2 7 ,6 1 1 64, 568 19, 513 12, 207 3, 845 609 2 ,4 6 0 9, 035 4 , 079 5 78 , 106 4 0 8 , 333 2, 757 732 1 ,5 5 6 22 397 98 2, 970 1, 221 20 19 6 3 8 15 29 1 6 11 16 2 22 1 2 4 7 1 2 11 - 2, 041 1, 338 5, 097 8, 877 13, 128 56 303 30, 727 1, 630 1 ,4 9 8 2, 270 425 300 892 128 52 115 081 1, 800 30 7 12, 389 11 839 5 _ 19 „ - 5 ,4 84 - 1, 612 28 435 8 17, 978 4 4 , 529 “ - 5 2, 3, 2, 63, - 551 “ 1 - 3 - - - 1, 529 10, 872 - 42 _ _ _ _ 1, 682 - _ " - 1 In 1967, the n a tio n a l P o s t O ffic e a g r e e m e n t c o v e r e d 6 u n ion s a ffilia t e d w ith the A F L -C I O , and 1 u n a ffilia t e d u n ion . In 1964 the a g r e e m e n t c o v e r e d 4 a ffilia t e d u n ion s and 2 u n a ffilia t e d u n io n s . A g r e e m e n t c o v e r a g e w a s a llo c a t e d b y a ffilia t io n . 2 T e n n e s s e e V a lle y A u t h o r it y a g r e e m e n t s w e r e o u ts id e the s c o p e o f the 1964 stu d y , but h a ve b e e n in c lu d e d f o r 1967. O f the 3 T V A a g r e e m e n t s , 2 w ith the T V A T r a d e s and L a b o r C o u n c il r e p r e s e n t h o u r ly e m p lo y m e n t and a nnual e m p lo y m e n t, and 1 w ith the S a la r y P o l i c y E m p lo y e e P a n e l, r e p r e s e n t s d e fin e d u n its o f s a la r y p o l ic y e m p lo y e e s . T h e T r a d e s and L a b o r C o u n c il a g r e e m e n t s and the S a la r y P o l i c y E m p lo y e e P a n e l a g r e e m e n t e a c h in clu d e 1 in d ep en d en t la b o r o r g a n iz a t io n . B e c a u s e w o r k e r c o v e r a g e o f the 2 in d ep en d en t o r g a n iz a t io n s w a s u n a llo c a b le , a ll e m p lo y e e s a r e r e p o r t e d u n d e r A F L - C I O u n ion s. 3 T h e F e d e r a l A v ia t io n A g e n c y w as a b s o r b e d b y the D e p a rtm e n t o f T r a n s p o r t a t io n in 1966; the C iv il A e r o n a u t ic s B o a r d w as not r e p o r t e d to h a ve a u n ion in 1967. T a b le 2. F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y a g e n c y and n u m b e r o f e m p lo y e e o r g a n iz a t io n s , T o t a l stu d ied A g en cy E m p lo y e e o r g a n iz a t io n s 1967 1964 T o t a l ------------------------ ---------------------------- 1 64 1 34 A g r i c u l t u r e ----------------------------------------------------C o m m e r c e -----------------------------------------------------D e f e n s e --------- .-------------------------------- ----------------A i r F o r c e -------------------------------------------------------A r m y ------------------------------------------- r------------------ N a v y ----------------------------------------------------------------H e a lth , E d u c a t io n , and W e l f a r e ---------------I n t e r i o r -----------------------------------------------------------J u s t i c e ------------------------------------------------------------L a b o r -------------------------------------------------------------P o s t O f f i c e ----------------------------------------------------T r a n s p o r t a t io n —------------------------------------------T r e a s u r y --------------------------------------------------------A t o m ic E n e r g y C o m m i s s i o n ----------------------C iv il S e r v i c e C o m m i s s i o n ------------------------G e n e r a l S e r v i c e s A d m in i s t r a t io n ------------I n t e r s t a t e C o m m e r c e C o m m i s s i o n ---------N a tio n a l A e r o n a u t ic s and S p a ce A d m i n i s t r a t i o n --------------- :--------------------------N a tio n a l L a b o r R e la t io n s B o a r d ---------------R a ilr o a d R e t ir e m e n t B o a r d -----------------------S m a ll B u s in e s s A d m in i s t r a t io n ----------------S m ith s o n ia n I n s t itu tio n -------------------------------T a r if f C o m m i s s i o n --------------------------------------T e n n e s s e e V a lle y A u t h o r it y 2--------------------V e t e r a n s A d m i n i s t r a t i o n ---------------------------C iv il A e r o n a u t i c s B o a r d 3 --------------------------F e d e r a l A v ia t io n A g e n c y 3--------------------------- 5 7 3 8 23 22 3 13 1 1 7 11 5 1 1 8 1 2 3 1 5 12 14 2 7 4 3 1 1 2 1 2 9 ' _ 1 6 _ 4 1 _ 5 1 1 1 1 _1 4 1 4 1967 and 1964 A F L -C I O E m p lo y e e o r g a n iz a t io n s W ork ers 1967 1964 1967 9 8 4 ,3 1 8 5 9 9 ,5 4 2 1 42 6 , 206 2, 039 2, 766 3 8 ,9 2 2 53, 931 1 4 0 ,7 3 9 1 9 ,5 6 9 4 , 148 2 ,4 6 0 9 ,0 3 5 6 0 8 ,8 3 3 4 , 387 3, 054 397 98 5, 240 19 2, 983 230 264 7 ,2 1 0 1 4 ,3 3 7 6 6 ,6 9 6 1 2 ,2 5 9 724 1 4 3 6 18 16 2 12 1 1 6 9 4 i 1 4 1 5 ,4 8 4 1 ,5 2 9 1 ,6 1 2 28 435 8 1 7 ,9 7 8 5 5 , 401 - _ 4 , 079 4 7 1 ,4 1 4 - 732 22 1 ,7 7 2 20 42 1 ,8 0 0 30 7 _ 1 4 ,0 7 1 11 839 1964 '2 3 1 3 1 4 9 11 1 6 _ 1 4 _ 4 1 2 1 U n a ffilia te d 1967 1964 9 0 4 ,9 5 2 5 2 5 ,2 7 4 1 22 4 , 165 701 2, 766 3 3 ,8 2 5 4 5 , 054 1 2 7 ,6 1 1 1 9 ,5 1 3 3, 845 2 ,4 6 0 9 , 035 5 7 8 ,1 0 6 2, 757 1 ,5 5 6 397 98 2, 970 19 2 , 558 230 264 4 ,9 1 0 1 0 ,4 4 5 6 4 , 568 1 2 ,2 0 7 609 4 3 4 _ 5 ,4 8 4 1 1 2 1 2 6 1 _ 1 ,6 1 2 28 435 8 1 7 ,9 7 8 4 4 ,5 2 9 - 1 1 2 1 4 E m p lo y e e o r g a n iz a t io n s W ork er s 1967 _ 4 , 079 4 0 8 ,3 3 3 _ 732 22 _ 1 ,2 2 1 20 _ 2 5 6 1 1 1 11 7 9 ,3 6 6 7 4 ,2 6 8 1 2, 041 1 ,3 3 8 4 25 _ _ 1 3 3 1 1 _ _ 1 2 1 2 _ _ _ _ _ 5, 097 8 ,8 7 7 13, 128 56 303 2; 300 3, 892 2, 128 52 115 _ _ 3 0 ,7 2 7 1 ,6 3 0 1 ,4 9 8 _ 4 _ _ _ 6 3 , 081 _ _ _ _3 2, 270 551 1 1 ,5 2 9 42 _ 3 - 1964 _ _ _ W ork ers 1967 1964 1 ,8 0 0 _ _ 30 7 1 2 ,3 8 9 11 839 _ 3 2 1 0 ,8 7 2 1 ,6 8 2 - - - - _ 1 T h e s e c o lu m n s a r e n o n a d d itiv e ; m a n y u n io n s b a r g a in w ith m o r e than 1 J 'e d e r a l a g e n c y . 2 T e n n e s s e e V a lle y A u th o r ity a g r e e m e n t s w e r e o u ts id e the s c o p e o f the 1964 s tu d y , but h a ve b e e n in c lu d e d fo r 1967. O f th e 3 T V A a g r e e m e n t s , 2 w ith th e T V A T r a d e s and L a b o r C o u n c il r e p r e s e n t h o u r ly e m p lo y m e n t and an n u al e m p lo y m e n t, and 1 w ith the S a la r y P o l i c y E m p lo y e e P a n e l, r e p r e s e n t s d e fin e d u n its o f s a la r y p o l ic y e m p l o y e e s . T h e T r a d e s and L a b o r C o u n c il a g r e e m e n t s and th e S a la r y P o l i c y E m p lo y e e P a n e l a g r e e m e n t e a c h in c lu d e 1 in d ep en d en t la b o r o r g a n iz a t io n . B e c a u s e w o r k e r c o v e r a g e o f the 2 in d ep en d en t o r g a n iz a t io n s w a s u n a llo c a b le , a ll e m p l o y e e s a r e r e p o r t e d u n d er A F L - C I O u n io n s . 3 T h e F e d e r a l A v ia t io n A g e n c y w as a b s o r b e d b y the D e p a rtm e n t o f T r a n s p o r t a t io n in 1966; the C iv il A e r o n a u t ic s B o a r d w a s n ot r e p o r t e d to h a ve a u n ion in 1967. 4 T a b le 3. F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y a g e n c y and b r o a d o c c u p a t io n a l c o v e r a g e , 1967 and 1964 C l a s s if ic a t i o n A c t 1 T o t a l stu d ie d A g en cy T o t a l ------------------------------------------------------------A g r i c u l t u r e ------------------------------------------------------------C o m m e r c e -------------------------------------------------------------D e f e n s e -------------------------------------------------------------------A i r F o r c e ---------------------------------------------------------------A r m y -----------------------------------------------------------------------N a v y ------------------------------------------------------------------------H ea lth , E d u ca tio n , and W e l f a r e -----------------------Inte r i o r __ ______ ________ ______________________ J u s t i c e --------------------------------------------------------------------L a b o r ---------------------------------------------------------------------P o s t O f f i c e ------------------------------------------------------------T r a n s p o r t a t i o n -----------------------------------------------------T r e a s u r y ---------------------------------------------------------------A t o m ic E n e r g y C o m m i s s i o n ------------------------------C iv il S e r v i c e C o m m i s s i o n --------------------------------G e n e r a l S e r v i c e s A d m in i s t r a t io n --------------------I n t e r s t a t e C o m m e r c e C o m m i s s i o n ------------------N a tio n a l A e r o n a u t ic s and S p a ce A d m in i s t r a t io n --------------------------------------------------N a tio n a l L a b o r R e la t io n s B o a r d -----------------------R a ilr o a d R e t ir e m e n t B o a r d -------------------------------S m a ll B u s in e s s A d m in is t r a t io n — ------ ---------S m ith s o n ia n I n s t itu tio n ---------------------------------------T a r if f C o m m i s s i o n ----------------------------------------------T e n n e s s e e V a lle y A u t h o r i t y ------------------------------V e t e r a n s A d m in i s t r a t io n -----------------------------------C iv il A e r o n a u t ic s B o a r d -------------------------------------F e d e r a l A v ia tio n A g e n c y ------------------------------------ A g reem en ts W ork ers 1967 1964 685 1967 A g reem en ts 1964 W ork ers 1967 1964 T o t a l ------------------------------------------------------------- 1964 209 9 84 , 318 5 99 , 542 155 34 6 4 4 ,6 7 8 4 9 2 , 737 14 10 6 49 110 181 24 45 17 2 i 34 9 7 1 47 1 3 3 i 9 34 65 10 14 6, 206 2, 039 2, 766 38, 922 53, 931 140, 739 19, 569 4, 148 2 ,4 6 0 9, 035 608, 833 4 , 387 3, 054 397 98 5, 240 19 2, 983 230 264 7, 210 14, 337 66, 696 12, 259 724 4 , 079 4 7 1 ,4 1 4 732 22 12 6 2 14 23 30 18 3 1 3 5, 816 1, 399 34 2 985 4 , 553 6, 520 928 139 57 6 08 , 833 1, 337 1 ,6 4 8 397 98 18 _ 2, 983 5 5 1 1 3 1 3 108 - _ 1 1 1 1 5 ,4 8 4 1, 529 1, 612 28 4 35 8 17, 978 5 5 ,4 0 1 - _ 42 1, 800 30 7 - - 3 1 5 1 - 21 1 - 29 1 4 - - 1 ,7 7 2 20 - 1 4 ,0 7 1 11 839 - 1 11 3 7 i 1 _ _ 5 _ - 1 1 1 14 - - _ 1 4 6 9 1 3 1 1 - 1 _ _ 1 1 1 _ 1 W age B oa rd A g r i c u l t u r e ________________________________________ C o m m e r c e ___ ________ __ __ ____ _____ ___________ D e fe n s e - ________- __ -____ ___ __ ___ _______________ A i r F o r c e ---------------------------------------------------------------A r m y -----------------------------------------------------------------------N a v y ------------------------------------------------------------------------H ea lth , E d u c a t io n , and W e l f a r e -----------------------Inte r i o r Ju s ti c e L a b o r ----------------------------------------------------------------------P o s t O f f i c e ------------------------------------------------------------T r a n s p o r t a t i o n ------------------------------------ -------------T r e a s u r y ----------------------------------------------------------------A t o m ic E ne r g y C o m m is s i o n ------------------------------C iv il Se r v i c e C o m m is s io n ------------------------------G en e r a l Se r v i c e s A d m in i s t r a t io n --------------------Inte r sta te C o m m e r c e C o m m is s i o n -----------------N a tio n a l A e r o n a u t ic s and S p a ce A d m i n i s t r a t i o n --------------------------------------------------N a tio n a l L a b o r R e la t io n s B o a r d -----------------------R a ilr o a d R e t ir e m e n t B o a r d -------------------------------S m a ll B u s in e s s A d m in is t r a t io n ------------------------S m ith s o n ia n I n s t itu tio n ---------------------------------------T a r if f C o m m is s i o n ----------------------------------------------T e n n e s s e e V a lle y A u t h o r i t y --------- --------------------V e t e r a n s A d m in i s t r a t io n -----------------------------------C iv il A e r o n a u t ic s B o a r d ------------------ ------------------F e d e r a l A v ia t io n A g e n c y — ---------------------- 1967 203 _ 2 1 11 28 74 1 41 _ _ _ 10 4 _ 17 1 2 _ _ 1 _ _ 2 8 - 93 _ 2 _ - 150 744 339 1 1, 059 18 - 4 , 079 4 7 1 ,4 1 4 22 11 - - _ 42 1, 800 30 46 1 ,5 2 9 _ 30 8 5, 968 4 , 073 - M ix e d 119, 832 62, 635 _ _ 150 327 82 219, 808 4 4 , 170 z _ 1 1 6 13 26 1 2 _ _ 1 2 _ 390 198 224 757 755 081 594 355 403 035 _ 944 033 493 - _ 80 264 130 679 624 200 225 _ 150 _ 385 - 2 3 24 59 77 5 1 16 2 13 2 _ 29 - 2 17 33 11 _ _ 4 18 1 44 2 1, 200 4 , 180 10, 623 79, 138 47 3, 654 _ _ _ 2, 106 373 1, 729 19 1, 930 2, 914 5 4 ,7 3 3 481 _ _ 582 1, 376 20 _ _ 1, 749 _ _ _ _ _ _ _ _ _ _ _ 7 _ _ 12, 010 2, 534 - - - - - 312 11 119 86 28 4 8 , 794 13, 759 - - - - - 1 " 674 - 1 1 1 2 - 28 _ _ “ _ 1, 33, 38, 55, 18, 2, 9, 1, 3, 5, 10, 11, 1, _ 3, 735 _ _ _ _ 1 _ _ _ 1, 612 _ _ 3 2 _ 405 _ _ - 1 F o r th is stu d y, e m p l o y e e s c o v e r e d b y st a t u t o r y s a la r y s y s t e m s o th e r than C l a s s if ic a t i o n A c t , and e m p lo y e e s c o v e r e d b y s e p a r a t e p a y s y s t e m s a r e c a r r i e d u n d er C l a s s if ic a t i o n A c t , e x c e p t f o r the T V A T r a d e s and L a b o r (b lu e c o l la r ) c l a s s i f ic a t i o n s w h ic h a r e c a r r i e d u n d e r W a ge B o a r d . 5 T a b le 4. F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y s iz e o f b a r g a in in g u n it, 1967 and 1964 T o t a l stu d ied N u m b e r o f e m p lo y e e s in b a r g a in in g unit T otal _ A g reem en ts _______________ •______ 1 - 5 0 ___________________ ____ __________ 5 1 -1 0 0 1 0 1 -1 5 0 1 5 1 -2 0 0 ______________________________ 2 0 1 -3 0 0 ______________________________ 3 0 1 -5 0 0 ______________________________ 5 0 1 - 7 5 0 . _________ ____________________ 7 5 1 -1 ,0 0 0 1 ,0 0 0 - 5 , 0 0 0 ........................................... O v e r 5 ,0 0 0 ___________________________ N ot a v a ila b le ________________________ 1967 1964 685 175 87 60 45 65 77 52 42 65 17 " A F L -C I O W ork er s A g reem en ts U n a ffilia te d W ork ers A g reem en ts 1964 1967 1964 1967 1964 1967 1964 209 9 8 4 ,3 1 8 5 9 9 ,5 4 2 ‘ 553 183 9 0 4 ,9 5 2 5 2 5 ,2 7 4 1 133 27 7 9 ,3 6 6 7 4 ,2 6 8 60 19 21 14 19 16 19 10 22 6 3 4 ,6 1 6 6, 376 7 ,6 5 1 7, 960 1 5 ,7 6 8 3 0 ,3 2 0 3 2 ,2 4 0 35, 720 1 1 8 ,3 8 7 7 2 5 ,2 8 0 “ 1 ,5 9 4 1, 340 2 ,7 3 4 2, 492 4 , 609 6, 485 1 2 ,1 6 2 8, 830 4 9 ,6 5 8 5 0 9 ,6 3 8 " 135 70 51 37 49 66 38 34 57 1 16 “ 55 15 19 12 16 14 16 7 20 6 3 3, 515 5, 038 6, 538 6 , 608 11, 787 2 5 ,7 7 2 2 3 ,3 6 7 2 9 ,1 1 3 1 0 7 ,5 1 9 6 8 5 ,6 9 5 " 1 ,4 8 3 1 ,0 6 7 2 ,4 6 9 2, 134 3, 931 5 ,6 6 0 1 0 ,3 6 0 6 , 307 4 5 , 306 4 4 6 ,5 5 7 40 17 9 8 16 11 14 8 8 13 5 4 2 2 3 2 3 3 2 1 1, 101 1 ,3 3 8 1, 113 1, 352 3, 981 4 , 548 8 , 873 6, 607 1 0 ,8 6 8 3 9 ,5 8 5 111 27 3 265 358 678 825 1 ,8 0 2 2, 523 4 , 352 6 3 , 081 " “ “ 1 In 1967, the n a tio n a l P o s t O ffic e a g r e e m e n t c o v e r e d 6 u n ion s a ffilia t e d w ith the A F L -C I O , and 1 u n a filia te d u n ion , A g r e e m e n t c o v e r a g e w as a ll o c a t e d b y a ffilia t io n . c o v e r e d 4 a ffilia t e d u n ion s and 2 u n a ffilia t e d u n io n s. T a b le 5. 1967 and F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s , e x c l u s iv e o f P o s t O f f i c e , b y r e g io n , 1 1964 A g re e m e n ts E m p lo y e e covered R e g io n 1 T o t a l __________________________ I n t e r r e g io n a l a g r e e m e n t s _________ _ ___ N ew E n g la n d __ M id d le A t l a n t i c ______________________ E a st N orth C e n t r a l ________________ W est N o rth C e n t r a l ______ South A t l a n t i c _____________ __________ E a st South C e n t r a l _________________ W est South C e n t r a l ________________ M o u n t a in _____________________________ P a c i f i c _______________________________ O u tsid e the U n ited S ta tes _________ 1967 1964 1967 1964 684 208 3 7 5 ,4 8 5 1 2 8 ,1 2 8 19 4 3 1 ,4 5 0 4 ,8 3 3 59 85 50 30 171 38 51 51 119 11 16 30 16 14 50 10 17 11 36 4 2 8 ,8 2 6 5 0 ,1 2 9 2 3 ,1 3 4 9 ,4 3 7 9 1 , 188 2 6 ,3 1 0 1 5 ,2 2 5 2 3 ,4 1 7 7 0 ,7 0 9 5 ,6 6 0 7, 098 2 3 , 391 6 ,8 3 8 2, 808 3 6 ,9 1 5 7, 800 5, 828 2, 343 3 0 ,0 0 9 265 1 T h e r e g i o n s u s e d in t h is study in c lu d e : N ew E n g lan d — C o n n e c t ic u t , M a in e , M a s s a c h u s e t t s , N ew H a m p s h ir e , R h od e I s la n d , and V e r m o n t ; M id d le A t la n t ic — N ew J e r s e y , N ew Y o r k , and P e n n s y lv a n ia ; E a s t N o rth C e n t r a l— I ll in o i s , In d ia n a , M ic h ig a n , O h io , and W is c o n s in ; W est N orth C en tra l-— Io w a , K a n s a s , M in n e s o t a , M i s s o u r i , N e b r a s k a , N orth D a k ota , and South D a k ota ; South A t la n t ic — D e la w a r e , D is t r ic t o f C o lu m b ia , F lo r id a , G e o r g ia , M a r y la n d , N orth C a r o lin a , South C a r o lin a , V i r g in ia , and W est V ir g in ia ; E a s t South C e n t r a l— A la b a m a , K e n tu ck y , M i s s i s s i p p i , and T e n n e s s e e ; W est South C e n t r a l— A r k a n s a s , L o u is ia n a , O k la h o m a , and T e x a s ; M ou n ta in — A r iz o n a , C o l o r a d o , Id a h o, M on ta n a , N ew M e x i c o , N e v a d a , U ta h, and W y o m in g ; and P a c i f i c — A la s k a , C a lifo r n ia , H a w a ii, O r e g o n , and W a sh in g ton . 6 W ork er s 1967 1967 1964 “ " In 1 964, the a g r e e m e n t Chapter II. Agreement Impasse Procedures T h e 1961 P r e s i d e n t ' s T a s k F o r c e o n E m p l o y e e - M a n a g e m e n t R e l a t i o n s i n th e P u b l i c S e r v i c e r e c o m m e n d e d that i m p a s s e r e s o l u t i o n p r o c e d u r e s , " d e v i s e d and a g r e e d to on a n a g e n c y b y a g e n c y b a s i s , " s h o u l d b e a v a i l a b l e to th e n e g o t i a t i n g p a r t i e s , b u t th a t a n y i m p a s s e s o c c u r r i n g " s h o u l d b e s o l v e d b y o t h e r m e a n s than a r b i t r a t i o n . " E xecu tiv e O r d e r 1 1 4 9 1 s t i p u l a t e d t h a t w h e n v o l u n t a r y p r o c e d u r e s , i n c l u d i n g th e u s e o f th e F M C S , d o n o t w o r k t h e n th e F e d e r a l S e r v i c e I m p a s s e s P a n e l ( F S I P ) " m a y c o n s i d e r th e m a t t e r a n d m a y r e c o m m e n d p r o c e d u r e s t o th e p a r t i e s f o r th e r e s o l u t i o n o f th e i m p a s s e o r m a y s e t t l e th e i m p a s s e b y a p p r o p r i a t e a c t i o n . A r b it r a t i o n o r t h i r d - p a r t y fa c t fin d in g w ith r e c o m m e n d a t i o n s t o a s s i s t i n th e r e s o l u t i o n o f a n i m p a s s e m a y b e u s e d b y th e p a r t i e s o n l y w h e n a u t h o r i z e d o r d i r e c t e d b y th e p a n e l . " S h o r t o f a r b i t r a t i o n and i n v o c a t i o n o f th e F S I P , th e p r i n c i p a l p r o c e d u r e s v o l u n t a r i l y d e v i s e d b y th e p a r t i e s a n d f o u n d i n a g r e e m e n t s w e r e f a c t f i n d i n g , m e d i a t i o n , a n d r e f e r r a l o f d e a d l o c k e d i s s u e s to h i g h e r a u t h o r ity f o r r e s o lu t i o n . T h e s e a p p e a r e d i n n e a r l y h a l f ( 3 2 1 ) o f th e 6 8 4 a g r e e m e n t s s t u d i e d ( t a b l e 6 ). V i r t u a l l y a l l c o n t r a c t s i n th e V e t e r a n s A d m i n i s t r a t i o n ( 1 0 6 ) , G e n e r a l S e r v i c e s A d m i n i s t r a t i o n ( 4 6 ) , a n d th e D e p a r t m e n t o f I n t e r i o r (4 5 ) c o n t a i n e d o n e o r m o r e o f t h e s e procedures. T h e p e r c e n t a g e s w e r e n o t a b l y l o w in th e N a v y , A i r F o r c e , A r m y , a n d D ep a rtm en t of T ra n sp o rta tio n a g re e m e n ts. A l t h o u g h m o s t c o n t r a c t s c o n t a i n e d p r o v i s i o n s r e f e r r i n g i m p a s s e s to h i g h e r a g e n c y a u t h o r i t i e s f o r r e s o l u t i o n , m o s t F e d e r a l e m p l o y e e s i n th e s t u d y w e r e c o v e r e d b y p r o v is io n s c r e a tin g fa ctfin d in g c o m m it t e e s . Agreements Employees Total ----------------------------------------------------- -------- 684 375, 485 Having impasse resolution procedures * -------- -------F actfinding 2 ----------------------------------------------- -------M ed iation--------------------------------------------------- -------Referral to higher authority---------------------- -------No reference to impasse resolution procedures----------------------------------------------------- -------- 321 187 76 201 154,810 102, 472 45, 866 68, 706 363 220,675 1 Nonadditive. A number of agreements contained more than 1 procedure. 2 Not included in these tabulations are 23 Department of Interior agreements providing for prenegotiation factfinding committees which were charged with developing relevant facts for the negotiating parties. C o m p a r e d w i t h 1 9 6 4 , b o t h f a c t f i n d i n g a n d m e d i a t i o n in 1 9 6 7 c o v e r e d a b o u t th e s a m e p r o p o r t i o n o f a l l c o n t r a c t s s t u d i e d , b u t th e p r o p o r t i o n o f w o r k e r s i n c r e a s e d . In b o t h y e a r s , h o w e v e r , o n l y a s m a l l p r o p o r t i o n o f th e a g r e e m e n t s u s e d t h e s e p r o c e dures: Percent in 1967______ Procedure Factfinding --------Mediation ----------- Agreements Employees 2 7 .3 1 1.1 2 7 .3 1 2 .2 ______ Percent in 1964 Agreements 2 5 .0 1 1 .5 Employees 1 5 .7 6 .2 P r e c i s e i n f o r m a t i o n o n r e f e r r a l o f i m p a s s e s to h i g h e r a u t h o r i t y w a s n o t a v a i l a b l e f o r 1964. A t t h a t t i m e , th e B u r e a u e s t i m a t e d th a t i n a b o u t 25 p e r c e n t o f th e c o n t r a c t s , s t a l e m a t e d i s s u e s c o u l d b e s u b m it t e d to an a g e n c y o f f i c i a l f o r f i n a l and b in d in g d e c i s i o n . In 1 9 6 7 , t h i s p r o p o r t i o n w a s a l m o s t 30 p e r c e n t . 7 E a c h o f th e t h r e e p r o c e d u r e s f o l l o w e d a g e n c y p a t t e r n s . F a ctfin d in g to ta ls, fo r e x a m p l e , w e r e i n f l u e n c e d b y 106 V e t e r a n s A d m i n i s t r a t i o n a g r e e m e n t s ; m e d i a t i o n p r o v i s i o n s b y t h e I n t e r i o r D e p a r t m e n t ( 4 3 ) ; and r e f e r r a l to h i g h e r a u t h o r i t y b y a c o m b i n a t i o n o f t h e G e n e r a l S e r v i c e s A d m i n i s t r a t i o n ( 4 5 ) , I n t e r i o r ( 3 2 ) , A r m y ( 2 8 ) , and V e te r a n s A d m in is t r a t io n (2 3 ). O f t h e 321 p r o v i s i o n s , 1 3 5 , o r 4 2 . 1 p e r c e n t , c o n t a i n e d m o r e t h a n o n e m e a n s o f r e s o l v i n g i m p a s s e s ( t a b l e 6 ). T h e s e c o v e r e d 39 p e r c e n t o f th e e m p l o y e e s u n d e r a g r e e m e n ts h av in g p r o c e d u r e s f o r r e s o lv i n g n e g o tia tio n s t a le m a t e s . M o s t in v o lv e d a c o m b i n a t i o n o f f a c t f i n d i n g a n d r e f e r r a l t o h i g h e r a u t h o r i t y (81 a g r e e m e n t s a n d 4 5 , 9 5 7 e m p lo y e e s). U n d e r m u l t i p l e s t e p p r o v i s i o n s , th e n e g o t i a t i n g p a r t i e s c o u l d a v a i l t h e m s e l v e s s e q u e n t ia l ly o f tw o o r t h r e e d i f f e r e n t m e t h o d s s h o u ld an i m p a s s e b e r e a c h e d . For e x a m p l e , a c o m m i t t e e ’ s f i n d i n g o f f a c t c o u l d b e u s e f u l to h i g h e r m a n a g e m e n t a u t h o r i t y , e v e n t h o u g h t h e c o m m i t t e e w a s u n a b l e to s e t t l e th e i s s u e s . F a ctfin d in g C o m m itte e s W e l l o v e r f o u r - f i f t h s o f th e 1 87 f a c t f i n d i n g c o m m i t t e e s i n t h e s t u d y w e r e e s t a b l i s h e d as t r i p a r t i t e b o d i e s , h a v in g an e q u a l n u m b e r o f u n io n and m a n a g e m e n t a p p o i n t e e s w h o jo in t ly s e l e c t e d a n e u tr a l th ird p a r t y . Agreements With factfinding procedures ------Referring to composition of co m m ittee-------------------------------------------Bipartite -------------------------------------------Tripartite -----------------------------------------Single third party ----------------------------Other -------------------------------------------------No reference to composition of committee ------------------------------------------- T h e h igh p r e v a l e n c e f o r V etera n s A d m in istra tio n 5 3 ,1 3 9 e m p lo y e e s . Employees 187 102 ,4 72 177 13 161 1 2 99, 208 8 ,02 1 7 7 ,3 9 9 221 13,567 10 3, 264 tr ip a r tite c o m m i t t e e s , as n oted p r e v i o u s l y , w as in flu e n ce d by a g r e e m e n t s w h ic h in c l u d e d 102 p r o v i s i o n s and w h i c h c o v e r e d T h e n u m b e r o f u n io n and m a n a g e m e n t m e m b e r s o n t r i p a r t i t e c o m m i t t e e s v a r i e d , but p r e d o m in a n t l y , th e y in c lu d e d e it h e r on e o r tw o r e p r e s e n t a t i v e s f r o m e a c h p a r t y . In t h e f i r s t i l l u s t r a t i o n b e l o w , t h e c o m m i t t e e h a d t o b e c o m p o s e d o f b a r g a i n i n g u n i t e m p loyees. T h is r e q u i r e m e n t w a s fo u n d in a n u m b e r o f a g r e e m e n t s . It i n s u r e s th a t the t h ir d p a r t i e s w i l l b e f a m i l i a r w ith the u n it ’ s o p e r a t i o n s and p r o b l e m s . (1) The factfinding committee shall consist of three storage division employees: Employer and union shall each appoint one member, and these two shall select the third member. No member of the negotiating committee shall serve on the factfinding committee. (2) When mutual agreement cannot be reached on matters subject to consultation and negotiation, the negotiating parties agree to submit the dispute to a factfinding committee consisting of five members, two selected by the employer, two selected by the union, and the fifth member will be selected by the first four members. O n e p r o v i s i o n e s t a b l is h e d a t r ip a r t it e c o m m i t t e e w ith tw o n e u t r a l in d iv id u a ls , on e o f w h o m fu n ctio n e d as a n on v otin g c h a ir m a n . E a ch w as s e le c t e d d iffe r e n t ly . O ne w as to b e c h o s e n b y u n io n and m a n a g e m e n t r e p r e s e n t a t i v e s f r o m a n y s o u r c e , but th e n o n v o t i n g c h a i r m a n w a s to b e s e l e c t e d f r o m an e s t a b l i s h e d l i s t o f g r i e v a n c e e x a m i n e r s : (3) When agreement cannot be reached on working conditions or matters subject to negotiation, the negotiating parties shall submit the dispute to a joint factfinding committee consisting of six members, two selected by the command, two selected by the union, the fifth member will be selected by the four members, and the sixth member will be a nonvoting chairman selected from the list of grievance examiners by mutual agreement of the union and the command. 8 O n l y 13 a g r e e m e n t s follow in g : (4) c r e a t e d fa ctfin d in g c o m m it t e e s that w e r e b ip a rtite , as i n th e In case of impasse during negotiations or consideration of questions relating to the interpretation or application of this basic agreement or supplements thereto, the hospital director and union shall each designate two representatives to serve as a factfinding committee. . . . T h r e e a d d ition a l a g r e e m e n t s fitted n e ith e r a b ip a r tite n o r tr ip a r tite d e s c r ip t io n . O n e p r o v i d e d f o r a s i n g l e n e u t r a l t h i r d p a r t y r a t h e r th a n a c o m m i t t e e a n d th e o t h e r t w o p r o v i d e d f o r e i t h e r a s i n g l e n e u t r a l o r a t r i p a r t i t e c o m m i t t e e d e p e n d i n g u p o n th e s c o p e a n d c o m p l e x i t y o f th e i m p a s s e : (5) If consultation and negotiation on a negotiable matter fail to produce an amicable agreement, it shall be the prerogative of either the head of the agency or the union to request the use of a disinterested third party for development of facts bearing on the dispute and for the presentation of an advisory recommendation. (6) When agreement cannot be reached on working conditions or matters subject to negotiations, the negotiating parties shall submit the dispute to a joint factfinding committee. This committee may consist of one or more member(s) depending upon the mutual agreement of the negotiating team consistent with the scope and complexity of the problem to be resolved. The factfinding group, if more than one, will be equally represented by the union and employer with an odd or impartial member, if required, to be mutually selected. A l l b u t 3 o f t h e 187 a g r e e m e n t s r e f e r r i n g t o f a c t f i n d i n g s t i p u l a t e d th e c o m m i t t e e ' s a u th o rity . T h e p r e p o n d e r a n c e l i m i t e d th e c o m m i t t e e to a f i n d i n g o f f a c t s o n l y , b u t i n o n e - t h i r d o f t h e c o n t r a c t s i t w a s a l s o a u t h o r i z e d to m a k e r e c o m m e n d a t i o n s . The latter w i l l b e a f f e c t e d b y th e r e q u i r e m e n t i n E x e c u t i v e O r d e r 1 1 4 9 1 th a t f a c t f i n d i n g b o a r d s m a k i n g r e c o m m e n d a t i o n s c a n o n l y b e e m p l o y e d w i t h th e a p p r o v a l o f t h e F e d e r a l S e r v i c e Im p a s s e s P an el: Scope of authority Agreements Employees With factfinding procedures-------- 187 102, 472 Referring to scope of authority-------------Finding of facts o n l y ------------------------Permitted to make recommendations --------------------------Other --------------------------------------------------No reference to scope of authority-------- 184 122 100,871 78, 668 59 3 3 21,641 562 1,601 N o r m a l l y , th e f a c t f i n d i n g c o m m i t t e e w o u l d s u b m i t i t s a s s e s s m e n t o f th e f a c t s d i r e c t l y to the n e g o t ia t in g p a r t i e s , a s in the f i r s t i l l u s t r a t i o n b e l o w . In t h i s m a n n e r , t h e a u t h o r i t y o f th e n e g o t i a t i n g p a r t i e s w a s n o t a b r i d g e d , a n d t h e a c t i v i t i e s o f t h e f a c t f i n d i n g c o m m i t t e e p e r m i t t e d th e n e g o t i a t o r s a c o o l i n g o f f p e r i o d . H o p e f u l ly the fin d in g s o f f a c t w o u ld p r o v i d e the n e g o t i a t o r s w ith a b a s i s f o r s e t t l e m e n t w h e n th e y r e t u r n e d to the b a r g a in in g t a b le . T h e r e w e r e a d d i t i o n a l p r o v i s i o n s , h o w e v e r , u n d e r w h i c h th e fa c t fin d in g c o m m i t t e e r e f e r r e d d e a d l o c k e d i s s u e s to h ig h e r a u t h o r it y , a s in the s e c o n d illu stra tio n . In t h i s c a s e , t h e a d v e n t o f th e f a c t f i n d i n g c o m m i t t e e m e a n t t h a t t h e n e g o tia tin g c o m m i t t e e h ad t e r m in a t e d its fu n c tio n . B oth illu s tr a t io n s , c o m in g fr o m d if f e r e n t a g r e e m e n t s i n th e s a m e a g e n c y , a r e w o r d e d i d e n t i c a l l y e x c e p t f o r th e r e f e r r a l o f fin d in g s: (1) The committee shall, by inquiry, research the exact facts at the basis of the dispute and submit their findings to the negotiating parties for consideration. (7| . . . The committee shall, by inquiry, research the exact facts at the basis of the dispute and submit their findings to the depot commander for decision. . . . A num ber in th e f o l l o w i n g o f p r o v i s i o n s l i m i t i n g th e c o m m i t t e e t o f i n d i n g s e x a m p le s , t h a t th e c o m m i t t e e w o u l d m a k e i t s o f fa c t s p e c if ie d , as p r e s e n t a t io n w ith ou t 9 r e c o m m e n d a t io n o r w ou ld not h ave "a n y a u th o rity o f d e c is io n . " O f t e n s i l e n t o n th e m e t h o d o f p r e s e n t a t i o n , s o m e p r o v i s i o n s s t i p u l a t e d th a t t h e r e p o r t m u s t b e m a d e in w r i t i n g , o r , a s in t h e ’ s e c o n d i l l u s t r a t i o n , b o t h in p e r s o n a n d in w r i t i n g : (8) The committee shall, by inquiry, research, and conference, ascertain the exact facts at the basis of the dispute and submit their findings, without recommendations, to the negotiating parties for consideration, by a date specified by the negotiating committee. (9) . . . This committee will not include any member of the negotiating parties, nor will it have any authority of decision. The committee will study the situation at issue and present its findings in person and in writing to the negotiating parties. . . . O r d i n a r i l y , the c o m m i t t e e ' s fin d in g o f f a c t w o u ld b e s u b m it t e d as o n e r e p o r t . T h e im p lic a t io n w as on e o f u n a n im ity. O ne c l a u s e , h o w e v e r , p r o v i d e d f o r the s u b m i s s i o n o f a m i n o r i t y r e p o r t s h o u l d d i f f e r e n c e s d e v e l o p a n d b e u n r e s o l v e d w i t h i n th e fa ctfin d in g c o m m it t e e : (10) . . . The committee shall ascertain and review the facts involved in the impasse and promptly submit its findings to the negotiating parties. If the findings are not unanimous, each member may submit a separate report. T h e 59 a g r e e m e n t s w h i c h p e r m i t t e d t h e f a c t f i n d i n g c o m m i t t e e m e n d a t i o n s u s e d v i r t u a l l y u n i f o r m l a n g u a g e , a s i n th e f o l l o w i n g : (11) to m a k e recom This committee will research all facts pertaining to the matter involved and will submit its findings and recommendations to the negotiating parties within 10 working days. W h e r e a s m o s t o f t h e p r o v i s i o n s l i m i t i n g t h e c o m m i t t e e to f a c t f i n d i n g s w e r e i n V e te ra n s A d m in is tr a tio n c o n t r a c t s , th ose w h ich p e r m itte d r e c o m m e n d a tio n s w e r e c l u s t e r e d l a r g e l y i n A r m y ( 2 0 ) a n d J u s t i c e D e p a r t m e n t (1 6 ) a g r e e m e n t s . T h r e e a d d it io n a l a g r e e m e n t s , a ll in v o lv in g u nits o f the V e t e r a n s A d m i n i s t r a t i o n , p r o v i d e d s o m e f l e x i b i l i t y . T w o p e r m i t t e d t h e n e g o t i a t i n g p a r t i e s to d e t e r m i n e th e s c o p e o f a u t h o r i t y o f th e f a c t f i n d i n g c o m m i t t e e w h e n t h e y r e f e r r e d th e s t a l e m a t e to it: (12) The factfinding committee shall, by inquiry, research, conference, and other means considered necessary, develop and assemble the facts relating to the matter at issue and submit their findings in writing to the negotiating committee for considerations. Such findings may be submitted with or without recommendations as may be agreed upon by the parties at time of referral. T h e th ird p r o v id e d f o r s ta g e s o f fa ctfin d in g c o m m it t e e a c tiv ity . In t h e i n i t i a l s t a g e t h e c o m m i t t e e w a s l i m i t e d to a r e p o r t o f f i n d i n g s . If s u b s e q u e n t l y t h e p a r t i e s r e m a i n e d s t a l e m a t e d , th en the c o m m i t t e e w o u ld r e e v a l u a t e e v e n t s and r e s u b m i t f i n d i n g s , t h i s t i m e w i t h r e c o m m e n d a t i o n s . F i n a l a u t h o r i t y s t i l l r e m a i n e d w i t h th e p a r t i e s , h o w e v e r , s i n c e the r e c o m m e n d a t i o n s w e r e n o t b in d in g : (13) The committee shall, by inquiry, research, and conference, ascertain the exact facts at the basis of the dispute and submit their findings without recommendations, within 10 days, to the negotiat ing parties for consideration. . . . In the event the parties are still unable to reach an agreement, the dispute will be referred back to the factfinding committee who will reevaluate the situation and submit their findings, with recommendations, within 10 days. These recommendations will not be binding upon the parties. S h ou ld n e g o t ia t io n s m o v e t o w a r d an i m p a s s e , fo r in v ok in g fa ctfin d in g . T he f i r s t w a s a u to m a tic . fa ctfin d in g m a c h in e r y w ill be in itia ted . The q u estion an i m p a s s e h a s b e e n r e a c h e d . In s o m e i n s t a n c e s , i m 10 c o n t r a c t s p r o v i d e d tw o a p p r o a c h e s W h e n a n i m p a s s e i s r e a c h e d , the th en b e c o m e s o n e o f d e c id i n g w h en p a s s e is r e a c h e d o n ly a ft e r s e r io u s a n d / o r d i l i g e n t n e g o t i a t i o n s , as in the t h ir d il l u s t r a t i o n . E m p lo y m e n t o f s u c h la n g u a g e i n d i c a t e s a n u n d e r l y i n g c o n c e r n t h a t i f i t i s t o o e a s y to t u r n to o u t s i d e r s , t h e p a r t i e s w o u l d t e n d to f o r e g o t h e i r n e g o t i a t i n g r e s p o n s i b i l i t e s . (14) When agreement cannot be reached on working conditions or matters subject to negotiation, the negotiating parties shall submit the dispute to a joint factfinding committee. . , , (9) When impasses arise, a factfinding committee will be established consisting of two members selected by the district engineer and two members selected by the lodge president. (15) When agreement is not reached after serious and diligent negotiation, the parties hereby agree to submit the issue to a joint factfinding committee. U n d e r t h e s e c o n d a p p r o a c h i n i t i a t i o n o f f a c t f i n d i n g r e q u i r e d th e p o s i t i v e o f th e p a r t i e s , a g a i n w i t h th e p r e r e q u i s i t e o f d i l i g e n t b a r g a i n i n g : (16) a ction o f one In the event of a dispute between the employer and the union which is not resolved after diligent consultation or negotiation, either party may request in writing to the other that the dispute be submitted to a joint factfinding committee. R e f e r r a l to H i g h e r A u t h o r i t y O f th e 201 p r o v i s i o n s th a t r e f e r r e d r e s o l u t i o n o f i m p a s s e s to h i g h e r a u t h o r i t y , t h r e e - f i f t h s r e q u i r e d f i r s t t h a t s o m e o t h e r m e a n s o f b r e a k i n g th e s t a l e m a t e m u s t b e e n t r i e d ( t a b l e 6 ). M o s t f r e q u e n t l y th is w a s f a c t f in d in g ; l e s s o f t e n , m e d i a t i o n . over have T h e r e m a i n d e r w e n t d i r e c t l y to h ig h e r t r u e in G e n e r a l S e r v i c e s A d m i n i s t r a t i o n le v e ls of m an agem en t. (G S A ) c o n t r a c t s . T h is was e sp e cia lly A b o u t t w o - t h i r d s o f th e r e f e r r a l a g r e e m e n t s ( 1 3 0 ) s e t f o r t h th e s t a t u s o f th e h ig h er a u th o rity ’ s d e c is io n . In m o s t c a s e s , th e d e c i s i o n w a s b i n d i n g a n d t h u s w a s s i m i l a r t o a r b i t r a t i o n in p r i v a t e i n d u s t r y e x c e p t t h a t th e f i n a l d e t e r m i n a t i o n w a s m a d e b y a m a n a g e m e n t o f f i c i a l in s te a d o f a n e u tra l th ird p a r ty . 6 (17) Impasses between the employer and the employee organization may be submitted to the Adminis trator of GSA. The decision of the administrator will be binding upon all concerned. (18) If the parties are still unable to reach agreement, the dispute shall be submitted by the parties to the Director of the Weather Bureau or his designated representative for consideration of the evidence, at which level the lodge may be represented by its national office. The decision of the Director of the Weather Bureau shall be final and binding on both parties to the disagreement. In o t h e r s , th e f i n d i n g w a s fo r fu rth e r n eg otia tion s: a d v iso ry . The p a rties cou ld a c c e p t it o r u s e it as a b a sis (19) If the problem is not resolved after the negotiating parties examine the committee report, the matter shall be referred to the department level for an advisory opinion and a copy of the referral sent to the national office of this Federation. (20) In the event the issue in dispute is not resolved, the matter shall be referred to the Director, Division of Claims Control, for his consideration and advice. (21) If the problem is not resolved within 15-calendar days after the negotiating parties examine the factfinding report, each party retains the right to submit both proposals to their respective higher headquarters for their recommendations. S t a l e m a t e s , s o m e t i m e s , c o u l d b e c a r r i e d to s e v e r a l l e v e l s o f h i g h e r a u t h o r i t y . d e c i s i o n s o f i n t e r m e d i a t e l e v e l s w e r e n o t fi n a l , bu t s u b j e c t to fu r t h e r r e v i e w : Thus, 6 Exective Order 11491 provides that arbitration, like third-party factfinding with recommendations, may be used to overcome negotiation stalemates, but only with the approval of the Federal Service Impasses Panel. 11 ( 22 ) If agreement on issues cannot be reached between the association and the district supervisor, the Association may present its case to the Tobacco Division Director and so on to the Administrator of AMS and to the Director of Personnel of USDA if still dissatisfied. (23) Impasses over those matters appropriate to this agreement which are within the delegated authority of the Forest may be appealed to the Chief, Division of Personnel Management, Southern Region. Decisions and impasses unresolved at the regional level will be appealed first to the Washington office, then to the Department of Agriculture. S e v e r a l c l a u s e s c l e a r l y i n d i c a t e d th a t i n t e r m e d i a t e l e v e l s o f m a n a g e m e n t c o u l d a t t e m p t to r e s o l v e th e i m p a s s e , r a t h e r t h a n o f f e r d e c i s i o n s t h a t c o u l d b e a p p e a l e d to th e n e x t h i g h e r s t e p . F i n a l , a n d u s u a l l y b i n d i n g d e t e r m i n a t i o n s , th u s w o u l d b e r e s e r v e d f o r the h i g h e s t m a n a g e m e n t l e v e l : (24) 1. Both parties shall prepare a concise statement of their respective positions on the impasse and forward it to the Director, Personnel Division, ARS. PD will obtain the views of other interested parties and will suggest a solution of the impasse to the local parties. 2. If the solution suggested by PD is not acceptable to either party and it wishes further con sideration, the matter may be referred by either party to the Administrator, ARS, for final decision. (25) for If efforts to bring about agreement are not successful, the parties may agree to submit the dispute to the Commanding General, U. S. Army Armor Center, or his designated representative for review. If agreement is not reached, the parties may agree to submit the dispute to the Commanding General, First U. S. Army, or his designated representative, whose recommendation shall be final and binding on both parties to the dispute. . . . In o n e p r o v i s i o n , a s t a l e m a t e u n r e s o l v e d at th e h i g h e s t l e v e l an a d v i s o r y o p i n i o n to a n e u t r a l t h ir d p a r t y : (26) as n e g otia tion s a After genuine negotiating sessions in which all proposals and issues have been discussed and there is no further reasonable prospect that either side will make further concessions, both employer and union agree to have impasses submitted to Director, DCASR Philadelphia for resolution. If impasse cannot be resolved at this level it will be submitted to the Staff Director, Civilian Personnel, Headquarters DSA for review and recommended action to the Director, DSA. Con current with the submission to DSAH, copies of correspondence will be forwarded to the national headquarters, AFGE, so they may be fully informed and in a position to negotiate to resolve deadlocks. m a n a g e m e n t a u th o rity w a s a u tom a tic, If the efforts to bring about agreement through normal negotiations at the coast director level are not successful, the dispute shall be submitted by both parties to the Maritime Administrator or his designated representative, for consideration of the evidence. His decision shall be final and bind ing on both parties to the disagreement. A f e w p r o v i s i o n s r e q u i r e d o n e o r b o t h o f th e n e g o t i a t i n g p a r t i e s m a n a g e m e n t ’ s in te rv e n tio n : (29) referred to th e h i g h e s t m a n a g e m e n t a n d u n i o n l e v e l f o r In g e n e r a l , r e f e r r a l o f d e a d l o c k s to h i g h e r in th e f o l l o w i n g : (28) be If the problem is not resolved after the negotiating parties examine the committee report, the matter shall be referred to the Bureau of Prisons and the national office, AFGE, for solution at that level. If the matter cannot be resolved at that level, it may be referred for an advisory opinion by an impartial arbitrator from the Federal Mediation and Conciliation Service. O ther p ro v is io n s m ov ed p o s s ib le se ttle m e n t: (27) co u ld to r e q u e s t h ig h er After genuine negotiating sessions in which all proposals and issues have been discussed and there is no further reasonable prospect that either side will make further concessions, both employer and union agree to have impasses submitted to the staff director, . . . for resolution, if re quested by either party. 12 M ed ia tion A s i n th e 1 9 6 4 . s t u d y , m e d i a t i o n , o r t h e e n t r a n c e o f a t h i r d p a r t y to h e l p r e s o l v e a d e a d l o c k , w a s l e s s p r e v a l e n t than o t h e r m e a n s o f b r e a k in g a s t a l e m a t e . In p a r t , t h i s m a y h a v e r e s u l t e d f r o m th e h a n d s - o f f p o l i c y o f th e F e d e r a l M e d i a t i o n a n d C o n cilia tio n S e r v ic e d u r i n g th e e a r l y y e a r s o f E x e c u t i v e O r d e r 1 0 9 8 8 . 7 D e p a r t m e n t o f I n t e r i o r a g r e e m e n t s ( 4 3 ) i n c l u d e d o v e r o n e - h a l f o f th e 7 6 m e d i a t i o n p r o v i s i o n s , t h e s a m e p r o p o r t i o n a s i n 1 9 6 4 . In w o r k e r c o v e r a g e , h o w e v e r , t h r e e p r o v i s i o n s i n th e T e n n e s s e e V a l l e y A u t h o r i t y a g r e e m e n t s a f f e c t e d 1 7 , 9 7 8 e m p l o y e e s , a l m o s t t w o -fifth s o f a ll e m p lo y e e s c o v e r e d by m e d ia tio n p r o v is i o n s . A lth ou g h m o s t o f th e a g r e e m e n t s ( 5 4 ) e m p l o y e d m e d i a t i o n i n c o n j u n c t i o n w i t h a n o t h e r i m p a s s e r e s o l u t i o n m e t h o d ( u s u a l l y r e f e r r a l to h i g h e r a u t h o r i t y ) , o v e r t w o - t h i r d s o f th e w o r k e r s c o v e r e d b y m e d i a t i o n p r o v i s i o n s ( 3 1 , 2 1 9 ) c a m e u n d e r c o n t r a c t s in w h i c h m e d i a t i o n w a s t h e o n l y procedure. ro le N e a r l y f o u r - f i f t h s o f th e a g r e e m e n t s p r o v i d i n g f o r m e d i a t i o n d e f i n e d th e m e d i a t o r ' s a s th e t r a d i t i o n a l a t t e m p t to c o n c i l i a t e o p p o s i n g v i e w s : (30) The mediator shall use his best efforts to bring the parties to agreement by mediation. A lth o u g h m e d i a t io n o r d i n a r i l y is c o n d u c t e d by a s in g le n e u t r a l, p r o v i d e d f o r a m e d i a t i o n b o a r d , a s in th e f o l l o w i n g i l l u s t r a t i o n : (31) a fe w con tracts /T h e employer/ and th e/u n io n president/ shall each appoint a representative to serve as a member of a mediation board. A third member, mutually agreeable to the first two, shall be chosen by them from a list furnished by the Federal Mediation and Conciliation Service, or from such other sources as the parties may agree upon. The third member shall be a member of the board and chairman thereof. The board shall meet and establish the points at issue. ate the differences between the parties. . . . The chairman will then attempt to medi I n f r e q u e n t l y , p r o v i s i o n s e m p o w e r e d m e d i a t o r s to m a k e r e c o m m e n d a t i o n s to th e p a r t i e s . T h e la n g u a g e fo u n d in t h e s e c l a u s e s w a s r e l a t i v e l y u n i f o r m and r e a d as f o l l o w s : (32) b efore The mediator will be requested to meet with the parties, study the issues, and make recommen dations and suggestions designed to assist the parties in resolving the matters at issue. A s in f a c t f i n d i n g , th e p a r t i e s in itia tin g m e d ia tio n : (33) had to b e at i m p a s s e a ft e r d il ig e n t e f f o r t s to a g r e e If agreement is still not reached following the above procedure, every effort will be made to in sure that the services of a mediator are not invoked prematurely, wastefully, or on inconsequential matters. Mediation will then be used to help solve impasses in negotiation. . . . O c c a s i o n a l l y , n o t i c e to r e q u e s t m e d i a t i o n c o u l d l e a d to o n e l a s t e f f o r t at r e a c h i n g agreem en t. I f th e s t a l e m a t e c o n t i n u e d f o r a d e s i g n a t e d p e r i o d , e i t h e r o n e o f th e n e g o tia to rs co u ld c a ll fo r m ed ia tion : (34) If the agency or the union concludes that an impasse has been reached on a negotiable issue at the agency level, either party may request mediation o f the impasse by furnishing the other party a statement of its present position in writing together with a notice of intent to request mediation. Within 14 days of receipt of the notice, the other party may submit, in the interest of compromise, a counter proposal. Failure to submit a counter proposal within the 14 days will constitute agree ment to proceed with mediation. If after discussion between the parties of a counter proposal . . . either party concludes that the impasse still exists, it may thereupon notify the other party in writing and unilaterally request mediation. 7 Abner, Willoughby. "T he FMCS and Dispute Mediation in the Federal Government, " Monthly Labor Review, May 1969, pp. 2 7 -2 9 . The policy was eased in 1965. Executive Order 11491 refers to FMCS involvement in resolving impasses as a step to be taken before invoking the participation of the Federal Service Impasses Panel. 13 F e w a g r e e m e n t s i n d ic a t e d the m e t h o d b y w h ic h a m e d i a t o r w o u ld b e s e l e c t e d . In t h o s e t h a t d i d , s o m e s t i p u l a t e d t h a t th e m e d i a t o r w o u l d b e a p p o i n t e d b y th e F e d e r a l M e d i a t i o n and C o n c i l i a t i o n S e r v i c e , o r s e l e c t e d b y the p a r t i e s f r o m a l i s t s u p p lie d b y t h e F M C S ; i n o t h e r s , s u c h a l i s t w o u l d b e u s e d o n l y i f th e n e g o t i a t o r s f a i l e d to c h o o s e a m ed ia tor: (35) Authority for the use of a mediator . . . shall be by mutual agreement. . . . A list of approved mediators will be requested from the Federal Mediation and Conciliation Service . . . Upon receipt of the list the parties will meet to make selection of a mediator. (36) . . . If the matter remains unresolved, representatives of the employer and the lodge shall meet . . . to agree upon the selection of a mediator from within the Federal Government Service. If agreement cannot be reached, the lodge and employer may agree to jointly request the Federal Mediation and Conciliation Service to furnish a mediator, if one is available. T h e p a r t ie s a ls o co u ld a n ticip a te p a n el o f a c c e p ta b le n eu tra ls: (37) need for m ed ia tion , and e s t a b l i s h th eir own When agreement is not reached in direct negotiation upon rates of pay and working conditions affecting employees covered by this agreement, either party may invoke the services of a mediator to be selected jointly by the parties from a panel of five suitable persons previously agreed to by the council and the project. U nder m o s t a g reem en ts m u tu al con sen t: (38) fu tu re (4 7 ), one p a r ty co u ld ca ll fo r m ed ia tion ; oth ers (15) req u ire d . . . In the event the parties are unable to reach agreement, negotiation on the disputed issue will be terminated at the end of the 30-day period, unless it is mutually agreed upon to submit it to mediation . . . A s m a ll n u m b er o f a g r e e m e n ts p r e v e n te d p r o lo n g e d m e d ia tio n by lim itin g its d u ra tion . In g e n e r a l , t h i s c o n f o r m e d w i t h th e p o l i c y o f t h e F M C S to l i m i t th e l e n g t h of m ed ia tion e ffo r ts . 8 (32) costs The mediator's services will be terminated as the parties may decide, provided that the mediation period shall not extend beyond a 3-day period unless agreed upon between both parties. . . . M o st m e d ia tio n p r o v is io n s o f m ed ia tion . (39) t h a t th e n e g o t i a t i n g p a r t i e s sh ou ld d iv id e th e The expenses of mediation including the compensation and expenses of the mediator shall be borne equally by the local and project. S o m e t i m e s an e m p l o y e r ’ s fo r con su lta n ts: (40) p rov id e d share was r e s t r i c t e d by e x is tin g a llo w a b le F e d e r a l p a y m e n ts . . . The services of a mediator will be utilized, if mutually desired, prior to the referral of such issues through command channels, and the cost of such services shall be borne equally by the employer and the lodge within the limits of the regulations governing the employment and compensation of experts and consultants. 8 Ibid. 14 T a b le 6. P r o c e d u r e s to r e s o l v e n e g o tia tin g im p a s s e s in F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y a g e n c y , 1967 H aving im p a s s e r e s o lu t io n p r o c e d u r e s T o t a l stu d ie d 1 F a c tfin d in g T ota l A gen cy A gree m en ts E m p lo y e e s T o t a l ---------------------------------------- 684 3 7 5 ,4 8 5 A g r i c u l t u r e ---------------------------------------C o m m e r c e -----------------------------------------D e f e n s e ----------------------------------------------A i r F o r c e ------------------------------------------A r m y --------------------------------------------------N avy „ ____ __ H ea lth , E d u ca tio n , and W e lfa r e — Inte r i o r ________________________ J u s t i c e ------------------------------------------------L a b o r -------------------------------------------------T r a n s p o r t a t i o n --------------------------------T r e a s u r y ------------------------------ -----------A t o m ic E n e r g y C o m m i s s i o n ---------C iv il S e r v i c e C o m m i s s i o n ------------G e n e r a l S e r v i c e s A d m in i s t r a t io n In t e r s t a t e C o m m e r c e C o m m i s s i o n --------------------------- -----N a tio n a l A e r o n a u t ic s and S p a ce A d m in i s t r a t io n --------- ----- — — N a tio n a l L a b o r R e la t io n s B o a r d — R a ilr o a d R e t ir e m e n t B o a r d — S m a ll B u s in e s s A d m in i s t r a t io n ----S m ith s o n ia n In s t itu tio n -------------------T a r i f f C o m m i s s i o n --------------------------T e n n e s s e e V a lle y A u t h o r it y ---------V e t e r a n s A d m in is t r a t io n — ---------- 14 10 6 49 110 181 24 45 17 2 34 9 7 i 47 6, 206 2, 039 2, 766 38, 922 53, 931 140, 739 19, 569 4 , 148 2 ,4 6 0 9, 035 4 , 387 3, 054 397 98 5, 240 1 19 5 5 1 1 3 1 3 108 5 ,4 8 4 1 ,5 2 9 1, 612 28 435 8 17, 978 5 5 ,4 0 1 A gree m en ts 321 9 5 3 15 39 5 15 45 17 1 2 2 3 1 46 E m p lo y e e s E m p lo y e e s A g ree m en ts E m p lo y e e s A gree m e n ts E m p lo y e e s 154, 8 0 87 4 5 , 236 22 31, 219 77 17, 751 5 ,4 2 1 259 563 20, 835 24, 952 3, 568 7, 646 4 , 148 2 ,4 6 0 3, 835 191 1 ,4 9 0 77 98 5, 223 _ 4 4 1 1 1 _ 3, 091 1, 823 75 1, 377 98 _ 5 13 1 - _ 6 ,8 5 1 2, 555 3, 835 - 5, 229 198 342 1, 292 3 ,0 5 2 355 2, 562 27 235 41 77 4 , 341 - 7 2 2 4 5 1 8 2 i 1 3 41 - - - - • - 1, 612 28 200 17, 978 5 4 ,2 2 6 76 38, 772 3 17, 978 - 1 1 2 3 106 A g ree m en ts R e f e r r a l to h i g h e r m a n a g e m e n t a u th o rity M e d ia tio n - - _ H aving im p a s s e r e s o lu t io n p r o c e d u r e s — C on tin u ed F a c tfin d in g and r e f e r r a l T o t a l ___________________________ D e f e n s e ----------------------------------------------- N a v y ----------------------------------------------------H ea lth , E d u c a t io n , and W e lfa r e — I n t e r io r J u s t i c e ------------------------------------------------L a b o r -------------------------------------------------T r a n s p o r t a t io n - ----------------------A t o m ic E n e r g y C o m m i s s i o n ---------C iv il S e r v i c e C o m m i s s i o n ------------G e n e r a l S e r v i c e s A d m in is t r a t io n — In t e r s t a t e C o m m e r c e C o m m is s i o n ---------------------------- , -----N a tio n a l A e r o n a u t ic s and S p a ce N a tio n a l L a b o r R e la tio n s B o a r d — R a ilr o a d R e t ir e m e n t B o a r d --------- — S m a ll B u s in e s s A d m in i s t r a t io n ----S m ith s o n ia n In s t itu tio n -------------------T a r if f C o m m i s s i o n — - — ---------T e n n e s s e e V a lle y A u t h o r it y ---------V e t e r a n s A d m in i s t r a t io n ---------------- F a c tfin d in g , m e d ia tio n , and r e f e r r a l F a c tfin d in g and m e d ia t io n 8 1, 630 11 9, 649 363 2 20 , 675 _ 105 951 444 1, 076 _ _ 121 80 756 490 _ _ 3 2 , 203 28, 979 137, 171 1 1 ,9 2 3 1 150 - - _ _ _ _ _ _ 4 79 - 1 M e d ia tio n and r e f e r r a l 81 4 5 , 957 1 29 61 221 19 2 6 8, 025 2 ,0 1 3 5, 009 16 - 2, 225 113 2 219 _ 2 - - - - - _ _ _ _ _ 1 1 2 22 1 ,6 1 2 28 200 10, 661 35 3, 368 No re feren ce 163 _ - _ " _ _ - " 785 1 - - _ _ _ _ 1 _ 685 4, 170 _ _ 71 176 9 _ _ - _ _ - _ . 1 32 . 4 5, 200 4, 196 1, 564 320 _ - _ _ _ _ 183 _ _ _ _ 7 _ 184 1 17 - 1 19 5 1, 529 1 1 _ 2 235 8 _ _ _ 4 , 610 _ 1, 175 _______________ 1 E x c lu d e s n a tio n a l P o s t O ffic e a g r e e m e n t . 15 Chapter III. Negotiated Grievance Procedures A l m o s t 56 p e r c e n t o f th e a g r e e m e n t s e x a m i n e d r e f e r r e d to n e g o t i a t e d g r i e v a n c e p r o c e d u r e s ; in t o t a l , t h e s e a p p l i e d to 6 5 p e r c e n t o f a l l e m p l o y e e s s t u d i e d ( t a b l e 7 ) . N a v y c o n t r a c t s i n c l u d e d 33 p e r c e n t o f th e g r i e v a n c e s y s t e m s a n d 52 p e r c e n t o f t h e e m p loy ees c o v e r e d b y them . E x c e p t f o r th e c l e a r p a t t e r n in th e I n t e r i o r D e p a r t m e n t , w h e r e a ll 45 a g r e e m e n t s c o n t a in e d g r i e v a n c e p r o c e d u r e s , a g e n c i e s w e r e m o r e l i k e l y to h a v e a m i x t u r e o f a g r e e m e n t s w i t h a n d w i t h o u t s u c h s y s t e m s . 9 F o r i n s t a n c e , a s ig n ific a n t n u m b e r o f A r m y and V e t e r a n s A d m in is t r a t io n c o n t r a c t s c o n t a in e d g r ie v a n c e p r o c e d u r e s , but total c o n t r a c t s w e r e a lm o s t e q u a lly d iv id e d b e tw e e n th o s e w ith and th ose w ith ou t n e g o tia te d s y s t e m s . The a b se n ce of n eg otia ted g r ie v a n c e p r o c e d u r e s m ea n t that an e m p l o y e e h a v in g c o m p l a in t s had to u s e the e x i s t i n g n o n n e g o t ia t e d a g e n c y s y s t e m . U s u a l l y l e n g t h y , th e n e g o t i a t e d p r o v i s i o n s e m b r a c e d o n e o r m o r e o f a v a r i e t y o f s u b j e c t s , i n c l u d i n g th e e m p l o y e e ’ s r i g h t to c h o o s e e i t h e r th e n e g o t i a t e d o r a g e n c y s y s t e m , th e u n i o n ' s r o l e u n d e r th e p r o c e d u r e s , th e n e g o t i a t e d s y s t e m ' s s c o p e , p r o c e d u r a l s t e p s , a n d th e e m p l o y m e n t o f h e a r i n g p a n e l s a n d f a c t f i n d i n g c o m m i t t e e s i n r e a c h in g s e t t le m e n t o f e m p l o y e e c o m p l a in t s b e f o r e in v o k in g a d v i s o r y a r b it r a t io n . T h is s e c t i o n w i l l d e s c r i b e t h e s e f e a t u r e s o f th e g r i e v a n c e p r o c e d u r e . S e lection of G rieva n ce P rocedure W h e n m a k i n g a c o m p l a i n t , e m p l o y e e s h a d to c h o o s e b e t w e e n n e g o t i a t e d a n d a g e n c y g r i e v a n c e p r o c e d u r e s . N e a r l y t w o - t h i r d s o f th e p r o v i s i o n s e x p r e s s l y s e t f o r t h t h i s r i g h t ; Agreements Total with negotiated grievance procedures Employees covered ------------------------------------ 380 245, 863 May select negotiated or agency procedure----------------------------------------------Negotiated and agency procedures are integrated---------------------------------Other means of se le ctio n ----------------------------------------------------------------------------No reference to selection----------------------------------------------------------------------------- 244 41 7 88 180, 456 2 4 ,4 7 5 3, 309 37, 623 U n d e r E x e c u t i v e O r d e r 1 1 4 9 1 , h o w e v e r , s e l e c t i o n p r o v i s i o n s a r e l i k e l y to d i m i n i s h . I f th e p a r t i e s a g r e e a n d th e g r i e v a n c e p r o c e d u r e m e e t s s t a n d a r d s o f th e E x e c u t i v e o r d e r , a p p l i c a b l e l a w s , th e C i v i l S e r v i c e C o m m i s s i o n , a n d th e A g e n c y , th e n e g o t i a t e d s y s t e m m a y b e c o m e th e e x c l u s i v e p r o c e d u r e f o r m e m b e r s o f t h e b a r g a i n i n g u n i t . state P r o v i s i o n s p r e s e n t l y s t i p u l a t i n g th e r i g h t t o s e l e c t a p r o c e d u r e t h a t , o n c e m a d e , th e g r i e v a n t ’ s c h o i c e c o u l d n o t b e c h a n g e d : c o m m o n ly a lso (41) If no satisfactory settlement is reached between the employee and the supervisor, the employee will indicate in writing within 10 calendar days whether he wishes to pursue his grievance under this, the union grievance procedure, or under the Navy grievance procedure. The employee may not change his decision once the choice has been made. (42) The employee(s) grievance must be reduced to writing, indicating whether he desires to follow the grievance procedure which is part of this agreement, or wishes to follow the grievance procedure provided by the Department of the Army in applicable regulations. The employee(s) choice at this point shall be irrevocable. A l m o s t 10 p e r c e n t o f th e e m p l o y e e s u n d e r a g r e e m e n t s w i t h n e g o t i a t e d g r i e v a n c e p r o c e d u r e s w e r e c o v e r e d b y an in t e g r a t e d s y s t e m . In t h e s e c a s e s , th e n e g o t i a t e d p r o c e d u r e s e r v e d e i t h e r a s a p r e l i m i n a r y o r a s a n o p t i o n a l f i r s t s t e p to th e a g e n c y p r o cedure. In t e g r a t e d s y s t e m s w e r e d is t in g u is h a b le f r o m t h o s e p r o v id in g an e m p l o y e e w ith a c h o i c e b e t w e e n p r o c e d u r e s , f i r s t , b y th e c l e a r c o m b i n a t i o n o f b o t h i n t o a s i n g l e s y s t e m , a n d s e c o n d , b y th e a b s e n c e o f th e i r r e v o c a b l e c h o i c e p r o v i s i o n f r e q u e n t l y 9 T V A , NASA, and the Tariff Commission also had a 100-percent incidence of negotiated procedures; but, except TV A's 17, 978 workers, the number of agreements and employee coverage were small. 16 f o u n d in o p t i o n a l p r o v i s i o n s . A s t h e f o l l o w i n g i l l u s t r a t i o n s s h o w , n o r m a l l y t h e n e g o t i a t e d p r o c e d u r e w a s r e l e g a t e d t o t h e i n f o r m a l s t e p s at t h e s t a r t o f th e g r i e v a n c e p r o c e s s : (43) Employees of the bargaining unit may use the following procedure instead of the VA procedure pre scribed in VA Manual M P-5, chapter 12, for the informal settlement of grievances: . . . If the grievance is not settled informally under the procedure prescribed above, the employee, within 10 calendar days following the decision, may use existing VA procedure . . . (44) If the employee is not satisfied with the decision o f his immediate supervisor he may pursue his grievance sucessively through the various levels of authority cited in Article XII . . . If the decision by the division director is not acceptable, the employee may file a formal griev ance directly with the Administrator of ARS in accordance with the provisions o f AM 460. 5. T h e r e m a i n i n g p r o v i s i o n s a l l i n v o l v e d s p e c i a l a r r a n g e m e n t s w h i c h p e r m i t t e d th e e m p l o y e e to b y p a s s a g e n c y p r o c e d u r e s a n d g o d i r e c t l y t o a r b i t r a t i o n , a s i n th e f i r s t i l l u s t r a t i o n ; o r w h i c h p r o v i d e d th e e m p l o y e e w i t h a d d i t i o n a l o p t i o n s , s u c h a s th e r i g h t t o w i t h d r a w f r o m th e n e g o t i a t e d p r o c e d u r e at a n y t i m e i n f a v o r o f th e a g e n c y s y s t e m , a s i n th e s e c o n d e x a m p l e : (45) The procedure for informal adjustment of grievances outlined in M P-5, VA Employee Letter 0 0 -6 2 -2 , will be followed . . . Part I, as implemented by If the informal attempt to resolve the grievance has not been acceptable to the employee, he may then request a hearing in accordance with VA Manual M P-5, Part I, or he may request advisory arbitration as outlined below. (46) Before, during or after the employment of the procedure above set forth, the aggrieved employee may abandon the said procedure and proceed under the grievance procedure provided by the De partment of Health, Education and Welfare Personnel Manual. U nion R o le T o r e p r e s e n t a l l e m p l o y e e s i n th e u n i t e f f e c t i v e l y , th e u n i o n m u s t b e f a m i l i a r w i t h th e n a t u r e o f e m p l o y e e c o m p l a i n t s , e v e n t h o u g h e m p l o y e e s m a y b y p a s s th e n e g o t i a t e d s y s t e m f o r th e a g e n c y s y s t e m . N i n e o u t o f 10 p r o v i s i o n s ( 3 5 0 o f 3 8 0 ) , t h e r e f o r e , d e c l a r e d th a t th e u n i o n m u s t b e n o t i f i e d o r a l l o w e d t o o b s e r v e d u r i n g th e f o r m a l s t e p s o f th e g r i e v a n c e . U n i o n p r e s e n c e w a s n o t a l w a y s r e q u i r e d d u r i n g th e i n f o r m a l e a r l y s t e p o f th e p r o c e d u r e w h e r e e m p l o y e e a n d s u p e r v i s o r c o u l d m e e t t o s e t t l e c o m p l a i n t s on th eir ow n. P r o v i s i o n s i n v a r i a b l y g u a r a n t e e d t h a t th e u n i o n ’ s p r e s e n c e w o u l d n o t i n t e r f e r e w i t h th e e m p l o y e e ' s r i g h t to p r o c e s s h i s o w n c o m p l a i n t : (47) . . . The /union? shall also be promptly notified by the division of the receipt of the complaint (in the formal, agency procedure) and shall be afforded an opportunity to be represented at any discussion of the grievance or complaint and at _any subsequent personal presentation or hearing. The employee shall be advised that /the union|s/ right to be represented during discussions and hearings o f the grievance or complaint shall not operate to impair the right of the employee to handle the grievance in his own way and to choose his own representative . . . (48) If aggrieved employees covered by this agreement do not choose to be represented by the union, the union, nevertheless, may have a representative present at formal discussions between such em ployees and management. The right o f the union to be present shall not be permitted to impair the right of the employee to handle the grievance in his own way . . . When the program director receives a written grievance from an employee or group of employees covered by this agreement, he will inform the union that a grievance has been received and give the union the date and time the grievance will be discussed. O f t e n th e u n i o n c o u l d p r e s e n t th e r e c o r d : ^49) its ow n p o sitio n co n ce rn in g th e co m p la in t, at l e a s t f o r If an employee in the unit does not desire to be represented by the union, a representative of the union may be present as an observer. The observer may . . . make a statement of his organi zation's views concerning the case for inclusion in the record. 17 U n ion o b s e r v e r s , h o w e v e r , r e q u e s t o f th e e m p l o y e e : cou ld be e x clu d e d fo r reasons of se cu rity or (50) . . . if the employee does not choose a union member as his representative, the union will be given the opportunity to have an observer present at discussions between the employee and super visory officials concerning the grievance. However, in matters of personal concern not relating to working conditions, if for sufficient reasons as determined by appropriate management officials, an employee requests that a union member and/or employee representative not be present at the proceedings, the request will be honored. (51) When the employee does not desire a union representative, the union may have an observer pre sent, . . . unless employer forbids his presence for reasons of a security classification on matters to be discussed, or the employee objects to the presence of such an observer. at th e N o r m a l l y , p r o v i s i o n s l i m i t e d u n i o n p r e s e n c e to th e f o r m a l s t e p s , b u t in s o m e , th e u n i o n c o u l d b e b r o u g h t i n at th e i n f o r m a l s t e p a s w e l l , u n l e s s th e e m p l o y e e o b j e c t e d . Som e p r o v i s i o n s s t i p u l a t e d th a t u n i o n r e p r e s e n t a t i v e s w o u l d n o t b e p a i d w h e n a c t i n g a s o b servers. T h is a c t e d as a p o s s i b l e d e t e r r e n t to u n io n a t t e n d a n c e . (52) Scope The union must be given the opportunity to have an observer at discussions between employees and management in the course of grievance proceedings. This includes the first level of supervision unless the aggrieved employee objects to a union observer at that level. The union observer is permitted to present the views of his organization on the matter at issue at an appropriate time during the discussion as determined by the supervisor or hearing officer . . . When a committeeman takes the role of an observer only, he will not be in a duty or pay status. . . . o f th e G rieva n ce P rocedure A s u s e d in th e F e d e r a l S e r v i c e , a g r i e v a n c e i s " a m a t t e r o f p e r s o n a l c o n c e r n o r d i s s a t i s f a c t i o n to a n e m p l o y e e th e c o n s i d e r a t i o n o f w h i c h is n o t c o v e r e d b y o t h e r s y s t e m s o f a g e n c y r e v i e w . " 10 F o u r - f i f t h s o f th e a g r e e m e n t s h a v i n g n e g o t i a t e d g r i e v a n c e p r o c e d u r e s s p e l l e d o u t t h o s e m a t t e r s t h a t th e p a r t i e s a g r e e d w o u l d f a l l w i t h i n th e t e r m s o f th is g e n e r a l d e f i n i t io n . In m o s t c a s e s , t h i s w a s a c c o m p l i s h e d b y l i s t i n g s u b j e c t s w h i c h w o u l d b e e x c l u d e d f r o m c o v e r a g e u n d e r th e n e g o t i a t e d p r o c e d u r e , u s u a l l y b e c a u s e t h e y w e r e a lre a d y under oth er s y s te m s . P r e s u m a b l y m a t t e r s n ot s p e c i f i c a l l y c it e d as o u t s i d e i t s s c o p e c o u l d b e c o v e r e d b y th e n e g o t i a t e d s y s t e m . H o w e v e r, su ch d eterm in a tion s w o u l d h a v e to b e m a d e th r o u g h n e g o t ia t io n s o r p e r h a p s b y n e u t r a l t h ir d p a r t i e s : Scope Agreements Employees covered Total with grievance procedures--------- 380 245, 863 Total defining scope of grievance procedureBy e xclu sio n s---------------------------------------------By general t e r m s ---------------------------------------By inclusions-----------------------------------------------By inclusions and exclusions---------------------Referring to undefined agency regulations No reference to scope of grievance procedure 327 153 94 54 26 210, 254 129, 112 3 9 ,9 6 0 2 4 ,9 1 7 16,2 6 5 17,401 18,208 N a v y a g r e e m e n t s c o n s t i t u t e d t h r e e - q u a r t e r s o f th e p r o v i s i o n s th e g r i e v a n c e p r o c e d u r e t h r o u g h e x c l u s i o n . 12 41 t h a t d e f i n e d th e scope of S u b je c t s e l i m i n a t e d f r o m n e g o t ia t e d g r i e v a n c e p r o c e d u r e s t e n d e d to b e n u m e r o u s and v a r ie d . A r m y a n d N a v y a g r e e m e n t s t y p i c a l l y l i s t e d b o t h e x c l u d e d t o p i c s a n d th e a g e n c y s y s t e m s w h i c h a p p l i e d t o t h e m , a s i n th e f o l l o w i n g : 10 Section 13 of Executive Order 11491 differentiates "em ployee grievances" from "disputes over the interpretation and application of the agreement, " but does not define "em ployee grievances. " 18 (53) The procedures governing appeals from adverse actions are set forth in Civilian Personnel Regula tion E2. 5. The procedures governing appeals from job evaluation determinations are set forth in Civilian Personnel Regulation P30. 5. The cited regulations provide no latitude for change at the activity level and thus are not subject to consultation or negotiation. Accordingly, appeals from adverse actions, job evaluation determinations and reductions in force will be processed in accord ance with the procedures outlined in applicable Department of Army regulations. Complaints alleging discrimination will be processed in accordance with the procedures outlined in Civilian Personnel Regulation E3. Complaints which arise either from the immediate work environment of the employee, from situations which exist within the employee's work group, or from policies, regulations, or directives of the employer will be processed in accordance with Civilian Personnel Regulation E2. 4. To provide for the virtually satisfactory settlement of questions involving the interpretation or application of this agreement or management decisions on matters for which policies or regulations have not been issued, the following procedures shall be followed. . . . (54) The employer and the union agree that appeals from adverse action or complaints resulting from the following types of actions shall not be considered under the provisions of this article: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. Reduction in force (NCPI 351) Position classification (NCPI 512) Performance ratings and performance rating warnings (NCPI 430) Discrimination under Executive Order 10925, Equal Employment Opportunity Policy (NCPI 713) Incentive awards (NCPI 450) Adverse actions under P. L. 733 81st Congress, E. O. 10450 and failure to be cleared for sensi tive duties (NCPI 732) Ungraded rating determinations, wage and pay level determinations and pay alignments (NCPI 531) Nonselection for promotion when the sole basis for the grievance is an allegation by an em ployee that he is better qualified than the person selected (nonappealable) Decisions of the Commanding Officer, U. S. Naval Communication Station Honolulu on appeals of earned ratings in competitive and noncompetitive promotion action (NCPI 770) Appeals based on an allegation that the employee was improperly ranked in terms of qualifi cation requirements and thus was not within the range of selection (NCPI 770) Appeals which allege that the Federal Merit Promotion Program, the Navy Merit Promotion Rrogram, or the Naval Communication Station Honolulu Merit Promotion Program were violated (NCPI 770) Grievance appeals based on the operation of, or alleged noncompliance with statute, Civil Service Regulations, NCPI's, Bureau or Office directives or actions ordered by the Civil Service Commission or other agency outside the Navy (NCPI 770) Complaints based on action or unfavorable administrative decision of officials of a Naval activity other than the Naval Communication Station Honolulu (NCPI 770) Suspensions, demotions, separation and removal actions, reduction in rank or compensation and official letters of reprimand (NCPI 770) Letters of caution or requirement including notification of decision to withhold within grade salary increase for graded employees, and oral admonishments (NCPI 750) Group grievances (NCPI 721) F e w e r t h a n 15 p e r c e n t o f th e a g r e e m e n t s d e f i n e d th e s c o p e o f th e g r i e v a n c e p r o c e d u r e b y s p e c i f y i n g i s s u e s t o w h i c h it a p p l i e d . In c i t i n g g r i e v a b l e m a t t e r s , i n t r o d u c t o r y l a n g u a g e o f t e n s t i p u l a t e d t h a t th e s u b j e c t s r e f e r r e d to w e r e i l l u s t r a t i v e , rath er th an i n c l u s i v e . T h u s , th e d o o r w a s l e f t o p e n f o r o t h e r e m p l o y e e c o m p l a i n t s : (55) A "grievance" is defined as an employee's feeling of dissatisfaction with some aspect of his em ployment, a management decision affecting him , or an alleged violation of his rights. For ex ample, dissatisfaction with working conditions or job relationships; promotional disputes; belief that an admonishment or reprimand is unjustified; or complaints arising from reassignment and transfer for administrative reasons. 19 (44) Matters applicable under this procedure involve among other things: (a) (b) (c) Working conditions. Improper application of rules and regulations. Unfair treatment, including coercion, restraint, or reprisal. Suspension without pay of 30 days or less may be considered under the grievance appeal process provided the grievant can estab lish that unfair treatment is present. (d) Areas of competition established for purpose of reduction in force. (e) Promotion procedures utilized and promotion actions effected in application of the agency merit promotion plan. ( f ) Classification of position, except where appeal is initially made to the Civil Service Com mission. (g) Nonselection for training opportunities. listin g In a f e w m atters (56) i n s t a n c e s , th e p r o v i s i o n s in clu d e d and e x c lu d e d : d efin ed th e g rie v a n ce procedure’ s scope A. As used in this agreement, the term "grievance" covers such matters as: (1) Working conditions and environment, (2) relationships with supervisors and with other employees and officials, (3) any disciplinary action not covered in appeals from adverse actions (387 DM 12 and 13), and (4) implementation of personnel policies and employee management agreements. These procedures are restricted to questions of the application of established policies to an individual employee or group of employees; the policies themselves are not subjects for grievance action. B. Matters excluded from consideration under these procedures are: (1) Nondiscriminatory Govern ment employment policy appeals (380 DM 1 -8 ), and (2) performance rating appeals (331 DMI and chapter P4 FPM). . . . by- O v e r a q u a r t e r o f th e n e g o t i a t e d g r i e v a n c e p r o c e d u r e s w e r e f a r l e s s s p e c i f i c a s to t h e i r s c o p e th a n th e p r o v i s i o n s p r e v i o u s l y c i t e d . T h e s e g r ie v a n c e s w e r e defin ed in m o r e g e n e r a l t e r m s w h i c h t e n d e d t o p a r a p h r a s e th e F e d e r a l P e r s o n n e l M a n u a l ' s " m a t t e r o f p e r s o n a l c o n c e r n o r d i s s a t i s f a c t i o n ; " a n d u s u a l l y t h e y a l s o s t i p u l a t e d th a t m a t t e r s o f i n t e r p r e t a t i o n o r a p p l i c a t i o n o f th e a g r e e m e n t w e r e g r i e v a b l e : (57) To provide employees with ample opportunity to secure consideration of their dissatisfaction with matters affecting them personally that are subject to the employer's control and to provide a means for presenting complaints or grievances arising from the interpretation or application o f this agree ment, the following procedure shall be adhered to: (58) The purpose of this article is to provide for a mutually satisfactory method for settlement o f ques tions involving the interpretation or application of this agreement or consideration o f grievances arising in the unit under the terms o f this agreement or any alleged violation thereof. T w elve fo llo w in g : (59) agreem en ts d efin ed g riev a n ce s by re fe rrin g t o a g e n c y m a n u a l s , a s i n th e Grievances under this article are as defined in NCPI 770. l -3 a . P r o c e d u r a l Steps V i r t u a l l y a l l g r i e v a n c e c l a u s e s i n c l u d e d an i n f o r m a l s t e p i n v o l v i n g a m e e t i n g b e t w e e n th e i m m e d i a t e s u p e r v i s o r a n d th e c o m p l a i n i n g e m p l o y e e . A s in p r i v a t e i n d u s t r y , e m p h a s i s i s u p o n s e t t l e m e n t o f th e g r i e v a n c e at a n e a r l y s t e p , b e f o r e it b e c o m e s a fo r m a l co m p la in t. W h i l e th e e m p l o y e e c o u l d b e a c c o m p a n i e d b y a u n i o n r e p r e s e n t a t i v e , t h i s , a s n o t e d e a r l i e r , w a s o f t e n a m a t t e r o f c h o i c e f o r th e g r i e v a n t . W h e n th e s u p e r v i s o r a n d e m p l o y e e a r e u n a b l e t o s e t t l e d i f f e r e n c e s f o r m a l s t a g e , u s u a l l y th e e m p l o y e e p u t s h i s c o m p l a i n t i n w r i t i n g . at t h i s in T h e c o m p l a i n t m o v e s to h ig h e r l e v e l s o f a u t h o r it y a s l o n g a s th e g r i e v a n t r e m a in s d i s s a t i s f i e d w ith m a n a g e m e n t ’ s d e c i s i o n . F actfin d in g a n d /o r a d v is o r y a rb itra tio n m a y b e e m p l o y e d a s th e t e r m i n a l s t e p . A t a l l s t e p s , th e r i g h t s o f th e g r i e v a n t u s u a l l y a r e p r o t e c t e d a g a in st d e la y b y r e q u ir in g w r itte n d e c is i o n s w ith in stip u la te d tim e li m it s . 20 F eatu res (60) (61) o f th ese procedural steps are illu stra ted b e lo w : 1. An employee having a complaint will take the complaint up with his immediate supervisor who will attempt to adjust it. . . . 2. If the employee is not satisfied with the answer of his immediate supervisor, he m ay, within 10 calendar days, file a grievance by: (1) Electing, on a form provided by the agency, to use either the FAA grievance procedure or the negotiated grievance procedure contained in this article. . . . 3. Grievances processed under the negotiated procedure will be reviewed and answered by the Area Manager, M iami Area, in writing within 30 calendar days after his receipt of the griev ance form and pertinent attachments. If the employee is not satisfied with the decision of the area manager . . . ^h e/ may . . . request that the grievance be submitted for review by an impartial factfinder. . . The factfinder will conduct a hearing confined to the specific issue or issues of the grievance. . . . The Director, Southern Region, after due con sideration of all pertinent data, including the report of the factfinder, shall render a final decision which shall be binding on the parties. 6. The dispute or grievance shall first be taken up by the steward, the aggrieved employee, or employees, and the appropriate supervisor or other management officials. The supervisor must give his answer within 5 working days. 7. If no satisfactory settlement is reached between the steward, the aggrieved employee, or em ployees, and the supervisor, the grievance shall be reduced to writing . . . and submitted within 5 working days by the chief steward to the division chief involved. . . . 8. If no satisfactory settlement is reached . . . then the grievance, endorsed by the division chief involved, may be referred by the chief steward to the appropriate union officer or rep resentative for processing directly with the civilian personnel officer of the employer, or his representative through the appropriate director. 9. . . . Upon request of the appropriate officer of the union, the civilian personnel officer of the employer, or his representative, shall arrange to meet . . . with the appropriate officers of the union, the chief steward, the steward, and the aggrieved employee and/or employees, in an effort to reach a satisfactory settlement of the grievance or dispute. 10. F a ctfin d in g In the event the grievance or dispute is not satisfactorily settled, the grievance will be for warded to the depot commander who will issue a Letter of Decision to the employee involved. . . . In event the employee is not satisfied with the decision of the depot commander, he may, through union representation, within 30 days after such decision by the commander re quest the matter be submitted to advisory arbitration. and H e a r i n g P a n e l s A m o n g n e g o t i a t e d g r i e v a n c e p r o c e d u r e s s t u d i e d , th e u s e o f f a c t f i n d i n g p a n e l s to h e l p r e s o l v e e m p l o y e e c o m p l a i n t s w a s n o t w i d e s p r e a d . O n l y t w o - f i f t h s o f th e a g r e e m e n t s ( 1 5 9 ) , a f f e c t i n g f e w e r t h a n a t h i r d o f th e e m p l o y e e s ( 7 6 , 6 3 7 ) p r o v i d e d f o r s u c h b o a r d s . T h e l o w p r o p o r t i o n m a y b e e x p l a i n e d , i n p a r t , b y th e r e l i a n c e o n a d v i s o r y a r b i t r a t i o n to r e s o l v e g r i e v a n c e d is p u t e s . A m o n g a g e n c i e s , o n ly I n t e r i o r D e p a r t m e n t a g r e e m e n t s r e v e a l e d a h igh in c id e n c e o f fa c t fin d in g p r o v i s i o n s ; 42 o f 45 p r o c e d u r e s in c lu d e d h e a r in g p a n e ls . L e s s fre q u e n tly t h e y w e r e fo u n d in N a v y (3 8 ), A r m y (2 1 ), and T r a n s p o r t a t i o n (1 3 ) a g r e e m e n t s . P a n e l s w e r e m o r e l i k e l y to b e c o m p o s e d o n l y o f u n i o n a n d m a n a g e m e n t r e p r e s e n t a t i v e s ( 8 2 ) th a n t o i n v o l v e n e u t r a l t h i r d p a r t i e s a l o n e o r in a t r i p a r t i t e a r r a n g e m e n t (5 5 ): 21 Agreements Employees covered Total with grievance procedures-------------------- 380 245, 863 Referring to factfinding or hearing panels---------------Specifying composition of p a n e l-------------------------Bipartite: Equal n u m b ers-------------------------------Bipartite: Unequal numbers---------------------------Tripartite----------------------------------------------------------Neutral party o n l y ------------------------------------------Other ----------------------------------------------------------------Reference to panel; no reference to composition Reference to undefined agency regu lations-----------No reference to factfinding or hearing panels---------- 159 141 50 32 29 26 4 18 19 202 7 6 ,6 3 7 53, 128 6, 181 2 0 ,6 1 2 10, 525 13, 917 1, 893 2 3,5 0 9 8 ,6 2 6 160 ,6 00 E a c h o f th e f o u r a g e n c i e s h a v i n g a n u m b e r o f p a n e l p r o v i s i o n s h a d d i s t i n c t l y d i f f e r e n t panel com p osition s. W i t h o n e e x c e p t i o n , e a c h w a s r e s p o n s i b l e f o r th e l a r g e s t c o n c e n t r a t i o n in o n e o f th e c l a s s i f i c a t i o n s in th e a b o v e t a b u l a t i o n . O n ly A r m y c o n t r a c t s adopted a v a r ie t y o f panel c o m p o s itio n s . In terior D epartm en t p ro v isio n s m ade b ip a r tite p a n els c o m p o s e d of eq u a l n u m b e r s (62) up 4 2 o f th e 50 a g r e e m e n t s e s t a b l i s h i n g o f la b o r and m a n a g e m e n t r e p r e s e n t a t i v e s : The union and the area director shall each appoint two members and two alternates to a joint grievance board which shall hear disputes submitted to it in accordance with this grievance procedure. T h e l a r g e s t c o n c e n t r a t i o n o f N a v y a g r e e m e n t s (19) s t ip u la t e d th at its h e a r i n g p a n e ls w o u ld c o n s i s t o f u nequ al n u m b e r s o f m a n a g e m e n t and u nion r e p r e s e n t a t i v e s . M anage m e n t , a s a r u l e , c h o s e th e l a r g e r n u m b e r o f p a n e l i s t s , a s in th e f o l l o w i n g : (63) The grievance advisory committee will consist of three members appointed by the commanding officer. One o f these will be selected by the head o f the union. A n o t h e r 10 N a v y a g r e e m e n t s r e p r e s e n t e d th e l a r g e s t c o n c e n t r a t i o n o f p r o v i s i o n s u t i l i z i n g a tr ip a r t it e p a n el. T h is a r r a n g e m e n t w a s a l s o s e t f o r t h in a s m a l l n u m b e r o f A r m y a g r e e m e n t s a n d in th e J u s t i c e D e p a r t m e n t , f r o m w h i c h th e f o l l o w i n g i l l u s t r a t i o n w a s taken : (64) The hearing committee shall consist of one member selected by the employer, a second member selected by the employee, and the third member selected by mutual consent of the first two members. O f th e 13 D e p a r t m e n t o f T r a n s p o r t a t i o n a g r e e m e n t s , 10 p r o v i d e d f o r a n e u t r a l t h i r d p a r t y to r e v i e w th e e m p l o y e e c o m p l a i n t , a s d i d a s c a t t e r i n g o f o t h e r a g e n c i e s , i n c l u d i n g a g a i n th e N a v y . T h e n e u t r a l c o u l d c o m e f r o m w i t h i n th e a g e n c y , a s i n th e f i r s t e x a m p l e , o r c o u l d b e d r a w n f r o m th e o u t s i d e , a s in th e s e c o n d : (65) When an employee in the unit submits his grievance in writing to the commanding officer, the latter will establish a grievance advisory committee of one military officer to conduct a hearing in the case. Said officer shall be appointed on the basis of unbiased viewpoint and general overall knowledge of the activity. . . . (66) The employer, within 10 calendar days after receiving the request for a factfinder, will ask the Federal Mediation and Conciliation Service to submit a list of five impartial persons qualified to act as a factfinder. Upon receipt of the list, the parties (union and employer) shall meet and attempt to agree upon an individual from the list submitted. If they cannot agree, each party will strike two names and the remaining name shall be the factfinder. 22 O f th e 159 a g r e e m e n t s e s t a b l i s h i n g a p a n e l o r c o m m i t t e e , 130 r e f e r r e d t o it s s c o p e o f a u th o rity . A l t h o u g h m o s t p r o v i s i o n s p e r m i t t e d th e p a n e l to r e c o m m e n d a d i s p o s i t i o n o f th e g r i e v a n c e , m o s t e m p l o y e e s w e r e u n d e r p r o v i s i o n s r e s t r i c t i n g th e p a n e l to a fin d in g o f f a c t s : Agreements Total referring to a panel Employees covered 1 orco m m itte e ----------------------------------- 159 76, 637 Specifying scope of authority----------------------------------------------------------------Limited to finding of f a c t s --------------------------------------------------------------May re co m m e n d ------------------------------------------------------------------------------Reference to undefined agency regulation-----------------------------------------No reference to scope----------------------------------------------------------------------------- 130 43 87 6 23 5 9 ,7 0 2 35, 357 2 4 ,3 4 5 591 1 6,3 4 4 T y p ic a l o f th ose lim ited to a fin d in g o f fa ct are th e f o l l o w i n g : (67) Within 5 days after the conclusion of the hearing, thecommittee copy of the hearing record and the committee's findings o f fact. will submit to the master a (68) Within 10 days of the hearing, the committee will prepare a report of findings, and forward the transcript and report to the Bureau Director or his designee. W h e n th e p a n e l c o u l d r e c o m m e n d , it s f u n c t i o n a p p r o x i m a t e d th e r e s p o n s i b i l i t i e s f o u n d in a d v i s o r y a r b i t r a t i o n . O c c a s i o n a l l y , th e m i n o r i t y c o u l d g i v e i t s o w n r e c o m m e n d a t i o n , a s in th e s e c o n d i l l u s t r a t i o n ; (69) The joint grievance board shall meet within 5 working days after receiving a grievance. . . . The board shall apply its best efforts to determine pertinent facts and shall attempt by majority vote to formulate for the Area Director a recommended settlement. (70) The committee's report to the head of the activity shall include a recommendation as to the dis position of the grievance appeal and shall include a minority opinion if applicable. U su a lly e x p e n s e s a n d th e u n i o n : (71) con nected w ith fa ctfin d in g w e r e shared e q u a l l y b y th e a g e n c y A ll the fees and expenses of the. factfinder and the factfinding process, including the fees and ex penses of a reporter, if mutually agreed to by the parties, shall be shared equally by the employer and the union. 23 T a b le 7. P r o v is io n s f o r a n e g o t ia t e d g r ie v a n c e p r o c e d u r e in F e d e r a l c o l le c t iv e b a r g a in in g a g r e e m e n t s b y a g e n c y , T ota l stu d ie d A g en cy T o t a l --------------------------------------------------- 1967 No re fe re n ce E m p lo y e e s A g reem en ts E m p lo y e e s A g re e m e n ts E m p lo y e e s 684 3 7 5 ,4 8 5 380 2 4 5 ,8 6 3 304 1 2 9 ,6 2 2 14 10 6 49 110 181 24 45 17 2 34 9 7 1 47 1 6 , 206 2 ,0 3 9 2, 766 3 8 ,9 2 2 5 3 , 931 1 4 0 ,7 3 9 1 9 ,5 6 9 4 , 148 2 ,4 6 0 9, 035 4 , 387 3 ,0 5 4 397 98 5 ,2 4 0 19 6 7 5 12 53 127 4 45 8 1 30 4 5 ,0 7 3 1 ,8 1 0 2, 565 5, 741 3 1 ,8 4 9 1 2 7 ,3 2 1 1 ,4 1 2 4 , 148 1, 160 3, 835 4 , 130 410 - 8 3 1 37 57 54 20 _ 9 1 4 5 7 1 39 1 1, 133 229 201 33, 181 2 2 ,0 8 2 1 3 ,4 1 8 1 8 ,1 5 7 55 5 1 1 3 1 3 108 5 ,4 8 4 1, 529 1 ,6 1 2 28 435 8 1 7 ,9 7 8 5 5 ,4 0 1 - A g re e m e n ts A g r i c u l t u r e --------------------------------------------------C o m m e r c e ----------------------------------------------------D e f e n s e ---------------------------------------------------------A i r F o r c e -----------------------------------------------------A r m y -------------------------------------------------------------N a v y ---------------------------------------------------------------H ea lth , E d u c a t io n , and W e l f a r e -------------I n t e r i o r ---------------------------------------------- -----------J u s t i c e ----------------- -----------------------------------------L a b o r ------------------------------------------------------------T r a n s p o r t a t i o n --------------------------------------------T r e a s u r y -------------------------------------------------------A t o m i c E n e r g y C o m m i s s i o n ----------------------C iv il S e r v i c e C o m m i s s i o n -----------------------G e n e r a l S e r v i c e s A d m in i s t r a t io n -----------I n te r s ta te C o m m e r c e C o m m i s s i o n --------N a tio n a l A e r o n a u t ic s and S p a ce A d m i n i s t r a t i o n -----------------------------------------N a tio n a l L a b o r R e la t io n s B o a r d -------------R a ilr o a d R e t ir e m e n t B o a r d ----------------------S m a ll B u s in e s s A d m in i s t r a t io n ---------------S m ith s o n ia n I n s t itu tio n ------------------------------T a r if f C o m m i s s i o n -------------------------------------T e n n e s s e e V a lle y A u t h o r i t y --------------------V e t e r a n s A d m i n i s t r a t i o n --------------------------- H a v in g a n e g o tia te d proced u re - - - 1 ,3 0 0 5, 200 257 2, 644 397 98 4 , 570 19 8 670 - - 5 5 1 3 1 3 52 5 ,4 8 4 1 ,5 2 9 1 ,6 1 2 _ _ _ - - 1 28 435 8 1 7 ,9 7 8 2 8 ,6 9 3 - - - - 56 2 6 , 708 Chapter IV. Advisory Arbitration U n d e r E x e c u t iv e O r d e r 10988, u n io n s and F e d e r a l a g e n c ie s c o u ld n e g o tia t e p r o v is io n s fo r a d v is o r y a rb itra tio n of e m p lo y e e g r ie v a n c e s . B y 1 9 6 7 , 7 o u t o f 10 n e g o t i a t e d g r i e v a n c e p r o c e d u r e s i n c l u d e d a d v i s o r y a r b i t r a t i o n , a n d c o v e r e d a l m o s t 4 ou t o f e v e r y 5 e m p l o y e e s . T h i s r e p r e s e n t e d a s m a l l i n c r e a s e in t h e p r o p o r t i o n o f a g r e e m e n t s w ith a d v i s o r y a r b it r a t io n s in c e 1964, and a s lig h t d e c li n e in p r o p o r t io n a t e e m p loy ee c o v e r a g e : ___________ 1964_______________________1967_________ Agreements Employees Employees covered Agreements covered Total, negotiated grievance procedures-------- 96 8 0 ,7 7 8 380 245,863 Containing advisory arbitration -----------------------------Percent containing advisory arbitration------------------ 63 6 5 .6 6 9 ,9 2 6 8 6 .6 266 7 0 .0 194 ,6 69 7 9 .2 T h e p r o p o r t i o n a t e d e c l i n e in e m p l o y e e c o v e r a g e s u g g e s t s t h a t n e w b a r g a i n i n g u n i t s e s t a b l i s h i n g a d v i s o r y a r b i t r a t i o n a r e s m a l l e r , o n th e a v e r a g e , th a n t h o s e r e p o r t i n g in 1 9 6 4 ; t h i s , in t u r n , i m p l i e s t h a t a d v i s o r y a r b i t r a t i o n i s t r i c k l i n g d o w n to s m a l l e r u n i t s . M o s t a g r e e m e n t s w e r e c o n c e n t r a t e d in t h r e e a g e n c i e s ( N a v y , I n t e r i o r , a n d A r m y ) , w h i c h t o g e t h e r c o n s t i t u t e d 7 o u t o f 10 a r b i t r a t i o n p r o v i s i o n s a n d a l m o s t 3 o u t o f 4 o f th e n o n p o s t a l e m p l o y e e s c o m i n g u n d e r s u c h a g r e e m e n t s ( t a b l e 8 ). C o n t r a c t s in 18 F e d e r a l a g e n c i e s c o n t a i n e d a r b i t r a t i o n p r o v i s i o n s i n 1 9 6 7 c o m p a r e d w i t h 10 in 19 6 4 . A few c o n tr a c ts r e o p e n in g to n e g o t ia t e (72) co n ta in e d n o p r o v is io n fo r a d v is o r y a r b it r a tio n , but p e r m itte d s u c h a c l a u s e if la t e r d e v e lo p m e n t s w a r r a n t e d a d o p tin g it: Until such time as additional experience is gained by both parties under the operation of this agreement, it is resolved that the subject of advisory arbitration of grievances not be included in this agreement. Should future experience show an appreciable number of irreconcilables, this matter may be reopened . . In itia tion . o f A d v is o r y A rb itra tio n A d v i s o r y a r b i t r a t i o n i s n o t a u t o m a t i c in t h e g r i e v a n c e p r o c e d u r e . The d e cisio n to take th e d is p u t e t o a r b i t r a t i o n u s u a lly is m a d e a f t e r e v a lu a tin g th e i s s u e s i n v o lv e d a n d t h e c h a n c e s o f s u c c e s s . A p a r t y t o t h e d i s p u t e m u s t i n v o k e a r b i t r a t i o n , o f t e n in w r i t i n g , a n d u s u a l l y w i t h i n s t i p u l a t e d t i m e l i m i t s a f t e r t h e f i n a l s t e p in t h e g r i e v a n c e procedure. A s th e f o l l o w i n g t a b u la t io n s h o w s , a d v i s o r y a r b i t r a t i o n c a n b e in it ia t e d m o s t o ft e n b y th e c o m p l a in in g e m p l o y e e , l e s s o fte n b y e it h e r p a r t y , a n d l e a s t o ft e n b y t h e ir m u tu al con sen t: Agreements Employees covered Specifying initiating procedures for arbitration----------- 266 1 94 ,6 69 At grievant's request----------------------------------------------------------------Request by either p a r ty -----------------------------------------------------------Mutual consent ------------------------------------------------------------------------- 174 71 21 1 33 ,5 05 55,3 7 1 5 ,7 9 3 W h e n th e g r i e v a n t i s g i v e n t h e r i g h t t o r e q u e s t a r b i t r a t i o n , in it ia t e s u c h a c t i o n u s u a l l y r e s t s w ith the u n io n : th e f i n a l d e c i s i o n to 25 (73) If an employee so elects and the union agrees, a request may be made for advisory arbitration of the grievance . . . (74) If the employee is not satisfied with the decision the employer rendered in accordance with step 4 of the union grievance procedure, he may ask the union to institute arbitration proceedings. The union will determine whether to institute such proceedings. U n i o n a g r e e m e n t t o a r b i t r a t e i s i m p l i c i t w h e r e th e e m p l o y e e i s r e q u i r e d , f i r s t i l l u s t r a t i o n , t o u s e th e n e g o t i a t e d p r o c e d u r e o r w h e r e it i s s t i p u l a t e d , s e c o n d i l l u s t r a t i o n , th a t t h e u n i o n m u s t r e p r e s e n t t h e e m p l o y e e : (75) An employee must elect the negotiated procedure to be eligible to request arbitration . . (76) If the employee remains dissatisfied with the decision of the administrator, he may elect to invoke advisory arbitration in lieu of appeal to the director of personnel for a formal hearing, provided the /u n ion / represents the employee and the employee submits a signed statement to the director of personnel invoking the arbitration . . . as as in the in th e . A t a n y g i v e n s t e p , the c o m p l a in in g e m p l o y e e m a y w a n t to d r o p h is g r i e v a n c e . E v e n t h o u g h t h e u n i o n o r t h e e m p l o y e r m a y w i s h th e i s s u e c l a r i f i e d , s o m e c l a u s e s p r o v i d e t h a t a r b i t r a t i o n m a y n o t b e i n v o k e d w i t h o u t t h e c o n s e n t o f t h e e m p l o y e e : 11 (77) If the employer and the union fail to settle any grievance arising under Article X X IV titled Griev ance Procedure with respect to the interpretation, application, or alleged violation of this agree ment or of any policy or decision of the agency, such dispute shall, upon written notice by the party requesting arbitration to the other party, be referred to advisory arbitration. . . . arbitration shall be invoked only with the approval of the individual employee or employees concerned . . . (78) Arbitration . . . shall be invoked only with the approval o f (1) the union, which must obtain the consent of the employee or employees concerned, and (2) the Director of the Weather Bureau. T h e fe w a g r e e m e n t s w h ic h r e q u i r e d m u t u a l c o n s e n t o f a l l the p a r t i e s t r a t i o n , in e f f e c t , g a v e t o t h e e m p l o y e r a v e t o p o w e r o v e r th e c a s e : (6 8 ) to in v ok e In the event grievances are not resolved in accordance with the provisions of Article X X I, visory arbitration may be resorted to only in accordance with the following conditions: a rb i ad . . . A request for arbitration must have the written consent of: (1) The employee or employees concerned, (2) the Metal Trades Council, and (3) the Director of the Bureau. O t h e r p r o v i s i o n s w e r e m o r e e x p l i c i t in t h is r e s p e c t a n d s t a t e d th a t t h e e m p l o y e r w i l l d e c i d e u p o n th e i s s u e o f a r b i t r a b i l i t y , b u t t h e u n i o n c o u l d a p p e a l t h e d e c i s i o n t o h i g h e r m an agem en t: (79) If the union is not satisfied with the decision of the employer, the union may . . . make formal request to the employer that such unresolved grievance be submitted to advisory arbitration. Upon receipt of such a request, the employer will decide whether or not such a matter is subject to advisory arbitration. If it is decided that it is not subject to advisory arbitration, the union shall have the right to appeal such decision to the Division Engineer, South Atlantic Division. . . E x e c u t i v e O r d e r 1 0 9 8 8 p l a c e d t w o l i m i t s u p o n th e n a t u r e o f a r b i t r a t i o n . F irst, a r b i t r a t io n w a s to b e a d v i s o r y . F in a l d e c i s i o n s s t ill w o u ld be m a d e b y m a n a g e m e n t , and th e a r b i t r a t o r ' s r e c o m m e n d a t i o n c o u l d b e a c c e p t e d o r r e j e c t e d in w h o l e o r in p a r t . T h i s p o l i c y h a s b e e n a b a n d o n e d in f a v o r o f a r b i t r a t i o n w i t h l i m i t e d a p p e a l t o th e F L R C in E x e c u t i v e O r d e r 1 1 4 9 E S e c o n d , a d v i s o r y a r b i t r a t i o n w o u l d b e l i m i t e d t o i s s u e s o f i n t e r p r e t a t i o n a n d a p p l i c a t i o n o f th e a g r e e m e n t , a n d , b i n d i n g a r b i t r a t i o n h a s b e e n e x t e n d e d t o e m p l o y e e g r i e v a n c e s . A s n o t e d in p r e v i o u s i l l u s t r a t i o n s , c o n t r a c t p r o v i s i o n s o f t e n r e f l e c t o n e o r b o t h o f the E x e c u t i v e O r d e r 1 0 9 8 8 l i m i t a t i o n s , b y u s i n g l a n g u a g e b a s i c a l l y t h e s a m e a s t h a t in t h e E x e c u t i v e o r d e r . S o m e t i m e s th e l i m i t s p l a c e d u p o n th e a r b i t r a t o r w e r e s p e l l e d o u t in f u r t h e r d e t a i l : 11 This requirement was set forth in Section 8 (b) of Executive Order 10988 and is continued in Section 14 Order 11491 for employee grievances. 26 of Executive (80) The arbitrator will conduct a hearing confined to the specific issue or issues of the grievance. The arbitrator's function will be to make a determination based on the facts presented to him and issue a report to the director, Central Region, together with his recommendations. It is understood and agreed that the recommendations of the arbitrator shall be advisory in nature only and subject to the approval of the Director, Central Region . . . A s in p r i v a t e i n d u s t r y , o t h e r s s p e c i f i e d t h e a u t h o r i t y o f t h e a r b i t r a t o r b y d i f f e r e n t i a t i n g b e t w e e n th e a c t i o n s o f m a n a g e m e n t u n d e r th e a g r e e m e n t , w h i c h w e r e a r b i t r a b l e ; a n d c h a n g e s i n th e a g r e e m e n t o r in m a n a g e m e n t p o l i c y , w h i c h w e r e n o t a r b itra b le : (31) . . . Arbitration shall extend only to the interpretation or application of this agreement or (Office) policy. Arbitration shall not extend to any changes in the agreement or policy . . . (29) In arbitrating a grievance, the arbitrator shall have no authority to substitute his judgement for that of the employer as to the reasonableness of any practice, rule or regulation of the employer and shall be limited to deciding whether the facts established by the parties justify the action of the employer within the reasonable exercise of employer discretion and is not arbitrary and is not an abuse of discretion. S e l e c t i n g th e A r b i t r a t o r U s u a l l y , th e a g r e e m e n t p r o v i d e d b i t r a t i o n b o a r d , a s i n th e f o l l o w i n g : (81) for a sin g le a rb itra tor; on ly ra re ly for an a r Within 5 working days of receipt of the arbitration request, the employer or his representative will meet with the union for the purpose of endeavoring to agree on the selection of a board of arbi trators. Such board to be composed of one member appointed by the employer, one member appointed by the union, and a chairman appointed by initial agreement of the parties . . . A s t h i s i l l u s t r a t i o n i n d i c a t e s , t i m e l i m i t s a r e p l a c e d on e m p l o y e r a n d u n i o n r e p r e s e n t a t i v e s t o s e l e c t th e a r b i t r a t o r . O r d i n a r i l y th e s e e x te n d f o r f r o m 1 to Z w e e k s , t o m o v e th e g r i e v a n c e t o w a r d f i n a l s o l u t i o n a s s o o n a s p o s s i b l e . A l l t h e a g r e e m e n t s r e f e r r i n g t o a r b i t r a t i o n a l s o r e f e r r e d t o th e s e l e c t i o n o f th e a r b i t r a t o r , b u t f e w o u t l i n e d th e s o u r c e s f r o m w h i c h t h e s e l e c t i o n s w o u l d b e m a d e : Agreements Referring to selection of the arbitrator-----------------------Not specifying source of arbitrator or referring to privately established p a n e l---------------------------------------------------Arbitrator from panel supplied by: Federal Mediation and Conciliation S ervice-------------------American Arbitration Association-------------------------------------Government agency other than FMCS -----------------------------Other sources of arbitrators------------------------------------------------------ Employees covered 266 194, 669 187 168, 144 27 2 4 46 4 ,6 7 4 3, 265 13,133 5 ,4 5 3 W h e n s o u r c e s o f a r b i t r a t o r s a r e n o t s p e c i f i e d o r w h e n th e p a r t i e s e s t a b l i s h t h e i r ow n p a n e l, a g r e e m e n t o n the c h o i c e o f an a r b i t r a t o r c a n b e r e a c h e d b y a tra d itio n a l m e t h o d d r a w n f r o m n o n g o v e r n m e n t c o l l e c t i v e b a r g a in in g ; n a m e l y , the a lt e r n a t e s t r i k in g o f n a m e s f r o m a n o d d - n u m b e r e d p a n e l w i t h t h e r e m a i n i n g n a m e b e c o m i n g th e a r b i t r a t o r : (82) The employer and the union agree to establish a panel of 10 arbitrators by each submitting the names of five qualified persons. Within 5 days of receipt of a request for advisory arbitration the employer and the union will meet to select a mutually acceptable arbitrator, or failing to agree, to select five arbitrators by lot from this panel. The employer and the union will each strike one name from the list of five and then will repeat this procedure. The remaining person will be the arbitrator. In o t h e r s , f a i l u r e t o a g r e e u p o n a n a r b i t r a t o r w i t h i n a g i v e n t i m e l i m i t r e q u i r e d th e p a r t i e s t o g o t o a n a g e n c y , s u c h a s th e F e d e r a l M e d i a t i o n a n d C o n c i l i a t i o n S e r v i c e , fo r a pan el f r o m w h ich fin a l s e le c t io n w o u ld be m a d e: 27 (73) Within 7 calendar days after receipt of a request for arbitration, the party receiving the request shall arrange for a meeting to choose an impartial arbitrator. If, within a period of 10 days after the meeting, the parties fail to agree on such impartial arbitrator, the Federal Mediation and Conciliation Service shall be requested to submit a list of five names. Within 3 working days of the receipt of the names, the parties shall meet to select the arbitrator. It i s c o n c e i v a b l e , a m o n g th e 187 w h i c h d id n o t s p e c i f y t h e s o u r c e o f a r b i t r a t o r o r u s e a p r e v i o u s l y e s t a b l i s h e d p a n e l f o r s e l e c t i o n , that in p r a c t i c e , the p a r t i e s r e q u e s t e d th e F M C S o r a n o t h e r a g e n c y , s u c h a s th e A m e r i c a n A r b i t r a t i o n A s s o c i a t i o n ( A A A ) , t o d r a w u p a l i s t f r o m w h i c h th e a r b i t r a t o r w o u l d b e s e l e c t e d o r t h e p a n e l esta b lish ed . In 33 a g r e e m e n t s t h e o u t s i d e a g e n c i e s w e r e n a m e d a n d t h e i r r o l e d e s c r ib e d as follow s: (83) The employer, within 10 days after receiving the request for an advisory arbitrator, will ask the Federal Mediation and Conciliation Service to submit a list of five impartial persons qualified to act as an advisory arbitrator. (84) If the employee elects to use advisory arbitration, the arbitrator shall be choosen from the American Arbitration Association or from other sources acceptable to both parties. O n e c o n t r a c t s p e c i f i e d t h a t t h e a r b i t r a t o r h a d to b e a F e d e r a l e m p l o y e e . B eca u se of l o c a t i o n , t h i s a g r e e m e n t a l s o s p e c i f i e d t h a t , l a c k i n g a n a r b i t r a t o r in F e d e r a l S e r v i c e f r o m the a r e a , a n o t h e r p e r s o n c o u ld b e c h o s e n a s lo n g a s h e , t o o , w a s a v a il a b le l o c a l l y : (42) Within 5 work days from the date of receipt of the arbitration request, the employer or his rep resentative will meet with the employee and/or the union representative for the purpose of en deavoring to agree on the selection of an arbitrator. Efforts will be made to acquire an arbitrator from within the Federal Government Service, locally in Hawaii, or other eligible person available in Hawaii. In t h e D e p a r t m e n t o f I n t e r i o r , t h e i n t e g r a t e d g r i e v a n c e a n d a r b i t r a t i o n p r o c e d u r e , i l l u s t r a t e d b e l o w , p r o v i d e s t h a t i f a j o i n t g r i e v a n c e b o a r d c a n n o t r e s o l v e th e d i s p u t e a n d t h e d e c i s i o n o f m a n a g e m e n t i s u n s a t i s f a c t o r y t o th e g r i e v a n t , t h e d i s p u t e r e v e r t s t o t h e j o i n t g r i e v a n c e b o a r d , w h i c h s e l e c t s th e a r b i t r a t o r . A l l D e p a r t m e n t o f I n t e r i o r a g r e e m e n t s s t u d ie d c o n t a in e d th is p r o v i s i o n : (85) The union and the administrator shall each appoint two members and two alternates to a joint grievance board which shall hear disputes submitted to it in accordance with this grievance procedure. The joint grievance board shall meet and set the time for its hearing of the case within 7 calendar days after receiving a grievance . . . The board shall apply its best efforts to determine pertinent facts and shall attempt by majority vote to formulate a recommended settlement . . . /I f / no recommendation can be reached within this period, both parties shall be so notified. Within 10 calendar days after the division chief receives the report from the joint grievance board, he shall inform the employee, the union, and the branch chief of his proposed settlement. If the employee then wishes to take the grievance to arbitration, request the joint grievance board to appoint an arbitrator. he will within 10 calendar days H a v i n g c h o s e n t h e a r b i t r a t o r , t h e p a r t i e s ' d e s i r e f o r a p r o m p t r e s o l u t i o n o f th e d i s p u t e h a s r e s u l t e d in a t i m e l i m i t u p o n th e a r b i t r a t o r . C o m m o n l y , th e a r b i t r a t o r m u s t s u b m i t h i s a d v i s o r y o p i n i o n w i t h i n 30 d a y s a f t e r th e c l o s e o f h e a r i n g s . The l a n g u a g e u t i l i z e d i s a l m o s t s t a n d a r d in F e d e r a l a g r e e m e n t s : (86) The arbitrator will be requested by the employer and the /u n io n /to render his recommendations as quickly as possible, but in any event, within 30 calendar days after the close of the proceedings. 28 A s in p r i v a t e i n d u s t r y , a r b i t r a t i o n c o s t s a r e b o r n e e q u a l l y b y t h e p a r t i e s , 12 12 e x c e p t t h a t in t h e F e d e r a l G o v e r n m e n t t h e t o t a l c o s t i s l i m i t e d b y e x i s t i n g r u l e s a n d reg u la tion s. T he m a x im u m m o n e ta ry am ount m a y be s p e c ifie d and re la te d e x p e n s e s , s u c h a s th e c o s t o f s h o r t h a n d r e p o r t e r s , a l s o m a y b e a l l o w e d : (87) The fee and the expense of the arbitrator shall be borne equally by /the employer and the union/ except payment may not exceed the maximum authorized by current regulations and will not ex ceed $150 per day . . . (88) The fee and expense of the arbitrator shall be borne equally by the employer and the union pro vided that the per diem cost to the employer shall not exceed that authorized by law for experts and consultants. The cost of a shorthand reporter or reporters, if requested by the arbitrator, shall be shared equally by the parties . . . The a g r e e m e n t to s h a r e c o s t m a y s p e c if y s e p a r a t e ly it e m s su ch as a r b it r a t o r a r b it r a t o r e x p e n s e s , c o s t o f h e a r in g f a c i l i t i e s , and c o s t o f o th e r s e r v i c e s : (89) fees, The arbitrator's fee shall not exceed $150 per day. The arbitrator's fee and expenses shall be borne equally by the employer and the (_union/ except that the employer's share of the per diem cost of the arbitrator's expense shall not exceed that authorized by applicable regulations. In the event hearings are held in facilities not under the administrative control of the employer, the cost of such facilities shall be borne equally by the employer and the /union/. Further, the employer and the /u n io n / shall share equally the expenses of any mutually agreed upon services considered desirable or necessary in connection with the arbitration proceedings. W h e n t h e a r b i t r a t o r r e q u e s t s a t r a n s c r i p t o f th e p r o c e e d i n g s , th e p a r t i e s m a y a g r e e t o s h a r e th e c o s t s . I f e i t h e r p a r t y w a n t s a t r a n s c r i p t , it p a y s t h e f u l l c o s t a n d the s e co n d p a rty su b seq u en tly m a y p u rch a s e a cop y : (90) In those cases where either party deems it necessary, it may arrange that a transcript of the arbi tration hearing be made by a qualified shorthand reporter. The party making such arrangement shall bear the full cost thereof. The other party may purchase a copy of the transcript. If the arbitrator requests a hearing transcript, the expense of the original copy and the reporter's fee shall be borne equally. . . O ffic ia l T im e O ff T o f a c i l i t a t e the m o v e m e n t o f c o m p l a i n t s t h r o u g h the g r i e v a n c e s t e p s an d a r b i t r a t i o n , o v e r t h r e e - q u a r t e r s o f th e a g r e e m e n t s h a v i n g s u c h p r o c e d u r e s p e r m i t t e d p a i d t i m e o f f t o p e r s o n s i n v o l v e d . 13 ( S e e f o l l o w i n g t a b u l a t i o n . ) T h e s e c o v e r e d a l m o s t f o u r f i f t h s o f th e e m p l o y e e s u n d e r n e g o t i a t e d g r i e v a n c e a n d a r b i t r a t i o n p r o c e d u r e s . As a r u l e , th e p r o v i s i o n s d i f f e r e n t i a t e d b e t w e e n t h e e a r l y p r e p a r a t o r y s t e p s o f t h e g r i e v a n c e , a n d th e l a t e r f o r m a l g r i e v a n c e s t e p s a n d a r b i t r a t i o n h e a r i n g s . O ffic ia l tim e o ff w a s p r o v id e d m o s t often f o r g r ie v a n c e m e e t in g s , l e s s o ften fo r a r b itr a tio n h e a r in g s , and le a s t fr e q u e n t ly f o r p r e p a r a t io n o f g r ie v a n c e s : Agreements Employees covered Total, with negotiated grievance procedures----------------- 380 245,863 Providing official tim e off -------------------------------------------------------Grievance preparation----------------------------------------------------------Grievance processing------------------------------------------------------------A rbitration ----------------------------------------------------------------------------No reference to official time off ------------------------------------------ 291 93 239 212 89 195, 190 94,101 175, 168 156,639 50, 673 NOTE: Nonadditive. 12 Section 14 of Executive Order 11491 specifically stipulates equal sharing. The Federal Personnel Manual, chap. 771, which is the basic guideline for employee grievance systems, stipulates a reasonable amount of official time for grievants, representatives, and witnesses. and arbitration 29 T h e l o w i n c i d e n c e o f o f f i c i a l l e a v e t o p r e p a r e f o r g r i e v a n c e s m a y i n d i c a t e th a t in m a n y c a s e s g r i e v a n c e p r o c e s s i n g a l s o i n c l u d e s g r i e v a n c e p r e p a r a t i o n . R e l a t i v e t o th e tota l n u m b e r o f n e g o tia te d p r o v i s i o n s , tim e o ff is m o r e lik e ly to b e g ra n te d fo r a r b i t r a t i o n th a n f o r g r i e v a n c e s . in g ly W h en tim e o f f w a s a ll o w e d to h e lp p r e p a r e a p p lie d to u nion r e p r e s e n t a t i v e s : a g riev a n ce, Agreements th e c l a u s e s ov erw h elm Employees covered Total granting time off for grievance preparation------- 93 94, 101 T im e off for: Grievant ----------------------------------------------------------- ---------------------Union representatives-----------------------------------------------------------Grievant and union representative-------------------------------------- 7 78 8 2, 249 8 1 ,4 4 7 10, 405 T h e p r e v a l e n c e o f c l a u s e s c it in g u n io n r e p r e s e n t a t i v e s a n d th e lo w i n c i d e n c e o f t h o s e c i t i n g t h e g r i e v a n t r e f l e c t s , f i r s t , t h e u n i o n s ' n e e d t o e s t a b l i s h th e r i g h t o f it s r e p r e s e n t a t i v e s t o b e a v a i l a b l e t o s e r v i c e th e n e e d s o f m e m b e r s . S e c o n d l y , the f o r m a l i z a t i o n i n t o c o n t r a c t l a n g u a g e o f e x i s t i n g p r a c t i c e s p e r m i t s c o m p l a i n i n g e m p l o y e e s to b e c o n s u l t e d a b o u t t h e i r g r i e v a n c e s w i t h o u t e c o n o m i c l o s s to th e u n i o n r e p r e s e n t a t i v e s . F e w p r o v is io n s le ft such le a v e w as re q u ire d : the a m o u n t of tim e off u n lim ited . O ften ju stifica tio n (51) The employee and his representative will be afforded a reasonable tim e, up to a maximum of 8 hours, without charge to leave to prepare for discussions and presentation of his grievance to the employer's representative. (91) Since the proper preparation of a grievance may require some official time during normal working hours, the personnel officer will grant the grievant and/or his representative, upon written justifi cation of the need therefore, official time commensurate with said need. for O th er a g r e e m e n t s s e t n o s p e c i f i c tim e lim it , but u s e d w o r d s s u ch a s e x c e s s i v e or u n rea son a b le use o f tim e. In a l l o f t h e s e c l a u s e s , t h e u n d e r l y i n g g o a l w a s to m i n i m i z e the l o s s o f p r o d u c t i o n to the e m p l o y e r . T he s e co n d illu stra tio n p roh ib ited th e u n i o n r e p r e s e n t a t i v e f r o m s o l i c i t i n g g r i e v a n c e s o n G o v e r n m e n t t i m e : (92) Reasonable time will . . . be granted for representatives to discuss with employees grievances and appropriate matters directlyrelated to the work situations in their areas. The lodge representatives will guard against the use of excessive time in the handling of such matters. (93) Time off during working hours will be permitted without loss of pay or benefits of any kind to per mit . . . stewards to discuss with employees and cognizant management officials grievances and other appropriate matters . . . They may receive and investigate but may not solicit grievances. The union agrees, whenever business of any nature is being transacted during working hours, only that amount of time reasonable and necessary to bring about a prompt and expeditious disposition o f the matters will be utilized. (94) The union representatives . . . may receive employees on government time or property . use of time in handling matters necessitating ard and union representatives may engage in benefits of any kind. and investigate . . . complaints or grievances of . . Union representatives will guard against excessive their absence from their work assignment. The stew such activities without suffering any loss in pay or P r o v i s i o n s s t i p u l a t i n g t i m e o f f w h i l e the g r i e v a n c e w a s b e i n g p r o c e s s e d t h r o u g h i t s v a r i o u s s t e p s (1) a g a i n p r o v i d e d o f f i c i a l l e a v e m o s t o f t e n t o u n i o n r e p r e s e n t a t i v e s , (2) s a i d l i t t l e a b o u t t i m e o f f f o r t h e g r i e v a n t s i n c e a c o m p l a i n i n g e m p l o y e e w o u l d b e g i v e n o f f i c i a l l e a v e t o p r o c e s s h i s g r i e v a n c e , a n d (3 ) g r a n t e d l e a v e t o w i t n e s s e s a b o u t a s o fte n as to u n io n r e p r e s e n t a t i v e s : 30 Agreements Employees covered granting time off for grievance processing 239 175,168 Tim e off for: Union representative o n l y -----------------------------------------Grievant o n ly --------------------------------------------------------------Witness o n ly ----------------------------------------------------------------Union representative and grievant -------------------------Union representative and witness ---------------------------Union representative, grievant, and witness --------- 74 3 81 16 52 13 25, 297 1 ,71 2 64, 803 12,3 2 8 6 6 ,1 4 7 4, 881 Total P r o v i s i o n s g r a n t i n g t i m e o f f to g r i e v a n t s a n d u n i o n o f f i c i a l s f o r p r o c e s s i n g c o m p l a i n t s w e r e b a s i c a l l y th e s a m e in l a n g u a g e a s t h o s e c i t e d p r e v i o u s l y f o r p r e p a r i n g g r i e v a n c e s , i n c l u d i n g t h e c a u t i o n to u n i o n r e p r e s e n t a t i v e s n o t t o a b u s e o f f i c i a l t i m e o f f . P r o v i s i o n s p e r m i t t i n g o f f i c i a l l e a v e t o w i t n e s s e s u s u a l l y s t i p u l a t e d th a t w i t n e s s e s c o u l d b e c a l l e d in a t a n y s t e p o f th e p r o c e d u r e : O ver (95) At each and every step o f the grievance procedure, the union shall be permitted to call relevant employee witnesses who shall suffer no loss of pay for so serving. (65) At any of the steps of the grievance procedure set forth in this article, both parties shall have the right to call a reasonable number of relevant employee witnesses. Such employee witnesses shall suffer no loss of pay or leave for the time spent in testifying. h a lf o f th e p ro v isio n s re fe rrin g to w itn e s s e s w ere fou n d in N a v y a g r e e m e n t s . F o u r - f i f t h s o f th e a g r e e m e n t s h a v i n g a d v i s o r y a r b i t r a t i o n , c o v e r i n g t h e s a m e p r o p o r t i o n o f w o r k e r s , p r o v i d e d o f f i c i a l t i m e o f f f o r i n d i v i d u a l s p a r t i c i p a t i n g in s u c h h e a rin g s. In c o n t r a s t t o t h o s e r e f e r r i n g t o p r o c e s s i n g g r i e v a n c e s , w h i c h s t r e s s e d tim e o ff f o r u nion o f f i c i a l s and w itn es s e s , a d v i s o r y a r b it r a t io n p r o v is i o n s o v e r w h e l m in g ly g ra n te d o f f i c i a l le a v e to a ll th re e p a r tic ip a n ts : Total Agreements Employees covered 266 194 ,6 69 212 25 9 2 176 156 ,6 39 2,99 8 2 ,2 5 4 534 150, 853 provisions with advisory arbitration---------------------- Providing official time off ------------------------------------------------------Union representatives o n l y -------------------------------------------------Witnesses o n l y ----------------------------------------------------------------------Union representatives and w itn esses---------------------------------Union representatives, grievants, and witnesses--------------- P r o v i s i o n s g e n e r a lly s c h e d u le d h e a r in g s d u rin g th e y g r a n t e d f u ll p a y sta tu s to p a r t i c ip a n t s : (53) w ork in g hours at th e sam e tim e th a t The arbitration hearing shall be held during the regular day shift work hours of the basic work week of Monday through Friday, and all employee representatives, employee appellants and em ployee witnesses shall be in pay status, without charge to annual leave, while participating in the arbitration proceedings. In t h e G e n e r a l S e r v i c e s A d m i n i s t r a t i o n , a r b i t r a t i o n h e a r i n g s w e r e s c h e d u l e d d u r i n g the d a y s h i f t , b u t th e a g e n c y w a s s a f e g u a r d e d a g a i n s t p a y i n g o v e r t i m e w a g e s to p a r t i c i pants: (96) The arbitration hearing shall, whenever practicable, be held at the GSA during the regular day shift work hours of the normal GSA basic work week. The aggrieved employee as well as his representative and necessary witnesses who are GSA employees shall be in a pay status without charge to annual leave while participating in the arbitration proceedings. However, in no event will the employee, his representative and witnesses, if employees of GSA, be paid overtime by reason of participation in the arbitration proceedings. 31 T a b le 8. P r o v is io n s f o r a d v is o r y a r b it r a t io n o f g r i e v a n c e s in F e d e r a l c o l l e c t i v e b a r g a in in g a g r e e m e n t s b y a g e n c y , A g en cy T o t a l w ith n e g o tia te d p roced u res T o t a l w ith a d v is o r y a r b it r a t io n 1967 N o re fe re n ce A g reem en ts E m p lo y e e s A g reem en ts T o t a l ----------------------------------------------------- 380 245, 863 266 1 9 4 ,6 7 0 114 51, 193 A g r i c u l t u r e ----------------------------------------------------C o m m e r c e -----------------------------------------------------D e f e n s e -----------------------------------------------------------A ir F o r c e ____________________________________ A r m y ---------------------------------------------------------------N a v y __ ___ ___ _ _ ------------------------- -- -- -----H e a lth , E d u c a t io n , and W e l f a r e ---------------Inte r i o r _____ _____ __ __ ___________ _________ J u s t i c e ------------------------------------------------------------L a b o r -------------------------------------------------------------T r a n s p o r t a t i o n ------- — ---------------------------------T r e a s u r y --------------------------------------------------------A t o m ic E n e r g y C o m m i s s i o n ----------------------C iv il S e r v i c e C o m m i s s i o n ------------------------G e n e r a l S e r v i c e s A d m i n i s t r a t i o n ------------In t e r s t a t e C o m m e r c e C o m m i s s i o n ---------N a tio n a l A e r o n a u t ic s and S p a ce A d m in i s t r a t io n ------------------------------------------N a tio n a l L a b o r R e la tio n s B o a r d ---------------R a ilr o a d R e t ir e m e n t B o a r d -----------------------S m a ll B u s in e s s A d m in is t r a t io n ----------------S m ith s o n ia n In s t itu tio n -------------------------------T a r if f C o m m i s s i o n --------------------------------------T e n n e s s e e V a lle y A u t h o r i t y ----------------------V e t e r a n s A d m i n i s t r a t i o n ---------------------------- 6 7 5 12 53 127 4 45 8 1 30 4 5, 073 1, 810 2, 565 5, 741 3 1 , 849 127, 321 1 ,4 1 2 4 , 148 1, 160 3, 835 4 , 130 4 10 3 5 4 11 42 100 2 45 5 1 12 4 3, 806 506 2, 344 5, 641 2 5 ,8 4 5 1 1 4 ,5 7 6 1, 283 4 , 148 778 3, 835 2, 141 410 3 2 1 1 11 27 2 1, 267 1, 304 221 100 6, 004 12, 745 129 - - - 8 670 6 - - - - 5 5 1 3 1 3 52 5 ,4 84 1, 529 1, 612 4 35 8 17, 978 28, 693 3 2 _ 1 3 17 E m p lo y e e s - 534 509 1, 260 - 235 17, 978 8, 841 A g reem en ts - 3 - 18 E m p lo y e e s - 382 1, 989 - - - 2 " 136 - 2 3 1 2 1 35 4 , 975 269 1, 612 200 8 19, 852 Chapter V. Grievance, Arbitration, and Negotiation Impasse Procedures in the National Postal Agreement 14 T he N a tio n a l P o s t O f fic e a g r e e m e n t c o v e r e d m o r e e m p l o y e e s (6 0 8 ,8 3 3 ) than a ll o th e r a g r e e m e n t s c o m b in e d ( 3 7 5 ,4 8 5 ) , and co n s titu te d ju st o v e r t h r e e - f i f t h s o f a ll e m p l o y e e s c o v e r e d b y e x c l u s i v e r e c o g n i t i o n a g r e e m e n t s in t h e B u r e a u ’ s s t u d y ( t a b l e 1). T h e s i x a f f i l i a t e d u n i o n s a n d u n a f f i l i a t e d l a b o r o r g a n i z a t i o n w h i c h a r e p a r t i e s t o th e a g r e e m e n t c o v e r 86 p e r c e n t o f t h e P o s t O f f i c e ' s 1 9 6 7 e m p l o y m e n t . 15 The follow in g t a b l e c o m p a r e s e m p l o y m e n t c o v e r a g e a n d u n i o n m e m b e r s h i p f o r 1 9 6 4 a n d 1 9 6 7 f o r th e sev en la b o r o rg a n iz a tio n s: 1964 1967 Employee organization National Association of Letter Carriers of the U. S. A --------United Federation of Postal C lerk s-------------------------------------National Rural Letter Carriers Association (Ind.) --------------National Association of Post Office and General Service Maintenance E m p lo ye es-------------------------------------National Association of Special Delivery M essengers------National Federation of Post Office Motor Vehicle E m ployees--------------------------------------------------------------------------National Association of Post Office Mail Handlers, Watchmen, Messengers and Group Leaders---------------------- Employment coverage Union member ship * Union Employment member coverage ship1 192, 045 3 06 ,7 2 9 30, 727 210, 000 166 ,0 00 4 1 ,1 9 2 171,351 228 ,7 40 4 3 ,2 7 6 167,913 139 ,0 00 4 2 ,3 0 0 2 1 ,0 5 4 4 ,7 1 6 1 3,1 7 5 2, 605 19, 805 4 ,0 1 8 8 ,4 2 4 1 ,5 0 0 10,878 8 ,0 0 0 4 ,2 2 4 6, 200 42, 684 2 4 ,0 0 0 (2 ) ( 2) Union membership is for 1968. 2 Did not gain exclusive recognition until 1965. NOTE: A ll unions are AFL-CIO affiliates unless designated independent (In d .). S in c e 1964 the n u m b e r o f e m p l o y e e s r e p r e s e n t e d b y the d e p a r t m e n t - w i d e p o s t a l a g r e e m e n t h a s i n c r e a s e d m o r e th an 1 3 5 ,0 0 0 . In a d d i t i o n t o g r o w t h in c o v e r a g e b y 5 o f th e 6 s i g n a t o r i e s to the e a r l i e r a g r e e m e n t , an a d d it io n a l 4 0 , 0 0 0 e m p l o y e e s w e r e a d d e d w h e n th e N a t i o n a l A s s o c i a t i o n o f P o s t O f f i c e M a i l H a n d l e r s , W a t c h m e n , M e s s e n g e r s a n d G r o u p L e a d e r s ( A F L - C I O ) 16 g a i n e d e x c l u s i v e r e c o g n i t i o n i n 1 9 6 5 . B e y o n d the p u r v i e w o f t h is stu d y a r e a p p r o x i m a t e l y 2 4 , 500 e x c l u s i v e r e c o g n i t i o n l o c a l u n i t s th a t h a v e n e g o t i a t e d m o r e t h a n 1 3 , 0 0 0 l o c a l p o s t a l a g r e e m e n t s . A lso e x c l u d e d f r o m t h e s t u d y ' s s c o p e a r e f o u r i n d e p e n d e n t u n i o n s f o r m a l l y r e c o g n i z e d at th e n a t i o n a l l e v e l . 17 N e g otia tio n Im p a s s e P r o c e d u r e s T he d e p a r t m e n t -w id e p o s ta l a g r e e m e n t p r o v id e s f o r m e d ia t io n o f i m p a s s e s d u rin g n a tio n a l n e g o tia t io n s w h en r e q u e s t e d by e ith e r p a r ty . B e fo r e m e d ia tio n can be r e q u e s t e d , a ll n e g o t ia b le i t e m s m u s t b e d i s p o s e d o f an d a fin a l e f f o r t m u s t b e m a d e to r e s o l v e the d e a d l o c k e d i s s u e s . T h e p a r t y in itia tin g m e d i a t i o n m u s t n o t if y th e o t h e r p a r t y in w r i t i n g . T h e m e d i a t o r i s c h o s e n f r o m a li s t s u p p lie d b y th e F e d e r a l M e d ia t io n an d C o n cilia tio n S e r v ic e . S h o u l d t h e m e d i a t o r f a i l t o r e s o l v e t h e i m p a s s e , it i s r e f e r r e d t o the P o s t m a s t e r G e n e r a l f o r fi n a l d e c i s i o n . 14 The text of postal negotiation impasse and grievance and arbitration procedures appears in appendix B. 15 See Union Recognition in the Federal Government, Statistical Report, November 1967, U. S. Civil Service Com mission, Office of Labor-Management Relations. 16 Affiliated with the Laborers International Union (AFL-CIO). 17 National Alliance of Postal and Federal Employees; National Postal Union; National League of Postmasters of the United States; and National Association of Postal Supervisors. 33 T he N a tion a l A g r e e m e n t a ls o p r o v id e d f o r r e f e r r a l to h ig h e r m a n a g e m e n t and u n i o n a u t h o r i t y w h e n l o c a l r ' g o t i a t i o n s r e a c h a n i m p a s s e a f t e r 14 d a y s o f b a r g a i n i n g . A t t e m p t s a r e m a d e to s e tt le th e i m p a s s e , f i r s t b y the r e g i o n a l d i r e c t o r o f in d u s t r ia l r e l a t i o n s a n d t h e r e g i o n a l e m p l o y e e r e p r e s e n t a t i v e ; f a i l i n g r e s o l u t i o n w i t h i n 15 d a y s , the d e a d lo c k e d i s s u e s a r e f o r w a r d e d to the D ep u ty A s s i s t a n t P o s t m a s t e r G e n e r a l , B u r e a u o f P e r s o n n e l , an d the r e p r e s e n t a t i v e s o f the n a t io n a l e x c l u s i v e l a b o r o r g a n i z a tio n f o r fu r t h e r n e g o t ia t io n , a g a in w ith a 1 5 -d a y t i m e li m it . S e t t le m e n t at e it h e r l e v e l is fi n a l an d b in d in g on th e l o c a l n e g o t i a t o r s . F a i l u r e t o b r e a k t h e d e a d l o c k at the n a t io n a l l e v e l m e a n s that th e i s s u e d i e s f o r th e life o f th e l o c a l a g r e e m e n t . G r ie v a n c e and A r b it r a t io n P r o c e d u r e s A g r i e v a n c e , a s d e f i n e d in t h e a g r e e m e n t , i s , " a n y c a u s e f o r d i s s a t i s f a c t i o n o u t s i d e a n e m p l o y e e ' s c o n t r o l i f t h e m a t t e r g r o w s o u t o f e m p l o y m e n t in t h e p o s t a l s e r v i c e an d the r e m e d y sou g h t is w ith in the a u t h o r it y o f the P o s t m a s t e r G e n e r a l o r o t h e r p o s t a l o f f ic ia l to w h o m su ch a u th o rity h as b e e n d e le g a te d . " The a g re e m e n t e x clu d e s fr o m th e g r i e v a n c e p r o c e d u r e m a t t e r s s u c h a s the D e p a r t m e n t 's m i s s i o n , b u d g e t , t e c h n o l o g y , o r g a n iz a tio n a l s t r u c tu r e , and p e r s o n n e l a s s ig n m e n ts " u n le s s su ch a s s ig n m e n t v io la te s la w s, re g u la tio n s or p o l i c y . " A l s o e x c l u d e d f r o m the g r i e v a n c e p r o c e d u r e a r e a n u m b e r o f ite m s fo r w h ich s p e c ia l a p p ea ls s y s te m s have b een ad op ted . A m on g th ese are a lle g e d v io la t io n s of lo c a l a g r e e m e n t s , a p p e a ls on p r o m o t io n s , d e n ia l o f step in c r e a s e s b e ca u se of u n s a tisfa cto ry p e r fo r m a n c e , a d v e rs e a ctio n s, grade le v e l d eterm in a tion s, o r a lle g a tio n s o f d is crim in a tio n . W h e n a g r i e v a n c e is p r o c e s s e d , the u n io n , i f s e l e c t e d b y the e m p l o y e e to r e p resent h i m , i s e n t i t l e d t o b e p r e s e n t at a l l s t e p s a n d t o r e c e i v e c o p i e s o f w r i t t e n d e c is i o n s and s u m m a r ie s . W h en th e g r ie v a n t d o e s not s e l e c t th e u n io n to r e p r e s e n t h i m , t h e u n i o n , n e v e r t h e l e s s , r e t a i n s t h e r i g h t t o b e p r e s e n t at a l l s t e p s a n d t o s t a t e i t s p o s i t i o n o n th e g r i e v a n c e . T h e n e g o t ia t e d g r i e v a n c e p r o c e d u r e is a m u lt ip le s te p s y s t e m w ith p r o v i s i o n s f o r a h e a r in g c o m m it t e e , a B o a r d of A p p e a ls and R e v ie w , and a d v is o r y a r b it r a tio n . At the in it ia l o r i n f o r m a l s te p o f the p r o c e d u r e the g r i e v a n c e is d i s c u s s e d b y th e e m p l o y e e w ith h is im m e d ia t e s u p e r v i s o r . He m a y be a c c o m p a n i e d , if he d e s i r e s b y h is u n ion r e p r e s e n t a t i v e , b o t h o f w h o m w i l l b e a l l o w e d s u f f i c i e n t o f f i c i a l t i m e t o p r e s e n t th e com p la in t. If not s a t i s f a c t o r i l y r e s o l v e d w ith in 3 d a y s , the g r i e v a n c e m a y b e d i s c u s s e d i n f o r m a l l y at t h e s e c o n d s t e p w i t h t h e i n s t a l l a t i o n h e a d . A l t e r n a t i v e l y , it m a y b e r e d u c e d to w r i t i n g an d f i l e d f o r m a l l y w ith th e in s t a l la t i o n h e a d . If th e d e c i s i o n o f the in s t a l l a t i o n h e a d , w h i c h m u s t be d e l i v e r e d in w r i t i n g w ith in 5 w o r k i n g d a y s , is n ot s a t i s f a c t o r y , the g r ie v a n t th e n m a y p r o c e e d to the s e c o n d l e v e l o f ap p ea l. W i t h i n 5 d a y s a f t e r r e c e i v i n g t h e i n s t a l l a t i o n h e a d ' s w r i t t e n d e c i s i o n , th e g riev a n t m a y re q u e st a h ea rin g . If a h e a r in g is r e q u e s t e d , w ith in a n o th e r 3 d a y s a t h r e e - m a n c o m m i t t e e w i l l be f o r m e d , c o n s i s t i n g o f a m e m b e r a p p o in t e d b y the g r i e v a n t , a n o t h e r a p p o in t e d b y the i n s t a l la t i o n h e a d , an d a c h a i r m a n s e l e c t e d b y the f i r s t t w o . A ll th ree m u st be e m p l o y e d in t h e P o s t O f f i c e D e p a r t m e n t . T h e c o m m i t t e e c o n d u c t s an i n f o r m a l h e a r in g ; no w itn esses a re c r o s s -e x a m in e d . W i t h i n 5 w o r k i n g d a y s a f t e r c o m p l e t i o n o f th e h e a r i n g s , the c o m m i t t e e p r e p a r e s a s u m m a r y f o r the in s t a l la t i o n h e a d , th e g r i e v a n t , and h is r e p r e s e n t a t i v e , t o g e t h e r w ith its d e c i s i o n . The h e a rin g c o m m it t e e 's d e c is io n i s b i n d i n g u n l e s s a p p e a l e d w i t h i n 10 w o r k i n g d a y s . W hen the g r ie v a n t , h is r e p r e s e n t a t i v e , w ith th e h e a r in g c o m m i t t e e ' s d e c i s i o n , o r w h e n in g , the g r i e v a n c e is ta k e n to the s e c o n d a p p e a l a c c o r d i n g to th e ty p e o f p o s t a l in s t a l la t i o n — the 34 o r th e i n s t a l l a t i o n h e a d i s n o t s a t i s f i e d the g r ie v a n t h a s not r e q u e s t e d a h e a r le v e l. The secon d appeal le v e l v a rie s R e g io n a l D i r e c t o r f o r P o s t O f f ic e s and R e g i o n a l H e a d q u a r t e r s O f f i c e s , th e B u r e a u H e a d o r C h i e f P o s t a l I n s p e c t o r in o t h e r cases. B e f o r e th e d e c i s i o n at t h e s e c o n d a p p e a l l e v e l , th e g r i e v a n t o r h i s r e p r e s e n t a t iv e m a y r e q u e s t an i n f o r m a l d i s c u s s i o n w ith the R e g i o n a l D i r e c t o r o f the I n d u s t r ia l R e la t i o n s D i v is i o n w h o w i ll a tte m p t to a r r i v e at a s e t t le m e n t . If t r a v e l i s i n v o l v e d , th e e m p l o y e e w i l l p ay h is ow n e x p e n s e s and ta k e a n n u a l le a v e o r le a v e w ith o u t p a y . If th e D i r e c t o r o f the P e r s o n n e l D i v i s i o n f a i l s to r e s o l v e the i s s u e , the g r i e v a n c e w i l l b e c e r t i f i e d to the R e g i o n a l D i r e c t o r w ith in 3 d a y s . W i t h i n a n a d d i t i o n a l 10 d a y s , the R e g i o n a l D i r e c t o r w i l l r e n d e r a d e c i s i o n b a s e d s o l e l y on the i n f o r m a t i o n a l r e a d y c o n t a i n e d in t h e g r i e v a n c e f i l e . A t th is p o in t, s h o u ld th e g r ie v a n t w i s h to a p p e a l f u r t h e r , he m a y r e q u e s t a r e v i e w at t h e D e p a r t m e n t l e v e l b y t h e B o a r d o f A p p e a l s a n d R e v i e w o r h e m a y r e q u e s t a d v is o r y a rb itra tio n . If s e l e c t e d , t h e B o a r d o f A p p e a l s a n d R e v i e w m a y g r a n t a f u r t h e r h e a r i n g , o r d i s c u s s the c a s e w ith the g r ie v a n t a n d / o r h is r e p r e s e n t a t i v e . If a n o t h e r h e a r in g is h e ld an d i f the n a t io n a l e x c l u s i v e o r g a n i z a t i o n d o e s not r e p r e s e n t the g r i e v a n t , it, n e v e r t h e l e s s , w i l l b e n o t i f i e d , p e r m i t t e d to be p r e s e n t an d to state it s p o in t o f v i e w on the g r i e v a n c e . T h e d e c i s i o n th a t t h e B o a r d f i n a l l y r e n d e r s i s c o n s i d e r e d t o b e th a t o f t h e P o s t m a s t e r G e n e r a l , e x c e p t f o r p r o m o t i o n a l a p p e a l s . In that c a s e , the A s s i s t a n t P o s t m a s t e r G e n e r a l , B u r e a u o f P e r s o n n e l , m a y r e n d e r a f i n a l d e c i s i o n b a s e d on the B o a r d ' s r e c o m m e n d a t i o n s . T hroughout th ese p r o c e d u r e s the P o s t m a s t e r G e n e r a l r e t a i n s r e s i d u a l a u t h o r it y . A d v is o r y A rb itra tio n If the e m p l o y e e c h o o s e s a d v i s o r y a r b i t r a t i o n r a t h e r th an the B o a r d o f R e v i e w a n d A p p e a l s and if th e u n io n c o n s e n t s to p a y o n e - h a l f the a r b i t r a t i o n c o s t , th e g r i e v a n c e w i l l b e p r e s e n t e d to an a r b i t r a t o r s e l e c t e d f r o m a lis t s u b m it t e d b y the F e d e r a l M e d ia t io n and C o n c ilia t io n S e r v i c e . W i t h i n 30 d a y s a f t e r r e c e i p t o f f i l e s , he w i ll m a k e an a d v i s o r y a w a r d b a s e d on th e r e c o r d e s t a b l i s h e d . H is a w a rd m a y be a p p e a le d b y e it h e r p a r t y to th e A s s i s t a n t P o s t m a s t e r G e n e r a l , B u r e a u o f P e r s o n n e l . S p e cia l P r o c e d u r e s A n e m p l o y e e m a y g r i e v e d e n ia l o f p r o m o t i o n u n d e r th e e s t a b l i s h e d g r i e v a n c e p r o c e d u r e w h e n the b a s i s f o r the g r i e v a n c e is a n a l l e g e d p r o c e d u r a l e r r o r o r th e g r ie v a n t 's q u a lific a tio n s . A ny oth er appeal fr o m a p ro m o tio n a l d e c is io n fo llo w s a s p e cia l p ro c e d u r e . G r i e v a n c e s a l l e g in g v i o l a t i o n o f the l o c a l a g r e e m e n t m a y b e p r o c e s s e d th r o u g h th e e s t a b l i s h e d p r o c e d u r e o n ly th r o u g h th e in s t a l la t i o n h e a d . A t that p o in t th e g r i e v a n ce is a p p e a le d to a L a b o r -M a n a g e m e n t C o m m it t e e . If n ot r e s o l v e d , the c o m p l a in t i s c e r t i f i e d t o th e r e g i o n a l d i r e c t o r w h o w i l l m a k e t h e f i n a l d e c i s i o n . G r i e v a n c e s in v o lv in g an a p p e a l f r o m a w ith h eld s a la r y s t e p - i n c r e a s e a r e p r o c e s s e d t h r o u g h a n i n d e p e n d e n t p r o c e d u r e w h i c h , in s o m e r e s p e c t s , d i f f e r s i n s t r u c t u r e f r o m th e n e g o t ia t e d p r o c e d u r e . The fir s t le v e l of a p p ea l, fo r e x a m p le , p r o v id e s fo r a f a c t fi n d e r o r " h e a r i n g o f f i c e r - i n v e s t i g a t o r , " an d the fi n a l a p p e a l is to th e B o a r d o f R e v i e w and A p p e a l s , r e f e r r e d to e a r l i e r , w ith no r e c o u r s e to a d v is o r y a r b it r a t io n . P a y S tatus T h e N a t io n a l P o s t a l a g r e e m e n t d o e s n ot p r o v i d e f o r the p a y sta tu s o f e m p l o y e e w i t n e s s e s c a ll e d to t e s t ify d u rin g a g r ie v a n c e p r o c e e d in g . A s n oted e a r li e r , a " r e a s o n a b le a m o u n t " o f o f f i c i a l t i m e i s p r o v i d e d f o r the e m p l o y e e an d h is r e p r e s e n t a t i v e . 35 Appendix A Id en tifica tion A gency, 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 A rm y, in sta lla tion , o f C la u ses and e m p l o y e e o r g a n iz a t io n A tla n ta A r m y D e p o t, F o r e s t P a r k , Ga. S e r v i c e E m p l o y e e s (S E I U ) A r m y , F o r t S am H ou ston , San A n to n io , T ex. G ov ern m en t (A F G E ) A r m y , R yukyu Isla n d s C o m m a n d , O kinaw a, Japan G o v e rn m e n t (A F G E ) V e te ra n s A d m in is tra tio n H o sp ita l, B e c k le y , W .V a . G o v e rn m e n t (A F G E ) D e fe n s e , A r m e d F o r c e s In stitu te, M a d is o n , W is. G ov ern m en t (A F G E ) A i r F o r c e , H ill A F B , Utah G o v e rn m e n t (A F G E ) A r m y , N ew C u m b e rla n d A r m y D ep ot, N ew C u m b e rla n d , P a. G o v e rn m e n t (A F G E ) V e t e r a n s A d m in is t r a t io n H o s p ita l, Ir o n M ou n ta in , M ic h . G o v e rn m e n t (A F G E ) A r m y , U. S. A r m y E n g i n e e r D i s t r i c t , B a l t i m o r e , M d . G o v e rn m e n t (A F G E ) A g r i c u l t u r e , C o n s u m e r and M a r k e t i n g S e r v i c e , M e a t G r a d in g B r a n c h , S iou x C ity , Iow a G o v e rn m e n t (A F G E ) A r m y , B ro o k e A r m y M e d ic a l C e n te r, F o r t Sam H ou ston , T ex. G o v e rn m e n t (A F G E ) V e tera n s A d m in istra tio n R e gion a l O ffic e , L in co ln , N e b r. G o v e rn m e n t (A F G E ) V e t e r a n s A d m i n i s t r a t i o n R e g i o n a l O f f i c e , P r o v i d e n c e , R . I. G o v e rn m e n t (A F G E ) A r m y , U .S . A r m y A d v i s o r G ro u p F o r t H a y e s , C o lu m b u s , O h io G o v e rn m e n t (A F G E ) H ea lth , E d u ca tio n and W e lf a r e , S o c ia l S e c u r it y A d m in is t r a t io n , D is t r ic t O f f i c e , San J o s e , C a lif. G o v e rn m e n t (A F G E ) A ir F o r c e , G r iffis s A F B , N ew Y o rk F ir e F ig h te rs (IA F F ) G e n e r a l S e r v i c e s A d m i n i s t r a t i o n , R e g i o n 3, A r l i n g t o n , V a . F ir e F ig h te rs (IA F F ) C o m m e r c e , W eath er B u rea u , E n v iron m en ta l S cie n ce S e r v ic e s A d m in is t r a t io n , J a c k s o n v ille , F la . G o v e rn m e n t (A F G E ) A r m y , R ed R iv e r A r m y D epot, F o r t R ile y , K ans. G o v e rn m e n t (A F G E ) H ealth , E d u ca tio n and W e lf a r e , S o c ia l S e c u r it y A d m in is t r a t io n , P a y m e n t C e n te r , P h ila d e lp h ia , P a . G o v e rn m e n t (A F G E ) A ir F o r c e , Luke A F B , A r iz o n a G o v e rn m e n t (A F G E ) A g r ic u lt u r e , C o n s u m e r and M a rk e tin g S e r v i c e , T o b a c c o D iv is io n , W a s h in g to n , D. C . T o b a c c o I n s p e c t o r s ( F T I M A ) (In d . ) A g r i c u l t u r e , N a tio n a l F o r e s t s o f T e x a s , L u fk in , T e x . G o v e rn m e n t (A F G E ) A gency, 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 in sta lla tion , and e m p lo y e e o r g a n iz a tio n A g r icu ltu re , A g r icu ltu ra l R e s e a r c h S e r v ic e , A n im a l D ise a se L a b o ra to ry , A m e s , Iow a G o v e rn m e n t (A F G E ) A r m y , A r m y A r m o r C en ter, F o rt Knox, Ky. R e ta il C le r k s (R C IA ) J u s t i c e , U. S. P e n i t e n t i a r y , L e w i s b u r g , P a . G ov ern m en t (A F G E ) D e fen se, D efense C on tra ct A d m in istra tio n S e r v ic e s R egion , C am den, N .J . G o v e rn m e n t (A F G E ) C o m m e r c e , M a r it im e A d m in is tra tio n O ly m p ia R e s e r v e F le e t, O ly m p ia , W ash. G ov ern m en t (A F G E ) D e fe n s e , C o n t r a c t A d m in is t r a t io n S e r v i c e s O f f ic e , H u n ts v ille , A la . G ov ern m en t (A F G E ) I n t e r io r , B u r e a u o f R e c la m a t io n , R e g io n 6, B illin g s , M on t. E l e c t r i c a l , B r o t h e r h o o d (IB E W ) A g r i c u l t u r e , O f f i c e o f th e I n s p e c t o r G e n e r a l , W a s h i n g t o n , D . C . F e d e r a l E m p l o y e e s ( N F F E ) (In d . ) A r m y , A n n is to n A r m y D e p o t, A n n isto n , A la . G o v e rn m e n t (A F G E ) V e t e r a n s A d m i n i s t r a t i o n H o s p i t a l, M o n t r o s e , N. Y. F e d e r a l E m p l o y e e s ( N F F E ) (Ind. ) A r m y , U .S . A r m y T ra in in g C e n te r, F o r t L e o n a rd W o od , M o. R e ta il C le r k s (R C IA ) V e te r a n s A d m in is t r a t io n H o s p ita l, L o u i s v i l l e , Ky. G ov ern m en t (A F G E ) A r m y , D is tr ic t C o rp o f E n g in e e rs , Savannah, Ga. G o v e rn m e n t (A F G E ) In te r io r , B u rea u o f R e c la m a tio n , C o lu m b ia B a sin P r o je c t , E p h ra ta , W ash . C olu m b ia B a sin T r a d e s C o u n cil (C B T C ) V e te ra n s A d m in is tr a tio n H o sp ita l, L e e c h F a r m Rd. , P itts b u rg h , P a . P o s t a l and F e d e r a l (N A P F E ) I n t e r i o r , B u r e a u o f In d ian A f f a i r s , W a p a to I r r i g a t i o n P r o j e c t , W a p a to , W a sh . F e d e r a l E m p l o y e e s ( N F F E ) (in d . ) A ir F o r c e , W h item a n A F B , M o . G o v e rn m e n t (A F G E ) N a v y , N a v a l O r d n a n c e S ta tio n , In d ian H e a d , M d . M a c h in is t s (IA M ) A r m y , U .S . A r m y , H a w a ii M a c h in is t s (IA M ) V etera n s A d m in is tra tio n H osp ita l, W est H aven , C onn. G o v e rn m e n t (A F G E ) A g r ic u lt u r e , A g r ic u lt u r a l R e s e a r c h S e r v i c e , P la n t Q u a ra n tin e D iv is io n , W a sh in g to n , D. C. F e d e r a l P l a n t Q u a r a n t i n e I n s p e c t o r s ( F P Q T ) (In d . ) V e t e r a n s A d m in is t r a t io n C e n t e r , D u b lin , G a. G o v e rn m e n t (A F G E ) H ealth , E d u ca tio n and W e lf a r e , S o c ia l S e c u r it y A d m in is t r a tio n , M ia m i D is t r ic t O ffic e , M ia m i, F la . G o v e rn m e n t (A F G E ) A g r ic u lt u r e , A g r ic u lt u r a l R e s e a r c h S e r v ic e , N o r th e r n U tiliza tio n R e s e a r c h a n d D e v e l o p m e n t D i v . , P e o r i a , 111. F e d e r a l E m p lo y e e s (N F F E ) (In d .) I n t e r i o r , B u r e a u o f C o m m e r c i a l F i s h e r i e s , R e g i o n I, S e a t t l e , W a s h . A l a s k a F i s h e r m e n ' s U n i o n (S IU ) 37 A gency, N avy, 50 51 52 53 54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 in sta lla tion , and e m p lo y e e o r g a n iz a tio n M a r in e C o r p A i r S ta tion , C h e r r y P o in t , N. C . M a c h in is t s (IA M ) T ra n sp orta tion , C oa st G uard B a se , B oston , M a s s . G o v e r n m e n t ( N A G E ) (Ind. ) A ir F o r c e , O tis A F B , M a s s . G o v e r n m e n t ( N A G E ) (Ind. ) A i r F o r c e , W r i g h t - P a t t e r s o n A F B , D a y to n , O h io M a c h in is t s (IA M ) A r m y , R ed R iv e r A r m y D epot, T exa rk an a , T ex. C h e m i c a l W o r k e r s (IC W ) N a v y , N a v a l C o m m u n ic a t io n S tation, H on olu lu , H a w a ii M a c h in is t s (IA M ) V e te r a n s A d m in is t r a tio n C e n t e r , B a y P in e s , F la . G o v e rn m e n t (A F G E ) I n t e r io r , G e o lo g ic a l S u rv e y , M ap R e p r o d u c t io n B r a n c h , W a sh in g to n , D. C. L it h o g r a p h e r s (L P IU ) T r a n s p o r t a t io n , F e d e r a l A v ia tio n A d m in is t r a tio n , H e a d q u a r t e r s , W a s h ., D .C . M a c h in is t s (IA M ) V e te r a n s A d m in is t r a tio n H o s p ita l, W ilm in g to n , D el. L a b o r e r s (L IU ) N a v y , N a v a l A ir S tation, B r u n s w ic k , M a in e G o v e r n m e n t ( N A G E ) (Ind. ) T ra n s p o rta tio n , F e d e r a l A via tion A d m in istra tio n , M a im i A ir R e s e a r c h T r a ffic C o n t r o l C e n t e r , M ia m i, F la . G o v e r n m e n t ( N A G E ) (Ind. ) A r m y , R ed R iv e r A r m y D epot, T exa rk an a , T ex. P lu m b in g and P ip e fittin g ( P P F ) I n t e r i o r , B u r e a u o f In d ia n A f f a i r s , F la t h e a d I r r i g a t i o n P r o j e c t , B illin g s , M ont. E l e c t r i c a l , B r o t h e r h o o d (IB E W ) N a v y , N a v a l A ir S tation, W h id b e y Is la n d , W ash . G ov ern m en t (A F G E ) J u s t ic e , F e d e r a l Y outh C e n t e r , K en tu ck y G o v e rn m e n t (A F G E ) N a v y , P u b lic W o r k s C e n t e r , P e a r l H a r b o r , H a w a ii M a c h in is t s (IA M ) T r a n s p o rta tio n , F e d e r a l A via tion A g e n c y , N ew C a stle A ir p o r t T r a ffic C o n t r o l T o w e r , D el. G o v e r n m e n t (N A G E ) (In d .) N avy, M ilita ry Sea T ra n s p o rt S e r v ic e , F a r E ast A re a , Y ok oham a, Japan M i l i t a r y S e a T r a n s p o r t U n i o n (S IU ) C o m m e r c e , N a tion a l B u r e a u o f S ta n d a rd s, W a sh in g to n , D. C. M eta l T ra d e s C o u n cil (M T C ) I n t e r i o r , B u r e a u o f I n d ia n A f f a i r s , C h e m a w a B o a r d i n g S c h o o l , C hem aw a, O reg. F e d e r a l E m p l o y e e s ( N F F E ) (In d . ) N a v y , N a va l A m m u n itio n D e p o t, O ahu, H a w a ii G o v e rn m e n t (A F G E ) T r a n s p o r t a t io n , N a tion a l A v ia tio n F a c il it i e s E x p e r i m e n t a l C e n t e r , A t l a n t i c C i t y , N. J . M a c h in is t s (IA M ) N a v y , M i l i t a r y S e a T r a n s p o r t S e r v i c e , A t la n t i c , B r o o k l y n , N . Y. N a t io n a l M a r i t i m e U n io n (N M U ) V e te ra n s A d m in is tra tio n H o sp ita l, P ittsb u rg h , P a. G o v e rn m e n t (A F G E ) A gency, in sta lla tio n , and e m p lo y e e o r g a n iz a tio n A rm y, 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 U . S. A r m y E l e c t r o n i c C o m m a n d , F o r t M o n m o u t h , N . J . G o v e rn m e n t (A F G E ) A ir F o r c e , M cG u ire A F B , N .J . G o v e rn m e n t (A F G E ) A g r ic u lt u r e , C o n s u m e r and M a rk e tin g S e r v ic e , P o u lt r y D iv is io n In s p e c tio n , A tla n ta , G a. G o v e r n m e n t (A F G E ) A r m y , R o c k I s l a n d A r s e n a l , R o c k I s l a n d , 111. M a c h in is t s (IA M ) C o m m e r c e , W eath er B u rea u , E n v iro n m e n ta l S cie n ce S e r v ic e s A d m in is t r a t i o n , N e w Y o r k , N. Y . G o v e r n m e n t ( N A G E ) (Ind. ) A r m y , M o b ile D i s t r i c t C o r p o f E n g i n e e r s , M o b il e , A la . N a tion a l M a r it im e U n ion (N M U ) T r a n s p o rta tio n , M in n e a p o lis A ir R e s e a r c h T r a ffic C o n tro l C e n te r, M in n e a p o li s , M in n . G o v e r n m e n t ( N A G E ) (In d . ) N a v y , N a v a l C o n s t r u c t i o n B a t t a l i o n C e n t e r , D a v i s v i l l e , R . I. G o v e r n m e n t (N A G E ) (In d .) N a vy, N aval S u pply C e n t e r , O ak land , C a lif. G o v e rn m e n t (A F G E ) T r a n s p o r t a tio n , R oa n ok e A ir p o r t T r a ffic C o n t r o l T o w e r , R o a n o k e , Va. G o v e r n m e n t (N A G E ) (In d .) A g r i c u l t u r e , C o n s u m e r a n d M a r k e t i n g S e r v i c e , O f f i c e o f th e A d m i n i s t r a t o r , W a s h i n g t o n , D. C . G o v e r n m e n t (A F G E , N a tion a l J oin t C o u n c il o f F o o d In s p e c tio n L o c a l s ) I n t e r io r , B o n n v ille P o w e r A d m in is t r a tio n , P o r tla n d , O r e g . G o v e rn m e n t (A F G E ) N a v y , M a r in e C o r p s A i r F a c i l i t y , Santa A n a , C a lif . G ov ern m en t (A F G E ) N a v y , N a v a l O c e a n o g r a p h ic O f f i c e , S u itla n d , M d . L ith o g r a p h e r s (L P IU ) T r e a s u r y , B u r e a u o f E n g r a v i n g and P r i n t i n g , W a s h in g t o n , D. C . P rin tin g P r e s s m e n (IP P A ) N a v y , N a v a l A ir S tation, V ir g in ia B e a c h , V a. M etal T r a d e s C o u n cil (M T C ) N a v y , P u b lic W o r k s T r a n s p o r t a t io n C e n t e r , San F r a n c i s c o , C a lif. M a c h in is t s (IA M ) C o m m e r c e , P a te n t O f f i c e , W a s h in g to n , D. C . P a t e n t O f f i c e P r o f e s s i o n a l A s s o c i a t i o n ( P O P A ) (Ind. ) J u stice , F e d e ra l P r is o n C am p , A la b a m a G o v e rn m e n t (A F G E ) N avy, N o r fo lk N aval S h ip y a rd , N o r fo lk , V a. T e ch n ica l E n g in eers (A F T E ) T r e a s u r y , B u r e a u o f E n g r a v in g and P r in t i n g , W a s h in g to n , D. C . E l e c t r i c a l W o r k e r s (IB E W ) A r m y , F o r t L e w is , T a c o m a , W ash. M a c h in is t s (IA M ) G e n e r a l S e r v i c e s A d m in is t r a t io n , R e g io n I, W a lth a m , M a s s . G o v e r n m e n t ( N A G E ) (In d . ) 39 Appendix B 1968—70 National Postal Agreement’ s Grievance, Arbitration, and Negotiation Impasse Resolution Procedures Procedures Covering Local Negotiations . . . I f the other party considers the proposal non-negotiable, it shall so state in writing, giving spe cific reasons why. A mere statement such as “ it is a prerogative of management,” is not sufficient. Any pro posal which has a direct effect on personnel policies, practices and working conditions and is not barred by Rule 13 is a proper subject for negotiation. b. I f agreement cannot be reached on the allegation of “ non-negotiability” , the questions shall immediately be referred to the Regional Director of Industrial Re lations and the Regional Representative(s) of the Organization(s) for joint determination. Such sub missions shall be signed by the Chief Negotiator of both parties and forwarded by the Installation Head to such designated officials at the regional level. (1) I f agreement is reached at the regional level with. in 10 days of receipt the decision shall be binding on the local parties. (2) If agreement cannot be reached at the regional level, the questions shall immediately be referred to the Deputy Assistant Postmaster General, Bu reau of Personnel, and the Representative(s) of the National Exclusive Organization(s) for de termination. Such submission shall be signed by both parties and forwarded to such designated officials at the National Level by the Regional Director of Industrial Relations. c. When a determination is reached after the close of the negotiation period that a proposal(s) is negotiable, the parties will be given an additional period of one day to attempt to reach agreement on such proposal(s). d. Agreements will not be signed until disposition of proposal(s) has been made under a, b, and c above. 17. When a proposal has been tentatively agreed upon by both parties, it shall be initialed by both parties. This does not prevent the proposal being reopened during the current negotiation period. 18. It is mutually agreed that an impasse occurs only after both parties have presented proposals and counterpro posals in good faith and both parties have considered the proposals and counterproposals of the other party in g .,<•..! faith and despite such honest and diligent efforts n agreement can be reached on the subject being negotiated When it has been determined that an impasse has been reached on a particular proposal, the following proce dures shall apply: a. Impasse items shall be reported at the close of the first 14 days of negotiations and at the conclusion of nego tiations to the Regional Director of Industrial Rela tions and the Regional Representative(s) of the Organization(s) for joint consideration. Such submis sion shall be signed by the Installation Head to the Regional Director of Industrial Relations and the Re gional Representative(s) of the Organization(s). b. If agreement is reached at the regional level within 15 days of receipt the decision shall be binding on the local parties. c. If mutual agreement cannot be reached at the regional level, the impasse shall be forwarded promptly to the Deputy Assistant Postmaster General, Bureau of Per sonnel and the representatives of the National Exclu sive Organization (s) concerned for consideration. Such submission shall be signed by the Regional Director of Industrial Relations and the Regional Employee Rep resentative^) and forwarded to the Deputy Assistant Postmaster General, Bureau the representatives of the Organization(s). of Personnel and National Exclusive d. A decision shall be reached within 15 working days of receipt and proper notification of representatives of the employee organization (s) involved by the Depart ment. If the representative o f the employee organiza tion (s) involved fails to meet in an effort to resolve the impasse during the stipulated time, the impasse will be considered unresolved. e. The decision at the national level shall be binding on the local parties. If no decision is reached at the na tional level the impasse issues will fail and not be subject to further negotiation during the life of the local agreement. f. If the impasse being processed involves local af filiate^) of the National Exclusive Organization for the craft, Department and/or Regional officials will meet only with national and/or regional representa tives of the National Exclusive Organization(s) con cerned. If the impasse being processed involves a local organization not affiliated with the National Exclu sive Organization for the craft, Department and/or Regional officials will meet simultaneously with the national and/or regional representatives of the Na tional Exclusive Organization(s) concerned and with the national and/or regional representatives of the local organization. g. Final signing of local agreements shall not be later than 15 days after both local parties have been notified of action taken on all impasses at the regional or na tional level. 19. Issues not made the subject of negotiation during the negotiating period can be negotiated no sooner than 120 calendar days after the effective date o f the local agree ments and only by mutual consent of the parties. Either party desiring to negotiate such items must designate their intention by sending a ten-calendar day written notice to the other paity. These negotiations must begin within 15 calendar days after receipt of the notice and cannot continue for more than ten calendar days. 20. None of the issues agreed upon during the principal ne gotiating period can be renegotiated during the life of the local agreement. 21. The installation head shall furnish signed copies o f all negotiated agreements to the follow ing: two (2) copies to the Regional Director of Industrial Relations; one (1) copy each to the Regional Representative of the National Exclusive Organization; and one (1) copy to the Na tional Headquarters o f the National Exclusive Organiza tion, and one (1) copy to the Local Chief Negotiator of each of the crafts concerned. Grievance Procedure A. Definition 1. A grievance is any cause for dissatisfaction outside an employee’s control if the matter grows out o f employ ment in the Postal Service and the remedy sought is within the authority of the Postmaster General or other 41 postal official to whom such authority has been delegated. Grievances shall not he accepted for processing which are based upon matters such as the mission of the Depart ment. its budget, the technology of performing its work, its organization, and assignment of personnel unless such assignment violates laws, regulations or policy. 2. Grievances on alleged violations of local agreements must he processed under the section of this procedure on viola tions of local agreements. 3. Grievances on promotions must be processed under the section of this procedure on promotion appeals. 4. Appeals on the denial of a salary step-increase when the denial is based on unsatisfactory service during the re quired period of satisfactory service must be processed through the procedures established in Paragraph S of this Article. Appeals from adverse actions, determination of grade level, cases of alleged discrimination because of race, creed, color, national origin or sex and interpretations or alleged violations of this Agreement will be made through separate procedures. Dissatisfactions arising out of a decision appealed through compensation, adverse action or equal employment opportunity procedure are not sub ject to further appeal under the grievance procedure. B. Guides for Supervisors 1. Most grievances arise from instances of misunderstand ings or problems that should be settled promptly and satis factorily on an informal basis at the supervisory levels before they become formal grievances. The prompt settle ment of these problems is desirable in the interest of sound employee-management relations. To this end, the practice of friendly discussions of problems between em ployees and their supervisors is not only encouraged but directed. 2. The immediate supervisor must maintain an atmosphere in which the employee can speak freely. Complaints shall be given careful and unprejudiced consideration. .4. Fair and prompt handling by the immediate supervisor will result in the satisfactory settlement of a large ma jority of these problems at the work level. 4. To accomplish this, it is directed that these problems be settled wherever possible at the earliest stage of discus sion. Every reasonable effort shall be made to avoid referral to the grievance procedure. C. Eligibility to Appeal Any employee, except Christmas or seasonal assistants, may file a grievance appeal, provided action on such appeal is initiated within thirty (30) working days from the date of the action or condition giving rise to the grievance. An em ployee organization may file an appeal on behalf of an employee!s) provided the employee!s) has (have) so au thorized the organization in writing. D. Grievance Steps at Installation Level: 1. Whenever an employee considers himself aggrieved, he shall discuss the matter with his immediate supervisor. If he desires, he may be accompanied by a representative of his own choice. Both the aggrieved and his representa tive shall be allowed a reasonable amount of official time to present the grievance. There shall be no delay and normally the efforts of the supervisor to resolve the grievance shall not exceed three (3) working days. 2. If the immediate supervisor cannot resolve the grievance the employee has the right to discuss the grievance with the head of the installation or his designee, and to be 2 accompanied by his representative. Both the aggrieved and/or his representative shall be allowed a reasonable amount of official time to present the grievance. The designee must have authority to resolve the grievance. 3. If as a result of such discussion at Step (2) the grievance is not resolved or if the employee does not wish to discuss the grievance at Step (2) it shall be reduced to writing and filed with the head of the installation. 4. The grievance shall be signed by the employee or, if he so authorizes in writing, it may be signed by his employee organization representative or by his own chosen repre sentative. It must contain the following information : a. Title and grade level of grievant b. Nature of grievance c. Corrective action requested and reasons d. Summary of efforts made to resolve grievance infor mally. e. Name of designated representative ( individual or organization) if any. E. An Individual’s Right To Be Represented 1. An employee has the right to select whomever he desires to represent him at each level of the grievance procedure. In the event that the person selected at the various levels is someone other than a representative of the exclusive organization, the exclusive organization at that level has a right to be present. 2. When an employee requests an organization rather than an individual to represent him in a grievance procedure, management will recognize the President o f that organiza tion as the representative, unless that official designates another organization representative. F. Right of Organization With Exclusive Recognition The exclusive organization at each level has the following rights in grievance matters processed at that lev el: 1. To be notified of the time and place of the proceedings at each step of the grievance beginning with discussion with the head o f the installation or designee. 2. To be present at all steps of the grievance procedure. (No right to be present at initial contact with supervisor if the aggrieved has not selected a representative.) 3. The organization, if any, with exclusive recognition at the level where the grievance is being processed shall be furnished with a copy of the written decision and sum mary, at any step at which a written decision and/or summary is involved. 4. If not the designated representative of the grievant, shall have an opportunity to state the exclusive organization’s position on the grievance. This right shall be exercised only one time, at each step, and shall follow the presen tation made by the employee and/or his representative. G. Installation Head’s Decision Within five (5) working days from the receipt of the written appeal, the installation head shall render a written dated deci sion to the grievant and submit a copy to the employee’s rep resentative, if any. The letter of decision shall indicate as clearly as is practicable, without a detailed analysis, the basis for the action taken and must advise the employee of his right to appeal including the right to a hearing. The instal lation head shall establish an official grievance file for use in the event of a further appeal. H. Appeal From Installation Head’s Decision 1. If the grieved employee desires to appeal the decision of the head of the installation but does not desire a hearing, he shall appeal within five (5) working (lays after receipt of the decision in writing to the second level of appeal. A copy of the appeal to the second level shall be furnished to the installation head who shall forward the entire griev ance file to the second level of appeal along with his answer to the grievance, within five (5) working days. The installation head’s answer should indicate as clearly ns is practicable the basis for the action taken, a copy of which shall be sent to the grievant. The grievant may within five (5) working days after receipt of the instal lation head’s answer file exceptions to the Regional Director. The grievant’s exception will become a part of the grievance file and must be considered by the Regional Director in arriving at a decision. 2. The appeal shall contain the following information : a. Title and grade level of grievant b. Xn fcure of grievance c. Corrective action requested and reasons d. ►Summary of efforts made to resolve grievance infor mally o, Name of designated representative (individual or organization) if any f. Decision of the installation head g. Any additional information pertinent to the grievance Ji. A request for informal discussion if such is desired. I. Hearing 1. If the employee desires a hearing either he or his repre sentative must notify the installation head in writing, within five (0) working days of the installation head's decision. The installation head shall within three (3) working days arrange for formation of a three-man hear ing committee and he shall arrange a place for the hear ing. The hearing committee will consist of the following members: the grievant will name the person of his choice to be a member, the installation head will name the second member, and these two members will agree, within three (3) working days, on a third member who will act as chairman. All three members must be employees of the postal service. At those installations where there are ten or less employees, the grievant and/or the installation head is permitted to name members from nearby postal installations employing more than ten people. 2. The hearing committee shall act as an unbiased group to hear and evaluate such information pertinent to the grievance as may be presented by the grievant and man agement of the installation. While the hearing committee will listen to and ask questions of both sides, there shall be no confrontation of witnesses nor shall either side be permitted to cross-examine the other. Persons appointed to the hearing committee must approach their duties with an open mind and their recommendations must be based on a fair evaluation of the facts without distortion or personal bias. 3. Conduct of the hearing shall be as informal as is con sistent with an orderly presentation of the case. While the hearings will not be limited by legal rules of evi dence and procedures, testimony should be within reason able bounds of relevancy. Only one witness should be permitted at a time. The grievant and his representative shall be present throughout the hearing. 4. The installation head shall make available to the hearing committee all records and facts pertinent to the case, other than security or other classified material. .■>. An abstract of the proceedings covering all pertinent facts shall be kept. The abstract shall be signed by and copies furnished to all members of the hearing commit tee. Within five (5) working days after the completion of the hearing, the hearing committee shall furnish the installation head, the grievant and his representative with a summary of the hearing together with its decision. ti. The decision of the hearing committee shall be binding at the expiration of ten (10) working days unless ap pealed at the next higher level by the grievant or his representative or the installation head within that period. 7. Because the decision o f the hearing committee may have a substantial impact on the operations of the postal in stallation. it shall not be placed into effect until the installation head has had an opportunity to appeal at the second level. If no appeal is filed, the decision shall be carried out upon expiration of the appeal period. If an appeal is made by the installation head, the decision of the hearing committee shall changed by the second level. the second level of appeal promptly implemented by the be held in abeyance unless The decision rendered at is binding and shall be installation head. J. Official Time, Installation Level 1. The employee and his chosen representative shall have a reasonable amount of official time to present his griev ance. A reasonable amount of time is determined by local management, except that the chairman of the hearing committee rather than local management determines the length and the conduct of the hearing. 2. In those cases where an organization with exclusive rec ognition represents the unit in which the grievant is employed, but is not the grievant’s chosen representative, the exclusive organization representative may attend all proceedings, as provided herein, with his attendance at the proceedings charged to annual leave or leave without pay at his discretion. (In no instance may such attend ance be charged to official time.) 3. Members of the hearing committee and representatives for management shall be granted official time for neces sary absences from their assigned tours. K. Appeal From Hearing Committee Decision 1. If the decision of the hearing committee is not acceptable to the grievant or to the installation head, either party may appeal in writing within ten (10) working days from the hearing committee decision to the second level of appeal. The grievant shall request informal discussion at the regional level at the same time if he desires such discussion. As most postal installations are post offices the second appeal would be to the Regional Director and the procedures will be set forth accordingly. However, the procedures are equally applicable to all employees. The installation heads and the second levels of appeal are indicated in Section U. 2. If the grievant appeals, a copy of the letter of appeal shall be submitted to the installation head who shall promptly forward the grievance file to the Regional Di rector. Either party may file with the Regional Director exceptions to the summary of the hearing committee within the ten-day time limitation. The exceptions to the summary must be confined to the material appearing in the summary. In the event that either party to the griev ance, or his representative, does not appear to make any presentation or give testimony, that party shall be denied the right to provide exceptions to the summary. If the installation head appeals he should submit the grievance file with the letter of appeal to the Regional Director and copy of the letter of appeal to the grievant. 43 L. Decision of the Regional Director 1. If the grievant or his representative requests informal discussion prior to the decision, the Regional Director of Industrial Relations shall then arrange for the employee and/or his representative to meet with him for informal discussion designed to arrive at a settlement. All travel and other costs on the part of the organization, the griev ant or his representative shall be at his own expense. However, the Regional Director shall arrange to have annual leave or leave without pay granted at the option of each employee involved. 2. If the Regional Director of Industrial Relations is not able to arrive at an informal settlement of the grievance, he shall within three (3) days following the informal discussion submit the case to the Regional Director who shall render a decision based on the merits as contained in the record of the official grievance file within ten (10) days. If no informal discussions are held the decision will be rendered within ten (10) days after receipt of the file by the Regional Director. 3. Xo additional information shall be solicited by the Re gional Director. However, the Regional Director may accept new relevant and material evidence which was not available at the hearing upon a showing by the party presenting the new evidence that it was not previously disclosed through no fault of the party making request for its consideration. Copies of the decision shall be for warded to the grievant, his representative and the in stallation head. The basis for the decision shall be stated as clearly as practical and the grievant shall be notified of any further appeal rights. M. Appeals From the Regional Director’s Decision make a privileged recommendation to the Assistant Post master General, Bureau of Personnel, who will render the final decision. 3. The Board or the Assistant Postmaster General, Bureau of Personnel, as appropriate, will notify each party of the decision and will forward copies to appropriate postal officials, the Employee Organization with national exclu sive recognition and such other parties deemed necessary. O. Residual Authority These procedures in no way impair the residual authority of the Postmaster General. P. Termination A grievance will be terminated when so requested by the grievant at any stage of the proceedings. Q. Promotion Appeal Procedure An employee may aggrieve under this Article the denial of promotion to the positions set forth in the list in the Supple mental Agreement on Seniority or any position or positions which may be added to that list that is to be filled by promo tion on the basis of senior qualified. A decision may be ap pealed either on the basis of alleged procedural error or on the basis of qualifications. Any other promotion appeal shall be processed under the section of Article X X III dealing with promotion appeals. Advisory Arbitration and Optional Mediation A. Advisory Arbitration The decision of the Regional Director may be appealed to the Department by the grievant or his representative within ten (10) working days from the date of the Regional Director’s decision. The appeal should be addressed to the Board of Appeals and Review, Bureau of Personnel, Post Office Depart ment, Washington, D.C. 20260. The appeal should contain a full statement as to the reason for appealing the decision and, in addition, may request an opportunity for discussion of the case at the Departmental level. The appellant or his repre sentative shall send a signed copy of the letter o f appeal to the Regional Director. Upon receipt of this copy of a letter of further appeal, the Regional Director will promptly for ward the entire grievance file to the Board of Appeals and Review, Bureau of Personnel. 1. Coverage All craft or occupational group employees who are in units which are represented by an employee organization on an exclusive basis at the national level may request advisory arbitration o f : a. The decision of the official at the first level o f appeal of an adverse action. b. The decision of the official at the second level of appeal on grievances. c. The differences between the Department and the Orga nizations as to the meaning and application o f the provisions of this Agreement which cannot be resolved and which are not proper subjects for appeal through grievance, adverse action, or other appeal procedures. d. The decision of the Regional Director of Industrial N. Review by Board of Appeals and Review, Bureau of Personnel Relations on allegations of violations of the Code of Fair Labor Practices. 1. The Board of Appeals and Review, Bureau o f Personnel, will docket the appeal, notify the employee and other in terested parties of its receipt, and schedule it for review. There is no right to a hearing at this level, but an addi tional hearing may be granted if such is deemed war ranted. I f a hearing is not held the grievant and/or his representative may discuss the case with the Board of Appeals and Review. If a hearing or discussion is sched uled at this level, the national Exclusive Organization, if not the representative, will be so notified and will be given an opportunity to be present throughout the pro ceedings and to state its position on the grievance. 2. The Board will render a decision on the appeal which shall be considered as the decision of the Postmaster General. In cases involving promotional matters, the Board may 2. Limitations a. The arbitrator’s award is subject to the provisions of existing or future laws, regulations and policies. b. The arbitrator’s jurisdiction shall not be extended to include such areas o f discretion or policy as the mission of the Post Office Department, its budget, its organiza tion, the technology o f performing its work and the as signment of its personnel. c. The arbitrator shall not have jurisdiction over promotions. d. The arbitrator shall have no power to add to or sub tract from, to disregard or modify, any of the terms of this or any agreements made by the undersigned parties. 44 e. It is understood by the parties that any and all arbitra tion proceedings a r e : (1) Advisory in nature with any awards or recom mendations subject to the approval of the Post Office Department. (2) Shall not extend to changes in or proposed changes in agreements or Department policy. (31 Shall be invoked only with approval of the indi vidual employee or employees concerned and the appropriate employee organizations party to this Agreement. 3. Procedures a. An employee desiring arbitration of a decision of the official at the first level appeal o f an adverse action or second level appeal of a grievance shall notify that official in writing and must submit the written consent of the organization having exclusive jurisdiction at the national level to pay one-half of the cost of arbitration. The request for arbitration and the consent o f the or ganization must be filed within ten working days after receipt of the letter of decision from the official whose decision is appealed. b. The official whose decision is appealed, within three working days o f the receipt of the request to arbitrate, shall request the Federal Mediation and Conciliation Service to furnish a list of the names of five arbitrators from the list maintained by that Agency. No later than five working days after receipt of the list of arbitrators, the official whose decision is appealed and the ap propriate representative o f the employee! organization will alternately cross off one at a time the names of ar bitrators from tlu> list furnished. After the parties have crossed off the names of four arbitrators, the name remaining on the list will be the arbitrator se lected by the parties. c. Within live working days after selection of the arbitra tor and receipt o f his consent to arbitrate the matter, the official whose decision is appealed shall forward the entire file to the arbitrator. The method to be used in arbitrating the dispute is under the arbitrator’s jurisdiction and control, subject to such rules and pro cedures as the parties may jointly prescribe1. He is to make his own awards and write his own opinions based on the record established. He may not delegate this duty and responsibility to others in whole or in part without the knowledge and prior consent o f both parties. The power o f the arbitrator may be exercised in the absence of any party, who after due notice, fails to be present or obtain a postponement. The advisory award of the arbitrator, however, must be supported by evidence as it cannot be based solely upon the default o f a party. d. The advisory award shall be made not later than thirty days from the date of the closing of the hearing, or the receipt o f a transcript and any post-hearing briefs, or if oral hearings have been waived, then from the date o f receipt of the final statements and proof by the ar bitrator, unless otherwise agreed upon by the parties. However, a failure to make an advisory award within thirty days shall not invalidate an award. e. The arbitrator’s advisory award shall be mailed to the official whose decision has been appealed, the employee, and the employee organization. The advisory award of the arbitrator may be further appealed by either party within ten working days from date o f receipt of the award. f. Appeal from the arbitrator’s advisory award shall be to the Assistant Postmaster General, Bureau of Personnel. B. Optional Mediation 1. Introduction In any national negotiations conducted between the par ties pursuant to this Agreement, the respective bargaining committees shall make every good faith effort to reach agreement on all issues prior to invoking other provisions of this Article. 2. Definition of Impasse It is mutually agreed that an impasse occurs after both parties have presented proposals and counter-proposals in good faith and both parties have considered the proposals and counter-proposals of the other party in good faith and despite such honest and diligent efforts no agreement can be reached on the subject being negotiated. 3. Procedures a. When it has been determined that an impasse has been reached, the item shall be laid aside. After all nego tiable items on which agreement can be reached have been disposed of, the parties shall once more attempt to resolve any existing impasse items. b. If after such effort, either party concludes an impasse or impasses still exist, it may request mediation, notifying the other party in writing. c. Within five days after such notification, the parties shall jointly request the Federal Mediation and Con ciliation Service to provide mediation service, or if such mediation service is not available to provide a list of five qualified mediators from which a selection will be made. d. Within five days after receipt of such list, the parties will meet for the purpose of selecting the mediator by alternately striking names until one remains. Such per son shall be the duly selected mediator. 4. Duties and Responsibilities of Mediator a. The mediator shall use his best efforts to bring the parties to an agreement on any and all impasses with out taking sides. h. This will include any and all means he deems advisable providing he makes no public report or evaluation on the issues nor any public statement of findings of fact. 5. Costs The cost of the services of the mediator and any other mediation expenses jointly incurred shall be borne 50% by the Department and 50% by the Organizations. (5. Referral to Postmaster General Any impasses not resolved through mediation shall be submitted to the Postmaster General for consideration. The Organizations may meet with the Postmaster General and may submit briefs, documentary evidence and other pertinent material on each unresolved impasse. His deci sion shall be final. 45 Appendix C G rie v a n ce A rb itra tio n A w a rd s T o p r o v i d e s o m e i n s i g h t i n t o th e i s s u e s th a t w o r k t h e i r w a y t h r o u g h th e v a r i o u s s t e p s o f th e g r i e v a n c e p r o c e d u r e , t h i s a p p e n d i x p r e s e n t s s e v e r a l a d v i s o r y a r b i t r a t i o n d e cisio n s . T h e y i l l u s t r a t e c a s e s i n w h i c h g r i e v a n c e s h a v e b e e n u p h e l d o r d e n i e d , in w h o l e o r in p a r t . S in ce th e s e o p in io n s an tedate E x e c u t iv e O r d e r 1 1 491, th ey a r e a ll a d v i s o r y in n a t u r e ; th e y m a y b e a f f i r m e d o r d e n ie d b y h i g h e r m a n a g e m e n t a u t h o r it y , u s u a l l y b y a l e t t e r o r a m e m o r a n d u m t o th e g r i e v a n t o r t o th e u n i o n . U nder E x e cu tiv e O r d e r 1 1 4 9 1 , h o w e v e r , a r b i t r a t i o n w i l l b e b i n d i n g , s u b j e c t to a l i m i t e d a p p e a l t o th e n ew ly e s ta b lis h e d F e d e r a l L a b o r R e la tion s C ou n cil. A. U P H O L D IN G T H E A G E N C Y 'S P O SIT IO N P re sid e n t A F G E L o d g e N o. 1570 F e d e r a l C o r r e c t i o n a l In stitu tion T a lla h a s s e e , F lo r id a 32304 Re: W arden F e d e r a l C o r r e c t i o n a l In stitu tion T a lla h a sse e , F lo r id a 32304 W h e t h e r th e M e r i t P r o m o t i o n P l a n h a d b e e n f o l l o w e d i n th e f i l l i n g o f a v a c a n c y o f F e d e r a l P r i s o n I n d u s t r i e s F o r e m a n a n d w h e t h e r th e c o n t r a c t b e t w e e n th e L o d g e a n d th e i n s t i t u t i o n had b een fo llo w e d G en tlem en : T h e g r i e v a n c e w a s f i l e d b y a m e m b e r o f L o d g e N o . 1 5 7 0 o f th e A m e r i c a n F e d e r a t i o n o f G o v e r n m e n t E m p l o y e e s A F L - C I O to d e t e r m i n e th e c o r r e c t n e s s o f a p r o m o t i o n a n d / o r l a t e r a l a s s i g n m e n t i n c o n n e c t i o n w i t h a p o s i t i o n a s f o r e m a n o f th e c a n v a s s h o p at th e F e d e r a l C o r r e c t i o n a l I n s t i t u t i o n , T a l l a h a s s e e , F l o r i d a . T h e h e a r in g w a s h e ld T a lla h a sse e , F lo rid a , i n th e r e c r e a t i o n r o o m o f th e F e d e r a l on T u e s d a y , N o v e m b e r 8, 1966. C o r r e c t i o n a l In stitu tion , A n a t i o n a l r e p r e s e n t a t i v e o f th e A F G E ( A m e r i c a n F e d e r a t i o n o f G o v e r n m e n t E m p l o y e e s ) f r o m M o n t g o m e r y , A l a b a m a , p r e s e n t e d th e e m p l o y e e s ' p o s i t i o n . T h e E m p l o y e e - M a n a g e m e n t R e la t i o n s O f f i c e r o f the B u r e a u o f P r i s o n I n d u s t r i e s , D e p a r t m e n t o f J u s t i c e , W a s h i n g t o n , D . C . , p r e s e n t e d t h e i n s t i t u t i o n ' s s i d e o f th e q u e stio n . In e s s e n c e , t h e c o m p l a i n t o f th e A F G E w a s th a t th e g r i e v a n t w a s n o t c o n s i d e r e d f o r a v a c a n c y f o r w h i c h h e w a s q u a l i f i e d a n d th a t th e v a c a n c y h a d n o t b e e n p o s t e d . S p e c i f i c a t t e n t i o n w a s c a l l e d to S u p p l e m e n t a r y A g r e e m e n t ( R e c ' d T a l l a h a s s e e , D e c e m b e r 1 3 , 1 9 6 5 , W a r d e n ' s O f f i c e ) , p a r t i c u l a r l y A r t i c l e I , S e c t i o n 1, s e c o n d s e n t e n c e and A r t i c l e X III, S e c t i o n 1, s e c o n d and t h ir d s e n t e n c e s . The g rie v a n t a lso m a d e r e f e r e n c e to S e c t i o n 3 o f th e s a m e a r t i c l e . 46 A r t i c l e X III P r o m o t i o n s and R e a s s i g n m e n t s S e c t i o n 1. P r o m o t i o n s s h a l l b e m a d e o n th e b a s i s o f q u a l i f i c a t i o n s , f i t n e s s , a n d m erit. T h e s e l e c t i n g s u p e r v i s o r o r o f f i c i a l s h a ll s e l e c t that c a n d id a t e w h o is b e s t q u a l i f i e d i n a c c o r d a n c e w i t h th e s p i r i t a n d i n t e n t o f g o v e r n i n g r e g u l a t i o n s o u t lin e d b y the C i v i l S e r v i c e C o m m i s s i o n . In o r d e r t o u t i l i z e f u l l y th e t a l e n t s a n d a b i l i t i e s o f e m p l o y e e s in th e u n i t w h o h a v e d e m o n s t r a t e d a h i g h d e g r e e o f p o t e n t ia l f o r a d v a n c e m e n t and g r o w t h , s u c h e m p l o y e e s w i l l b e g iv e n fu ll c o n s i d e r a tio n f o r a ll v a c a n c ie s w h e n e v e r p o s s i b l e . V a c a n c i e s w h i c h c o m e w i t h i n th e s c o p e o f c a r e e r f i e ld p r o g r a m s and m a n d a t o r y p l a c e m e n t a c t io n s w i ll b e m a d e in a c c o r d a n c e w i t h a p p l i c a b l e r e g u l a t i o n s . S e c t i o n 2. In t h e s e l e c t i o n p r o c e s s , s e n i o r i t y o f th e e m p l o y e e i n v o l v e d . due co n sid e ra tion s h a ll be g iv e n t o th e S e c t i o n 3. D e t a ils o f e m p l o y e e s to p e r f o r m d u tie s o f a h ig h e r l e v e l o r a d i f f e r e n t l i n e o f w o r k s h a l l b e r o t a t e d , to th e m a x i m u m e x t e n t p r a c t i c a b l e , a m o n g th e b e s t q u a l i f i e d e m p l o y e e s i n a c c o r d a n c e w i t h a p p l i c a b l e r e g u l a t i o n s . No d e t a i l w i l l b e m a d e to a v o i d th e p r i n c i p l e s o f th e M e r i t P r o m o t i o n P r o g r a m . The B u reau of P r is o n s D e le g a tio n E x p la n a t io n is h e r e w it h p r e s e n t e d : 3. E X P L A N A T IO N . a llow s o f A u th ority dated 5 -6 -6 6 (S ection 3) u n d e r T h e a u t h o r i t y d e l e g a t e d to th e D i r e c t o r , B u r e a u o f P r i s o n s , and C o m m i s s i o n e r , F e d e r a l P r i s o n In d u strie s, In co rp o ra te d , h im : a. . . . to t a k e f i n a l a c t i o n in m a t t e r s p e r t a i n i n g t o th e e m p l o y m e n t , d i r e c t i o n , and g e n e r a l a d m i n i s t r a t i o n (in c lu d in g a p p o in t m e n t , a s s i g n m e n t , t r a i n i n g , p r o m o t i o n , d e m o t i o n , c o m p e n s a t i o n , l e a v e , c l a s s i f i c a t i o n , and s e p a r a t i o n ) o f p e r s o n n e l , e x c e p t a t t o r n e y s i n th e B u r e a u o f P r i s o n s , . . i n C l a s s i f i c a t i o n A c t g r a d e s G S - 1 t h r o u g h G S - 1 3 a n d in w a g e b o a r d p o sitio n s. S e c t i o n I a n d S e c t i o n II o f th e M e r i t P r o m o t i o n P la n . a re h erew ith p re se n te d : W hen h ig h e r p o s it io n s b e c o m e v a c a n t they s h a ll be fille d b y p r o m o t i o n o f a v a il a b le and q u a lifie d e m p l o y e e s w h o h a v e d e m o n s t r a t e d a p o t e n t ia l f o r a d v a n c e m e n t . W h e n s u c h e m p l o y e e s a r e n o t a v a i l a b l e in t h e d e p a r t m e n t o r w h e n q u a l i f i c a t i o n s o f a v a i l a b l e p e r s o n s o u t s i d e th e d e p a r t m e n t a r e u n q u e s t i o n a b l y s u p e r i o r , s u c h p o s i t i o n s s h a l l b e f i l l e d b y a p p o i n t m e n t o f p e r s o n s o u t s i d e th e d e p a r t m e n t . In th e c o n s i d e r a t i o n o f e m p l o y e e s o f th e d e p a r t m e n t f o r p r o m o t i o n , a r e a s o f s e l e c t i o n s h a l l b e s u f f i c i e n t l y b r o a d t o a s s u r e t h a t th e n u m b e r o f a v a i l a b l e c a n d i dates m a k e s p o s s i b l e t h e s e l e c t i o n o f a w e l l - q u a l i f i e d e m p l o y e e f o r th e v a c a n c y to b e f i l l e d . M a n a g e m e n t h a s th e r e s p o n s i b i l i t y to f i l l e a c h j o b f r o m a m o n g th e b e s t q u a l i f i e d t o m e e t s e r v i c e n e e d s w h o a r e a v a i l a b l e f r o m w i t h i n o r w i t h o u t th e F e d e r a l P r is o n S e rv ice . 47 S e ctio n II o f th e V a ca n cies M e rit P r o m o tio n m ay be fille d by P la n p r o v id e s : rea ssign m en t o r change to l o w e r grade. E m p l o y e e s s h a ll b e c o n s i d e r e d a u t o m a t i c a l l y f o r a ll v a c a n c i e s that o c c u r w ith in t h e ir lin e o f w o r k and f o r w h ic h th ey a r e q u a lifie d p r o v i d e d a P F - 1 0 ( p r o m o t i o n e v a lu a tio n ) w ith a p p r o p r ia t e r e c o m m e n d a t i o n s is on f i le . 4. E x h i b i t 6 ( N o t i f i c a t i o n o f P e r s o n n e l A c t i o n - F o r m 50) i s the l e g a l a u t h o r i z a t i o n f o r m a k i n g th e r e a s s i g n m e n t . I t e m 12 ( N a t u r e o f A c t i o n ) r e f l e c t s R e a ssig n m e n t. T h e la s t p a r a g r a p h o f S e c tio n I b eg in n in g f r o m w ith in o r w ith o u t th e F e d e r a l P r i s o n oth er c a s e s , a p p a ren tly is not d e s ir e d by D i v i s i o n o f the D e p a r t m e n t o f J u s t i c e and d e l e t e d s i n c e i t i s n o t n o w o r l i k e l y to b e c a u s e s o m e d i f f i c u l t y i n th e f u t u r e . " M a n a g e m e n t h a s th e r e s p o n s i b i l i t y . . . S e r v i c e " is n o t b e i n g f o l l o w e d in th is o r e it h e r the A F G E o r the P r i s o n I n d u s t r ie s it w o u ld b e m y r e c o m m e n d a t i o n that it b e u s e d i n th e f u t u r e , a n d i t s p r e s e n c e m a y In t h e e m p l o y e r ’ s b r i e f o n p a g e 7 i t i s a l l e g e d " T h e r e w e r e n o p r o t e s t s f r o m e m p l o y e e s and is f i r m e v i d e n c e that the p r a c t i c e ( c o n c e r n i n g r e a s s i g n m e n t w ith o u t a d v e r t i s i n g ) is a m a t t e r o f p o l i c y and a c c e p t a b l e to e m p l o y e e s . " T h e a b s e n c e o f p r o t e s t d o e s n o t c o n s t i t u t e " f i r m e v i d e n c e th a t th e p r a c t i c e i s a m a t t e r o f p o l i c y and a c c e p t a b l e to e m p l o y e e s , " in m y o p i n i o n . A nother in te rp re ta tio n w o u ld b e that the A F G E e x e r c i s e d r e s t r a i n t b e c a u s e it d id n o t f e e l t h e r e w a s a q u a l i f i e d e m p l o y e e t o f i l l th e v a c a n c y . In t h e i n s t a n t c a s e t h e y ( t h e A F G E ) f e e l th a t it h a s a q u a l i f i e d c a n d id a t e and e l e c t s to p r o c e s s th is a s a g r i e v a n c e . T h is is in a c c o r d a n c e w ith the b a s i c a g r e e m e n t . T h e g r ie v a n t w a s a p p r o v e d f o r a on e h u n d red d o ll a r ($ 1 0 0 ) S u sta in e d S u p e r io r P e r f o r m a n c e A w a r d on 1 1 - 8 - 6 0 and h ad a fift y d o l l a r ($ 5 0 ) a w a r d a p p r o v e d on 1 0 - 1 0 - 6 3 . A s e co n d fifty d o lla r ($ 5 0 ) su g g e stio n aw ard w as a p p rov ed on 1 0 -3 0 -6 4 . T h e e v id e n c e is p r e s e n t p o sitio n s u b s t a n t i a l t h a t th e e m p l o y e e i s d o i n g a v e r y s a t i s f a c t o r y j o b in h i s and is h ig h ly r e g a r d e d b y b o th h is e m p l o y e r s and h is c o - w o r k e r s . T h e f a c t s i n th e c a s e c l e a r l y i n d i c a t e , h o w e v e r , th a t in th e a b s e n c e o f a f a v o r a b l e P F - 1 0 ( p r o m o t i o n e v a l u a t i o n ) a l o n g w i t h a p p r o p r i a t e r e c o m m e n d a t i o n s o n f i l e , th e g r ie v a n t is n o t b e in g p a s s e d o v e r o r h is r ig h ts d i s r e g a r d e d in an y w a y . F a c e d w ith th e p r a c t i c a l p r o b l e m o f r e a s s i g n i n g a s u p e r f l u o u s e m p l o y e e f r o m A t l a n t a t o a p o s i tio n h e w a s c a p a b le o f f i lli n g ( f i r s t b y d e t a il and th en b y r e a s s i g n m e n t ) p r e c l u d e d a d v ertisin g . C o m m u n ic a t i o n s m a y h a v e b e e n fa u lt y , but c e r t a i n l y t h e r e w a s n o m a l ic e o r t r ic k e r y in v o lv e d . T h e r e a s s i g n m e n t d o e s n o t c o n s t i t u t e a v i o l a t i o n o f th e s u p p le m e n t a r y a g r e e m e n t , in m y o p in io n . In s u m m a t i o n m o t io n P la n . - th e D e p a r t m e n t o f J u s t i c e ' s a ction d o e s not viola te th e M e r i t P r o R /W R o y a l M a ttice A rb itra tor 48 B. M O D IF Y IN G T H E A G E N C Y 'S A C T IO N U .S . N a v a l Supply C e n t e r C h a r l e s t o n , South C a r o l i n a AND A r b i t r a t i o n h e a r in g h e ld in C h a r l e s t o n , T he C h a rleston M etal T ra d e s C ou n cil C h a r l e s t o n , South C a r o lin a S. C . , J u n e 7, 1967 T h e m a j o r f a c t s in t h i s c a s e a r e n o t in d i s p u t e a n d h a v e b e e n b r o u g h t o u t a t p r e v i o u s h e a rin g s. In s u m m a r y , J . J . , a l a b o r e r w i t h s o m e 24 y e a r s ' s e r v i c e , w a s a p p r e h e n d e d a t th e g a t e w h e n l e a v i n g w o r k o n D e c e m b e r 2 8 , 1 9 6 6 w i t h a p i e c e o f m e t a l . B e ca u se o f attem pted r e m o v a l o f g o v e rn m e n t p r o p e r ty , M r. J w as suspended fro m w o r k f o r a p e r i o d o f 10 w o r k d a y s , A p r i l 3 , 196 7 t o A p r i l 14, 1 9 6 7 , i n c l u s i v e . T h e u n i o n h a s a p p e a l e d t h e s u s p e n s i o n , r e q u e s t s th a t th e d i s c i p l i n e b e c h a n g e d t o r e p r i m a n d , a n d a s k s t h a t h e r e c e i v e h i s p a y f o r th e 1 0 - d a y p e r i o d o f s u s p e n s i o n . The u nion b a s e s 1. 2. 3. 4. 5. 2. 3. 4. 5. case m a in ly o n the f o l lo w in g : M r. J h a s a t h i r d g r a d e e d u c a t i o n , is f u n c t i o n a l l y i l l i t e r a t e , a n d o f l i m i t e d i n te llig e n ce . H e h a s a l o n g r e c o r d o f e m p l o y m e n t at th e b a s e . The p i e c e o f m e t a l a lle g e d ly s to le n w a s o f n e g lig ib le v a lu e. It w a s in f a c t t a k e n f r o m th e s c r a p b a r r e l . M r. J d i d n o t h a v e f u l l p r o t e c t i o n a f f o r d e d b y th e c o n s t i t u t i o n a n d a s i n t e r p r e t e d by recen t co u rt d e cisio n s . O th er in s t a n c e s o f p e n a lt ie s f o r th eft in v o lv e d i t e m s o f s o m e m o n e t a r y v a lu e . The U .S . 1. its N a v a l S u pp ly C enter b a sed J ’ s su sp en sion on the f o l lo w in g : T h i s i s t h e m i n i m u m p e n a l t y th a t c a n b e a d m i n i s t e r e d a n d s t i l l m a k e a n i m p re ssio n . O th er p e n a lt ie s f o r th eft h a v e b e e n o f l o n g e r d u ra tio n . T h is r e l a t i v e l y lig h t p e n a lty w a s a c o n s e q u e n c e o f M r . J 's s e r v i c e and b e c a u s e of h i s b e h a v i o r d u r i n g th e p r o c e s s i n g o f h i s c a s e . T he th eft w a s a c l e a r v io la t io n o f A r t i c l e X X V , N C P I 750. M r . J h a d b e e n i n s t r u c t e d a b o u t ta k in g p r o p e r t y f r o m the b a s e (a lth o u g h he c l a i m e d h e t h o u g h t t h a t t h i s d i d n o t r e f e r to t r a s h ) . H i s r i g h t s w e r e n o t v i o l a t e d at a n y t i m e . O pin ion o f the A r b i t r a t o r It i s e v i d e n t t h a t t h e s u p p l y c e n t e r d e c i s i o n t o s u s p e n d M r . J w a s m o tiv a te d by a d e s i r e to m o d e r a t e th e p e n a lt y an d s t i l l m a k e an i m p r e s s i o n , n o t o n ly o n M r . J but on o t h e r s w ith r e g a r d to th eft. L o s s e s o f su ch a n atu re have b e e n c o n s id e r e d to r e q u ire stro n g , d e te rm in a te a ctio n . A t the s a m e t i m e , th e u n io n in s u p p o r t o f M r . J has m ad e a stron g c a s e . T his is e s p e c i a l l y t r u e w i t h r e s p e c t t o t h e m a n , h i s r e c o r d , a n d th e v i r t u a l l y v a l u e l e s s m a te ria l. A lth o u g h it lo o k s a s i f M r . J h a d s o m e id e a that w h a t he w a s d o in g w a s w r o n g , h is g e n e r a l b e h a v io r h a s r e f l e c t e d in te g r ity . T h e a r b i t r a t o r b e l i e v e s t h a t th e m i n i m a l p e n a l t y o f a r e p r i m a n d i s w a r r a n t e d in t h i s case. In th e l i g h t o f a l l c i r c u m s t a n c e s , h e f e e l s t h a t th e 10 d a y s ' s u s p e n s i o n w a s u n d u ly s e v e r e . It i s h a r d t o b e l i e v e t h a t t h i s m a n w i l l e v e r t a k e a n y t h i n g a g a i n . M o r e o v e r , s i n c e th e th e ft i n v o l v e d a p i e c e o f s c r a p m e t a l , the m i n o r p e n a lt y o f a re p rim a n d cannot p o s s ib ly s e r v e as a d a n gerou s p re ce d e n t. R ecom m en d ed D e cisio n T h e a r b i t r a t o r r e c o m m e n d s t h a t th e C o m m a n d i n g O f f i c e r a d j u s t th e and g ra n t to M r . J p a y f o r t h e 10 d a y s w h i l e s u s p e n d e d . _______________________________________________ A rb itra to r __________ J u n e 28, D ate e a rlie r d e cisio n 1 9 6 7 ________ 49 F rom : To: C om m a n d in g M r. J.J., O ffice r Laborer S u b je ct: A r b itr a tio n c a s e o f y o u r 1 0 -d a y s u s p e n s io n f o r m e n t P r o p e r t y " ( f i r s t i n f r a c t i o n ) o n 28 D e c e m b e r 1 9 6 6 . 1. I h ave r e v ie w e d y o u r c a s e and w a s e f f e c t e d 3 A p r i l 1967 t h r o u g h re p r im a n d fo r "A ttem p ted T heft of 28 D e c e m b e r 1 9 6 6 . In a c c o r d a n c e y o u f o r th e 10 d a y s th a t y o u w e r e C. G R IE V A N T 'S "A ttem pted T heft o f G overn y o u a r e a d v i s e d th a t y o u r 1 0 - d a y s u s p e n s i o n , w h i c h 14 A p r i l 1 9 6 7 , i s h e r e b y r e d u c e d to an o f f i c i a l G o v e r n m e n t P r o p e r t y " (fir s t in fra ctio n ) on w ith th is d e c i s i o n , a c t i o n is b e in g ta k e n to p ay suspended. U PH O L D IN G THE P O S IT IO N An a d v iso ry a rb itra tio n betw een : W a sh in g ton A r e a M e ta l T r a d e s C o u n c il A d v i s o r y O p in ion A w a r d (C la im fo r o v e r t im e pay) A p r i l 25, 1968 AND U . S. N a v a l O r d n a n c e L a b o r a t o r y , W h ite O ak, M a r y la n d B efore: S a m u e l H. J a ffe e A rb itra to r L a s t J u n e , m a n a g e m e n t c h a n g e d th e b a s i c w o r k w e e k o f c e r t a i n r e f r i g e r a t i o n m e c h a n i c s f r o m M o n d a y —F r i d a y t o T u e s d a y —S a t u r d a y , o n a r o t a t i n g b a s i s . The purpose was t o p r o v i d e a i r - c o n d i t i o n i n g s e r v i c e o n S a t u r d a y s d u r i n g th e s u m m e r m o n t h s f o r e m p l o y e e s w o r k i n g S a t u r d a y s in c e r t a i n b u i l d i n g s . F o r s e v e r a l y e a r s in t h e p a s t , d u r i n g th e s u m m e r m o n t h s , m a n a g e m e n t h a d , w i t h o u t c h a n g i n g th e b a s i c w o r k w e e k o f th e m e c h a n i c s , a s s i g n e d s o m e o f t h e m w o r k o n S a t u r d a y s ( t h o u g h n o t a l l S a t u r d a y s ) f o r th e s a m e p u r p o s e , and f o r su c h w o r k the m e n w e r e p a id t i m e and o n e - h a l f , u n d e r th e c o n t r a c t , f o r th e a d d it io n a l S atu rday w o r k . L a s t J u n e , h o w e v e r , v i a th e c h a n g e i n th e w o r k w e e k , m a n a g e m e n t p a i d n o p r e m i u m p a y f o r th e S a t u r d a y w o r k , o n t h e b a s i s t h a t S a t u r d a y w a s n o w p a r t o f t h e b a s i c w o r k w e e k o f t h e e m p l o y e e s i n v o l v e d d u r i n g th a t p e r i o d o f t i m e . T h i s r e s u l t e d i n th e p r e s e n t d i s p u t e , th e c o u n c i l c l a i m i n g t h a t m a n a g e m e n t h a d n o r i g h t o n t h e f a c t s t o c h a n g e t h e b a s i c w o r k w e e k , m a n a g e m e n t a s s e r t i n g it h a d su ch rig h t. 50 The C on tractu al A rra n gem en t T w o d o c u m e n t s c o n s t i t u t e th e c o n t r a c t u a l a r r a n g e m e n t b e t w e e n th e p a r t i e s , a n d th e p a r t i e s h a v e r e f e r r e d to b o t h . T h e f i r s t i s th e c o l l e c t i v e b a r g a i n i n g a g r e e m e n t (con tra ct) its e lf. The s e co n d c o n s is ts of c e rta in re g u la tio n s , la b e lle d N C P I-6 1 0 , r e l a t i n g to h o u r s o f w o r k . A. The con tract A r t i c l e II i s e n t i t l e d P r o v i s i o n s o f L a w s a n d R e g u l a t i o n s . S e c t i o n 1 s t a t e s t h a t th e c o n t r a c t i s " s u b j e c t to t h e p r o v i s i o n s o f a n y a p p l i c a b l e e x i s t i n g o r f u t u r e l a w s , r e g u l a t i o n s o r p o l i c i e s o f th e F e d e r a l G o v e r n m e n t . A r t i c l e III i s e n t i t l e d M a t t e r s A p p r o p r i a t e f o r C o n s u l t a t i o n . S e c t i o n 1 s t a t e s th a t " m a t t e r s a p p r o p r i a t e f o r c o n s u lt a t i o n b e t w e e n the p a r t i e s a r e p o l i c i e s and p r o g r a m s r e l a t i n g to w o r k i n g c o n d i t i o n s w h i c h a r e w i t h i n th e d i s c r e t i o n o f th e e m p l o y e r i n c lu d in g but n ot li m it e d to s u c h m a t t e r s as . . . h o u r s o f w o r k . " A r t i c l e I II, S e c t i o n 3 s t a t e s th a t " t h e r e m a y b e c e r t a i n c u r r e n t p e r s o n n e l p o l i c i e s n o t s p e c i f i c a l l y c o v e r e d b y th is a g r e e m e n t o r n o t c l e a r l y d e f i n e d b y r e g u l a t i o n s w h i c h h a v e b e e n g e n e r a l l y a c c e p t a b l e i n th e p a s t . S uch c o n d itio n s w ill co n tin u e f o r th e e f f e c t i v e p e r i o d o f t h i s a g r e e m e n t s u b j e c t t o th e c o n s i d e r a t i o n s e x p r e s s e d b e l o w . A n y s u c h c o n d it i o n th at is o r m a y b e c o n t r a r y to any r u l e , r e g u la t i o n o r la w , o r w h i c h w o u l d h a m p e r th e o p e r a t i o n s o f th e e m p l o y e r , m a y b e d i s c o n t i n u e d o r m o d i f i e d b y th e e m p l o y e r . T h e e m p l o y e r w i l l c o n s i d e r th e v i e w s o f th e C o u n c i l i n s u c h m a t t e r s p r i o r to e f f e c t i n g any c h a n g e . " A r t i c l e IV is en title d R ig h ts o f E m p l o y e r . S e c t i o n 4 s a y s that "I n m a k in g r u l e s and r e g u l a t i o n s . . . th e e m p l o y e r s h a l l n o t n u l l i f y o r a b r o g a t e th e r i g h t s o f th e C o u n c i l o r e m p l o y e e s a s c o n t a i n e d in o t h e r p r o v i s i o n s o f th is a g r e e m e n t . " A rticle VI is e n titled H o u r s of W ork and B a s i c W orkw eek. S e ctio n 1 says: T he b a s ic w o r k w e e k w ill c o n s is t o f fiv e 8 -h o u r d a y s , M on day th rou gh F r id a y i n c l u s i v e , e x c e p t f o r t h o s e j o b s w h ic h d i r e c t l y r e l a t e to . . . h e a lth and p r o v i d i n g n e c e s s a r y p o w e r , h e a t , a n d m a i n t e n a n c e , o r w h e n th e e x e c u t i o n o f th e w o r k o f th e l a b o r a t o r y w o u l d b e a d v e r s e l y a f f e c t e d b y f a i l u r e to e f f e c t a c h a n g e . S u ch c h a n g e w i l l b e m a d e a ft e r c o n s u lt a t i o n w ith the c o u n c i l . B. 1 -2 . N C P I-6 1 0 P o licy G en era l. (2 ) The b a s ic 4 0 -h o u r w o rk w e e k sh a ll be sch e d u le d on 5 d a y s , sh a ll be M o n d a y th rou gh F r id a y w h e r e v e r p o s s ib le . . . b . w h ich S e r v i c e - t y p e fu n ction s In th e s e r v i c e - t y p e f u n c t i o n s . . . w h e r e s e r v i c e s m u s t b e p r o v i d e d a r o u n d th e c l o c k o r o n a l l d a y s o f th e w e e k , w o r k s c h e d u l e s w i l l b e f i x e d a c c o r d i n g t o t h e n e e d f o r th e s e r v i c e . . . 51 1 -4 . D e fin itio n s 1 /el/. S e r v i c e - t y p e fu n ction s T h i s i n c l u d e s f u n c t i o n s w h i c h a r e r e q u i r e d t o b e p e r f o r m e d o u t s i d e th e a c t iv it y ’ s n o r m a l w o r k in g h o u r s o r days on a con tin u ou s b a s is , su ch as: . . . (5 ) 2-2 . U tility C h a n gin g b. eq u ip m en t o p e ra tio n days or C h a n gin g d a y s The days (1) hours and se rv ice w atches . . . of w ork w ith in w i t h i n th e b a s i c th e b a s i c w orkw eek w orkw eek m ay be under sp e cia l changed as circu m sta n ce s. fo llo w s: G eneral E m p lo y e e s p e r fo r m in g s e r v ic e - t y p e fu n ction s . . . re q u ir in g ro ta tio n m a y h a v e t h e i r d a y s o f w o r k w i t h i n th e b a s i c w o r k w e e k c h a n g e d / o n stated n o t i c e / . . . . C on ten tion s The co u n c il has th ree to m a k e o u t its c a s e . 1. b a s i c a r g u m e n t s , a n y o n e o f w h i c h , it m a i n t a i n s , is s u f f i c i e n t T h e s e a rg u m e n ts m a y be b r ie f ly s u m m a r i z e d as fo llo w s : U n d e r t h e c o n t r a c t u a l a r r a n g e m e n t b e t w e e n th e p a r t i e s , r i g h t to m a k e th e c h a n g e a t a l l , t h i s a s i d e f r o m p o i n t s a. N C P I 1 - 2 - a (2 ) s a y s th e b a s i c w o r k w e e k F rid a y . T h e r e a r e tw o e x c e p tio n s : is m a n a g e m e n t had no 2 and 3 b e lo w : 40 h o u r s , M onday - (1 ) " S e r v i c e - t y p e f u n c t i o n s " / s e e 2 - 1 - h a n d 2 0 2 (b]_/ , a n d (2 ) w h e r e t o f a i l t o d o o t h e r w i s e w o u l d a d v e r s e l y a f f e c t t h e m i s s i o n o f th e a ctiv ity (se e 1 -2 - a ). A t n o t i m e d u r i n g th e g r i e v a n c e p r o c e d u r e d i d m a n a g e m e n t t r y t o j u s t i f y th e c h a n g e o n th e s e c o n d o f t h e s e e x c e p t i o n s ; it r e l i e d , i n s t e a d , s o l e l y o n the f i r s t . b. But a " s e r v i c e - t y p e fu n ctio n " w as not in v o lv e d . N CPI 1 -1 -b d e fin e s su ch fu n ctio n s as th o se " w h e r e s e r v i c e s m u s t b e p r o v id e d a r o u n d t h e c l o c k o r o n a l l d a y s o f th e w e e k . . . " T h is w as not th e s i t u a t i o n h e r e . H e n c e , th e o n l y a u t h o r i t y o n w h i c h m a n a g e m e n t r e l i e s f o r t h e c h a n g e d o e s n o t s u p p o r t it . c. V I - 1 o f th e c o n t r a c t i s o f n o a i d to m a n a g e m e n t . The coo lin g fu n c t i o n o f th e r e f r i g e r a t i o n i s n o t o n e o f n a m e d f u n c t i o n s e x c e p t e d f r o m t h e M o n d a y - F r i d a y w o r k w e e k r e q u i r e m e n t o f V I - 1. 2. T h e c o m p a n y v i o l a t e d I I I - 3 o f th e c o n t r a c t w h i c h in e f f e c t p r o v i d e s t h a t p e r s o n n e l p r a c t i c e s , g e n e r a l l y a c c e p t a b l e i n th e p a s t , w i l l c o n t i n u e . The e v i d e n c e i s c l e a r t h a t f o r th e p a s t 10 y e a r s , d u r i n g th e s u m m e r m o n t h s , r e f r i g e r a t i o n m e c h a n i c s a s s i g n e d to th e d e p a r t m e n t a f f e c t e d h a d w o r k e d S a tu r d a y s o u t s id e th e ir b a s i c M o n d a y - F r i d a y w o r k w e e k , and w e r e p a id f o r the S a tu r d a y w o r k o n an o v e r t i m e b a s i s . 3. T h e c o m p a n y v i o l a t e d V I - 1 a n d I I I - 3 o f th e c o n t r a c t w h e n i t f a i l e d to c o n s u l t a n d " c o n s i d e r t h e v i e w s " o f th e c o u n c i l b e f o r e e f f e c t i n g th e c h a n g e c o m p l a i n e d o f . 52 M an agem en t has th ree b a s ic a rg u m en ts. ( M a n a g e m e n t in its l e t t e r - b r i e f p r e s e n t e d a n a d d i t i o n a l o n e r e l a t i n g to c o s t - s a v i n g a n d , i n s u p p o r t , a t t a c h e d c e r t a i n d o c u m en ta ry m a te ria l. T h e C o u n c i l o b j e c t e d t o th e a d d i t i o n a l a r g u m e n t a n d i t s s u p p o r t i n g m a t e r i a l o n th e g r o u n d t h a t t h i s w a s e n t i r e l y n e w m a t t e r n o t i n e v i d e n c e . It i s s u f f i c i e n t h e r e to s a y th a t t h i s a d d i t i o n a l a r g u m e n t w o u l d i n a n y e v e n t b e i n s u f f i c ie n t to c h a n g e w h a t th e r e s u l t h e r e w o u ld b e w ith o u t it. ) M a n a g e m e n t 's b a s i c a rg u m e n ts m a y be s u m m a r iz e d as fo llo w s : 1. M a n a g e m e n t h a d th e r i g h t t o m a k e th e c h a n g e u n d e r V I - 1 o f th e c o n t r a c t . T h e e x c e p t i o n s t h e r e l i s t e d i n c lu d e j o b s o f P u b l i c W o r k ty p e s in the o p e r a tio n and m a in t e n a n c e o f u t ilit ie s a n d _ f a c i l i t i e s . T h e w o r k h e r e in q u e s t i o n f i t s th e e x c e p t i o n s . N C P I 1 - 4 - 1 / e l / a l s o i n d i c a t e s th at s e r v i c e - t y p e f u n c tio n s in c l u d e " U t i l i t y e q u ip m e n t o p e r a t i o n and s e r v i c e w a t c h e s . " H e r e , th en , w a s a s e r v i c e - t y p e f u n c t i o n p e r m i t t i n g th e c h a n g e in th e b a s i c w o r k w e e k . T h e r e q u i r e d a d v a n c e n o t i c e o f the c h a n g e w a s c o n c e d e d l y g iv e n . 2. It i s n o t t r u e , a s th e u n i o n a s s e r t e d , t h a t th e r e f r i g e r a t i o n m e c h a n i c s w o r k e d a l l s u m m e r S a t u r d a y s in th e p r i o r y e a r s . T h u s, th ere w e r e fou r s u c c e s s i v e S a t u r d a y s in J u n e , 1 9 6 5 , o n w h i c h o p e r a t i o n s n o o v e r t i m e w a s recorded. N o r w a s i t t r u e th a t o v e r t i m e s c h e d u l e s w e r e s e t u p i n t h e p a s t f o r w e e k s at a t i m e . It w a s n e v e r a p p r o v e d f o r m o r e t h a n 1 w e e k a t a t i m e , in w h i c h c o n n e c t i o n the e x p e c t e d w e a t h e r w a s a f a c t o r . 3. T h e f a c t s in d ic a t e th at t h e r e w a s a p p r o p r ia t e f o r e th e c h a n g e w a s e f f e c t e d , t w i c e i n f a c t . c o n s u l t a t i o n w ith th e u n io n b e I s h o u ld add that m a n a g e m e n t p u t in e v i d e n c e c e r t a i n a r b i t r a t i o n d e c i s i o n s w h i c h m a n a g e m e n t a r g u e d in g e n e r a l s u p p o r t e d its p o s i t i o n . T h e C o u n c il in tu rn d i s a g r e e d , t a k i n g th e p o s i t i o n t h a t , i f a n y t h i n g , t h e y s u p p o r t e d t h e C o u n c i l ’ s v i e w s . I have of c o u r s e r e a d t h e s e d e c i s i o n s a n d , a s w e l l , t h e e l a b o r a t i o n s o f t h e a r g u m e n t s -w hich a r e h e r e h ig h ly s u m m a r i z e d . C on clu sion s A s I r e a d th e c o n t r a c t u a l a r r a n g e m e n t b e t w e e n th e p a r t i e s , m a n a g e m e n t m a y c h a n g e th e b a s i c w o r k w e e k o n s t a t e d a d v a n c e n o t i c e ( c o n c e d e d l y h e r e g i v e n ) i n th e f o l l o w i n g cases: (1 ) w h e r e a " s e r v i c e - t y p e f u n c t i o n " i s i n v o l v e d ( 1 - 2 - b a n d 1 - 4 - L ) ; o r (2) a s to th o s e j o b s that d i r e c t l y r e l a t e to . . . h e a lth and p r o v i d i n g n e c e s s a r y h e a t and m a i n t e n a n c e ( V I - 6 ); o r (3 ) w h e r e m a n a g e m e n t d e t e r m i n e s th a t th e a c t i v i t y w o u l d b e s e r i o u s l y h a n d i c a p p e d o r a d v e r s e l y a f f e c t e d i n it s m i s s i o n i f th e c h a n g e i s n o t m a d e ( V I - 1 a n d 1 - 2 - a ) ; o r (4) c o s t s w o u l d b e s u b s t a n t i a l l y i n c r e a s e d i f t h e c h a n g e i s n o t m ade (1 -2 -a ). T h e u n i o n c o n t e n d s t h a t m a n a g e m e n t h a s r e l i e d o n l y o n i t e m (1 ) a b o v e . B u t it s e e m s to m e t h a t m a n a g e m e n t a l s o r e l i e s o n i t e m ( 2 ) . T h e r e i s n o e v i d e n c e th a t (3 ) w a s i n v o l v e d , a n d t h e r e w a s n o c l a i m a s to (4 ) e x c e p t f o r t h e f i r s t t i m e i n th e c o m p a n y 's l e t t e r - b r i e f ; as to the l a s t I s h o u ld c o m m e n t , h o w e v e r , th a t, as e a r l i e r i n d i c a t e d , c o n s i d e r a t i o n o f it w o u ld in a n y e v e n t n o t c h a n g e th e u lt i m a t e r e s u l t . L e t u s , t h e n , c o n s i d e r th e a p p l i c a t i o n o f i t e m s (1) a n d (2) t o th e s i t u a t i o n h e r e . W as a " s e r v i c e - t y p e fu n ctio n " in v o lv e d ? It i s i m p o r t a n t a t t h e o u t s e t t o n o t e t h a t t h e s e w o r d s a r e d e f i n e d in the c o n t r a c t u a l a r r a n g e m e n t * and it is th e n , th is d e f i n ition w h ic h m u s t c o n t r o l , n ot s o m e o th e r . N C P I-6 1 0 , S e ctio n 1 - 2 - b , in d ica te s th a t s e r v i c e - t y p e f u n c t i o n s a r e " w h e r e s e r v i c e s m u s t b e p r o v i d e d a r o u n d t h e c l o c k o r o n a ll d a y s o f the w e e k . " A n d S e c t i o n 1 - 4 - L / e l s a y s that a s e r v i c e - t y p e fu n c t io n " i n c l u d e s fu n c tio n s w h ic h a r e r e q u i r e d to b e p e r f o r m e d . . . on a c o n tinu ou s b a s is . . . " J, 53 O n t h i s b a s i s , i t i s d i f f i c u l t t o u n d e r s t a n d h o w it c a n v a l i d l y b e m a i n t a i n e d t h a t th e f u n c t i o n s i n v o l v e d in th is c a s e w e r e " s e r v i c e - t y p e . " F o r they w e r e not " p r o v id e d a r o u n d th e c l o c k o r o n a l l d a y s o f t h e w e e k , " a n d w e r e n o t " c o n t i n u o u s . " D u r i n g th e s u m m e r t h e f u n c t i o n s i n q u e s t i o n w e r e p e r f o r m e d 6 d a y s o f t h e w e e k , n o t 7 , not Sunday. M a n a g e m e n t , a r g u i n g in e f f e c t t h a t t h e f u n c t i o n s w e r e " s e r v i c e - t y p e , " p o i n t s t o th e r e f e r e n c e i n N C P I 1 - 5 - 1 / e l / r e l a t i n g t o " U t i l i t y e q u i p m e n t o p e r a t i o n and s e r v i c e w a t c h e s . " B u t th is is p r e c e d e d b y the w o r d s " o n a c o n t in u o u s b a s i s , s u c h as . . . " T h e f a c t r e m a i n s t h a t t h e o p e r a t i o n in q u e s t i o n h e r e w a s n o t c o n tin u ou s. U n d er N C P I Z - 2 - a , m a n a g e m e n t c o u ld not ch an g e an e m p l o y e e 's b a s ic w o r k w e e k f o r l e s s th a n 3 c o n s e c u t i v e w e e k s e x c e p t , u n d e r " b , " w h e r e i t i s a s e r v ic e - t y p e fu n ctio n re q u irin g rota tion . H e r e th e b a s i c w o r k w e e k w a s p u r p o r t e d l y c h a n g e d , but though i t w a s d o n e o n a r o t a t i n g b a s i s a s f a r a s th e S a t u r d a y w o r k w a s c o n c e r n e d , it w a s n ot a s e r v i c e - t y p e fu n c t io n as c o n t r a c t u a l l y d e fin e d . M a n a g e m e n t a l s o p o in ts to V I - 1 o f the c o n t r a c t . T h e C o u n c i l a r g u e s th a t t h i s s e c t i o n d o e s n ot a p p ly b e c a u s e c o o li n g is n ot li s t e d as on e o f the s p e c i f i e d e x c e p tion s. I d i s a g r e e w ith th e C o u n c i l 's a p p r o a c h o n th is a s p e c t . It i s t r u e t h a t c o o l i n g i s n o t s p e c i f i c a l l y m e n t i o n e d , b u t i t r e f e r s to a c t i v i t i e s w h i c h d i r e c t l y r e l a t e to h e a lt h , and to h e a t , f o r e x a m p l e . A n d to s a y th a t V I - 1 a s a w h o l e d o e s n o t a l s o e m b r a c e c o o l i n g i s , to m e , f a r t o o r i g o r o u s a n i n t e r p r e t a t i o n o f th e c l e a r i n ten t o f its la n g u a g e . B u t t h i s d o e s n o t s o l v e th e p r o b l e m . W e c a n n o t p r o p e r l y r e a d V I - 1 in i s o l a t i o n . T h e c o n t r a c t u a l a r r a n g e m e n t , and e s p e c i a l l y its r e la t e d p r o v i s i o n s , m u s t b e r e a d a s a w h o l e , a n d i t r e m a i n s t r u e t h a t a s e r v i c e - t y p e f u n c t i o n m u s t b e i n v o l v e d to p e r m it what was done h e re . N C P I - 6 1 0 , it m u s t b e e m p h a s i z e d , a r e e m p l o y e r d ra fte d re g u la tio n s . M a n a g e m e n t i s h a r d l y in a p o s i t i o n to a r g u e th a t i t i s n o t to b e b ou n d b y its ow n r e g u la t i o n s . A s t h e m a t t e r s t a n d s , t h e r e f o r e , I s e e n o e s c a p e f r o m th e c o n c l u s i o n t h a t th e C o u n c i l ' s c l a i m o f v i o l a t i o n o f th e c o n t r a c t u a l a r r a n g e m e n t m u s t b e a c c e p t e d . T h e C o u n c i l m a k e s o t h e r p o i n t s : T h a t m a n a g e m e n t v i o l a t e d th e p a s t p r a c t i c e c l a u s e ( I I I - 3 ); t h a t i t v i o l a t e d t h e r e q u i r e m e n t th a t m a n a g e m e n t c o n s u l t th e C o u n c i l b e f o r e e f f e c t i n g t h e c h a n g e ( V I - 1 a n d I I I - 3 ); t h a t i t a l s o v i o l a t e d t h e p r o v i s i o n f o r n o l a y o f f d u r in g r e g u l a r h o u r s o f the b a s i c w o r k w e e k " t o c o m p e n s a t e o r o f f s e t " o v e r t i m e h o u r s ( V I I - 3 ). B ut t h e s e a r e a d d itio n a l in d e p e n d e n t a r g u m e n t s , and in v ie w o f w h a t I h a v e e a r l i e r c o n c l u d e d I s e e n o n e e d to d e t e r m i n e t h e i r v a l i d i t y . A d v isory A w ard T h e c l a i m o f th e C o u n c i l ( P l u m b e r s ' L o c a l 5 0 9 ) i s g r a n t e d : It i s f o u n d t h a t th e N . O . L . v i o l a t e d th e c o n t r a c t u a l a r r a n g e m e n t b e t w e e n t h e p a r t i e s b y w r o n g l y c h a n g in g the b a s i c w o r k w e e k o f the r e f r i g e r a t i o n m e c h a n i c s h e r e i n v o l v e d , in c l u d i n g c e r t a i n S a t u r d a y s in 1 9 6 7 a s p a r t o f s u c h b a s i c w o r k w e e k . T h e e m p l o y e e s th u s a f f e c t e d a r e to b e m a d e w h o le a c c o r d i n g l y . T h e p a r t i e s a r e to c o m p u t e t h e r e s u l t ant d a m a g e s , w ith t e r m i n a l a r b i t r a t i o n on f a i l u r e o f a g r e e m e n t in w h o l e o r in p a r t . S am u el H. J a ffee A rb itra to r W a sh in g ton , D . C. A p r i l 25, 1968 54 U .S . NAVAL ORDNANCE LABORATORY W H IT E O A K S ilv e r S p rin g , M a ry la n d F rom : To: The C om m an der C h ief S te w a rd , M e ta l T r a d e s C ou n cil S u b j: A r b it r a t o r 's R ef: (a) (b) 20910 A d v is o r y O p in ion A w a rd A g r e e m e n t b e t w e e n M T C and N O L d a te d 6 A u g u s t 1965 A d v i s o r y O p i n i o n A w a r d o f 25 A p r i l 1 9 6 8 b y A r b i t r a t o r 1. A s r e q u i r e d b y r e f e r e n c e (a) I a m d i s p o s i t i o n o f th e s u b j e c t g r i e v a n c e . h erew ith tra n sm ittin g my d e cisio n as t o th e 2. B y r e f e r e n c e (b ) A r b i t r a t o r J a f f e e h a s " f o u n d t h a t N O L v i o l a t e d th e c o n t r a c t u r a l a r r a n g e m e n t b e t w e e n th e p a r t i e s b y w r o n g l y c h a n g i n g t h e b a s i c w o r k w e e k o f t h e r e f r i g e r a t i o n m e c h a n i c s h e r e i n v o l v e d , in c l u d i n g c e r t a i n S a t u r d a y s in 1967 as p a r t o f such b a sic w ork w eek . " H i s a d v i s o r y o p i n i o n a w a r d w a s " T h e e m p l o y e e s th u s a f f e c t e d a r e to b e m a d e w h o l e a c c o r d i n g l y . T h e p a r t i e s a r e t o c o m p u t e th e r e s u l t a n t d a m a g e s , w i t h t e r m i n a l a r b i t r a t i o n o n f a i l u r e o f a g r e e m e n t i n w h o l e o r in p a r t . " 3. M y d e cisio n in t h i s m atter is as fo llo w s : a. The b a s ic w ork w eek was im p r o p e r ly changed fr o m M onday T u e s d a y th r o u g h S a tu r d a y and that p a r t o f the a w a r d is a c c e p t e d . th rou gh F r id a y to b. T h e c o r r e c t i v e a c t i o n , n a m e l y , to m a k e t h e a f f e c t e d e m p l o y e e s " w h o l e " p r e s u m a b l y b y r e c o m p u t i n g th e e m p l o y e e s 1 c o m p e n s a t i o n a t o v e r t i m e r a t e s f o r th e S a t u r d a y s w o r k e d i s r e j e c t e d s i n c e t h e r e i s n o a u t h o r i t y to i m p l e m e n t t h i s a s p e c t o f th e a w a r d . U n d e r la w , t h e r e is n o w a y f o r the N a v y D e p a r t m e n t to p a y d i r e c t l y and r e t r o a c t iv e ly su ch c o m p e n s a tio n . T h e o n ly m e t h o d b y w h i c h the e m p l o y e e s co u ld be p r o v id e d any c o m p e n s a t io n w ou ld b e , fo r th ose e m p lo y e e s w ho had annual l e a v e a v a i l a b l e , to r e q u e s t a n n u a l l e a v e f o r th e M o n d a y s t h e y d i d n o t w o r k , in w h i c h e v e n t t h e y c o u l d b e c o m p e n s a t e d a t o v e r t i m e r a t e s f o r th e S a t u r d a y w o r k . T h is la tte r m e th o d w ill be a u th o r iz e d f o r th o se w h o m a k e a p p lic a tio n f o r annual le a v e and w h o had annual l e a v e a v a il a b le . c. in th e T e r m i n a l a r b i t r a t i o n is r e j e c t e d on the g r o u n d s that t h e r e co n tr a c tu r a l a rra n g e m e n ts fo r te rm in a l a rb itra tion . is no p r o v is io n 55 Appendix D Executive Order 11491: Labor-Management R elations in the Federal Service WHEREAS the public interest requires high standards of employee performance and the continual development and implementation of modern and progressive work practices to facilitate improved employee performance and efficiency; and WHEREAS the well-being of employees and efficient administration of the Government are benefited by providing employees an opportunity to participate in the formulation and implemen tation of personnel policies and practices affecting the conditions of their employment; and WHEREAS the participation of employees should be improved through the maintenance of constructive and cooperative relationships between labor organizations and management officials; and WHEREAS subject to law and the paramount requirements of public service, effective labormanagement relations within the Federal service require a clear statement of the respective rights and obligations of labor organizations and agency management: NOW, THEREFORE, by virtue of the authority vested in me by the Constitution and statutes of the United States, including sections 3301 and 7301 of title 5 of the United States Code, and as President of the United States, I hereby direct that the following policies shall govern officers and agencies of the executive branch of the Government in all dealings with Federal employees and organizations representing such employees. GENERAL PROVISIONS Section 1. P olicy, (a) Each employee of the executive branch of the Federal Government has the right, freely and without fear of penalty or reprisal, to form, join, and assist a labor organization or to refrain from any such activity, and each employee shall be protected in the exercise of this right. Except as otherwise expressly provided in this Order, the right to assist a labor organization extends to participation in the management of the organization and acting for the organization in the capacity of an organization representative,, including presentation of its views to officials of the executive branch, the Congress, or other appropriate authority. The head of each agency shall take the action required to assure that employees in the agency are apprised of their rights under this section, and that no interference, restraint, coercion, or discrimination is practiced within his agency to encourage or discourage membership in a labor organization. (b) Paragraph (a) of this section does not authorize participation in the management of a labor organization or acting as a representative of such an organization by a supervisor, except as provided in section 24 of this Order, or by an employee when the participation or activity would result in a conflict or apparent conflict of interest or otherwise be incompatible with law or with the official duties of the employee. Sec. 2. Definitions. When used in this Order, the term — (a) “ Agency” means an executive department, a Government corporation, and an indepen dent establishment as defined in section 104 of title 5, United States Code, except the General Accounting Office; (b) “ Employee” means an employee of an agency and an employee of a nonappropriated fund instrumentality of the United States but does not include, for the purpose of formal or exclusive recognition or national consultation rights, a supervisor, except as provided in section 24 of this order; 56 (c) “ Supervisor” means an employee having authority, in the interest of an agency, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibly to direct them, or to evaluate their performance, or to adjust their grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of authority is not of a merely routine or clerical nature, but requires the use of independent judgment; (d) “ Guard” means an employee assigned to enforce against employees and other persons rules to protect agency property or the safety of persons on agency premises, or to maintain law and order in areas or facilities under Government control; (e) “ Labor organization” means a lawful organization of any kind in which employees par ticipate and which exists for the purpose, in whole or in part, of dealing with agencies concerning grievances, personnel policies and practices, or other matters affecting the working conditions of their employees; but does not include an organization which -(1) consists of management officials or supervisors, except as provided in section 24 of this Order; (2) asserts the right to strike against the Government of the United States or any agency thereof, or to assist or participate in such a strike, or imposes a duty or obligation to conduct, assist or participate in such a strike; (3) advocates the overthrow of the constitutional form of government in the United States; or (4) discriminates with regard to the terms or conditions of membership because of race, color, creed, sex, age, or national origin; (f) “ Agency management” means the agency head and all management officials, supervisors, and other representatives o f management having authority to act for the agency on any matters relating to the implementation of the agency labor-management relations program established under this Order; (g) “ Council” means the Federal Labor Relations Council established by this Order; (h) “ Panel” means the Federal Service Impasses Panel established by this Order; and (i) “ Assistant Secretary” means the Assistant Secretary of Labor for Labor-Management Relations. Sec. 3. Application, (a) This Order applies to all employees and agencies in the executive branch, except as provided in paragraphs (b), (c) and (d) of this section. (b) This Order (except section 22) does not apply to -(1) the Federal Bureau of Investigation; (2) the Central Intelligence Agency; (3) any other agency, or office, bureau, or entity within an agency, which has as a primary function intelligence, investigative, or security work, when the head of the agency determines, in his sole judgment, that the Order cannot be applied in a manner consistent with national security requirements and considerations; or (4) any office, bureau or entity within an agency which has as a primary function investiga tion or audit of the conduct or work of officials or employees of the agency for the purpose of ensuring honesty and integrity in the discharge of their official duties, when the head of the agency determines, in his sole judgment, that the Order cannot be applied in a manner consistent with the internal security of the agency. (c) The head of an agency may, in his sole judgment, suspend any provision of this Order (except section 22) with respect to any agency installation or activity located outside the United 57 States, when he determines that this is necessary in the national interest, subject to the conditions he prescribes. (d) Employees engaged in administering a labor-management relations law or this Order shall not be represented by a labor organization which also represents other groups of employees under the law or this Order, or which is affiliated directly or indirectly with an organization which repre sents such a group of employees. ADMINISTRATION Sec. 4. Federal Labor Relations Council, (a) There is hereby established the Federal Labor Relations Council, which consists of the Chairman of the Civil Service Commission, who shall be chairman of the Council, the Secretary of Labor, an official of the Executive Office of the President, and such other officials of the executive branch as the President may designate from time to time. The Civil Service Commission shall provide services and staff assistance to the Council to the extent authorized by law. (b) The Council shall administer and interpret this Order, decide major policy issues, prescribe regulations, and from time to time, report and make recommendations to the President. (c) The Council may consider, subject to its regulations — (1) appeals from decisions of the Assistant Secretary issued pursuant to section 6 of this Order; (2) appeals on negotiability issues as provided in section 11 (c) of this Order; (3) exceptions to arbitration awards; and (4) other matters it deems appropriate to assure the effectuation of the purposes of this Order. Sec. 5. Federal Service Impasses Panel, (a) There is hereby established the Federal Serv ice Impasses Panel as an agency within the Council. The Panel consists of at least three members appointed by the President, one of whom he designates as chairman. The Council shall provide the services and staff assistance needed by the-Panel. (b) The Panel may consider negotiation impasses as provided in section 17 of this Order and may take any action it considers necessary to settle an impasse. (c) The Panel shall prescribe regulations needed to administer its function under this Order. Sec. 6. Assistant Secretary of Labor for Labor^Management Relations, (a) The Assistant Secretary shall — (1) decide questions as to the appropriate unit for the purpose of exclusive recognition and related issues submitted for his consideration; (2) supervise elections to determine whether a labor organization is the choice of a majority of the employees in an appropriate unit as their exclusive representative, and certify the results; (3) decide questions as to the eligibility of labor organizations for national consultation rights under criteria prescribed by the Council; and (4) except as provided in section 19(d) of this Order, decide complaints of alleged unfair labor practices and alleged violations of the standards of conduct for labor organizations. (b) In any matters arising under paragraph (a) of this section, the Assistant Secretary may require an agency or a labor organization to cease and desist from violations of this Order and re quire it to take such affirmative action as he considers appropriate to effectuate the policies of this Order. Digitized for 5FRASER 8 (c) In performing the duties imposed on him by this section, the Assistant Secretary may re quest and use the services and assistance of employees of other agencies in accordance with, section 1 of the Act of March 4, 1915, (38 Stat. 1084, as amended; 31 U.S.C. §686). (d) The Assistant Secretary shall prescribe regulations needed to administer his functions under this Order. (e) If any matters arising under paragraph (a) of this section involve the Department of Labor, the duties of the Assistant Secretary described in paragraphs (a) and (b) of this section shall be performed by a member of the Civil Service Commission designated by the Chairman of the Commission. RECOGNITION Sec. 7. Recognition in general, (a) An agency shall accord exclusive recognition or national consultation rights at the request of a labor organization which meets the requirements for the recognition or consultation rights under this Order. (b) A labor organization seeking recognition shall submit to the agency a roster of its officers and representatives, a copy of its constitution and by-laws, and a statement of its obj ectives. (c) When recognition of a labor organization has been accorded, the recognition continues as long as the organization continues to meet the requirements of this Order applicable to that recognition, except that this section does not require an election to determine whether an organiza tion should become, or continue to be recognized as, exclusive representative of the employees in any unit or subdivision thereof within 12 months after a prior valid election with respect to such unit. (d) Recognition, in whatever form accorded, does not — (1) preclude an employee, regardless of whether he is a member of a labor organization, from bringing matters of personal concern to the attention of appropriate officials under applicable law, rule, regulations, or established agency policy; or from choosing his own representative in a grievance or appellate action; (2) preclude or restrict consultations and deahngs between an agency and a veterans organi zation with respect to matters of particular interest to employees with veterans preference; or (3) preclude an agency from consulting or dealing with a religious, social, fraternal, or other lawful association, not qualified as a labor organization, with respect to matters or policies which involve individual members o f the association or are of particular applicability to it or its members. Consultations and dealings under subparagraph (3) of this paragraph shall be so limited that they do not assume the character of formal consultation on matters of general employee-management policy, except as provided in paragraph (e) of this section, or extend to areas where recognition of the interests of one employee group may result in discrimination against or injury to the interests of other employees. (e) An agency shall establish a system for intra-management communication and consul tation with its supervisors or associations of supervisors. The communications and consultations shall have as their purposes the improvement of agency operations, the improvement of working conditions of supervisors, the exchange of information, the improvement of managerial effective ness, and the establishment of policies that best serve the public interest in accomplishing the mission of the agency. (f) Informal recognition shall not be accorded after the date of this Order. 59 Sec. 8 Formal Recognition, (a) Formal recognition, including formal recognition at the national level, shall not be accorded after the date of this Order. (b) An agency shall continue any formal recognition, including formal recognition at the national level, accorded a labor organization before the date of this Order until — (1) the labor organization ceases to be eligible under this Order for formal recognition so accorded; (2) a labor organization is accorded exclusive recognition as representative of employees in the unit to which the formal recognition applies; or (3) the formal recognition is terminated under regulations prescribed by the Federal Labor Relations Council. (c) When a labor organization holds formal recognition, it is the representative of its members in a unit as defined by the agency when recognition was accorded. The agency, through appropriate officials, shall consult with representatives of the organization from time to time in the formulation and implementation of personnel policies and practices, and matters affecting working conditions that affect members of the organization in the unit to which the formal recognition applies. The or ganization is entitled from time to time to raise such matters for discussion with appropriate officials and at all times to present its views thereon in writing. The agency is not required to consult with the labor organization on any matter on which it would not be required to meet and con fer if the labor organization were entitled to exclusive recognition. Sec. 9. National consultation rights, (a) An agency shall accord national consultation rights to a labor organization which qualifies under criteria established by the Federal Labor Relations Council as the representative of a substantial number of employees of the agency. National con sultation rights shall not be accorded for any unit where a labor organization already holds exclusive recognition at the national level for that unit. The granting of national consultation rights does not preclude an agency from appropriate dealings at the national level with other organizations on matters affecting their members. An agency shall terminate national consultation rights when the labor organization ceases to qualify under the established criteria. (b) When a labor organization has been accorded national consultation rights, the agency, through appropriate officials, shall notify representatives of the organization of proposed substan tive changes in personnel policies that affect employees it represents and provide an opportunity for the organization to comment on the proposed changes. The labor organization may suggest changes in the agency’s personnel policies and have its views carefully considered. It may confer in person at reasonable times, on request, with appropriate officials on personnel policy matters, and at all times present its views thereon in writing. An agency is not required to consult with a labor organization on any matter on which it would not be required to meet and confer if the organi zation were entitled to exclusive recognition. (c ) Questions as to the eligibility of labor organizations for national consultation rights may be referred to the Assistant Secretary for decision. Sec. 10. Exclusive recognition, (a) An agency shall accord exclusive recognition to a labor organization when the organization has been selected, in a secret ballot election, by a majority of the employees in an appropriate unit as their representative. (b) A unit may be established on a plant or installation, craft, functional, or other basis which will ensure a clear and identifiable community of interest among the employees concerned and will promote effective dealings and efficiency of agency operations. A unit shall not be estab lished solely on the basis of the extent to which employees in the proposed unit have organized, nor shall a unit be established if it includes — (1) any management official or supervisor, except as provided in section 24; 6 0 for FRASER Digitized (2) an employee engaged in Federal personnel work in other than a purely clerical capacity; (3) any guard together with other employees; or (4) both professional and nonprofessional employees, unless a majority of the professional employees vote for inclusion in the unit. Questions as to the appropriate unit and related issues may be referred to the Assistant Secretary for decision. (c) An agency shall not accord exclusive recognition to a labor organization as the repre sentative of employees in a unit of guards if the organization admits to membership, or is affiliated directly or indirectly with an organization which admits to membership, employees other than guards. (d) All elections shall be conducted under the supervision of the Assistant Secretary, or persons designated by him, and shall be by secret ballot. Each employee eligible to vote shall be provided the opportunity to choose the labor organization he wishes to represent him, from among those on the ballot, or “ no union.” Elections may be held to determine whether — (1) a labor organization should be recognized as the exclusive representative of employees in a unit; (2) a labor organization should replace another labor organization as the exclusive repre sentative; or (3) a labor organization should cease to be the exclusive representative. (e) When a labor organization has been accorded exclusive recognition, it is the exclusive representative of employees in the unit and is entitled to act for and to negotiate agreements covering all employees in the unit. It is responsible for representing the interests of all em ployees in the unit without discrimination and without regard to labor organization membership. The laboj: organization shall be given the opportunity to be represented at formal discussions between management and employees or employee representatives concerning grievances, per sonnel policies and practices, or other matters affecting general working conditions of employees in the unit. AGREEMENTS Sec. 11. Negotiation of agreements, (a) An agency and a labor organization that has been accorded exclusive recognition, through appropriate representatives, shall meet at reasonable times and confer in good faith with respect to personnel policies and practices and matters affecting working conditions, so far as may be appropriate under applicable laws and regulations, including policies set forth in the Federal Personnel Manual, published agency policies and regulations, a national or other controlling agreement at a higher level in the agency, and this Order. They may negotiate an agreement, or any question arising thereunder; determine appro priate techniques, consistent with section 17 of this Order, to assist in such negotiation; and execute a written agreement or memorandum of understanding. (b) In prescribing regulations relating to personnel policies and practices and working conditions, an agency shall have*due regard for the obligation imposed by paragraph (a) of this section. However, the obligation to meet and confer does not include matters with respect to the mission of an agency; its budget; its organization; the number of employees; and the numbers, types, and grades of positions or employees assigned to an organizational unit, work project or tour of duty; the technology of performing its work; or its internal security practices. This does not preclude the parties from negotiating agreements providing appropriate arrangements for em ployees adversely affected by the impact of realignment of work forces or technological change. 61 (c) If, in connection with negotiations, an issue develops as to whether a proposal is con trary to law, regulation, controlling agreement, or this Order and therefore not negotiable, it shall be resolved as follows: (1) An issue which involves interpretation of a controlling agreement at a higher agency level is resolved under the procedures o f the controlling agreement, or, if none, under agency regulations; (2) An issue other than as described in subparagraph (1) of this paragraph which arises at a local level may be referred by either party to the head of the agency for determination; (3) An agency head’s determination as to the interpretation of the agency’ s regulations with respect to a proposal is final; (4) A labor organization may appeal to the Council for a decision when — (i) it disagrees with an agency head’s determination that a proposal would violate applic able law, regulation of appropriate authority outside the agency, or this Order, or (ii) it believes that an agency’ s regulations, as interpreted by the agency head, violate applicable law, regulation of appropriate authority outside the agency, or this Order. Sec. 12. Basic provisions of agreements. Each agreement between an agency and a labor organization is subject to the following requirements -(a) in the administration of all matters covered by the agreement, officials and employees are governed by existing or future laws and the regulations of appropriate authorities, including policies set forth in the Federal Personnel Manual; by published agency policies and regulations in fexistence at the time the agreement was approved; and by subsequently published agency policies and regulations required by law or by the regulations of appropriate authorities, or author ized by the terms of a controlling agreement at a higher agency level; (b) management officials of the agency retain the right, in accordance with applicable laws and regulations -(1) to direct employees of the agency; (2) to hire, promote, transfer, assign, and retain employees in positions within the agency, and to suspend, demote, discharge, or take other disciplinary action against employees; (3) to relieve employees from duties because of lack of work or for other legitimate reasons; (4) to maintain the efficiency of the Government operations entrusted to them; (5) to determine the methods, means, and personnel by which such operations are to be conducted; and (6) to take whatever actions may be necessary to carry out the mission of the agency in situations of emergency; and (c) nothing in the agreement shall require an employee to become or to remain a member of a labor organization, or to pay money to the organization except pursuant to a voluntary, written authorization by a member for the payment of dues through payroll deductions. The requirements of this section shall be expressly stated in the initial or basic agreement and apply to all supplemental, implementing, subsidiary, or informal agreements between the agency and the organization. Sec. 13. Grievance procedures. An agreement with a labor organization which is the ex clusive representative of employees in an appropriate unit may provide procedures, applicable only to employees in the unit, for the consideration of employee grievances and of disputes over the interpretation and application of agreements. The procedure for consideration of employee grievances shall meet the requirements for negotiated grievance procedures established by the 62 Civil Service Commission. A negotiated employee grievance procedure which conforms to this section, to applicable laws, and to regulations of the Civil Service Commission and the agency is the exclusive procedure available to employees in the unit when the agreement so provides. Sec. 14. Arbitration of grievances, (a) Negotiated procedures may provide for the arbitration of employee grievances and of disputes over the interpretation or application of existing agree ments. Negotiated procedures may not extend arbitration to changes or proposed changes in agreements or agency policy. Such procedures shall provide for the invoking of arbitration only with the approval of the labor organization that has exclusive recognition and, in the case of an employee grievance, only with the approval of the employee. The costs of the arbitrator shall be shared equally by the parties. (b) Either party may file exceptions to an arbitrator’s award with the Council, under regula tions prescribed by the Council. Sec. 15- Approval of agreements. An agreement with a labor organization as the exclusive representative of employees in a unit is subject to the approval of the head of the agency or an official designated by him. An agreement shall be approved if it conforms to applicable laws, existing published agency policies and regulations (unless the agency has granted an exception to a policy or regulation) and regulations of other appropriate authorities. A local agreement subject to a national or other controlling agreement at a higher level shall be approved under the procedures of the controlling agreement, or, if none, under agency regulations. NEGOTIATION DISPUTES AND IMPASSES Sec. 16. Negotiation disputes. The Federal Mediation and Conciliation Service shall pro vide services and assistance to Federal agencies and labor organizations in the resolution of negotiation disputes. The Service shall determine under what circumstances and in what manner it shall proffer its services. Sec. 17. Negotiation impasses. When voluntary arrangements, including the services of the Federal Mediation and Conciliation Service or other third-party mediation, fail to resolve a nego tiation impasse, either party may request the Federal Service Impasses Panel to consider the matter. The Panel, in its discretion and under the regulations it prescribes, may consider the matter and may recommend procedures to the parties for the resolution of the impasse or may settle the impasse by appropriate action. Arbitration or third-party fact finding with recommendations to assist in the reso lution of an impasse may be used by the parties only when authorized or directed by the Panel. CONDUCT OF LABOR ORGANIZATIONS AND MANAGEMENT Sec. 18. Standards of conduct for labor organizations. (a) An agency shall accord recognition only to a labor organization that is free from corrupt influences and influences opposed to basic democratic principles. Except as provided in paragraph (b) of this section, an organization is not required to prove that it has the required freedom when it is subject to governing requirements adopted by the organization or by a national or international labor organization or federation of labor organizations with which it is affiliated or in which it participates, containing explicit and detailed provisions to which it subscribes calling for — (1) the maintenance of democratic procedures and practices, including provisions for periodic elections to be conducted subject to recognized safeguards and provisions defining and securing the right of individual members to participation in the affairs of the organization, to fair and equal treatment under the governing rules of the organization, and to fair process in disciplinary proceedin gs; (2) the exclusion from office in the organization of persons affiliated with Communist or other totalitarian movements and persons identified with corrupt influences; 63 (3) the prohibition of business or financial interests on the part of organization officers and agents which conflict with their duty to the organization and its members; and (4) the maintenance of fiscal integrity in the conduct of the affairs of the organization, in cluding provision for accounting and financial controls and regular financial reports or summaries to be made available to members. (b) Notwithstanding the fact that a labor organization has adopted or subscribed to standards of conduct as provided in paragraph (a) of this section, the organization is required to furnish evidence of its freedom from corrupt influences or influences opposed to basic democratic prin ciples when there is reasonable cause to believe that — (1) the organization has been suspended or expelled from or is subject to other sanction by a parent labor organization or federation of organizations with which it had been affiliated because it has demonstrated an unwillingness or inability to comply with governing requirements comparable in purpose to those required by paragraph (a) of this section; or (2) the organization is in fact subject to influences that would preclude recognition under this Order. (c) A labor organization which has or seeks recognition as a representative of employees under this Order shall file financial and other reports, provide for bonding of officials and employees of the organization, and comply with trusteeship and election standards. (d) The Assistant Secretary shall prescribe the regulations needed to effectuate this section. These regulations shall conform generally to the principles applied to unions in the private sector. Complaints of violations of this section shall be filed with the Assistant Secretary. Sec. 19. Unfair labor practices, (a) Agency management shall not — (1) interfere with, restrain, or coerce an employee in the exercise of the rights assured by this Order; (2) encourage or discourage membership in a labor organization by discrimination in regard to hiring, tenure, promotion, or other conditions of employment; (3) sponsor, control, or otherwise assist a labor organization, except that an agency may furnish customary and routine services and facilities under section 23 of this Order when consis tent with the best interests of the agency, its employees, and the organization, and when the serv ices and facilities are furnished, if requested, on an impartial basis to organizations having equivalent status; (4) discipline or otherwise discriminate against an employee because he has filed a com plaint or given testimony under this Order; (5) refuse to accord appropriate recognition to a labor organization qualified for such recognition; or (6) refuse to consult, confer, or negotiate with a labor organization as required by this Order. (b) A labor organization shall not — (1) interfere with, restrain, or coerce an employee in the exercise of his rights assured by this Order; (2) attempt to induce agency management to coerce an employee in the exercise of his rights under this Order; (3) coerce, attempt to coerce, or discipline, fine, or take other economic sanction against a member of the organization as punishment or reprisal for, or for the purpose of hindering or impeding his work performance, his productivity, or the discharge of his duties owed as an officer or employee of the United States; 64 (4) call or engage in a strike, work stoppage, or slowdown; picket an agency in a labormanagement dispute; or condone any such activity by failing to take affirmative action to prevent or stop it; (5) discriminate against an employee with regard to the terms or conditions of membership because of race, color, creed, sex, age, or national origin; or (6) refuse to consult, confer, or negotiate with an agency as required by this Order. (c) A labor organization which is accorded exclusive recognition shall not deny membership to any employee in the appropriate unit except for failure to meet reasonable occupational stand ards uniformly required for admission, or for failure to tender initiation fees and dues uniformly re quired as a condition of acquiring and retaining membership. This paragraph does not preclude a labor organization from enforcing discipline in accordance with procedures under its constitution or by-laws which conform to the requirements of this Order. (d) When the issue in a complaint of an alleged violation of paragraph (a)(1), (2), or (4) of this section is subject to an established grievance or appeals procedure, that procedure is the exclusive procedure for resolving the complaint. All other complaints of alleged violations of this section initiated by an employee, an agency, or a labor organization, that cannot be resolved by the parties, shall be filed with the Assistant Secretary. MISCELLANEOUS PROVISIONS Sec. 20. Use of official time. Solicitation of membership or dues, and other internal business of a labor organization, shall be conducted during the non-duty hours of the employees concerned. Employees who represent a recognized labor organization shall not be on official time when nego tiating an agreement with agency management. Sec. 21. Allotment of dues, (a) When a labor organization holds formal or exclusive recog nition, and the agency and the organization agree in writing to this course of action, an agency may deduct the regular and periodic dues of the organization from the pay of members of the organization in the unit of recognition who make a voluntary allotment for that purpose, and shall recover the costs of making the deductions. Such an allotment is subject to the regulations of the Civil Service Commission, which shall include provision for the employee to revoke his authorization at stated six-month intervals. Such an allotment terminates when — (1) the dues withholding agreement between the agency and the labor organization is terminated or ceases to be applicable to the employee; or (2) the employee has been suspended or expelled from the labor organization. (b) An agency may deduct the regular and periodic dues of an association of management officials or supervisors from the pay of members of the association who make a voluntary allotment for that purpose, and shall recover the costs of making the deductions, when the agency and the association agree in writing to this course of action. Such an allotment is subject to the regulations of the Civil Service Commission. Sec. 22. Adverse action appeals. The head of each agency, in accordance with the provisions of this Order and regulations prescribed by the Civil Service Commission, shall extend to all em ployees in the competitive civil service rights identical in adverse action cases to those provided preference eligibles under sections 7511-7512 of title 5 of the United States Code. Each employee in the competitive service shall have the right to appeal to the Civil Service Commission from an adverse decision of the administrative officer so acting, such appeal.to be processed in an iden tical manner to that provided for appeals under section 7701 of title 5 of the United States Code. Any recommendation by the Civil Service Commission submitted to the head of an agency on the basis of an appeal by an employee in the competitive service shall be complied with by the head of the agency. 65 Sec. 23. Agency implementation. No later than April 1, 1970, each agency shall issue appro priate policies and regulations consistent with this Order for its implementation. This includes but is not limited to a clear statement of the rights of its employees under this Order; procedures with respect to recognition of labor organizations, determination of appropriate units, consultation and negotiation with labor organizations, approval of agreements, mediation, and impasse resolution; policies with respect to the use of agency facilities by labor organizations; and policies and prac tices regarding consultation with other organizations and associations and individual employees. Insofar as practicable, agencies shall consult with representatives of labor organizations in the formulation of these policies and regulations, other than those for the implementation of section 7(e) of this Order. Sec. 24. Savings clauses, (a) This Order does not preclude -(1) the renewal or continuation of a lawful agreement between an agency and a representative of its employees entered into before the effective date of Executive Order No. 10988 (January 17, 1962); or (2) the renewal, continuation, or initial according of recognition for units of management officials or supervisors represented by labor organizations which historically or traditionally repre sent the management officials or supervisors in private industry and which hold exclusive recogni tion for units of such officials or supervisors in any agency on the date of this Order. (b) All grants of informal recognition under Executive Order No. 10988 terminate on July 1, 1970. (c) All grants of formal recognition under Executive Order No. 10988 terminate under regulations which the Federal Labor Relations Council shall issue before October 1, 1970. (d) By not later than December 31, 1970, all supervisors shall be excluded from units of formal and exclusive recognition and from coverage by negotiated agreements, except as provided in paragraph (a) of this section. Sec. 25. Guidance, training, review and information. (a) The Civil Service Commission shall establish and maintain a program for the guidance of agencies on labor-management relations in the Federal service; provide technical advice and in formation to agencies; assist in the development of programs for training agency personnel and management officials in labor-management relations; continuously review the operation of the Federal labor-management relations program to assist in assuring adherence to its provisions and merit system requirements; and, from time to time, report to the Council on the state of the program with any recommendations for its improvement. (b) The Department of Labor and the Civil Service Commission shall develop programs for the collection and dissemination of information appropriate to the needs of agencies, organizations and the public. Sec. 26- Effective date. This Order is effective on January 1, 1970 except sections 7(f) and 8 which are effective immediately. Effective January 1, 1970, Executive Order No. 10988 and the President’ s Memorandum of May 21, 1963, entitled Standards of Conduct for Employee Organi zations and Code of Fair Labor Practices, are revoked. RICHARD NIXON THE WHITE HOUSE O ctober 29, 1969 66 Appendix E C o m p a ra tiv e A n a ly s is : E . O. 10988 (in clu d in g S tan d ard s and C od e) E x e cu tiv e O r d e r s E .O . 10988 and 11491 Changes 11491 T itle L a b or-M a n a g em en t R e la tio n s in th e F e d e r a l S e rv ice . N e w t i t l e t o b e t t e r r e f l e c t th a t O r d e r g o v e r n s r e s p e c t i v e rig h ts and o b lig a tio n s of la b o r o r g a n i z a tio n s and a g e n c y m a n a g e m e n t . P u b lic in te re s t r e q u ire s h igh s ta n d a r d s o f e m p l o y e e p e r f o r m a n c e and m o d e r n w o r k p r a c t i c e s to i m p r o v e e m p l o y e e p e r f o r m a n c e and e ffic ie n c y . O ther cla u se s g e n e r a l l y s i m i l a r to E. O. 10988. A dds statem en t reg a rd in g e ff i cie n t w o r k p e r fo r m a n c e . D e l e t e s s t a t e m e n t that e m p l o y e e p a r t i c i p a t i o n c o n t r ib u t e s to e f fe c t iv e con d u ct of p u b lic b u sin e ss. F r e e rig h t to jo i n o r not jo in la b o r org a n iza tio n s. (S ection la ) Sam e. N one. R ig h t to b e an o f f i c e r o r rep resen ta tive, except w h ere co n flict of in te r est or oth erw ise in c o m p a t ib le w ith la w o r o f f i c ia l d u ties. (lb ) S im ila r, e x ce p t a s u p e r v i s o r m a y n o t p a r t i c i p a t e in the m a n a g e m e n t o r r e p r e sen ta tion o f a la b o r o r g a n i z a tio n (o t h e r than as e x c e p t e d b y s e c t i o n 24) n o r m a y an e m p l o y e e w h e r e th e r e w ou ld be c o n flic t o r apparent con flict of in te r e s t o r i n c o m p a t ib il it y w ith la w o r o f f i c i a l d u tie s , (lb ) P ro h ib its s u p e r v is o r s fr o m a c t in g a s u n io n o f f i c e r s o r r e p r e s e n t iv e s , w ith m i n o r e x c e p t io n . A dds ap p earan ce of co n flict of i n t e r e s t to li m it a t io n on e m p l o y e e s ' r i g h t t o e n g a g e in th e m a n agem en t o r rep resen ta tion of a la b o r org a n iza tion . D efin es " e m p lo y e e o r ga n iza tion ," e x clu d in g o r g a n i z a t i o n s th at s t r i k e o r a s s e r t th e r i g h t t o strik e, advocate o v e r - D e fin e s " la b o r o r g a n iz a t io n " w ith s i m i l a r e x c l u s io n s , but a d d in g d i s c r i m in a tio n on s e x o r a g e . E x clu d e s o rg a n iz a tio n s of S u bstitu tes t e r m " l a b o r o r g a n i za tion " fo r "e m p lo y e e o r g a n iz a tion. " C l e a r e r d e fin itio n . E x ce p t ce rta in m a r itim e u n ion s, org a n iza tio n s of m a n a g e rs o r s u p e r v is o r s a re e x clu d e d fr o m E m p lo y ee-M a n a g em e n t C o o p e r a t i o n in th e F e d e ra l S erv ice. P re a m b le E m p lo y e e p a rticip a tio n in d e t e r m i n i n g p e r s o n n e l p o l i c i e s c o n t r i b u t e s to effectiv e conduct of p u b lic b u s i n e s s and to im p r o v e d e m p lo y e e m a n agem en t re la tio n sh ip s. E ffic ie n t a d m in is t r a t io n and e m p lo y e e w e ll-b e in g re q u ire o r d e r ly and c o n s t r u c t iv e r e la t io n s h ip s w ith e m p lo y e e org a n iza tio n s. C le a r statem en t o f r e s p e c t i v e rig h ts and o b lig a tion s n eed ed. G en eral P ro v isio n s (S e c tio n la ) 67 E . O . 10988 (in clu d in g Standards and C ode) E .O . Changes 11491 t h r o w o f the g o v e r n m e n t , o r d is c r im in a t e on r a c e , c o l o r , c r e e d o r n a tion a l o rig in . (2 ) m a n a g e r s and s u p e r v i s o r s . (2e) r e c o g n it io n as la b o r o r g a n iz a tion s. N o n d is crim in a tio n r e q u ir e m e n t e x te n d e d to in c lu d e s e x and a g e . No p ro v isio n . D e fin es "a g e n c y , " " e m p lo y e e , " "s u p e r v is o r , " " g u a r d ," and o t h e r t e r m s u s e d in O r d e r . (2 ) A d d s d efin ition s of k e y t e r m s . O r d e r d o e s n ot a p p ly to F B I, C IA , o r to a g e n c y c o m p o n e n ts h a vin g in t e l lig e n c e , in v e stig a tiv e , o r s e c u r i t y fu n c tio n s if a gen cy head d eterm in es O r d e r ca n n ot b e a p p lie d c o n s is t e n t w ith n a tion a l s e cu rity re q u ire m e n ts. N o a p p ea l. (1 6 ) Sam e. N one. No p ro v isio n . E x c lu d e s agen cy c o m p o nents w h ich in v e stig a te e m p l o y e e i n t e g r i t y in p e r f o r m a n ce o f d u ties, w hen a g e n cy head d eterm in es O rd er can not be a p p lie d c o n s is t e n t w ith in te r n a l s e c u r i t y o f a g e n c y . N o a p p ea l. (3 b 4 ) A d d s a u th o rity f o r a g e n c y to e x c lu d e e m p l o y e e s e n g a g e d in c e r tain in te r n a l s e c u r it y w o r k . A gen cy head m ay s u s pend any p r o v is io n of O rd e r, excep t n on vet era n a d v e r s e a ction a p p e a l r ig h t , in i n s t a l l a t i o n s o u t s i d e U. S. N o a p p e a l. (16) Sam e. N one. No p ro v isio n . E m p l o y e e s i n v o l v e d in a d m in iste rin g a la b o r r e la t io n s la w o r the O r d e r m a y not be re p re se n te d b y o r g a n iza tion s r e p re s e n tin g o t h e r e m p l o y e e s s u b j e c t to su ch la w o r O r d e r . (3d) P ro h ib its e m p lo y e e s w ho a d m in i s t e r a la b o r r e la t io n s la w o r the O r d e r f r o m b e in g r e p r e se n te d by a u nion w h ich co u ld b e p a r t y to a m a t t e r the e m p l o y e e w o u l d c o n s i d e r i n th e c o u r s e o f h is o f f i c i a l duty. E sta b lish e s F e d e r a l L a b or R e la tion s C o u n cil, c o n s is t in g o f C S C C h a i r m a n , w h o is C h a irm a n of C ou n cil, S e c r e t a r y o f L a b o r , an o ffic ia l of E xecu tiv e O ffice o f P r e s id e n t , and oth er o fficia ls P resid en t m ay S e t s up t o p - l e v e l i n t e r a g e n c y c o m m it t e e as c e n t r a l a u th ority to o v e r s e e p r o g r a m , s e tt le p o li c y is s u e s , a ct as fin a l a p p e a ls b o d y on la b o r - m a n a g e m e n t d isp u tes e x ce p t n e g o tia tion im p a s s e s on su b sta n tiv e issu es. (3b, 1, 2 , 3) (3 c) A d m in istra tio n E ach agen cy re sp o n sib le fo r o b s e r v in g and enf o r c i n g the O r d e r , the S t a n d a r d s , an d the C o d e in its o w n o p e r a t i o n s , w ith g u id a n c e , t e c h n ic a l a d v ic e , train in g a s s i s t an ce b y C iv il S e r v ic e 68 E . O. 10988 (in c lu d in g S tan d ard s and C od e) E .O . 11491 C hanges C o m m is sio n . CSC r e v ie w s p r o g r a m o p e r a t i o n s , r e p o r t s to P resid en t. (12) d e sig n a te - to a d m i n i s t e r O r d e r , d e cid e m a jo r p o lic y is s u e s , p r e s c r ib e re g u la tio n s , r e p o r t to P r e s i d e n t ; and - to c o n s i d e r a p p e a l s f r o m d e c is io n s of A s sista n t S e c reta ry of L a b o r, certa in n eg otia b ility is s u e s , e x c e p tio n s to a r b it r a t io n a w a r d s , oth er a p p ro p ria te m a tte rs. (S e c tio n 4) P a r t ie s m a y a g r e e on t e c h n i q u e s t o a s s i s t in r e s o lv i n g i m p a s s e s (6 b ), but a r b itr a tio n m a y not be used. (8b) E sta b lish e d F e d e r a l S e r v S e t s up h i g h - l e v e l g o v e r n m e n t a l i c e I m p a s s e s P a n e l o f at p an el (P r e s id e n tia l a p p o in te e s) le a s t 3 m e m b e r s a p p oin ted to a s s i s t p a r t i e s to r e s o l v e n e by P re s id e n t. P an el has g o tia tio n im p a s s e s o r , if they in d e p e n d e n t a u t h o r it y b u t is a r e u n a b le to w ith its a s s i s t org a n iza tio n a lly loca ted a n c e , to i t s e l f r e s o l v e i m p a s s e w ith in C o u n c il f o r s e r v i c e s (fin a l d e c i s i o n ) . and s ta ff a s s i s t a n c e . A u t h o r i z e d to take a c t io n n e c e s s a r y to s e tt le i m p a s s e s o n s u b s t a n t i v e i s s u e s in n e g o tia tio n s. (5 ) P a r t i e s m a y a g r e e on te c h n iq u e s to a s s i s t in r e s o l v i n g i m p a s s e s (1 1 a ), but a r b it r a tio n o r t h i r d - p a r t y fa c t fin d in g w ith r e co m m e n d a tio n s m a y not be u se d e x ce p t when e x p r e s s ly a u th orized by P a n el. (1 7 ) D epartm ent of L abor a s A s sista n t S e c r e ta r y of L a b or-M a n a g em en t R e la s i s t s a g e n c i e s in r e s o l v t io n s d e c i d e s u nit and r e p ing u nit and r e p r e s e n t a tion d is p u te s . Is s u e s resen ta tion d isp u tes, s u p e r v i s e s e l e c t i o n s and ru le s, a rra n g e s fo r ad v is o r y a rb itra tion . C osts c e r t ifie s re su lts , d e c id e s d isp u te s on e lig ib ilit y f o r r e im b u r s e d by a g e n cie s. "n a tion a l con su lta tion ( 11) r ig h ts , " d e c id e s u n fa ir la b o r p r a c t ic e com p la in ts and S ta n d a rd s o f C o n d u ct c a s e s . C o sts not r e im b u rse d . M ay req u ire a g e n c y o r u n io n to c e a s e o r d e s is t f r o m v io la tio n o f th e O r d e r o n t h e s e m a t t e r s and to take a p p r o p r i ate a f f i r m a t i v e a c tio n . T r a n s f e r s f r o m a g e n c y h e a d s to A s sista n t S e c r e ta r y of L a b or a u th o rity to d e c id e th e s e s o ca lle d "a d m in is tr a t iv e " d isp u tes, s u b je c t to a p p e a l to C o u n c il , and to o r d e r and s u p e r v i s e e l e c t i o n s . S e rv ice s p ro v id e d by L a b or w ith ou t r e im b u r s e m e n t . ( 6) 69 E . O. 10988 (in clu d in g S ta n d a rd s and C o d e ) E .O . Changes 11491 R e co g n itio n R e c o g n i t io n to b e a c c o r d e d to q u a lifie d o r g a n iz a t io n s bu t n ot to o r g a n iz a tio n w h ich agen cy head d eterm in es, a f t e r c o n s u lt a t io n w ith S e c r e t a r y o f L a b o r , is s u b je c t to c o r r u p t o r u n d e m o cra tic in flu en ces. ( 3 a , S t a n d a r d s 2. 3) S i m i l a r (7 a , 1 8a), e x c e p t A ssista n t S e cre ta ry of L a b or d e cid e s w h eth er o r g a n iz a tio n is s u b je c t to c o r r u p t o r u n d e m o c r a tic in flu e n ce s . (6a, 4) T r a n s f e r s f r o m a g e n c y h e a d s to A ssista n t S e cre ta ry of L a b o r a u t h o r it y to d i s q u a l i f y o r g a n i z a tion f r o m r e c o g n it io n b e c a u s e of c o r r u p t o r u n d e m o c r a tic in flu ences. N ew d e te rm in a tio n of rig h t to e x c l u s i v e r e c o g n it i o n in u n it n o t r e q u i r e d w i t h i n 12 m o n t h s after p r e v io u s d e te r m in a tion . (3b) S im ila r, excep t s p e cifie s new d ete rm in a tio n not r e q u i r e d in u n i t o r s u b d i v i s i o n t h e r e o f w i t h i n 12 m on th s a fte r p r io r v a lid e l e c t i o n w ith r e s p e c t to u nit. (7 c ) A d d s p o l i c y that 1 2 - m o n t h b a r on new r e p re s e n ta tio n d e c is io n s w ith r e s p e c t to u nit a l s o a p p lie s to s u b d iv is i o n s o f u n it, th at b a r a p p lie s on ly a ft e r d e te r m in a tio n b a s e d upon v a lid e le ctio n . R e co g n itio n d o e s not p r e v e n t in d iv id u a l e m p l o y e e f r o m t a k i n g up m atters of p erson a l con c e r n w ith a g e n c y m a n agem ent, o r fr o m fre e ch oice of rep resen ta tiv e in g r i e v a n c e o r a p p e a l. ( 3 c 1) Sam e. (7 cl) None. R e co g n itio n d o e s not p r e v e n t con su lta tion o r d e a lin g s w ith v e t e r a n s o r g a n iz a t i o n s o r w ith re lig io u s, so cia l, or o th er o rg a n iza tio n s (w ith c e r t a i n r e s t r i c tion s). ( 3 c 2 , 3) Sam e. (7 d 2 , S u p e r v is o r org a n iza tio n s m a y be re co g n iz e d as "e m p lo y e e o rg a n iza t i o n s . " ( 1 , 2) P ro h ib ite d . (2 e) S e p a r a te s y s te m fo r co m m u n ica tion and c o n s u lta tio n w ith a s s o cia tion s o f s u p e r v is o r s re q u ire d . (7 e) R e la t io n s h ip s w ith s u p e r v i s o r o r g a n iz a t i o n s to b e e s t a b l is h e d o u t s id e th e f r a m e w o r k o f l a b o r m a n a g em en t rela tion s. In form a l re co g n itio n a c c o r d e d w hen org a n iza tio n not e lig ib le fo r fo r m a l o r e x c l u s i v e . R ig h t to p r e sent v ie w s of m e m b e r s . (4 ) I n f o r m a l r e c o g n i t i o n n o t to be a ccord ed . (7f) E x is tin g In fo r m a l r e c o g n itio n s to be te rm in a te d 6 m on th s f r o m e ff e c t iv e date o f O r d e r . (24b) E lim in a te s In fo rm a l re co g n itio n . F o r m a l re co g n itio n a c co rd e d when o rg a n iz a t i o n h a s 10% m e m b e r s h i p F o r m a l r e c o g n i t i o n n ot to be accorded. (8a) E x i s t in g F o r m a l r e c o g n i t i o n s to E lim in a te s F o r m a l re co g n itio n . 70 3) N one. E . O. 10988 (in clu d in g S tan d ard s and C od e) in u n i t . R i g h t t o b e c o n su lte d on b e h a lf o f m e m b e r s in unit. (N o t a u th o rize d w h ere e x clu siv e r e c o g n it io n is h e ld by a n oth er o rg a n iza tio n . ) E .O . 1 1 491 C hanges b e term in a ted u nder re g u la tion s w h ich w ill be is s u e d b y C o u n c il w ith in y e a r f r o m date o f O r d e r . (2 4 c) (5 ) N a tion a l F o r m a l r e c o g n it io n n o t to b e a c c o r d e d . (8 a ) E x is tin g N a tion a l F o r m a l r e c o g n i t i o n s to b e t e r m i n ated as a b o v e . (2 4 c) N a tio n a l C o n s u lt a tio n R ig h ts a c c o r d e d b a s e d upon c r i t e r i a to b e e s t a b lis h e d b y C o u n c i l . R i g h t to c o m m e n t on p r o p o s e d su b sta n tiv e c h a n g e s in p e r s o n n e l p o l i c i e s , t o s u g g e s t c h a n g e s in p e r s o n n e l p o l i c i e s , to c o n f e r in p e r s o n o n s u c h p o l i c i e s a n d p r e s e n t v i e w s in w ritin g . N C R not a c c o r d e d f o r u nit c o v e r e d b y N a t io n a l E x c lu s iv e re co g n itio n . O r g a n iz a tio n m a y a p p e a l to A s sista n t S e c r e ta r y of L a b o r a g e n cy d e c is io n not to g r a n t N C R . (9 ) E lim in a t e s N a tion a l F o r m a l r e c o g n itio n . S u b stitu tes N a tio n a l C o n s u lta tio n R ig h ts w ith s u b je c t m a t te r lim it e d to p e r s o n n e l p o lic y , nature o f "c o n s u lta tio n " m o r e c le a r ly d efin ed , s p e c ific c r i t e r i a f o r g ra n tin g to b e p r o v id e d , rig h t o f a p p e a l w h en N C R not gran ted. E x c lu siv e re cog n ition a c c o r d e d when o r g a n iz a t i o n h a s 10% m e m b e r sh ip and is d e s ig n a t e d o r s e le cte d by m a jo rity of e m p l o y e e s in a p p r o p r i a t e unit. (6 a ) E l e c t i o n g e n e r a lly v a lid on ly w hen v o t e s a r e c a s t b y 60% o f e m p l o y e e s p r e s e n t and e lig ib le to v ote. (A d m in is t r a t iv e ru le . ) E x c lu s iv e re co g n itio n a c c o r d e d o rg a n iza tio n s e le c te d in s e c r e t b a l l o t e l e c t i o n b y m a jo rity of e m p loy ees. (10a) E n d s g ra n tin g o f E x c lu s iv e r e c o g n itio n on b a s is o f m e m b e r sh ip , p e titio n , a u th o r iz a tio n c a r d s . E l e c t i o n r e q u i r e d in a l l c a s e s . D eletes re q u ire m e n t of 10% m e m b e r s h i p . D e l e t e s 6 0 % r e p r e s e n t a t iv e v ote ru le. "A p p r o p r ia te u nit" d e t e r m in e d on in s t a lla t io n , c r a ft , fu n ctio n a l o r o th e r b a s is w h ich w ill en su re com m u n ity of in te re s t a m o n g e m p l o y e e s in unit. M ay not b e b a s e d s o le ly on exten t o f o r g a n iz a tio n . M a y not in clu d e m a n a g e ria l e x e c u tiv e s , n on cle rica l p erson n el w ork - S i m i l a r , e x c e p t u nit is to e n su re com m u n ity of in te r est am ong em p loyees co n c e r n e d and to p r o m o t e e f f e c t iv e d e a lin g s and e f f i cie n cy of agen cy op era tion s. A l s o u nit m a y n ot in c lu d e s u p e r v i s o r s (w i t h m i n o r ex cep tio n s), o r guards t o g e t h e r w ith o th e r e m p lo y e e s. (1 0 b ) S u p e r v i s o r s A dds co n sid e ra tio n of e ffe ctiv e d e a lin g s and e f f i c i e n c y o f a g e n c y o p e r a tio n s to e m p lo y e e c o m m u n ity o f i n t e r e s t as b a s i s f o r d e t e r m in in g a p p r o p r ia t e unit. E x clu d e s s u p e r v is o r s f r o m new u nits and w ith in y e a r , f r o m e x istin g u n its. S e p a ra te s gu a rd s f r o m o t h e r e m p l o y e e s in n e w units e s t a b lis h e d . N a tion a l F o r m a l r e c o g n ition a c c o r d e d when a g e n c y h e a d , in h i s s o l e ju d g m e n t, d e te r m in e s o rg a n iza tio n has s u ffi cien t n u m b er of lo c a ls o r m e m b e r s throughout a g e n c y . R ig h t to b e c o n s u lte d on b e h a lf o f m e m b e r s on p e r s o n n e l p o li c i e s and p r a c t i c e s and m a tte rs a ffectin g w o r k in g c o n d i t i o n s , t o d i s c u s s s u c h m a t t e r s and p r e s e n t v i e w s in w r i t i n g . (5 ) 71 E . O. 10988 (in clu d in g S tan d ard s and C od e) E .O . 11491 Changes e r s , s u p e r v i s o r s w ith em p lo y e e s su p erv ised , p r o f e s s i o n a l s w ith n o n p r o fe s s io n a ls u n less p r o fe s s io n a ls vote fo r in clu s io n . (6 a ) to b e e x c l u d e d f r o m e x i s t i n g u nits w ith in y e a r f r o m e f f e c t i v e date o f O r d e r . (24d) No p rov ision . E x c l u s i v e r e c o g n i t i o n to r e p r e s e n t u nit o f g u a r d s n ot to b e a c c o r d e d to o r g a n i z a tion w h ich a d m its o th e r e m p lo y e e s to m e m b e r s h i p o r is a ff ili a t e d w ith s u c h o r g a n iz a tio n . (10c) E nds gra n tin g o f r e p r e s e n ta tio n rig h ts f o r g u a r d s to o r g a n i z a tion s w h ich r e p r e s e n t o th e r e m p lo y e e s. C u rren t rep resen ta tion rig h ts n ot a ff e c t e d . E x c lu s iv e re co g n itio n e s ta b lis h e s rig h t o f o r g a n i z a t i o n to a c t f o r a n d n e g o tia te a g r e e m e n t s c o v e r i n g a l l e m p l o y e e s in u nit, o b li g a t io n to r e p r e sen t in t e r e s t s o f a ll e m p lo y e e s w ith ou t d i s c r i m i n a t i o n o r r e g a r d to m e m b e r s h ip , op p ortu n ity to b e r e p r e s e n t e d at d i s cu ssio n s betw een m a n a g e m e n t and e m p lo y e e s o r em p loyee re p re se n ta tives co n ce rn in g g r ie v an ces, p erson n el p o licie s and p r a c t i c e s , o th e r m a tte r s a ffe ctin g w o r k in g c o n d i t i o n s i n u n i t . (6b) S a m e , e x c e p t o p p o rtu n ity to b e r e p r e s e n t e d at " d i s c u s s i o n s " is s p e c i f i e d as f o r m a l d i s c u s s i o n s . (1 0 e) M in o r c la rifica tio n . A g e n c y and o r g a n iz a tio n r e q u i r e d to m e e t and n e gotia te on p e r s o n n e l p o l i c y and p r a c t i c e s and m a tte rs a ffectin g w o r k in g c o n d i t i o n s , s u b j e c t to la w and p o l i c y r e q u i r e m en ts. (6b) S im ila r, ex cep t re q u ire s n eg otia tion "in g ood fa ith " and m a k e s n e g o tia tio n su b j e c t to a p p li c a b le la w s and r e g u la tio n s , in clu d in g p o l i c i e s s e t f o r t h in t h e F e d e r a l P e r s o n n e l M a n u a l, p u b l i s h e d a g e n c y p o l i c i e s and p r o c e d u r e s , a n a tion a l o r oth er con trollin g a g r e e m e n t a t a h i g h e r l e v e l in th e a g e n c y , a n d t h e O rder. (11 a) A d d s r e q u i r e m e n t that b o th p a r t i e s n e g o t ia t e in g o o d fa ith . C l a r i f i e s f r a m e w o r k o f la w and p o l i c y w ith in w h ic h n e g o tia t io n takes p la c e . O b lig a tio n to c o n s u lt o r n e g o tia te d o e s not in clu d e a g e n c y 's m i s s i o n , bu dget, o r g a n iz a t io n , and a s s ig n - S im ila r, excep t "a s s ig n m e n t o f p e r s o n n e l " is r e p la c e d by "th e n u m b e r of e m p l o y e e s ; a n d th e n u m b e r s , . C l a r i f i e s e x c l u s i o n s f r o m th e s c o p e o f n e g o tia t io n s and adds new one: "in tern a l se cu rity p ra ctices. " A greem en ts 72 E . O. 10988 (in clu d in g S tan d ard s and C od e) E .O . C hanges 11491 m en t of p erson n el, te ch n o l o g y o f p e r f o r m i n g th e w ork. (6b) ty p e s , and g r a d e s o f p o s i tion s o r e m p lo y e e s a s s ig n e d to an o r g a n iz a t i o n a l unit, w o rk p r o je c t o r tou r of d u ty ;" and a d d ition a l a r e a "in tern a l se cu rity p r a c tic e s " is e x c lu d e d . M a y n e g o tia te a p p ro p ria te a rra n g e m e n ts fo r e m p loy ee s a d v e rse ly a f fe cte d by im p a ct o f r e a lig n m ent of w ork fo r c e s o r te ch n o lo g ic a l change, (lib ) No p ro v isio n . I s s u e s a s to w h e t h e r a p r o p o s a l is n ot n e g o tia b le b e c a u s e c o n t r a r y to l a w , r e g u la tion , c o n t r o llin g a g r e e m e n t , o r the O r d e r a r e to b e r e s o l v e d in a s p e c i f i e d m anner— by agreem en t p r o ce d u re s, by agency head or b y C o u n c il, d ep en d in g upon circu m s ta n ce s. (1 1 c) A d d s r u le s f o r se ttlin g d is p u te s on n e g o t ia b i lit y i s s u e s . R ig h t o f a p p e a l to C o u n cil on is s u e s in v o lv in g la w , r e g u la tio n s o f a u t h o r i t i e s o u t s id e th e a g e n c y , o r the O r d e r . A p p lica tio n of a g re e m e n t p r o v i s i o n s i s s u b j e c t to e x is t in g o r fu tu re la w s , r e g u la tio n s , and F P M p o licie s. (7 ) S i m i l a r , e x c e p t an a g r e e m e n t is n ot s u b je c t to fu tu re a g e n cy re g u la tio n s u n le ss th ey a r e r e q u ir e d b y la w , b y r e g u l a t i o n s o f an a u t h o r ity o u t s id e the a g e n c y , o r a re a u th orized by c o n t r o l lin g a g r e e m e n t . (12a) A d d s p o l i c y to p r o t e c t an a g r e e m e n t, d u rin g its t e r m , f r o m e f f e c t o f c h a n g e in a g e n c y r e g u l a t i o n s u n l e s s th e c h a n g e is r e q u ir e d by o u tsid e au th ority . A gency m anagem ent r e ta in s r ig h t to d i r e c t e m p l o y e e s ; to h i r e , p r o m o te , a s s ig n , retain , d i s c i p l i n e o r la y o ff ; to m a i n t a i n e f f i c i e n c y ; to d eterm in e m eth od s, m e a n s and p e r s o n n e l f o r d o in g the w o r k ; to tak e n e c e s s a r y a c t i o n in em ergency. (7) Sam e. N one. No p ro v isio n . A g r e e m e n t m a y not re q u ire an e m p lo y e e to b e c o m e o r r e m a i n a u n ion m e m b e r , o r to p a y m o n e y to a u n ion e x c e p t as he v o lu n t a r il y a u th o rize s fo r p aym en t of du es th rou gh p a y r o ll d e d u ction s. (12c) P ro h ib its a g re e m e n ts p ro v id in g f o r union sh o p , a g e n c y s h o p , o r m a in ten a n ce of m e m b e r s h ip . A g r e e m e n t s m a y con ta in g rie v a n ce p r o c e d u r e s w h ich m e e t CSC sta n d - A g r e e m e n t s m a y con ta in e m p lo y e e g rie v a n ce p r o c e d u re s w h ich m e e t CSC r e - P e r m it s elim in a tio n o f dual " a g e n c y s y s t e m " and " n e g o tia ted s y s t e m " fo r r e s o lv in g (12b) 73 E . O. 10988 (in clu d in g S ta n d a rd s and C od e) E .O . 11491 Changes a r d s and do not im p a ir rig h ts o t h e r w is e a v a il a b le to e m p l o y e e s . A d v is o r y a rb itra tion m ay b e u s e d w ith a p p r o v a l o f u nion and e m p l o y e e s c o n c e r n e d . A r b it r a t o r 's re c o m m e n d a tio n su b je ct to d e c is i o n o f a g e n c y head. (8 ) q u ire m e n ts, m ay m ake t h e m the o n ly g r i e v a n c e p r o c e d u r e s a v a ila b le to e m p l o y e e s in the u n it, and m a y p r o v id e fo r a rb itra tio n (w i t h u n i o n a n d e m p l o y e e c o n s e n t and c o s t - s h a r i n g b y u n ion and a g e n c y ). A g r e e m e n ts m a y a ls o con ta in p ro ce d u re s fo r co n sid e ra tion o f d isp u te s o v e r in t e r p r e t a t io n and a p p lic a t io n o f a g r e e m e n t , in clu d in g a r b i t r a t io n o f su ch d is p u t e s w ith c o n s e n t o f th e u n io n ( c o s t s h a r in g b y u n ion and agen cy). U n d er both e m p lo y e e g r i e v a n c e p r o c e d u r e and a g r e e m e n t d isp u te p r o c e d u r e e ith er p a rty m a y file e x c e p tio n s to a r b i t r a t o r 's a w a r d w ith th e C o u n c il , s u b j e c t to its r e g u la t i o n s . ( 1 3 , 14) e m p lo y e e g r ie v a n c e s . E lim in a te s " a d v is o r y " a rb itra tio n , p r o v id in g l i m i t e d a p p e a l to the C o u n c i l fr o m a rb itra tio n a w a rd s. A u th o riz e s p r o c e d u r e s fo r r e s o lv in g d is p u t e s a r i s i n g in a d m i n i s tr a tio n o f a g r e e m e n t s , in clu d in g u se of a rb itra tio n . R e q u ire s th at c o s t s o f a r b i t r a t o r b e s h a r e d eq u a lly . B a s ic o r in itia l a g r e e m ent m ust be approved b y a g e n c y h e a d o r h is d e sig n e e . (7 ) A ll a g re e m e n ts a re su b je ct to a p p r o v a l b y a g e n c y h e a d o r h is d e s ig n e e . A g r e e m e n t m u s t b e a p p r o v e d i f it c o n f o r m s w ith la w , p u b lis h e d a g e n c y p o l i c i e s and r e g u la tion s (u n le ss a g e n c y has g ra n te d e x c e p tio n ), and r e g u la tio n s o f o th e r a p p r o p r ia te a u th orities. L o c a l a g r e e m e n t s u b j e c t to c o n t r o l l i n g a g r e e m e n t at h i g h e r l e v e l is a p p r o v e d u n d e r p r o c e d u res of co n tro llin g a g r e e m en t. (15) L im its a gen cy h ea d q u a rters au t h o r it y to d i s a p p r o v e l o c a l l y n e gotia ted a g r e e m e n ts . D is a p p ro v a l m u st be b a s e d s o le ly upon c o n f l i c t w ith a p p li c a b le la w , p o l i c y o r re g u la tio n s, not " s e c o n d g u e s s in g " on a p p r o p r ia t e n e s s o r d e sira b ility of a g re em e n t p r o v isio n s. N e g o t ia tio n D is p u te s and I m p a s s e s No p ro v isio n . F e d e r a l M e d ia tio n and C o n c ilia t io n S e r v i c e is d ir e c t e d to a s s i s t p a r t i e s in r e s o l v ing n e g o t ia t io n d i s p u t e s , s u b j e c t to its r u l e s . (16) A u t h o r iz e s fu ll F M C S s e r v i c e s to a s s i s t p a r t i e s in n e g o t ia t in g agreem en ts. No p rov ision . If F M C S o r o t h e r t h i r d p a r ty m e d ia tio n fa ils to r e s o lv e a n e g o tia tio n im p a s s e eith er p a rty m a y re q u e st the F e d e r a l S e r v i c e . I m p a s s e s P a n e l to c o n s i d e r th e m a t t e r . P a n e l m a y , in A d d s F S I P s e r v i c e to b r i n g about fin a l r e s o lu tio n of n e g o tia t io n im p a s s e s if m e d ia t io n is u n s u c c e s s f u l . 74 E . O . 10988 (in clu d in g S tan d ard s and C od e) E .O . 11491 Changes its d i s c r e t i o n and u n d e r its r u l e s , c o n s i d e r the i m passe; m ay recom m end p r o c e d u r e s to the p a r t i e s fo r re so lu tio n of im p a s s e , o r s e t t le the i m p a s s e i t s e l f . A rb itra tio n o r th ird -p a rty fa c t fin d in g w ith r e c o m m en d a tion s m a y be u sed by th e p a r t i e s o n l y w h e n a u t h o r i z e d o r d i r e c t e d b y th e P an el. (1 7 ) C o n d u ct o f L a b o r O rg a n iz ations and M a n a g e m e n t S tan dards of C ondu ct fo r E m p lo y e e O rg a n iza tion s re q u ire re c o g n iz e d o r g a n iz a t io n s to s u b s c r i b e and a d h e r e to in te rn a l d em ocra tic p ra ctice s, ex clu d e fr o m o ffic e p e r s o n s a ffilia te d w ith C o m m u n ist, to ta lita ria n o r co r r u p t in flu e n ce s, p r o h ib it o f f i c e r s and agen ts f r o m h a v in g b u s in e s s o r fin a n cia l c o n flic ts of in t e r e s t , m a in ta in f i s c a l in tegrity. A g e n cy m u st den y, suspend o r w ith d r a w r e c o g n i t i o n i f it d e te r m in e s , a fter h e a r in g a n d c o n s u l t a t i o n w ith S e c r e t a r y o f L a b o r , th a t o rg a n iza tio n s d oes not m e e t th e S t a n d a r d s . S a m e (18a, b) e x c e p t o r g a n iza tion s a ls o re q u ir e d to f i l e fin a n c i a l and o t h e r re p o rts, p ro v id e fo r bon d in g o f o r g a n i z a t i o n o f f i c i a l s and e m p l o y e e s , m e e t t r u s t e e sh ip and e le c t io n sta n d a rd s . (1 8 c) A s s is ta n t S e c retary of L abor p r e s c r ib e s re g u la tio n s , d e cid e s a lle g e d v iola tion s. ( 1 8 d , 6) A d d s L a n d r u m -G r iffin type f i n a n cia l d i s c l o s u r e and o th e r r e q u ire m e n ts. T ra n sfe rs fro m a g e n c i e s to A s s i s t a n t S e c r e t a r y of L a b o r re sp o n sib ility fo r en forcem en t. C ode of F a ir L a b or P r a c t ic e s p ro h ib its c e r t a in u n fa ir la b o r p ra ctice s by agency m a n a g e m e n t and r e c o g n ize d o rg a n iza tio n s. U n less com p la in t of v i o l a t i o n is s u b j e c t to a v a ila b le g r ie v a n c e o r a p p e a ls p r o c e d u r e , a gen cy in v e stig a te s, trie s fo r in fo rm a l r e s o lu tion , u tiliz e s im p a r tia l p r o c e d u r e s in clu d in g h e a r in g if su b sta n tia l ca u se e sta b lish e d , d e - S am e p ro h ib ite d p r a c t ic e s fo r agen cy m an agem en t. (19a) S im i la r p r o h ib it e d p r a c t ic e s fo r la b o r o r g a n i z a t i o n s , w i t h a d d i t i o n s th a t o rg a n iza tio n m a y not c o e r c e , d i s c i p l i n e , fin e o r take o th e r e c o n o m ic sa n ctio n a g a in st a m e m b e r as pu n ish m en t fo r o r to h in d e r h is w o r k p e r fo r m a n c e o r p ro d u ctiv ity (1 9 b , 3 ), m a y n o t c o n d o n e strik e o r p ro h ib ite d p ic k e t in g a c t i v i t y b y f a i l i n g t o t a k e a f f ir m a t i v e a c t io n to p r e v e n t o r s t o p it ( 1 9 b , 4 ) m a y A d d s to l i s t o f u n fa ir l a b o r p r a c t ic e s b y o r g a n iz a tio n s and c l a r i fies certa in p ro v is io n s . T ra n s f e r s f r o m a g e n c ie s to A s s is t a n t S ecreta ry of L abor re sp o n sib il ity f o r i m p a r t i a l p r o c e d u r e s and e n fo r c e m e n t , in clu d in g a n ti s tr ik e and p ic k e tin g p r o v is i o n . 75 E . O. 10988 (in clu d in g S tan d ard s and C od e) cid e s w h eth er C ode v io la tio n o c c u r r e d , d ir e c t s a p p ro p ria te r e m e d ia l a ction by m a n agem en t o r o rg a n iza tion . E n f o r c e m e n t o f s t r ik e and p ick e tin g p ro h ib itio n not s u b je c t to i m p a r t i a l p r o ce d u re s p rov id e d fo r oth er a lle g e d v io la tio n s. E .O . 11491 Changes n o t d i s c r i m a t e in m e m b e r sh ip b e c a u s e o f s e x o r a g e ( 1 9 b , 5 ) , m a y n o t r e f u s e to c o n s u lt o r n e g o t ia t e w ith a g e n c y a s r e q u i r e d b y th e O r d e r ( 1 9 b , 6 ). U n less c o m p l a in t o f v io la t io n is s u b j e c t to an e s t a b l is h e d g r ie v a n c e o r a p p e a ls p r o c e d u r e , w hen co m p la in t not r e s o l v e d i n f o r m a l l y b y th e p a r t i e s it i s f i l e d w i t h A s sista n t S e c r e t a r y of L a b o r w h o d e c id e s c a s e and d i r e c ts a p p ro p ria te re m e d ia l a ction by a gen cy o r o r g a n i za tion . ( 1 9 d , 6) M iscella n e ou s P ro v is io n s Sam e. O fficia lly req u ested o r a p p ro v e d co n su lta tio n s and m e e t in g s b e tw e e n m a n a g e m e n t and o r g a n iza tion sh a ll be c o n d u cte d on o f f ic ia l tim e w h en ev er p ra ctica b le . (9 ) No p ro v isio n . D e le te s p o l i c y on o f f ic ia l tim e fo r con su lta tion s o r m e e tin g s requ ested o r approved by m an agem en t. A g e n c y m a y r e q u i r e th a t n e g o tia tio n s be con d u cted d u rin g n o n -d u ty h o u r s o f org a n iza tio n r e p r e s e n ta tiv es. (9) O rg a n iza tion r e p r e s e n ta tiv e s sh a ll n ot be on o ff ic ia l tim e w h en n e g o tia tin g a g r e e m e n t w ith a g e n c y m a n a g e m ent. (20) P r o h ib its a u th orizin g o ffic ia l tim e f o r e m p lo y e e s a ctin g as o rg a n iza tio n re p r e s e n ta tiv e s in n e g o t i a t i o n s w i t h m a n a g e m en t. No p ro v isio n . (E m p lo y e e v olu n ta ry a llotm en ts fo r p a y m e n t o f d u es to o r g a n iza tion s e lig ib le f o r fo r m a l o r e x clu siv e r e c o g n itio n a r e m a d e p u r s u ant to a g e n c y -o r g a n iz a t io n a g r e e m e n t s b a s e d upon CSC reg u la tion s. P o lic y e sta b lish e d by P r e s id e n t 's M e m o r a n d u m of M ay 21, 1 9 6 3 .) A u t h o r iz e s v olu n ta ry dues a llo tm e n ts b y o r g a n iz a t io n 's m e m b e r s in u nit o f r e c o g n itio n p u r s u a n t to a g e n c y a g r e e m e n t w ith la b o r o r g a n iz a tio n w h ich h o ld s fo r m a l o r e x clu s iv e reco g n itio n , s u b j e c t to C S C r e g u l a t i o n s . (21a) R e s t a t e s p o l i c y on v o lu n t a r y dues a llo tm e n ts. L im its a u th or iz a t io n o f a llo t m e n t s to m e m b e r s in u n its f o r w h i c h l a b o r o r g a n i za tio n h o ld s f o r m a l o r e x c lu s iv e r e c o g n it i o n and h a s a llo t m e n t a g r e e m e n t w ith a g e n c y . 76 (20) No change. S olicita tion of m e m b e r sh ip s, d u e s, o r oth er in te rn a l o rg a n iz a tio n b u s in e s s sh a ll b e c o n d u c te d d u r in g non-dutyh ou rs of em p loyees concerned. (9 ) E . O. 10988 (in clu d in g S tan d ard s and C od e) E .O . 11491 C hanges N o p rov ision . A u th o r iz e s v olu n ta ry dues a l l o t m e n t s p u r s u a n t to a g e n c y a g r e e m e n t s w ith a sso cia tio n s of m an agem en t officia ls o r su p e rv is o rs , s u b je c t to C S C r e g u la t i o n s . (2 1 b , 7e) A dd s a u th oriza tion fo r dues a l lo t m e n t s to m a n a g e r i a l and s u p e r v is o r y o rg a n iz a tio n s. A ll e m p l o y e e s in c o m p e t itiv e c iv il s e r v i c e h ave s a m e r i g h t s in a d v e r s e a ctio n c a s e s as p e r f e r en ce e lig ib le s under s e c t i o n 14, V e t e r a n s * P r e f e r e n c e A c t . R ig h t o f a p p e a l to C iv il S e r v i c e C o m m is s io n . CSC d e c i s io n bin d in g u pon a g en cies. (14) Sam e. N o change. A g e n c ie s iss u e p o lic ie s and re g u la tio n s f o r i m p lem en ta tion o f O r d e r , a ft e r c o n s u lta tio n w ith a p p ro p ria te o r g a n iz a tion s. (10) S im ila r. by A p ril O r d e r d oes not p re c lu d e r e n e w a l o r con tin u a tion o f la w fu l a g r e e m e n t s b e t w e e n a g e n c i e s and o rg a n iza tio n s en tered i n t o p r i o r t o J a n u a r y 17, 1962. (15) Sam e. E xcep t w h ere oth erw ise re q u ire d by e sta b lish ed p ra ctice , p rio r a g re e m en t o r sp e cia l c ir c u m s t a n c e s , n o u nit s h a ll b e esta b lish e d fo r e x clu s iv e re co g n itio n w h ich in c l u d e s (1 ) a n y m a n a g e r i a l e x e c u t i v e . . . (3 ) b o t h s u p e r v i s o r s . . . a n d th e e m p l o y e e s w h o m they s u p e r v i s e . . . (6a) E x c e p t i o n f r o m u nit c r i t e r i a li m it e d to units o f m a n a g e m ent o fficia ls o r s u p e rv i s o rs re p re sen te d by la b or o rg a n iz a tio n s w h ich tr a d i tion a lly r e p r e s e n t th ese o f f i c i a l s in p r i v a t e i n d u s t r y and h o ld e x c lu s iv e r e c o g n i tion f o r s u ch units on date o f the O r d e r . (24a2) C on tin u ed " e s t a b lis h e d p r a c t i c e " e x c e p tio n f o r m a n a g e r ia l and su p e rv iso ry rep resen ta tion by l a b o r o r g a n i z a t i o n s in m a r i t i m e in d u stry w h ich r e p r e s e n t o f f i c e r s and c r e w s on v e s s e l s . A p p l ic a b le to M E B A , M M P , N M U , SIU , and U T W . No p ro v isio n . E xistin g in fo rm a l r e c o g n i t i o n s t e r m i n a t e o n J u l y 1, 1970. (2 4 b ) E lim in a t e s a ll in f o r m a l r e c o g n i tion 6 m on th s f r o m e ff e c t iv e d a te o f th e O r d e r . No p ro v isio n . E xistin g fo r m a l r e c o g n i tion s te r m in a te p u rsu a n t to C o u n c il r e g u la tio n s to b e i s s u e d b e f o r e O c t o b e r 1, 1970. (24c) D i r e c t s c o u n c il to p r o v i d e r e g u la tio n s w ith in 1 y e a r f r o m i s s u a n c e o f the O r d e r w h ic h w ill e lim in a te a ll f o r m a l r e c o g n it io n . (22) A c t io n to b e tak en 1, 1 9 7 0 . (23) (2 4 a l) A g e n c y im p le m e n tin g p o lic ie s r e q u i r e d w ith in 3 m o n th s f r o m e f f e c t iv e date o f O r d e r . C on tin u es " g r a n d fa t h e r " p r o v i sio n of E . O. 10988. C u rre n tly a p p lic a b le to T V A and c e r t a in a g r e e m e n t s in I n t e r i o r a n d T ra n sp orta tion . 77 E . O. 10988 (in clu d in g S ta n d a rd s and C od e) E .O . Changes 11491 No p rov ision . A l l s u p e r v i s o r s o t h e r th a n th ose ex ce p te d by section 24 (a ) a r e e x c lu d e d f r o m units o f f o r m a l and e x c l u s iv e r e c o g n it io n and c o v e r age by n eg otia ted a g r e e m e n ts b e f o r e D e c e m b e r 31, 1970. (24d) E lim in a te s a ll r e p r e s e n t a t io n o f s u p e r v is o r s by la b o r o r g a n iz a tio n s w ith in 1 y e a r f r o m e f f e c tiv e d a te o f the O r d e r ( e x c e p t s u p e r v is o r y e m p lo y e e s on v e s s e l s - c u r r e n t l y 24 u n i t s ) . CSC p r o v id e s a s s is ta n ce to a g e n c i e s and o r g a n i z a t i o n s in c a r r y i n g ou t o b je ctiv e s of O rd e r. F u rn is h e s g u id a n ce, t e c h n ic a l a d v ic e , train in g a s s is t a n c e to a g e n c ie s . S tu d ies and r e v ie w s p r o gram , recom m en d s im p r o v e m e n t s t o th e P re sid e n t. (12) CSC p r o v id e s g u id a n c e ,te c h n ic a l a d v ic e and in fo rm a tio n , a n d t r a i n i n g a s s i s t a n c e to a g e n c ie s . R eview s op era tion o f p r o g r a m to a s s i s t in a s s u r i n g a d h e r e n c e t o it s p r o v is i o n s and m e r i t s y s t e m r e q u ire m e n ts. F r o m tim e -to t i m e r e p o r t s to C o u n c il on s ta t e o f th e p r o g r a m an d r e c o m m e n d s im p ro v e m e n ts .(2 5 a ) D e le te s CSC o v e r a ll p r o g r a m fu n c t io n s ( i n c o r p o r a t e d in to f u n c t i o n s a s s i g n e d t o th e C o u n c il). A d d s r e v ie w and e v a lu a tion of p r o g r a m o p e r a tio n s , w ith r e p o r t s and r e c o m m e n N o p rov ision . D e p a r t m e n t o f L a b o r and C iv il S e r v ic e C o m m is s io n to c o l l e c t and d is s e m in a t e p r o g r a m i n f o r m a t i o n to a g e n c i e s , o r g a n iz a t io n s and th e p u b l i c . (2 5 b ) A dds re sp o n sib ility fo r L a b or and C SC to p u b lic i z e i n f o r m a tion n e e d e d b y a g e n c ie s , o r g a n iz a t i o n s and the p u b l i c . O r d e r e f f e c t i v e J a n u a r y 1, 1 9 7 0 , e x c e p t s e c t i o n s 7(f) and 8 w h ich a r e e ffe c t iv e im m e d ia te ly . (2 6 ) P r o v id e s about 3 m on th s " g e t r e a d y " t i m e to s t a f f and o r g a n iz e the C o u n c i l , the P a n e l , a n d th e A s s i s t a n t S e c r e t a r y o f L a b o r fu n ction s. A g e n c ie s d is co n tin u e g ra n tin g n ew in fo r m a l and f o r m a l r e c o g n i t i o n s i m m e d ia tely upon is s u a n c e o f O r d e r . O rd e r effe ctiv e a r y 17, 1962. Janu d a tio n s to C o u n c il. 78 * U .S . G O V E R N M E N T P R IN T IN G O F F IC E : 1 9 7 0 O — 3 8 8 - Z 7 4 U.S. DEPARTMENT OF LABOR BUREAU OF LABOR STATISTICS WASHINGTON, D.C. 20212 O F F IC IA L BUSINESS POSTAGE AND FEES PAID U.S. D E PAR TM E N T OF LABOR T H IR D C LA S S M A IL
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