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Negotiation Impasse, 

Grievance, and Arbitration 

in Federal Agreements__

BULLETIN 1661

U.S. DEPARTMENT OF LABOR

bureau of labor statistics Dayton & Montgomery •

Public Library

AUG 1 7 1 9 7 0

DOCUMENT COLLECTION

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Federal Reserve Bank of St. Louis
Negotiation Impasse, 

Grievance, and Arbitration 

in Federal Agreements__

BULLETIN 1661

U. S. DEPARTMENT OF LABOR 

George P. Shultz, Secretary

BUREAU OF LABOR STATISTICS 

Geoffrey H. Moore, Commissioner

1970 W

T32L'

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Preface

Since the issuance of Executive Order 10988 in 1962, union 

m em bership among F ederal em ployees has increased m arkedly 

and has been accom p an ied by a growth in co lle ctiv e bargaining 

a greem en ts cov erin g a va riety of p erson n el p o licie s and p r a c ­

t i c e s . B e c a u s e of the g row in g im p o rta n ce of e m p lo y e e - m a n a g e - 

ment relations in the F ederal S ervice, the Bureau of Labor 

Statistics has established a file of Federal agreem ents as the 

basis for making collective bargaining provision studies sim ilar 

to those made as part of its regular program dealing with the 

private sector.

This bulletin m arks the Bureau's second study of F ederal 

agreem ents, but the first to provide extensive details on negotiated grievance system s, advisory arbitration, and negotiation 

im passe procedu res. These are areas comm anding the attention 

of the negotiating parties, and m ay perhaps be term ed the central 

issues in em ployee-m anagem ent relations in the public service. 

Indeed Executive Order 11491, with its apparent im pact on these 

is s u e s , n ecessita tes a rev iew , at this tim e, of existing n e g o ­

tiated system s to establish a factual b a sis that the parties m ay 

want to use in working out further refinem ents.

The agreem ent clauses quoted in this study identified by 

agency and union in an appendix, are not intended as m odel or 

recom m ended clauses. The classification and interpretation of 

clauses do not n ecessarily reflect the understanding of the parties 

who negotiated the clauses. Minor editorial changes w ere made 

where n ecessary to enhance clarity and irrelevant parts were 

omitted where feasible. Where appropriate, the finding in the 

1964 and the present study are com pared.

This bulletin was prepared in the Office of W ages and 

Industrial Relations by Ronald W. Glass under the direction of 

Leon E. Lunden in the Division of Industrial Relations.

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Contents

P age

C h a p te r I. I n t r o d u c t i o n ----------------------------------------------------------------------------------------------------------------- 1

S c o p e o f s t u d y ____________________________________________________________________________________ 1

Chapter II. A g re e m e n t im p a sse p r o c e d u r e s ------------------------------------------------------------------------- 7

F a c t fin d in g c o m m i t t e e s ------------------------------------------------------------------------------------------------------------- 8

R e f e r r a l to h ig h e r a u t h o r i t y ---------------------------------------------------------------------------------------------------- 11

M e d ia t io n __________________________________________________________________________________________ 13

C h a p t e r III. 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 --------------------------------------------------------------------- 16

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 ---------------------------------------------------------------------------------------- 16

U n io n r o l e _________________________________________________________________________________________ 17

S cope of the grieva n ce p ro ce d u re __________________________________________________________ 18

P r o c e d u r a l s t e p s ________________________________________________________________________________ 20

F a c t fin d in g and h e a r in g p a n e ls ---------------------------------------------------------------------------------------------- 21

C h a p te r IV . A d v i s o r y a r b i t r a t i o n ---------------------------------------------------------------------------------------------- 25

In it ia tio n o f a d v i s o r y a r b i t r a t i o n ------------------------------------------------------------------------------------------- 25

S e le c t i n g the a r b i t r a t o r ------------------------------------------------------------------------------------------------------------- 27

O f f i c i a l t i m e o f f ---------------------------------------------------------------------------------------------------------------------------- 29

C hapter V. G rie v a n ce , a rb itration , and negotiation im p a sse

p r o c e d u r e s in the n a t io n a l p o s t a l a g r e e m e n t --------------------------------------------------------------------- 33

N e g o t ia t i o n i m p a s s e p r o c e d u r e s ------------------------------------------------------------------------------------------- 33

G r i e v a n c e and a r b i t r a t i o n p r o c e d u r e s --------------------------------------------------------------------------------- 34

A d v i s o r y a r b i t r a t i o n ------------------------------------------------------------------------------------------------------------------- 35

S p e c i a l p r o c e d u r e s ______________________________________________________________________________ 35

P a y status -------------------------------------------------------------------------------------------------------------------------------------- 35

T ables:

F e d e ra l co lle ctiv e bargain in g a g re e m e n ts—

1. B y a g e n c y and u n io n a f f ili a t io n , 1967 and 1964 ---------------------------------------------------- 4

2. B y a g e n c y and 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 , 1967 and 1 9 6 4 ____________ 4

3. B y a g e n c y and 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 , 1967 and 1 9 6 4 ------------------------------ 5

4. B y s i z e o f b a r g a in in g u n it, 1967 and 1 9 6 4 _________________________________________ 6

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 , 1967 and 1 9 6 4 ___________________________ 6

6. P r o c e d u r e s to r e s o lv e n egotiatin g im p a s s e s in F e d e r a l c o lle c tiv e

bargaining a g reem en ts by agen cy, 1967 ------------------------------------------------------------------- 15

7. P r o v is io n s fo r n e g o tia te d g r ie v a n c e p r o c e d u r e s in F e d e r a l c o lle c t iv e

bargaining a g re e m e n ts, by agen cy, 1967 ___________________________________________ 24

8. P r o v is io n s fo r a d v is o r y a r b itra tio n o f g r ie 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 , 1967 _____________________________ 32

A ppen dixes:

A . I d e n t if ic a t i o n o f c l a u s e s ------------------------------------------------------------------------------------------------------ 36

B . 1968—70 N a t io 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 , 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 _________________________________________ 41

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 ------------------------------------------------------------------------------------------- 46

D. E xecu tive O rd er 11491: L a b o r-m a n a g e m e n t relation s in the

F e d e r a l s e r v i c e ----------------------------------------------------------------------------------------------------------------- 56

E. C om p arative an alysis: E xecutive O rd e rs 10988 and 11491 ______________________ 67

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Negotiation Impasse, Grievance, and Arbitration in Federal Agreements

Chapter I. Introduction

E xecu tive O rder 11491, "L a b o r-M a n a g e m e n t R elation s in the F e d e ra l S e r v ic e ," 

issu ed on O ctober 29, 1969, in trod u ces m a jo r changes fo r settling negotiation im p a sse s 

and em p loyee g rie v a n ce s. B rie fly , the new E xecu tive o rd e r a u th orizes n eg otia tors, 

if stalem ated, to avail th e m se lv e s of the s e r v ic e s of the F e d e ra l M ediation and C on ­

ciliation S e rv ice (FM C S) and fu rth er, should m ed iation fa il, to brin g their dispute b e ­

fo r e a new ly establish ed F e d e ra l S e rv ice Im p a sses P anel for settlem en t. The o rd e r 

a lso p erm its unions and e m p lo y e rs to elim in ate the p resen tly existin g dual em p loyee 

g riev a n ce system under w hich the a g e n cy 's u n ilaterally establish ed p ro ce d u re co e x ists 

with a n egotiated system . The p arties m ay now designate the n egotiated as the only 

one available to em p lo y e e s fo r p ro ce s s in g g rie v a n ce s. A ls o elim in ated w as a d v iso ry 

arbitra tion in favor of binding arbitra tion , m od ifie d som ew hat by a lim ited right of appeal 

fr o m the a rb itra to r's d e cisio n to a new ly establish ed F e d e ra l L abor R elation s C oun cil.

The presen t study of con tra cts in effect in N ov em b er 1967, the latest yea r for 

w hich a full com p lem en t of a g reem en ts is p resen tly available in the B ureau , p rov id es 

statistical data on F e d e ra l griev a n ce and negotiation im p a sse resolu tion p ro ce d u re s and 

w ill serv e as a b en ch m ark to m e a s u re future changes in n egotiated sy ste m s. Although 

E xecu tive O rd er 11491 is likely to have a co n sid e ra b le effect on the su bject d iscu sse d 

in this study, m an agem en t and unions m ay want to re v ie w th eir own ex p e rie n ce on the 

b a sis of arra n gem en ts adopted volu n tarily by n egotiators to m eet th eir own n eeds.

A ppen dix A iden tifies the cla u se s u sed as illu stra tion s; appendix B re p ro d u ce s 

g rie v a n ce , arbitra tion , and im p a sse resolu tion p ro ce d u re s in the N ational P osta l A g r e e ­

m en t; appendix 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; appendix D c o n ­

tains the text of E xecutive O rd er 11491; and appendix E co m p a re s m a jo r p ro v isio n s of 

both E xecu tive o r d e r s .

S cope of Study

T h i s stu d y is b a s e d on 685 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 and a g e n c i e s (ta b le 1). F o r an e a r l i e r study in 1964, 1 the 

B ureau included 209 a g reem en ts co v e rin g about 600, 000 em p lo y e e s .

The n um ber of a g reem en ts negotiated by independent unions in cre a se d fr o m 27 in 

1964 to 133 in 1967 and r o s e fr o m 13 to 20 p e rce n t of the a g r e e m e n ts studied. D esp ite 

the grow th in the num ber of a g reem en ts fo r independent unions, em p loyee co v e ra g e of 

con tra cts involving A F L -C IO unions in cre a se d during the 1964-67 p eriod fr o m 87 to 

92 p ercen t. M ore than 125,000 of the A F L -C I O 's in cre a s e d co v e ra g e resu lted fro m 

(1) gains in the P ost O ffice D epartm en t, and (2) the change in status of the N ational 

A s s o c ia tio n of P ost O ffice and G en eral S e rv ice M aintenance E m p loy ees fr o m an unaffiliated to an A F L -C IO union.

F ive a g en cies (A ir F o r c e , A r m y , P ost O ffice, N avy, and V eteran s A dm in istration ) 

had the la rg est grow th in em p loyee co v e ra g e sin ce 1964. E xclu siv e of the P ost O ffice 

D ep artm en t, th ree of th ese a g e n cie s, A r m y , N avy, and V eteran s A dm in istra tion c o n s tituted 58 percen t of all a g reem en ts studied and tw o -th ird s of all w o rk e rs c o v e r e d in 1967.

E xcept for the F e d e ra l A viation A g e n cy , w hich w as m e r g e d with the D epartm ent 

of T ran sporta tion , and the C ivil A e ro n a u tics B oa rd , w hich w as re p o rte d as not having

1 Collective Bargaining Agreements in the Federal Service, Late Summer 1964, BLS Bulletin 1451 (1965).

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a union in 1967, all a g e n cie s rep re se n te d in the 1964 study a lso are included in the 

p resen t study. Six a gen cies appear fo r the firs t tim e—the C ivil S e rv ice C o m m is s io n , D e ­

p artm en t o f J u stice, D epartm en t of T ran sp ortation , N ational A eron a u tics and Space A d ­

m in is tr a tio n , S m a ll B u s in e s s A d m in is t r a tio n , and the T e n n e s s e e V alley A u th o rity ( TVA). 2

F r o m 1964 to 1967, the num ber of unions w hich had negotiated a g reem en ts with 

F e d e r a l d e p a rtm e n ts and a g e n c ie s had in c r e a s e d f r o m 34 to 64 (table 2). A F L - C I O 

unions constituted a p p rox im a tely the sam e p rop ortion of unions in 1967 (66 p ercen t) as 

in 1964 (68 percen t). The com p lex ity of la b or-m a n a g em en t rela tion s is in dicated by the 

A r m y and Navy; each bargain s with 22 differen t labor orga n iza tion s. Nine other a g e n ­

c ie s deal with five unions or m o r e .

T h ree unions included in the 1964 study do not appear h e re , and 33 unions not 

in cluded in 1964 are part of the p resen t study. None of the th ree unions exclu ded 

w e r e lis t e d in the U n ited S ta tes C iv il 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 

holding e x clu siv e recog n ition righ ts.

The 33 new ly added unions rep re se n te d 8 2 ,669 e m p lo y e e s . M ost of th ese w o rk e rs 

w e r e fo u n d in P o s t O f f i c e M a i l H a n d l e r s , 3 w h i c h a lo n e w a s r e s p o n s i b l e f o r o v e r

4 2 , 0 0 0 w o r k e r s , and tw o u n io n s at the 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 . 

The rem ain in g 2 2 ,000 w o r k e r s w ere sp read am ong 30 unions.

A m on g all 64 unions, the A m e r ic a n F ed era tion of G overn m en t E m p lo y e e s (A F L - 

CIO) had n egotiated a lm ost half of the a g reem en ts (332) co v e rin g a lm ost half of the 

w o r k e r s (1 7 8 ,5 1 4 ), e x clu siv e of the P ost O ffice a g reem en t. Only seven other unions 

n eg otia ted 10 a g r e e m e n ts o r m o r e , as sh ow n b e lo w . E igh t unions n e g o tia te d 78 p e r c e n t 

of the agreem en ts and rep resen ted 84 p e rce n t of the em p loyees in the study.

Union Agreements Employees

Total --------------------------------------------------- 684 375,485

All selected unions--------------------------------- ------ 537 315, 758

Government Employees (AFGE) ------ ------ 332 178,514

Metal Trades Councils---------------------------- 29 76, 333

Government Employees (N A G E )------ 50 21,755

M achinists------------------------------------------ 31 18,951

Federal Employees (NFFE)---------------- ------ 36 13,827

Electrical Workers (IBEW )---------------- 20 3,556

Lithographers-------------------------------------------- 13 1, 675

Fire Fighters---------------------------------------------- 26 1, 147

The grow th of co lle ctiv e bargain in g am ong C la ssifica tio n A ct e m p lo y e e s affected 

the 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 in in g u n its a p p e a r in g in F e d e r a l a g r e e m e n t s (t a b le 3). 5 

E xclu siv e of P ost O ffice e m p lo y e e s , W age B oard units in 1964 c le a r ly p red om in ated 

in the con tra cts studied, n u m e rica lly and relative to total e m p loy ee co v e r a g e . By 

1967, the relative im p orta n ce of e m p loy ee co v e ra g e shifted fr o m W age B oa rd e m p lo y e e s 

to m ix e d units; the latter, including W age B oa rd with C la ssifica tion A ct e m p lo y e e s , 

ro s e m a rk ed 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 Act 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 occupations. They are paid on an hourly basis.

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Percent of total employee coverage*

Type of bargaining unit 1964 1967

All units ---------------------------------------- 100.0 100.0

Professional or Classification Act

employees only-------------------------------------- 16.6 9 .6

Wage Board employees only-------------------- 48.9 31.9

Mixed u n its---------------------------------------------- 34. 5 58.5

1 Exclusive of Post Office Department.

The in cre a se in m ix ed units w as m ade up in la rg e m e a s u re by A ir F o r c e , A r m y , 

N avy, and V eteran s A d m in istra tion a g reem en ts. The gains in these fou r a g en cies 

constituted m o r e than th re e -fo u rth s of the total grow th in m ix e d units fr o m 1964 to 1967.

A s in 1964, the national P ost O ffice D epartm ent a g reem en t stron gly in flu enced 

the distribu tion of em p loyee c o v e ra g e by size of bargain in g unit (table 4). When the 

P o st O ffice agreem en t is exclu d ed , the p rop ortion of e m p lo y e e s c o v e r e d in sm all units 

rem a in ed rela tiv ely stable betw een 1964 and 1967. M ediu m size bargain in g units (101 

to 500 and 501 to 1,000) g rew , and large units d eclin ed slightly:

Percent of employees covered

Size 1964 1967

A ll bargaining units---------------------- 100.0 100.0

i_ io o ---------------------------------------------------- 2.3 2 .9

101-500-------------------------------------------- ........... 12.7 16.4

5 0 1 -1 ,0 0 0 -------------- ---------------------- --------- 16.4 18.1

1, 001 and over------------------------------ --------- 68.6 6 2.6

In total, h ow ev er, large units dom inated in both y e a r s , and c o v e r e d o v er th re e -fifth s 

of a ll e m p lo y e e s in the study.

The la rg est con cen tra tion of org a n ized F e d e ra l e m p lo y e e s w e re in th ree reg ion s: 

The M iddle A tlan tic, the South A tlan tic, and the P a cific (table 5). E xclu siv e of the 

P o st O ffice a g reem en t w hich cou ld not be a lloca ted on a g eog ra p h ica l b a s is , these th ree 

reg ion s constituted better than 55 p ercen t of the em p lo y e e s rep re se n te d in the study. 

F o r W a s h in g t o n , D. C . , M a r y l a n d , an d V i r g i n i a , 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 t o ­

taled 4 8 ,2 9 9 .

F o r the rem a in d er of this study, the N ational P o sta l A g re e m e n t w ill be exclu d ed 

b eca u se of the heavy im p act that it has on e m p loy ee c o v e r a g e . The P o sta l a g reem en t, 

h o w e v e r, is d e s crib e d sep arately in chapter V and pertinent section s of its agreem en t 

p ro v isio n s a re rep ro d u ce d in appendix B.

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T ab le 1. F e d e r a l co lle c t iv e bargain in g a g reem en ts by a gen cy and union a ffilia tio n , 1967 and 1964

T otal studied A F L -C IO U n affiliated

A g e n cy A g re e m e n ts W o rk e rs A g re e m e n ts W o rk e rs A g re e m e n ts W o rk e rs

1967 1964 1967 1964 1967 1964 1967 1964 1967 1964 1967 1964

T o t a l _____________________ 685 209 984, 318 599, 542 1 553 1 183 9 04 ,95 2 525, 274 1 133 ‘ 27 79, 366 7 4 ,2 6 8

A g r ic u lt u r e ------------------------------*--------------------- 14 3 6, 206 2, 983 8 2 4, 165 2, 558 6 1 2, 041 425

C o m m e r c e ------------------------------------------------------ 10 3 2, 039 230 7 3 701 230 3 - 1, 338 -

D e fe n s e ------------------------------------------------------------ 6 1 2, 766 264 6 1 2, 766 264 - - - -

A ir F ^ r r ^ ___________ 49 9 38, 922 7, 210 41 7 33, 825 4, 910 8 2 5, 097 2, 300

A r m y ______ __ _____________________________ n o 34 53, 931 14, 337 95 30 4 5 ,0 5 4 10, 445 15 4 8, 877 3, 892

N avy 181 65 140, 739 66, 696 152 58 127,611 64, 568 29 7 13, 128 2, 128

H ealth, E d u ca tion , and W e lfa r e ---------------- 24 10 19, 569 12, 259 23 9 19, 513 12, 207 1 1 56 52

I n t e r io r ------------------------------------------------------------ 45 14 4, 148 724 39 12 3, 845 609 6 2 303 115

J u stice _________ 17 - 2, 460 - 17 - 2 ,4 6 0 - - - - -

L a b o r --------------------------------------------------------------- 2 3 9, 035 4, 079 2 3 9, 035 4, 079 - - - -

P o s t O f f i c e ----------------------------------------------------- 1 1 608, 833 471, 414 1 1 1 1 578, 106 408, 333 1 1 1 1 30, 727 63, 081

T r a n s p o r ta tio n ---------------------------------------------- 34 - 4, 387 - 18 - 2, 757 - 16 - 1, 630 -

T r e a s u r y --------------------------------------------------------- 9 5 3, 054 732 7 5 1,556 732 2 - 1,498 -

A to m ic E n ergy C o m m is s io n ----------------------- 7 1 397 22 7 1 397 22 - - - -

C iv il S e rv ice C o m m is s io n -------------------------- 1 - 98 - i - 98 - - - - -

G e n e ra l S e rv ice s A d m in is tr a tio n ------------- 47 21 5, 240 1, 772 25 16 2, 970 1, 221 22 5 2, 270 551

In tersta te C o m m e rc e C o m m is s io n ----------

N ation al A e ro n a u tics and S pace

1 1 19 20 1 1 19 20 “

A d m in is tra tio n ------------------------------------------- 5 - 5, 484 - 5 - 5 ,4 84 - - - - -

N ational L a b or R elation s B o a r d ---------------- 5 1 1, 529 42 - - - - 5 1 1, 529 42

R a ilro a d R e tire m e n t B o a r d ------------------------ 1 1 1, 612 1, 800 1 1 1, 612 1, 800 _ - - _

S m a ll B u s in e ss A d m in istra tio n ----------------- 1 - 28 - 1 - 28 - - - - _

S m ith son ian In stitu tion ------------------ ------------ 3 1 435 30 3 1 435 30 - - - _

T a r iff C o m m is s io n --------------------------------------- 1 1 8 7 1 1 8 7 - - - _

T e n n e sse e V a lle y A u th o r ity 2--------------------- 3 - 17, 978 - 2 3 - 17, 978 - - - - -

V e te ra n s A d m in istra tio n ----------------------------- 108 29 5 5,4 01 14, 071 89 26 44, 529 12, 389 19 3 10, 872 1, 682

C iv il A e ro n a u tics B o a r d 3 --------------------------- - 1 - 1 1 - 1 - 1 1 „ - - - -

F e d e r a l A v ia tion A g e n cy 3--------------------------- 4 "

832 4 “ 839 " _ -

1 In 1967, the nation al P o s t O ffice a g reem en t c o v e r e d 6 unions a ffilia te d with the A F L -C IO , and 1 u n a ffiliated union. In 1964 the a greem en t 

c o v e r e d 4 a ffilia te d unions and 2 u n a ffiliated u n ion s. A g re e m e n t co v e ra g e w as a llo ca te d b y a ffilia tio n .

2 T e n n e sse e V a lle y A u th ority a g reem en ts w e re ou tside the sco p e of the 1964 study, but have been in clu ded fo r 1967. O f the 3 T V A a g r e e ­

m e n ts, 2 w ith the T V A T ra d es and L a b or C ou n cil r e p re se n t h ou rly em ploym en t and annual em p loy m en t, and 1 w ith the S a la ry P o lic y E m p loy ee P an el, 

re p re se n ts defin ed units o f sa la ry p o lic y e m p lo y e e s. The T ra d e s and L a b o r C ou n cil a g reem en ts and the S a la ry P o lic y E m p loy ee P an el a greem en t 

ea ch in clu de 1 in depen dent la b o r o rg a n iza tion . B eca u se w o rk e r co v e ra g e o f the 2 in dependent o rg a n iza tion s w as u n a lloca b le, a ll e m p lo y e e s a re 

re p o rte d under A F L -C IO unions.

3 The F e d e r a l A v ia tion A g en cy w as a b s o rb e d by the D epartm en t of T ra n sp orta tion in 1966; the C iv il A e ro n a u tics B oa rd w as not re p o rte d to have a 

union in 1967.

T ab le 2. F e d e r a l co lle c t iv e barga in in g a g re e m e n ts by a gen cy and num ber o f em p lo y e e o rg a n iz a tio n s , 1967 and 1964

A g e n cy

T ota l studied A F L -C IO U n affiliated

E m p loy ee

o rg a n iza tion s W ork ers E m p loy eeorg a n iza tio n s W ork er s E m p loy ee

o rg a n iza tio n s W o rk e rs

1967 1964 1967 1964 1967 1964 1967 1964 1967 1964 1967 1964

T o t a l---------------------------------------------------- 1 64 1 34 9 84 ,31 8 5 99 ,54 2 1 42 '2 3 9 0 4 ,9 5 2 5 25 ,27 4 1 22 1 11 7 9 ,3 6 6 7 4 ,2 6 8

A g r ic u lt u r e ----------------------------------------------------- 5 2 6, 206 2, 983 1 1 4, 165 2, 558 4 1 2, 041 425

C o m m e r c e ------------------------------------------------------ 7 3 2, 039 230 4 3 701 230 3 _ 1,338 _

D e fe n s e ---------.------------------------------------------------- 3 1 2, 766 264 3 1 2, 766 264 _ _ _ _

A ir F o r c e -------------------------------------------------------- 8 5 3 8 ,9 22 7 ,2 1 0 6 4 3 3,8 25 4 ,9 1 0 2 1 5, 097 2; 300

A r m y ------------------------------------------- r------------------ - 23 12 53, 931 14,337 18 9 45, 054 10,4 45 5 3 8 ,8 7 7 3, 892

N a v y ----------------------------------------------------------------- 22 14 140,739 6 6 ,6 96 16 1 1 127,611 64, 568 6 3 13, 128 2, 128

H ealth, E d u ca tion , and W e lfa r e ---------------- 3 2 19,569 12,259 2 1 19,513 12,207 1 1 56 52

I n t e r io r ------------------------------------------------------------ 13 7 4 , 148 724 12 6 3, 845 609 1 1 303 115

J u s t ic e ------------------------------------------------------------- 1 _ 2 ,4 6 0 _ 1 _ 2 ,4 6 0 _ _ _ _ _

L a b o r -------------------------------------------------------------- 1 1 9 ,0 3 5 4, 079 1 1 9, 035 4, 079 _ _ _ _

P o s t O f f i c e ----------------------------------------------------- 7 6 6 08 ,83 3 4 7 1 ,4 1 4 6 4 5 7 8 ,1 0 6 4 0 8 ,3 3 3 1 2 3 0,7 27 63, 081

T ra n sp o rta tio n —------------------------------------------- 11 _ 4 , 387 - 9_ 2, 757 _ 2 _ 1 ,630

T r e a s u r y --------------------------------------------------------- 5 4 3, 054 732 4 4 1 ,556 732 1 _ 1 ,498 _

A to m ic E n ergy C o m m is s io n ----------------------- 1 1 397 22 i 1 397 22 _

C iv il S e rv ice C o m m is s io n ------------------------- 1 _ 98 1 98 _ _ _

G e n e ra l S e r v ic e s A d m in is tr a tio n ------------- 8 5 5, 240 1 ,772 4 2 2, 970 1,221 4 3 2, 270 551

In tersta te C o m m e rc e C o m m is s io n ---------- 1 1 19 20 1 1 19 20 _ _ _

N ation al A e ro n a u tics and S pace

A d m in is tr a tio n --------------- :--------------------------- 4 5 ,4 8 4 4 5 ,4 8 4 _

N ation al L a b o r R elation s B o a r d ---------------- 3 1 1,529 42 _ 3 1 1 ,529 42

R a ilro a d R etire m e n t B o a r d ------------------------ 1 1 1,612 1 ,800 1 1 1 ,612 1,8 0 0

S m all B u s in e ss A d m in istra tio n ----------------- 1 28 1

_ 28 _ _

S m ith son ian In stitu tio n -------------------------------- 2 1 435 30 2 1 435 30

T a r iff C o m m is s io n --------------------------------------- 1 1 8 7 1 1 8 7

T e n n e sse e V a lley A u th o r ity 2--------------------- 2 _ 17,978 _ 2 17,978 _

V etera n s A d m in is tr a tio n ---------------------------- 9 4 55, 401 14,071 6 2 4 4 ,5 2 9 12,389 3 2 10,872 1 ,682

C iv il A e ro n a u tics B o a r d 3 --------------------------- 1 11 1 11 _

F e d e r a l A v ia tion A g e n cy 3--------------------------- '

4 -

839 -

4 - 839 - - - -

1 T h ese co lu m n s a re n on add itive; m an y unions b arga in w ith m o re than 1 J 'ed era l agen cy .

2 T e n n e sse e V a lley A u th ority a g re e m e n ts w e re ou tside the sco p e o f the 1964 study, but have been in clu ded fo r 1967. O f the 3 T V A a g r e e ­

m e n ts, 2 w ith the T V A T ra d e s and L ab or C ou n cil re p re se n t h ou rly em ploym en t and annual e m p loy m en t, and 1 w ith the S a la ry P o lic y E m p loy ee P a n el, 

re p re s e n ts defin ed units o f sa la ry p o lic y e m p lo y e e s . The T ra d e s and L ab or C o u n cil a g re e m e n ts and the S a la ry P o lic y E m p lo y e e P an el agreem en t 

ea ch in clu de 1 in depen dent la b o r org a n iza tio n . B eca u se w o rk e r co v e ra g e o f the 2 in depen dent org a n iza tio n s w as u n a llo ca b le , a ll e m p lo y e e s a re 

re p o rte d under A F L -C IO u n ion s.

3 The F e d e r a l A v ia tion A g en cy w as a b s o rb e d by the D epartm en t of T ra n sp orta tion in 1966; the C iv il A e ro n a u tics B oa rd w as not re p o rte d to have a 

union in 1967.

4

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T able 3. F e d e r a l c o lle c tiv e bargain in g a g reem en ts by a gen cy and b ro a d o ccu p a tio n a l c o v e r a g e , 1967 and 1964

A g en cy

T otal studied C la s sific a tio n A c t 1

A g re e m e n ts W o rk e rs A g re e m e n ts W o rk e rs

1967 1964 1967 1964 1967 1964 1967 1964

T o t a l------------------------------------------------------------- 685 209 984, 318 599, 542 155 34 6 4 4 ,6 7 8 492, 737

A g r ic u lt u r e ------------------------------------------------------------- 14 3 6, 206 2, 983 12 3 5, 816 2, 983

C o m m e r c e -------------------------------------------------------------- 10 3 2, 039 230 6 - 1, 399 -

D e fe n s e -------------------------------------------------------------------- 6 i 2, 766 264 2 _ 34 2 -

A ir F o r c e ---------------------------------------------------------------- 49 9 38, 922 7, 210 14 1 985 150

A r m y ------------------------------------------------------------------------ 110 34 53, 931 14, 337 23 4 4, 553 744

N a v y ------------------------------------------------------------------------- 181 65 140, 739 66, 696 30 6 6, 520 339

H ealth, E du cation , and W e lfa r e ------------------------ 24 10 19, 569 12, 259 18 9 928 1 1, 059

Inte r i o r ________ ________ ______________________ 45 14 4, 148 724 3 1 139 18

J u s t ic e --------------------------------------------------------------------- 17 - 2 ,4 6 0 - 1 - 57 -

L a b o r ---------------------------------------------------------------------- 2 3 9, 035 4, 079 - 3 - 4, 079

P o st O f f i c e ------------------------------------------------------------- i 1 608, 833 4 71 ,41 4 1 1 608, 833 4 7 1 ,4 1 4

T ra n s p o r ta tio n ------------------------------------------------------ 34 - 4, 387 - 11 - 1, 337 -

T r e a s u r y ---------------------------------------------------------------- 9 5 3, 054 732 3 - 1,648 -

A tom ic E n ergy C o m m is s io n ------------------------------- 7 1 397 22 7 1 397 22

C iv il S e rv ice C o m m is s io n --------------------------------- 1 - 98 - i - 98 -

G e n e ra l S e rv ice s A d m in is tr a tio n --------------------- 47 21 5, 240 1,772 1 1 18 11

In tersta te C o m m e rc e C o m m is s io n ------------------- 1 1 19 20 _ _ _ -

N ational A e ro n a u tics and Space

A d m in is tr a tio n --------------------------------------------------- 5 _ 5 ,4 8 4 _ _ _ _ _

N ation al L a b o r R elation s B o a r d ------------------------ 5 1 1, 529 42 5 1 1,5 2 9 42

R a ilro a d R etirem en t B o a r d -------------------------------- 1 1 1, 612 1, 800 _ 1 _ 1, 800

S m a ll B u sin e ss A d m in istra tio n — ------ ---------- 1 - 28 - - - - -

S m ith son ian In stitu tion---------------------------------------- 3 1 435 30 1 1 30 30

T a r iff C o m m is s io n ----------------------------------------------- 1 1 8 7 1 _ 8 -

T e n n e sse e V a lle y A u t h o r it y ------------------------------- 3 - 17, 978 - 1 - 5, 968 -

V etera n s A d m in is tr a tio n ------------------------------------ 108 29 5 5 ,4 01 14,071 14 - 4, 073 -

C ivil A e ro n a u tics B o a r d -------------------------------------- - 1 - 11 - - - -

F e d e r a l A viation A g e n c y ------------------------------------

-

4 - 839 -1 -

46

W age B oa rd M ixed

T o t a l------------------------------------------------------------- 203 93 119, 832 62, 635 327 82 219, 808 44, 170

A g r ic u lt u r e ________________________________________ _ _ _ _ z _ 390 _

C o m m e r c e ___ ____________ ____ _____ ___________ 2 2 44 2 150 2 1 198 80

D efe n se -________-__-____ ___ ____________________ 1 - 1, 200 - 3 1 1, 224 264

A ir F o r c e ---------------------------------------------------------------- 11 2 4, 180 1, 930 24 6 33, 757 5, 130

A r m y ------------------------------------------------------------------------ 28 17 10, 623 2, 914 59 13 38, 755 10, 679

N a v y ------------------------------------------------------------------------- 74 33 79, 138 5 4 ,7 33 77 26 55, 081 11, 624

H ealth, E du ca tion , and W e lfa r e ------------------------ 1 - 47 - 5 1 18, 594 1, 200

Inte rio r 41 11 3, 654 481 1 2 355 225

Ju s ti c e _ - _ _ 16 - 2, 403 -

L a b o r ----------------------------------------------------------------------- _ _ _ _ 2 _ 9, 035 _

P o s t O f f i c e ------------------------------------------------------------- _ _ _ - - _ _ -

T r a n s p o r ta tio n ------------------------------------ -------------- 10 - 2, 106 - 13 - 944 -

T r e a s u r y ----------------------------------------------------------------- 4 4 373 582 2 1 1, 033 150

A to m ic Ene rgy C om m is s io n ------------------------------- - - - - - - - -

C iv il Se rv ice C om m is sion ------------------------------- _ - - - _ - - _

G ene ra l Se rv ic e s A d m in is tr a tio n --------------------- 17 18 1, 729 1, 376 29 2 3, 493 385

Inte r state C om m e r ce C om m is s i o n ------------------ 1 1 19 20 - _ - -

N ational A e ro n a u tics and Space

A d m in is tr a tio n --------------------------------------------------- 2 _ 1, 749 _ 3 _ 3, 735 _

N ational L a b or R elation s B o a r d ------------------------ _ _ _ _ _ _ _ _

R a ilro a d R etirem en t B o a r d -------------------------------- _ _ _ _ 1 _ 1, 612 -

S m all B u sin e ss A d m in istra tio n ------------------------- 1 _ 28 _ _ _ _ _

Sm ith son ian In stitu tion---------------------------------------- _ _ _ _ 2 _ 405 _

T a r iff C om m is s io n ----------------------------------------------- _ 1 _ 7 _ _ _ -

T e n n e sse e V a lle y A u th o r ity ------------------------------ 2 - 12, 010 - - - - -

V eteran s A d m in is tr a tio n ------------------------------------ 8 1 2, 534 312 86 28 48, 794 13, 759

C iv il A e ro n a u tics B o a r d ------------------ ------------------- - 1 _ 11 - - - -

F e d e r a l A v ia tion A g en cy — ------- ---------------- 2 “

119 -

1 "674

1 F o r this study, e m p lo y e e s co v e r e d by sta tu tory s a la ry sy ste m s oth er than C la s sific a tio n A c t, and e m p lo y e e s c o v e re d by sep arate pay s y s ­

tem s a re c a r r ie d under C la s sific a tio n A ct, e x ce p t fo r the T V A T ra d e s and L a b or (blue c o lla r ) cla s s ific a tio n s w h ich a re c a r r ie d un der W age B oa rd .

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T ab le 4. F e d e r a l co lle c t iv e barga in in g a g re e m e n ts by siz e o f barga in in g unit, 1967 and 1964

N u m ber o f e m p lo y e e s 

in barga in in g unit

T o ta l studied A F L -C IO U n affiliated

A g re e m e n ts W ork er s A g re e m e n ts W o rk e rs A g re e m e n ts W ork er s

1967 1964 1967 1964 1967 1964 1967 1964 1967 1964 1967 1964

T o ta l _ _______________ •______ 685 209 9 84 ,31 8 5 99 ,54 2 ‘ 553 183 9 04 ,95 2 5 25 ,27 4 1 133 27 7 9 ,3 6 6 7 4 ,2 68

1 - 5 0 ___________________ ____ __________ 175 60 4 ,6 1 6 1,5 9 4 135 55 3, 515 1 ,483 40 5 1, 101 111

51-100 87 19 6, 376 1, 340 70 15 5, 038 1,067 17 4 1,338 27 3

101-150 60 21 7,6 5 1 2 ,7 3 4 51 19 6, 538 2 ,4 6 9 9 2 1, 113 265

151-200 ______________________________ 45 14 7, 960 2, 492 37 12 6, 608 2, 134 8 2 1, 352 358

2 01 -3 00 ______________________________ 65 19 15,768 4, 609 49 16 11, 787 3, 931 16 3 3, 981 678

3 01 -5 00 ______________________________ 77 16 3 0 ,3 20 6, 485 66 14 2 5 ,7 7 2 5 ,6 6 0 11 2 4 , 548 825

5 0 1 -7 5 0 ._________ ____________________ 52 19 3 2 ,2 40 12,162 38 16 2 3,3 67 10,360 14 3 8, 873 1 ,802

7 5 1 -1 ,0 0 0 42 10 35, 720 8, 830 34 7 2 9 ,1 1 3 6, 307 8 3 6, 607 2, 523

1 ,0 0 0 -5 ,0 0 0 ........................................... 65 22 118,387 4 9 ,6 5 8 57 20 107,519 4 5, 306 8 2 10,868 4, 352

O ver 5 ,0 0 0 ___________________________ 17 6 7 25 ,28 0 5 09 ,63 8 1 16 6 6 85 ,69 5 4 4 6 ,5 5 7 1 3 1 3 9 ,5 8 5 63, 081

Not a va ila ble ________________________ "3 “ " “3 " “ " “ “ "

co v e

1 In 1967, the nation al P o s t O ffice a gre e m e n t co v e r e d 6 unions a ffilia te d with the A F L -C IO , and 1 u n a filiated union, 

red 4 a ffilia te d unions and 2 u n a ffiliated u n ions. A g re e m e n t co v e ra g e w as a llo ca te d by a ffilia tio n .

In 1964, the a g reem en t

T a b le 5. F e d e r a l co lle c t iv e bargain in g a g r e e m e n ts, e x clu siv e o f P o st O ffice , by re g io n , 1 

1967 and 1964

R eg ion 1

A g re e m e n ts E m p loy ee c o v e re d

1967 1964 1967 1964

T o t a l __________________________ 684 208 3 75 ,48 5 128,128

In te rre g io n a l a g re e m e n ts 19 4 3 1 ,4 50 4 ,8 3 3

New England __ _________ _ ___ 59 16 2 8 ,8 2 6 7, 098

M iddle A tla n tic ______________________ 85 30 5 0,1 29 23, 391

E ast N orth C en tral ________________ 50 16 2 3 ,1 3 4 6 ,8 3 8

W est N orth C e n t r a l______ 30 14 9 ,4 3 7 2, 808

South A t la n t ic _____________ __________ 171 50 91, 188 3 6 ,9 15

E ast South C e n t r a l_________________ 38 10 2 6 ,3 1 0 7, 800

W est South C en tral ________________ 51 17 15,225 5, 828

M o u n ta in _____________________________ 51 11 2 3 ,4 1 7 2, 343

P a c ific _______________________________ 119 36 7 0 ,7 0 9 3 0 ,0 09

O utside the U nited States _________ 11 4 5 ,6 6 0 265

1 The re g io n s u sed in th is study in clu d e : New England— C on n ecticu t, M a in e, M a ss a ­

ch u se tts, New H a m p sh ire , Rhode Islan d , and V erm on t; M iddle A tla n tic— New J e r s e y , New 

Y o rk , and P en n sylva n ia ; E ast N orth C en tral— I llin o is , Indiana, M ich igan , O h io, and W isco n sin ; 

W est N orth C entral-—Iow a, K an sas, M in n esota , M is s o u r i, N eb ra sk a, N orth D akota, and 

South D akota; South A tla n tic— D ela w are, D is tr ic t o f C o lu m bia, F lo r id a , G e o rg ia , M arylan d , 

N orth C a ro lin a , South C a ro lin a , V irg in ia , and W est V irg in ia ; E ast South C en tra l— A lab a m a , 

K entucky, M is s is s ip p i, and T e n n e sse e ; W est South C en tral— A r k a n sa s , L o u isia n a , O klahom a, 

and T e x a s; M ountain— A r iz o n a , C o lo ra d o , Idaho, M ontana, New M e x ic o , N evada, Utah, and 

W yom in g; and P a c ific — A la sk a , C a lifo rn ia , H aw aii, O reg on , and W ashington.

6

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Federal Reserve Bank of St. Louis
Chapter II. Agreement Impasse Procedures

The 1961 P r e s id e n t's T ask F o r c e on E m p lo y e e -M a n a g e m e n t R elations in the P u b lic 

S e rv ice re co m m e n d e d that im p a sse resolu tion p r o c e d u r e s , "d e v is e d and agreed to on 

an agen cy by agen cy b a s is , "sh ou ld be available to the negotiating p a rtie s , but that any 

im p a sse s o ccu rrin g "sh ou ld be solved by oth er m ean s than arbitration . " E xecu tive 

O rd er 11491 stipulated that when volu n tary p r o c e d u r e s , including the use of the FM C S, 

do not w ork then the F e d e ra l S e rv ice Im p a sses P an el (FSIP) "m a y co n sid e r the m atter 

and m ay re co m m e n d p r o c e d u r e s to the p a rties fo r the resolu tion of the im p a sse or m ay 

settle the im p a sse by ap p rop riate action. A rb itra tion or th ird -p a rty factfinding with 

recom m en d a tion s to a s s is t in the resolu tion of an im p a sse m ay be used by the p a rties 

only when au th orized or d ire cte d by the panel. " Short of a rbitration and in vocation of 

the F S IP , the p rin cip a l p r o c e d u r e s volu n tarily d ev ised by the p a rties and found in a g r e e ­

m en ts w e re factfin din g, m ed ia tion , and r e fe r r a l of d ead lock ed iss u e s to h igh er a u th ority fo r resolu tion . T h ese appeared in n ea rly half (321) of the 684 a greem en ts studied 

(table 6). V irtu ally all con tra cts in the V eteran s A d m in istra tion (106), G en era l S e rv ice s 

A d m in istra tion (46), and the D ep artm en t of In terior (45) contained one or m o r e of these 

p r o c e d u r e s . The p ercen ta g es w e re notably low in the N avy, A ir F o r c e , A r m y , and 

D ep artm en t of T ra n sp orta tion a g reem en ts.

Although m o st con tra cts contained p ro v isio n s re fe rrin g im p a sse s to h igh er agen cy 

au th orities fo r resolu tion , m o s t F e d e ra l e m p loy ees in the study w ere co v e re d by p r o ­

v ision s creatin g factfinding co m m itte e s .

Agreements Employees

Total ----------------------------------------------------- -------- 684 375, 485

Having impasse resolution procedures * -------- -------- 321 154,810

F actfinding 2 ----------------------------------------------- -------- 187 102, 472

M ediation--------------------------------------------------- -------- 76 45, 866

Referral to higher authority----------------------

No reference to impasse resolution

-------- 201 68, 706

procedures----------------------------------------------------- -------- 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 om p a red with 1964, both factfinding and m ed iation in 1967 c o v e r e d about the 

sam e p ro p o rtio n of all con tra cts studied, but the p ro p o rtio n of w o rk e rs in cre a se d . 

In both y e a r s , h o w e v e r, only a sm a ll p ro p o rtio n of the a g reem en ts used these p r o c e ­

du res:

Percent in 1967______ ______ Percent in 1964

Procedure Agreements Employees Agreements Employees

Factfinding --------- 27.3 27.3 25.0 15.7

Mediation ----------- 11.1 12.2 11.5 6 .2

P r e c is e in form a tion on r e fe r r a l of im p a sse s to h igh er authority was not available for 

1964. At that tim e, the B ureau estim ated that in about 25 p e rce n t of the co n tra cts, 

stalem ated iss u e s cou ld be subm itted to an agen cy o fficia l fo r final and binding d ecision . 

In 1967, this p r o p o r t io n w as a lm o s t 30 p e r c e n t.

7

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E ach of the th ree p ro ce d u re s follow ed agen cy pattern s. F actfinding totals, for 

exam p le, w ere influenced by 106 V eteran s A dm in istra tion a g reem en ts; m ediation p r o ­

v ision s by the In terior D epartm en t (43); and r e fe r r a l to h igh er authority by a c o m ­

bination of the G en eral S e rv ice s A dm in istra tion (45), In terior (32), A r m y (28), and 

V eteran s A d m in istra tion (23).

Of the 321 p r o v is io n s , 135, o r 4 2 .1 p e rce n t, contained m o r e than one m ean s of 

r e s o lv in g im p a s s e s (table 6). T h e s e c o v e r e d 39 p e r c e n t of the e m p lo y e e s under a g r e e ­

m ents having p r o c e d u r e s fo r re so lv in g negotiation sta lem a tes. M ost in volved a c o m ­

bination of factfinding and r e fe r r a l to h igh er authority (81 a g reem en ts and 4 5 ,9 5 7 e m ­

p lo y e e s ). Under m u ltip le step p r o v is io n s , the negotiating p a rties cou ld avail th em selv es 

sequ en tially of two or th ree d ifferen t m ethods should an im p a sse be rea ch ed . F o r 

e x a m p le , a c o m m i t t e e ’ s find ing o f fa c t co u ld be u s e fu l to h ig h e r m a n a g e m e n t a u th ority , 

even though the co m m itte e was unable to settle the is s u e s .

F actfinding C o m m itte e s

W e ll o v e r fo u r -fift h s o f the 187 fa ctfin d in g c o m m itte e s in the study w e r e e s ta b lis h e d 

as trip artite b o d ie s , having an equal n um ber of union and m an agem en t appoin tees who 

join tly se le cte d a neutral third p arty.

Agreements Employees

With factfinding procedures ------- 187 102,472

Referring to composition of

com m ittee-------------------------------------------- 177 99, 208

Bipartite -------------------------------------------- 13 8,021

Tripartite ------------------------------------------ 161 77,399

Single third party ----------------------------- 1 221

Other -------------------------------------------------- 2 13,567

No reference to composition of

committee ------------------------------------------- 10 3, 264

The high p re v a le n ce fo r trip artite co m m itte e s , as noted p r e v io u s ly , was in flu enced by 

V eteran s A d m in istra tion a g reem en ts w hich included 102 p ro v isio n s and w hich co v e re d 

5 3 ,1 3 9 e m p lo y e e s .

The n um ber of union and m an agem en t m e m b e r s on trip artite co m m itte e s v a ried , 

but p red om in a n tly, they in cluded either one or two rep resen ta tiv es fr o m each party. 

In the fir s t illu stra tion b elow , the co m m itte e had to be co m p o s e d of bargain in g unit 

e m p lo y e e s . T his req u irem en t w as found in a n um ber of a g re e m e n ts. It in su res that 

the th ir d p a r t i e s w i ll 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.

One p r o v is io n establish ed a trip artite co m m itte e with two neutral in d ivid u als, one 

of w hom fu n ction ed as a nonvoting ch airm an . E ach was se le cte d d ifferen tly. One was 

to be ch osen by union and m an agem en t rep resen ta tiv es fr o m any s o u r c e , but the n on ­

voting ch a irm a n w as to be se le cte d fr o m an establish ed list of g riev a n ce e x a m in e rs:

(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

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Only 13 a g reem en ts cre a te d factfinding co m m itte e s that w e re bip a rtite, as in the 

follow in g:

(4) 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 ree additional a g reem en ts fitted neither a bipartite n or trip artite d escrip tion . 

One p rov id ed fo r a single neutral third p arty rath er than a co m m itte e and the other 

two p rov id ed fo r either a sin gle neutral or a trip artite com m ittee depending upon the 

scop e and com p lexity of the im p a sse:

(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 bu t 3 o f the 187 a g r e e m e n t s r e f e r r i n g to f a c t fin d in g s tip u la t e d the c o m m i t t e e ' s 

authority. The p re p o n d e ra n ce lim ited the com m ittee to a finding of facts on ly, but in 

o n e -th ird of the con tra cts it w as a lso au th orized to m ake recom m en d a tion s. The latter 

w ill be a ffected by the req u irem en t in E xecu tive O rd e r 11491 that factfinding board s 

m aking recom m en d a tion s can only be em p loyed with the a p p roval of the F e d e r a l S e rv ice 

Im p a sses P anel:

Scope of authority Agreements Employees

With factfinding procedures-------- 187 102, 472

Referring to scope of authority-------------- 184 100,871

Finding of facts o n ly -------------------------

Permitted to make

122 78, 668

recommendations --------------------------- 59 21,641

Other --------------------------------------------------- 3 562

No reference to scope of authority-------- 3 1,601

N o rm a lly , the factfinding co m m itte e w ould subm it its a s s e s s m e n t of the facts 

d ir e c tly to the negotiating p a r tie s , as in the firs t illu stration below . In this m an n er, 

the authority of the negotiating p a rties was not ab rid ged , and the activities of the fa c t ­

finding co m m itte e p erm itted the n egotiators a coolin g off p e rio d . H opefu lly the findings 

of fa ct w ould p ro v id e the n egotiators with a b a sis fo r settlem en t when they retu rn ed 

to the bargain in g table. T h ere w e re additional p r o v is io n s , h o w e v e r, under w hich the 

factfinding co m m itte e r e fe r r e d d ea d lock ed issu es to h igh er authority, as in the secon d 

illu stration . In this c a s e , the advent of the factfinding com m ittee m ean t that the n e ­

gotiating co m m itte e had term in ated its function. Both illu stra tion s, com in g fr o m d iffe re n t a g reem en ts in the sam e a gen cy, a re w ord ed id en tica lly ex cep t fo r the r e fe r r a l 

of findings:

(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 n um ber of p ro v is io n s lim itin g the co m m itte e to findings of fa ct s p e cifie d , as 

in the follow in g e x a m p le s , that the co m m itte e w ould m ake its p resen ta tion without

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recom m en d a tion o r would not have "any authority o f d e cisio n . " Often silent on the 

m ethod of p resen tation , som e p ro v isio n s stipulated that the rep ort m u st be m ade in 

w r i t i n g , o r , as in the’ s e c o n d i l l u s t r a t i o n , b o th in p e r s o n and in w r it in 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 rd in a rily , the co m m itte e 's finding of fact would be subm itted as one rep ort. 

The im p lica tion was one of unanim ity. One cla u se, h ow e v e r, p ro v id e d for the su b ­

m is s io n of a m in o rity rep ort should d iffe re n ce s develop and be u n resolv ed within the 

factfinding com m ittee:

(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.

The 59 a g reem en ts w h ich p erm itted the factfinding co m m itte e to m ake r e c o m ­

m en dations u sed virtu a lly u n iform language, as in the follow in g:

(11) 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 ereas m o st of the p ro v is io n s lim itin g the com m ittee to factfin din gs w ere in 

V eteran s A d m in istra tion co n tra cts, those w hich p erm itted recom m en d a tion s w e re c lu s ­

tered la rg e ly in A r m y (20) and Ju stice D ep artm en t (16) a g reem en ts.

T h ree additional a g re e m e n ts, all involving units of the V eteran s A d m in istra tion , 

p ro v id e d som e flex ib ility . T w o p erm itted the negotiating p a rties to d eterm in e the scop e 

of authority of the factfinding co m m itte e when they r e fe r r e d the stalem ate 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.

The third p ro v id e d fo r stages of factfinding co m m itte e activity. In the initial 

stage the co m m itte e was lim ited to a re p o rt of findings. If su bsequ ently the p a rties 

rem a in ed stalem ated , then the co m m itte e w ould reevalu ate events and resu b m it findings, 

this tim e with re co m m e n d a tio n s. F in al authority still rem ain ed with the p a r tie s , h ow ­

e v e r , sin ce the recom m en d a tion s w e re not binding:

(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 negotiating 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.

Should n egotiation s m o v e tow ard an im p a s s e , con tra cts p rov id ed two a p p roa ch es 

fo r invoking factfinding. The fir s t w as au tom atic. W hen an im p a sse is re a ch e d , the 

factfinding m a ch in e ry w ill be initiated. The qu estion then b e c o m e s one of d ecid in g when 

an im p a sse has been rea ch ed . In som e in sta n ces, im p a sse is rea ch ed only after seriou s

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a n d /o r diligen t n egotiation s, as in the third illu stration . E m p loym en t of such language 

in d icates an underlying co n ce rn that if it is too ea sy to turn to o u tsid e rs, the p arties 

w ould tend to fo r e g o their negotiating r e s p o n s ib ilit 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 nder the secon d ap p roach initiation of factfinding req u ired the p ositiv e action of one 

of the p a r tie s , again with the p re re q u is ite of diligen t bargaining:

(16) 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 fe r r a l to H igher A uthority

O f the 201 p ro v is io n s that r e fe r r e d resolu tion of im p a sse s to h igh er authority, 

o v e r th ree-fifth s req u ired fir s t that som e other m ean s of breakin g the stalem ate m u st 

have been tried (table 6). M ost frequ en tly this was factfinding; less often, m ediation .

The rem a in d er went d ire ctly to h igh er lev els of m an agem en t. This was e sp e cia lly 

true in G en era l S e rv ice s A d m in istra tion (GSA) con tra cts.

A bout tw o-th ird s of the r e fe r r a l a g reem en ts (130) set forth the status of the 

h ig h e r a u t h o r it y ’ s d e c i s i o n . In m o s t c a s e s , the d e c i s i o n w a s b in d in g and thus w a s

sim ila r to a rbitration in p riva te in du stry excep t that the final d eterm in ation was m ade 

by a m an agem en t o fficia l instead of a neutral third p arty. 6

(17) Impasses between the employer and the employee organization may be submitted to the Administrator 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 th e rs, the finding w as a d v isory . The p a rties could a ccep t it or u se it as a basis 

fo r fu rth er n egotiation s:

(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 ta lem a tes, s o m e tim e s , cou ld be c a r r ie d to s e v e ra l lev els of higher authority. T hus, 

d e cisio n s of in term ed iate lev els w ere not final, but su bject to fu rth er review :

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.

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( 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 ev era l cla u ses c le a r ly in dicated that in term ed iate lev els of m an agem en t could 

attem pt to re s o lv e the im p a s s e , rath er than o ffe r d e cisio n s that could be appealed to 

the next h igh er step. F in a l, and u su ally binding d eterm in a tion s, thus w ould be r e ­

s e rv e d fo r the h igh est m an agem en t level:

(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 consideration, the matter may be referred by either party to the Administrator, ARS, for final decision.

(25) 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 one p r o v is io n , a stalem ate u n resolv ed at the h igh est lev el could be re fe r r e d 

fo r an a d v iso ry opinion to a neutral third party:

(26) 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 negotiations to the h igh est m an agem en t and union le v e l fo r a 

p o s s ib le settlem ent:

(27) 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. Concurrent 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.

In g en era l, r e fe r r a l of d ea d lock s to h igh er m an agem en t authority w as au tom atic, 

as in the follow in g:

(28) 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 binding on both parties to the disagreement.

A few p ro v isio n s req u ired one or both of the negotiating p a rties to req u est h igh er 

m a n a g e m e n t ’ s in te r v e n tio n :

(29) 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 requested by either party.

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M ediation

As in the 1964. study, m ed ia tion , o r the en tran ce of a third p arty to help re so lv e 

a d ea d lock , was le ss p rev a len t than oth er m ean s of breakin g a stalem ate. In p a rt, 

this m ay have resu lted fr o m the h a n d s-o ff p o lic y of the F e d e ra l M ediation and C on ­

cilia tion S e rv ice during the e a rly y e a rs of E xecu tive O rd e r 10988. 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 (43) in c l u d e d o v e r o n e - h a l f o f the 7 6 m e d i a t i o n 

p r o v is io n s , the sam e p ro p o rtio n as in 1964. In w o rk e r c o v e r a g e , h o w e v e r, th ree p r o ­

v ision s in the T en n essee V a lley A uthority a g reem en ts affected 17,978 e m p lo y e e s , a lm o s t tw o-fifth s of all e m p lo y e e s c o v e r e d by m ed iation p r o v is io n s . Although m o s t of 

the a g reem en ts (54) em p loyed m ed iation in con ju n ction with another im p a sse resolu tion 

m ethod (usually r e fe r r a l to h igh er authority), o v e r tw o-th ird s of the w o rk e rs co v e re d 

by m ed iation p ro v isio n s (3 1 ,2 1 9 ) ca m e under con tra cts in w hich m ed iation was the only 

p r o c e d u r e .

N ea rly fo u r-fifth s of the a g reem en ts p rovid in g fo r m ed iation defined the m e d ia to r's 

ro le as the tradition al attem pt to con cilia te opposin g view s:

(30) The mediator shall use his best efforts to bring the parties to agreement by mediation.

Although m ed iation ord in a rily is con ducted by a single n eutral, a few con tra cts 

p ro v id e d fo r a m ed iation b o a rd , as in the follow in g illustration:

(31) /T h e employer/ and the/union 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. The chairman will then attempt to mediate the differences between the parties. . . .

In frequ en tly, p ro v is io n s em p ow ered m ed ia tors to m ake recom m en d a tion s to the 

p a rtie s. The language found in these cla u ses was rela tiv ely u n iform and read as follow s:

(32) The mediator will be requested to meet with the parties, study the issues, and make recommendations and suggestions designed to assist the parties in resolving the matters at issue.

A s in factfin din g, the p a rties had to be at im p a sse after diligen t efforts to a gree 

b e fo r e initiating m ediation :

(33) If agreement is still not reached following the above procedure, every effort will be made to insure 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 ca s io n a lly , n otice to req u est m ed iation could lead to one last effort at reach in g 

a g reem en t. If the stalem ate continued fo r a d esign ated p e r io d , either one of the n e ­

g otiators cou ld ca ll fo r m ediation :

(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 of 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 agreement 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. "The FMCS and Dispute Mediation in the Federal Government, " Monthly Labor Review, May 1969,

pp. 27-29. 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.

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F e w a g reem en ts in dicated the m ethod by w hich a m ed ia tor w ould be selected . 

In those that did, som e stipulated that the m ed ia tor w ould be appointed by the F e d e ra l 

M ediation and C on cilia tion S e r v ic e , or selected by the p a rties fr o m a list supplied by 

the F M C S ; in o th e rs, such a list would be used only if the n egotiators failed to ch oose 

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.

The p a rties a lso cou ld anticipate future need fo r m ed iation , and esta b lish their own 

panel of a ccep ta b le n eutrals:

(37) 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 (47), one p arty could ca ll fo r m ed iation ; oth ers (15) req u ired 

m utual consent:

(38) . . . 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 sm a ll n um ber of a g reem en ts p reven ted p rolon g ed m ed iation by lim iting its

d u r a t io n . In g e n e r a l , th is c o n f o r m e d w ith the p o l i c y o f the F M C S to l i m i t the le n g th

of m ed iation e ffo rts . 8

(32) 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 ost m ed ia tion p ro v is io n s p rov id ed that the negotiating p a rties should divide the 

co sts of m ed iation .

(39) The expenses of mediation including the compensation and expenses of the mediator shall be borne

equally by the local and project.

S om etim es an e m p lo y e r ’ s sh are was re s tricte d by existing allow able F e d e r a l paym ents 

fo r consultants:

(40) . . . 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.

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T ab le 6. P ro c e d u r e s to r e s o lv e negotiatin g im p a s se s in F e d e r a l co lle c t iv e bargain in g a greem en ts by a gen cy , 1967

Having im p a sse re s o lu tio n p ro ce d u re s

T otal stu died 1

A g en cy T otal F actfin d in g M ed iation R e fe r r a l to h ig h e r - 

m an agem en t authority

A g r e e ­

m ents E m p loy ees A g r e e ­

m ents E m p loy ees A g r e e ­

m ents

E m p lo y e e s A g r e e ­

m ents E m p lo y e e s A g r e e ­m ents E m p lo y e e s

T o t a l---------------------------------------- 684 3 75 ,48 5 321 154, 8 0 87 45, 236 22 31, 219 77 17, 751

A g r ic u lt u r e ---------------------------------------- 14 6, 206 9 5 ,421 _ _ _ _ 7 5, 229

C o m m e r c e ------------------------------------------ 10 2, 039 5 259 - - - - 2 198

D e fe n s e ----------------------------------------------- 6 2, 766 3 563 - - - - 2 342

A ir F o r c e ------------------------------------------- 49 38, 922 15 20, 835 4 3, 091 - - 4 1, 292

A r m y --------------------------------------------------- 110 53, 931 39 24, 952 4 1, 823 5 6,851 5 3 ,0 5 2

N avy „ ____ __ 181 140, 739 5 3, 568 - - - - 1 355

H ealth, E d u cation , and W elfa re — 24 19, 569 15 7, 646 1 75 - - 8 2, 562

Inte r i o r ________________________ 45 4, 148 45 4, 148 - - 13 2, 555 2 27

J u s t ic e ------------------------------------------------- 17 2,4 6 0 17 2 ,4 6 0 - - - - i 235

L a b o r -------------------------------------------------- 2 9, 035 1 3, 835 - - 1 3, 835 - -

T ra n s p o r ta tio n --------------------------------- 34 4, 387 2 191 - - - - 1 41

T r e a s u r y ------------------------------ ------------ 9 3, 054 2 1,490 1 1, 377 - - - -

A to m ic E n ergy C o m m is s io n ---------- 7 397 3 77 - - - - 3 77

C iv il S e rv ice C o m m is s io n ------------- i 98 1 98 1 98 - - - -

G e n e ra l S e r v ic e s A d m in is tra tio n - 

In tersta te C o m m e rce

47 5, 240 46 5, 223 - -

41 4, 341

C o m m is s io n --------------------------- ------

N ation al A e ro n a u tics and Space

1 19 - - - - - • -

A d m in is tr a tio n --------- ----- — — 5 5 ,4 8 4 - - - - - - - -

N ation al L a b o r R elation s B oa rd — 5 1,529 - - - - - - - -

R a ilro a d R etirem en t B o a r d — - 1 1, 612 1 1, 612 - - - - - -

S m a ll B u sin e ss A d m in istra tio n ----- 1 28 1 28 - - - - - -

S m ith son ian In stitu tion-------------------- 3 435 2 200 - - - - - -

T a r iff C o m m is s io n --------------------------- 1 8 - - - - - - - -

T e n n e sse e V a lle y A u th o r ity ---------- 3 17, 978 3 17, 978 - - 3 17, 978 - -

V etera n s A d m in istra tion — ---------- 108 5 5,4 01 106 5 4 ,2 2 6 76 38, 772 _

H aving im p a sse re so lu tio n p r o ce d u re s— Continued

F actfin din g 

and r e fe r r a l

M ediation 

and r e fe r r a l

F a ctfin din g, 

m ediation, 

and r e fe r r a l

F actfin din g and 

m ediation N o r e fe re n c e

T o t a l___________________________ 81 45, 957 35 3, 368 8 1, 630 11 9, 649 363 220, 675

29 163 785

61

D e fe n s e ----------------------------------------------- 1 221 _ _ _ _ _ _ 3 2 , 203

105

951

444

121

80

756

685 

19 4, 170

2

8, 025 

2 ,0 1 3

71

176

28, 979 

N a v y ----------------------------------------------------- 1 137, 171

H ealth, E d u ca tion , and W elfa re — 6 5, 009 - - - - _ _ 9 11,923

In te rio r 1, 076 490

J u s t ic e ------------------------------------------------- 16 2, 225 _ _ _ .

L a b or -------------------------------------------------- - - - - - - _ _ 1 5, 200

T ra n sp o rta tio n - - ----------------------- - - 1 150 - - - - 32 4, 196

113 1, 564

A to m ic E n ergy C o m m is s io n ---------- 320 _ _ _ _ _ . 4

C iv il S e rv ice C o m m is s io n ------------- - - - _ _ _ _ _

G en era l S e rv ice s A d m in istra tion — 

In tersta te C o m m e rce

2 219 2 4 79 - -

1 184 1 17

C om m is s io n ----------------------------, ------

N ational A e ro n a u tics and Space

- - - - - - -

1 19

N ational L a b o r R elation s B oa rd — _ - _ _ _

5 1, 529

R a ilro a d R etirem en t B o a r d ---------— 1 1,612 _ _ _ _

S m a ll B u sin ess A d m in istra tio n ----- 1 28 - _ _ _ _

S m ith son ian In stitu tion-------------------- 2 200 - _ _ _ _ _ 1 235

T a r iff C o m m is s io n — - — ---------- - - - - _ _ _ _ 1 8

T e n n e sse e V a lle y A u th o r ity ---------- - - - - - - _ _ _ _

V eteran s A d m in is tr a tio n ---------------- 22 10, 661 " "

1 183 7 4, 610

_______________

2 1, 175

1 E x clu d e s n ation al P o st O ffice a greem en t.

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Chapter III. Negotiated Grievance Procedures

A lm o s t 56 p e rce n t of the a g re e m e n ts e x a m in e d r e fe r r e d to n eg otia ted g rie v a n ce 

p r o c e d u r e s ; in total, these applied to 65 p ercen t of all em p lo y e e s studied (table 7). 

Navy con tra cts included 33 p ercen t of the g riev a n ce sy stem s and 52 p ercen t of the e m ­

p loy ees c o v e r e d by them . E xcep t for the cle a r pattern in the In terior D epartm ent, 

w h ere all 45 a greem en ts con tain ed g riev a n ce p r o c e d u r e s , a gen cies w e re m o r e lik ely 

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 ith and w ith o u t s u c h s y s t e m s . 9 F o r in s t a n c e , a 

sign ifican t n um ber of A r m y and V eteran s A d m in istration con tra cts con tain ed grieva n ce 

p r o c e d u r e s , but total c o n tr a c ts 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 se w ith and th ose 

without n egotiated s y ste m s. The absen ce of n egotiated g riev a n ce p ro ce d u re s m eant 

that an e m p lo y e e having co m p la in ts had to u se the e x is tin g n on n eg otia ted a g e n c y s y s te m .

U sually lengthy, the negotiated p ro v isio n s e m b ra ce d one or m o r e of a variety of 

s u b je c t s , in clu d in g the e m p l o y e e ’ s righ t to c h o o s e e ith e r the n e g o tia te d o r a g e n cy 

sy ste m , the union's role under the p r o c e d u r e s , the n egotiated s y s te m 's s co p e , p r o c e ­

dural step s, and the em p loym en t of h earin g panels and factfinding co m m itte e s in r e a c h ­

ing settlem en t of em p loyee com p lain ts b e fo re invoking a d v iso ry arbitration . T his s e c ­

tion w ill d e s c r ib e these featu res of the g riev a n ce p ro ce d u re .

S election of G riev a n ce P ro ce d u re

W hen m aking a com p lain t, em p lo y e e s had to ch oose betw een n egotiated and agen cy 

g riev a n ce p r o c e d u r e s . N ea rly tw o-th ird s of the p ro v isio n s e x p r e s s ly set forth this right;

Employees

Agreements covered

Total with negotiated grievance procedures ------------------------------------ 380 245, 863

May select negotiated or agency procedure----------------------------------------------- 244 180, 456

Negotiated and agency procedures are integrated---------------------------------- 41 24,475

Other means of selection----------------------------------------------------------------------------- 7 3, 309

No reference to selection----------------------------------------------------------------------------- 88 37, 623

Under E xecu tive O rd er 11491, h ow ev er, s e le ctio n p ro v isio n s are lik ely to dim in ish . 

If the parties a gree and the g riev a n ce p ro ce d u re m eets standards of the E xecu tive o r d e r , 

applicable law s, the C ivil S e rv ice C o m m is s io n , and the A gen cy , the n egotiated system 

m a y b e c o m e the e x clu siv e p ro ce d u re fo r m e m b e r s of the bargain in g unit.

P ro v is io n s p resen tly stipulating the right to s e le ct a p ro ce d u re c o m m o n ly also 

state that, o n ce m a d e , the g r ie v a n t’ s c h o ic e c o u ld not be ch a n g ed :

(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 lm o s t 10 p e r c e n t o f the e m p lo y e e s under a g re e m e n ts w ith n eg otia ted g r ie v a n c e 

p ro ce d u re s w e re c o v e r e d by an integrated system . In these c a s e s , the n egotiated p r o ­

ced u re se rv e d either as a p re lim in a ry or as an optional first step to the a g e n c y p r o - 

c e d u r e . In teg ra ted s y s te m s w e r e d istin g u ish a b le fr o m th ose p r o v id in g an e m p lo y e e w ith 

a ch o ice betw een p r o c e d u r e s , firs t, by the cle a r com bin ation of both into a single 

sy ste m , and secon d , by the absen ce of the ir r e v o c a b le ch oice p ro v is io n frequ en tly

9 TVA, NASA, and the Tariff Commission also had a 100-percent incidence of negotiated procedures; but, except 

TVA's 17, 978 workers, the number of agreements and employee coverage were small.

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found in optional p ro v is io n s . A s the follow in g illu stration s show , n o rm a lly the negotiated 

p ro ce d u re was relegated to the in form a l steps at the start of the g riev a n ce p r o c e s s :

(43) Employees of the bargaining unit may use the following procedure instead of the VA procedure prescribed in VA Manual MP-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 of 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 grievance directly with the Administrator of ARS in accordance with the provisions of AM 460. 5.

The rem ainin g p ro v isio n s all in volved sp ecia l a rran gem en ts w h ich p erm itted the 

e m p loy ee to bypass agen cy p ro ce d u re s and go d ire ctly to arbitration , as in the first 

illu stration ; or w hich p rov id ed the em p loyee with additional option s, such as the right 

to w ithdraw fro m the n egotiated p ro ce d u re at any tim e in fa v or of the agen cy sy stem , 

as in the secon d exam p le:

(45) The procedure for informal adjustment of grievances outlined in MP-5, Part I, as implemented by

VA Employee Letter 0 0 -6 2 -2 , will be followed . . .

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 MP-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 Department of Health, Education and Welfare Personnel Manual.

Union R ole

T o re p re se n t all e m p lo y e e s in the unit e ffe ctiv e ly , the union m u st be fa m ilia r with 

the nature of em p loyee com p la in ts, even though e m p loy ees m a y bypass the n egotiated 

s y s te m fo r the a g e n cy s y s te m . Nine out of 10 p r o v is io n s (350 o f 380), th e r e fo r e , d e ­

cla re d that the union m u st be n otified or allow ed to o b se rv e during the fo rm a l steps 

o f the g rie v a n ce . Union p re se n ce w as not alw ays req u ired during the in form a l e a rly 

step of the p ro ce d u re w h ere em p loyee and su p e rv iso r cou ld m e e t to settle com plain ts 

on th eir ow n. P r o v is i o n s in v a ria b ly g u a ra n teed that the u n ion ’ s p r e s e n c e w o u ld not 

in terfere with the e m p lo y e e 's right to p r o c e s s his own com p lain 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 of 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 employees and management. The right of 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.

Often the union cou ld p resen t its own p osition con cern in g the com p lain t, at lea st for 

the r e c o r d :

^49) 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 organization's views concerning the case for inclusion in the record.

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Union o b s e r v e r s , h ow ev er, cou ld be exclu d ed fo r rea son s of s e cu rity o r at the 

req u est of the em p lo y e e :

(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 supervisory 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 present, . . . 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.

N orm a lly , p ro v isio n s lim ited union p re s e n ce to the fo rm a l step s, but in so m e , the union 

cou ld be brou ght in at the in form a l step as w ell, u nless the em p loyee o b jected . Som e 

p ro v isio n s stipulated that union rep resen ta tiv es w ou ld not be paid w hen acting as o b ­

s e r v e r s . This acted as a p o ssib le d eterren t to union attendance.

(52) 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. . . .

S cope of the G riev a n ce P ro ce d u re

As u sed in the F e d e ra l S e rv ice , a g riev a n ce is "a m a tter of p e rso n a l co n ce rn or 

d is s a t is fa c t io n to an e m p lo y e e the c o n s id e r a t io n o f w h ich is not c o v e r e d b y oth er s y s te 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 the a g r e e m e n t s h a v in g n e g o t ia t e d g r i e v a n c e p r o ­

ced u res sp elled out those m a tters that the p arties a g reed w ould fa ll w ithin the term s of 

this g en era l definition. In m o st c a s e s , this w as a cco m p lish e d by listing su b jects w hich 

w ou ld be exclu d ed fro m co v e ra g e under the negotiated p ro ce d u re , u su ally b eca u se they 

w e re a lrea d y under other sy ste m s. P re su m a b ly m a tters not s p e c ific a lly cited as ou tside its scop e cou ld be c o v e r e d by the negotiated sy stem . H ow ev er, su ch determ in ation s 

w ould have to be m ade through negotiations or perh aps by neutral third p a rtie s:

Scope

Total with grievance procedures---------

Total defining scope of grievance procedureBy exclusions----------------------------------------------

By general te rm s----------------------------------------

By inclusions------------------------------------------------

By inclusions and exclusions----------------------

Referring to undefined agency regulations -

No reference to scope of grievance procedure

Agreements

380

327

153

94

54

26

12

41

Employees

covered

245, 863

210, 254

129, 112

39,960

24,917

16,265

17,401

18,208

N avy a g reem en ts constituted th re e -q u a rte rs of the p ro v isio n s that defined the scop e of 

the g riev a n ce p ro ce d u re through ex clu sion .

S ubjects elim in ated fro m negotiated griev a n ce p ro ce d u re s tended to be n u m erou s 

and v a ried . A rm y and Navy a greem en ts typ ica lly listed both exclu d ed top ics and the 

agen cy sy stem s w h ich applied to th em , as in the follow in g:

10 Section 13 of Executive Order 11491 differentiates "employee grievances" from "disputes over the interpretation an

application of the agreement, " but does not define "employee grievances. "

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(53) The procedures governing appeals from adverse actions are set forth in Civilian Personnel Regulation 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 accordance 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. Reduction in force (NCPI 351)

2. Position classification (NCPI 512)

3. Performance ratings and performance rating warnings (NCPI 430)

4. Discrimination under Executive Order 10925, Equal Employment Opportunity Policy (NCPI 713)

5. Incentive awards (NCPI 450)

6. Adverse actions under P. L. 733 81st Congress, E. O. 10450 and failure to be cleared for sensitive duties (NCPI 732)

7. Ungraded rating determinations, wage and pay level determinations and pay alignments (NCPI

531)

8. Nonselection for promotion when the sole basis for the grievance is an allegation by an employee that he is better qualified than the person selected (nonappealable)

9. Decisions of the Commanding Officer, U. S. Naval Communication Station Honolulu on appeals

of earned ratings in competitive and noncompetitive promotion action (NCPI 770)

10. Appeals based on an allegation that the employee was improperly ranked in terms of qualification requirements and thus was not within the range of selection (NCPI 770)

11. 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)

12. 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)

13. Complaints based on action or unfavorable administrative decision of officials of a Naval

activity other than the Naval Communication Station Honolulu (NCPI 770)

14. Suspensions, demotions, separation and removal actions, reduction in rank or compensation

and official letters of reprimand (NCPI 770)

15. Letters of caution or requirement including notification of decision to withhold within grade

salary increase for graded employees, and oral admonishments (NCPI 750)

16. Group grievances (NCPI 721)

F e w e r than 15 p e r c e n t o f the a g r e e m e n t s d e fin e d the s c o p e o f the g r ie v a n c e p r o ­

ced u re by sp ecifyin g issu es to w h ich it applied. In citing grieva b le m a tte rs, in tro ­

d u ctory language often stipulated that the su bjects r e fe r r e d to w ere illu stra tive, rath er 

than in clu siv e. Thus, the d oor w as left open for other em p loyee com p la in ts:

(55) A "grievance" is defined as an employee's feeling of dissatisfaction with some aspect of his employment, a management decision affecting him, or an alleged violation of his rights. For example, 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.

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(44) Matters applicable under this procedure involve among other things:

(a) Working conditions.

(b) Improper application of rules and regulations.

(c) 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 establish 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 Commission.

(g) Nonselection for training opportunities.

In a fe w i n s t a n c e s , the p r o v i s i o n s d e fi n e d the g r i e v a n c e p r o c e d u r e ’ s s c o p e bylisting m a tters included and exclu d ed :

(56) 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 Government employment policy appeals (380 DM 1-8), and (2) performance rating appeals (331 DMI

and chapter P4 FPM). . . .

O ver a qu arter of the n egotiated g riev a n ce p ro ce d u re s w e re far le ss s p e cific as 

to their scop e than the p ro v isio n s p re v io u sly cited . T h ese g rie v a n ce s w e re defined 

in m o r e gen era l te rm s w h ich tended to p arap h rase the F e d e ra l P e rso n n e l M anual's 

"m a tter of p e rso n a l co n ce rn or d issa tisfa ctio n ;" and u su ally they also stipulated that 

m a tters of in terp retation or app lication of the agreem en t w ere g rie v a b le :

(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 of this agreement, the following procedure shall be adhered to:

(58) The purpose of this article is to provide for a mutually satisfactory method for settlement of questions involving the interpretation or application of this agreement or consideration of grievances

arising in the unit under the terms of this agreement or any alleged violation thereof.

T w e l v e a g r e e m e n t s d e fi n e d g r i e v a n c e s b y r e f e r r i n g to a g e n c y m a n u a l s , as in the 

fo llo w in g :

(59) 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 irtu ally all grieva n ce cla u ses in cluded an in form a l step involving a m eetin g b e ­

tw een the im m ed iate su p e rv iso r and the com plain in g em p lo y e e . As in private in du stry, 

em p h a sis is upon settlem en t of the g riev a n ce at an e a rly step, b e fo r e it b e c o m e s a 

fo r m a l com p lain t. W hile the em p loyee cou ld be a ccom p a n ied by a union rep resen ta tiv e, 

this, as noted e a r lie r , w as often a m atter of ch oice fo r the grievan t.

W hen the su p e rv iso r and em p loyee are unable to settle d iffe re n ce s at this in ­

fo r m a l stage, usu ally the em p loyee puts his com plain t in w riting.

The com p lain t m o v e s to higher levels of authority as long as the grievan 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 a c tfin d in g a n d / o r a d v i s o r y a r b it r a t io n 

m a y be em p loyed as the term in a l step. At all step s, the rights of the grievan t usu ally 

are p ro te cte d against delay by requ irin g w ritten d e cisio n s within stipulated tim e lim its.

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F eatu res of these p ro ce d u ra l steps are illu strated b elow :

(60) 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 may, 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, Miami Area, in writing within 30 calendar days after his receipt of the grievance form and pertinent attachments. If the employee is not satisfied with the decision of

the area manager . . . ^he/ 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 consideration of all pertinent data, including the report of the factfinder, shall render a final

decision which shall be binding on the parties.

(61) 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 representative 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. In the event the grievance or dispute is not satisfactorily settled, the grievance will be forwarded 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 request the matter be submitted to advisory arbitration.

F actfinding and H earin g P an els

A m on g n egotiated g riev a n ce p ro ce d u re s studied, the use of factfinding panels to 

help re so lv e em p loyee com p lain ts was not w id esp rea d . Only tw o-fifths of the a greem en ts 

(159), affectin g few er than a third of the e m p lo y e e s (7 6 ,6 3 7 ) p rov id ed for such b o a rd s. 

The low p ro p o rtio n m a y be explained, in part, b y the relia n ce on a d v iso ry arbitration 

to re s o lv e griev a n ce dispu tes.

A m o n g a g e n c ie s , o n ly In te r io r D ep a rtm en t a g r e e m e n ts r e v e a le d a high in cid e n ce 

of factfinding p ro v is io n s ; 42 of 45 p ro ce d u re s included h earin g p an els. L e ss frequ en tly 

they w e re found in N avy (38), A r m y (21), and T ra n sp orta tion (13) a g reem en ts.

P anels w e re m o r e lik ely to be co m p o s e d on ly of union and m an agem en t r e p r e ­

sentatives (82) than to in volve neutral third p a rties alone or in a trip artite a r r a n g e ­

m ent (55):

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Total with grievance procedures--------------------

Referring to factfinding or hearing panels----------------

Specifying composition of p an el--------------------------

Bipartite: Equal num bers--------------------------------

Bipartite: Unequal numbers----------------------------

Tripartite-----------------------------------------------------------

Neutral party o n ly -------------------------------------------

Other -----------------------------------------------------------------

Reference to panel; no reference to composition

Reference to undefined agency regulations------------

No reference to factfinding or hearing panels----------

Agreements

Employees

covered

380 245, 863

159 76,637

141 53, 128

50 6, 181

32 20,612

29 10, 525

26 13, 917

4 1, 893

18 23,509

19 8,626

202 160,600

E ach of the fou r a gen cies having a n um ber of panel p ro v isio n s had d istin ctly d ifferen t 

panel co m p o sitio n s. W ith one excep tion , ea ch w as re sp o n sib le fo r the la rg e st c o n ­

cen tration in one o f the cla ss ifica tio n s in the above tabulation. Only A r m y con tra cts 

a d op ted a v a r ie t y o f p a n el c o m p o s i t io n s .

In terior D epartm en t p ro v isio n s m ade up 42 of the 50 agreem en ts establish in g 

bipartite panels co m p o s e d of equal n u m bers of labor and m an agem en t re p re se n ta tiv e s:

(62) 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.

The la rg e st con cen tra tion of N avy agreem en ts (19) stipulated that its h earin g panels 

w ou ld co n sist of unequal n u m bers of m an agem en t and union re p re se n ta tiv e s. M a n a gem en t, as a ru le, ch ose the la rg e r n um ber of p a n elists, as in the follow in g:

(63) The grievance advisory committee will consist of three members appointed by the commanding

officer. One of these will be selected by the head of the union.

A n oth er 10 N avy a g r e e m e n ts r e p r e s e n te d the la r g e s t co n c e n tr a tio n o f p r o v is io n s u tilizin g 

a tripartite panel. This arran gem en t w as also set forth in a sm a ll n u m ber of A rm y 

a g reem en ts and in the Ju stice D epartm en t, fro m w h ich the follow in g illu stration w as 

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 the 13 D e p a rtm e n t o f T r a n s p o r t a t io n a g r e e m e n t s , 10 p r o v id e d f o r a n e u tra l th ird 

p a rty to rev iew the em p loyee com p la in t, as did a sca tterin g of other a g e n cie s, in ­

cluding again the Navy. The neutral cou ld co m e fro m within the agen cy, as in the 

fir s t ex a m p le, or cou ld be draw n fro m the ou tside, as in the secon 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.

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Of the 159 a greem en ts establish in g a panel or co m m itte e , 130 r e fe r r e d to its 

scop e of authority. Although m o st p ro v isio n s p erm itted the panel to re co m m e n d a 

d isp osition of the g rie v a n ce , m o st e m p loy ees w ere under p ro v isio n s re strictin g the panel 

to a finding of fa cts:

Employees

Agreements covered 1

Total referring to a panel or com m ittee----------------------------------- 159 76, 637

Specifying scope of authority----------------------------------------------------------------- 130 59,702

Limited to finding of fa c ts--------------------------------------------------------------- 43 35, 357

May recom m end------------------------------------------------------------------------------- 87 24,345

Reference to undefined agency regulation------------------------------------------ 6 591

No reference to scope----------------------------------------------------------------------------- 23 16,344

T y p i c a l o f th o s e l i m i t e d to a fin d in g o f f a c t a r e the f o l l o w i n g :

(67) Within 5 days after the conclusion of the hearing, the committee will submit to the master a

copy of the hearing record and the committee's findings of fact.

(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 hen the panel cou ld re co m m e n d , its function ap p roxim ated the resp on sib ilities 

found in a d v iso ry arbitration . O cca sio n a lly , the m in o rity cou ld give its own r e c o m ­

m en dation, as in the secon d illu stration ;

(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 disposition of the grievance appeal and shall include a minority opinion if applicable.

U sually exp en ses con n ected with factfinding w e re sh ared equ ally by the agen cy 

and the union:

(71) All the fees and expenses of the. factfinder and the factfinding process, including the fees and expenses of a reporter, if mutually agreed to by the parties, shall be shared equally by the employer

and the union.

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T ab le 7. P ro v is io n s fo r a n eg otia ted g rie v a n ce p ro ce d u re in F e d e r a l co lle c tiv e barga in in g a g re e m e n ts b y a gen cy , 1967

A g en cy

T ota l

studied

H aving a 

n egotia ted 

p ro ce d u re

No re fe re n c e

A g re e m e n 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 A g re e m e n ts E m p lo y e e s

T o t a l--------------------------------------------------- 684 3 75 ,48 5 380 2 45 ,86 3 304 129,622

A g r ic u lt u r e --------------------------------------------------- 14 6, 206 6 5 ,0 7 3 8 1, 133

C o m m e r c e ----------------------------------------------------- 10 2 ,0 3 9 7 1,810 3 229

D e fe n s e ---------------------------------------------------------- 6 2, 766 5 2, 565 1 201

A ir F o r c e ------------------------------------------------------ 49 3 8,9 22 12 5, 741 37 33, 181

A r m y -------------------------------------------------------------- 110 53, 931 53 31,849 57 2 2 ,0 8 2

N a v y ---------------------------------------------------------------- 181 140,739 127 127,321 54 13,418

H ealth, E du ca tion , and W e lfa r e -------------- 24 19,569 4 1,412 20 18,157

I n t e r io r ---------------------------------------------------------- 45 4, 148 45 4 , 148 _ -

J u s t ic e ----------------- ------------------------------------------ 17 2 ,4 6 0 8 1, 160 9 1 ,300

L a b o r ------------------------------------------------------------- 2 9, 035 1 3, 835 1 5, 200

T r a n s p o r ta tio n --------------------------------------------- 34 4, 387 30 4 , 130 4 257

T r e a s u r y -------------------------------------------------------- 9 3 ,0 5 4 4 410 5 2, 644

A to m ic E n ergy C o m m is s io n ----------------------- 7 397 - - 7 397

C iv il S e rv ice C o m m is s io n ------------------------ 1 98 - - 1 98

G e n e ra l S e rv ice s A d m in is tr a tio n ------------ 47 5 ,2 4 0 8 670 39 4, 570

In terstate C o m m e rc e C o m m is s io n --------- 1 19 - - 1 19

N ation al A e ro n a u tics and S pace

A d m in is tr a tio n ------------------------------------------ 55 5,4 8 4 5 5 ,4 8 4 _ -

N ation al L a b o r R elation s B o a r d -------------- 5 1, 529 5 1,529 _ -

R a ilro a d R e tire m e n t B o a r d ----------------------- 1 1 ,612 1 1 ,612 _ -

S m all B u s in e ss A d m in istra tio n ---------------- 1 28 - - 1 28

S m ith son ian In stitu tion ------------------------------- 3 435 3 435 - -

T a r iff C o m m is s io n -------------------------------------- 1 8 1 8 - -

T e n n e sse e V a lley A u t h o r it y --------------------- 3 17,978 3 17,978 - -

V e tera n s A d m in is tr a tio n --------------------------- 108 55,4 01 52 2 8 ,6 9 3 56 26, 708

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Chapter IV. Advisory Arbitration

U nder E xecu tive O rd er 10988, unions and F e d e r a l a g e n cie s could negotiate 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 e m p l o y e e g r i e v a n c e s . B y 1967, 7 out o f 10 n e g o ­

tiated g riev a n ce p ro ce d u re s included a d v iso ry arb itra tion , and c o v e r e d a lm ost 4 out 

o f e v e r y 5 e m p l o y e e s . T h is 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 the p r o p o r t i o n o f a g r e e ­

m ents with a d v isory a rbitration sin ce 1964, and a slight d eclin e in p rop ortion ate e m ­

p loyee co v e ra g e :

___________ 1964_______________________1967_________

Employees Employees

Agreements covered Agreements covered

Total, negotiated grievance procedures-------- 96 80,778 380 245,863

Containing advisory arbitration ------------------------------

Percent containing advisory arbitration------------------

63

6 5.6

69,926

86.6

266

70.0

194,669

7 9.2

The prop ortion ate declin e in em p loyee c o v e ra g e su ggests that new bargaining units e s ­

tablishing a d v iso ry arbitration a re s m a lle r, on the a v e ra g e , than th ose reportin g in 

1964; this, in turn, im p lie s that a d v iso ry a rbitration is tricklin g down to sm a lle r units.

M ost a greem en ts w e re con cen trated in three a g en cies (N avy, In terior, and A rm y ), 

w h i c h t o g e t h e r c o n s t it u t e d 7 out o f 10 a r b i t r a t i o n p r o v i s i o n s and a l m o s t 3 out o f 4 o f 

the 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 ch a g r e e m e n t s (ta b le 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 in e d a r b i t r a t i o n p r o v i s i o n s in 1967 c o m p a r e d w ith 10 in 1964.

A few con tra cts contained no p ro v isio n fo r a d v is o ry arbitration , but p erm itted 

reopen in g to n egotiate such a cla u se if later d evelop m en ts w arran ted adopting it:

(72) 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 . . .

Initiation of A d v is o r y A rb itra tion

A d v is o ry arbitration is not au tom atic in the g rie v a n ce p ro ce d u re . The d ecision 

to take the dispute to a rb itra tion u su ally is m ade after evaluating the iss u e s in volved 

and the ch an ces of s u c c e s s . A party to the dispute m u st invoke arbitration , often in 

w riting, and u su ally within stipulated tim e lim its after the final step in the g riev a n ce 

p ro ce d u re .

A s the follow in g tabulation sh ow s, a d v iso ry a rbitration can be initiated m ost 

often by the com plain in g e m p loy ee, le s s often by either party, and least often by their 

m utual con sen t:

Employees

Agreements covered

Specifying initiating procedures for arbitration----------- 266 194,669

At grievant's request----------------------------------------------------------------- 174 133,505

Request by either p arty------------------------------------------------------------ 71 55,371

Mutual consent ------------------------------------------------------------------------- 21 5,793

W hen the grievan t is given the right to req u est a rb itration , the final d e cisio n to 

initiate such action u su ally re sts with the union:

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(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.

Union a g reem en t to a rb itra te is im p licit w h ere the em p loyee is req u ired , as in the 

fir s t illu stration , to u se the n egotiated p ro ce d u re or w h ere it is stipulated, as in the 

secon d illu stration , that the union m u st re p re se n t the em p loyee:

(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 /union/ represents the employee and the employee submits a signed statement to

the director of personnel invoking the arbitration . . .

A t any given step, the com plain in g em p loyee m ay want to d rop his g rie v a n ce . 

E ven though the union or the e m p lo y e r m ay w ish the issu e c la r ifie d , som e cla u ses 

p r o v i d e that a r b i t r a t i o n m a y n o t b e in v o k e d w ith o u t th e c o n s e n t o f the e m p l o y e e : 11

(77) If the employer and the union fail to settle any grievance arising under Article XXIV titled Grievance Procedure with respect to the interpretation, application, or alleged violation of this agreement 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 of (1) the union, which must obtain the

consent of the employee or employees concerned, and (2) the Director of the Weather Bureau.

The few a g reem en ts w hich re q u ire d m utual con sen t of a ll the p a rties to invoke a r b itration, in effect, gave to the e m p lo y e r a veto p ow er o v e r the ca se :

(68) In the event grievances are not resolved in accordance with the provisions of Article XXI, advisory arbitration may be resorted to only in accordance with the following conditions:

. . . 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.

Other p ro v isio n s w e re m o re ex p licit in this r e s p e ct and stated that the e m p lo y e r w ill 

d ecid e upon the issu e of a rb itra b ility, but the union cou ld appeal the d e cisio n to h igh er 

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 xecu tive O rd er 10988 p la ced two lim its upon the nature of a rb itration . F ir s t, a r b itration w as to be a d v iso ry . F inal d e cisio n s still w ould be m ade by m an agem en t, and 

the a r b itr a to r 's re co m m e n d a tio n cou ld be a ccep ted o r re je c te d in w hole or in part. 

This p o licy has been abandoned in fa vor of arbitra tion with lim ited appeal to the F L R C 

in E xecu tive O rd er 1149E S econ d, a d v is o ry arbitra tion w ould be lim ited to is s u e s of 

in terp retation and application of the a g reem en t, and, binding arbitration has been e x ­

tended to e m p loy ee g rie v a n ce s. A s noted in p reviou s illu stra tion s, con tra ct p ro v isio n s 

often r e fle c t one or both of the E xecu tive O rd er 10988 lim ita tion s, by using language 

b a sica lly the sam e as that in the E xecutive o r d e r . S om etim es the lim its p la ced upon 

the a rb itra to r w ere sp elled out in fu rth er detail:

11 This requirement was set forth in Section 8 (b) of Executive Order 10988 and is continued in Section 14 of Executive

Order 11491 for employee grievances.

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(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 private industry, oth ers sp ecified the authority of the a rb itra to r by d ifferentiating betw een the action s of m an agem en t under the a g reem en t, w h ich w e r e a r ­

bitrable; and ch anges in the a greem en t or in m an agem en t p o licy , w hich w ere not a r ­

bitrable:

(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 electin g the A rb itra tor

U sually, the a g reem en t p rovid ed fo r a single a rb itra tor; only ra r e ly fo r an a r ­

bitration b oa rd , as in the follow in g:

(81) 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 arbitrators. 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 this illu stration in d ica tes, tim e lim its a re p la ced on e m p lo y e r and union r e p r e ­

s e n t a t i v e s to s e l e c t the 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 t e n d f o r f r o m 1 to Z w e e k s , 

to m ov e the g riev a n ce tow ard final solution as soon as p o ssib le .

A ll the a g reem en ts re fe rrin g to arbitration a lso r e fe r r e d to the se le ctio n of the 

a rb itra to r, but few outlined the s o u rce s fr o m w hich the selection s w ould be m ade:

Employees

Agreements covered

Referring to selection of the arbitrator------------------------ 266 194, 669

Not specifying source of arbitrator or referring to

privately established p an el---------------------------------------------------- 187 168, 144

Arbitrator from panel supplied by:

Federal Mediation and Conciliation Service-------------------- 27 4,674

American Arbitration Association-------------------------------------- 2 3, 265

Government agency other than FMCS ------------------------------ 4 13,133

Other sources of arbitrators------------------------------------------------------ 46 5,453

W hen s o u rce s of a rb itra to rs are not sp e cifie d or when the p arties establish their 

own panel, a greem en t on the ch o ice of an a rb itra tor can be rea ch ed by a tradition al 

m ethod draw n fr o m n on govern m en t c o lle c tiv e bargain in g; n am ely, the alternate striking 

of n am es fro m an od d -n u m b ered panel with the rem ain in g n am e b ecom in g the a rb itra tor:

(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 oth ers, failu re to a g ree upon an a rb itra tor within a given tim e lim it re q u ire d the 

p a rties to go to an a gen cy, such as the F e d e ra l M ediation and C on ciliation S e rv ice , 

for a panel fr o m w hich final se le ctio n w ould be m ade:

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(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 is co n ce iv a b le , am ong the 187 w hich did not sp e cify the so u rce of a rb itra tor 

or use a p re v io u sly establish ed panel fo r selection , that in p r a c tic e , the p a rties r e ­

qu ested the F M C S or an oth er a gen cy, such as the A m e r ic a n A rb itra tion A sso cia tio n 

(A A A ), to draw up a list fr o m w hich the a rb itra tor w ould be s e le cte d o r the panel 

establish ed . In 33 a g reem en ts the outside a g en cies w e re n am ed and th eir role d e ­

s crib 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.

One con tra ct s p e cifie d that the a rb itra tor had to be a F e d e ra l e m p loyee. B eca u se of 

location , this a g reem en t a lso sp e cifie d that, lacking an a rb itra to r in F e d e ra l S e rv ice 

fr o m the a re a , another p erson could be ch osen as long as he, too, w as available loca lly:

(42) Within 5 work days from the date of receipt of the arbitration request, the employer or his representative will meet with the employee and/or the union representative for the purpose of endeavoring 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 the D epartm en t of In terior, the in tegrated g rie v a n ce and a rbitration p ro ce d u re , 

illu strated b elow , p ro v id e s that if a joint g riev a n ce b oa rd cannot re s o lv e the dispute 

and the d e cisio n of m an agem en t is u n sa tisfa ctory to the grievan t, the dispute re v e rts 

to the join t g rie v a n ce b oa rd , w hich se le cts the a rb itra to r. A ll D epartm en t of In terior 

a greem en ts studied contained this p rov ision :

(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, he will within 10 calendar days

request the joint grievance board to appoint an arbitrator.

Having ch osen the a rb itra to r, the p a rties' d e sire fo r a p rom p t resolu tion of the 

dispute has resu lted in a tim e lim it upon the a rb itra to r. C om m on ly, the a rb itra tor 

m u st subm it his a d v iso ry opinion within 30 days after the c lo s e o f h ea rin g s. The 

language u tilized is a lm o st standard in F e d e ra l a g reem en ts:

(86) The arbitrator will be requested by the employer and the /u n ion /to render his recommendations

as quickly as possible, but in any event, within 30 calendar days after the close of the

proceedings.

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12 A s in p r i v a t e in 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 lly b y the p a r t i e s , 12 e x ­

cept that in the F e d e ra l G overn m en t the total c o s t is lim ited by existing ru les and 

regu lation s. The m a x im u m m on etary am ount m ay be sp ecified and rela ted ex p en ses, 

such as the c o s t of shorthand r e p o r te r s , a lso m ay be allow ed:

(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 exceed $150 per day . . .

(88) The fee and expense of the arbitrator shall be borne equally by the employer and the union provided 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 reem en t to sh are c o s t m ay sp e cify sep a ra tely item s such as a rb itra to r fees, 

a rb itra to r exp en ses, co st of hearing fa cilitie s , and co st of oth er s e r v ic e s :

(89) 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 /union/ shall share equally the expenses of any mutually agreed upon services considered

desirable or necessary in connection with the arbitration proceedings.

W hen the a rb itra to r requ ests a tra n scrip t of the p ro ce e d in g s, the p arties m ay a gree 

to sh are the c o s ts . If eith er party wants a tra n scrip t, it pays the fu ll c o s t and the 

secon d party subsequently m ay p u rch ase a copy:

(90) In those cases where either party deems it necessary, it may arrange that a transcript of the arbitration 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 fficia l T im e Off

T o facilitate the m ov em en t of com p la in ts through the g riev a n ce steps and a r b itration, o v e r th re e -q u a rte rs of the a g reem en ts having such p ro ce d u re s p erm itted paid 

t i m e o f f to p e r s o n s in v o l v e d . 13 (S ee 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 - 

fifth s o f the e m p lo y e e s u n d er n e g o tia te d g r ie v a n c e and a r b it r a tio n p r o c e d u r e s . A s a 

ru le, the p rov ision s d ifferen tiated betw een the e a rly p re p a ra to ry steps of the g r ie v ­

a n ce, and the later fo r m a l griev a n ce steps and a rbitration h ea rin gs. O fficia l tim e 

off w as p rov id ed m o s t often fo r g rie v a n ce m eetin g s, le s s often fo r a rbitration h ea rin gs, 

and least frequ en tly for p rep aration o f g rie v a n ce s:

Employees

Agreements covered

Total, with negotiated grievance procedures----------------- 380 245,863

Providing official time off -------------------------------------------------------- 291 195, 190

Grievance preparation----------------------------------------------------------- 93 94,101

Grievance processing------------------------------------------------------------- 239 175, 168

Arbitration----------------------------------------------------------------------------- 212 156,639

No reference to official time off ------------------------------------------ 89 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 and arbitration

systems, stipulates a reasonable amount of official time for grievants, representatives, and witnesses.

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The low in cid en ce of o ffic ia l leave to p rep a re for g rie v a n ce s m a y indicate that in 

m any ca s e s g riev a n ce p ro ce s s in g a lso in clu d es g rie v a n ce p rep aration . R elative to the 

t o t a l n u m b e r o f n e g o t ia t e d p r o v i s i o n s , t i m e o f f is m o r e l i k e l y to b e g r a n t e d f o r a r b i ­

tration than fo r g rie v a n ce s .

W hen tim e off w as allow ed to help p re p a re a g rie v a n ce , the cla u ses o v e rw h e lm ­

ingly applied to union rep resen ta tiv es:

Employees

Agreements covered

Total granting time off for grievance preparation------- 93 94, 101

Time off for:

Grievant ----------------------------------------------------------- ---------------------- 7 2, 249

Union representatives------------------------------------------------------------ 78 81,447

Grievant and union representative-------------------------------------- 8 10, 405

The p rev a len ce of cla u ses citing union rep resen ta tiv es and the low in cid en ce of those 

citing the g rievan t r e fle c ts , first, the u nion s' need to establish the right of its r e p ­

resen tatives to be available to s e rv ice the needs of m e m b e r s . S econ dly, the fo r m a lization into con tra ct language of existing p ra ctice s p erm its com plain in g e m p lo y e e s to 

be con su lted about their g rie v a n ce s without e co n o m ic lo s s to the union rep resen ta tiv es.

F ew p ro v isio n s left the am ount of tim e off u nlim ited. Often ju stifica tion for 

such leave was requ ired :

(51) The employee and his representative will be afforded a reasonable time, 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 justification of the need therefore, official time commensurate with said need.

Other a g reem en ts set no sp e cific tim e lim it, but u sed w ord s such as e x c e s s iv e 

or u n reason able use of tim e. In a ll of these cla u se s, the u n d erlyin g g o a l was to 

m in im ize the lo s s of p rod u ction to the e m p lo y e r. The secon d illu stration proh ibited 

the union rep resen ta tiv e fr o m solicitin g g rie v a n ce s on G overn m en t tim e:

(92) Reasonable time will . . . be granted for representatives to discuss with employees grievances and

appropriate matters directly related 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 permit . . . 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

of the matters will be utilized.

(94) The union representatives . . . may receive and investigate . . . complaints or grievances of

employees on government time or property . . . Union representatives will guard against excessive

use of time in handling matters necessitating their absence from their work assignment. The steward and union representatives may engage in such activities without suffering any loss in pay or

benefits of any kind.

P ro v is io n s stipulating tim e off w hile the g rie v a n ce was being p r o c e s s e d through 

its v a riou s steps (1) again p rovid ed o fficia l leave m o s t often to union rep re se n ta tiv e s,

(2) said little about tim e off fo r the grievan t sin ce a com plain in g e m p loy ee w ould be 

given o fficia l leave to p r o c e s s his g rie v a n ce , and (3) gran ted lea ve to w itn esses about 

as often as to union rep resen ta tiv es:

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Total granting time off for grievance processing

Time off for:

Union representative o n ly ------------------------------------------

Grievant only---------------------------------------------------------------

Witness only-----------------------------------------------------------------

Union representative and grievant --------------------------

Union representative and witness ----------------------------

Union representative, grievant, and witness ---------

Agreements

Employees

covered

239 175,168

74 25, 297

3 1,712

81 64, 803

16 12,328

52 66,147

13 4, 881

P ro v isio n s granting tim e off to grievan ts and union o fficia ls fo r p ro ce s s in g c o m ­

plaints w e re b a sica lly the sam e in language as those cited p re v io u sly fo r p rep arin g 

g rie v a n ce s , including the caution to union re p resen ta tiv es not to abuse o fficia l tim e 

off. P ro v is io n s perm ittin g o fficia l leave to w itn esses u su ally stipulated that w itn esses 

cou ld be ca lled in at any step of the p roced u re:

(95) At each and every step of 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.

O ver half of the p ro v isio n s r e fe rrin g to w itn esses w e re found in N avy a g reem en ts.

F o u r-fifth s of the a g reem en ts having a d v iso ry arbitration , co v e rin g the sam e 

p rop ortion of w o r k e r s , p rovid ed o fficia l tim e off fo r individuals participatin g in such 

h earin gs. In con tra st to those r e fe rrin g to p ro ce s s in g g r ie v a n c e s , w h ich s tr e s s e d 

t im e o f f f o r u n io n o f f i c i a l s an d w itn e s s e s , a d v i s o r y a r b i t r a t i o n p r o v i s i o n s o v e r w h e l m ­

ingly granted o fficia l lea v e to all three participan ts:

Employees

Agreements covered

Total provisions with advisory arbitration---------------------- 266 194,669

Providing official time off ------------------------------------------------------- 212 156,639

Union representatives o n ly -------------------------------------------------- 25 2,998

Witnesses o n ly ----------------------------------------------------------------------- 9 2,254

Union representatives and witnesses---------------------------------- 2 534

Union representatives, grievants, and witnesses--------------- 176 150, 853

P r o v is io n s gen era lly sch eduled h earin gs during w orking h ou rs at the sam e tim e that 

they granted full pay status to participan ts:

(53) 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 employee witnesses shall be in pay status, without charge to annual leave, while participating in the

arbitration proceedings.

In the G en era l S e rv ice s A dm in istra tion , arbitra tion h earin gs w e re scheduled during the 

day shift, but the agen cy was safegu ard ed against paying o v e rtim e w ages to p a r tic ipants:

(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.

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T able 8. P ro v is io n s fo r a d v is o ry a rb itra tio n o f g rie v a n ce s in F e d e r a l c o lle c tiv e barga in in g a g re e m e n ts by a gen cy , 1967

A g en cy

T o ta l with n egotiated 

p r o ce d u re s

T o ta l w ith a d v is o ry 

a rb itra tio n N o re fe re n c e

A g re e m e n 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 A g re e m e n ts E m p lo y e e s

T o t a l----------------------------------------------------- 380 245, 863 266 194,670 114 51, 193

A g r ic u ltu r e ----------------------------------------------------- 6 5, 073 3 3, 806 3 1, 267

C o m m e r c e ------------------------------------------------------ 7 1, 810 5 506 2 1, 304

D e fe n s e ------------------------------------------------------------ 5 2, 565 4 2, 344 1 221

A ir F o r c e ____________________________________ 12 5, 741 1 1 5, 641 1 100

A r m y ---------------------------------------------------------------- 53 31, 849 42 2 5 ,8 45 11 6, 004

N a v y _____ ___ _ _ ------------------------- ---------- 127 127, 321 100 114,576 27 12, 745

H ealth, E d u ca tion , and W e lfa r e ---------------- 4 1,412 2 1, 283 2 129

Inte rio r _____ _____ ____ ___________ _________ 45 4, 148 45 4, 148 - -

J u s t ic e ------------------------------------------------------------- 8 1, 160 5 778 3 382

L a b or -------------------------------------------------------------- 1 3, 835 1 3, 835 - -

T r a n s p o r ta tio n ------- — ---------------------------------- 30 4, 130 12 2, 141 18 1, 989

T r e a s u r y --------------------------------------------------------- 4 410 4 410 - -

A to m ic E n ergy C o m m is s io n ----------------------- - - - - - -

C iv il S e rv ice C o m m is s io n ------------------------- - - - - - -

G e n e ra l S e r v ic e s A d m in is tr a tio n ------------- 8 670 6 534 2 136

In tersta te C o m m e rc e C o m m is s io n ----------

N ation al A e ro n a u tics and S pace

- - - " -

A d m in is tr a tio n ------------------------------------------- 5 5 ,4 84 3 509 2 4, 975

N ation al L a b o r R elation s B o a r d ---------------- 5 1, 529 2 1, 260 3 269

R a ilro a d R etire m e n t B o a r d ------------------------ 1 1, 612 _ - 1 1, 612

S m all B u sin e ss A d m in istra tio n ----------------- - - - - - -

Sm ith son ian In stitu tion-------------------------------- 3 435 1 235 2 200

T a r iff C o m m is s io n --------------------------------------- 1 8 - - 1 8

T e n n e sse e V a lle y A u th o r ity ----------------------- 3 17, 978 3 17, 978 - -

V eteran s A d m in is tr a tio n ---------------------------- 52 28, 693 17 8, 841 35 19, 852

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Chapter V. Grievance, Arbitration, and Negotiation Impasse Procedures 

in the National Postal Agreement14

The N ational P ost O ffice a g reem en t c o v e r e d m o r e e m p lo y e e s (608,833) than all 

other a g reem en ts com b in ed (3 7 5 ,4 8 5 ), and constituted just over th re e -fifth s of all 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 it i o n a g r e e m e n t s in the B u r e a u ’ s study (ta b le 1). 

The six affiliated unions and u naffiliated labor organ ization w hich are p a rties to the 

a g r e e m e n t c o v e r 86 p e r c e n t o f the P o s t O f f i c e ' s 1967 e m p l o y m e n t . 15 T h e f o l l o w i n g 

table c o m p a re s em p loym en t co v e ra g e and union m e m b e rs h ip fo r 1964 and 1967 for the 

seven labor organ ization s:

Employee organization

1967 1964

Employment

coverage

Union

membership *

Employment

coverage

Union

membership1

National Association of Letter Carriers of the U. S. A --------- 192, 045 210, 000 171,351 167,913

United Federation of Postal Clerks-------------------------------------- 306,729 166,000 228,740 139,000

National Rural Letter Carriers Association (Ind.) ---------------

National Association of Post Office and General

30, 727 41,192 43,276 42,300

Service Maintenance Em ployees-------------------------------------- 21,054 13,175 19, 805 8,424

National Association of Special Delivery Messengers-------

National Federation of Post Office Motor Vehicle

4,716 2, 605 4,018 1,500

Employees---------------------------------------------------------------------------

National Association of Post Office Mail Handlers,

10,878 8,000 4,224 6, 200

Watchmen, Messengers and Group Leaders---------------------- 42, 684 24,000 (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 (Ind.).

Since 1964 the num ber of em p lo y e e s rep re se n te d by the d ep a rtm en t-w id e postal 

a g reem en t has in cre a s e d m o r e than 135,000. In addition to grow th in co v e ra g e by 

5 o f the 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 

added when the National A s s o cia tio n of P ost O ffice M ail H a n d lers, W atchm en, M e s ­

s e n g e r s and G r o u p L e a d e r s ( A F L - C I O ) 16 g a in e d e x c l u s i v e r e c o g n i t i o n in 1965.

B eyond the pu rview of this study are ap p roxim a tely 24, 500 ex clu sive recogn ition 

lo ca l units that have n egotiated m o r e than 13,000 lo ca l p ostal a g re e m e n ts. A ls o e x ­

clu ded fr o m the study's scop e are four independent unions fo rm a lly r e co g n iz e d at the 

n a t io n a l l e v e l . 17

N egotiation Im p asse P r o c e d u r e s

The d ep a rtm en t-w id e p ostal a greem en t p rov id es fo r m ediation of im p a sse s during 

national negotiations when req u ested by either party. B e fo re m ediation can be r e ­

qu ested , all n egotiable item s m u st be d isp osed of and a final effort m u st be m ade to 

r e s o lv e the d ead lock ed is s u e s . The party initiating m ed iation m u st notify the other 

party in w riting.

The m ed ia tor is ch osen fr o m a list supplied by the F e d e ra l M ediation and C on ­

cilia tion S e rv ice . Should the m ed ia tor fail to re s o lv e the im p a sse , it is r e fe r r e d to 

the P o stm a ste r G en eral for final d e cisio 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 Commission, 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.

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The National A g re e m e n t a lso p rovid ed fo r r e fe r r a l to higher m an agem en t and 

u n io n a u t h o r it y w h en l o c a l r 'g o t i a t i o n s r e a c h an i m p a s s e a ft e r 14 d a y s o f b a r g a in in g . 

A ttem pts are m ad e to settle the im p a sse , firs t by the reg ion a l d ire cto r of in du strial 

r e la tio n s and the re g io n a l e m p lo y e e r e p r e s e n ta tiv e ; fa ilin g re s o lu tio n w ithin 15 d a y s, 

the d ead lock ed issu es are fo rw a rd e d to the Deputy A ssista n t P o stm a ste r G en eral, 

B ureau of P e rso n n e l, and the rep resen ta tiv es of the national e x clu siv e labor o r g a n ization for fu rth er n egotiation , again with a 15-day tim e lim it. Settlem ent at either 

lev el is final and binding on the lo ca l n eg otia tors. F a ilu re to b rea k the d ea d lock at 

the national lev el m ean s that the issu e dies for the life of the lo ca l a g reem en t.

G riev a n ce and A rb itra tion P r o ce d u re s

A g rie v a n ce , as defined in the a g reem en t, is, "any cau se fo r d issa tisfa ction ou tside an e m p lo y e e 's co n tro l if the m a tter grow s out of em p loym en t in the p ostal se rv ice 

and the re m e d y sought is within the authority of the P o stm a ste r G en eral or other postal 

o fficia l to w hom such authority has been d elegated. " The a g reem en t ex clu d es fro m 

the g riev a n ce p roced u re m a tters such as the D ep artm en t's m is s io n , budget, tech n ology, 

organ ization al stru ctu re, and p erson n el assign m en ts "u n less such assign m en t violates 

law s, regu lation s or p o li c y ." A ls o exclu d ed fr o m the griev a n ce p ro ce d u re a re a n u m ­

b er of item s for w hich sp ecia l appeals sy stem s have been adopted. A m on g th ese are 

alleged v iola tion s of lo ca l a g re e m e n ts, appeals on p ro m o tio n s, denial of step in cre a s e s 

b eca u se of u n sa tisfa ctory p e rfo rm a n ce , a d v e rse action s, grade lev el d eterm in a tion s, 

or allegation s of d iscrim in a tion .

W hen a g riev a n ce is p r o c e s s e d , the union, if selected by the em p loyee to r e p ­

resen t h im , is entitled to be p resen t at all steps and to r e c e iv e co p ie s of w ritten 

d e cisio n s and su m m a rie s. When the grievan t d oes not select the union to rep resen t 

h im , the union, n e v e rth e le ss, retain s the right to be presen t at all steps and to state 

its position on the griev a n ce.

The n egotiated g riev a n ce p ro ce d u re is a m u ltiple step system with p ro v isio n s for 

a h earin g co m m itte e , a B oard of A p p ea ls and R eview , and a d v iso ry a rb itration . At 

the initial or in form a l step of the p ro ce d u re the g riev a n ce is d iscu sse d by the em p loyee 

with his im m ed iate su p e rv iso r. He m ay be a ccom p a n ied , if he d e s ir e s by his union 

rep re se n ta tiv e , both of w hom w ill be allow ed sufficient o fficia l tim e to p resen t the 

c o m p l a i n 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 ­

cu sse d in fo rm a lly at the secon d step with the installation head. A ltern a tiv ely , it m ay 

be red u ced to w riting and filed fo rm a lly with the installation head.

If the d e cisio n of the installation head, w hich m u st be d e liv e re d in w riting within 

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 en 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 a p p e a l. W ithin 5 d a y s a ft e r r e c e i v i n g th e in s t a l la t i o n h e a d 's w r i t t e n d e c i s i o n , the 

grievan t m a y requ est a hearin 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 

fo r m e d , con sistin g of a m e m b e r appointed by the grievan t, another appointed by the 

in stallation head, and a ch airm a n selected by the first tw o. A ll th ree m u st be e m ­

ployed in the P ost O ffice D epartm en t. The com m ittee con ducts an in form a l hearin g; 

n o w i t n e s s e s a r e c r o s s - e x a m i n e d . W ithin 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 the 

h ea rin g s, the com m ittee p re p a re s a su m m ary for the installation head, the grievan t, 

and his rep resen ta tiv e, togeth er with its d ecision . The h earin g c o m m itte e 's d e cisio n 

is bin din g u n le s s a p p e a le d w ithin 10 w o rk in g d a y s.

When the grievan t, his rep resen ta tiv e, or the installation head is not satisfied 

with the h earin g c o m m itte e 's d e cis io n , or when the grievan t has not req u ested a h e a r ­

ing, the g riev a n ce is taken to the secon d appeal le v e l. The secon d appeal le v e l v a rie s 

a cco rd in g to the type of postal installation— the R egion al D ire cto r fo r P ost O ffice s and

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R egion al H ead qu arters O ffice s , the B ureau H ead or C hief P osta l In sp ector in other 

c a s e s . B e fo re the d e cisio n at the secon d appeal le v e l, the grievan t or his r e p r e s e n ­

tative m ay requ est an in form a l d iscu ssio n with the R egion al D ire cto r of the Industrial 

R elation s D ivision who w ill attem pt to a rr iv e at a settlem en t. If tra v e l is in volved , 

the em p loyee w ill pay his own ex p en ses and take annual leave or leave without pay.

If the D ire cto r of the P e rso n n e l D ivision fa ils to r e s o lv e the issu e , the grieva n ce 

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 ithin an a d d it io n a l 10 d a y s , 

the R egion al D ire cto r w ill ren d er a d e cisio n based solely on the in form ation a lread y 

contained in the g riev a n ce file.

At this point, should the grievant w ish to appeal fu rth er, he m ay requ est a r e ­

v iew at the D epartm ent lev el by the B oa rd of A ppeals and R eview or he m ay requ est 

a d v iso ry arbitration . If selected , the B oard of A p p eals and R eview m ay grant a fu r ­

th er h earin g, or d iscu ss the ca se with the grievan t a n d /o r his rep resen ta tiv e. If 

another h earin g is held and if the national ex clu sive organ ization d oes not re p resen t 

the grievan t, it, n e v e rth e le ss, w ill be n otified, p erm itted to be presen t and to state 

its point of view on the g rie v a n ce . The d e cisio n that the B oard finally ren d ers is 

co n sid e re d to be that of the P o stm a ste r G en eral, excep t fo r p rom otion a l ap p eals. In 

that c a s e , the A ssistan t P o s tm a s te r G en eral, B ureau of P e rso n n e l, m ay ren d er a 

final d e cisio n based on the B o a r d 's re co m m e n d a tio n s. T hroughout these p ro ce d u re s 

the P o stm a ste r G en eral retains resid u a l authority.

A d v is o r y A rb itra tion

If the em p loyee c h o o s e s a d v iso ry a rbitration rath er than the B oa rd of R eview 

and A pp eals and if the union con sen ts to pay on e-h a lf the a rbitration co s t, the g r ie v ­

ance w ill be p resen ted to an a rb itra tor selected fr o m a list subm itted by the F e d e ra l 

M ediation and C on ciliation S e rv ice . Within 30 days after re ce ip t of file s , he w ill 

m ake an a d v iso ry aw ard b a sed on the r e c o r d establish ed . H is aw ard m ay be appealed 

by either party to the A ssista n t P o stm a ste r G en eral, B ureau of P e rso n n e l.

S p ecial P r o c e d u r e s

A n em p loyee m ay g rie v e denial of p rom otion under the establish ed g riev a n ce 

p ro ce d u re when the b a sis for the g riev a n ce is an a lleged p ro ce d u ra l e r r o r o r the 

g riev a n t's q u a lification s. A ny other appeal fr o m a p rom otion a l d e cisio n follow s a 

sp ecia l p ro ce d u re .

G riev a n ces allegin g violation of the lo ca l agreem en t m ay be p r o c e s s e d through 

the establish ed p ro ce d u re only through the installation head. At that point the g r ie v ­

ance is appealed to a L a b or-M a n a g em en t C om m ittee. If not re s o lv e d , the com plain t 

is ce rtifie d to the reg ion a l d ire cto r who w ill m ake the final d e cision .

G riev a n ces involving an appeal fro m a withheld salary s te p -in cre a s e are p r o c e s s e d 

through an independent p ro ce d u re w hich, in som e r e s p e c ts , d iffe rs in stru ctu re fro m 

the n egotiated p ro ce d u re . The first lev el of appeal, for ex a m p le, p rov id es fo r a fa c tfi 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 the B o a r d o f R e v i e w 

and A p p e a ls, r e fe r r e d to e a r lie r , with no r e c o u r s e to a d v iso ry arbitration .

P ay Status

The N ational P osta l a g reem en t d oes not p rovid e fo r the pay status of em p loyee 

w itn esses ca lled to testify during a g riev a n ce p roceed in g . A s noted e a r lie r , a " r e a ­

sonable am ou n t" of o fficia l tim e is p rovid ed for the em p loyee and his rep resen ta tiv e.

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Appendix A

Identification of C lau ses

A gen cy , in stallation , and em p loyee organ ization

A r m y , Atlanta A rm y D epot, F o r e s t P a rk , Ga.

S e rv ice E m p loy ees (SEIU)

A r m y , F o rt Sam H ouston, San A ntonio, Tex.

G overn m en t (A F G E )

A rm y , Ryukyu Islands C om m an d, Okinawa, Japan 

G overn m en t (A F G E )

V eteran s A dm in istra tion H ospital, B e ck le y , W .V a .

G overn m en t (A F G E )

D efen se, A rm e d F o r c e s Institute, M a d ison , W is.

G overn m en t (A F G E )

A ir F o r c e , H ill A F B , Utah 

G overn m en t (A F G E )

A rm y , New C u m berlan d A r m y D epot, New C u m berlan d , Pa.

G overn m en t (A F G E )

V eteran s A dm in istra tion H ospital, Iron M ountain, M ich .

G overn m en t (A F G E )

A rm y , U. S. A r m y E n gin eer D istrict, B a ltim o re , M d.

G overn m en t (A F G E )

A g ricu ltu re , C on su m er and M arketing S e rv ice , M eat G rading B ran ch , 

Sioux C ity, Iowa

G overn m en t (A F G E )

A rm y , B rook e A rm y M e d ica l C en ter, F o rt Sam H ouston, T ex. 

G overn m en t (A F G E )

V eteran s A d m in istra tion R egion al O ffice, L in coln , N ebr.

G overn m en t (A F G E )

V etera n s A d m in istra tio n R egion a l O ffice , P r o v id e n c e , R. I.

G overn m en t (A F G E )

A rm y , U .S . A r m y A d v iso r G roup F ort H ayes, C olu m bu s, Ohio 

G overn m en t (A F G E )

H ealth, E ducation and W e lfa re , S ocia l S ecu rity A dm in istra tion , D istrict 

O ffice , San J o s e , C alif.

G overn m en t (A F G E )

A ir F o r c e , G riffiss A F B , New Y ork 

F ire F igh ters (IA F F )

G en era l S e rv ice s A d m in istration , R egion 3, A rlin gton , Va.

F ire F igh ters (IA F F )

C o m m e r c e , W eather B ureau , E n viron m en tal S cien ce S e rv ice s A d m in ­

istra tion , J a ck son v ille, F la.

G overn m en t (A F G E )

A rm y , R ed R iver A r m y D epot, F o rt R iley , Kans.

G overn m en t (A F G E )

H ealth, E du cation and W e lfa re , S ocia l S ecu rity A dm in istra tion , P aym en t 

C en ter, P h iladelph ia, P a.

G overn m en t (A F G E )

A ir F o r c e , Luke A F B , A rizon a 

G overn m en t (A F G E )

A g ricu ltu re , C on su m er and M arketing S e rv ice , T o b a cco D ivision , 

W ashington, D. C.

T o b a cco In sp ectors (FTIM A) (Ind. )

A g ricu ltu re , N ational F o re s ts of T e x a s, Lufkin, T ex.

G overn m en t (A F G E )

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A g e n cy , in stallation , and e m p loy ee organ ization

A g ricu ltu re, A gricu ltu ra l R e s e a rch S e rv ice , A n im al D isea se L a b ora tory , 

A m e s , Iowa

G overn m en t (A F G E )

A rm y , A rm y A r m o r C en ter, F ort Knox, Ky.

R etail C lerk s (RCIA)

J u stice, U. S. P en iten tiary, L ew isb u rg , P a.

G overn m en t (A F G E )

D efen se, D efense C on tract A dm in istra tion S e rv ice s R egion , C am den, N .J . 

G overn m en t (A F G E )

C o m m e r c e , M a ritim e A d m in istration O lym pia R e se rv e F leet,

O lym pia, W ash.

G overn m en t (A F G E )

D efen se, C on tract A dm in istra tion S e rv ice s O ffice, H untsville, Ala. 

G overn m en t (A F G E )

In terior, B ureau of R ecla m a tion , R egion 6, B illin g s, M ont.

E le c tr ic a l, B roth erh ood (IBEW )

A g ricu ltu re, O ffice of the In sp ector G en era l, W ashington, D. C.

F e d e ra l E m p lo y e e s (N F F E ) (Ind. )

A rm y , A nniston A r m y D epot, A nniston, Ala.

G overn m en t (A F G E )

V eteran s A dm in istration H ospital, M o n tro se , N. Y.

F e d e ra l E m p loy ees (N F F E ) (Ind. )

A rm y , U .S . A r m y T rain in g C en ter, F o rt L eon ard W ood, M o.

R etail C lerk s (RCIA)

V eteran s A d m in istration H ospital, L o u isv ille , Ky.

G overn m en t (A F G E )

A rm y , D istrict C orp of E n g in e e rs, Savannah, Ga.

G overn m en t (A F G E )

In terior, B ureau of R ecla m a tion , C olu m bia B asin P r o je c t, E phrata, W ash.

C olu m bia B asin T ra d es C ou n cil (C B T C )

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, L e e c h F a r m R d. , P i t t s b u r g h , P a . 

P osta l and F e d e ra l (N A P F E )

In terior, B ureau of Indian A ffa ir s, W apato Irrig a tion P r o je c t , W apato, W ash.

F e d e ra l E m p lo y e e s (N F F E ) (ind. )

A ir F o r c e , W hitem an A F B , M o.

G overn m en t (A F G E )

Navy, Naval O rdnance Station, Indian H ead, M d.

M ach in ists (IAM )

A rm y , U .S . A rm y , H aw aii 

M ach in ists (IAM )

V eteran s A d m in istration H ospital, W est H aven, Conn.

G overn m en t (A F G E )

A g ricu ltu re , A gricu ltu ra l R e se a rch S e rv ice , Plant Quarantine D ivision , 

W ashington, D. C.

F e d e ra l Plant Quarantine In sp ectors (F P Q T ) (Ind. )

V eteran s A d m in istration C en ter, Dublin, Ga.

G overn m en t (A F G E )

H ealth, E ducation and W e lfa re , S ocia l S ecu rity A dm in istration , M ia m i 

D istrict O ffice, M ia m i, F la.

G overn m en t (A F G E )

A g ricu ltu re , A gricu ltu ra l R e s e a rch S e rv ice , N orth ern U tilization R e se a rch 

and D e v e l o p m e n t D iv . , P e o r i a , 111.

F e d e ra l E m p lo y e e s (N F F E ) (Ind.)

In terior, B ureau of C o m m e r c ia l F is h e r ie s , R egion I, Seattle, W ash. 

A laska F is h e r m e n 's Union (SIU)

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N avy, M arin e C orp A ir Station, C h e rry P oin t, N. C.

M ach in ists (IAM)

T ran sp ortation , C oast G uard B a se, B oston , M a ss.

G overn m en t (NAGE) (Ind. )

A ir F o r c e , Otis A F B , M a ss.

G overn m en t (N AG E) (Ind. )

A ir F o r c e , W rig h t-P a tte rso n A F B , Dayton, Ohio 

M ach in ists (IAM)

A rm y , R ed R iver A r m y D epot, T exarkan a, T ex.

C h em ica l W o rk e rs (ICW)

N avy, N aval C om m u n ication Station, H onolulu, H aw aii 

M ach in ists (IAM)

V eteran s A dm in istra tion C en ter, B ay P in es, F la.

G overn m en t (A F G E )

In terior, G e o lo g ica l S u rvey, M ap R eprod u ction B ran ch , W ashington, D. C. 

L ith ograp h ers (LPIU)

T ran sp orta tion , F e d e ra l A viation A d m in istration , H ea d q u a rters, W ash ., D .C . 

M ach in ists (IAM)

V eteran s A d m in istration H ospital, W ilm ington, Del.

L a b o re rs (LIU)

N avy, N aval A ir Station, B ru n sw ick , M aine 

G overn m en t (N AG E) (Ind. )

T ran sp orta tion , F e d e ra l A viation A dm in istration , M a im i A ir R e se a rch 

T ra ffic C on trol C en ter, M iam i, Fla.

G overn m en t (N AG E) (Ind. )

A rm y , R ed R iv er A r m y D epot, T exarkan a, T ex.

P lum bing and P ipe fitting (P P F )

In terior, B ureau of Indian A ffa ir s, Flathead Irrig a tion P r o je c t,

B illin g s, M ont.

E le c tr ic a l, B roth erh ood (IBEW )

N avy, N aval A ir Station, W hidbey Island, W ash.

G overn m en t (A F G E )

J u stice , F e d e ra l Youth C en ter, K entucky 

G overn m en t (A F G E )

N avy, P u blic W orks C en ter, P e a rl H a rb or, Haw aii 

M ach in ists (IAM)

T ran sp ortation , F e d e ra l A viation A gen cy, New C astle A irp o rt T ra ffic 

C on trol T o w e r, D el.

G overn m en t (N AGE) (Ind.)

N avy, M ilita ry Sea T ra n sp ort S e rv ice , F ar E ast A re a , Y okoham a, Japan 

M ilita ry Sea T ra n sp ort Union (SIU)

C o m m e r c e , N ational B ureau of Standards, W ashington, D. C.

M etal T ra d es C ou n cil (M T C )

In terior, B ureau of Indian A ffa ir s, C hem aw a B oardin g S chool,

C hem aw a, O reg.

F e d e ra l E m p lo y e e s (N F F E ) (Ind. )

N avy, Naval A m m u n ition D epot, Oahu, Haw aii 

G overn m en t (A F G E )

T ran sp ortation , N ational A viation F a cilitie s E xp erim en ta l C en ter,

A tlantic C ity, N. J.

M ach in ists (IAM)

N avy, M ilita ry Sea T ra n sp ort S e rv ice , A tlan tic, B rook lyn , N. Y.

National M a ritim e Union (NMU)

V eteran s A d m in istration H ospital, P ittsbu rgh , Pa.

G overn m en t (A F G E )

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A rm y , U. S. A rm y E le ctro n ic C om m an d, F o rt M onm outh, N .J .

G overn m en t (A F G E )

A ir F o r c e , M cG u ire A F B , N .J .

G overn m en t (A F G E )

A g ricu ltu re, C on su m er and M arketing S e rv ice , P ou ltry D ivision In spection , 

Atlanta, Ga.

G overn m en t (A FG E )

A r m y , R o c k I s la n d A r s e n a l , R o c k I s la n d , 111.

M ach in ists (IAM)

C o m m e r c e , W eather B ureau , E n viron m en tal S cien ce S e rv ice s A d m in istra ­

tion, New Y ork , N. Y.

G overn m en t (N AGE) (Ind. )

A rm y , M obile D istrict C orp of E n g in eers, M ob ile, Ala.

N ational M aritim e Union (N M U )

T ra n sportation , M in n eapolis A ir R e s e a rch T ra ffic C on trol C en ter, 

M in n eap olis, Minn.

G overn m en t (N AG E) (Ind. )

N avy, N aval C o n s tru ctio n B attalion C e n te r, D a v is v ille , R. I.

G overn m en t (N AG E) (Ind.)

Navy, Naval Supply C en ter, Oakland, C alif.

G overn m en t (A F G E )

T ra n sportation , R oanoke A irp o rt T ra ffic C on trol T o w e r, R oanoke, Va. 

G overn m en t (N AG E) (Ind.)

A gricu ltu re, C on su m er and M arketing S e rv ice , O ffice of the A d m in istra tor, 

W ashington, D. C.

G overn m en t (A F G E , National Joint C ou n cil of F ood In sp ection L o ca ls ) 

In terior, B onnville P ow er A d m in istration , P ortlan d , O reg.

G overn m en t (A F G E )

Navy, M arin e C orp s A ir F a cility , Santa Ana, C alif.

G overn m en t (A F G E )

Navy, Naval O cean ograp h ic O ffice, Suitland, M d.

L ith ograp h ers (LPIU )

T r e a s u ry , B ureau of E ngraving and P rin tin g, W ashington, D. C.

P rin ting P r e s s m e n (IP P A )

N avy, N aval A ir Station, V irgin ia B each , Va.

M etal T ra d es C ou n cil (M T C )

Navy, P u blic W ork s T ra n sp orta tion C en ter, San F r a n c is c o , C alif. 

M ach in ists (IAM)

C o m m e r c e , Patent O ffice, W ashington, D. C.

Patent O ffice P r o fe s s io n a l A sso cia tio n (P O P A ) (Ind. )

J u stice, F e d e ra l P r is o n C am p, A labam a 

G overn m en t (A F G E )

Navy, N orfolk Naval Shipyard, N orfolk , Va.

T ech n ica l E n gin eers (A F T E )

T re a s u ry , B ureau of E ngraving and P rin ting, W ashington, D. C.

E le c tr ic a l W ork ers (IBEW )

A rm y , F o rt L ew is, T a co m a , W ash.

M ach in ists (IAM)

G en era l S e rv ice s A dm in istration , R egion I, W altham , M a ss.

G overn m en t (N AGE) (Ind. )

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Appendix B

1968—70 National Postal Agreement’ s Grievance, Arbitration, and Negotiation Impasse Resolution Procedures

Procedures Covering Local Negotiations

. . . If the other party considers the proposal

non-negotiable, it shall so state in writing, giving specific reasons why. A mere statement such as “it is a 

prerogative of management,” is not sufficient. Any proposal 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. If agreement cannot be reached on the allegation of 

“non-negotiability”, the questions shall immediately 

be referred to the Regional Director of Industrial Relations and the Regional Representative(s) of the 

Organization(s) for joint determination. Such submissions 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) If 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, Bureau of Personnel, and the Representative(s) of

the National Exclusive Organization(s) for determination. 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 counterproposals 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 nagreement 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 procedures shall apply:

a. Impasse items shall be reported at the close of the first

14 days of negotiations and at the conclusion of negotiations to the Regional Director of Industrial Relations and the Regional Representative(s) of the 

Organization(s) for joint consideration. Such submission shall be signed by the Installation Head to the

Regional Director of Industrial Relations and the Regional 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 Personnel and the representatives of the National Exclusive Organization (s) concerned for consideration. Such 

submission shall be signed by the Regional Director of

Industrial Relations and the Regional Employee Representative^) and forwarded to the Deputy Assistant

Postmaster General, Bureau of Personnel and

the representatives of the National Exclusive

Organization(s).

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 Department. If the representative of the employee organization (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 national 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 affiliate^) of the National Exclusive Organization for

the craft, Department and/or Regional officials will

meet only with national and/or regional representatives of the National Exclusive Organization(s) concerned. If the impasse being processed involves a local

organization not affiliated with the National Exclusive Organization for the craft, Department and/or

Regional officials will meet simultaneously with the

national and/or regional representatives of the National 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 national 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 of the local agreements 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 negotiating period can be renegotiated during the life of 

the local agreement.

21. The installation head shall furnish signed copies of all 

negotiated agreements to the following: 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 National Headquarters of the National Exclusive Organization, 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 of employment in the Postal Service and the remedy sought is 

within the authority of the Postmaster General or other

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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 Department. 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 violations 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 required 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 subject to further appeal under the grievance procedure.

B. Guides for Supervisors

1. Most grievances arise from instances of misunderstandings or problems that should be settled promptly and satisfactorily on an informal basis at the supervisory levels 

before they become formal grievances. The prompt settlement of these problems is desirable in the interest of 

sound employee-management relations. To this end, the 

practice of friendly discussions of problems between employees 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 majority 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 discussion. 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 employee organization may file an appeal on behalf of an 

employee!s) provided the employee!s) has (have) so authorized 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 representative 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

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 representative. 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 informally.

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 of that organization 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 level:

1. To be notified of the time and place of the proceedings 

at each step of the grievance beginning with discussion 

with the head of 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 summary, 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 presentation 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 decision to the grievant and submit a copy to the employee’s representative, 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 installation 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,

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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 grievance 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 installation 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 informally

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 representative 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 hearing committee and he shall arrange a place for the hearing. 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 management 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 consistent with an orderly presentation of the case. While 

the hearings will not be limited by legal rules of evidence and procedures, testimony should be within reasonable 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 committee. 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 appealed at the next higher level by the grievant or his 

representative or the installation head within that period.

7. Because the decision of the hearing committee may have 

a substantial impact on the operations of the postal installation. 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 be held in abeyance unless 

changed by the second level. The decision rendered at 

the second level of appeal is binding and shall be 

promptly implemented by the 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 grievance. 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 recognition 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 attendance be charged to official time.)

3. Members of the hearing committee and representatives 

for management shall be granted official time for necessary 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 Director. 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 grievance, 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.

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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 grievant 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 Regional 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 forwarded to the grievant, his representative and the installation 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

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 Department, 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 representative shall send a signed copy of the letter of appeal to 

the Regional Director. Upon receipt of this copy of a letter 

of further appeal, the Regional Director will promptly forward the entire grievance file to the Board of Appeals and 

Review, Bureau of Personnel.

N. Review by Board of Appeals and Review, Bureau of

Personnel

1. The Board of Appeals and Review, Bureau of Personnel, 

will docket the appeal, notify the employee and other interested parties of its receipt, and schedule it for review. 

There is no right to a hearing at this level, but an additional hearing may be granted if such is deemed warranted. If 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 scheduled 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 proceedings 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

make a privileged recommendation to the Assistant Postmaster 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 exclusive 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 Supplemental Agreement on Seniority or any position or positions 

which may be added to that list that is to be filled by promotion on the basis of senior qualified. A decision may be appealed 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

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 of 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 Organizations as to the meaning and application of 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

Relations on allegations of violations of the Code of

Fair Labor Practices.

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 of discretion or policy as the mission 

of the Post Office Department, its budget, its organization, the technology of performing its work and the assignment of its personnel.

c. The arbitrator shall not have jurisdiction over 

promotions.

d. The arbitrator shall have no power to add to or subtract from, to disregard or modify, any of the terms of 

this or any agreements made by the undersigned 

parties.

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e. It is understood by the parties that any and all arbitration proceedings are:

(1) Advisory in nature with any awards or recommendations 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 individual 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 of 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 of the organization 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 of 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 appropriate representative of the employee! organization 

will alternately cross off one at a time the names of arbitrators 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 selected by the parties.

c. Within live working days after selection of the arbitrator and receipt of 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 procedures 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 of both 

parties. The power of 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 

of 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 of a transcript and any post-hearing briefs, or 

if oral hearings have been waived, then from the date 

of receipt of the final statements and proof by the arbitrator, 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 of 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 parties 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 negotiable 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 Conciliation 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 person 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 without 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 decision shall be final.

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Appendix C

G riev a n ce A rb itra tion A w ards

To p ro v id e som e insight into the issu es that w ork their w ay through the va riou s 

steps of the g riev a n ce p r o c e d u r e , this appendix p re se n ts s e v e r a l a d v iso ry a rbitration 

d e c is io n s . They illu strate c a se s in w hich g riev a n ces have been upheld or d en ied , in 

w hole or in part. Since th ese opinions antedate E xecu tive O rd e r 11491, they are all 

a d v iso ry in nature; they m ay be a ffirm ed or denied by h igh er m an agem en t authority, 

u su ally by a letter or a m em ora n d u m to the grievan t or to the union. U nder E xecu tive 

O rd e r 11491, h o w e v e r, a rbitration w ill be binding, su bject to a lim ited appeal to the 

new ly establish ed F e d e r a l L a b or R elations C ouncil.

A . U PH O LDIN G TH E A G E N C Y 'S POSITION

P re s id e n t W arden

A F G E L od ge No. 1570 F e d e ra l C o rre ctio n a l Institution

F e d e ra l C o rre ctio n a l Institution T a lla h a sse e , F lo rid a 32304

T a lla h a sse e , F lo r id a 32304

Re: W hether the M e rit P ro m o tio n P lan had been

follow ed in the fillin g of a v a ca n cy of F e d e ra l 

P r is o n In du stries F o re m a n and w hether the 

co n tra ct betw een the L od ge and the institution 

had been follow ed

G entlem en:

The g riev a n ce was filed by a m e m b e r of L odge No. 1570 of the A m e r ic a n F ed era tion 

of G overn m en t E m p loy ees A F L -C IO to d eterm in e the c o r r e c tn e s s of a p ro m o tio n and/ 

or la tera l assign m en t in con n ection with a p osition as fo re m a n of the canvas shop at 

the F e d e r a l C o rre ctio n a l Institution, T a lla h a sse e , F lorid a .

The h earin g was held in the r e cre a tio n ro o m of the F e d e ra l C o rre ctio n a l Institution, 

T a lla h a sse e , F lo rid a , on T u esd ay, N ov em b er 8, 1966.

A national rep resen ta tiv e of the A F G E (A m e rica n F ed era tion of G overn m en t E m p loy ees) 

fr o m M o n tg o m e ry , A la b a m a , p resen ted the e m p lo y e e s ' p osition .

The E m p lo y e e -M a n a g e m e n t R elations O ffice r of the B ureau of P r is o n In d u stries, 

D e p a r t m e n t o f J u s t i c e , W a s h in g t o n , D . C . , p r e s e n t e d the i n s t i t u t i o n 's s id e o f the 

question.

In e s s e n c e , the com p lain t of the A F G E was that the grievan t w as not co n sid e re d fo r 

a va ca n cy fo r w hich he w as qualified and that the v a ca n cy had not been posted. 

S p e cific attention was ca lled to S u pplem en tary A g re e m e n t (R e c 'd T a lla h a sse e , 

D e c e m b e r 13, 1965, W a rd en 's O ffice ), p a rticu la rly A r tic le I, S ection 1, secon d 

sen ten ce and A r tic le XIII, S ection 1, secon d and third sen ten ces. The grievan t also 

m a d e r e f e r e n c e to S e c t i o n 3 o f the s a m e a r t i c l e .

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A rticle XIII

P ro m o tio n s and R ea ssign m en ts

S e ctio n 1. P r o m o t io n s sh a ll be m a d e on the b a s is of q u a lific a tio n s , fitn e s s , and 

m e rit. The selectin g su p e rv iso r or o fficia l shall s e le ct that candidate who is 

b est qualified in a cco rd a n ce with the sp irit and intent of govern in g regulations 

outlined by the C iv il S e rv ice C o m m is sio n . In o rd e r to u tilize fully the talents 

and abilities of e m p loy ees in the unit who have d em on stra ted a high d e g re e of 

p oten tial fo r advan cem en t and grow th, such e m p loy ees w ill be given fu ll c o n s id ­

eration fo r all v a ca n cies w h en ever p o s s ib le . V a ca n cies w hich co m e within the 

scop e of c a r e e r field p r o g r a m s and m an d atory p la cem en t actions w ill be m ade 

in a cco rd a n ce with ap p licable regu lations.

S ection 2. In the se le ctio n p r o c e s s , due con sid era tion shall be given to the 

sen iority of the em p loyee in volved.

S ection 3. D etails of em p lo y e e s to p e r fo r m duties of a h igh er le v e l or a d ifferen t line of w ork shall be rotated, to the m a xim u m extent p r a c tic a b le , am ong 

the b est qualified e m p lo y e e s in a cco rd a n ce with app licable regu lation s. No d e ­

tail w ill be m ade to avoid the p rin cip le s of the M erit P ro m o tio n P r o g r a m .

T h e B u r e a u o f P r i s o n s D e le g a t io n o f A u th o r ity d a ted 5 - 6 - 6 6 (S e c tio n 3) u n d er 

E xplanation is h erew ith p resen ted :

3. E X P L A N A T IO N . The authority d elegated to the D ir e c to r , B ureau of

P r is o n s , and C o m m is s io n e r , F e d e ra l P r is o n 

In d u stries, In corp ora ted ,

allow s him :

a. . . . to take final action in m a tters pertaining to the em p loym en t, 

d ire ctio n , and g en era l a d m in istration (including appointm ent, assign m en t, 

trainin g, p ro m o tio n , d em otion , com p en sa tion , lea ve, cla s s ifica tio 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 in the B u r e a u o f P r i s o n s , . . .

in C la ssifica tio n A ct gra d es GS-1 through G S -13 and in w age board 

p o s itio n s .

S e c t io n I and S e c tio n II o f the M e r it P r o m o t i o n P la n a r e h e r e w ith p r e s e n t e d :

W hen h igh er p osition s b e c o m e vacant they shall be filled by p ro m o tio n of a v a ilable and qualified em p lo y e e s who have d em on stra ted a poten tial fo r advancem ent.

W hen such em p lo y e e s a re not available in the d ep artm en t or when qu alification s 

of available p e rso n s ou tside the d ep artm en t are unquestionably s u p e rio r, such 

p osition s shall be filled by appointm ent of p e rso n s outside the departm en t.

In the con sid era tion of em p lo y e e s of the dep artm en t fo r p ro m o tio n , areas of 

se le ctio n shall be su fficien tly broa d to a ssu re that the n um ber o f available ca n d idates m ak es p o s s ib le the se le ctio n of a w e ll-q u a lifie d em p loyee fo r the vacan cy 

to be filled .

M an agem en t has the resp on sib ility to fill each jo b fr o m am ong the b est qualified 

to m e e t s e r v ic e needs who are available fr o m within or without the F e d e ra l 

P r is o n S e rv ice .

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S ection II of the M erit P ro m o tio n P lan p ro v id e s:

V a ca n cies m ay be filled by rea ssign m en t o r change to low er grad e.

E m p loy ees shall be co n sid e re d au tom atically fo r all v a ca n cies that o c c u r within 

their line of w ork and fo r w hich they are qualified p rov id ed a P F -1 0 (p rom otion 

evaluation) with ap p rop riate recom m en d a tion s is on file.

4. E x h i b it 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) is the l e g a l a u t h o r i ­

zation fo r m aking the rea ssign m en t. Item 12 (N ature of A ction ) re fle cts 

R ea ssign m en t.

T h e l a s t p a r a g r a p h o f S e c t i o n I b e g in n in g " M a n a g e m e n t h a s the r e s p o n s i b i l i t y . . .

fro m within or without the F e d e ra l P r is o n S e r v ic e " is not being follow ed in this or 

other c a s e s , apparently is not d e s ire d by either the A F G E o r the P r is o n In du stries 

D iv ision of the D ep artm en t of Ju stice and it w ould be m y re co m m e n d a tio n that it be 

d eleted sin ce it is not now or lik ely to be u sed in the fu tu re, and its p r e s e n c e m a y 

cau se som e d ifficu lty in the future.

In the e m p l o y e r ’ s b r i e f o n p a g e 7 it is a l l e g e d " T h e r e w e r e no p r o t e s t s f r o m e m ­

p lo y e e s and is fir m evid en ce that the p r a c tic e (con cern in g rea ssign m en t without 

ad vertisin g) is a m atter of p o lic y and a ccep ta b le to e m p lo y e e s . "

The a b sen ce of p ro te s t d oes not constitute "fir m eviden ce that the p r a c tic e is a 

m a tter of p o lic y and accep ta b le to e m p lo y e e s ," in m y opin ion . A nother in te rp re ta ­

tion w ould be that the A F G E e x e r c is e d restra in t b eca u se it did not fe e l there was a 

qualified e m p lo y e e to fill the v acan cy. In the instant ca se they (the A F G E ) fe e l that 

it has a qu alified candidate and e le cts to p r o c e s s this as a g rie v a n ce . This is in 

a cco rd a n ce with the b a sic a g reem en t.

The grievan t was ap p roved fo r a one hundred d olla r ($100) Sustained S u perior P e r ­

fo rm a n ce A w ard on 1 1 -8 -6 0 and had a fifty d olla r ($50) aw ard ap p roved on 1 0 -1 0 -6 3 . 

A secon d fifty d olla r ($50) su ggestion aw ard was approved on 10-30-64.

The evid en ce is substantial that the em p loyee is doing a v e ry sa tisfa cto ry jo b in his 

p re se n t p osition and is highly reg a rd ed by both his e m p lo y e rs and his c o -w o r k e r s .

The facts in the ca se c le a r ly in d icate, h o w e v e r, that in the a b sen ce of a fa v ora b le 

P F -1 0 (p rom otion evaluation) along with ap propriate recom m en d a tion s on file , the 

grievan t is not being p a sse d o v e r or his rights d isre g a rd e d in any way. F a ce d with 

the p r a c tic a l p ro b le m of rea ssign in g a su perflu ou s em p loyee fr o m A tlanta to a p o s i ­

tion he was cap able of fillin g (fir s t by detail and then by rea ssign m en t) p reclu d ed 

a d vertisin g. C om m u n ication s m a y have been faulty, but certa in ly th ere was no m a lice or tr ic k e r y in volved . The rea ssign m en t does not constitute a violation of the 

su p plem en tary a g reem en t, in m y opinion.

In su m m ation - the D ep artm en t of J u s tic e 's action d oes not violate the M e rit P r o ­

m otion Plan.

R /W

R oya l M attice 

A rb itra to r

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B. M O D IFYIN G TH E A G E N C Y 'S A C T IO N

U .S . N aval Supply C enter AND The C h arleston M etal T ra d es C ou n cil

C h arleston , South C arolin a C h arleston , South C arolin a

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 , S. C . , June 7, 1967

The m a jo r facts in this ca s e a re not in dispute and have been brought out at p reviou s 

h e a r i n g s . In s u m m a r y , J. J. , a l a b o r e r w ith 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 ­

hended at the gate when leaving w ork on D e ce m b e r 28, 1966 with a p ie ce o f m etal.

B eca u se of attem pted re m o v a l of g overn m en t p ro p e rty , M r. J w as su spended fr o m 

w o r k f o r a p e r io d o f 10 w o r k d a y s , A p r i l 3, 1967 to A p r i l 14, 1967, in c l u s i v e . T h e 

union has appealed the su sp en sion , requ ests that the d iscip lin e be changed to r e p r im and, and asks that he r e c e iv e his pay fo r the 10-day p eriod o f su spension .

The union b a ses its ca se m ain ly on the follow in g:

1. M r . J h a s a th ir d g r a d e e d u c a t io n , is fu n c t io n a l ly i l l i t e r a t e , and o f l i m i t e d i n ­

tellig en ce.

2. He h a s a lon g r e c o r d o f e m p lo y m e n t at the b a s e .

3. The p ie c e o f m e t a l a lle g e d ly sto le n w a s o f n e g lig ib le valu e. It w a s in fa c t taken 

fr o m the s cra p b a rre l.

4. M r. J did not have full p rotection a fford ed by the constitution and as in terp reted 

by recen t co u rt d e cisio n s .

5. Other in sta n ce s o f p en a lties fo r theft in v olv ed ite m s o f s o m e m o n e ta r y value.

T h e U . S . N a v a l S u p p ly C e n t e r b a s e d J ’ s s u s p e n s io n on the f o llo w in g :

1. T h is is the m i n i m u m p e n a lty that ca n b e a d m i n i s t e r e d and s t i ll m a k e an i m ­

p re ssio n . Other penalties fo r theft have been o f lon g er duration.

2. T h is r e la t iv e ly ligh t p en a lty w a s a c o n s e q u e n c e of M r . J 's s e r v i c e and b e c a u s e of 

his beh avior during the p r o c e s s in g of his ca se .

3. The theft w as a c le a r v iola tion of A r t ic le X X V , N C P I 750.

4. M r. J had been in stru cted about taking p ro p e rty fr o m the base (although he 

cla im e d he thought that this did not r e fe r to trash ).

5. His righ ts w e r e n ot v io la te d at any tim e.

Opinion of the A rb itra to r

It is evident that the supply cen ter d e cisio n to suspend M r. J w as m otivated by a 

d e s ire to m od era te the penalty and still m ake an im p re s s io n , not only on M r. J but 

on oth ers with re g a rd to theft. L o s s e s of su ch a nature have been co n s id e r e d to r e ­

qu ire stron g, determ in ate action.

A t the sam e tim e, the union in su pport o f M r. J has m ade a strong c a s e . T his is 

e s p e cia lly true with re s p e c t to the m an, his r e c o r d , and the virtu ally v a lu eless m a ­

teria l. A lthough it look s as if M r. J had som e idea that what he w as doing w as 

w ron g , his g en era l b eh a v ior has re fle cte d in tegrity.

The a rb itra to r b e lie v e s that the m in im a l penalty of a rep rim a n d is w a rra n ted in this 

c a s e . In the lig h t o f a ll c i r c u m s t a n c e s , he f e e l s that the 10 d a y s ' s u s p e n s i o n w a s 

unduly s e v e re . It is h ard to b eliev e that this m an w ill e v er take anything again. 

M o r e o v e r , sin ce the theft in volved a p ie ce o f s cra p m eta l, the m in or penalty of a 

rep rim a n d cannot p o s s ib ly se rv e as a d an gerou s p reced en t.

R eco m m e n d e d D e cisio n

The a rb itra to r re co m m e n d s that the C om m anding O ffice r adjust the e a r lie r d ecision 

and g r a n t to M r . J p a y f o r the 10 d a y s w h ile s u s p e n d e d .

_______________________________________________ __________ June 28, 1967________

A rb itra to r Date

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F ro m : C om m an din g O ffice r

T o: M r. J.J., L a b o re r

S ubject: A rb itra tion ca se of you r 10-day su spen sion fo r "A ttem p ted Theft of G o v e rn ­

m ent P r o p e r ty " (first in fraction ) on 28 D e ce m b e r 1966.

1. I h a v e r e v i e w e d y o u r c a s e and y o u a r e a d v is e d that y o u r 1 0 -d a y s u s p e n s io n , w h ic h 

w a s e f f e c t e d 3 A p r i l 1967 th r o u g h 14 A p r i l 1967, is h e r e b y r e d u c e d to an o f f i c i a l 

rep rim a n d fo r "A ttem pted Theft of G overn m en t P r o p e r ty " (first in fraction ) on 

28 D e c e m b e r 1966. In a c c o r d a n c e w ith this d e c is io n , a ction is b ein g taken to pay 

you fo r the 10 days that you w e r e su sp en d ed .

C. U PH O LD IN G THE G R IE V A N T 'S POSITION

An a d v iso ry a rbitration betw een:

W ashington A re a M etal T ra d e s C ou n cil 

AND

U. S. N aval O rd n a n ce L a b o r a to r y ,

W hite Oak, M aryland

A d v is o ry O pinion A w ard 

(C laim fo r ov e rtim e pay)

A p ril 25, 1968

B e fo r e : Sam uel H. Jaffee 

A rb itra to r

L ast June, m an agem en t changed the b a sic w ork w eek of certa in re frig e ra tio n m e ch a n ­

i c s f r o m M o n d a y —F r i d a y to T u e s d a y —S a t u r d a y , on a r o ta t in g b a s i s . T h e p u r p o s e w a s 

to p rovid e a ir-co n d itio n in g s e r v ic e on Saturdays during the su m m er m onths fo r e m ­

p loy ees w ork in g Saturdays in certa in buildings.

F o r se v e ra l y e a rs in the past, during the su m m er m onths, m an agem en t had, w ith ­

out changing the b a sic w ork w eek of the m e ch a n ics, a ssign ed som e of them w ork on 

Saturdays (though not all Saturdays) fo r the sam e p u rp ose, and for such w o rk 

the m en w e re paid tim e and on e-h a lf, under the con tract, fo r the additional 

Saturday w ork .

L ast June, h ow ev er, via the change in the w ork w eek , m an agem en t paid no p rem iu m 

pay fo r the Saturday w ork , on the b a sis that Saturday w as now part of the b a sic 

w ork w eek of the e m p lo y e e s in volved during that p eriod of tim e.

T his resu lted in the p resen t dispute, the cou n cil cla im in g that m an agem en t had no 

right on the fa cts to change the b a s ic w ork w eek , m an agem en t a ssertin g it had 

such right.

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The C on tractu al A rra n gem en t

T w o docu m en ts constitute the con tractu al arra n gem en t betw een the p a rtie s , and the 

p a rties have r e fe r r e d to both. The fir s t is the c o lle ctiv e bargain in g a g reem en t 

(con tract) itse lf. The secon d con sists of certa in regu lation s, la b elled N C P I-6 1 0 , 

relating to h ours of w ork .

A . The con tra ct

A r t i c l e II is e n tit le d P r o v i s i o n s o f L a w s and 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 that the 

con tra ct is "su b je ct to the p ro v isio n s of any applicable existin g or future la w s, r e g u ­

lations or p o licie s of the F e d e ra l G overn m en t.

A r t i c l e III is e n tit le 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 lt a t io n . S e c t i o n 1 s ta t e s that 

"m a tte rs ap prop riate fo r con su ltation betw een the p a rties are p o lic ie s and p r o g r a m s 

relatin g to w orking con ditions w hich are within the d is cre tio n of the e m p lo y e r in ­

c lu d in g but n o t l i m i t 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 III, S e c t i o n 3 s ta t e s that " t h e r e m a y be 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 

not s p e cifica lly c o v e r e d by this a g reem en t or not c le a r ly defined by regu lations 

w hich have been g en era lly accep ta b le in the past. Such con ditions w ill continue for 

the e ffectiv e p e rio d of this a g reem en t su b ject to the con sid era tion s e x p r e s s e d below . 

A ny such con dition that is or m ay be co n tra ry to any ru le, regu lation o r law , or 

w hich w ould h am p er the op eration s of the e m p lo y e r, m a y be discon tinu ed or m o d ified by the e m p lo y e r. The e m p lo y e r w ill co n sid e r the view s of the C ou n cil in such 

m atters p r io r to effectin g any change. "

A r tic le IV is entitled Rights of E m p lo y e r. S ection 4 says that "In m aking ru les and 

r e g u la t i o n s . . . the e m p l o y e r s h a ll n o t n u llify o r a b r o g a t e the r ig h t s o f the C o u n c il 

or em p loyees as contained in oth er p ro v isio n s of this a greem en t. "

A r t i c l e V I is e n t it le d H o u r s o f W o r k and B a s i c W o r k w e e k . S e c t i o n 1 s a y s :

The b a sic w ork w eek w ill co n sist of five 8 -h ou r d ays, M onday through F rid 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 ­

viding n e c e s s a r y p o w e r, heat, and m ain ten an ce, or when the execu tion of the 

w ork of the la b o ra to ry w ould be a d v e rse ly affected by fa ilu re to effect a change. 

Such change w ill be m ade after consultation with the cou n cil.

1 -2 . P o lic y

G en eral.

B. N C P I-610

(2) T h e b a s i c 4 0 - h o u r w o r k w e e k s h a ll b e s c h e d u l e d o n 5 d a y s , w h ic h 

s h a ll b e M o n d a y th r o u g h F r i d a y w h e r e v e r p o s s i b l e . . .

b . S e r v i c e - t y p e fu n c tio n s

In the s e r v i c e - t y p e fu n c t io 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

around the c lo c k or on all days of the w eek , w ork sch ed u les w ill be 

f i x e d a c c o r d i n g to the n e e d f o r the s e r v i c e . . .

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1-4. D efinitions

1 /el/. S e r v ic e -ty p e functions

This in clu des functions w hich are req u ired to be p e r fo r m e d ou tside the 

a c t iv it y ’ s n o r m a l w o rk in g h o u rs o r days on a con tin u ou s b a s is , su ch 

a s : . . .

(5) U t ility 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 . . .

2-2 . Changing days or h ours of w ork

b. Changing days within the b a sic w ork w eek under sp e cia l circu m s ta n c e s . 

The days within the b a s ic w ork w eek m ay be changed as follow s:

(1) G en era l

E m p l o y e e s p e r f o r m i n g s e r v i c e - t y p e f u n c t io n s . . . r e q u i r i n g r o t a t i o n . . .

m a y have their days of w ork within the b a sic w ork w eek changed 

/o n stated n o tic e /.

C ontentions

The cou n cil has th ree b a sic a rg u m en ts, any one of w h ich, it m ain tain s, is su fficien t 

to m ake out its ca s e . T h ese argu m en ts m ay be b rie fly su m m a rize d as follow s:

1. Under the con tractu al a rra n gem en t betw een the p a rtie s , m an agem en t had no 

r ig h t to m a k e the c h a n g e at a l l , this a s id e f r o m p o in t s 2 and 3 b e l o w :

a. N C P I 1 - 2 - a (2) s a y s the b a s i c w o r k w e e k is 40 h o u r s , M o n d a y - 

F rid a y . T h ere are two excep tion s:

(1) "S e r v ic e -ty p e fu n ction s" /see 2 - 1 - h and 202 (b]_/ , and (2) w h e r e 

to fail to do oth erw ise w ould a d v e rse ly a ffect the m is s io n of the 

activity (see 1 -2 -a ). At no tim e during the g riev a n ce p r o c e d u r e 

did m an agem en t try to ju stify the change on the secon d of these 

ex cep tion s; it re lie d , in stead, so le ly on the first.

b. But a " s e r v ic e -t y p e fu n ction " was not in volved . N C P I 1 -1 -b d e ­

fines such functions as those "w h ere s e r v ic e s m u st be p rov id ed 

around the clo ck o r on all days of the w eek ..." This was not 

the situation h e re . H en ce, the only authority on w hich m an agem en t 

re lie s fo r the change does not support it.

c . V I - 1 o f the c o n t r a c t is o f n o a id to m a n a g e m e n t . T h e c o o l i n g f u n c ­

tion of the r e frig e ra tio n is not one of nam ed functions excep ted 

fr o m the M o n d a y -F rid a y w ork w eek req u irem en t of 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 the 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 that p e r ­

son n el p r a c t ic e s , g en era lly accep ta b le in the p a st, w ill continue. The e v id e n ce is c le a r that fo r the p a s t 10 y e a r s , du rin g the s u m m e r m o n th s, 

re frig e ra tio n m e ch a n ics a ssign ed to the d epartm en t a ffected had w ork ed 

Saturdays ou tside their b a sic M o n d a y -F rid a y w ork w eek , and w e re paid fo r 

the Saturday w ork on an ov e rtim e b a sis.

3. T h e c o m p a n y v i o l a t e d V I - 1 and I I I - 3 o f the c o n t r a c t w h e n it f a i l e d to c o n s u l t 

and "c o n s id e r the v ie w s " of the cou n cil b e fo re effectin g the change com p la in ed of.

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M an agem en t has th ree b a s ic argu m en ts. (M anagem ent in its le t te r -b r ie f p resen ted 

an additional one relating to c o s t-s a v in g and, in su pport, attached certa in d o c u ­

m en ta ry m a te ria l. The C oun cil o b jected to the additional argu m en t and its su p p orting m a te r ia l on the grou nd that this w as en tire ly new m a tter not in e v id e n ce . It 

is su fficien t h ere to say that this additional argu m en t w ould in any event be in su ffic ie n t to c h a n g e w h a t the 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 

argum ents m ay be su m m a rize d as follow s:

1. M a n a g e m e n t h a d the r ig h t to m a k e the c h a n g e u n d e r V I - 1 o f the c o n t r a c t .

The excep tion s th ere listed include jo b s of P u b lic W ork types in the o p e r a ­

tio n and m a i n t e n a n c e o f u t il it i e 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 io n 

fits the ex cep tion s. N C P I 1 -4 -1 / e l / a lso in d icates that s e r v ic e -ty p e fu n ctions include "U tility equipm ent op eration and s e r v ic e w a t c h e s ." H e re , then, 

w as a s e r v ic e -ty p e function p erm ittin g the change in the b a s ic w ork w eek .

The req u ired advance n otice of the change was con ced ed ly given.

2. It is not tru e, as the union a ss e rte d , that the re frig e ra tio n m ech a n ics 

w ork ed all su m m er Saturdays in the p r io r y e a r s . T hu s, there w e re fou r 

s u c c e s s iv e Saturdays in June, 1965, on w hich operation s no o v e rtim e was 

r e c o r d e d . N or was it true that ov e rtim e sch ed u les w ere set up in the past 

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 than 1 w e e k at a 

tim e, in w hich con n ection the exp ected w eather w as a fa cto r.

3. The facts indicate that th ere was ap propriate con su ltation with the union b e ­

fo r e the change was e ffe cte d , tw ice in fact.

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 ic h 

m an agem en t argued in gen era l su pported its p osition . The C ou n cil in turn d isa g re e d , 

takin g the p o s i t i o n that, if a n y th in g , th e y s u p p o r t e d the C o u n c i l ’ s v i e w s . I h a v e o f 

c o u r s e read th ese d e cisio n s and, as w e ll, the elaboration s of the argu m en ts -which 

a re h ere highly su m m a rize d .

C on clu sion s

A s I r e a d the 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 the 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 

the b a sic w ork w eek on stated advance n otice (con ced ed ly h ere given) in the follow in g 

ca s e s : (1) w h ere a " s e r v ic e -t y p e fu n ction " is in volved (1 -2 -b and 1 -4 -L ); or (2) as

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 aintenance (V I -6); or (3) w h ere m an agem en t d eterm in es that the activity w ould be 

s e rio u s ly h andicapped or a d v e rs e ly affected in its m is s io n if the change is not m ade 

(V I-1 and 1 -2 -a ); o r (4) costs w ould be substantially in cre a s e d if the change is not 

m ade (1 -2 -a ).

The union contends that m an agem en t has relied only on item (1) above. But it 

se e m s to m e that m an agem en t a lso re lie s on item (2). T h ere is no evid en ce that

(3) was in volved , and th ere w as no cla im as to (4) excep t fo r the fir s t tim e in the 

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 at, as e a r l i e r 

in dicated , con sid era tion of it w ould in any event not change the ultim ate resu lt. L et 

u s, then, co n sid e r the app lication of item s (1) and (2) to the situation h e re .

W as a " s e r v ic e -t y p e fu n ction " in v o lv e d ? It is im portan t at the ou tset to note that 

these w ord s a re defined in the con tractu al arrangem ent* and it is then, this d e finition w hich m u st co n tro l, not som e oth er. N C P I-6 1 0 , S ection 1 -2 -b , in dicates 

that s e r v ic e -ty p e functions are "w h ere s e r v ic e s m u st be p rov id ed around the clo ck 

or on all days of the w e e k ." And S ection 1 -4 - L /e lJ, says that a s e r v ic e -ty p e 

fu n c t io n " i n c l u d e s fu n c t io 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 . . . o n a c o n ­

tinuous b a sis ..."

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On this b a s is , it is d ifficu lt to understand how it can valid ly be m aintained that the 

functions in volved in this ca s e w e re " s e r v ic e -t y p e . " F o r they w e re not "p rov id ed 

around the clo c k or on all days of the w e e k ," and w ere not "con tin u ou s. " D uring 

the s u m m e r th e fu n c t io n s in q u e s t io n w e r e p e r f o r m e d 6 d a y s o f the w e e k , n ot 7, 

not Sunday. M an agem en t, arguing in e ffe ct that the functions w e re " s e r v i c e - t y p e ," 

points to the r e fe r e n c e in N C P I 1 -5 -1 / e l / relating to "U tility equipm ent op era tion 

and s e r v ic e w a t c h e s ." But this is p re ce d e d by the w ord s "o n a continuous b a s is , 

s u c h as . . . " T h e f a c t r e m a i n s that the o p e r a t i o n in q u e s t io n h e r e w a s n ot c o n ­

tinuous. Under N C P I Z -2 -a , m an agem en t cou ld not change an e m p lo y e e 's b a sic 

w o r k w e e k f o r l e s s than 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 it is a 

s e r v ic e -ty p e function requ irin g rotation. H ere the b a sic w ork w eek was p u rp orted ly 

ch anged, but though it was done on a rotating basis as fa r as the Saturday w ork 

was co n ce rn e d , it w as not a s e r v ic e -ty p e function as con tra ctu a lly defined.

M a n a g e m e n t a l s o p o in t s 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 that th is 

section does not apply b eca u se coolin g is not listed as one of the sp e cifie d e x c e p ­

tio n s . I d i s a g r e e w ith the C o u n c il 's a p p r o a c h on this a s p e c t . It is tru e that c o o l ­

ing is not s p e c ific a lly m en tion ed , but it r e fe r s to activities w h ich d ire ctly relate 

to health, and to heat, fo r exa m p le. And to say that V I-1 as a w hole d oes not 

a lso e m b ra ce coolin g is , to m e , far too rig o ro u s an in terp retation of the c le a r in ­

tent of its language.

B u t th is d o e s n o t s o l v e the 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 .

The con tractu al a rra n g em en t, and e s p e cia lly its related p r o v is io n s , m u st be read 

as a w h ole, and it rem a in s true that a s e r v ic e -ty p e function m u st be in volved to 

p e rm it what was done h e re . N C P I-6 1 0 , it m u st be em p h a sized , are e m p lo y e r - 

drafted regu lation s. M an agem en t is h ardly in a p osition to argue that it is not to 

be bound by its own regu lation s.

A s the m a t t e r s ta n d s , t h e r e f o r e , I s e e no e s c a p e f r o m the c o n c lu s io n that the 

C ou n cil's cla im of violation of the con tractu al arra n gem en t m u st be accep ted .

The C ou n cil m ak es other poin ts: That m an agem en t violated the p a st p r a c tic e cla u se

(III-3); that it violated the req u irem en t that m an agem en t con su lt the C oun cil b e fo r e 

e f f e c t i n g the c h a n g e ( V I - 1 and I I I - 3); that it a l s o v i o l a t e d the p r o v i s i o n f o r n o l a y ­

off during reg u la r h ours of the b a sic w ork w eek "to com p en sa te or o ffs e t" o v e rtim e 

h ou rs (V II-3). But these are additional independent a rgu m en ts, and in view of what 

I h a v e e a r l i e r c o n c lu d e d I s e e no n e e d to d e t e r m in e th e ir v a lid ity .

A d v is o r y A w ard

T he cla im of the C ou n cil (P lu m b e r s ' L o c a l 509) is granted: It is found that the

N. O. L. violated the con tractu al a rra n gem en t betw een the p a rties by w ron gly ch an ging the b a sic w ork w eek of the r e frig e ra tio n m ech a n ics h ere in volved , including 

certa in Saturdays in 1967 as p a rt of such b a sic w ork w eek . The em p lo y e e s thus 

a ffected a re to be m ad e w hole a cco rd in g ly . The p a rties are to com pu te the r e s u ltant d a m a g e s, with term in a l a rbitration on fa ilu re of a g reem en t in w hole or in part.

S am u el H. Jaffee 

A rb itra to r

W ashington, D. C. 

A p r il 25, 1968

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U .S . N A V A L O R D N AN CE L A B O R A T O R Y

W HITE O AK

S ilv er Spring, M aryland 20910

F r o m : The C om m an d er

To: C hief Stew ard, M etal T ra d es C ouncil

Subj: A r b itr a to r 's A d v is o ry O pinion A w ard

R e f: (a) 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

(b) A d v iso ry Opinion A w ard of 25 A p ril 1968 by A rb itra to r

1. A s r e q u ir e d b y r e f e r e n c e (a) I a m h e r e w ith tr a n s m ittin g m y d e c i s i o n as to the 

d isp osition of the su b ject griev a n ce.

2. By re fe r e n c e (b) A rb itra to r Jaffee has "found that N O L violated the con tra ctu ra l 

a rra n g em en t betw een the p a rties by w ron gly changing the b a sic w ork w eek of the r e ­

frig e ra tio n m ech a n ics h ere in volved , including certa in Saturdays in 1967 as p a rt of 

such b a sic w ork w eek . " His a d v iso ry opinion aw ard was "T h e e m p loy ees thus a ffected are to be m ade w hole a cco rd in g ly . The p a rties are to com pu te the r e s u ltant d a m a g es, with term in a l arbitration on fa ilu re of a g reem en t in w hole or in part. "

3. M y d e cis io n in this m atter is as follow s:

a. The b a sic w ork w eek was im p r o p e r ly changed fr o m M onday through F rid a y to 

T uesday through Saturday and that p a rt of the aw ard is accep ted .

b. The c o r r e c tiv e action , n am ely, to m ake the affected em p lo y e e s "w h o le " p r e ­

s u m a b ly b y r e c o m p u t i n g the e m p l o y e e s 1 c o m p e n s a t i o n at o v e r t i m e r a t e s f o r the 

Saturdays w ork ed is re je cte d sin ce there is no authority to im p lem en t this a sp ect 

of the aw ard. Under law , there is no w ay fo r the N avy D ep artm en t to pay d ire ctly 

and re tro a ctiv e ly such com p en sa tion . The only m ethod by w hich the em p loyees 

cou ld be p rov id ed any com p en sa tion would b e , fo r those e m p loy ees who had annual 

leave a vailable, to req u est annual leave fo r the M ondays they did not w ork , in 

w hich event they cou ld be com p en sa ted at ov e rtim e rates fo r the Saturday w ork.

This latter m ethod w ill be au th orized fo r those who m ake application fo r annual 

leave and who had annual leave available.

c. T e rm in a l a rbitration is re je cte d on the grounds that th ere is no p ro v is io n 

in the con tra ctu ra l a rran gem en ts fo r term in a l arbitration .

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Appendix D

Executive Order 11491: Labor-Management Relations 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 implementation 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. Policy, (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 independent 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;

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(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 participate 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 of 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 investigation 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

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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 represents 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 Service 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 require it to take such affirmative action as he considers appropriate to effectuate the policies of 

this Order.

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(c) In performing the duties imposed on him by this section, the Assistant Secretary may request 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 organization 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 organization 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 of 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 consultation 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 effectiveness, 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.

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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 organization 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 confer 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 consultation 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 substantive 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 organization 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 established 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;

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(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 representative 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 representative; 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 employees 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, personnel 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 appropriate 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 employees adversely affected by the impact of realignment of work forces or technological change.

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(c) If, in connection with negotiations, an issue develops as to whether a proposal is contrary 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 of 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 applicable 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 authorized 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 exclusive 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

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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 agreements. 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 regulations 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 provide 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 negotiation 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 resolution 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;

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(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, including 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 principles 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 consistent with the best interests of the agency, its employees, and the organization, and when the services 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 complaint 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;

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(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 standards uniformly required for admission, or for failure to tender initiation fees and dues uniformly required 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 negotiating an agreement with agency management.

Sec. 21. Allotment of dues, (a) When a labor organization holds formal or exclusive recognition, 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 employees 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 identical 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.

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Sec. 23. Agency implementation. No later than April 1, 1970, each agency shall issue appropriate 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 practices 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 represent the management officials or supervisors in private industry and which hold exclusive recognition 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 information 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 Organizations and Code of Fair Labor Practices, are revoked.

RICHARD NIXON

THE WHITE HOUSE 

October 29, 1969

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Appendix E

C om p arative A n a ly sis: E xecu tive O rd e rs 10988 and 11491

E. O. 10988 (including 

Standards and C ode) E .O . 11491 Changes

T itle

E m p loy ee-M a n a g em en t 

C oop era tion in the 

F e d e ra l S e rv ice .

L a b or-M a n a g em en t R e la ­

tions in the F e d e ra l 

S e rv ice .

New title to b etter re fle ct that 

O rd e r g overn s re sp e ctiv e rights 

and obligation s of la b or o rg a n izations and agen cy m an agem en t.

P re a m b le

E m p loy ee p articip ation 

in d eterm in in g p erson n el 

p o lic ie s con tribu tes to 

effectiv e conduct of 

p u blic b u sin ess and to 

im p ro v e d e m p lo y e e - 

m an agem en t rela tion ­

ships. E fficien t ad m in ­

istra tion and em p loyee 

w e ll-b e in g requ ire o r ­

d erly and con stru ctive 

relation sh ips with e m ­

p loy ee organ ization s. 

C lear statem ent of r e ­

sp ective rights and 

obligation s needed.

P u blic in terest req u ires 

high standards of em p loyee 

p e rfo rm a n ce and m od ern 

w ork p r a c tic e s to im p rove 

em p loyee p e rfo rm a n ce and 

e fficie n cy . O ther cla u ses 

g en era lly s im ila r to E. O. 

10988.

A dds statem ent regardin g e fficient w ork p e rfo rm a n ce . D e ­

letes statem ent that em p loyee 

p articip ation con tribu tes to e ffectiv e con duct of public 

b u s in e s s .

G en eral P ro v is io n s

F r e e right to jo in or not 

jo in la b or organ ization s. 

(S ection la)

Sam e. (S ection la) None.

Right to be an o ffic e r or 

rep resen ta tiv e, excep t 

w h ere con flict of in te rest or oth erw ise in c o m ­

patible with law or o fficia l duties. (lb )

S im ila r, excep t a su p e rv is o r m ay not p articip ate in 

the m an agem en t o r r e p r e ­

sentation of a la b or o rg a n ization (other than as e x ­

cep ted by section 24) n or 

m ay an em p loyee w h ere 

th ere w ould be co n flict or 

apparent con flict of in te rest or in com p atibility with 

law or officia l duties, (lb )

P roh ib its s u p e rv iso rs fr o m a c ting as union o ffic e r s or r e p r e - 

sen tives, with m in or excep tion . 

A dds ap pearan ce of con flict of 

in terest to lim itation on e m p lo y ­

e e s ' right to engage in the m a n ­

agem en t o r rep resen ta tion of a 

la b or organ ization.

D efines "e m p lo y e e o r ­

gan ization," excluding 

organ ization s that strike 

or a s s e r t the right to 

strik e, advocate o v e r -

D efin es "la b o r o rg a n iz a ­

tion " with s im ila r e x clu ­

sion s, but adding d is c r im ­

ination on sex or age. E x ­

clu des organ ization s of

Substitutes te rm "la b o r o rg a n ization " fo r "e m p lo y e e o rg a n iz a ­

tion. " C le a re r definition. E x ­

cept certain m a ritim e unions, 

organ ization s of m an a gers or 

s u p e rv iso rs are exclu d ed fro m

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Standards and C ode) E .O . 11491 Changes

throw of the govern m en t, 

o r d iscrim in a te on ra ce , 

c o lo r , c r e e d or national 

origin . (2)

m a n a g ers and s u p e r v is o r s .

(2e)

recog n ition as la b or o rg a n iz a ­

tions. N on d iscrim in a tion r e ­

qu irem en t extended to include 

sex and age.

No p ro v isio n . D efin es "a g en cy , " " e m ­

p lo y e e , " "s u p e r v is o r , " 

"gu ard ," and oth er te rm s 

u sed in O rd er. (2)

A dds definitions of k ey te rm s .

O rd er does not apply to 

F B I, CIA, o r to agen cy 

com pon en ts having in tellig e n ce , in vestigative, 

or se cu rity functions if 

agen cy head d eterm in es 

O rd er cannot be applied 

con sisten t with national 

se cu rity req u irem en ts. 

No appeal. (16)

S am e. (3b, 1, 2, 3) None.

No p ro v isio n . E xclu d es agen cy c o m p o ­

nents w h ich investigate e m ­

p loy ee in tegrity in p e r fo r m ­

an ce of du ties, when agen cy 

head d eterm in es O rd e r ca n ­

not be applied con sisten t 

with in tern al se cu rity of 

agen cy. No appeal. (3b4)

A dds authority fo r agen cy to e x ­

clude em p lo y e e s engaged in c e r ­

tain internal secu rity w ork.

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 veteran a d v e rse action 

appeal right, in in sta llations ou tside U. S. No 

appeal. (16)

Sam e. (3c) None.

No p ro v isio n . E m p lo y e e s in volved in a d ­

m in isterin g a la b or r e la ­

tions law or the O rd e r m ay 

not be rep resen ted by o r ­

ganizations rep resen tin g 

oth er e m p loy ees su b ject to 

such law or O rd er. (3d)

P roh ib its em p loyees who ad m in ­

is te r a la b or relation s law or 

the O rd e r fr o m being r e p r e ­

sented by a union w hich could 

be p arty to a m a tter the e m ­

p lo y e e w ould co n sid e r in the 

co u rse of his officia l duty.

A d m in istra tion

E ach agen cy resp on sib le 

fo r ob serv in g and enE sta b lish es F e d e ra l L abor 

R elations C oun cil, c o n s is tSets up to p -le v e l in tera gen cy 

co m m itte e as cen tra l authority

fo rcin g the O rd e r, the 

Standards, and the C ode 

in its own op era tion s, 

with gu idan ce, tech n ical 

a d v ice, training a s s is t ­

ance by C ivil S e rv ice

ing of CSC C hairm an , who 

is C hairm an of C oun cil, 

S e cre ta ry of L a b or, an 

o fficia l of E xecu tive O ffice 

of P re sid e n t, and other 

o fficia ls P re sid e n t m ay

to o v e r s e e p r o g r a m , settle 

p o licy is s u e s , act as final 

appeals bod y on la b o r -m a n a g e ­

m en t disputes excep t n eg otia ­

tion im p a sse s on substantive 

iss u e s.

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Standards and C ode)

C o m m is sio n . CSC r e ­

view s p r o g r a m o p e r a ­

tions, rep orts to 

P resid en t. (12)

E .O . 11491

design ate -

- to a d m in ister O rd e r, d e ­

cid e m a jo r p o licy is s u e s , 

p r e s c r ib e regu lation s, r e ­

p ort to P resid en t; and

- to co n sid e r appeals fr o m 

d e cisio n s of A ssista n t S e c ­

reta ry of L a b or, certain 

n egotiability is s u e s , e x c e p ­

tions to a rbitration aw ard s, 

oth er ap p rop riate m a tters. 

(Section 4)

Changes

P a rtie s m ay a g ree on 

techniques to a s s is t in 

resolv in g im p a sse s (6b), 

but a rbitration m ay not 

be used. (8b)

E sta b lish ed F e d e ra l S e r v ­

ice Im p a sses P anel of at 

l e a s t 3 m e m b e r s a p p o in te d 

by P resid en t. P anel has 

independent authority but is 

orga n iza tion a lly located 

within C ouncil fo r s e r v ic e s 

and staff a ssista n ce . A u ­

th orized to take action n e c ­

e s s a r y to settle im p a sse s 

on substantive issu es in n egotiation s. (5) P a rties m ay 

a g ree on techniques to a s ­

sist in resolv in g im p a sse s 

(11a), but a rbitration or 

th ird -p a rty factfinding with 

recom m en d a tion s m ay not 

be u sed excep t when e x ­

p r e s s ly au th orized by P anel. 

(17 )

Sets up h ig h -le v e l govern m en tal 

panel (P resid en tia l appoin tees) 

to a s s is t p a rties to r e s o lv e n e ­

gotiation im p a sse s o r , if they 

a re unable to with its a s s is t ­

an ce, to itse lf re so lv e im p a sse 

(final d ecision ).

D epartm en t of L ab or a s ­

sists a g en cies in r e s o lv ­

ing unit and re p re se n ta ­

tion d ispu tes. Issu es 

ru les, a rra n g es fo r adv is o r y arbitration . C osts 

re im b u rse d by a g en cies. 

( 1 1 )

A ssista n t S e cre ta ry of 

L a b o r-M a n a g e m e n t R e la ­

tions d ecid es unit and r e p ­

resen tation d ispu tes, 

su p e rv ise s election s and 

ce rtifie s resu lts, d ecid es 

disputes on eligibility fo r 

"national consultation 

righ ts, " d ecid es unfair 

la b or p r a c tic e com p lain ts 

and Standards of C onduct 

ca s e s . C osts not r e im ­

b u rsed . M ay req u ire 

a gen cy or union to cea se 

o r d e sist fr o m violation 

of the O rd e r on these m a tters and to take a p p r o p r iate a ffirm a tiv e action.

T ra n s fe rs fr o m agen cy heads to 

A ssista n t S e cre ta ry of L abor 

authority to d ecid e th ese s o - 

called "a d m in istra tiv e" d ispu tes, 

su b ject to appeal to C oun cil, and 

to o rd e r and su p erv ise election s. 

S e rv ice s p rov id ed by L abor 

without reim b u rsem en t.

( 6)

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Standards and C ode) E .O . 11491 Changes

R ecogn ition

R ecogn ition to be a c ­

co rd e d to qualified o r ­

ganizations but not to 

organ ization w hich 

agen cy head d e te rm in e s, 

a fter con su ltation with 

S e cre ta ry of L a b or, is 

su b ject to corru p t or 

u n d em ocra tic in flu en ces. 

(3a, Standards 2. 3)

S im ila r (7a, 18a), excep t 

A ssista n t S e cre ta ry of L a b or 

d e cid e s w hether o rg a n iz a ­

tion is su b ject to corru p t or 

u n d em ocra tic in flu en ces.

(6a, 4)

T ra n s fe rs fr o m agen cy heads to 

A ssista n t S e cre ta ry of L a b or 

authority to d isqu alify o rg a n iz a ­

tion fr o m recog n ition b e ca u se of 

co rru p t o r u n d e m o cra tic in flu ­

en ces.

N ew d eterm in ation of 

right to e x clu siv e r e c ­

ognition in unit not r e ­

qu ired within 12 m onths 

after p re v io u s d e te rm in ­

ation. (3b)

S im ila r, excep t s p e cifie s 

new determ in ation not r e ­

qu ired in unit o r su b d ivisio n th e r e o f w ithin 12 

m onths after p r io r valid 

e le ctio n with re s p e ct to 

unit. (7c)

A dds p o lic y that 12-m onth b ar on 

new rep resen ta tion d e cisio n s 

with r e s p e c t to unit a lso applies 

to su bd ivision s of unit, that bar 

applies only after d eterm in ation 

b a sed upon valid election .

R ecogn ition does not 

p reven t individual e m ­

p loy ee fr o m taking up 

m a tters of p e rso n a l co n ­

ce rn with agen cy m a n ­

agem en t, o r fr o m fre e 

ch oice of rep resen ta tive 

in g riev a n ce or appeal. 

(3 c 1)

Sam e. (7 c l) None.

R ecogn ition does not 

p rev en t con su ltation or 

dealings with veteran s 

organ ization s o r with 

re lig io u s, s o c ia l, or 

oth er organ ization s 

(with certa in r e s t r i c ­

tions). (3c 2, 3)

Sam e. (7d 2, 3) None.

S u p e rv iso r organ ization s 

m ay be re co g n iz e d as 

"e m p lo y e e o rg a n iz a ­

tion s. " (1, 2)

P roh ib ited . (2e) Separate 

sy ste m fo r com m u n ication 

and con su ltation with a s s o ­

ciation s of s u p e rv iso rs 

req u ired . (7e)

R elationsh ips with s u p e rv is o r 

organ ization s to be establish ed 

outside the fra m e w o rk of la b o r - 

m an agem en t relation s.

In form al recogn ition a c ­

co rd e d when organ ization 

not elig ib le fo r fo r m a l or 

ex clu siv e . Right to p r e ­

sent view s of m e m b e r s .

(4)

In form al recogn ition not to 

be a cco rd e d . (7f) E xisting 

In form al recogn ition s to be 

t e r m in a t e d 6 m o n th s f r o m 

effectiv e date of O rd er. 

(24b)

E lim in ates In form al recogn ition .

F o r m a l recog n ition a c ­

co rd e d when o rg a n iz a ­

tion has 10% m e m b e rsh ip

F o r m a l recog n ition not to 

be a cco rd e d . (8a) E x is ting F o r m a l recogn ition s to

E lim in ates F o r m a l recogn ition .

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Standards and C ode) E .O . 11491

in unit. Right to be co n ­

sulted on beh alf of m e m ­

b e r s in unit. (Not auth orized w h ere exclu sive 

recogn ition is held by 

another organ ization. )

(5)

be term in ated under reg u ­

lations w hich w ill be issu ed 

by C oun cil within y e a r fr o m 

date of O rd er. (24c)

Changes

N ational F o rm a l r e c o g ­

nition a c c o r d e d when 

agen cy head, in his sole 

ju dgm en t, d eterm in es 

organ ization has su fficien t n um ber of lo ca ls or 

m e m b e rs throughout 

agen cy. Right to be co n ­

sulted on beh alf of m e m ­

b e r s on p e rso n n e l p o licie s and p r a c tic e s and 

m a tters affectin g w o rk ­

ing con dition s, to d is ­

cu ss such m atters and 

p re se n t view s in w riting.

(5)

E xclu siv e recogn ition 

a cc o r d e d when org a n iz a ­

tion has 10% m e m b e r ­

ship and is design ated or 

s e le cte d by m a jo rity of 

em p loyees in app rop riate 

unit. (6a) E lection gen ­

era lly valid only when 

votes are cast by 60% of 

em p loyees p re se n t and 

eligib le to vote. (A d m in ­

istra tive rule. )

N ational F o r m a l recogn ition 

not to be a cco rd e d . (8a) 

E xisting N ational F o rm a l 

recogn ition s to be t e r m inated as a b ove. (24c) N ational C onsultation Rights 

a c c o r d e d b a sed upon c r i ­

teria to be establish ed by 

C oun cil. Right to com m en t 

on p ro p o se d substantive 

changes in p erso n n e l p o lic ie s , to su ggest changes in 

p e rso n n e l p o lic ie s , to co n ­

fe r in p e rs o n on such p o licie s and p re se n t view s in 

w riting. N C R not a cc o r d e d 

fo r unit co v e re d by N ational 

E x clu siv e recogn ition . O r ­

ganization m ay appeal to 

A ssista n t S e cre ta ry of 

L ab or agen cy d e cisio n not 

to gran t N C R. (9)

E x clu siv e recogn ition a c ­

co rd e d organ ization selected 

in s e c r e t ballot election by 

m a jo rity of e m p lo y e e s .

(10a)

E lim in ates N ational F o r m a l r e c ­

ognition. Substitutes N ational 

C onsultation Rights with su bject 

m atter lim ited to p erson n el 

p o licy , nature of "con su lta tion " 

m o r e cle a rly defined, s p e cific 

crite r ia fo r granting to be p r o ­

vided, right of appeal when N C R 

not granted.

Ends granting of E x clu siv e r e c ­

ognition on b a sis of m e m b e r ­

ship, petition, au th orization 

ca rd s. E lection req u ired in all 

ca s e s . D eletes req u irem en t of 

10% m e m b e rsh ip . D eletes 60% 

rep resen ta tive vote rule.

"A p p rop ria te unit" d e te r ­

m ined on installation, 

cra ft, functional o r other 

b a sis w hich w ill en su re 

com m u n ity of in terest 

am ong e m p loy ees in unit. 

M ay not be b a sed solely 

on extent of organ ization. 

M ay not include m a n a g erial ex ecu tiv es, n on ­

c le r ic a l p e rso n n e l w o rk -

S im ila r, excep t unit is to 

en su re com m u n ity of in te rest am ong e m p loy ees co n ­

cern ed and to p ro m o te e ffectiv e dealings and e fficie n cy of agen cy op era tion s. 

A ls o unit m ay not include 

s u p e rv is o rs (with m in or 

ex cep tion s), or guards 

togeth er with oth er e m ­

p l o y e e s . (1 0b) S u p e r v i s o r s

A dds con sid era tion of effective 

dealings and e fficie n cy of agen cy 

operation s to e m p loy ee com m u n ­

ity of in terest as b a sis fo r d e te rm ining ap p rop riate unit. E x ­

clu des s u p e rv iso rs fr o m new 

units and within y e a r, fr o m e x ­

isting units. S eparates guards 

fro m other em p lo y e e s in new 

units establish ed.

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e r s , s u p e rv is o rs with 

em p lo y e e s su p erv ised , 

p r o fe s s io n a ls with nonp r o fe s s io n a ls u nless 

p r o fe s s io n a ls vote fo r 

in clu sion . (6a)

No p ro v isio n .

to be exclu ded fr o m existing 

units within y ea r fr o m e ffe ctiv e date of O rd er. (24d)

E x clu siv e recogn ition to 

re p re se n t unit of guards not 

to be a c c o r d e d to o rg a n iz a ­

tion w hich adm its oth er e m ­

p lo y e e s to m e m b e rsh ip or 

is affiliated with such 

organ ization . (10c)

Ends granting of rep resen ta tion 

rights fo r gu ards to o rg a n iz a ­

tions w hich re p re se n t oth er e m ­

p lo y e e s. C u rren t rep resen tation 

rights not a ffected .

E x clu siv e recog n ition e s ­

tablish es right of o rg a n ization to act fo r and 

negotiate a g reem en ts 

co v e rin g all e m p lo y e e s in 

unit, obligation to r e p r e ­

sent in terests of all e m ­

p lo y e e s without d is c r im ­

ination o r reg a rd to 

m e m b e rsh ip , opportunity 

to be rep resen ted at d is ­

cu ssion s betw een m an ­

agem en t and em p loyees 

o r em p loyee re p re s e n ta ­

tives con cern in g g r ie v ­

a n ce s, p e rso n n e l p o lic ie s 

and p r a c tic e s , other 

m a tters affectin g w o rk ­

ing con ditions in unit.

(6b)

S am e, excep t opportunity 

to be rep resen ted at " d i s ­

c u s s io n s " is s p e cifie d as 

fo r m a l d is cu s s io n s . (10e)

M in or cla rifica tio n .

A greem en ts

A gen cy and organ ization 

req u ired to m eet and n egotiate on p erso n n e l 

p o lic y and p r a c tic e s and 

m a tters affectin g w o r k ­

ing con d ition s, su b ject 

to law and p o lic y req u ire 

m en ts. (6b)

O bligation to con su lt or 

negotiate does not include 

a g e n cy 's m is s io n , budget, 

orga n iza tion , and assign -

S im ila r, excep t req u ires 

n egotiation "in good faith" 

and m akes n egotiation su bje c t to ap p licable law s and 

regu lation s, including p o licie s set forth in the F e d e ra l 

P e rs o n n e l M anual, p u blish ed agen cy p o lic ie s and 

p r o c e d u r e s , a national or 

oth er con trollin g a g r e e ­

m ent at a h igh er le v e l in 

the agen cy, and the 

O rd er. (11a)

S im ila r, excep t "a s s ig n ­

m ent of p e rs o n n e l" is r e ­

p laced by "the n um ber of 

e m p l o y e e s ; and the n u m b e rs ,.

A dds req u irem en t that both p a r ­

ties negotiate in good faith. 

C la rifies fra m e w o rk of law and 

p o licy within w hich negotiation 

takes p la ce.

C la rifies exclu sion s fr o m the 

sco p e of n egotiations and adds 

new one: "in tern al se cu rity

p r a c tic e s . "

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m en t of p erson n el, te ch ­

n ology of p e rfo rm in g the 

w ork . (6b)

typ es, and g rad es of p o s itions or e m p loy ees a ssign ed 

to an organ ization al unit, 

w ork p r o je c t o r tour of 

du ty;" and additional area 

"in tern al se cu rity p r a c tic e s " 

is exclu ded. M ay negotiate 

ap p rop riate a rran gem en ts 

fo r e m p loy ees a d v e rse ly a ffected by im p a ct of re a lig n ­

m ent of w ork fo r c e s o r te ch ­

n o lo g ica l change, ( l ib )

Changes

No p ro v isio n .

A pp lication of agreem en t 

p ro v is io n s is su bject to 

existin g o r future law s, 

regu lation s, and F P M 

p o lic ie s . (7)

A gen cy m an agem en t r e ­

tains right to d ire ct e m ­

p lo y e e s; to h ire , p r o ­

m ote, a ssign , retain, 

d iscip lin e or lay off; to 

m aintain e fficie n cy ; to 

d eterm in e m eth od s, 

m ean s and p erson n el fo r 

doing the w ork ; to take 

n e c e s s a r y action in 

e m e rg e n cy . (7)

No p ro v isio n .

Issu es as to w hether a p r o ­

p osa l is not n egotiable b e ­

cau se con tra ry to law , r e g ­

ulation, con trollin g a g r e e ­

m ent, o r the O rd e r a re to 

be re so lv e d in a s p e cifie d 

m anner— by a g reem en t p r o ­

ce d u re s, by agen cy head or 

by C oun cil, depending upon 

c ircu m s ta n c e s . (11c)

S im ila r, excep t an a g r e e ­

m ent is not su bject to future 

agen cy regu lations u nless 

they are req u ired by law , 

by regu lations of an au th ority outside the agen cy, or 

are au th orized by c o n tr o lling agreem en t. (12a)

Sam e. (12b)

A g reem en t m ay not requ ire 

an em p loyee to b e c o m e or 

rem ain a union m e m b e r, 

or to pay m on ey to a union 

excep t as he volu n tarily 

au th orizes fo r paym ent of 

dues through p a y ro ll d e ­

du ction s. (12c)

A dds ru les fo r settling disputes 

on n egotiability is s u e s . Right of 

appeal to C ouncil on iss u e s in ­

volving law , regu lations of auth orities outside the agen cy, or 

the O rd er.

A dds p o licy to p ro te ct an a g ree 

m ent, during its te rm , fr o m 

e ffe ct of change in agen cy r e g ­

ulations unless the change is 

re q u ire d by outside authority.

None.

P roh ib its a g reem en ts p rovid in g 

fo r union shop, agen cy shop, or 

m aintenance of m e m b e rsh ip .

A greem en ts m ay contain 

g riev a n ce p r o c e d u r e s 

w hich m eet CSC standA greem en ts m ay contain 

em p loyee g rie v a n ce p r o c e ­

du res w hich m eet CSC r e -

P e rm its elim in ation of dual 

"a g e n cy s y s te m " and "n e g o ­

tiated sy s te m " fo r resolvin g

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ards and do not im p a ir 

rights oth erw ise a v a ilable to e m p lo y e e s . A d ­

v is o r y a rbitration m ay 

be u sed with approval 

of union and em p loyees 

con cern ed . A r b itr a to r 's 

recom m en d a tion su bject 

to d e cisio n of agen cy 

head. (8)

B a s ic or initial a g r e e ­

m en t m u st be ap p roved 

by agen cy head o r his 

d esign ee. (7)

N egotiation D isputes and

E .O . 11491 Changes

q u irem en ts, m ay m ake 

them the only g riev a n ce 

p r o c e d u r e s available to e m ­

p lo y e e s in the unit, and 

m ay p ro v id e fo r arbitration 

(with union and em p loyee 

con sen t and co s t-s h a rin g by 

union and agen cy). A g r e e ­

m ents m ay a lso contain 

p r o c e d u r e s fo r c o n s id e r a ­

tion of disputes o v e r in te rp retation and application of 

a g reem en t, including a r b itration of such disputes with 

con sen t of the union (c o s tsharing by union and agency). 

U nder both em p loyee g r ie v ­

an ce p ro ce d u re and a g r e e ­

m en t dispute p ro ce d u re 

eith er p arty m ay file e x c e p ­

tions to a r b itra to r's aw ard 

with the C oun cil, su b ject to 

its regu lation s. (13, 14)

em p loyee g rie v a n ce s. E lim in ates 

"a d v is o r y " arbitration , p r o v id ­

ing lim ited appeal to the C ouncil 

fr o m arbitration a w ard s. A u ­

th o rize s p r o c e d u r e s fo r r e s o lv ­

ing disputes a risin g in a d m in istration of a g re e m e n ts, including 

use of arbitration . R eq u ires 

that co sts of a rb itra to r be shared 

equally.

A ll a g reem en ts are su bject 

to a p p roval by agen cy head 

o r his d esign ee. A g reem en t 

m u st be ap proved if it c o n ­

fo r m s with law , pu blish ed 

agen cy p o lic ie s and reg u la ­

tions (unless agen cy has 

granted excep tion ), and r e g ­

ulations of oth er ap p rop riate 

au th orities. L o ca l a g r e e ­

m en t su b ject to con trollin g 

a g re e m e n t at h igh er lev el 

is ap p roved under p r o c e ­

d u res of con trollin g a g r e e ­

m ent. (15)

L im its agen cy h ead qu arters auth ority to d isa p p rove lo c a lly n e ­

gotiated a g reem en ts. D isa p p rova l 

m u st be b a sed so le ly upon co n ­

flict with a p p licable law , p o licy 

o r regu lation s, not "s e c o n d 

g u essin g " on a p p rop ria ten ess or 

d esira b ility of a g reem en t p r o ­

v ision s.

Im p a sses

No p ro v isio n .

No p ro v isio n .

F e d e ra l M ediation and C on ­

ciliation S e rv ice is d ire cte d 

to a s s is t p a rties in r e s o lv ­

ing negotiation dispu tes, 

su b ject to its ru les. (16)

If F M C S o r oth er th ird - 

p a rty m ed iation fails to r e ­

solv e a negotiation im p a sse 

eith er p arty m ay requ est 

the F e d e ra l S e rv ice . Im ­

p a s s e s P an el to co n sid e r 

the m atter. P an el m ay, in

A u th orizes full F M C S s e r v ic e s 

to a ssist p a rties in negotiating 

a g reem en ts.

A dds FSIP s e r v ic e to bring 

about final resolu tion of 

negotiation im p a sse s if 

m ed iation is u n su ccessfu l.

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Standards and Code) E .O . 11491 Changes

C onduct of L abor O rganiz

its d is cre tio n and under its 

ru les, co n sid e r the im ­

p a sse ; m ay re co m m e n d 

p r o c e d u r e s to the p a rties 

fo r resolu tion of im p a sse , 

o r settle the im p a sse itself. 

A rb itra tion or th ird -p a rty 

factfinding with r e c o m ­

m en dations m ay be u sed by 

the p a rties only when auth orized or d ire cte d by the 

P anel. (17)

ations and M anagem ent

Standards of Conduct for 

E m p loy ee O rgan ization s 

req u ire re co g n ize d o r ­

ganizations to su b scrib e 

and adh ere to internal 

d e m o c r a tic p r a c tic e s , 

exclu de fr o m o ffice p e r ­

sons affiliated with C o m ­

m u n ist, totalitarian or 

co rru p t in flu en ces, p r o ­

hibit o ffic e r s and agents 

fr o m having b u sin ess or 

finan cial co n flicts of inte re st, m aintain fis c a l 

in tegrity. A gen cy m ust 

deny, suspend or w ith ­

draw recogn ition if it 

d eterm in es, after h e a r ­

ing and consultation with 

S e cre ta ry of L a b or, that 

organ ization s does not 

m eet the Standards.

C ode of F a ir L abor 

P r a c tic e s proh ibits 

certa in unfair labor 

p r a c tic e s by agen cy 

m an agem en t and r e c o g ­

n ized organ ization s. 

U n less com p lain t of 

violation is su b ject to 

available g riev a n ce or 

appeals p r o c e d u r e , 

agen cy in vestiga tes, 

trie s fo r in form a l r e s o ­

lution, u tilizes im p artial 

p r o c e d u r e s including 

h earin g if substantial 

cau se establish ed , d e -

Sam e (18a, b) excep t o r ­

ganizations a lso req u ired 

to file finan cial and other 

re p o rts, p rov id e fo r bon ding of organ ization o fficia ls 

and e m p lo y e e s , m eet tru steeship and election standa rd s. (18c) A ssista n t S e c ­

reta ry of L a b or p r e s c r ib e s 

regu lation s, d ecid es alleged 

viola tion s. (18d, 6)

Sam e p roh ibited p r a c tic e s 

fo r agen cy m an agem en t.

(19a) S im ila r proh ibited 

p r a c tic e s fo r la b or o rg a n iza tion s, with additions that 

organ ization m ay not c o e r c e , 

d iscip lin e , fine or take oth er 

e c o n o m ic san ction against a 

m e m b e r as punishm ent for 

o r to h in der his w ork p e r ­

fo rm a n ce or p rod u ctivity 

(19b, 3), m ay not condone 

strike o r p roh ibited p ick e ting activity by failing to take 

a ffirm a tiv e action to p r e ­

vent o r stop it (19b, 4) m ay

A dds L a n d ru m -G riffin type f inancial d is c lo s u r e and other r e ­

qu irem en ts. T ra n s fe rs fr o m 

a g en cies to A ssista n t S e cre ta ry 

of L a b or resp on sib ility for 

en forcem en t.

A dds to list of unfair la b or p r a c ­

tice s by organ ization s and c la r ifies certain p ro v is io n s . T ra n s ­

fe r s fr o m a g en cies to A ssistan t 

S e cre ta ry of L a b or re s p o n s ib ility fo r im p a rtia l p ro c e d u r e s and 

en fo rce m e n t, including antistrike and picketin g p ro v isio n .

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Standards and Code) E .O . 11491 Changes

cid es w hether Code v io ­

lation o c c u r r e d , d irects 

ap p rop riate rem ed ia l 

action by m an agem en t 

o r organ ization . E n ­

fo rce m e n t of strike and 

picketin g p roh ibition not 

su bject to im p a rtia l p r o ­

ced u res p rov id ed fo r 

oth er alleged v iolation s.

not d iscrim a te in m e m b e r ­

ship b eca u se of sex o r age 

(19b, 5), m ay not refu se to 

con su lt o r n egotiate with 

agen cy as req u ired by the 

O rd e r (19b, 6). U nless 

com p lain t of violation is 

su b ject to an establish ed 

g riev a n ce o r appeals p r o ­

ced u re, when com plain t not 

re so lv e d in form a lly by the 

p a rties it is filed with A s ­

sistant S e cre ta ry of L abor 

who d ecid es ca se and d ire cts ap p rop riate rem ed ia l 

action by agen cy o r o rg a n ization. (19d, 6)

M iscella n eou s P ro v is io n s

S olicitation of m e m b e r ­

sh ips, du es, o r oth er 

in tern al organ ization 

b u sin ess shall be co n ­

ducted during non-dutyh ou rs of em p loyees 

co n ce rn e d . (9)

O fficia lly requ ested or 

ap p roved consultations 

and m eetin gs betw een 

m an agem en t and o r ­

ganization shall be co n ­

ducted on o fficia l tim e 

w h en ever p ra ctica b le .

(9)

A gen cy m ay req u ire that 

n egotiation s be conducted 

during non-duty h ou rs of 

organ ization re p re se n ta ­

tives. (9)

S am e. (20)

No p ro v isio n .

O rgan ization re p re se n ta ­

tives shall not be on officia l 

tim e when negotiating a g ree 

m en t with agen cy m a n a g em ent. (20)

No change.

D eletes p o licy on o fficia l tim e 

fo r consultations o r m eetin gs 

requ ested o r ap p roved by m a n ­

agem en t.

P roh ib its authorizing o fficia l 

tim e fo r em p lo y e e s acting as 

organ ization rep resen ta tiv es 

in n egotiation s with m a n a g em ent.

No p ro v isio n . (E m p loyee 

volu n tary allotm en ts fo r 

paym en t of dues to o r ­

ganizations eligib le fo r 

fo r m a l o r e x clu siv e r e c ­

ognition a re m ade p u rsu ­

ant to agen cy-orga n iza tion 

a g reem en ts based upon 

CSC regu lation s. P o lic y 

esta b lish ed by P re s id e n t's 

M em ora n d u m of M ay 21, 

1963.)

A u th orizes volu n tary dues 

allotm en ts by org a n iza tion 's 

m e m b e r s in unit of r e c o g ­

nition pursuant to agen cy 

a g reem en t with labor o rg a n ­

ization w hich holds fo r m a l 

o r ex clu sive recogn ition , 

su bject to CSC regu lation s. 

(21a)

R estates p o lic y on volu n tary 

dues allotm en ts. L im its au th orization of allotm en ts to m e m b e rs 

in units fo r w hich la b or o rg a n ization holds fo r m a l o r ex clu sive 

recog n ition and has allotm en t 

a g re e m e n t with agency.

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Standards and C ode) E .O . 11491 Changes

N o p rov ision . A u th orizes volu n tary dues 

allotm en ts pursuant to 

agen cy a g reem en ts with 

a sso cia tio n s of m an agem en t 

o fficia ls o r s u p e r v is o r s , 

su b ject to CSC regu lations. 

(21b, 7e)

A dds au th orization fo r dues a llotm en ts to m a n a geria l and su ­

p e r v is o r y organ ization s.

A ll em p loyees in co m p e titive civ il s e r v ic e have 

sa m e rights in a d v erse 

action ca ses as p e r fe r - 

en ce eligib les under 

section 14, V eterans* 

P r e fe r e n c e A ct. Right 

of appeal to C ivil S erv ice 

C o m m is sio n . CSC d e c ision binding upon 

a g en cies. (14)

Sam e. (22) No change.

A g e n cie s issu e p o licie s 

and regulations fo r im ­

plem entation of O rd e r, 

after consultation with 

ap p rop riate org a n iz a ­

tions. (10)

S im ila r. A ction to be taken 

b y A p r i l 1, 1970. (2 3 )

A gen cy im plem en 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 

effectiv e date of O rd er.

O rd er does not p reclu d e 

ren ew al or continuation 

of law ful a greem en ts 

betw een a g en cies and 

organ ization s entered 

into p r io r to January 17, 

1962. (15)

Sam e. (2 4 a l) Continues "g ra n d fa th er" p r o v ision of E. O. 10988. C urren tly 

a p p licable to T V A and certain 

agreem en ts in In terior and 

T r a n s p o r t a t i o n .

E xcep t w h ere oth erw ise 

req u ired by establish ed 

p r a c tic e , p r io r a g r e e ­

m en t o r sp e cia l c ir c u m ­

sta n ces, no unit shall be 

establish ed fo r ex clu sive 

recogn ition w hich in ­

clu des (1) any m a n a g eria l 

e x e c u t i v e . . . (3) b oth 

s u p e r v i s o r s . . . and the 

e m p loyees w h om they 

s u p e r v i s e . . . (6a)

E xcep tion fr o m unit c rite ria 

lim ited to units of m a n a g em ent o fficia ls or s u p e rv is o rs rep resen ted by la b or 

organ ization s w hich tra d itionally re p re se n t th ese o fficia ls in p rivate industry 

and hold ex clu sive r e c o g n ition fo r such units on date 

of the O rd er. (24a2)

Continued "esta b lish ed p r a c tic e " 

excep tion fo r m a n a g eria l and 

su p e rv iso ry rep resen ta tion by 

la b or organ ization s in m a ritim e 

in du stry w hich re p re se n t o ffic e r s and crew s on v e s s e ls . 

A p p lica b le to M E B A , M M P , 

NM U , SIU, and UTW .

No p ro v isio n . E xisting in form a l r e c o g n itions term in a te on July 1, 

1970. (24b)

E lim in ates all in fo rm a l r e c o g n itio n 6 m o n th s f r o m e f f e c t i v e 

date of the O rd er.

No p ro v isio n . E xisting fo rm a l r e c o g n itions term in ate pursuant 

to C ouncil regu lations to be 

is s u e d b e f o r e O c t o b e r 1, 

1970. (24c)

D ire cts cou n cil to p rov id e reg u ­

la t io n s w ith in 1 y e a r f r o m i s s u ­

ance of the O rd er w hich w ill 

elim in ate all fo r m a l recogn ition .

7 7

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No p ro v isio n . A ll s u p e rv is o rs other than 

th ose excep ted by section 

24(a) are exclu ded fr o m 

units of fo rm a l and e x clu ­

sive recogn ition and c o v e r ­

age by n egotiated a g r e e ­

m ents b e fo r e D e ce m b e r 31, 

1970. (24d)

E lim in ates all rep resen ta tion of 

s u p e rv is o rs by la b or o rg a n iz a ­

t io n s w ith in 1 y e a r f r o m e f f e c ­

tive date of the O rd e r (excep t 

s u p e rv is o ry e m p loyees on 

v e s s e ls - cu rren tly 24 units).

CSC p ro v id e s a ssista n ce 

to a g en cies and o rg a n izations in ca rry in g out 

o b je ctiv e s of O rd er. 

F u rn ish es gu idan ce, te ch ­

n ica l a d v ice, training a s ­

sista n ce to a g en cies. 

Studies and review s p r o ­

g ra m , re co m m e n d s im ­

p rov em en ts to the 

P re sid e n t. (12)

CSC p ro v id e s g u id a n ce ,te ch ­

n ica l a d vice and in form ation , 

and training a ssista n ce to 

a g e n cie s. R eview s operation 

of p r o g r a m to a ssist in a s ­

su rin g ad h eren ce to its p r o ­

vision s and m e rit sy stem r e ­

qu irem en ts. F r o m tim e-totim e rep orts to C oun cil on 

state o f the p r o g r a m and r e c ­

om m en d s im provem ents.(25a)

D eletes CSC o v e ra ll p r o g r a m 

functions (in co rp o ra te d into 

functions a ssign ed to the C ouncil). A dds rev iew and evalu ation of p r o g r a m op era tion s, 

with rep orts and r e c o m m e n ­

dations to C ou n cil.

N o p ro v isio n . D ep artm en t of L a b or and 

C ivil S e rv ice C o m m is sio n 

to c o lle c t and d issem in a te 

p r o g r a m in form ation to 

a g e n cie s , organ ization s and 

the p u blic. (25b)

A dds resp on sib ility fo r L a b or 

and CSC to p u b licize in fo rm a ­

tion n eeded by a g e n cie s, o r ­

ganizations and the p u blic.

O rd e r effectiv e Janua ry 17, 1962.

O r d e r e f f e c t i v e J a n u a ry 1, 

1970, excep t section s 7(f) 

and 8 w h ic h a r e e f f e c t i v e 

im m ed ia tely . (26)

P r o v i d e s a b o u t 3 m o n th s " g e t - 

rea d y " tim e to staff and o r ­

ganize the C ou n cil, the P an el, 

and the A ssista n t S e cre ta ry of 

L a b or fu n ction s. A g e n cie s d is ­

continue granting new in form a l 

and fo rm a l recog n ition s im m e ­

d iately upon issu a n ce o f O rd er.

7 8

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