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2501 Provisions of the RUIA and Railway Labor Act

2501.01 Section 4(a-2)(iii)

of the Railroad Unemployment Insurance Act provides that:

"There shall not be considered as a day of unemployment, with respect to any 

employee - subject to the provisions of subsection (b) of this section, any day 

with respect to which the Board finds that his unemployment was due to a 

stoppage of work because of a strike in the establishment, premises, or 

enterprise at which he was last employed, and the Board finds that such strike 

was commenced in violation of the provisions of the Railway Labor Act or in 

violation of the established rules and practices of a bona fide labor organization 

of which he was a member."

2501.02 Section 4(b)

of the Railroad Unemployment Insurance Act provides that:

"The disqualification provided in section 4(a-2)(iii) of this Act shall not apply if the 

Board finds that--

(1) the employee is not participating in or financing or directly interested in the 

strike which causes the stoppage of work: Provided, that payment of 

regular union dues shall not be construed to constitute financing a strike or 

direct interest in a strike within the meaning of this and the following 

paragraphs; and

(2) he does not belong to a grade or class of workers of which, immediately 

before the commencement of the stoppage, there were members 

employed in the establishment, premises, or enterprise at which the 

stoppage occurs, any of whom are participating in, or financing or directly 

interested in the dispute: Provided, that if separate types of work are 

commonly conducted in separate departments of a single enterprise, each 

such department shall, for the purpose of this subsection, be deemed to 

be a separate establishment, enterprise, or other premises."

2501.03 Section 2(a)(i)(A)(iii)

of the Railroad Unemployment Insurance Act provides that:

"(iii) Strikes.--

"(I) Initial 14-day waiting period.--If the Board finds that a qualified 

employee has a period of continuing unemployment that includes 

days of unemployment due to a stoppage of work because of a 

strike in the establishment, premises, or enterprise at which such 
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employee was last employed, no benefits shall be payable for such 

employee's first 14 days of unemployment due to such stoppage of 

work.

"(II) Subsequent days of unemployment.--For subsequent days of 

unemployment due to the same stoppage of work, benefits shall be 

payable as provided in clause (i) of this subparagraph.

"(III) Subsequent periods of continuing unemployment.--If such period of 

continuing unemployment ends by reason of clause (v) but the 

stoppage of work continues, the waiting period established in 

clause (ii) shall apply to the employee's first registration period in a 

new period of continuing unemployment based upon the same 

stoppage of work.

2501.04 Section 9A of the Railway Labor Act

After creating special procedures for resolving disputes involving publicly funded 

and operated commuter rail service, subsection (i) provides:

"(i) If the emergency board selects the final offer submitted by the carrier and, 

after the expiration of the 60-day period described in subsection (h), the 

employees of such carrier engage in any work stoppage arising out of the 

dispute, such employees shall not be eligible during the period of such 

work stoppage for benefits under the Railroad Unemployment Insurance 

Act."

(The full text of section 9A of the Railway Labor Act is given in Appendix C.)

2502 Analysis of Section 4(a-2)(iii)

2502.01 Conditions under which a disqualification is applicable

In general, the disqualification provided in section 4(a-2)(iii) is applicable with 

respect to a day claimed as a day of unemployment when all of the following 

conditions are found to exist:

a. A work stoppage occurred.

b. The claimant's unemployment on such day is due to the stoppage of work.

c. Such work stoppage is caused by a strike in the establishment, premises, 

or enterprise at which the claimant was last employed.

d. The strike was commenced in violation of either (1) the provisions of the 

Railway Labor Act, or (2) the established rules and practices of a labor 

organization of which the claimant was a member.
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e. The claimant was participating in, or financing (other than by paying 

regular union dues), or directly interested in the strike, or was a member of 

a grade or class of workers any of whom were participating in, or 

financing, or directly interested in the strike.

2502.02 Strike

A determination that the work stoppage is caused by a strike is required in 

connection with any disqualification under section 4(a-2)(iii). Evidence that both 

the employer and employee agree that a strike caused the work stoppage is 

usually sufficient to support such a determination. When there is a disagreement 

between the employer and employees on this item, it is necessary to base the 

determination on the actions preceding the work stoppage of both the employer 

and its employees.

2502.03 Casual relationship

If the claimant was employed in a particular establishment until the 

commencement of a work stoppage at the establishment, his or her ensuing 

unemployment, in the absence of other information, may be presumed to be due 

to such work stoppage. If the claimant became unemployed sometime prior to 

the commencement of the work stoppage, his or her continuing unemployment 

would not be considered as due to a strike.

2502.04 Railway Labor Act

In general, employers listed in the Employer Status List as covered by the 

Railroad Retirement Act and the Railroad Unemployment Insurance Act, and 

common carriers by air, are required to comply with the provisions of the Railway 

Labor Act. (See Appendix B.) 

2502.05 Established rules and practices

The constitution, rules, regulations and by-laws as published by the union will 

usually suffice to show the established rules of the labor organization. 

Information regarding the established practices of the organization not covered 

by those publications can usually be obtained from a grand lodge officer.

2503 Analysis of Section 2(a)(1)(A)(iii)

2503.01 Strike waiting period

No benefits are payable for a claimant's first 14 days of unemployment due to a 

strike at his or her place of work. A strike waiting period is necessary for each 

period of continuing unemployment due to a strike.
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2503.02 Satisfying the strike waiting period and waiting period for the 

benefit year

A claim for unemployment due to a strike will serve as both the 14-day strike 

waiting period and as the 7-day waiting period for the benefit year, if it is the first 

claim of a period of unemployment in the benefit year. If the claimant returns to 

work and becomes unemployed again for another reason in the same benefit 

year, he or she will not have to serve a 7-day waiting period.

2503.03 Exhaustion of benefits and the strike waiting period

Exhaustion of benefits ends a period of continuing unemployment. However, if a 

claimant remains unemployed due to a strike and exhausts his/her rights to 

unemployment benefits for the benefit year, the claimant will only have to satisfy 

a 7-day waiting period in the new benefit year. There is no need to satisfy a 14-

day strike waiting period in the subsequent benefit year provided that the new 

period of continuing unemployment is due to the same strike.

2504 Investigation

2504.01 Investigation required

An investigation is to be conducted to obtain the information needed for a 

determination under section 4(a-2)(iii) of the Act under either of these 

circumstances: 

a. There is information that a strike has occurred on the premises of an 

employer covered by the RUIA.

b. A claimant indicates "Strike" on Form UI-1 or Form UI-3 as the reason for 

his or her unemployment or there is other information indicating that the 

claimant's unemployment may be due to a stoppage of work arising out of 

a labor dispute.

2504.02 Information to be obtained

The amount of information and evidence required for making a determination 

whether a disqualification under section 4(a-2)(iii) is applicable will depend on the 

circumstances in each case. Items of information that may be needed are 

described in Appendix A. In the case of a strike on the premises of a railroad 

employer, the information needed is discussed in detail in sections 1, 2, 3 and 4 

of Appendix A. In the case of a non-railroad strike, the information in sections 1, 

2 and 3 of Appendix A will be needed, but generally will be less detailed than in 

the case of a railroad strike. If a question arises as to the applicability of the 

strike disqualification to a particular individual (rather than to members of a grade 

or class of workers), the information called for in section 5 of Appendix A may be 

needed. 
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2504.03 Making investigation

Field Service (FS) is responsible for conducting the investigation of a strike 

confined to a particular region. If the strike is a railroad strike, BFS is to keep the 

Director of Policy and Systems informed of the progress of the investigation. In 

the case of a strike affecting more than one region, the Director of Policy and 

Systems will determine who is to make the investigation.

Investigation of a strike against a railroad employer is to be completed and a 

report of the investigation made to the Director of Policy and Systems within 10 

days of the beginning date of the strike, so that a determination of the 

applicability of section 4(a-2)(iii) of the Act can be made not later than 15 days 

after the beginning date of the strike. If the investigation is not completed within 

10 days, Director of Policy and Systems should be advised of the status and 

expected completion date.

2505 Information to headquarters

When FS receives information about a strike on a covered employer's property, 

all readily available information, including the best possible estimate of the 

number of strikers and the number of other employees unemployed because of 

the strike, is to be forwarded to the Director of Policy and Systems immediately 

by facsimile, telephone or e-mail.

When FS receives information about a strike outside the railroad industry which 

will result in a substantial number of covered employees being unemployed, 

information as to the possible effect on the workload and other pertinent 

information is to be furnished by facsimile or e-mail to the Director of Policy and 

Systems.

2506 Determination

A determination as to the applicability of the disqualification in section 4(a-2)(iii) 

may be made by FS if the strike is a non-railroad strike confined wholly to the 

region. In all other cases, the determination will be made by the Director of 

Policy and Systems.

2507 Notice under section 2(f)

A special letter is to be sent to covered employers explaining their responsibilities 

under section 2(f) as specified in AIM-30.
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Appendices

Appendix A - When Strike Disqualification Should be Applied

Information To Be Obtained When There Is A Question Whether A 

Disqualification Under Section 4(a-2)(iii) Should Be Applied

1. Work Stoppage

a. Extent of work stoppage.

1. Employer

2. Labor organization

3. Location or locations

4. Occupations and departments or organizational units of employer in 

which operations ceased

5. Number of employees affected (show strikers and non-strikers 

separately)

b. Date and time of work stoppage.

c. Circumstances leading up to the work stoppage.

d. Was the work stoppage initiated by employer or employees?

e. Circumstances leading to resumption of work. If a court order was 

issued, state when and by what court. Obtain copies of the court order 

and related documents.

f. Date and time work resumed.

2. Dispute

a. A statement from an official of the employer and a statement from an 

official of the labor organization describing the circumstances which led 

to the work stoppage which is being investigated. Each statement 

should include a description of the actions taken in attempting to adjust 

the dispute. In addition, the statement of the labor organization official 

should contain a description of the action taken in connection with the 

decision to commence a work stoppage.

b. Copies, if obtainable, of the communications between the employer 

and the labor organization concerning the dispute, or quoted pertinent 

excerpts from such communications. If copies cannot be obtained or 
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examined, a statement from an official of the labor organization 

describing such communications and stating as nearly as possible the 

date of each.

3. Rules and Practices of Labor Organization

a. Name of each labor organization which is a party to the dispute. Does 

such labor organization have a charter, a constitution, or by-laws?

b. Copies, if obtainable, of the constitution, by-laws, rules or regulations 

of any labor organization which is a party to the dispute. If copies are 

not obtainable, excerpts may be taken from any documents concerning 

the settlement of disputes and the calling of strikes. If copies cannot 

be obtained or examined, a statement may be obtained from an official 

of the labor organization, describing the steps in the procedure for the 

settlement of disputes and for the calling of strikes as such procedure 

appears in the rules of the organization or is followed in practice and is 

recognized. Any such statement should be general and should not 

refer to the dispute under investigation.

c. Whether a strike vote was taken, and, if so, the date, or the first and 

last dates, of the voting, the results of the voting, and the date and 

manner in which the strike notice was served upon the employer. If 

possible, furnish a copy of the strike notice and strike ballot.

d. A statement from an official of the labor organization whether the work 

stoppage was commenced in accordance with the established rules 

and practices of the organization. The basis for the official's opinion in 

this connection should be expressed in the statement. Verification of a 

local official's contention in this connection should be obtained from 

higher organization officials if the rules and practices of the 

organization require a local organization to obtain the sanction of 

higher officials in strike action.

4. Railway Labor Act

a. Description and dates of actions taken to utilize the services of the 

National Mediation Board to effect settlement of the dispute. This 

description should include the date of submission of the dispute to the 

National Mediation Board or to the Emergency Board and the 

circumstances under which it was submitted. If possible, obtain a copy 

of the submission.

b. Description and dates of actions taken by the National Mediation Board 

in an effort to effect settlement. If possible, obtain copies of 

communications between the National Mediation Board and the 

interested parties.
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c. The date of the report of the Emergency Board and the substance of 

the recommendations made in the report.

d. A description of any changes in the conditions out of which the dispute 

arose, occurring after the creation of the Emergency Board and before 

the commencement of the strike, together with the dates of any such 

changes, for example:

1. Changes in rates of pay, rules or working conditions made by 

common agreement.

2. Changes in demands made by labor or management.

3. Other changes made by management or labor.

e. Any attempts made to settle the dispute by conference, arbitration, or 

mediation during the period of time after the report of the Emergency 

Board was made and before the strike commenced.

5. Claimant

a. Date claimant became unemployed and the reason given by claimant 

for unemployment.

b. Occupation

1. Last occupation in which he worked.

2. Customary occupation if different from his last occupation.

c. Name of employer.

d. Department or organization unit in which he last worked.

e. Name of any labor organization of which the claimant was a member. 

If not a member of a labor organization, has he applied for membership 

in one?

f. Whether the claimant performed picket duty after he became 

unemployed.

Appendix B - Procedure for Settlement of Disputes under RLA

Procedure for Settlement of Disputes as Provided in the Railway Labor Act

Introduction

Under section 4(a-2)(iii) of the Railroad Unemployment Insurance Act 

unemployment benefits are not payable to an employee whose unemployment is 
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due to a strike commenced in violation of the provisions of the Railway Labor Act. 

Generally speaking, employers covered by the Railroad Unemployment 

Insurance Act are subject to the provisions of the Railway Labor Act. Thus, when 

an employee claims unemployment benefits for one or more days on which he 

was on strike against a covered employer, it is necessary, for a determination 

regarding the applicability of section 4(a-2)(iii), to find whether or not the strike 

was commenced in violation of the provisions of the Railway Labor Act. (This is 

in addition to the finding required with respect to the established rules and 

practices of the labor organization of which the claimant is a member.) A 

determination in any such case is made only on the basis of advice from the 

director of unemployment and sickness insurance.

The information to be developed in a strike case is outlined in Appendix A. Not 

all of the information listed is necessary in every case. AIM-25 explains the 

extent to which the information listed in Appendix A should be developed.

The provisions of the Railway Labor Act related to settlement of disputes are 

described briefly below. This information is given with the thought that it may 

help field office personnel who investigates strikes to anticipate what information 

may be required by the Director of Policy and Systems for a finding under section 

4(a-2)(iii) of the Railroad Unemployment Insurance Act.

Purpose of the Railway Labor Act

The purposes of the Railway Labor Act are, among other things:

1. To avoid any interruption to commerce or to the operation of any carrier 

engaged therein;

2. To provide for the prompt and orderly settlement of all disputes concerning 

rates of pay, rules, or working conditions.

National Railroad Adjustment Board

The Railway Labor Act establishes a board known as the "National Railroad 

Adjustment Board", composed of four divisions. The Act defines the jurisdiction 

of each division by specifying the occupational groups of employees whose 

disputes with carriers are referable to the particular division.

Disputes between an employee, or group of employees, and a carrier over 

grievances or the interpretation or application of an agreement concerning rates 

of pay, rules, or working conditions, may be referred by petition of the parties or 

either party to the appropriate division of the Adjustment Board. An award of the 

Adjustment Board is final and binding upon both parties to the dispute.

The Adjustment Board is not directly involved in the proceedings pertinent to a 

finding under section 4(a-2)(iii) of the Railroad Unemployment Insurance Act. It 

is mentioned in this Appendix only as a matter of information.
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National Mediation Board

The Railway Labor Act also establishes an independent agency in the executive 

branch of the Government, known as the "National Mediation Board". This Board 

has jurisdiction over disputes concerning changes in rates of pay, rules, or 

working conditions and any other disputes not referable to the National Railroad 

Adjustment Board. Such Board may not be involved in the proceedings leading 

up to a strike of a covered employer. When it is involved, the circumstances 

under which it became a party to the proceedings and the efforts which such 

Board made to bring about a settlement are pertinent to a finding under section 

4(a-2)(iii) of the Railroad Unemployment Insurance Act.

Procedure for settlement of disputes

The provisions in the Railway Labor Act for the handling of major disputes retain 

the traditional process of negotiation, mediation, voluntary arbitration, and 

conciliation. The parties to a dispute are not compelled to utilize each and every 

one of the procedural steps provided. Nor does the Act specifically forbid a strike 

at any particular stage of the proceedings under the Act other than immediately 

after the creation of an Emergency Board and continuing for 30 days after such 

Board has made its report. The proceedings with respect to a particular dispute 

may not include the appointment of an Emergency Board. This is left to the 

"judgment" of the National Mediation Board and the "discretion" of the President 

of the United States.

General Duties

The Railway Labor Act imposes these "General Duties" upon all carriers, their 

officers, agents, and employees:

1. "...to exert every reasonable effort to make and maintain agreements 

concerning rates of pay, rules, and working conditions, and to settle all 

disputes ... in order to avoid any interruption to commerce ...";

2. to consider and decide disputes in conference between representatives of 

the parties;

3. within 10 days after receipt of notice of a desire on the part of either party 

to confer in respect to such dispute to specify a time and place at which 

such conference is to be held;

4. no carrier, its officers, or agents is to change the rates of pay, rules, or 

working conditions of its employees, as a class, as embodied in 

agreements, except as prescribed in such agreements or in section 6 of 

the Act.

Carriers and representatives of the employees are required to give at least 30 

days' written notice of an intended change in agreements affecting rates of pay, 
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rules, or working conditions. Such a notice is commonly referred to as a "Section 

6 Notice". Section 6 also requires that the time and place for the beginning of 

conferences between the representatives of the parties be agreed upon within 

ten days after receipt of such notice, and that such time be within the 30 days 

provided in the notice.

Mediation

The Act provides that the parties, or either party, to a dispute between an 

employee or group of employees and a carrier may invoke the services of the 

National Mediation Board in any of the following cases:

a. A dispute concerning changes in rates of pay, rules, or working conditions 

which has not been adjusted by the parties in conference.

b. Any other dispute which is not referable to the National Railroad 

Adjustment Board and which has not been adjusted in conference 

between the parties or for which conferences are refused.

However, the National Mediation Board does not have to wait for a request for 

aid; it may proffer its service at any time any labor emergency is found to exist. 

In either event, the National Mediation Board promptly communicates with the 

parties and uses its best efforts, by mediation, to bring them to agreement.

In every case where a Section 6 notice of intended change has been given, or 

conferences are being held with respect to such notice, or the service of the 

National Mediation Board has been requested by either party, or such Board has 

proffered its service, the rates of pay, rules, or working conditions are not to be 

altered by the carrier until the controversy has been finally acted upon by the 

Mediation Board, unless 10 days have elapsed after termination of conferences 

without any request for or proffer of the services of the Mediation Board.

Arbitration

If the efforts of the National Mediation Board to bring about an amicable 

settlement through mediation are unsuccessful, the Board endeavors to induce 

the parties to submit their controversy to arbitration. The Act provides, however, 

that the failure or refusal of either party to submit a controversy to arbitration is 

not to be construed as a violation of any legal obligation imposed upon such 

party by the terms of the Railway Labor Act.

NMB Notice That Mediatory Efforts Have Failed

If arbitration is refused by one or both parties, the National Mediation Board 

notifies both parties in writing that its mediatory efforts have failed. During the 30 

days which follow this written notice, no change (unless the parties agree to 

arbitration or an Emergency Board is created) may be made in the rates of pay, 
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rules, or working conditions or established in effect prior to the time the dispute 

arose.

If a dispute between a carrier and its employees is not adjusted under the 

foregoing procedure, and should, in the judgment of the Mediation Board, 

"threaten substantially to interrupt interstate commerce to a degree such as to 

deprive any section of the country of essential transportation service", the 

Mediation Board is required to notify the President of the United States who may, 

in his discretion, create a board to investigate and report on the dispute. Such a 

board, commonly referred to as the "emergency board" is required to investigate 

the facts promptly and make a report to the President within 30 days from the 

date of its creation.

Section 10 specifically requires that "After the creation of such a board, and for 

thirty days after such board has made its report to the President, no change, 

except by agreement, shall be made by the parties to the controversy in the 

conditions out of which the dispute arose."

Appendix C - Special Procedure Under RLA for Commuter Service

Section 9A Of The Railway Labor Act Special Procedure For Commuter 

Service

a. Except as provided in section 510(h) of the Rail Passenger Service Act, 

the provisions of this section shall apply to any dispute subject to this Act 

between a publicly funded and publicly operated carrier providing rail 

commuter service (including the Amtrak Commuter Service Corporation) 

and its employees.

b. If a dispute between the parties described in subsection (a) is not adjusted 

under the foregoing provisions of this Act and the President does not, 

under section 10 of this Act, create an emergency board to investigate and 

report on such dispute, then any party to the dispute or the Governor of 

any State through which the service that is the subject of the dispute is 

operated may request the President to establish such an emergency 

board.

c. 1. Upon the request of a party or a Governor under subsection (b), the 

President shall create an emergency board to investigate and 

report on the dispute in accordance with section 10 of this Act. For 

purposes of this subsection, the period during which no change, 

except by agreement, shall be made by the parties in the conditions 

out of which the dispute arose shall be 120 days from the date of 

the creation of such an emergency board.

2. If the President, in his discretion, creates a board to investigate and 

report on a dispute between the parties described in subsection (a), 
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the provisions of this section shall apply to the same extent as if 

such board had been created pursuant to paragraph (1) of this 

subsection.

d. Within 60 days after the creation of an emergency board under this 

section, if there has been no settlement between the parties, the National 

Mediation Board shall conduct a public hearing on the dispute at which 

each party shall appear and provide testimony setting forth the reasons it 

has not accepted the recommendations of the emergency board for 

settlement of the dispute.

e. If no settlement in the dispute is reached at the end of the 120-day period 

beginning on the date of the creation of the emergency board, any party to 

the dispute or the Governor of any State through which the service that is 

the subject of the dispute is operated may request the President to 

establish another emergency board, in which case the President shall

establish such emergency board.

f. Within 30 days after creation of a board under subsection (e), the parties 

to the dispute shall submit to the board final offers for settlement of the 

dispute.

g. Within 90 days after the submission of final offers under subsection (f), the 

emergency board shall submit a report to the President setting forth its 

selection of the most reasonable offer.

h. From the time a request to establish a board is made under subsection (e) 

until 60 days after such board makes its report under subsection (g), no 

change, except by agreement, shall be made by the parties in the 

conditions out of which the dispute arose.

i. If the emergency board selected the final offer submitted by the carrier, 

and, after the expiration of the 60-day period described in subsection (h), 

the employees of such carrier engage in any work stoppage arising out of 

the dispute, such employees shall not be eligible during the period of such 

work stoppage for benefits under the Railroad Unemployment Insurance 

Act.

j. If the emergency board selects the final offer submitted by the employees 

and, after the expiration of the 60-day period described in subsection (h), 

the carrier refuses to accept the final offer submitted by the employees 

and the employees of such carrier engage in any work stoppage arising 

out of the dispute, the carrier shall not participate in any benefits of any 

agreement between carriers which is designed to provide benefits to such 

carriers during a work stoppage.