Transcript STEWARD TRAINING - AFGE Local 1745 Austin, Texas

STEWARD TRAINING
ROGELIO (ROY) A. FLORES
NATIONAL VICE PRESIDENT
AFGE 10TH DISTRICT
INTRODUCTION
INTRODUCTION
• INSTRUCTOR
• PARTICIPANTS
INTRODUCTION
• AFGE National Representative
• Paul D. Palacio
• Air Force, 6/10/1964
• AFGE – NR 11/01/96
• FMCS, 10/16/1997
• Miami
• Baton Rouge
• Houston
• Retired, 1/3/2007
• AFGE NR, 3/5/2007
IN CASE YOU’RE LOOKING FOR ME…
Paul D. Palacio
210-735-8900 X11
[email protected]
INTRODUCTION
• PARTICIPANTS
• Name
• Current Occupation
• Previous Training
• City, State
• See Ice Breaker(s)
INTRODUCTION
ICE BREAKER(S)
• Dinner Guests: If you could invite 3 people to
dinner, who would they be? Why would you
invite them?
• Tombstone: What would you like to have on
your tombstone?
• Tell the group something about you that
everyone may not know.
MAJOR DUTIES
OF A
STEWARD
MAJOR DUTIES OF A STEWARD
1. Organizing all employees in the bargaining unit
into the Union.
2. Represent all bargaining unit members in
gripes, problems, grievances and adverse
action involving EEO, MSPB, OWCP, etc.
3. Advise members of their rights and guide them
in any direction with management.
4. Keep members advised of matters of interest.
DUITES OF A STEWARD (CON’T)
5. Report any and all actions on behalf of local
unit to either the chief steward in the case of
representation or the president on any other
matter concerning the locals for continuity.
6. Must be on the alert and report any infractions
of the contract or other rules, laws, or statutes
to the president and chief steward.
7. Advise local officers of potential areas where
problems may arise and recommend actions.
8. Attend training meeting for shop stewards.
QUALIFICATIONS
OF A
STEWARD
QUALIFICATIONS OF A STEWARD
1. Must be a member in good standing.
2. Should promote AFGE policies.
3. Should be able to handle confrontations
with management without fear of
reprisal.
QUALIFICATIONS OF A STEWARD
(CON’T)
4. Should be able to read directives and
interpret them.
5. Should know or familiarize him/herself
with problems in areas of different types
of work, and the officers or stewards
involved in solution of problems for that
specific area.
6. Should be willing to work on own time.
PROBLEM SOLVING
PROBLEM SOLVING STEPS
1. Identify the problem. (One sentence)
2. Get all the facts. (The 5 W’s)
3. What kind of problem is it?
PROBLEM SOLVING STEPS
4. Brainstorm for solutions. (Be creative)
5. Prioritize solutions (Strategies)
6. What actions will be taken? (List them)
PROBLEM SOLVING MODEL
IN ACTION
There are 8 basic steps to using the problem
solving model to deal with workplace issues.
The steps can be used to involve members
of the affected group and to help the
Steward decide which strategy to use in
looking for a solution.
PROBLEM SOLVING MODEL
IN ACTION (con’t)
The steps are:
Step 1.
Identify the problem.
After listening to the employees describe the
problem, try to clearly define the matter in one
sentence. It may be necessary to repeat this
process after going through the other steps.
Repeating this step will help to clarify a problem
that changes after it is investigated.
PROBLEM SOLVING MODEL IN
ACTION (con’t)
Step 2: Get all the facts. (The 5 W’s)
1. Who is involved? Don’t forget to identify
the position of the persons involved,
such as supervisor or division/section
chief.
2. What exactly happened?
3. When did the problem occur? Be
particular about the date, shift, week,
year, etc.
PROBLEM SOLVING MODEL IN
ACTION (con’t)
4. Where did the problem occur? Again, be as
specific as possible.
5. Why did the problem occur? Look at the
bargaining history of the matter concerned and
any applicable grievance decisions, agency
rules or policies involved.
Note: Now might be a good time to revisit
STEP 1 to see if the problem needs to be
redefined.
PROBLEM SOLVING MODEL IN
ACTION (con’t)
Step 3.
What kind of problem is it?
1. Contract violation?
2. Violation of Federal/District law, rule or
regulation?
3. Violation of agency rules of regulations?
4. Past practice violation or change to working
conditions?
Step 3.What kind of problem is
it? (con’t)
5. New policy or procedure?
6. Disciplinary or adverse action?
7. Unfair or improper treatment?
8. None of the above?
Step 3.What kind of problem is
it? (con’t)
• Problems that do not clearly fit into one of the
first seven categories listed still need to be
addressed.
• The effective steward should try to resolve all
legitimate employee complaints by involving the
workers affected in determining the solution and
building the union through problem solving.
Step 3.What kind of problem is
it? (con’t)
• A problem can fall under more than one of
the categories listed above.
• After determining what categories the
problem fits into, identify the avenues
available for resolution and develop a
strategy to solve the problem.
Step 4.Brainstorm Solutions.
• Discuss the problem with affected employees,
other stewards or both.
• List all possible solutions.
• Be creative and don’t evaluate or limit possible
solutions in this step.
• Make sure that all members of the group get to
express their ideas.
Step 5.Prioritize solutions
(strategies).
1. Rank the possible solutions.
2. List the pro’s and con’s of the highest
ranked solutions and discuss them.
3. Select the solutions/strategies.
4. Outline a plan in writing.
5. Set time table for actions.
Step 6.What actions will be
taken?
1. Hold an informal meeting with management.
Be firm, but reasonable. Approach manager
as an equal.
• Leave manager a way out, save face. Get
manager talking, listening.
• Keep remedy clearly in mind, stay calm, state
the case clearly, outline the facts.
Step 6.What actions will be
taken? (con’t)
2. Hold a meeting with affected employees,
if appropriate.
3. File a grievance, if appropriate.
Remember to pay strict attention to time
limits.
4. Take other actions.
WORKSHEET FOR PROBLEM
SOLVING
Step 1. Identify the problem.
Describe the problem in one sentence.
WORKSHEET FOR PROBLEM
SOLVING
Step 2. Get all the facts. (The 5 W’s)
1.
2.
Who is involved?
What exactly happened?
WORKSHEET FOR PROBLEM
SOLVING
3. When did the problem occur? Be
particular about the date, shift, week,
year, etc.
4. Where did the problem occur? Again,
be as specific as possible.
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
5. Why did the problem occur?
Look at the bargaining history of the matter
concerned and any applicable grievance
decisions, agency rules or policies involved.
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
Step 3. What kind of problem is it?
1. Contract violation?
2. Violation of Federal/District law, rule or
regulation?
3. Violation of agency rules of regulations?
4. Past practice violation or change to
working conditions?
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
5. New policy or procedure?
6. Disciplinary or adverse action?
7. Unfair or improper treatment Unfair?
8. None of the above?
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
Step 4. Brainstorm solutions.
List all possible solutions – don’t evaluate or
limit.
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
Step 5.
Prioritize solutions (strategies).
Discuss and evaluate solutions. Rank, select solutions, set
time table.
The top three solutions are:
1. ______________________________________________
2. ______________________________________________
3. ______________________________________________
WORKSHEET FOR PROBLEM
SOLVING (CON’T)
Step 6. What actions will be taken?
Action to take
Who will take action?
Date for completion?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
1. David Jones, a member of AFGE Local 0000 got a two
Day suspension for failing to bring a doctor’s slip for five
consecutive days of sick leave. David goes to his steward,
Nancy Helpful for advice. Nancy takes a copy of the
suspension from Davis and tells him, “Don’t worry about it,
we’ll get it overturned.”
Do you expect that Nancy will have any problems with
what she told David? What would you have said to the
member?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
2. Sam Slip is a “hardcore” non-member of AFGE.
He regularly says that the union is a waste of
time and money. Sam just got a five day
suspension for telling his supervisor to “kiss
my …….!”
Sam comes to you as his steward for help.
What do you do?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the questions .
3. You are the steward for a group of clerical
employees of AFGE Local 0000.
Last week the Agency moved into a new
building and several of your coworkers have
come to you complaining that they keep
getting headaches and watery eyes.
In the old office, none of the employees had
those complaints.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the questions .
3. Con’t
What appears to be the problem?
What kind of problem is it? (Refer to Step 3)
What actions should you take to begin to solve
this problem?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
4.
Read each situation and answer the
questions .
You are the steward in the Supply Division of a
Veterans’ Hospital.
One of your coworkers brings you a memorandum
signed by your division chief saying, in effect, that for
the next two months, only emergency annual leave
would be approved for employees in the division.
You call the union office and are told that the union
was not informed of the memo. Every employee in
the division has come to you to complain about the
new rule.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
4. Con’t
What appears to be the problem?
What kind of problem is it? (Refer to Step
3)
What actions should you take to begin to
solve the problem?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
5. Your supervisor, Tom Truly, calls you into his
office in your capacity as steward. Tom tells
you that he wants to change the length of the
lunch period for the employees you represent
from one hour to one-half hour.
During the meeting, he asks you to sign an
agreement on the matter since the contract
does not address the length of the lunch period.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
5. Con’t
What is the problem?
What kind of problem is it? (Refer to
Step 3)
What actions should you take to begin to
solve the problem?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
6. As the steward for a group of employees in the Claims
Examination office, you find out that the supervisor plans to
rearrange the office layout.
The changes will affect the location of employees’ work
areas and move their break area from a large, comfortable
room, to a smaller, windowless space.
You meet with the supervisor and tell him/her that he/she
will need to negotiate the planned changes.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
6. Con’t
The supervisor acknowledges that negotiations will be
required but tells you that he/she doesn’t expect the
process to be anything but an “argument over the union’s
agenda”.
He/She goes on to say that it’s common knowledge within
management that the employees aren’t concerned about
the union’s agenda and don’t take you, as a steward,
seriously so he/she will comply with the law but should not
be expected to spend a lot of time negotiating the changes.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
6. Con’t
What is the problem?
What kind of problem is it? (Refer to
Step 3)
What should you do to change
management thinking?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
7. It is the dead of winter and the heating system in shop
stopped working two hours ago. The temperature in
the shop has dropped to 45 degrees and your
coworkers are getting very cold. The shop supervisor
has an office in another building where the heat is
working. Your coworkers come to you for help.
What is the problem?
What kind of problem is it? (Refer to Step 3)
What action(s) should you take to begin to solve the
problem?
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
8. AFGE Local 0000 has a clerical work group of twenty
workers. Those employees are located in an isolated
corner of the basement in the bargaining unit’s
building. Only two of the employees are members of
the Local and there is no steward for the group.
One of the members comes to you and tells you that
the supervisor, Ms. Hardnose, issued a memo stating
that the employees would no longer be getting regular
breaks. Ms. Hardnose indicated in her memo that
employees of the work group would only be allowed to
take breaks if their work was all caught up.
PROBLEM SOLVING SITUATIONS
DISCUSSION QUESTIONS
Read each situation and answer the
questions .
8. Con’t
What is the problem?
What kind of problem is it? (Refer to
Step 3)
What action(s) should you take to begin
to solve the problem?
RESEARCH
WHAT IS RESEARCH?
Gathering reliable, relevant information used
in proving or disproving position or theory.
RESEARCH SOURCES.
Contract
Third Party
Agency
Correspondence
Training
Law
Decisions
Guidance
Supervisors
Union
Regulations
Past Grievances
Press Releases
Employees
Policies
RESEARCH STRATEGY.
1.
2.
3.
4.
5.
6.
7.
Determine your issues
Identify associated issues
Identify counterpoints
Identify sources available
Gather information
Interpret the information
Develop case strategy
USING THE INFORMATION.
1. Justify or prove a point
2. Disprove or undermine a point
3. Develop a defense of a point
GRIEVANCE
S
WHAT IS A GRIEVANCE?
“A grievance is an allegation that a provision or provisions
of a labor agreement have been violated.” (Sloan and
Witney, 1967, p.197) A broader definition is that a
grievance is created whenever an employee feels
aggrieved.
In reality, only complaints against the company or
company management are considered to be grievance.
There are three main types of grievance:
1. Violations of Agreement.
2. Violations of safety laws or other legislation.
3. Unjust treatment of a worker.
A GRIEVANCE CAN BE:
Any complaint by:
– Any employee concerning any matter relating
to the employment of the employee.
– Any labor organization concerning any matter
relating to the employment of any employee.
A GRIEVANCE CAN ALSO BE:
Any complaint by:
 Any employee, labor organization or agency
that concerns:
1) The effect or interpretation, or claim of breach,
of a Collective Bargaining Agreement (contract,
memorandum of understanding), or;
2. Any claimed violation, misinterpretation or
misapplication of any law, rule, or regulation
affecting conditions of employment.
A GRIEVANCE CAN NOT
CONCERN:
• Any claimed violation of subchapter III of
5, United States Code (pertaining to
prohibited political activities).
• Retirement, life insurance, or health
insurance.
• Suspension or removal under Section 7532
5, United States Code (concerning national
security).
A GRIEVANCE CAN NOT
CONCERN:
• Any examination, certification, or
appointment.
• The classification of any position which
does not result in the reduction in grade
or pay of an employee.
• Any matter that the union and agency
have agreed in their contract to exclude
from the grievance procedure.
GRIEVANCE DEFINITION?
Contracts define “grievance” in
various ways. One agreement might
describe a grievance as a dispute
between union and management
over the interpretation or application
of the agreement. Another might
define it as any dispute or difference
arising between an employee or the
union and management.
GRIEVANCE DEFINITION?
1. Which definition would you prefer? Why?
Give an example of a complaint that
would not be a grievance under either of
the above definitions.
2. To decide if you’re dealing with a
grievance, look first for a contract
violation, then go to the other grounds.
FIVE GROUNDS FOR A
GRIEVANCE
1. THE CONTRACT.
(Agreement, Memorandum of Understanding, or
whatever the contract is called in the particular
plant, office, or agency)
These are often the easiest grievances to win,
especially where the violation is clear-cut and
management is not overly belligerent. But two
or more contract clauses may be in conflict, the
facts may be muddled, management might be
obstinate, and any number of other problems
might make for difficult sledding ever here.
Where the contract is silent on a point, you may
be able to grieve on one of the other grounds.
FIVE GROUNDS FOR A
GRIEVANCE
2. THE LAW
There may be a violation of municipal, state, or federal
law.
Remember that the law always supersedes the contract.
If minimum wage provisions of the Fair Labor Standards
Act call for $3.35 an hour and the agreement calls for
only $3.00, the contracted scale is void.
Other laws that might be violated are Taft-Hartlet
(management interference with union affairs), the Civil
Rights Act, and the Occupational Safety and Health Act
(state or federal). Knowledge that management is in
violation of the law can be an important lever in the
grievance procedure. It can be not only unnecessary,
but unwise to file a charge without giving management
first shot at correcting the problem.
FIVE GROUNDS FOR A
GRIEVANCE
3.
COMPANY OR AGENCY REGULATIONS
Management generally can’t violate its own rules to
harm one or more workers. A personnel regulation may
be over-looked in hiring or firing, or a foreman may
have brought liquor into the plant and then fired
another worker for the same violation. Uneven
enforcement of company or agency regulations, as will
as management disregard for its own rules, can provide
the grounds for a grievance. Also, rules can be
unreasonable or unreasonably vague.
In public employment, especially the federal sector, the
many sources and volumes of agency and department
regulations make it especially likely that management
may be violating its own rules.
FIVE GROUNDS FOR A
GRIEVANCE
4. WORKERS’ RIGHTS.
There doesn’t have to be a contract clause covering
foreman’s assaults or abuse on employees to make it
possible to grieve this kind of violation. Discrimination
and workers’ rights cover a broad range of incidents or
practices.
Discrimination occurs when two people are treated
differently under the same conditions, in such a way as to
harm or treat unequally one of them.
While the word “discrimination” leads many people to
think right away of race or sex discrimination, there are
many other bases on which individuals may be
discriminated against. This includes age, personality,
looks, past incidents, experiences, and, as often happens,
union activity.
FIVE GROUNDS FOR A GRIEVANCE
4. WORKERS’ RIGHTS. Con’t
Discrimination is harmful because it violated
the rights of the individualism and doubly so
because it divides and weakens the union,
destroying the solidarity that it needs to deal
effectively with management.
One of the difficulties is that discrimination
complaints are often hard to prove. The word
should not be used lightly, as an excuse or as a
substitute for other grounds. Nor, on the other
hand, should complaints charging
discrimination be lightly dismissed.
FIVE GROUNDS FOR A GRIEVANCE
5. PAST PRACTICES.
Arbitrators will sometimes consider violations of longstanding practices, accepted by union and management,
as grounds for ruling in favor of the union. If, for
instance, a company has allowed a 15 minute wash-up
for years and then suddenly cans a worker for leaving
his station 15 minutes before clock-out, the union
usually has a strong case.
Don’t go out of your way looking for past practice
violations. They are tough to win, and any small
deviation in the practice may be considered to have
broken the pattern.
NOTE: In some instances, the union may find it wise to
grieve violations of spirit of the agreement, problems
where the contract is silent and unilateral changes in
working conditions.
YOUR GRIEVANCE PROCEDURE
• The Negotiated Grievance Procedure for my
local is found at:
• Article __34____
• Sections _1-13_
• Pages _36-41_ of the Contract.
• Remember: A Grievance could be lost if it is not
filed within __20___ days from the time the
problem occurred.
YOUR GRIEVANCE PROCEDURE
UNION
MANAGEMENT
STEP ONE
Number of days to file:_____ Number of days to act: _____
Who: ___________________ Who: ___________________
Written: _____ Oral: _____
Written: _____ Oral:_____
YOUR GRIEVANCE PROCEDURE
UNION
MANAGEMENT
STEP TWO
Number of days to elevate:___Number of days to act: ___
Who: ___________________ Who: ___________________
Written: _____ Oral: _____
Written: _____ Oral:_____
YOUR GRIEVANCE PROCEDURE
UNION
MANAGEMENT
STEP THREE
Number of days to elevate:___Number of days to act: ___
Who: ___________________ Who: ___________________
Written: _____ Oral: _____
Written: _____ Oral:_____
YOUR GRIEVANCE PROCEDURE
ARBITRATION
Number of days to invoke: _______
How to invoke:
______________________________________
______________________________________
______________________________________
______________________________________
______________________________________
PREPARING FOR FORMAL
GRIEVANCE DISCUSSION
WITH MANAGEMENT
WORKSHEET
List the major points you want to make in your opening
presentation. Don’t use full sentences, only memory
joggers.
____________________________________________
____________________________________________
____________________________________________
____________________________________________
____________________________________________
____________________________________________
PREPARING FOR FORMAL
GRIEVANCE DISCUSSION
WITH MANAGEMENT
List possible management arguments
and your response.
MANAGEMENT ARGUMENTS
YOUR RESPONSE
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
________________________
________________________
________________________
________________________
________________________
________________________
________________________
________________________
THE STEWARD’S RELATIONSHIP
TO THE CONTRACT
As a steward, you have a special
responsibility to the members of your
work group.
In carrying out that responsibility, the
Negotiated Agreement between your local
and the employer forms the basis for the
labor-management relationship where you
work.
THE STEWARD’S RELATIONSHIP
TO THE CONTRACT
CONTRACT PROVISIONS IMPORTANT TO UNDERSTAND
While there are many provisions in local contract, some parts
of the contract pertain primarily to the functions of local
stewards.
(Get together with others from your local and in the space
below, list some of the more important contract provisions
that a steward needs to know about.)
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
THE STEWARD’S RELATIONSHIP
TO THE CONTRACT
UNDERSTANDING THE CONTRACT
For the new steward, the contract can be a bit intimidating
at first. The new steward may see all the provisions of the
contract and wonder how in the world she or he will be able
to learn its provisions.
What are some ways that the new steward can learn about
the contract?
_______________________________________________________
_______________________________________________________
_______________________________________________________
_______________________________________________________
THE STEWARD’S ROLE IN
HANDLING A GRIEVANCE
STEPS
• Investigating the grievance.
• Analyzing the grievance.
• Preparing for discussion.
• Write out the grievance.
STEP 1: INVESTIGATING THE
GRIEVANCE
Interviewing the grievant:
Your job is to listen well to let the grievant
express his/her feelings and to ask what
has happened.
Get all the facts you can from the
grievant. Ask the grievant to help you fill
out a grievance contact form.
STEP 1: INVESTIGATING THE
GRIEVANCE
A. Identify the problem.
After listening to the employee describe
the problem, try to clearly define the
matter in one sentence. It may be
necessary to repeat this process later.
Repeating this step will help you to
clarify a problem that changes after it is
investigated.
STEP 1: INVESTIGATING THE
GRIEVANCE
B. Get all the facts – The five W’s
1. WHO is involved? Don’t forget to identify the
position of the persons involved, such as supervisor
or division/section chief.
2. WHAT exactly happened?
3. WHEN did the problem occur? Be particular about
the date, shift, week, year, etc.
4. WHERE did the problem occur? Again, be as
specific as possible.
STEP 1: INVESTIGATING THE
GRIEVANCE
B. Get all the facts – The five W’s
5. WHY did the problem occur? Look at the
bargaining history of the matter/concern and any
applicable grievance decisions, agency rules, or
policies involved.
6. HOW should the injustice be corrected? What
remedy are you demanding to return the aggrieved
worker to the same condition he/she would have
been in, had not the violation occurred. (Be careful
not to limit the union to a narrow remedy. Phrases
such as “request that the grievant be made whole”
are often appropriate.)
STEP 1: INVESTIGATING THE
GRIEVANCE
B. Get all the facts – The five W’s
NOTE: Now would be good time to revisit Part A
above to see if the problem needs to be
redefined.
Ask the grievant to listen while you recap the story
and correct any facts not accurately described.
While you work with the grievant, take notes
on the W questions using a problem fact
sheet.
STEP 1: INVESTIGATING THE
GRIEVANCE
B. Get all the facts – The five W’s
Follow up: Take time for research. Talk to people
who may have witnessed the incident who
may verify facts of the grievant’s story.
Check the contracts and agency rules, including
the grievant’s personnel file (with the
grievant), if necessary.
Find out if any past practices apply or if other
similar cases have been dealt with relating to
the grievant’s problem.
STEP 2: ANALYZING THE
GRIEVANCE
Determine which type of grievance you are
dealing with and the strategy you need to pursue.
If it concerns discipline, does the agency have
sufficient evidence?
If it concerns a contract violation, does the
grievance evidence support a conclusion that the
contract or other governing rules have been
violated?
STEP 2: ANALYZING THE
GRIEVANCE
If you need more information, continue to
investigate.
Identify possible sources for the information
you need.
STEP 2: ANALYZING THE
GRIEVANCE
A. Sources of information.
1. People…grievant, fellow worker(s), witnesses,
management.
2. Company records…payroll, production,
attendance, medical record, seniority list, and
company rules.
3. Union records…contract, grievance file,
memorandum of understanding, etc.
STEP 2: ANALYZING THE GRIEVANCE
B. Quality of information.
1. Can it be measured?
2. Is the meaning of the information clear?
STEP 3: PREPARING FOR
DISCUSSION.
• Take time to prepare for your discussion with
management. Develop your arguments for the
grievance. Be prepared to respond to management’s
arguments. If unsure about past practices or the intent
and interpretation of contract provisions, check with
other union officers or stewards.
• Make sure the grievant is prepared for the discussion.
Ask the grievant if there is any thing else about the
situation that you should know. Explain that you want
to be prepared for the meeting and would prefer not to
be surprised with new information at the grievance
meeting.
STEP 4: WRITE OUT THE
GRIEVANCE
Prepare the written portion of the grievance.
If your local has a particular grievance form,
make sure you use it.
If the contract requires a specific grievance
format, follow the format and check with the
grievant for additional information requested by
the forms
STEP 4: WRITE OUT THE GRIEVANCE
A. Points to use
1. Put only enough information in the grievance
so that management understands the basic
problem, what violations occurred, and how
the problem should be resolved.
2. Leave out the union’s arguments, evidence,
and justification for position. That information
could be used by management to prepare a
better case against the union.
STEP 4: WRITE OUT THE GRIEVANCE
A. Points to use
3. Don’t limit contract violations. In stating why
there is a grievance use the phrase “violates
the contract” and cite the specific articles and
sections of the contract violated. Then add
“and all relevant articles of the contract”.
4. Remember, the grievance states the union’s
position not yours or the grievant’s
opinions…avoid personal remarks.
STEP 4: WRITE OUT THE GRIEVANCE
A. Points to use
5. Don’t limit the remedy. If you limit the remedy
asked for in the grievance, you might limit the
union to something less than full compensation
for the grievant.
6. Consult with the grievant. Discuss the written
grievance and explain the requested remedy.
Get the grievant’s full understanding and
agreement.
STEP 4: WRITE OUT THE GRIEVANCE
A. Points to use
7. Solidarity. If it concerns an appropriate issue,
explain the grievance to the work group and
be sure they understand your efforts on the
issue.
8. Keep the grievant up to date with each action
taken. Don’t rely on him/her to come to you.
Make sure that the grievant gets a copy of all
papers filed on his/her behalf.
STEP 4: WRITE OUT THE GRIEVANCE
A. Points to use
9. Prepare each case on the assumption
that it may go to hearing at Arbitration.
Proper preparation and case
presentation within the grievance
procedure may save the local from
having to move to Arbitration.
FORMAL GRIEVANCE WRITING
POINT 1: LIMIT DETAILS TO BASIC INFORMATION.
Put only enough information in the grievance so
that management understands the basic problem,
what violations occurred, and how the problem
should be resolved.
a.
What is the basic problem?
b.
What violation(s) occurred?
c.
How should the problem be resolved?
FORMAL GRIEVANCE WRITING
POINT 2: WRITTEN GRIEVANCES TO BE TURNED IN TO
MANAGEMENT
Leave out the union’s arguments, evidence,
and justification for position. That information
could be used by management to prepare a better
case against the union.
Using the practice fact-set, on the lines below,
write out the statement of grievance your group
decided best fits the facts:
FORMAL GRIEVANCE WRITING
POINT 3: DON’T LIMIT CONTRACT VIOLATIONS.
In stating why there is a grievance use the
phrase “violates the contract” and cite the
specific articles and sections of the contract
violated. Then add “and all relevant articles of
the contract”.
Using the practice fact-set, on the lines below,
write out the statement of violation decided by
your group to best apply:
FORMAL GRIEVANCE WRITING
POINT 4: AVOID PERSONAL REMARKS
Remember, the grievance states the union’s
position not yours or the grievant’s
opinions…avoid personal remarks.
On the lines below, jot down some phrases that
might be avoided in communication grievance
positions:
Some phrases that might be used would be:
FORMAL GRIEVANCE WRITING
POINT 5: DON’T LIMIT THE REMEDY
If you limit the remedy asked for in the grievance,
you might limit the union to something less than
full compensation for the grievant.
To make sure that all lawful and possible
remedies are not overlooked, use phrases that
leave room for those remedies.
Some phrases that allow for the widest application
of remedies:
FORMAL GRIEVANCE WRITING
POINT 6: CONSULT WITH THE GRIEVANT
Discuss the written grievance and explain
the requested remedy. Get the grievant’s
full understanding and agreement.
FORMAL GRIEVANCE WRITING
POINT 7: SOLIDARITY
If it concerns an appropriate issue, explain
the grievance to the work group and be sure
they understand your efforts on the issue.
Some appropriate ways to share
information on grievance issues with work
group members might be:
FORMAL GRIEVANCE WRITING
POINT 8: FEEDBACK AND MORE FEEDBACK
Keep the grievant up to date with each
action taken. Don’t rely on him/her to come
to you. Make sure that the grievant gets a
copy of all papers filed on his/her behalf.
FORMAL GRIEVANCE WRITING
POINT 9: ARBITRATION
Prepare each case on the assumption that it
may go to hearing at Arbitration.
Proper preparation and case presentation
within the grievance procedure may save
the local from having to move to
Arbitration.
GRIEVANCES
CONSIDERATIONS
IN MOVING TO
ARBITRATION
CONSIDERATIONS IN MOVING TO
ARBITRATION
Not all cases can be resolved within the grievance
procedure.
When a grievance moves through the steps of the
procedure and remains unresolved, the union has to make
a decision about taking the case to hearing at arbitration.
In making the decision, there are several factors that a
local may consider.
The first consideration should always be the merits of the
case.
CONSIDERATIONS IN MOVING TO
ARBITRATION
There are other considerations that need to be
applied to the decision.
Decisions about arbitration are left to the sole
Discretion of a local.
The decision to arbitrate a grievance is normally
made by a committee of the local.
CONSIDERATIONS IN MOVING TO
ARBITRATION
The local should have a formal system for
considering which cases should go to hearing at
arbitration.
The local should document decisions about going
to arbitration and employees should be honestly
told about the decision of the local.
USES OF FACTS
1. Facts can be held for the information of the
union.
2. Facts can be included in the written
grievance.
3. Facts can be used in negotiating the
grievance.
Question for discussion: What factors
influence which of the three uses a fact will
be put to?
THE QUALITY OF INFORMATION
INTERPRETING FACTS
1. Can it be measured?
2. Is the meaning of the information clear?
Question for discussion: Give examples of
information which can and cannot be
measured accurately. Would this
information have a clear meaning in any
grievance?
Can this information be measured accurately?
Is the meaning of the information clear or must
further investigation determine the meaning?
114
Measuring Information
There are many ways of measuring information.
Distance can be measured in inches, feet, yards,
or miles.
Time is measured in seconds, minutes, hours,
days, or years.
These measures are used in many grievances.
Others include:
115
Measuring Information
Information:
Method of measure
Years of service:
Years months and days
Medical records:
Number of reported
injuries in past period,
hours lost from work,
kinds of injuries
Absenteeism:
Number of days lost
116
Measuring Information
Information:
Method of measure
Tardiness:
Number of days tardy,
number of hours lost
from work
Production:
Amount produced
Other jobs held:
Job titles, period of
time on each job
117
Measuring Information
Information:
Education
and Training:
Method of measure
Years in school,
training, programs
attended, courses taken
Written
reprimands:
Number, kind of violation
Quality of work:
Accuracy and quality
118
Measuring Information
In each type of information, the investigator, can
produce a number of measurements that can be
compared with other cases.
For example, a worker who has been absent five
days in the past year has fewer absences than
someone with seven absences.
Every reasonable person who looks at that record
will agree that five absences is less than seven
absences in a one-year period.
119
Measuring Information
The same can be said for each kind of information
shown.
Although a large number of absences may appear
on record, no reasons are given.
A worker with seven absences may have better
reasons than someone with five absences.
120
Measuring Information
With each kind of information listed, you have to
know the reasons for each case.
You have to know the meaning of most kinds of
information.
121
GRIEVANCES
USING WITNESSES
USING WITNESSES
Solid witnesses can win grievances. There are
several things to look for in using and evaluating
witnesses.
1. Be sure that you fully understand the witness’s
story. Go over it with the witness until you do
understand. Remember, memory is often
selective and five people witnessing the same
incident may have five different versions.
USING WITNESSES
2. Be sure that the witness is willing to help you
and the grievant all the way through the
procedure, if necessary.
Make clear that you are depending on the
witness to support the case by telling what is
known. It is better not to have a witness than to
build a case on one who will later back down,
due to fear of management or whatever. It
often helps to have a witness sign a written
statement, but this is not essential.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
1.
Know your rights under the contract and elsewhere.
Avoid letting the employer tell you how to handle and
write your grievances.
2.
Ask at the beginning: Is it necessary to write this
grievance? In some cases, writing will make the
management take the problem more seriously. In
others, it might lock them into a “no” attitude where
the grievance could otherwise have been resolved with
justice to the employee(s).
3.
In writing the grievance, don’t go into too much detail.
Use the 5 W’s in putting in only enough information to
identify the grievance. Check your union’s policy or
practice here.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
4. Generally, you want to limit your
statement to the bare essentials of what
happened.
a. This means omitting personal judgments,
the nature of the evidence that the union
might use later on, and the detailed
justification for the union position.
b. In some cases this information might only
be used by management to prepare a better
case against a worker.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
4. Con’t
Example: Better than… “The grievant, Bill Brown,
has been abused and discriminated against by
the supervisor, and the union has three
witnesses to this treatment, in addition to work
assignment records…”
Would be… “The management’s actions
toward the grievant violate accepted standards
of fair and equal treatment and the collective
bargaining agreement, including Article VII,
Section 2 governing work assignments.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
5. Your contract citations should be
relevant to the violation. Including every
conceivable ground might make it
appear that the union isn’t really sure
whether and why a grievance exists.
Don’t appear to be searching for a thin
hook on which to hang your case.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
5. Bear in mind, however, that somewhere along
the line, either in the written grievance or in
the record of grievance meetings, you will
normally want to introduce the essential
arguments, evidence and grounds for the
union’s position.
Cases have been thrown out by arbitrators
because too much was withheld during the
grievance procedure. Don’t plan your strategy
around the element of total surprise in the
arbitration hearing. It usually boomerangs.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
6. As in number 4 above, cover yourself. In
stating the “why” (grounds) for the grievance,
don’t limit the union position to a single section
of the agreement.
Example: Better than… “The foreman’s action
violates section 12 of the contract…”
Would be…“The foreman’s action in
this case violates the collective bargaining
agreement, including but not limited to Article
V, Section 2.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
7. Also use “covering language” when stating
specifics, especially in cases where
technicalities have been used in the past to
deny grievances.
Example: Better than… “On January 13th,
26th, and February 2nd, the grievant was
bypassed in selecting workers for overtime…”
Would be better (in cases where
there was an error on one of the dates)…
“On or about January 13th, etc., etc.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
8. Grievances have been sold short by poorly phrased
remedies. In stating your demand (the requested
remedy), don’t ask for anything less than full
compensation for the grievant. Better still, use a
phrase such as “made whole”.
Example: Better than… “The union requests that the
grievant be reinstated.”
Would be…“The union requests that the
grievant be made whole in every way, including full
back pay and reinstatement with no loss of seniority.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
9. Don’t get personal. Remember, you are
hopefully stating a union position.
Example: Better than... “I demand that
the foreman, Jack Joker, stop taking out
his frustrations on the people in
Department B…”
Would be… “The union
demands that the management stop the
above practice.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
10. Thoroughly discuss the grievance with the grievant.
a. Explain what you are doing.
b. Explain the requested settlement and get the
grievant’s full understanding and agreement.
c. Normally you will want the grievant’s signature on
the written grievance submitted to management.
d. And be sure to keep the grievant posted on
developments as the grievance progresses (or
doesn’t progress).
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
11. If you’re new at it, consult with chief
stewards, committeemen/women, etc. in
writing the grievance.
Show the final to them before submitting it.
Don’t be a burden, but don’t be afraid to ask
for help.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
12. From the very outset try to nail down the
employee’s reasons for its action.
You might want to consider stating your
understanding of their reasons in writing, then
submitting this with a statement such as “This
is our understanding of your position.
If it is in any way incomplete or incorrect,
please advise us promptly in writing.”
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
12. But remember, this can cut both ways.
Otherwise, don’t automatically assume
that you are locked into the original
phrasing of the written grievance.
In most cases there are possibilities for
amending the grievance at various steps
in the procedure, especially in light of
new information.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
12. There are situations where time limits
are impending and full information is
unavailable where it is necessary to file
an incomplete grievance to ensure that it
is timely.
Don’t manufacture grounds, but don’t
overly narrow the possibilities.
Use suitable covering language.
GRIEVANCE WRITING
12 POINTS ON WRITING THE GRIEVANCE:
REMEMBER,
WRITING CONCISELY CAN HELP
CLARIFY THINKING.
THE GRIEVANCE FILE
Maintains continuity through steward turnovers
and officer changes.
Enables stewards and leaders to locate “lost”
facts.
Enables stewards to identify past grievance
patterns and settlements.
Useful in spotting problems to be introduced in
contract negotiations
THE GRIEVANCE FILE
Even where informal settlement is reached before a
grievance is written, a brief notation should be made for
the file.
One way to establish a file is to cut up the contract and
paste each section on a separate card.
Grievances can then be filed under the section they relate
to.
Additional files can be used for grievances that don’t tie
in with the contract directly.
PRACTICE FACT SHEET
Exercise
You are the steward for employees working in the
machine shop at your activity.
One of the employees in the shop comes to see you and
is very upset.
The employee, Mr. David Niceguy, is a quiet worker who
gets along well with others in the shop.
David tells you that the shop supervisor, Ms. Jean Mean,
has just issued him a written reprimand.
He shows you the reprimand and it states that the
discipline was for “Failing to return from lunch on
PRACTICE FACT SHEET
David tells you that on January 31st, he and Mr. True
went to lunch together.
They returned to the shop area with 5 minutes to spare.
While Mr. True went to get his tools, David was called
aside by the Foreman, Mr. Frank.
Mr. Frank asked David about the special project he was
working on.
The conversation with Mr. Frank took about 15 minutes
and when it was over, David went straight to his work
on his project.
PRACTICE FACT SHEET
David went on to tell you that he did not think anything
more about the day until Ms. Mean called him to her
office and gave him the reprimand.
He insists that he was not late from lunch and that it
would have been impolite to ignore the Foreman.
David tells you that Ms. Mean has been acting oddly
toward him in recent weeks.
He reminds you about the promotion party for Ms. Mean
held in the shop and the fact that he missed it.
PRACTICE FACT SHEET
When Ms. Mean asked why he wasn’t at her party, he
told her that he had other important business and before
he could explain, she went back to her office.
Since that day, she has not spoken to him except to give
him the reprimand.
David tells you that he does not deserve the reprimand
and wants your help in getting it taken care of.
The union contract states that all discipline must be
taken for just and sufficient cause.
PROBLEM FACT SHEET
STEP 1:
INVESTIGATE THE GRIEVANCE.
A. Identify the problem. Describe the
problem in one sentence.
_________________________________
_________________________________
_________________________________
_________________________________
PROBLEM FACT SHEET
STEP 1:
INVESTIGATE THE GRIEVANCE.
B. Get the facts – the 5 W’s.
1.
2.
3.
4.
5.
6.
Who is involved?
What exactly happened?
When did the problem occur?
Where did the problem occur?
Why did the problem occur?
How should the grievance be remedied?
PROBLEM FACT SHEET
STEP 2: ANALYZING THE GRIEVANCE
A. What kind of problem is it?
1.Contract violation?
2.Violation of Federal/District law, rule or
regulation?
3.Violation of agency rules or regulation?
4.Past practice violation, change of working
condition?
5.New policy or procedure?
6.Disciplinary or adverse action?
7.Unfair or improper treatment?
8.None of the above?
PROBLEM FACT SHEET
STEP 2: ANALYZING THE GRIEVANCE
B. Additional sources of information needed.
1.
People.
2.
Records.
PROBLEM FACT SHEET
STEP 3. PREPARING FOR DISCUSSION.
Worksheet
List the major points you want to make in
your opening presentation. Don’t use full
sentences, only memory joggers.
List possible management arguments and
your response.
PROBLEM FACT SHEET
STEP 3. PREPARING FOR DISCUSSION.
MANAGEMENT ARGUMENTS
YOUR RESPONSE
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
__________________________
________________________
________________________
________________________
________________________
________________________
________________________
________________________
________________________
PROBLEM FACT SHEET
STEP 4. WRITE OUT THE GRIEVANCE
Using the problem fact sheets, on the
lines below, write out the statement of
grievance that best fits the facts.
_________________________________
_________________________________
_________________________________
_________________________________
PROBLEM FACT SHEET
STEP 4. WRITE OUT THE GRIEVANCE
Using the problem fact sheets, on the
lines below, write out the statement of
violation that best fits the facts.
_________________________________
_________________________________
_________________________________
_________________________________
PROBLEM FACT SHEET
STEP 4. WRITE OUT THE GRIEVANCE
On the lines below, jot down some phrases
that may be avoided in communicating
grievance positions. (Remember, the grievance
states the union’s position, not your or
grievant’s opinion.)
______________________________________
______________________________________
______________________________________
______________________________________
PROBLEM FACT SHEET
STEP 4. WRITE OUT THE GRIEVANCE
Some phrases that may be used.
_________________________________
_________________________________
_________________________________
_________________________________
PROBLEM FACT SHEET
STEP 4. WRITE OUT THE GRIEVANCE
To make sure that all lawful and possible
remedies are not overlooked, do not limit the
remedy asked for in the grievance. On the lines
below, write phrases that allows for the widest
application of remedies
______________________________________
______________________________________
______________________________________
______________________________________
OUTLINE OF GRIEVANCE
PROCESSES
PURPOSE: Processing a grievance. Some grievances
will eventually proceed to arbitration. A well-written
and researched grievance prepares the case for the
next level.
A. Cover letter / introduction.
• The grievance should be well written and
addressed to the appropriate official.
• Summarize results of informal or previous steps
of grievance procedure. (Include date of
meeting and participants.)
• Set forth briefly reasons for dissatisfaction with
previous results.
OUTLINE OF GRIEVANCE
PROCESSES
B. Statement of the case.
1. Background of grievant, if applicable
a. Years in service, grade, duty, post.
b. Disciplinary Record, if any, or any special
recognition.
c. Recent Supervisory Appraisal, if applicable.
d. Union involvement, if applicable, to establish any
anti-union hostility
OUTLINE OF GRIEVANCE
PROCESSES
B. Statement of the case.
2. Sequence of events leading to grievance.
– Begin with earliest applicable event.
– Fully explain events – names, dates, places,
etc
OUTLINE OF GRIEVANCE
PROCESSES
B. Statement of the case.
3. Violation(s) of the Collective Bargaining Agreement.
- Cite article(s) violated.
- How violated.
- Describe “past practices” related to article, if
applicable.
- Provide supporting case law/arbitration decisions.
OUTLINE OF GRIEVANCE
PROCESSES
B. Statement of the case.
4.
Conclusion and remedies.
• Brief closing remarks.
• List remedies sought.
REPRESENTING THE “GUILTY”
EMPLOYEE
There may be times when you know that
an employee asking for representation has
done something wrong. Consult with the
person beside you and jot down your
ideas on how to deal with that situation.
__________________________________
__________________________________
__________________________________
__________________________________
REPRESENTING THE “GUILTY”
EMPLOYEE
“That employee is wrong and you know
it!”
Once in awhile, an employee will in fact,
be wrong when he/she comes to you for
representation. What do you do?
REPRESENTING THE “GUILTY”
EMPLOYEE
Once, a manager called the union office and complained
about the union steward representing an employee that
“everyone knew was guilty”. The union steward, in
responding to the manager, asked him the following:
“Let’s say you got a traffic ticket and knew you were
speeding, but didn’t think that you deserved to have
your license taken. To see what you could do, you went
to your attorney. You told him the story and asked what
he/she could do. What would you say to your attorney if
he told you that you were wrong, should take your
medicine and throw yourself on the mercy of the judge?”
The manager thought about it for a moment and never
again complained about the union representing an
employee.
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
When considering a grievance and how to
handle it, the steward should run through
the following points. Each one may be
critical to your success as a steward
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
1. GRIEVANT – Do you understand the grievant’s
point of view, situation, and the problem that
is presented? Is the real problem the one
that’s being presented?
2. FACTS – Do you know what facts you’ll have to
successfully handle the grievance and where to
get them? In some cases obvious facts can be
routinely confirmed when approaching the
foreman. Example: Steward to foremen, “I
understand Wally here was assigned to the
grinder for two days last week, is that right,
Fred?”
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
3. BASIS – Why is this a grievance? Can you
state the contract clause, law, past practice, or
right that is violated?
4. TYPE of grievance – Is it COLLECTIVE or
DIVISIVE?
Is there more than one issue involved?
(Working conditions, safety, and supervision
may all be wrapped into one.)
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
5. PERSONALITY – What do you know about the
persons involved in originating the grievance
and those that you’ll have to deal with in
handling it? What about yourself? Why do
these people think, behave and respond like
they do?
6. ORIGIN of grievance – Can you make a fair
guess as to why the grievance arose? Company
policy, personality of worker or foreman,
mistake, buck-passing, error in judgment, etc.
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
7. SOLIDARITY – How does the grievance affect
solidarity? How can it be handled so as to
increase solidarity?
8. ANTICIPATE – What are the likely responses of
the company and others you will be dealing
with? What settlement will the grievant accept
that will be fair to him/her and the other
workers?
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
9. STRATEGY – Based on the above, your
experience with similar situations, and your
knowledge of the people involved, what
grievance handling strategy does the case seem
to call for? If you’re in doubt about this or
about other aspects of the case, it might be
wise to consult with knowledgeable people.
10. INVOLVE – As you proceed, involve the
grievant and the other workers in making
decisions as much as possible. This often helps
build support for you in handling grievances and
solidarity in your entire shop.
GRIEVANCE CHECKLIST FOR
SHOP STEWARDS
11. Get the company answer in writing
even when you lose. You may be able to
use this later.
12. Be sure to report back to the
complaining worker and the shop what
happened at each stage of the grievance
procedure. They have a right to
know…even if the decision is not popular.
SOME PITFALLS TO WATCH FOR:
 Letting some workers push you around. A little
kidding okay, but take a stand. Remember a
representative’s job is not something to be ashamed
of. Keep your head up.
 Becoming a straw boss – don’t run around enforcing
management rules. This is the job of the foreman.
Some foremen will get you to do this job for them
and to the extent that your effectiveness as a steward
is destroyed. You learn when and how far to
cooperate through experience.
SOME PITFALLS TO WATCH FOR:
Don’t spend all your energy trying to protect
the goof-off. Your bargaining power is not
unlimited.
Some stewards undermine their bargaining
power by stretching their own privileges; i.e.,
taking an hour to get back to the job after
they have handled a case. Management
observes this, even if they don’t say anything
about it. So do the members.
WHY UNIONS LOSE GRIEVANCES
1.
2.
3.
4.
Officers, committeemen or stewards often will not
admit or are blind to the inevitable interpretation of
the contract.
Political grievances – Local union factions sometimes
push a grievance to win political favor (thinking that a
politician never says “NO”).
High turnover of officers, committeemen and stewards
tends to perpetuate inexperience while the opposite is
true with the companies.
Local union fails to educate its leadership to learn how
to more effectively process grievances.
WHY UNIONS LOSE GRIEVANCES
5. Unions generally advise advancing borderline
cases. More frequently this is interpreted to
go with “leaning losers”.
6. Members fear reprisals if they push grievances.
7. Officers and members have problems of
distinguishing moral indignation from
contractual rights.
8. Inability to get the facts related to grievance.
Often do not know what facts to get, where to
get them or how to get them.
WHY UNIONS LOSE GRIEVANCES
9. Union grievance committees often have
little concept of what is adequate
preparation for arbitration.
10. Union grievance strategy is more
vulnerable to leaks to management.
11. Unions are often unable to gain support
for a grievance from their own members.
12. Unions lack the money to match
management at every level.
WHY UNIONS LOSE GRIEVANCES
13. Local unions at times deliberately act in
a way to lose a grievance often in cases
where it involves a non-member or a
particularly troublesome member.
14. Local officers figure they can go it alone
and refuse the international’s help.
15. Employers are known to bluff the
grievance committee out of a good
grievance.
WHY UNIONS LOSE GRIEVANCES
16. Unions are basically compassionate and at
times willingly fight a member’s cause when
there may be no chance of winning.
17. Unions occasionally file grievances that are
losers to determine where they stand on the
issue.
18. Unions lose or forego good grievances because
at times they lack money to process
grievances to arbitration.
WHY UNIONS LOSE GRIEVANCES
19.Union stewards forget time limits.
20. Too much time is allowed to elapse between
the “event” and the “settlement”.
21. Company is often able to play on the
members’ allegiance. Some members and
even officers side with management.
Managements are known to suggest or
outright promise a better job, etc., to weaken
unions’ positions.
22. Grievances are poorly written.
GRIEVANCE PROCEDURE:
POINTS TO REMEMBER
1.
2.
3.
4.
5.
Exhaust each step before advancing to the next.
Keep track of time limits – don’t let one slip by. If
necessary, remind union representatives at higher
steps of impending limits.
Educate grievants and others you represent about the
procedure. Encourage them to come to you first.
Don’t promise what you might not be able to deliver
by over-assuring the grievant that the case will be
won. You can’t guarantee a win and you might be
setting up high expectations that will not be met.
Keep the grievant posted on the progress of the
grievance. Don’t wait for the grievant to ask what’s
happening.
GRIEVANCE PROCEDURE:
POINTS TO REMEMBER
6.
Keep written records, including notes on verbal
settlements. Inform officers and other leaders of
important settlements.
7. Problems that are not grievances can be handled
outside of the grievance procedure. You can refer
them to the appropriate people or can handle them
yourself.
8. Actively enforce the contract. Don’t always wait for
someone to grieve a violation. Be on the lookout for
practices that might compromise the union’s position.
9. Fair representation demands that every member have
equal access to the grievance procedure. Don’t
dismiss any complaint out-of-hand.
10. At the same time, develop the ability to say “no” on
phony grievances, and convince the member of your
reasoning. But be sure of your ground.
GRIEVANCE PROCEDURE:
POINTS TO REMEMBER
11. Make an effort to learn how arbitrators view
grievances. This will help you prepare better
grievances and avoid arbitration.
12. Look at all the implications of a grievance. It may be
that handling a problem through the grievance
procedure will boomerang on other members.
13. Remember that the union’s ability to serve all the
members is weakened when the various parts of the
organization are not coordinated. Communicating with
others is essential to solidarity. Leaders and members
should know their responsibilities, as well as their
rights, in the grievance procedure.
Discipline
DISCIPLINE AND DISCHARGE
SOME STANDARDS
Discharge is often referred to as the capital punishment
of labor relations. When an employee is fired other
parts of his/her life are likely to go haywire. Financial
and mental health, family and marriage, and future
earning power are all likely to be affected.
The general principle is that management must have
“just cause” for discharging an employee. What
constitutes just cause in a given situation can vary with
the employee’s seniority and infraction, with how other
employees have been treated for similar violations, and
with a host of other circumstances surrounding the
particular instance.
DISCIPLINE AND DISCHARGE
SOME STANDARDS
Discipline amounts to discharge in the short-run, since it
frequently precedes discharge and many of the same
standards apply to both. The difference is generally one
of degree, although an employee who is terminated
would usually feel there is little comparison as far as
his/her life is affected.
Since discipline often precedes discharge it becomes
crucial for members to grieve disciplinary actions when
they occur and not allow management to “run up a
record” unjustly. It is a regular occurrence for a fired
employee to get all the way to arbitration before
attempting to do anything about his/her prior disciplinary
record. A few quick questions from the management
lawyer about whether the previous disciplinary actions
were ever grieved usually dispose of that portion of the
grievant’s case.
GUIDELINES - WHAT TO LOOK FOR
The following questions should be asked in order to
establish whether a discharge is for just cause. The
questions reflect standards frequently applied by
arbitrators.
1.
WAS THE EMPLOYEE WARNED IN ADVANCE? In many
cases a rule that has not been enforced in the past
cannot be invoked for purposes of discipline or
discharge without a clear warning in advance.
Likewise a sudden or “surprise” discharge is usually
improper except in cases such as major theft, drinking
on the job, and assault on a supervisor that subject an
employee to immediate discharge.
GUIDELINES - WHAT TO LOOK FOR
2. WHAT ABOUT THE RULES?
Is the rule in question reasonably related to
the employer’s need for safe and efficient
operations?
Would a reasonable person be able to
understand and obey the rule?
Is the rule made known to employees?
GUIDELINES - WHAT TO LOOK FOR
2. WHAT ABOUT THE RULES?
Are the rules enforced uniformly and consistently?
Or is there evidence of discrimination or harassment?
There may be others with similar or worse work
records who have not been disciplined for the same
“offense”?
This can often, though not always, be used to show
unequal treatment.
GUIDELINES - WHAT TO LOOK FOR
3. WAS THERE AN INVESTIGATION BEFORE THE
DISCIPLINE WAS APPLIED?

Was it conducted in a fair and objective
manner? Or was it obviously conducted to
“prove” guilt, as in “When are you going to
stop beating your spouse?”

Did the investigation produce substantial
evidence of wrongdoing?
GUIDELINES - WHAT TO LOOK FOR
4. DOES THE PUNISHMENT FIT THE “CRIME”
AND THE PAST RECORD OF THE EMPLOYEE?
If the offense concerns attendance, work
performance, or other matters deemed
correctable, was progressive or graduated
discipline applied?
Progressive discipline involves increasing
penalties for repeat violations. A typical
progression might be a verbal warning
followed by a written warning, suspension,
then, if the conduct is still repeated, discharge.
GUIDELINES - WHAT TO LOOK FOR
5. ARE THERE EXTENUATING CIRCUMSTANCES
BEHIND THE EMPLOYEE’S ACTIONS?
Physical or mental conditions sometimes
underlie absenteeism, poor work, etc.
Serious family problems may cause severe
stress.
A fight may have been provoked.
GUIDELINES - WHAT TO LOOK FOR
6. IS THERE MANAGEMENT COLLUSION OR
SHARED GUILT?
Have management personnel violated their
own rules or encouraged employees to ignore
certain rules?
For instance, foremen in production plants
have been known to encourage false parts
counts. Others have been known to drink on
the job, etc.
A NOTE ON DISCRIMNATION
Discrimination can occur for any number of reasons,
from sex or race to union activity and personality
conflicts.
Clear evidence of the motivation is usually difficult to
find.
Sometimes statistics will point to a discriminatory
pattern; one category of workers will be shown to have
received unequal treatment or benefits.
Or a pattern of job reassignment, discipline, or
harassment will emerge following the filing of a
grievance against a particular supervisor.
A NOTE ON DISCRIMNATION
Occasionally the motivation will be clear.
A supervisor might, in the heat of an argument, state
the discriminatory reasons for an action – with witnesses
present.
In one instance a supervisor wrote a lengthy memo
which stated clearly her racial motivation for a particular
action.
When the union introduced the intercepted memo into a
grievance meeting, the management could only blurt
out, “Where did you get that?”
DISCIPLINE – GET THE FACTS FOR
THESE QUESTIONS
Drinking on the Job or Being Under the Influence:
1.
2.
3.
How was the situation discovered? Who are the
witnesses?
Was the employee proven to be drunk? Was s/he
examined by a company doctor? Were there any
outward signs that the employee was drunk?
If the employee was caught drinking on company
property, were others involved?
a.
b.
c.
d.
What is the enforcement pattern? Was there entrapment?
Were foremen also drinking?
Were there any others caught who were not disciplined?
What type of container was the alleged alcohol in? Is there
proof it was alcohol?
DISCIPLINE – GET THE FACTS FOR
THESE QUESTIONS
AWOL from Plant or Department
1.
2.
3.
4.
5.
6.
When did the employee leave and how long was s/he
gone? Who are the witnesses involved and what are
their versions of what happened?
Did the absence cause the job to go uncovered?
Is there a reasonable excuse for the absence?
Were there previous warnings or disciplinary actions?
What is the past practice on such absences? Is actual
permission always required? Was permission
requested and/or denied?
Did the foreman find the employee off the premises?
How did s/he confirm the time that the employee was
absent?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Theft:
1. When and where did the alleged theft take
place?
2. What was stolen? What is its value?
3. Under what circumstances was the employee
apprehended? By whom?
4. Red-handed? Was there an admission of guilt?
5. Was the theft for personal use or resale? Have
the goods been recovered? Where and how?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Absenteeism:
1. Is there agreement on the days of absence?
(Or number and extent of tardiness?)
2. Was there permission, or refusal of permission
to be absent? Did the employee notify the
company?
3. Were there prior warnings or reprimands,
verbal or written? Other previous discipline?
Identify the dates and reasons.
4. Were any of the above actions grieved or
otherwise protested?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Absenteeism:
5. Does the employee have an excuse? Have you
verified it? Is it reasonable?
6. What reasons does management give for its
action? Are there any inconsistencies? Are
tardies treated the same as absences?
7. What is the past enforcement record in the
department? Has it been uniformly applied to
all workers?
8. Exactly what is the discipline? How many
hours has the employee lost?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Absenteeism:
5. Does the employee have an excuse? Have you
verified it? Is it reasonable?
6. What reasons does management give for its
action? Are there any inconsistencies? Are
tardies treated the same as absences?
7. What is the past enforcement record in the
department? Has it been uniformly applied to
all workers?
8. Exactly what is the discipline? How many
hours has the employee lost
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Fighting:
1. When and where did the fight take place?
2. Is there evidence that others were involved?
3. Who were the witnesses? Have you
interviewed all of them?
4. How did the fight start – who started it? Was
there provocation? Did anyone attempt to
avoid it or stop it?
5. What, if any, weapons were used?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Fighting:
6. Were all participants disciplined? How much
lost time? When?
7. What were the injuries sustained? Do you
have a doctor’s statement or diagnosis?
8. If the fight occurred between an employee and
a foreman, was it serious? Was it provoked?
Has there been a lawsuit filed? Do you have
copies of the investigator’s report?
9. Are there any extenuating circumstances?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Poor Work:
1. Was the employee warned and given an
opportunity to improve?
2. How is the quality of work measured? On the
basis of the foreman’s judgment, that of other
witnesses, or on the basis of measured
output?
3. Are there others doing similar work who were
not disciplined?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Poor Work:
4.
5.
6.
7.
Are there extenuating circumstances such as faulty
equipment, physical disability, production foul-ups for
which the employee cannot be held accountable?
What are the conditions surrounding the job?
Was carelessness, laxity, laziness, or other specifiable
difficulties involved? Can this be measured or is it an
opinion?
Did the employee attempt to report any problems
affecting his/her ability to do the work?
What was the discipline, in hours and dates of lost
time?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Insubordination and Job Refusal:
1. What job did the employee allegedly refuse?
What were his/her stated reasons? Are there
witnesses who recall the specific works used?
2. What were the instructions? Was there a
direct order given? Was there an argument
with abusive language or threats by either
party?
3. What is the background of the incident?
Were there any similar incidents in the past?
DISCIPLINE – GET THE FACTS
FOR THESE QUESTIONS
Insubordination and Job Refusal:
4.
5.
6.
7.
Was the disobedience or refusal reasonable? Was the
job unsafe or the order unreasonable? Was the
employee ordered to work out of classification?
Did the employee eventually comply with the order?
How long was s/he off the job?
Was other work stopped because of the refusal?
Was the steward or committee member called in by
the worker or the foreman? At what point? What took
place?
OVERTIME
Questions to Investigate:
1.
2.
3.
4.
5.
What is the overtime policy? Where is it stated?
(contract, other written agreement, company policy,
etc.)
Are all the important records available? Is there any
question about their accuracy?
What are the shifts, departments, and job
classifications of the aggrieved and the protested?
If overtime is rotated in the department or within the
classification, by turn, was the aggrieved passed over?
Was the aggrieved made aware of this when it
happened? Did s/he protest?
Are you dealing with a one shot grievance or is there a
practice or pattern involved?
OVERTIME
Questions to Investigate
6.
Are there any “informal” or side agreements that you
need to be aware of?
7. What is the argument of management and/or the
aggrieved?
8. What job was the protested employee given? Is it the
same as that performed by the aggrieved, or is it work
for which s/he is qualified?
9. What settlement will the aggrieved agree to? Would
this be fair to all involved?
10. Is a similar situation likely to happen again? If so, is
this because of problems with the policy, the rotation
agreement? Is it because a foreman or supervisor
refuses to abide by the policy? Or is it due to other
causes?
OVERTIME
Questions to Investigate
1.REMEMBER: Check your facts, even the
most obvious ones. Also, attempt to find
out whether there is any informal
arrangement that somebody doesn’t want
to talk about – an arrangement that may
be to the convenience of certain foremen
or workers, but violates union policy.
OVERTIME
Questions to Investigate
2. A solid, well-handled overtime grievance
may provide the opportunity to improve
the policy to just about everyone’s
benefit. It can establish respect for a new
steward. And it can be used to initiate
discussion directed toward removing
informal, discriminatory overtime
practices.
OVERTIME
Questions to Investigate
3. If allowed to fester, a chronic overtime
problem can ruin morale among the
workers and can lead to the downfall of
the steward. Fair solutions are often hard
to come by, but once reached they can
make it easier to resolve other problems
in a shop.
DOUGLAS FACTORS
In its analysis on this issue, the Merit System
Protection Board listed twelve factors which it specified
were not “exhaustive”, but were those “generally
recognized as relevant”. They include, but are not
limited to:
1.
The nature and seriousness of the offense, and its
relation to the employee’s duties, position, and
responsibilities, including whether the offense was
intentional or technical, or inadvertent, or was
committed maliciously or for gain, or was frequently
repeated.
2.
The employee’s job level and type of employment,
including supervisory or fiduciary role, contacts with
the public, and prominence of the position.
DOUGLAS FACTORS
3.
The employee’s past disciplinary record.
4.
The employee’s past work record, including length of
service, performance on the job, ability to get along
with fellow workers and dependability.
5.
The effect of the offense upon the employee’s ability
to perform at a satisfactory level and its effect upon
supervisor’s confidence in the employee’s ability to
perform assigned duties.
6.
The consistency of the penalty with those imposed on
other employees for the same or similar offenses in
like or similar circumstances
DOUGLAS FACTORS
7.
The consistency of the penalty with any applicable
agency table of penalties
8.
The notoriety of the offense or its impact upon the
reputation of the agency.
9.
The clarity with which the employee was on notice of
any rules that were violated in committing the offense,
or had been warned about the conduct in question.
10. The potential for employee’s rehabilitation.
DOUGLAS FACTORS
11. The mitigating circumstances surrounding the offense
such as unusual job tension, personality problems,
mental impairment, harassment, or bad faith, malice
or provocation on the part of others involved in the
matter.
12. The adequacy and effectiveness of alternative
sanctions to deter such conduct in the future by the
employee or others.
NOTE: Not all of these factors will be pertinent in every
case, and frequently in the individual case some of
the pertinent factors will weigh in the appellant’s
favor while others may not, or may even constitute
aggravating circumstances.
OUTLINE OF WRITTEN REPLY TO
PROPOSAL OF DISCIPLINE
PURPOSE: An employee against whom discipline or adverse
action is proposed has a statutory right to present
his/her defense in the form of both a written and oral
reply. A well-written and researched reply is extremely
important in preparing a thorough record for a case that
may proceed to arbitration or MSPB.
1.
Introduction
A. Date of proposed action.
B. List charges.
C. State whether request for extension was granted.
D. State whether all requested information was
received.
OUTLINE OF WRITTEN REPLY TO
PROPOSAL OF DISCIPLINE
2. Statement of Facts
A. Background of Employee
i. Years of service, grade, duty post.
ii. Disciplinary Record (if any) or any recognition.
iii. Recent Supervisory Appraisal (if applicable).
iv. Union involvement (if applicable, to establish any
anti-union animus).
B. Sequence of Events
OUTLINE OF WRITTEN REPLY TO
PROPOSAL OF DISCIPLINE
3. Response to Charges
Write detailed factual response to each
charge.
Highlight facts in dispute (if
applicable).
OUTLINE OF WRITTEN REPLY TO
PROPOSAL OF DISCIPLINE
4. Legal Arguments
A. Set forth regulatory or contract violations
(if applicable).
B. Set forth affirmative defenses (if any).
C. Set forth arguments for mitigation (Douglas
Factors).
OUTLINE OF WRITTEN REPLY TO
PROPOSAL OF DISCIPLINE
5. Conclusion and Remedy/Relief
Brief closing statement.
Request restoration (position, days, back
pay, benefits).
AUTHORITY (FLRA)
Unfair Labor Practices
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
The “WHO, WHAT, WHERE AND HOW” of Unfair
Labor Practices
The Statute creates rights and obligations on the
part of unions, management and employees in a
workplace represented by a labor union. If
either labor or management fail to perform their
obligations to each other an unfair labor practice
(ULP) charge may be filed. A ULP charge may
also be filed if either labor or management
interferes with the rights each has been given
under the Statute. Employees may also protect
their rights under the Statute by filing ULP
charges against labor or management.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
For example, it is illegal for agency management
to threaten or retaliate against employees for
seeking union representation or refuse to
provide union information necessary for the
union to fulfill its representational
responsibilities. Similarly, unions may not try to
influence management to discipline employees
who did not join the union or refuse to represent
employees because they are not a union
member. Neither an agency nor a union may
refuse to bargain with the other in good faith.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
Although individuals and agencies may file
ULP charges, the vast majority of charges
in the federal sector are filed by unions.
Historically, approximately 95% of all ULP
charges have been filed by unions and
less than 5% have been filed by
employees and management.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
Once a charge has been filed, it is investigated
by the FLRA’s Office of the General Counsel
(OGC) through the FLRA’s Regional Offices. The
Offices use a variety of innovative alternative
dispute resolution techniques to resolve the
charges, short of litigation. Over the last 10
years, approximately 89% of all ULP charges
filed were either withdrawn, dismissed or settled
at this stage.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
For those charges that are meritorious and have
not been resolved at the preliminary stages of
the process, the OGC issues a ULP complaint.
The case is then prosecuted by the OGC in a
trial before the FLRA’s Office of Administrative
Law Judges (ALJ), who are appointed by the
Authority. On an annual basis, an average of
88% of all cases for which a ULP complaint was
issued result in settlement without a hearing.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
After the trial, the ALJ decides whether a ULP
was committed and issues a written Decision
and Recommended Order. An ALJ decision may
be appealed to the Authority by any party. If an
appeal is not filed with the Authority, the ALJ’s
decision becomes final. On appeal, the
Authority may affirm, modify or reverse the
ALJ’s Decision and Recommended Order in
whole or in part. The Authority’s decision may
be appealed to the appropriate federal court of
appeals.
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
The Federal Labor Relations Authority
administers the Federal Service LaborManagement Relations Statute (5 U.S.C.
7101 et seq.). This Statute prescribes
labor management relations, rights and
obligations of employees, agencies and
labor organizations in the Federal Sector.
This office is responsible for investigating
and prosecuting unfair labor practice
charges filed under the Statute.
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
The Federal Labor Relations Authority,
however, may not investigate an
allegation that an unfair labor practice
charge had been committed without the
filing of an unfair labor practice charge on
forms prescribed by the Authority. The
following outlines procedures to be used
in filing an unfair labor practice charge.
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
1
If filing a charge against an agency use FLRA
Form 22, Charge Against an Agency.
2. If filing a charge against a labor organization
use FLRA Form 23, Charge Against a Labor
Organization.
3. The charge form must be completed, signed
and dated where appropriate and returned to
the Dallas Regional Office. A charge can be
faxed to the Regional Office.
4. Serve a copy of the charge upon the party
against whom the charge is made.
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
5. Enclose with your charge any documentary
evidence in support of your allegations that an
unfair labor practice has been committed. It is
not necessary that you serve copies of such
evidence on the party against whom the
charge was filed. Please do not refer to such
documentation in the body of the charge form;
if such reference occurs the Dallas Regional
Office is required to serve copies of such
documentation on the Charged Party.
PROCEDURES FOR FILING UNFAIR
LABOR PRACTICE CHARGES
6. Enclose with the charge a list of the names
and phone numbers and/or e-mail addresses
of your witnesses in the case.
7. Charges must be filed within six months of the
date of the alleged incident. [See Section
7118(a)(4)(A) of the Statute]
8. Issues which have been previously raised in a
negotiated grievance procedure may not also
be filed as an unfair labor practice charge.
[See Section 7116(d) of the Statute]
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against an Agency (CA):
(a)(1): Interfere, restrain, coerce (e.g., threatening
statements, conduct, failure to recognize
union)
(a)(2): Discrimination related to union or anti-union
activity
(a)(3): Unlawful assistance to a union (e.g., favoring
one union over another)
(a)(4): Discrimination related to participating in FLRA
activities
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against an Agency (CA):
(a)(5): Bad faith bargaining
Bypass (e.g., dealing with employees individually
instead of union)
Refusal to recognize union
Failure to maintain status quo during an election in
which a Union(s) is seeking to represent employees
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against an Agency (CA):
(a)(5): Bad faith bargaining
Unilateral change without providing the
Union an opportunity to bargain
Repudiation of an agreement.
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against an Agency (CA):
(a)(6): Refusal to cooperate with the FSIP
or to comply with a FSIP decision.
(a)(7): Enforce a rule or regulation which
is in conflict with an already
existing negotiated agreement.
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against an Agency (CA):
(a)(8): Failure to go to arbitration or comply
with an arbitrator’s decision.
Failure to process dues, allotments or
revocations (1187 or 1188).
Failure to notify Union or prevent Union
from attending a formal discussion.
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Unfair labor Practice Charges Against an
Agency (CA):
(a)(8): Failure to respond to an information
request, provide the information and/or to
respond in a timely manner.
Failure to allow Union to be present at an
investigatory interview if employee requests.
Failure to provide official time for collective
bargaining agreement negotiations, FLRA
procedures (See Section 7131
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against the Union (CO):
(b)(1): Interfere, restrain or coerce.
(b)(2): Cause an agency to discriminate
against an employee.
(b)(3): Discrimination for purposes of
hindering work activity.
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against the Union (CO):
(b)(4): Discrimination based upon
membership in the Union.
(b)(5): Bad faith bargaining.
(b)(6): Refusal to cooperate/comply with
FSIP.
GENERAL UNFAIR LABOR PRACTICE
CHARGES, 5 U.S.C. SECTION 7116
Charges Against the Union (CO):
(b)(7): Strike work stoppage, slowdown, or
picketing which interferes with performance
of work.
(b)(8): Failure to arbitrate or comply with arbitrator’s
decision.
Breach of the duty of fair representation (of
bargaining unit employees).
Denies membership in Union to qualified
employees.
American Federation of Government
Employees AFL-CIO
ULP WORKSHEET
PAGE 66
LET’S TAKE A LOOK
THE FOUR MOST COMMON REASONS
UNFAIR LABOR PRACTICE CHARGES ARE
DISMISSED
1. Timeliness – Statute of Limitations §7118(a)(4)(a)
Complaints are not to be issued on charges filed more than
6 months after events giving rise to the charge.
Exceptions: Prevented from filing charge by failure of party
to perform duty owed or because of concealment which
prevented discovery.
Best Practice. File immediately, amend later, write broad
language in body of charge.
THE FOUR MOST COMMON REASONS
UNFAIR LABOR PRACTICE CHARGES ARE
DISMISSED
2. Lack of Evidence
Burden on charging party to produce:
Witnesses
Documents
Facts that would help case
Best Practice
Pre-filing interviews with witnesses - use
screening board like for grievance.
Treat evidence as your responsibility not just
FLRA’s.
THE FOUR MOST COMMON REASONS
UNFAIR LABOR PRACTICE CHARGES ARE
DISMISSED
3. Lack of Knowledge of the Law
Must know the law or at least be able
to argue why this is a violation of law.
Know the elements of a violation.
THE FOUR MOST COMMON REASONS
UNFAIR LABOR PRACTICE CHARGES ARE
DISMISSED
4. Choose Wrong Forum
Practice may be unfair, but not unfair
labor practice.
File ULP when you should file grievance.
Raise EEO issues in ULP Forum
AUTHORITY (FLRA)
Data Requests
A model form for use when
requesting information.
Union Request for Information Under
Section 7114(b)(4) of the Statute:
Date: Date of the information request.
______________________________
Requester: Name of the requesting union.
SEE PAGE 68 - 76
A model form for use when
requesting information.
Union Request for Information Under
Section 7114(b)(4) of the Statute:
Date: Date of the information request.
______________________________
Requester: Name of the requesting union.
A SAMPLE HYPOTHETICAL REQUEST
SEE PAGE 77 - 79
A model form for use when
requesting information.
Union Request for Information Under
Section 7114(b)(4) of the Statute:
Date: Date of the information request.
______________________________
Requester: Name of the requesting union.
USING AN IBB APPROACH
SEE PAGE 80 - 82
AUTHORITY (FLRA)
WEINGARTEN RULES
page 83
WEINGARTEN RULES
Rule 1:
There must be an investigatory interview.
The employee must either before or
during the interview, ask for union
representation
WEINGARTEN RULES
Rule 2:
When the request is made:
The supervisor must either grant the request and delay
questioning until a union representative arrives and has a
chance to consult privately with the employee;
OR
Deny the request and end the interview immediately;
OR
Give the employee a choice of (1) having the interview
without union representation or (2) ending the interview.
WEINGARTEN RULES
Rule 3:
If the supervisor refuses to honor the
employee’s request and insists on the
interview, s/he commits an unfair labor
practice and the results of the interview
may be set aside by the FLRA if the
charge is upheld.
QUESTIONS AND ANSWERS:
“Reasonable Belief”
Question: Since an employee only has a
right to union representation when s/he has
“reasonable belief” that discipline may result
from the interview, what is reasonable belief?
QUESTIONS AND ANSWERS:
“Reasonable Belief”
Question: Since an employee only has a right to
union representation when s/he has “reasonable belief”
that discipline may result from the interview, what is
reasonable belief?
Answer: The employee must be able to point to
objective factors that warrant a fear that discipline may
result from the interview.
QUESTIONS AND ANSWERS:
These factors are:
The employee’s prior discipline record
The events leading to the interview
The location of the interview
The company representatives present at the
interview
The company’s opening words at the
interview
The crucial issue is what is reasonable in the
employee’s mind. It is not decisive that
management says it is “certain” that no
disciplinary action will result from the meeting or
give such assurance to the employee.
“Company Obligations to Inform the
Worker of Rights”
Question: Does the company have to
notify the worker of his/her right to union
representation during the interview?
“Company Obligations to Inform the
Worker of Rights”
Question: Does the company have to
notify the worker of his/her right to union
representation during the interview?
Answer: No. Unlike a police interrogation
of a suspected criminal (Miranda rights),
there is no obligation on the employer’s
part to notify workers of their rights. This
is the union’s job.
“Rights of Union Steward
During Interview”
Question: When the union steward
arrives, what rights does s/he have to take
part in the interview and advise the
workers?
“Rights of Union Steward
During Interview”
• Answer: The steward’s rights include the
following:
– The supervisor must inform the steward of
the subject matter of the interview (i.e. “this
is a discussion of tardiness, productivity,
stealing, etc.).
“Rights of Union Steward
During Interview”
• Answer: The steward’s rights include the
following:
– The steward must be allowed to take the
worker aside for a pre-interview conference
before questioning begins.
“Rights of Union Steward
During Interview”
• Answer: The steward’s rights include the
following:
- The steward must be allowed to speak
during the interview.
“Rights of Union Steward
During Interview”
• Answer: The steward’s rights include the
following:
The steward can request that the supervisor
clarify a question so that the worker can
understand what’s being asked. However, the
steward does not have the right to bargain
during the interview or to argue over the
purpose of the interview.
-
“Rights of Union Steward
During Interview”
• Answer: The steward’s rights include the
following:
– After a question is asked, the steward can
draw the employee aside to give advice on
how to answer.
“Rights of Union Steward
During Interview”
• If any of above rights are denied, the
union should file with the FLRA.
AUTHORITY (FLRA)
REQUIREMENT OF FORMALITY
page 85
REQUIREMENT OF FORMALITY
Discussion must be formal within meaning of
§7114(a)(2)(A) of Statute for there to be an
obligation to notify union. (SSA, 10 FLRA Nos. 24,
25, and 36.)
Elements of formality:
•
•
•
Whether individual holding discussion is first-level
supervisor or higher in hierarchy.
Presence of other management representatives.
Where meetings took place (employee desk or
supervisor’s office).
REQUIREMENT OF FORMALITY
Con’t
Elements of formality:
• How long meetings lasted.
• How meetings were called (spontaneous or
•
•
•
formal notice).
Formal agenda established.
Attendance mandatory.
Manner in which meetings conducted (whether
notes taken).
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
PAST PRACTICE
Page 85
PAST PRACTICE
“Consistent conduct, established by
employer action or inaction, over an
extended period of time which raises certain
expectations so as to be implied in the contract”.
•
•
•
•
Consistent conduct.
Over an extended period of time.
Understood to exist.
Becomes part of contract.
FEDERAL LABOR RELATIONS
AUTHORITY (FLRA)
Duty of Fair Representation
EXECUTIVE SUMMARY
• FLRA GENERAL COUNSEL JOSEPH
SWERDZEWSKI’S MEMORANDUM TO
REGIONAL DIRECTORS ON
“THE DUTY OF FAIR REPRESENTATION”
SEE PAGE 86
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #1: What is the duty of fair
representation?
The duty of fair representation is the duty that
an exclusive representative (the union) owes to
employees in an appropriate bargaining unit
when the union represents those employees
under the Statute.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #2: Is “DFR” the same thing?
Yes. “DFR” is the common Acronym used
to refer to a union’s duty to fairly
represent employees in a bargaining unit.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #3: Where does this duty come
from?
Section 7114(a)(1) of the Statute imposes
this duty on unions that are exclusive
representatives.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #4: What is the difference between a member of
a bargaining unit and being a union member?
A bargaining unit is the grouping of employees that the
union represents after a secret ballot election processed
under the Authority’s regulations. Whether or not an
employee votes for or against a union in that election, or
decides not to vote, if the union is elected, the union
must represent all employees in the bargaining unit,
whether or not they supported the union. The
employees in the bargaining unit may decide either to
join and become a member of the union and pay dues,
or not to become a member of the union which is now
the exclusive representative.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #5: What are the most common types of
situations which raise issues as to whether a union has
breached that duty?
This often arises when an employee has a dispute with
the agency and claims that the exclusive bargaining
representative (the union) has failed to properly
represent the employee in the dispute. These types of
issues normally involve individual employee concerns
which adversely affect an employee, rather than the
institutional concerns that arise in bargaining disputes,
and are often accompanied by strong positions and
personal emotions
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #6: What is another type of common
dispute which raises a DFR question?
Duty of fair representation issues also can
involve situations where non-union unit
employees claim that they are being treated
differently from union members by the manner
in which the union administers a provision of a
collective bargaining agreement or some other
condition of employment over which the union
has exclusive control.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #7: On what principle does the
duty of fair representation rest?
The duty of fair representation is
grounded in the principle that when a
union attains the status of exclusive
representative, it must use that power to
fairly and equally represent all bargaining
unit employees in the bargaining unit.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #8: What are the legal tests to
determine if a union has violated its DFR?
There are two basic legal tests to determine if
there has been a DFR violation. One test
concerns situations where a non-member is
unlawfully treated differently from a member.
The other test involves situations where the
union has not properly represented an
employee.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #9: What is the test with respect
to different treatment based on union
membership?
Basically, an exclusive representative may not
treat non-union unit employees differently from
dues paying union members in matters over
which the union has exclusive control and where
the non-members had no other choice for
representation other than the union.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #10: Does this mean that a union must
treat members and non-members the same in all
matters?
No. Non-members must be treated the same as
members only in matters which are within the
union’s scope of responsibility because it is the
exclusive representative, and over which the
employee may not seek representation from
another source, such a private attorney.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #11: What is an example where
the union may treat members better than
non-members?
A union may provide representation to members
before the Merit Systems Protection Board
(MSPB) and refuse to provide that same benefit
to non-members because employees may select
a private representative in that third party
proceeding.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #12: What is the legal test to determine if a
union did not properly represent an employee and thus
violated its DFR?
This aspect of the duty of fair representation usually
concerns a situation where either a union member or a
non-member in the bargaining unit claims that the union
was ineffective. The legal test is whether the union
acted in an arbitrary manner and/or in bad faith. That is
to say, the union’s conduct must amount to more than
mere negligence or ineptitude, but rather must have
been outside the range of reasonableness, and must
have constituted a deliberate and unjustified treatment
of a unit employee different from other unit employees.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #13: Does this mean that every time a
union makes a mistake when representing an
employee in the bargaining unit it has violated its
duty of fair representation?
No. A union is given latitude to make good faith
mistakes when representing an employee. Mere
negligence and ineptitude by a union does not,
standing alone, violate its DFR. Not all mistakes
rise to the level of deliberate and unjustifiable
arbitrary and bad faith conduct.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #14: What types of factors are
examined when deciding if a union has violated
this DFR?
Some factors to be considered are whether the
union can rationally explain its conduct, whether
the situation left the employee with no venue to
obtain a hearing/remedy for the underlying
dispute, and whether the union followed or
deviated from its past practices in the manner in
which it processed the dispute and dealt with
the employee.
I. THE DUTY OF FAIR REPRESENTATION
UNDER THE STATUTE
Question #15: If a union decides to represent an
employee in a matter concerning a condition of
employment where it did not have to represent
that employee (for example, before the MSPB),
but the union’s conduct in performing that service
is arbitrary and in bad faith, has the union violated
its DFR?
The General Counsel has decided that this particular
area of the law needs clarification. Thus, s/he has
instructed the Regional Directors to submit this issue to
his/her office for case handling advice should it arise in
an unfair labor practice charge.
II. REMEDIES FOR DUTY OF FAIR
REPRESENTATION VIOLATIONS
Question #1: What objectives should a remedy
for a DFR violation satisfy?
Like all unfair labor practice remedies, a DFR violation
should recreate the conditions and relationships that
would have been had there been no unfair labor
practice, effectuate the policies of the Statute, contribute
to the deterrence of future violative conduct, and not be
contrary to law or public policy.
II. REMEDIES FOR DUTY OF FAIR
REPRESENTATION VIOLATIONS
Question #2: What is the most common
remedy that the General Counsel will seek
for a DFR violation?
Unless the DFR violation concerns a matter that
should have been processed under the parties’
grievance procedure, the General Counsel will
seek a remedy that includes requiring the union
to make the employee(s) whole as if there had
been no DFR violation.
II. REMEDIES FOR DUTY OF FAIR
REPRESENTATION VIOLATIONS
Question #3: What is an example of these
make whole remedies?
For example, if a union violated its DFR by
requiring non-members to pay more than
members for a negotiated benefit, such as a
smaller work shoe allowance for non-members
than for members, the General Counsel would
request that the union be ordered to reimburse
the non-members the difference.
II. REMEDIES FOR DUTY OF FAIR
REPRESENTATION VIOLATIONS
Question #4: What remedy will the General Counsel seek
when the DFR violation concerns a matter that should have
been, but was not, decided under the parties’ negotiated
grievance procedure?
If the underlying dispute between the employee and the
agency should have been decided under the parties’
grievance procedure, the General Counsel will initially
seek a remedy that requires the union to seek to process
the grievance. However, when the merits of the
grievance cannot be decided under the negotiated
grievance procedure because, for example, the agency
refuses to process an untimely grievance, the General
Counsel will seek a make–whole remedy if the evidence
establishes that the underlying grievance was
meritorious.
II. REMEDIES FOR DUTY OF FAIR
REPRESENTATION VIOLATIONS
Question #5: What is an example of this remedy?
For example, if a union violates its DFR by not
properly processing a grievance over a three-day
suspension and the grievance cannot be decided
under the grievance procedure, the General
Counsel will seek an order requiring the union to
pay backpay for those three days if the evidence
establishes the grievance was meritorious under
the contract provisions.
III. WHEN NON-MEMBERS VIEWS
MUST BE CONSIDERED BY THE UNION
Question #1: Does the union have to treat
members and non-members the same with respect
to union meetings?
No. Employees who are members of the union
have certain benefits by virtue of their union
membership, such as the right to manage and
represent the union, attend meetings, vote for
officers, ratify contracts, and take advantage of
union offers on benefits such as health and life
insurance and special credit cards.
III. WHEN NON-MEMBERS VIEWS
MUST BE CONSIDERED BY THE
UNION
Question #2: Do non-members have a right
to vote on what proposals or interests a
union will bring to the bargaining table?
No. Participation in the union’s decisional
process that defines the proposals or
interests that a union brings to the
bargaining table is a benefit of being a
dues paying union member.
III. WHEN NON-MEMBERS VIEWS
MUST BE CONSIDERED BY THE UNION
Question #3: Can those proposals or interests
discriminate against non-members?
No. Although non-members do not have the
right to participate in the union’s internal,
deliberative decisional process that defines the
union’s bargaining positions or interests, the
union still has a duty not to discriminate against
non-members in what those proposals and
interests actually are because the union is
required to represent all employees in the
bargaining unit without discrimination and
without regard to union membership.
III. WHEN NON-MEMBERS VIEWS
MUST BE CONSIDERED BY THE UNION
Question #4: But what if the agency has
delegated to the union, or bargained away,
the final decision on what a condition of
employment will be?
In those circumstances where a union has the
final decision on what a particular condition of
employment will be, the union must treat
members and non-members the same in the
union’s internal decision-making process.
III. WHEN NON-MEMBERS VIEWS MUST BE
CONSIDERED BY THE UNION
Question #5: What is an example of this situation?
For example, if an agency agrees in a contract to
allow the union to establish how seniority will be
calculated, the union may not exclude nonmembers from a vote to make that decision.
Similarly, even if the union officials make that
decision without involving employees in the
decision-making process, the result may not treat
members differently from non-members.
IV. AGENCY DISCUSSION WITH
EMPLOYEES ON DUTY OF FAIR
REPRESENTATION MATTERS
• Question #1: Can an agency advise an employee that,
in the agency’s view, the employee was not properly
represented by the union and that the employee should
file an unfair labor practice charge against the union?
• No. An agency must remain neutral in any dispute
between an employee and a union, just as an agency
must remain neutral in a representation election
campaign or internal union election campaign. Thus, an
agency cannot lawfully encourage an employee to file an
unfair labor practice charge against a union or offer an
evaluation of the merits of an employee’s dispute with a
union.
IV. AGENCY DISCUSSION WITH
EMPLOYEES ON DUTY OF FAIR
REPRESENTATION MATTERS
• Question #2: If an employee raises duty of fair
representation matters to the agency, how can the
agency respond?
• Agencies may direct employees to the Authority’s
Regional Offices to seek information about the duty of
fair representation and filing procedures. Only if an
agency has a practice of providing charge forms against
agencies can the agency provide charge forms against
unions. Similarly, an agency can provide procedural
advice to employees as to how to file a charge against
the union only if an agency has a practice of providing
procedural advice to employees as to how to file a
charge against itself.
IV. AGENCY DISCUSSION WITH
EMPLOYEES ON DUTY OF FAIR
REPRESENTATION MATTERS
• Question #3: Can an agency file a duty of fair
representation charge against a union?
• Yes. An agency may file an unfair labor practice charge
against a union alleging a violation of DFR. The
charging party (agency) must be prepared to present
evidence in support of the charge. However, an agency
may not interfere with, coerce, or restrain an employee
in exercising the right not to give evidence against the
union. Thus, an agency may not seek out and order, or
attempt to convince, employees to give evidence to
support the agency’s charge against the union.
V. THE DUTY OF FAIR
REPRESENTATION AND WORK
GROUPS
• Question #1: Do employees serving as union
representatives on a work group owe a duty of
fair representation to the bargaining unit?
• Yes. When employees are selected to
participate in work groups by the exclusive
representative and serve as union
representatives on those work groups, those
union representatives owe a duty of fair
representation to the bargaining unit.
V. THE DUTY OF FAIR
REPRESENTATION AND WORK
GROUPS
• Question #2: Can a union select only union
members as representatives of the union on a
work group?
• Yes. Although a union is not limited to only
selecting union members as representatives for
a work group, the union has the right to select
its representatives for work groups (when
afforded the opportunity to do so), just as the
union has the right to select negotiators and
stewards for other representational matters
V. THE DUTY OF FAIR
REPRESENTATION AND WORK
GROUPS
• Question #3: Can a union representative on a work
group be individually evaluated for that representative’s
performance on the work group and either be rewarded
or disciplined based on that evaluation?
• No. In an earlier Guidance Memorandum issued by the
General Counsel on August 8, 1995, we advised that
union representatives on a work group may not be
evaluated, either positively or negatively, for their work
as union representatives on a work group, and that,
accordingly, those union representatives may not be
rewarded or disciplined based on an evaluation of their
participation on the work group.
V. THE DUTY OF FAIR REPRESENTATION
AND WORK GROUPS
• Question #4: Is there any way that a
union representative who participates on a
work group may be rewarded if the union
representative is not individually evaluated
and the entire group receives the same
recognition?
V. THE DUTY OF FAIR REPRESENTATION
AND WORK GROUPS
Some unions and agencies have followed the models
discussed in the earlier Guidance Memorandum and have
established work groups which consist of union
representatives selected by the union (who may be
union or non-union members), agency representatives
selected by the agencies, and other bargaining unit
employees selected by the agency without regard to
union membership who are serving on the work group
through the assignment of work by management and
not as union representatives). In these circumstances, it
may be possible for the entire group to receive a reward
based on the group’s collective performance, without
reference to the performance of individual members.
The Regional Directors were advised to submit to the
General Counsel for case handling advice any cases
involving this situation.
U.S. Office of Personnel Management
Labor-Management Relations
• We lead the Government in improving
operations by helping agencies work effectively
with Federal labor organizations which represent
over 2 million Federal employees.
• We regularly consult at the national level with
labor organizations, agency managers and labor
relations official in the development of human
resource policy and on Government rules,
regulations, and binding directives affecting
conditions of employment.
• Following are the links to documents that are
useful to labor relations professionals:
• Decisions regarding Federal Service Impasses
•
•
•
•
Panel: http://www.flra.gov/fsip/panel.html
Glossary of Federal Sector Labor-Management
Relations Terms:
http://www.usda.gov/da/employ/LMRglossary.ht
m
Guidance for Implementing the President’s
Memorandum Reaffirming Executive Order
13203 on labor-management partnerships in the
federal government:
http://www.opm.gov/lmr/guide413203.asp
Labor-Management Relations Advisories:
http://www.opm.gov/lmr/advisory/index.htm
Labor-Management Partnership:
http://www.lmpartnership.org
• National Partnership Council Information:
•
•
•
•
•
•
http://www.usda.gov/da/pccharter.htm
Labor-Management Case Law on Performance
Management:
http://www.opm.gov/cplmr/html/labrmgmt.asp
Negotiable Determinations by the Federal Labor
Relations Authority:
http://www.opm.gov/lmr/flra/index.asp
Negotiating Flexible and Compressed Work Schedules:
http://www.opm.gov/cplmr/html/flexible.asp
Recognitions and Agreements Change Form (OPM Form
913B): http://www.opm.gov/lmr/html/913b_794.asp
Significant Cases in Federal Employee and Labor
Relations: http://www.opm.gov/lmr/sc/
Directory of Unions and Associations with Exclusive
Recognition in the Federal Service:
http://www.opm.gov/cplmr/html/unions.asp
Traditional
Bargaining
SIX ESSENTIAL SKILLS FOR
BARGAINING
1. Thorough preparation.
A.
B.
C.
D.
Know your subject.
Know your team member’s abilities.
Have references ready when you meet.
Have all the equipment ready.
SIX ESSENTIAL SKILLS FOR
BARGAINING
2. The ability to set limits and goals.
A. Know what third parties are doing in similar
cases.
B. Know what your skills are.
C. Know what your members want.
1. Keep them abreast.
2. Try to avoid getting boxed in.
D. Know what you are willing to give, what you
want for it.
E. Prioritize your goals, make a wish list.
SIX ESSENTIAL SKILLS FOR
BARGAINING
3. Keeping your emotional distance.
A.
B.
C.
D.
Do not push buttons to get what you want.
Do not engage in personal disputes.
Try to stay on the subject of the bargaining.
Do not let management push your buttons.
1. You must be honest with yourself.
2. Work on your weaknesses
3. Get advice from your peers on your problem
areas.
SIX ESSENTIAL SKILLS FOR
BARGAINING
4. Good listening skills.
A. Practice, practice, practice, practice, and
practice.
B. Get to know your counter parts as best you
can.
C. Pay attention.
D. Help your team members.
SIX ESSENTIAL SKILLS FOR
BARGAINING
5. Clarity of communication.
A. Keep notes, good notes.
B. Get the meaning often and write it down.
C. History notes, signed by the parties on items
you have questions on.
D. Don’t be silk, say what you want and want
what you say.
E. Honesty is the best policy.
SIX ESSENTIAL SKILLS FOR
BARGAINING
6. Knowing how to close a deal.
A. When you’re done…be done.
B. Try to have a closing deal.
C. Know when to walk away from a deal you
can’t live with
VALUES
• Your values are the principles and
standards you live by. They define how
you regard others, and how you expect to
behave toward the people with whom you
interact. Figuratively speaking, values
define both where you want to go and
how you expect to travel.
VALUES
• Values also define your limits: the
boundaries of behavior you will not cross.
The clearer you are with your values, the
more you understand what it is you
cherish. Then making choices about your
goals becomes easier. To be a master
negotiator, you must be able to look into
your own eyes in the mirror every morning
and know you are living up to your own
standards.
VALUES
• No hard and fast rules apply to every
negotiation, except this principle:
– Keep your antenna out for all the information
you can possibly gather about the people you
negotiate with: their motives, their hopes, and
their needs.
– It’s ironic, but true – you get more of what
you want by being attuned to what the other
party wants.
INFORMATION CHECK LIST
See page 99
CONTROLLING THE ENVIRONMENT
• Seating
– Sit next to the person with whom you need to consult
quickly with and privately.
– Sit opposite the person with whom you have the most
conflict. For example, if you are the leader of your
negotiating team, sit opposite the leader of the other
negotiating team. If you want to soften the
confrontational effect, you can be off-center by a
chair or two. Sometimes the shape of the table or
room gives you the opportunity to be adjacent sides
with your opponent, rather than dead opposite.
CONTROLLING THE ENVIRONMENT
• Consider who should be closest to the
door and who should be closest to the
phone.
• Windows and angles of the sun are
important considerations, especially if the
situation generates heat or glare.
SETTING LIMITS IN FOUR EASY STEPS
1. Know that you have other choices:
- Try to have alternatives to proposals,
ready to go.
- Don’t have all your eggs in one basket
on a proposals
2. Know what the other choices are:
- Know what your other proposals are,
and be as prepared on them as you
were your first.
- Have a list.
SETTING LIMITS IN FOUR EASY STEPS
3. Know your “or else”:
- This will help determine what you are
willing to give for something.
4. Know how to enforce your limits:
- You may want to watch caving in too
often.
- Your preparation should help you be
ready to enforce your limits.
LISTENING TOOLS
• Restating: Repeat, word-for-word, a
short statement that the other person
has just made to you.
• Paraphrasing: Recount, in your own
words, the longer statements that the
other person has said to you
SIX BARRIERS TO BEING A GOOD
LISTENER
1.
2.
3.
4.
5.
6.
The defense mechanism.
Weak self confidence.
The energy drag.
Habit.
The preconception.
Not expecting value in others
QUESTIONS
•
•
•
•
•
•
•
Plan your questions.
Ask with a purpose.
Tailor your questions to your listener.
Follow general questions with more specific
ones.
Keep questions short and clear – cover only one
subject.
Make transitions between their answers and
your questions.
Don’t interrupt! Let the other person answer the
question.
TEN PERSONALITY TRAITS OF TOP
NEGOTIATORS
1.
2.
3.
4.
5.
Empathy.
Respect.
Personal integrity.
Fairness.
Patience.
6. Responsibility.
7. Flexibility.
8. Sense of humor.
9. Self-discipline.
10.Stamina.
PHRASES TO AVOID
• Trust me.
• I’m going to be honest with you.
• Let’s split the difference.
• Take it or leave it.
• I’m not sure about this, but…
• Am I right?
• “Kind of”, “Sort of”, “Probably”, and
“Seems like”.
• “Ummm”, “”Like”, and “Really”.
Interest-Based
Bargaining
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Issue: topic or subject of negotiation.
• Position: one party’s solution to an issue,
the how.
• Interest: concerns, needs, desires behind
the issue, the why.
• Option: potential solutions that satisfy the
interests.
• Standards: objective criteria to compare
and judge options.
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Prepare for Negotiations:
– Educate constituents
– Seek information
– List issues and interest
– Write opening statements
– Share list of issues
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Open Negotiations:
– Share opening statements
– Discuss the issues
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Negotiate with “IB” Process:
• Jointly select an issue
• State issue clearly
• Flip chart interests
• Discuss and clarify interests
• Identify mutual interests
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Brainstorm options that satisfy one or
more interests; other interests
• Clarify options
• Propose possible standards
• Clarify each proposed standard
• Reach consensus on the standards
• Discuss each option
INTEREST BASED BARGAINING
DEFINITIONS CHEAT SHEET
• Amend, combine, develop new options
• Apply standards to options (use Matrix)
• Eliminate options which meet few or none
of the standards
• Combine options that meet the standards
• Reach consensus on the solution
• Draft the solution
• Check consensus on the written solution
P.A.S.T “WIN-WIN” problem solving is based on
Principles, Assumptions, Steps, and
Techniques
used to achieve positive results for both sides.
• Principles:
– Focus on issues, not personalities
– Focus on interest, not positions
– Create options to satisfy both mutual and
separate interests
– Evaluate options with standards, not power
P.A.S.T “WIN-WIN” problem solving is based on
Principles, Assumptions, Steps, and
Techniques
used to achieve positive results for both sides.
• Assumptions:
– Cooperative problem solving enhances
relationships
– Both parties can win
– Parties should help each other win
– Open discussion expands mutual interests and
options
– Standards can replace power in outcome
P.A.S.T “WIN-WIN” problem solving is based on
Principles, Assumptions, Steps, and
Techniques
used to achieve positive results for both sides.
• Steps:
– Prepare for “WIN-WIN” problem solving
– Develop opening statements
– Identify issues
– Identify interests
– Develop options
– Develop standards
– Judge options with standards
– Achieve “WIN-WIN” resolution
P.A.S.T “WIN-WIN” problem solving is based on
Principles, Assumptions, Steps, and
Techniques
used to achieve positive results for both sides.
• Techniques:
– Brainstorming
– Consensus building
– Problem solving
– Idea charting
Useful Websites
USEFUL WEB SITES
CABINET AGENCIES:
• Agriculture www.usda/gov
• Commerce www.doc.gov
• Defense www.dtic.dla.mil/defenselink
• Education www.ed.gov
• Energy www.doe.gov
• HHS www.os.dhhs.gov
USEFUL WEB SITES
CABINET AGENCIES:
• Interior www.usgs.gov/doi
• Justice www.usdoj.gov
• Labor www.dol.gov
• State www.state.gov
• Transportation www.dot.gov
• Treasury http://ustreas.gov
• Veterans Affairs www.va.gov
USEFUL WEB SITES
BRANCHES OF GOVERNMENT:
• House of Reps. www.house.gov
• Senate http://senate.gov
• White House http://whitehouse.gov
• Supreme Court http://law.cornell.edu/supct
USEFUL WEB SITES
MULTI-AGENCY LISTINGS:
•
•
•
•
•
Federal Web Locator www.law.vil.edu/ded-agency
Fedworld www.fedworld.gov
US Agencies Page www.lib.lsu.edu/gov/fedgov.html
Fed. Gov. www Server www.fiecom/www/us_gov.html
Congress (legislative info.) http://thomas.loc.gov
USEFUL WEB SITES
MULTI-AGENCY LISTINGS:
•
•
•
•
•
•
•
Federal Judiciary www.uscourts.gov
General Accounting Office www.gao.gov
Government Printing Office www.access.gpo.gov
National Performance Review www.npr.gov
US Code http://law.cornell.edu/uscode
General Services Admin. www.gsa.gov
OWCP Web Site http://dol.gov/dol/sea
USEFUL WEB SITES
USEFUL SITES:
•
•
•
•
Federal Center www.fedcenter.com
Finance Net www.financenet.gov
Ignet www.abaonline.sba.gov/ignet/ig.html
Office of Research Evaluation & Statistics
www.ssa.gov/statistics/ores_home.html
• US Postal Service www.usps.gov
• Social Security Admin. www.ssa.gov
USEFUL WEB SITES
EMPLOYEE ISSUES:
• Merit System Protection Board
www.fpmi.com/MSPB/MSPBhomepage.html
• Federal Labor Relations Authority
www.fpmi.com/FLRA/FLRAhomepage.html
• Office of Special Counsel
www.access.gpo.gov/osc/
• GAO Comptroller Decisions
www.gao.gov/decisions/decision.html
USEFUL WEB SITES
EMPLOYEE ISSUES:
• National Labor Relations Board
http://dlcoc.gov/nirb/homepg.html
• Federal Job Listings (OPM)
www.usejobs.opm.gov
• Union Pride
www.unionpride.com/menu-lmr.shtml
• AFGE www.afge.org
Legal Information Web Sites:
• There are 2 web sites you can access which
provide gateways to a host of legal information.
The first is www.ll.george.edu/ From this site
you can go to “Federal” and then to
“Legislative”. At this point you can access the
US Code from several sources. You can link to
Thomas to find out what bills have been
introduced in Congress, their current status and
which ones have been enacted into law.
Thomas also permits you to search and read the
Congressional Record and to find out what has
been published in the Federal Register. And you
can even access a pictorial directory of all of the
members of Congress.
Legal Information Web Sites:
• The second site is www.knowhow.com
From this site, you can access something
called “Legal Research Bookmarks”. This
will provide you with a host of links to
legal materials including statutes and
regulations, cases and law review articles,
and to business and news documents.
The link spans not only the Federal
universe but covers state and local areas
as well as some foreign countries.
STEWARD TRAINING
THE END