Transcript Document
HOW TO WIN (and sometimes lose) LABOR ARBITRATION CASES January 3o, 2012 Nicholas DiGiovanni, Jr. Two Types of Arbitration Cases • Discipline and Discharge • Contract interpretation © Morgan, Brown & Joy LLP 2 Winning Before Any Grievances Are Filed – Avoiding Grievances Altogether • Negotiating the Contract • Contract Administration • Knowing How to Assess Discipline Situations © Morgan, Brown & Joy LLP 3 Negotiating the Contract • • • © Morgan, Be aware of writing ambiguous language Understand what the language means and its consequences In the grievance article, be careful to define a grievance in limited terms if possible Brown & Joy LLP 4 EXAMPLE OF AMBIGUOUS LANGUAGE • For courses determined by the College to be available for adjuncts for an upcoming semester, and also following any assignments to full time adjuncts, the College agrees that two available assignments, determined by the college, with a minimum of six credits per semester shall first be offered to any adjunct who has taught eight or more semesters at the college on the basis of seniority provided the adjunct is qualified…. © Morgan, Brown & Joy LLP 5 Contract Administration • Paying attention to the contract • Record keeping- knowing the history and the practices • Training supervisors how contract provisions • Foster good relations with the union -- no matter how much it hurts! © Morgan, Brown & Joy LLP 6 Discipline Cases ―Supervisory training ―Make sure the final decision is vetted before decided upon ―Check all the just cause factors in advance ―Use common sense – Remember the arbitrator’s perspective © Morgan, Brown & Joy LLP 7 The Grievance Procedure • Grievance procedures in CBA’s can be short or elaborate depending on what the parties have negotiated • Usually the grievance procedure will end in binding arbitration • Some union grievance procedures may incorporate other alternative dispute resolution procedures such as mediation, but most do not • Don’t take it for granted and don’t ignore it © Morgan, Brown & Joy LLP 8 Grievance Procedure: Elements • Usually, either the employee or the union may file a grievance. • Grievances may be defined as alleged violation of the contract, or sometimes a broader definition, such as allowing for alleged violations of past practice or employer policy • In termination cases involving employee misconduct, there will usually be a just cause provision that must be met • In faculty non-reappointment cases, evaluation and appointment articles will likely be in play, on procedure and possibly substance of decision • In layoff cases, the grievant will usually be arguing that procedures of the layoff or retrenchment article have been violated as well as challenging the substance of the decision, if possible • Sometimes grievant will allege that other articles, such as antidiscrimination clauses, academic freedom articles or personnel file articles may also be part of the grievance. © Morgan, Brown & Joy LLP 9 Grievance Procedure: Elements II • Usually grievances must be filed promptly, e.g. within 10-30 days of knowing of the event that triggered the grievance • Grievance procedures will have multiple steps ending in a final decision by the President or high level administrator before moving on to arbitration • Each step will have time lines for filing, for holding the hearing and for decision. • Union representatives may be at every step meeting; normally attorneys are not allowed but the CBA may speak to that issue • Grievance step meetings only chance for “discovery” by employer © Morgan, Brown & Joy LLP 10 What to Ask Union in Grievance Meeting: Discharge Case • What particular CBA clauses are you claiming were violated by the institution? • Are you disputing that the employee engaged in misconduct or poor performance, or are you conceding that and simply arguing over penalty? • Are you alleging disparate treatment? • Are you claiming insufficient investigation? • Are you alleging employee did not know what he did was wrong? • Do you have witnesses to support your case? • Are there other procedural violations that you are claiming? • Are you offering mitigating circumstances on behalf of the terminated employee? © Morgan, Brown & Joy LLP 11 What to ask Union in Grievance Meeting: Layoff Cases • What particular CBA clauses are you claiming were violated? • Are you alleging the layoff in general was improper? Delineate your reasons • What facts are you relying upon? • Are you alleging the proper procedures for layoff were not followed? How? • Are you alleging that the particular selection of this employee was improper due to seniority status? © Morgan, Brown & Joy LLP 12 QUESTIONS TO ASK IN CONTRACT INTERPRETATION CASES - I » » » » » © Morgan, Brown & Joy LLP How do you interpret the language in dispute? We think it means this; what is your interpretation of the clause in dispute? Are you relying on bargaining history in this case and, if so, what? Are you relying on past practice of some sort in claiming that a provision of the contract was violated? If so, what is that practice? How often has it been applied? 13 QUESTIONS TO ASK IN CONTRACT INTERPRETATION CASES - II » Who knew about any alleged practice on the administration side? » Was there ever any understanding, formal or otherwise, with the union over this practice? » I hear you say that this clause should be interpreted that way. How, then, do you explain this other clause in the contract and how it should work? © Morgan, Brown & Joy LLP 14 The Grievance Answer Raise any procedural issues • timeliness • failure to follow a step • not an arbitrable matter Substance of Answer -- less is more on the facts….unless you have to -- if you want to offer a settlement, do it separate from the answer © Morgan, Brown & Joy LLP 15 Settlement Considerations I » » » » » © Morgan, Cost of litigation How strong or weak is your case? Contract interpretation case • what will arbitrator do if you lose? Discipline/Discharge • Progressive discipline considerations • Reduction of penalties Discharge • Bigger deal--if you bring employee back, may be bad signal to other employees and will be interpreted as a union win • Last Chance Agreement as alternatives Brown & Joy LLP 16 Settlement Considerations II » Other factors • Other litigation and how settlement may influence it • Politics and the Relationship with the Union • …. © Morgan, Brown & Joy LLP 17 What the Union Must Consider • Usually only the union may take a grievance to arbitration. • Unions must make these decisions to arbitrate by owing employees a duty of fair representation The law does not mandate, however, that all termination cases must be taken to arbitration • Private counsel: Due to the union’s status as the exclusive representative of employees, an employee will not be allowed to bring in private counsel but must be represented by the union. © Morgan, Brown & Joy LLP 18 Selection of the Arbitrator • Process for selection will be defined in the CBA • Often parties may agree on someone • If no agreement, parties will often utilize the services of AAA or FMCS and the appointment procedures of such agencies • Parties may also agree in CBA on a permanent panel of arbitrators © Morgan, Brown & Joy LLP 19 Factors to Consider in Selecting Arbitrator • Background of the arbitrator: is a judicial or legal background important? • Familiarity with higher education • Reputation • Past awards in interpreting comparable language • Style • Cost (usually split between employer and union) © Morgan, Brown & Joy LLP 20 Overall Hearing Procedure • Arbitrator will ask parties to define the “issue” he or she is being asked to resolve. • Agreed upon exhibits stipulated • Opening statements • Party with burden of proof proceeds first. In discharge cases, employer usually carries burden. In a layoff case, the union will usually carry the burden. • Witnesses usually sworn in • Direct question and answer testimony and opportunity for cross examination • Strict rules of evidence do not apply; hearsay testimony or other evidence that may not be admitted in court often allowed • Closing arguments and/or filing of briefs © Morgan, Brown & Joy LLP 21 THE HEARING--Procedural matters: • Procedural arbitrability ― ― • • © Morgan, Timeliness Failure to follow steps Substantive arbitrability Arbitrators’ approach ― Look to contract first; some contracts require the issue be dealt with first ― In the absence of such a provision, it will be up to each arbitrator ― Most will want to hear the whole case Brown & Joy LLP 22 Stating the Issue for the Arbitrator • • • • • Arbitrator needs an issue to decide Not always clear from the grievance Draft the issue geared toward what you are prepared to defend But be prepared to be faced with a broader issue by the union Arbitrators may take the matter under advisement if no agreement © Morgan, Brown & Joy LLP 23 Example of consequences of defining issue properly • Whether the College violated Article 14 (Overtime) in its distribution of overtime to X employees on May 4? • Whether the College was fair and equitable in distributing overtime on May 4 and whether such assignments were in accord with past practices within the department?” © Morgan, Brown & Joy LLP 24 Presenting the Case: Discipline/Discharge • • • • • • • • • • © Morgan, What occurred? How the matter was investigated? Was due process provided to the employee? Did employee have knowledge of the rule that was violated or should he have known the conduct was wrong Why was conduct detrimental to institution? What was the employee’s prior record? Was the employee’s longevity factored into the decision? Was there disparate treatment? Did length of service influence the penalty? Why one form of discipline over another? Brown & Joy LLP 25 Presenting the Case--- Contract interpretation » Even though it is union’s burden, make sure you are prepared to present the facts yourself through your own witnesses » What evidence will you use to help the interpretation you seek? » What do arbitrators use to interpret ambiguous language? Determining the parties’ intent Past practice – how the parties themselves have interpreted it Bargaining history Other contract clauses: How does your interpretation give full meaning to all clauses of the contract? How does the union interpretation fail? • • • • © Morgan, Brown & Joy LLP 26 Witnesses ― Use your best witness if you can ― Don’t use too many ― Prep the witnesses carefully as to what you will ask and what cross examination will be like ― Explain what you are doing legally but don’t let them be lawyers on the stand ― Emotional preparation – having a calm witness © Morgan, Brown & Joy LLP 27 Instructing witnesses • Answer all questions honestly • Only answer the particular question asked; do not volunteer information • Do not be ashamed to say you do not know the answer to a question • Do not guess at any answer, particularly on cross-examination • Be brief in answering questions on cross-examination • If an objection is raised to a question, do not answer until the arbitrator has ruled on whether the question should be answered or not • Try not to refer to notes unless absolutely necessary • If you do not know the answer to a question, do not volunteer other people who might know the answer • Do not be sarcastic or hostile towards the union counsel or representative • If you do not understand a question, ask for a clarification © Morgan, Brown & Joy LLP 28 Documents • • • • • • • • Discuss with Union counsel in advance….sometimes! CBA and Grievance correspondence Bargaining proposals Letters between the parties regarding practices Prior disciplinary record Complaint letters Investigation reports Prepared exhibits – only to prove the case ― Have person who prepared exhibit present ― Very useful on economic issues © Morgan, Brown & Joy LLP 29 The hearing –presenting the case ― ― ― ― ― ― © Morgan, Opening statements The understandable story line Comports with the informality of arbitration No strict rules of evidence Demeanor Help the arbitrator when possible Brown & Joy LLP 30 Briefs • • • • • Very important in most cases Capture the story line Use case law judiciously Help the arbitrator to write the decision Don’t overwhelm © Morgan, Brown & Joy LLP 31 Arbitration Awards • Arbitrator will usually issue decision within 30-60 days of filing of briefs • Decision in writing • Arbitrators are not bound by precedent of other arbitrators but may be persuaded by such decisions when cited in post-hearing briefs • Appeals can usually only occur if the arbitrator clearly exceeded authority or engaged in fraud of some type © Morgan, Brown & Joy LLP 32