18:0105(22)CA - Labor, Employment Standards Administration, Wage and Hour Division and Local 644, National Council of Field Labor Locals, AFGE -- 1985 FLRAdec CA
[ v18 p105 ]
18:0105(22)CA
The decision of the Authority follows:
18 FLRA No. 22 U.S. DEPARTMENT OF LABOR EMPLOYMENT STANDARDS ADMINISTRATION WAGE AND HOUR DIVISION Respondent and LOCAL 644, NATIONAL COUNCIL OF FIELD LABOR LOCALS, AFGE, AFL-CIO Charging Party Case No. 2-CA-40050 DECISION AND ORDER The Administrative Law Judge issued the attached Decision in the above-entitled proceeding finding that the Respondent had engaged in certain unfair labor practices as alleged in the complaint, and recommending that it be ordered to cease and desist therefrom and take certain affirmative action. Thereafter, the Respondent filed exceptions to the Judge's Decision and a supporting brief and the General Counsel filed an opposition. Pursuant to section 2423.29 of the Authority's Rules and Regulations and section 7118 of the Federal Service Labor-Management Relations Statute (the Statute), the Authority has reviewed the rulings of the Judge made at the hearing and finds that no prejudicial error was committed. The rulings are hereby affirmed. Upon consideration of the Judge's Decision and the entire record, the Authority hereby adopts the Judge's findings, conclusions and recommended Order. ORDER Pursuant to section 2423.29 of the Federal Labor Relations Authority's Rules and Regulations and section 7118 of the Statute, it is hereby ordered that the U.S. Department of Labor, Employment Standards Administration, Wage and Hour Division shall: 1. Cease and desist from: (a) Failing and refusing to furnish information to the agent of the exclusive representative, Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, which is reasonably available and necessary to enable it to perform its representational duties in connection with an employee grievance. (b) In any like or related manner interfering with, restraining, or coercing employees in the exercise of their rights assured by the Federal Service Labor-Management Relations Statute. 2. Take the following affirmative action in order to effectuate the purposes and policies of the Federal Service Labor-Management Relations Statute: (a) Post at its Pittsburgh Area Office copies of the attached Notice on forms to be furnished by the Federal Labor Relations Authority. Upon receipt of such forms, they shall be signed by the Area Director, or a designee, and shall be posted and maintained for sixty consecutive days thereafter, in conspicuous places, including all places where notices to employees are customarily posted. Reasonable steps shall be taken to insure that said Notices are not altered, defaced, or covered by any other material. (b) Pursuant to section 2423.30 of the Authority's Rules and Regulations, notify the Regional Director, Region II, Federal Labor Relations Authority, in writing, within 30 days from the date of this Order, as to what steps have been taken to comply herewith. Issued, Washington, D.C., May 24, 1985 Henry B. Frazier III, Acting Chairman William J. McGinnis, Jr., Member FEDERAL LABOR RELATIONS AUTHORITY NOTICE TO ALL EMPLOYEES PURSUANT TO A DECISION AND ORDER OF THE FEDERAL LABOR RELATIONS AUTHORITY AND IN ORDER TO EFFECTUATE THE POLICIES OF CHAPTER 71 OF TITLE 5 OF THE UNITED STATES CODE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS WE HEREBY NOTIFY OUR EMPLOYEES THAT: WE WILL NOT fail or refuse to furnish information to the agent of the exclusive representative, Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, which is necessary and reasonably available to enable it to perform its representational duties in connection with the processing of an employee grievance. WE WILL NOT in any like or related manner interfere with, restrain, or coerce employees in the exercise of their rights assured by the Federal Service Labor-Management Relations Statute. (Activity) Dated: By: (Signature) (Title) This Notice must remain posted for 60 consecutive days from the date of posting, and must not be altered, defaced, or covered by any other material. If employees have any questions concerning this Notice or compliance with its provisions, they may communicate directly with the Regional Director for the Federal Labor Relations Authority, Region II whose address is: 26 Federal Plaza, Room 2237, New York, New York 10278, and whose telephone number is: (212) 264-4934. -------------------- ALJ$ DECISION FOLLOWS -------------------- Arlean Leland, Esq. For the Respondent Barbara Liggett, Esq. For the General Counsel Before: ELI NASH, JR., Administrative Law Judge DECISION Statement of the Case Pursuant to a Complaint and Notice of Hearing issued on December 30, 1983, by the Regional Director for the Federal Labor Relations Authority, New York, New York Region, a hearing was held before the undersigned on April 18, 1984. This proceeding arose under the Federal Service Labor-Management Relations Statute (herein called the Statute). It resulted from a charge filed on November 7, 1983, by Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, (herein called the Union) against the U.S. Department of Labor, Employment Standards Administration, Wage and Hour Division, (herein called Respondent). The Complaint alleges that Respondent failed and refused to comply with the provisions of section 7114(b)(4) of the Statute, by failing to furnish the union with certain information requested in connection with the processing of a pending employee grievance, which is normally maintained by Respondent in the regular course of business; which is reasonably available and necessary for full and proper discussion, understanding and negotiation of a subject within the scope of collective bargaining; and which does not constitute guidance, advice, counsel or training concerning collective bargaining. Such action was alleged to constitute a violation of section 7116(a)(1), (5) and (8) of the Statute. Respondent's Answer denied the commission of any unfair labor practices. All parties were represented at the hearing. Each was afforded full opportunity to be heard, to adduce evidence, and to examine as well as cross-examine witnesses. Thereafter, briefs were filed with the undersigned which have been duly considered. Upon the entire record herein, from my observations of the witnesses and their demeanor, and from all of the testimony and evidence adduced at the hearing, I make the following findings and conclusions: Findings of Fact At all times material, the Union has been an agent of the National Council of Field Labor Locals for the purpose of representing employees at Respondent's Pittsburgh Area Office. At all times material, Mr. John Lechman was a Wage Hour Compliance Officer in Respondent's Pittsburgh Area Office. Mr. Lechman, according to the record, has been active in filing and pursuing grievances in that office. The parties are signatories to a collective bargaining agreement which became effective on or around August 17, 1978, and which was in effect at all times material herein. Sometime around August 19, 1983, a first step grievance meeting was held pursuant to Article 15 of the collective bargaining agreement, /1/ concerning alleged harassment and discrimination against Mr. Lechman based on his filing of prior union grievances and complaints. The participants at the meeting were the Grievant, Mr. Lechman, Union steward Gary Daniels, and Respondent's Area Director, John O'Brien. The substance of the grievance concerned Mr. Lechman's belief that certain comments on his case review sheets concerning his handling of cases were negative and that he was being unduly criticized about his work. The case review sheet in question is prepared by either the Area Director or the Assistant Area Director and is then given to the individual employee who handled the case as feed back to that employee. A case review sheet is apparently prepared in each case showing not only the opening and closing dates, but how much time and the manner in which a compliance officer handled a particular case. Mr. Lechman desired to examine and compare the "failures" listed on his review sheets with other compliance officers in the Pittsburgh office to determine whether his "failures" and the reasons therefor were standard. It is undisputed that the sheets are also used by the Area Director or Assistant Area Director in preparing employee performance appraisals. Mr. Lechman was primarily concerned that negative comments contained on his case review sheets could lead to a poor performance rating, which could in turn subject him to a performance improvement plan and possible eventual discharge. During the meeting, Mr. Lechman and steward Daniels requested certain information for their use in further evaluating and processing his grievance. They requested copies of certain position descriptions and copies of case review sheets for the approximately ten (10) fellow compliance officers in the Pittsburgh office, for the period November 1980 to the date of the request for the information. Subsequently, Mr. O'Brien provided the requested position descriptions, but did not provide the case review sheets sought by Mr. Lechman. Later, on August 22 and 31, 1983, respectively the Union renewed its request for case review sheets. Although Respondent agreed to provide the requested position descriptions, Area Director O'Brien responded on August 31, that: "You have also requested, "All case file review sheets . . . " "The request will not be satisfied at this time. Case review sheets are used to advise employees of their performance. They relate solely to the individual's case performance. Further, your request does not state how the information regarding other employees' performance as related by their individual case feedback sheets could possibly establish harassment of CO Lechman. Accordingly, this information you have requested will not be provided." Sometime later, Daniels resigned as steward and was replaced by Union President Richard J. Clougherty. On September 9, 1983, Mr. Clougherty informed Respondent that he was replacing Daniels as Lechman's representative in the matter. Thereafter, Clougherty telephoned Mr. O'Brien and asked for the information which had been requested earlier by the Union. According to Mr. Clougherty, "I explained that I thought it was necessary in order to process the grievance . . . ." Mr. O'Brien informed Clougherty that, "he had been instructed that he was not to provide the information." The following week, Mr. Clougherty met with Bill Hoffman, a labor relations specialist for Respondent, and discussed the Union's need for the case review sheets in the Lechman matter. Mr. Clougherty again attempted to explain that he needed the case review sheets to determine whether or not Lechman was being discriminated against-- to see whether Lechman was being "picked upon." Hoffman referred Clougherty to his supervisor, Labor Relations Officer, Charles Taylor. The next day, Mr. Clougherty telephoned Mr. Taylor and discussed at length the Union's request for information. Mr. Clougherty reiterated the Union's need for the case review sheets to determine whether Lechman was being discriminated against, and if so, the Union's need for the case review sheets to document this discrimination. Mr. Taylor suggested that Clougherty ask O'Brien about the information. Mr. Clougherty protested that he had already spoken to O'Brien who had referred him to Hoffman, who had in turn referred him to Taylor. Mr. Taylor again suggested talking to O'Brien. Mr. Clougherty immediately telephoned Mr. O'Brien and related his conversation with Taylor. Mr. O'Brien said he had been instructed not to provide the information, and therefore could not release it. On September 19, 1983, the Union filed a second step grievance on behalf of Mr. Lechman. In the grievance, Mr. Clougherty once again requested the case review sheets from November, 1980 to the date of the request, and explained the reason why the sheets were needed. The Respondent issued a response to the grievance at the second step on September 28, 1983, denying the grievance. On October 3, 1983, Mr. Clougherty submitted the grievance at the third step of the grievance procedure. In the third step grievance submission, Mr. Clougherty again raised the issue of Respondent's refusal to furnish the needed case review sheets. Mr. Clougherty's letter to the third step official, Secretary of Labor, Raymond Donovan, set forth the reasons why the documents were necessary, and how the Union intended to use the information. Mr. Clougherty's letter states, in pertinent part: We are at a distinct disadvantage in moving this grievance to your level. There are documents in the hands of local management that we have requested so that we can provide documentary evidence to support our contention that management in the Pittsburgh Wage/Hour Area Office is singling out the grievant by "overzealously" reviewing his work-products, but local management has refused to provide them (see attached letter to A. D. O'Brien dated 8/31/83-- only the PD's were provided). When the requested case review sheets of the grievant are compared with the case review sheets of the other CO's in the office, the results will show that local management is "nit-picking" the grievant's work-products-- to punish him for past grievances he has filed. Thereafter in late January, 1984, Mr. Clougherty received by mail a package of case review sheets with a letter from Mr. Taylor contending that the material was "the available information in connection with the Lechman grievance." Mr. Clougherty reviewed the sheets briefly, and noted that the material appeared to be incomplete. Mr. Clougherty then spoke with Mr. O'Brien about the incompleteness of the case review sheets. Mr. O'Brien told Mr. Clougherty that the sheets were all O'Brien had, because as performance evaluations were prepared, the case review sheets were discarded. Mr. Clougherty pointed out to Mr. O'Brien that sheets were provided for some employees which went back more than a year, the usual appraisal period. Mr. O'Brien acknowledged that he had retained case review sheets for Mr. Lechman in case they were needed in processing a grievance over Lechman's performance appraisal, and that case review sheets for another employee had been retained because the employee's appraisal had been delayed. In most cases, however, there were very few case review sheets for employees allegedly because the appraisals had been done shortly before the case review sheets were provided to the Union. The record reveals that at the time of the Union's initial request for information in August 1983, only one employee's performance appraisal had been completed. After the request and prior to the release of the information in January of 1984, Mr. O'Brien completed performance appraisals for most employees and discarded the case review sheets upon which the appraisals were based, so that, according to Mr. O'Brien, "there was little in the pipeline for the current year," and there "was a whole bunch of them with little or nothing." Accordingly, the information provided was inadequate to compare Lechman's case review sheets with the review sheets of other employees. Around February 24, 1984, Respondent denied Mr. Lechman's grievance at the third step. The Union has not invoked arbitration of the grievance. Discussion and Conclusions Respondent argues that it was under no obligation to provide the information requested by the Union because a significant part of the information sought did not exist and was no longer in managements' sole possession and that the information which did exist was readily accessible to the Union through its own bargaining unit members and, therefore the Union had independent access to the requested information. In addition, Respondent asserts that the requested information was not normally maintained by the agency in the regular course of business prior to 1982. Here Respondent alludes to Article 37, Secs. 2 of the collective bargaining agreement. /2/ Section 7114(b)(4) of the Statute requires agency management to furnish upon request and to the extent not prohibited by law, data which is normally maintained by the agency in the regular course of business, which is reasonable available and necessary for full and proper discussion, understanding and negotiation of subjects within the scope of collective bargaining, which do not constitute guidance, advice, counsel or training provided for supervisors relating to collective bargaining. To date the Authority's interpretation of section 7114(b)(4) has made it clear that an agency's duty to provide information includes the duty to provide information necessary to enable the requesting exclusive representative to effectively carry out its statutory obligation to represent employees in the processing of grievances and to provide information relevant and necessary to allow the exclusive representative to determine whether or not to pursue or file a grievance. Veterans Administration, Iron Mountain, Michigan, 10 FLRA 468 (1982); Bureau of Alcohol, Tobacco and Firearms, National Office and Western Region, 8 FLRA 547 (1982); Department of the Navy, Portsmouth Naval Shipyard, 4 FLRA 619 (1980). In the case at bar it was established that the information requested by the exclusive representative is "normally maintained by the agency in the regular course of business." The record demonstrates that the case review sheets are kept by agency supervisors at least until employee appraisals have been completed since they form the basis for such appraisals. Furthermore, case review sheets are kept after an appraisal has been made, if the supervisor anticipates difficulty arising from the individual appraisal. While one copy of the case review sheet is given to the individual employee, a carbon or photocopy is normally retained by the supervisor or Area Director. Here Respondent maintains that the case review sheets are similar to supervisors' personal notes to be used as "memory joggers." It is clear from the record that case review sheets form the basis for employee evaluations and were demonstrated to be more than mere references to employee performances. The case review sheets reveal that they are prepared for the purpose of assessing and evaluating employee performance and are to be used for employee appraisals. Under such circumstances, Respondent's argument that the review sheet is merely a supervisor's note or "memory jogger" must be rejected. Accordingly, it is found that the case review sheets constitute a basis for employee appraisals and as such are relevant documents needed by the Union to make a determination of whether or not to proceed with a pending grievance concerning performance evaluation such as filed by Lechman. Respondent suggests that the requested case review sheets were discarded or purged and that the information sought by the exclusive representative could be readily obtained from bargaining unit members. In this regard, there is no evidence that the files had been purged at the time the grievance was filed in 1983, at which time the request was made. It is reasonable, based on the instant record, to infer as argued by the General Counsel, that the information existed at the time the Union made its request. Consequently, Respondent's argument that the case review sheets could not be supplied since they had been discarded or purged at the end of an appraisal period must be rejected. Furthermore, as the Union asserts, the review sheets supplied in January 1984, were incomplete since there were review sheets for only three (3) compliance officers out of approximately ten (10) in the Pittsburgh office. In all, the review sheets supplied were merely a portion of those which existed at the time of the Union's initial request. Failure to supply all of the sheets available at the time of the Union's request if they were relevant and necessary would indeed be a refusal to comply with 7114(b)(4). Likewise, Respondent's argument that the exclusive representative could readily have obtained the information from bargaining unit members lacks merit. This is certainly not a viable option, since even if retained, employees have no obligation to and indeed may be unwilling to supply the Union with their case review sheets. Bargaining unit members have no obligation to retain such data and even if they were willing to supply the information they might well not have preserved sufficient sheets to be of assistance. The place to obtain the complete information is at its source not through alternate methods. Accordingly, Respondent's argument in this regard must be rejected. That the information was reasonable available and necessary is clearly revealed by the instant record. The grievance herein alleges that an employee was being discriminated against based upon his filing of grievances, as shown by comments on his case review sheets. The rationale of the grievance was that the review given to Lechman's work was overzealous and the comments "nitpicking." The Union sought to establish disparity between Lechman's reviews and those of other similarly situated compliance officers, in essence a simple discrimination matter. Since the core of most discrimination cases is comparative data, it can readily be seen that the case review sheets might be necessary and relevant for comparison to allow the Union to evaluate possible action on the grievance. Although, as Respondent suggested at the hearing, it may not be possible to determine from a case review sheet whether the comments on it are justified, general matters such as the degree of scrutiny given different employees' cases and the categories of criticisms noted could or could not persuade the Union to go forward with the matter. Therefore, the review sheets were necessary for the Union to make any intelligent assessment of Lechman's claim. It is found therefore, that the case review sheets were necessary for the exclusive representative to properly process the Lechman grievance. Respondent further asserts that it did not commit an unfair labor practice since the information which was requested was not in existence. Respondent's reliance on Internal Revenue Service, 1 FLRA 796, 797 (1980) is entirely misplaced. There the Authority in agreement with the Administrative Law Judge stated: " . . . the Authority is deeply concerned with Respondent's failure to indicate, either at the time of the request for information by the Union or during the investigation of the unfair labor practice charge, that the information sought did not exist. This failure may have caused unnecessary litigation which hinders the effective administration of the federal labor-management relations program." In searching the instant record, it is found that Respondent did not assert the non-existence of the records when originally requested in August 1983, nor did it raise such a defense in its Answer to the complaint herein. It is clear that at the time of the request for the case review sheets Respondent was under an obligation to supply all the necessary information in its possession. Although the Union received some case review sheets in January 1984, Respondent does not contend that these sheets completely satisfied its obligation. Respondent also offers no satisfactory explanation for the missing review sheets. In fact, Respondent's chief concern until late in the game was whether or not the information was relevant to the processing of Lechman's grievance. It is, therefore, concluded that the records were reasonably available at the time they were originally requested and Respondent's defense that the records did not exist is found to lack merit. In support of its claim that the Union never clearly demonstrated its need for the requested information, Respondent depends on Internal Revenue Service, Buffalo District, Buffalo, New York, 7 FLRA 654 (1982). That case is inapposite. Unlike here, it was found that the data requested had no impact upon the subject of the grievance, and the data was not necessary to the pursuit of the grievance. In this matter, the allegations of the grievance were discussed countless times with management officials and the necessity for the information was precisely explained. Since management was no doubt aware through these discussions of the nature of the grievance i.e. comparison of the level of scrutiny of Lechman's work as compared to that of his co-workers in the Pittsburgh Area Office, the relevancy or necessity of the information should have become absolutely clear. As seemingly it was, since Lechman was supplied with some, but not all of the case review sheets requested notwithstanding that they were supplied in an untimely fashion. Based on all of the foregoing, it is concluded that Respondent's refusal to supply the requested information herein was a refusal to comply with section 7116(b)(4) of the Statute, and constituted a violation of section 7116(a)(1), (5) and (8) of the Statute. Accordingly, it is recommended that the Authority issue the following: /3/ ORDER Pursuant to section 2423.29 of the Federal Labor Relations Authority's Rules and Regulations of section 7118 of the Statute, it is hereby ordered that the U.S. Department of Labor, Employment Standards Administration, Pittsburgh, Pennsylvania, Local 644, National Council of Field Labor Locals, shall: 1. Cease and desist from: (a) Failing and refusing to provide, Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, the employees exclusive representative, requested information which is reasonably available and necessary to enable it to perform its representational duties in connection with an employee grievance. (b) In any like or related manner interfering with, restraining, or coercing employees in the exercise of their rights assured by the Federal Service Labor-Management Relations Statute. 2. Take the following affirmative action in order to effectuate the purposes and policies of the Federal Service Labor-Management Relations Statute: (a) Provide, upon request to the Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, the employees exclusive representative requested information which is reasonably available and necessary to enable it to perform its representational duties in connection with an employee grievance. (b) Post at its Pittsburgh Area Office copies of the attached Notice marked "Appendix A" on forms to be furnished by the Authority. Upon receipt of such forms, they shall be signed by the Area Director, and shall be posted and maintained by him for 60 consecutive days thereafter, in conspicuous places, including all bulletin boards and other places where notices to employees are customarily posted. The Area Director shall take reasonable steps to insure that such notices are not altered, defaced, or covered by any other material. (c) Pursuant to Section 2423.30 of the Authority's Rules and Regulations, notify the Regional Director, Region II, Federal Labor Relations Authority, in writing within 30 days from the date of this Order as to what steps have been taken to comply herewith. ELI NASH, JR. Administrative Law Judge Dated: November 20, 1984 Washington, D.C. APPENDIX A NOTICE TO ALL EMPLOYEES PURSUANT TO A DECISION AND ORDER OF THE FEDERAL LABOR RELATIONS AUTHORITY AND IN ORDER TO EFFECTUATE THE POLICIES OF CHAPTER 71 OF TITLE 5 OF THE UNITED STATES CODE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE WE HEREBY NOTIFY OUR EMPLOYEES THAT: WE WILL NOT fail or refuse to furnish, upon request by Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, all information which is reasonable available and necessary to enable, it to perform its representational duties in connection with an employee grievance. WE WILL NOT in any like or related manner, interfere with, restrain, or coerce employees in the exercise of rights assured by the Federal Service Labor-Management Relations Statute. WE WILL upon request, make available to Local 644, National Council of Field Labor Locals, American Federation of Government Employees, AFL-CIO, all information which is reasonably available and necessary to enable it to perform its representational duties in connection with an employee grievance. (Agency or Activity) Dated: By: (Signature) This Notice must remain posted for 60 consecutive days from the date of posting and must not be altered, defaced or covered by any other material. If employees have any questions concerning this Notice or compliance with any of its provisions, they may communicate directly with the Regional Director of the Federal Labor Relations Authority, Region II, whose address is: 26 Federal Plaza, Room 24-102, New York, New York 10278 and whose telephone number is: (212) 264-4934. --------------- FOOTNOTES$ --------------- /1/ Article 15, Section 8(2), provides that: A grievance shall be discussed informally with the immediate supervisor (who prepared the aggrieved employee's performance evaluation) . . . . /2/ Article 37, Secs. 2 provides, in pertinent part as follows: Section 2-- Working Files (A) Working files, if maintained by supervisors, shall be limited to dated documents and records of immediate concern to the supervisor and the employee. (B) The working file maintained by a supervisor on an employee shall be made available at reasonable times upon request to that employee for review. Working files shall not be made available to merit staffing panels or qualification rating examiners. (C) Material will not be maintained in an employee's working file indefinitely. Working files should be reviewed at least once a year for disposal of noncurrent material. In the event material in the employee's working file is used as backup for a proposed adverse action or is the subject of a grievance or adjective performance rating review or appeal, that material shall be placed in the appropriate official file and retained for the time required by Civil Service Commission regulations. /3/ The General Counsel's unopposed Motion To Correct Transcript is granted and attached as Appendix "B".