18:0249(33)CA - SSA, Baltimore, MD and AFGE -- 1985 FLRAdec CA
[ v18 p249 ]
18:0249(33)CA
The decision of the Authority follows:
18 FLRA No. 33 SOCIAL SECURITY ADMINISTRATION BALTIMORE, MARYLAND Respondent and AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO Charging Party Case No. 9-CA-30281 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 alleged in the complaint, and recommending that it be ordered to cease and desist therefrom and take certain affirmative action. The Judge further found that the Respondent had not engaged in certain other alleged unfair labor practices, and recommended dismissal of the complaint with respect to them. Thereafter, the General Counsel filed exceptions to the Judge's Decision. 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 /1/ and recommended Order. The Judge concluded that the Respondent violated section 7116(a)(1) and (8) of the Statute by failing to provide the Union with prior notice and the opportunity to be represented at the meeting on February 25, 1983, between District Manager Wells and Lingelbach. In so concluding, the Judge found that the meeting was "formal" in nature, and that the subject matter of the meeting came within the meaning of section 7114(a)(2)(A) of the Statute as required. In a subsequently issued decision, Bureau of Government Financial Operations, Headquarters, 15 FLRA No. 87 (1984), appeal docketed sub nom. National Treasury Employees Union v. FLRA, No. 84-1493 (D.C. Cir. Oct. 1, 1984), the Authority reiterated that in order for a union's right to be represented under section 7114(a)(2)(A) to attach, "all elements set forth in that section must be found to exist: (1) a discussion; (2) which is formal; (3) between one or more representatives of the agency and one or more employees in the unit or their representatives; (4) concerning any grievance or any personnel policy or practices or other general conditions of employment." /2/ In finding that the February 25 meeting was "formal" in nature, the Judge stated at page 5 of his Decision: The formality of this discussion is established by the fact that it was initiated by Wells, the district manager, was conducted away from Lingelbach's worksite in Wells' office behind closed doors, and Lingelbach's attendance was mandatory. See, Department of Health and Human Services, Social Security Administration, Bureau of Field Operations, 10 FLRA No. 24, 10 FLRA 115 (1982). The Authority noted in Defense Logistics Agency, Defense Depot Tracy, Tracy, California, 14 FLRA 475 (1984), that the factors set forth in the case relied upon by the Judge are not exhaustive and that the totality of facts and circumstances are used to determine the formality of a meeting. In the instant case, the Authority concludes that, upon balance, the meeting was "formal" in nature, noting specifically that Wells was Lingelbach's fourth level supervisor and the manager for the entire district, that the meeting was held in Wells' office, and, notwithstanding the fact that the meeting was initiated by a phone call rather than a written notice and that Wells stated that he wanted to speak to Lingelbach as a "Dutch uncle," Lingelbach's attendance was required. With regard to the final element, the Judge credited Lingelbach's testimony that Wells brought up and talked about the grievance which had been filed by Lingelbach. The Judge specifically discredited Wells' denial that he brought up the subject. The Authority concludes, in agreement with the Judge, that the meeting concerned a grievance and thus satisfied the fourth element. Accordingly, the Authority finds that the Respondent's failure to provide the Union with prior notice and the opportunity to be represented at a meeting which constituted a formal discussion of matters within the meaning of section 7114(a)(2)(A) of the Statute was violative of section 7116(a)(1) and (8) of the Statute. ORDER Pursuant to section 2423.29 of the Rules and Regulations of the Federal Labor Relations Authority and section 7118 of the Federal Service Labor-Management Relations Statute, the Authority hereby orders that the Social Security Administration, Baltimore, Maryland, shall: 1. Cease and desist from: (a) Interfering with, or discouraging, by implied threats or other means, any employee from exercising the rights accorded by the Federal Service Labor-Management Relations Statute to file and process grievances under the negotiated grievance procedure freely and without fear of penalty or reprisal. (b) Failing to give the American Federation of Government Employees, AFL-CIO, appropriate notice of and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (c) In any like or related manner interfering with, restraining, or coercing its 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) Give the American Federation of Government Employees, AFL-CIO, appropriate notice of and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (b) Post at its facilities at Spokane, Washington, 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 District Manager, or a designee, and shall be posted and maintained for 60 consecutive days thereafter, in conspicuous places, including bulletin boards and all other places where notices to employees are customarily posted. Reasonable steps shall be taken to insure that such Notices are not altered, defaced, or covered by any other material. (c) Pursuant to section 2423.30 of the Federal Labor Relations Authority's Rules and Regulations, notify the Regional Director, Region IX, 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. IT IS FURTHER ORDERED that the allegation that Respondent unlawfully discriminated against employee Frank Lingelbach for engaging in protected activity be, and it hereby is, dismissed. 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 interfere with, or discourage, by implied threats or other means, any employee from exercising the rights accorded by the Federal Service Labor-Management Relations Statute to file and process grievances under the negotiated grievance procedure freely and without fear of penalty or reprisal. WE WILL NOT fail to give the American Federation of Government Employees, AFL-CIO, appropriate notice of and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. WE WILL NOT in any like or related manner interfere with, restrain, or coerce our employees in the exercise of their rights assured by the Federal Service Labor-Management Relations Statute. WE WILL give the American Federation of Government Employees, AFL-CIO, appropriate notice of and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (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 its provisions, they may communicate directly with the Regional Director of the Federal Labor Relations Authority, Region IX, whose address is: 530 Bush Street, Room 542, San Francisco, California 94108, and whose telephone number is: (415) 556-8106. -------------------- ALJ$ DECISION FOLLOWS -------------------- Mr. Wilson Schuerholz Michael Walsh, Esquire For the Respondent Ms. Mary O'Malley For the Charging Party Josanna Berkow, Esquire For the General Counsel, FLRA Before: GARVIN LEE OLIVER, Administrative Law Judge DECISION Statement of the Case This decision concerns an unfair labor practice complaint issued by the Regional Director, Region Nine, Federal Labor Relations Authority, San Francisco, California against the Social Security Administration, Baltimore, Maryland (Respondent), based on an amended charge filed by the American Federation of Government Employees, AFL-CIO (Charging Party or Union). The complaint alleged, in substance, that Respondent violated sections 7116(a)(1), (2), (5), and (8) of the Federal Service Labor-Management Relations Statute, 5 U.S.C. 7101 et seq. (the Statute). The Complaint alleges that Respondent violated section 7116(a)(1) and (2) of the Statute when it discriminatorily issued a February 17, 1983 Letter of Warning to unit employee Frank Lingelbach because he had filed a grievance under the negotiated procedure, or enlisted the assistance of the Union, activity protected by section 7102 of the Statute. The Complaint further alleges that on February 25, 1983, Respondent, through its Spokane district manager Bruce Wells, held a formal meeting within the meaning of section 7114(a)(2)(A) with Lingelbach in violation of section 7116(a)(1), (5), and (8) of the Statute. Finally, the Complaint, as amended at the hearing, alleges that Respondent committed two independent violations of section 7116(a)(1) of the Statute based on statements made by Wells to Lingelbach during the course of the February 25th formal meeting. Respondent admits the jurisdictional allegations relating to the Respondent, Charging Party, and filing of the charges, but denies that it has violated the Statute. Specifically, Respondent contends that the February 17, 1983 letter was issued because Lingelbach's performance was less than satisfactory concerning a specific case and that Union considerations played no part in its decision. Respondent also contends that the February 25th meeting was merely a counseling session and that Wells did not make the statements alleged in the complaint. A hearing was held in Spokane, Washington. The Respondent, Charging Party, and the General Counsel were represented and afforded full opportunity to be heard, adduce relevant evidence, examine and cross-examine witnesses, and file post-hearing briefs. Based on the entire record, /3/ including my observation of the witnesses and their demeanor, I make the following findings of fact, conclusions of law, and recommendations. Findings of Fact Frank Lingelbach has worked as a claims representative in Respondent's district office in Spokane, Washington since March of 1982. For five years prior to that time he held the same position in the Coeur d'Alene branch office, a satellite of the Spokane district. Lingelbach has worked for the agency in various positions for a total of eleven years and has always received fully satisfactory to excellent appraisals. In 1980, Lingelbach received a cash award for exemplary work performance. District manager Wells considered Lingelbach an excellent employee with supervisory potential. Operations supervisor Premo and branch manager Aurora stated that Lingelbach exceeded the minimum requirements to an exceptional degree in his ability to deal with difficult claimants. Claims representatives are evaluated, inter alia, on their ability to explain rights and alternatives to social security claimants. Respondent's appraisal documents establish that claims representatives are favorably evaluated for their concern in protecting claimants' rights, looking out for claimants' interests, and for their sensitivity to claimants' needs. On January 26, 1983 Lingelbach filed a grievance under the negotiated grievance procedure with his then supervisor, Jerry Phinney, concerning his selection to the quality reviewer position in the Spokane district office. He designated Donald Avery as his Union representative on the grievance form. Phinney denied the grievance on January 28, 1983 with a written rationale. The Union appealed the denial of Lingelbach's grievance in the first week of February, 1983. The second step submission to Wells included a request for an audit of the reviewer position. Prior to Lingelbach's grievance, no employee had ever questioned the grade of the reviewer position. Wells opposed a position audit for this position. Wells denied the grievance on February 22, 1983. No meeting was held at this level. The grievance was then elevated to the third stage where it was for the most part denied. On or about February 7, 1983, District manager Wells received a telephone call from the office of Senator James A. McClure of Idaho requesting that Lingelbach attend a meeting in the Senator's office in Coeur d'Alene regarding an overpayment case of Herschel Shamblin. Wells talked with Lingelbach who wanted to attend the meeting even if he had to take annual leave. Wells also reviewed a working file pertaining to the case, discussed the case with other managers, and concluded that Lingelbach had displayed a lack of objectivity in dealing with the Shamblin case. On February 17, 1983 Wells issued Lingelbach a letter of warning. The letter forbade Lingelbach from having any further dealings with Shamblin and cautioned Lingelbach to represent the interests of the Social Security Administration in his dealings with the public. The letter had nothing to do with Lingelbach's grievance or because he went to the Union for assistance. /4/ On February 23, 1983 Union representative Donald L. Avery wrote a letter to Wells requesting the removal of Lingelbach's letter of warning citing contractual provisions requiring progressive discipline. Wells responded by memorandum dated February 25, 1983 in which he stated Lingelbach had been orally warned about his performance on the Shamblin case by the branch manager of Coeur d'Alene while he was working in that office. On February 25, 1983 Lingelbach wrote Wells requesting, inter alia, a signed statement from the Coeur d'Alene branch manager, the opportunity to review the Shamblin file, manual reference to job duties cited by Wells, and that certain material be added to his file. /5/ After receiving the letter, Wells called Lingelbach on the phone on the afternoon of February 25th and asked him to come into his office. Upon entering the office, Lingelbach asked if he needed his Union representative. Wells said, "No. Wells said he wanted to talk to Lingelbach completely off-the-record, like a Dutch uncle, to give him some friendly advice. Wells asked Lingelbach about his career goals with the agency. Lingelbach replied that he eventually wanted to go back to the central or regional office. Wells stated that Lingelbach certainly had the ability and talent to advance, but was creating the image of being reluctant to accept direction and of questioning agency policy and procedure. Wells said that this was not conducive to progressing up the ladder. Wells stated that he did not understand why Lingelbach had filed a grievance. /6/ Lingelbach said he had filed the grievance because he had not received the answers he felt he needed concerning the reviewer position. Wells said he would deny it if it ever came up, but Lingelbach was only hurting himself by filing a grievance. Lingelbach replied that no matter what he felt about Wells' beliefs or attitudes about things, he was still going to do the best job of any claims representatives in the office. Discussion, Conclusions, and Recommendations A. Alleged Formal Discussion Section 7114(a)(2)(A) assures an exclusive representative the right to be represented at any formal discussion between one or more agency representatives and one or more unit employees concerning any grievance. Failure to provide prior notice and the opportunity to attend such grievance discussions constitutes an unfair labor practice in violation of section 7116(a)(1) and (8). Office of Program Operations, Field Operations, Social Security Administration, San Francisco Region, 10 FLRA No. 36, 10 FLRA 172 (1982). In the present case, the credible testimony establishes that Wells discussed Lingelbach's grievance with him on February 25, 1983. The formality of this discussion is established by the fact that it was initiated by Wells, the district manager, was conducted away from Lingelbach's worksite in Wells' office behind closed doors, and Lingelbach's attendance was mandatory. See, Department of Health and Human Services, Social Security Administration, Bureau of Field Operations, 10 FLRA No. 24, 10 FLRA 115 (1982). Respondent's admitted failure to provide the Union with prior notice and the opportunity to be represented at this formal discussion violated section 7116(a)(1) and (8) of the Statute. /7/ B. Alleged Threatening Statements It is well established that the filing and processing of grievances under collective bargaining agreements is protected activity within the meaning of section 7102 of the Statute and that management statements which tend to interfere with the exercise of such rights constitute unlawful interference in violation of section 7116(a)(1) of the Statute. Federal Election Commission, 6 FLRA No. 59, 6 FLRA 327 (1981); U.S. Department of the Treasury, Bureau of Alcohol, Tobacco and Firearms, Chicago, Illinois, 3 FLRA No. 116, 3 FLRA 723 (1980). Wells' inquiry as to why Lingelbach had filed the grievance, and his subsequent implied statement that the grievance would only hurt Lingelbach's future career, would tend to chill Lingelbach in the exercise of his statutory right to process his grievance under the collective bargaining agreement. Accordingly, Wells' statements to Lingelbach violated section 7116(a)(1) of the Statute, as alleged. See, Veterans Administration Medical Center, Fayetteville, Arkansas, 5 FLRA No. 76, 5 FLRA 581 (1981); Bureau of Alcohol, Tobacco and Firearms, 3 FLRA 723, supra. C. Alleged Discrimination I have credited the evidence relating to Respondent's explanation for issuing the February 17, 1983 letter of warning to Lingelbach. Accordingly, a preponderance of the evidence fails to establish a violation of section 7116(a)(1) and (2) in this regard. Based on the foregoing findings and conclusions, it is recommended that the Authority issue the following Order: ORDER Pursuant to section 2423.29 of the Rules and Regulations of the Federal Labor Relations Authority and section 7118 of the Statute, the Authority hereby orders that the Social Security Administration, Baltimore, Maryland shall: 1. Cease and desist from: (a) Interfering with, or discouraging, by implied threats or other means, any employee from exercising his rights accorded by the Statute to file and process grievances under the negotiated grievance procedure freely and without fear of penalty or reprisal. (b) Failing to give the American Federation of Government Employees, AFL-CIO, appropriate notice and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (c) 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 Statute. (a) Give the American Federation of Government Employees, AFL-CIO, appropriate notice and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (b) Post at its facilities at the Spokane, Washington copies of the attached Notice marked "Appendix" on forms to be furnished by the Authority. Upon receipt of such forms, they shall be signed by the District Manager and shall be posted and maintained for 60 consecutive days thereafter, in conspicuous places, including all bulletin boards and other places where notices to employees are customarily posted. The District Manager shall take reasonable steps to insure that such notices are not altered, defaced, or covered by any other material. (c) Pursuant to 5 C.F.R.Section 2423.30 notify the Regional Director, Region Nine, Federal Labor Relations Authority, San Francisco, California, in writing, within 30 days from the date of this Order, as to what steps have been taken to comply herewith. It is further ordered that the allegation that Respondent unlawfully discriminated against employee Frank Lingelbach for engaging in protected activity be, and it hereby is, DISMISSED. GARVIN LEE OLIVER Administrative Law Judge Dated: July 20, 1984 Washington, DC APPENDIX 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 interfere with, or discourage, by implied threats or other means, any employee from exercising the rights accorded by the Statute to file and process grievances under the negotiated grievance procedure freely and without fear of penalty or reprisal. WE WILL NOT fail to give the American Federation of Government Employees, AFL-CIO, appropriate notice and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. 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. WE WILL give the American Federation of Government Employees, AFL-CIO, appropriate notice and the opportunity to be represented at formal discussions between employees in the bargaining unit and representatives of the Activity concerning grievances. (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 Nine, whose address is: 530 Bush Street, Room 542, San Francisco, CA 84108, and whose telephone number is: (415) 556-8105. --------------- FOOTNOTES$ --------------- /1/ The General Counsel excepts to the Judge's failure to find that the letter of warning constituted a violation of section 7116(a)(1) and (2) of the Statute. The Authority is unconvinced by the General Counsel's arguments and adopts the Judge's conclusion. The Authority also adopts the Judge's conclusion that Wells' statements to Lingelbach violated section 7116(a)(1) of the Statute. /2/ As there appears to be no dispute that the meeting was a discussion between a representative of the agency and a bargaining unit employee, the Authority concludes that elements 1 and 3 have been met. /3/ The General Counsel's unopposed motion to correct the transcript is granted; the transcript is hereby corrected as set forth therein. /4/ A great deal of evidence was presented concerning whether Lingelbach's actions in the Shamblin case were appropriate. Although Lingelbach was admittedly an excellent employee and was sincere in his actions in this unusual case, the record reflects a reasoned basis for Respondent's conclusion that the displayed a lack of objectivity in dealing with the Shamblin case. In my view, the justification for the action was not shown to be pretextual or based on unlawful considerations. /5/ Lingelbach received no immediate answer, so he wrote Wells two reminder memoranda dated March 4 and March 9, 1983 repeating his February 25 requests. Wells finally replied by memorandum dated March 10, 1983, denying Lingelbach's requests. /6/ Wells denied bringing up the subject of a grievance, and contended that it was Lingelbach who brought up the grievance and the Shamblin case at this point. He claimed he refused to discuss the specifics of either, but merely reiterated at the point they were mentioned that Lingelbach had the ability to go places in the organization and he would encourage him to do that. I credit Lingelbach's testimony on this point. /7/ Based on the above outcome, which fully remedies the violation found, it is unnecessary to decide whether such conduct also violated section 7116(a)(5) of the Statute.