[ v05 p258 ]
05:0258(33)AR
The decision of the Authority follows:
5 FLRA No. 33 SOCIAL SECURITY ADMINISTRATION Agency and AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL NO. 1923 Union Case No. 0-AR-76 DECISION THIS MATTER IS BEFORE THE AUTHORITY ON EXCEPTIONS TO THE AWARD OF ARBITRATOR SEYMOUR STRONGIN FILED BY THE AGENCY UNDER SECTION 7122(A) OF THE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE (5 U.S.C. 7122(A)). ACCORDING TO THE ARBITRATOR, THE DISPUTE IN THIS MATTER INVOLVED AN ALLEGATION BY THE GRIEVANT THAT THE AGENCY HAD FAILED TO PROPERLY IMPLEMENT THE SMOKING POLICY PROMULGATED AS A REGULATION OF THE DEPARTMENT OF HEALTH, EDUCATION AND WELFARE (HEW). /1/ THAT REGULATION, ISSUED BY THE SECRETARY OF HEW IN JANUARY 1978, PROVIDES IN PERTINENT PART: C. WORK AREAS (1) SEPARATION OF SMOKERS AND NON-SMOKERS IN CONSIDERATION OF THE RIGHTS OF NON-SMOKERS IN WORK AREAS, THEY WILL, WITHIN PRACTICAL LIMITS, BE GIVEN THE OPPORTUNITY TO BE ASSIGNED TO OFFICES OR WORK PLACES SEPARATE AND PHYSICALLY DISTINCT FROM THOSE OF EMPLOYEES WHO SMOKE. THE FOLLOWING PROVISIONS WILL APPLY IN MAKING THESE DETERMINATIONS: 1 - EFFICIENCY OF WORK UNITS OR ADMINISTRATIVE EFFECTIVENESS SHALL NOT BE IMPAIRED. 2 - EXCESSIVE COSTS WILL NOT RESULT FROM PROVIDING PHYSICAL SEPARATION. 3 - ADDITIONAL SPACE WILL NOT BE REQUIRED. (2) IN COMMON WORK AREAS, IN WHICH TWO OR MORE EMPLOYEES ARE ASSIGNED, SUPERVISORS WILL PROHIBIT SMOKING IF AN EMPLOYEE OBJECTS IN WRITING TO TOBACCO SMOKE IN THE IMMEDIATE WORK ENVIRONMENT, ON THE BASIS THAT IT IS HAVING AN ADVERSE EFFECT UPON HIS OR HER HEALTH. FOLLOWING ISSUANCE OF THE HEW REGULATION, THE GRIEVANT SUBMITTED A FORM TO HIS SUPERVISOR INDICATING AN "OBJECTION TO TOBACCO SMOKE IN (HIS) . . . IMMEDIATE WORK AREA AND . . . REQUEST(ING) THAT SMOKING IN (THAT) AREA BE PROHIBITED ON THE BASIS THAT IT (WAS) HAVING AN ADVERSE AFFECT ON (HIS) HEALTH." SUBSEQUENTLY, THE AGENCY ISSUED A FORMAL POLICY IMPLEMENTING THE REGULATION, AND THE GRIEVANT THEREAFTER REQUESTED THAT: "NO SMOKING" SIGNS BE POSTED AND SMOKING BE PROHIBITED THROUGHOUT THE OPEN-SPACE ROOM TO WHICH I AM ASSIGNED (I.E., ALL WORK AREAS NOT SEPARATED BY A FLOOR-TO-CEILING WALL) . . . IN RESPONSE TO THE GRIEVANT'S REQUEST HE WAS MOVED INTO ANOTHER AREA, AN ADDITIONAL VENT WAS INSTALLED, HIS WORK AREA WAS DESIGNATED AS A NONSMOKING AREA, AND NO SMOKING SIGNS WERE POSTED NEAR HIS DESK. A PARTITION SEPARATED THE GRIEVANT'S WORK AREA FROM AN AISLEWAY. THE GRIEVANT, HOWEVER, ASSERTED THAT IN THE ABSENCE OF ANY FLOOR-TO-CEILING PARTITION, THE WORK AREA IN WHICH HE IS LOCATED IS THE SOUTH QUADRANT OF THE FLOOR ON WHICH HE WORKS AND THEREFORE SMOKING SHOULD BE PROHIBITED THROUGHOUT THIS AREA. THE PARTIES WERE UNABLE TO RESOLVE THIS DISPUTE AND IT WAS ULTIMATELY SUBMITTED TO ARBITRATION. ACCORDING TO THE ARBITRATOR, THE "ONE FUNDAMENTAL ISSUE" TO BE CONSIDERED WAS WHETHER "THE AGENCY COMPLIED WITH THE SECRETARY'S REGULATION IN THE SITUATION PRESENTED BY THE GRIEVANCE." IN ADDRESSING THIS ISSUE, THE ARBITRATOR FOUND THE CRITICAL PORTION OF THE REGULATION TO BE THAT DEALING WITH WORK AREAS. THE ARBITRATOR FIRST FOUND THAT MEMORANDA BETWEEN THE ASSISTANT SECRETARY AND THE SECRETARY OF HEW "SEEM CLEARLY TO INDICATE THAT THE TYPE OF SPACE REFLECTED IN THE QUADRANT . . . IN WHICH THE GRIEVANT WORKS IS CONSIDERED A 'COMMON WORK AREA'" WITHIN THE MEANING OF THE REGULATION. THE ARBITRATOR THEN EXAMINED THE AGENCY POLICY WHICH HAD BEEN ISSUED TO IMPLEMENT THE REGULATION AND WHICH DEFINED A "COMMON WORK AREA" AS "AN INDIVIDUAL WORK STATION AS DEFINED IN THE FEDERAL PROPERTY MANAGEMENT REGULATIONS PLUS ADJACENT WORK STATIONS NOT SEPARATED BY A WALL." THE ARBITRATOR FOUND THAT THE FIVE-FOOT PARTITIONS INSTALLED AROUND THE GRIEVANT'S DESK "DID NOT CONSTITUTE A 'WALL' FOR PURPOSES OF IMPLEMENTING THE REGULATION." IN THIS REGARD HE STATED THAT, WHILE THE PARTITIONS MAY CONSTITUTE A "WALL" FOR CERTAIN PURPOSES, "FOR PURPOSES OF A REGULATION DESIGNED TO PROTECT NON-SMOKERS FROM BEING EXPOSED TO SMOKE CONTAMINANTS IN THE AIR, SUCH PARTIAL DIVIDERS ARE PLAINLY INSUFFICIENT BARRIERS TO THE MOVEMENT OF THE AIR IN QUESTION." FINALLY, THE ARBITRATOR ADDRESSED THE PHRASE "IMMEDIATE WORK ENVIRONMENT" AS USED IN THE REGULATION. HE NOTED THAT UNDER THE REGULATION AN EMPLOYEE'S OBJECTION MUST BE TO SMOKE "IN THE IMMEDIATE WORK ENVIRONMENT" AND THAT IT WAS THIS PHRASE, RATHER THAN THE PHRASE "COMMON WORK AREA" WHICH GAVE RISE TO THE GREATEST PROBLEMS OF IMPLEMENTATION OF THE REGULATION. AFTER LOOKING AT A MEMORANDUM FROM THE ASSISTANT SECRETARY OF HEW TO THE SECRETARY REGARDING THE PHRASE AND TO REMARKS THE SECRETARY HAD MADE ON THE MEMORANDUM, AS WELL AS TO "STATEMENTS OR ACTIONS OF OTHERS" RESPONSIBLE FOR THE REGULATION'S IMPLEMENTATION, THE ARBITRATOR FOUND "A REASONABLE INTERPRETATION OF THE REGULATION" TO BE ONE WHICH EQUATED "IMMEDIATE WORK ENVIRONMENT" TO AN ENTIRE OPEN WORK AREA. BASED ON ALL THIS, THE ARBITRATOR CONCLUDED THAT THE AGENCY HAD FAILED TO IMPLEMENT THE REGULATION. HE HELD THAT THE REGULATION "REQUIRES SUPERVISORS TO PROHIBIT SMOKING IN THE COMMON WORK AREA IN WHICH (THE) GRIEVANT IS ASSIGNED," AND THAT "(T)HIS AREA APPEARS TO CONSIST OF ONE QUADRANT ON ONE FLOOR" OF THE BUILDING IN QUESTION. THE ARBITRATOR, THEREFORE, SUSTAINED THIS PORTION OF THE GRIEVANCE. /2/ THE AGENCY FILED EXCEPTIONS TO THE ARBITRATOR'S AWARD UNDER SECTION 7122(A) OF THE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE /3/ AND PART 2425 OF THE AUTHORITY'S RULES AND REGULATIONS, 5 CFR PART 2425. THE UNION FILED AN OPPOSITION. THE QUESTION BEFORE THE AUTHORITY IS WHETHER, ON THE BASIS OF THE AGENCY'S EXCEPTIONS, THE ARBITRATOR'S AWARD IS DEFICIENT BECAUSE IT IS CONTRARY TO ANY LAW, RULE, OR REGULATION, OR ON OTHER GROUNDS SIMILAR TO THOSE APPLIED BY FEDERAL COURTS IN PRIVATE SECTOR LABOR-MANAGEMENT RELATIONS CASES. IN ITS FIRST EXCEPTION THE AGENCY CONTENDS THE AWARD IS CONTRARY AND CONTRADICTORY TO THE FACTS ESTABLISHED AT THE HEARING. TO SUPPORT THIS CONTENTION THE AGENCY ASSERTS THAT THE ARBITRATOR "ERRONEOUSLY AND INCORRECTLY FOUND THAT 'WORK AREAS' MEANT THE SAME AS 'COMMON WORK AREAS,' AS WELL AS THE 'IMMEDIATE WORK ENVIRONMENT,' WHEREAS THE (SOCIAL SECURITY ADMINISTRATION) BUILDING MANAGEMENT TRANSMITTAL NOTICE CGS SSA-110 CLEARLY DISTINGUISHES BETWEEN WORK AREAS . . . AND COMMON WORK AREAS . . . ." ON ITS FACE, THE AGENCY'S FIRST EXCEPTION, THAT THE AWARD IS "CONTRARY AND CONTRADICTORY TO THE FACTS," CONSTITUTES DISAGREEMENT WITH THE ARBITRATOR'S FINDINGS OF FACT. IT IS WELL ESTABLISHED THAT ASSERTIONS DISAGREEING WITH AN ARBITRATOR'S FINDINGS OF FACT PROVIDE NO BASIS FOR FINDING AN AWARD DEFICIENT. E.G., DEPARTMENT OF THE AIR FORCE, CIVILIAN PERSONNEL BRANCH, CARSWELL AIR FORCE BASE, TEXAS AND AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, LOCAL 1364, 5 FLRA NO. 7(1981); UNITED STATES ARMY MISSILE MATERIEL READINESS COMMAND (USAMIRCOM) AND AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, LOCAL 1858, AFL-CIO, 2 FLRA NO. 60(1980). THEREFORE, THE AGENCY'S FIRST EXCEPTION PROVIDES NO BASIS FOR FINDING AN AWARD DEFICIENT UNDER 5 U.S.C. 7122(A) AND SECTION 2425.3 OF THE AUTHORITY'S RULES AND REGULATIONS. IN ITS SECOND AND THIRD EXCEPTIONS THE AGENCY CONTENDS THE ARBITRATOR DID NOT ADDRESS THE ISSUE PRESENTED TO HIM, BUT RATHER THAT HE SUBSTITUTED AND REFRAMED THE ISSUE. IN SUPPORT OF THIS CONTENTION, THE AGENCY ASSERTS THAT THE ISSUE WAS "FRAMED BY THE GRIEVANT . . . AND CONCURRED IN BY THE (AGENCY)" AND THAT THE DETERMINATION REQUESTED BY BOTH PARTIES WAS "WHETHER OR NOT THE REVISED HEW/SSA SMOKING POLICY WAS IMPLEMENTED BY SSA AT ITS HEADQUARTERS COMPLEX . . . ." ACCORDING TO THE AGENCY, THE ARBITRATOR, DESPITE THE EVIDENCE PRESENTED, "ARBITRARILY AND CAPRICIOUSLY DETERMINED OTHERWISE." THE AGENCY ARGUES THAT THE ISSUE ADDRESSED BY THE ARBITRATOR, WHETHER THE AGENCY COMPLIED WITH THE SECRETARY'S REGULATION IN THE SITUATION PRESENTED BY THE GRIEVANCE, WAS "CLEARLY CONTRARY TO THE INTENTION AND PURPOSE OF THE PARTIES." THE AUTHORITY WILL FIND AN ARBITRATION AWARD DEFICIENT UNDER SECTION 7122(A)(2) OF THE STATUTE WHEN THE ARBITRATOR HAS EXCEEDED HIS OR HER AUTHORITY. FOR EXAMPLE, THE AUTHORITY WILL FIND AN AWARD DEFICIENT WHEN THE ARBITRATOR EXCEEDS HIS OR HER AUTHORITY BY DETERMINING AN ISSUE NOT INCLUDED IN THE SUBJECT MATTER SUBMITTED TO ARBITRATION. FEDERAL AVIATION SCIENCE AND TECHNOLOGICAL ASSOCIATION, LOCAL NO. 291, FORT WORTH, TEXAS AND FEDERAL AVIATION ADMINISTRATION, FORT WORTH AIR ROUTE TRAFFIC CONTROL CENTER, AIRWAY FACILITIES SECTOR, SOUTHWEST REGION, FORT WORTH, TEXAS, 3 FLRA NO. 88(1980). IN THIS CASE, HOWEVER, THE AGENCY HAS NOT DEMONSTRATED IN WHAT MANNER THE ARBITRATOR'S AWARD IS DEFICIENT AS IN EXCESS OF HIS AUTHORITY. THUS, EVEN ASSUMING THAT THE PARTIES JOINTLY STIPULATED AND SUBMITTED TO THE ARBITRATOR THE ISSUE AS STATED BY THE AGENCY, THE AGENCY'S EXCEPTION AND SUPPORTING ASSERTIONS PROVIDE NO BASIS FOR FINDING THAT THE ARBITRATOR EXCEEDED HIS AUTHORITY BY REPHRASING THAT ISSUE. IT IS CLEAR FROM THE AWARD AND THE ENTIRE RECORD IN THIS CASE THAT THE ISSUE ADDRESSED AND RESOLVED BY THE ARBITRATOR, REGARDLESS OF HOW HE PHRASED IT IN HIS AWARD, IS THE VERY ONE PRESENTED TO HIM BY THE GRIEVANCE AND ARGUED BY THE PARTIES AT THE ARBITRATION HEARING. THEREFORE, THE AGENCY'S SECOND AND THIRD EXCEPTIONS PROVIDE NO BASIS FOR FINDING THAT THE ARBITRATOR EXCEEDED HIS AUTHORITY AND THUS FOR FINDING THE AWARD DEFICIENT UNDER 5 U.S.C. 7122(A) AND SECTION 2425.3 OF THE AUTHORITY'S RULES AND REGULATIONS. IN ITS FOURTH EXCEPTION THE AGENCY CONTENDS THE ARBITRATOR ERRONEOUSLY FOUND THAT THE REQUEST FORMS FILLED OUT BY THE GRIEVANT FOR PROHIBITING SMOKE IN THE IMMEDIATE WORK ENVIRONMENT WERE INITIATED BY THE AGENCY. THUS, THE AGENCY ARGUES, "THIS ERRONEOUS FINDING BY THE ARBITRATOR LED HIM TO INCORRECTLY CONCLUDE A NON-FACT UPON WHICH HE BASED HIS FAULTY CONCLUSION," AND THIS "FALLACIOUS AND ARBITRARY DETERMINATION . . . AFFECTED THE RATIONAL OF HIS FINDINGS . . . ." UNDER SECTION 7122(A)(2) OF THE STATUTE, THE AUTHORITY WILL FIND AN ARBITRATION AWARD DEFICIENT WHEN IT IS DEMONSTRATED THAT THE CENTRAL FACT UNDERLYING THE AWARD IS CONCEDEDLY ERRONEOUS AND IN EFFECT IS A GROSS MISTAKE OF FACT BUT FOR WHICH A DIFFERENT RESULT WOULD HAVE BEEN REACHED. UNITED STATES ARMY MISSILE MATERIEL READINESS COMMAND, 2 FLRA NO. 60(1980); AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 987 AND WARNER ROBINS AIR LOGISTICS CENTER, ROBINS AIR FORCE BASE, GEORGIA, 3 FLRA NO. 89(1980). IN THIS CASE, HOWEVER, THE AGENCY HAS NOT DEMONSTRATED THAT THE CENTRAL FACT UNDERLYING THE ARBITRATOR'S AWARD IS HIS ALLEGEDLY ERRONEOUS FINDING THAT THE REQUEST FORM FILLED OUT BY THE GRIEVANT WAS AN AGENCY FORM AND THAT BUT FOR THIS FINDING THE ARBITRATOR WOULD HAVE REACHED A DIFFERENT RESULT. THEREFORE, THE AGENCY'S FOURTH EXCEPTION PROVIDES NO BASIS FOR FINDING THE AWARD DEFICIENT UNDER 5 U.S.C. 7122(A) AND SECTION 2425.3 OF THE AUTHORITY'S RULES AND REGULATIONS. IN ITS FIFTH EXCEPTION, THE AGENCY CONTENDS THAT THE ARBITRATOR "MISCONSTRUED AND MISINTERPRETED THE HEW REGULATION AND THE SSA ADMINISTRATIVE DIRECTIVE SYSTEM AND/OR TRANSMITTAL NOTICE, GENERAL SERIES SSA-110." THE AGENCY ALSO CONTENDS THE ARBITRATOR'S FINDING THAT THE AGENCY HAD FAILED TO IMPLEMENT THE HEW REGULATION REQUIRES AN EXPANSION AND MISINTERPRETATION OF THE PHRASE "COMMON WORK AREA" AS USED IN THE REGULATION, AND THAT SUCH A FINDING COULD CONCEIVABLY PROHIBIT SMOKING IN THE ENTIRE BUILDING CONTRARY TO THE WRITTEN INTENTION OF THE SECRETARY OF HEW. FINALLY, THE AGENCY CONTENDS THAT THE ARBITRATOR VIOLATED A "GENERAL PRINCIPLE" OF ADMINISTRATIVE LAW BY NOT GIVING GREATER WEIGHT TO THE AGENCY'S INTERPRETATION OF ITS OWN REGULATIONS. IN ESSENCE, THE AGENCY'S FIFTH EXCEPTION CONTENDS THAT THE AWARD IS CONTRARY TO REGULATION. PURSUANT TO SECTION 7122(A)(1) OF THE STATUTE, THE AUTHORITY WILL FIND AN AWARD DEFICIENT IF THE AWARD IS CONTRARY TO "LAW, RULE, OR REGULATION." WITHOUT DECIDING WHETHER THE REGULATIONS CITED BY THE AGENCY IN SUPPORT OF ITS EXCEPTION CONSTITUTE A "RULE OR REGULATION" WITHIN THE MEANING OF SECTION 7122(A)(1) OF THE STATUTE, THE AUTHORITY FINDS THAT IN THIS CASE THE AGENCY HAS NOT DEMONSTRATED THAT THE AWARD IS CONTRARY TO THE REGULATIONS. THE AGENCY'S CONTENTIONS ARE FOUNDED ON THE ARBITRATOR'S ALLEGED "MISINTERPRETATION" OF THE HEW REGULATION. HOWEVER, IT IS NOTED THAT IN HIS AWARD, IN DETERMINING WHETHER THE AGENCY HAD COMPLIED WITH THE HEW REGULATION, THE ARBITRATOR SPECIFICALLY ADDRESSED WRITTEN STATEMENTS OF THE SECRETARY OF HEW REGARDING THE REGULATION AND FOUND THESE STATEMENTS TO BE "A REASONABLE INTERPRETATION OF THE REGULATION." HE ALSO FOUND THIS INTERPRETATION TO BE SUPPORTED BY THE "STATEMENTS OR ACTIONS OF OTHERS RESPONSIBLE FOR ITS IMPLEMENTATION." THUS, IT IS CLEAR THAT RATHER THAN "MISINTERPRETING" THE REGULATION, THE ARBITRATOR APPLIED WHAT HE FOUND TO BE THE SECRETARY OF HEW'S INTERPRETATION. AS TO THE AGENCY'S HYPOTHECATION THAT, CONTRARY TO THE SECRETARY OF HEW'S WRITTEN INTENTION, THE AWARD COULD RESULT IN THE PROHIBITION OF SMOKING IN THE ENTIRE BUILDING, SUCH ASSERTIONS PROVIDE NO BASIS FOR FINDING THIS AWARD, DEALING WITH THE GRIEVANT AND THE QUADRANT IN WHICH THE GRIEVANT WORKS, CONTRARY TO REGULATION. THEREFORE, THE AGENCY'S FIFTH EXCEPTION PROVIDES NO BASIS FOR FINDING THE AWARD DEFICIENT UNDER 5 U.S.C. 7122(A) AND SECTION 2425.3 OF THE AUTHORITY'S RULES AND REGULATIONS. FOR THE FOREGOING REASONS, AND PURSUANT TO SECTION 2425.4 OF THE AUTHORITY'S RULES AND REGULATIONS, WE HEREBY SUSTAIN THE ARBITRATOR'S AWARD. ISSUED, WASHINGTON, D.C., MARCH 9, 1981 RONALD W. HAUGHTON, CHAIRMAN HENRY B. FRAZIER III, MEMBER LEON B. APPLEWHAITE, MEMBER FEDERAL LABOR RELATIONS AUTHORITY --------------- FOOTNOTES$ --------------- /1/ THE DISPUTE IN THIS MATTER AROSE PRIOR TO THE REDESIGNATION OF THE DEPARTMENT OF HEALTH, EDUCATION AND WELFARE AS THE DEPARTMENT OF HEALTH AND HUMAN SERVICES. /2/ THE ARBITRATOR DID NOT SUSTAIN THAT PORTION OF THE GRIEVANCE WHICH SOUGHT "TO HAVE THE LOBBIES, RESTROOMS, CORRIDORS, CAFETERIA, AND DINING AREAS DECLARED 'NO SMOKING' AREAS." /3/ 5 U.S.C. 7122(A) PROVIDES: (A) EITHER PARTY TO ARBITRATION UNDER THIS CHAPTER MAY FILE WITH THE AUTHORITY AN EXCEPTION TO ANY ARBITRATOR'S AWARD PURSUANT TO THE ARBITRATION (OTHER THAN AN AWARD RELATING TO A MATTER DESCRIBED IN SECTION 7121(F) OF THIS TITLE). IF UPON REVIEW THE AUTHORITY FINDS THAT THE AWARD IS DEFICIENT-- (1) BECAUSE IT IS CONTRARY TO ANY LAW, RULE, OR REGULATION; OR (2) ON OTHER GROUNDS SIMILAR TO THOSE APPLIED BY FEDERAL COURTS IN PRIVATE SECTOR LABOR-MANAGEMENT RELATIONS; THE AUTHORITY MAY TAKE SUCH ACTION AND MAKE SUCH RECOMMENDATIONS CONCERNING THE AWARD AS IT CONSIDERS NECESSARY, CONSISTENT WITH APPLICABLE LAWS, RULES, OR REGULATIONS.