[ v05 p333 ]
05:0333(45)CA
The decision of the Authority follows:
5 FLRA No. 45 OFFICE OF PROGRAM OPERATIONS, FIELD OPERATIONS, SOCIAL SECURITY ADMINISTRATION, SAN FRANCISCO REGION Respondent and COUNCIL OF DISTRICT OFFICE LOCALS, AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, SAN FRANCISCO REGION Charging Party Case No. 9-CA-57 DECISION AND ORDER THE ADMINISTRATIVE LAW JUDGE ISSUED HIS DECISION AND ORDER IN THE ABOVE-ENTITLED PROCEEDING CONCLUDING THAT THE UNFAIR LABOR PRACTICE COMPLAINT, RELATING TO THE RESPONDENT'S ALLEGED VIOLATION OF SECTION 7116(A)(1) AND (5) OF THE STATUTE, BE DISMISSED IN ITS ENTIRETY. THE GENERAL COUNSEL AND THE CHARGING PARTY FILED EXCEPTIONS TO THE ADMINISTRATIVE LAW JUDGE'S DECISION AND ORDER. THEREFORE, PURSUANT TO SECTION 2423.29 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2423.29) AND SECTION 7118 OF THE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE (5 U.S.C. 7101-7135), THE AUTHORITY HAS REVIEWED THE RULINGS OF THE ADMINISTRATIVE LAW JUDGE MADE AT THE HEARING AND FINDS THAT NO PREJUDICIAL ERROR WAS COMMITTED. THE RULINGS ARE HEREBY AFFIRMED. UPON CONSIDERATION OF THE ADMINISTRATIVE LAW JUDGE'S DECISION AND ORDER, AND THE ENTIRE RECORD IN THE CASE, INCLUDING THE EXCEPTIONS FILED BY THE GENERAL COUNSEL AND THE CHARGING PARTY, THE AUTHORITY HEREBY ADOPTS THE ADMINISTRATIVE LAW JUDGE'S FINDINGS, CONCLUSIONS AND RECOMMENDATIONS. ORDER IT IS HEREBY ORDERED THAT THE COMPLAINT IN CASE NO. 9-CA-57 BE, AND IT HEREBY IS, DISMISSED. ISSUED, WASHINGTON, D.C., MARCH 20, 1981 RONALD W. HAUGHTON, CHAIRMAN HENRY B. FRAZIER III, MEMBER LEON B. APPLEWHAITE, MEMBER FEDERAL LABOR RELATIONS AUTHORITY -------------------- ALJ$ DECISION FOLLOWS -------------------- WILSON G. SCHUERHOLZ FOR THE RESPONDENT BARI STOLMACK, ESQ. FOR THE GENERAL COUNSEL BEFORE: RANDOLPH D. MASON ADMINISTRATIVE LAW JUDGE DECISION THESE CONSOLIDATED CASES AROSE PURSUANT TO THE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE, 92 STAT. 1191, 5 U.S.C. 7101, ET SEQ., AS A RESULT OF AN UNFAIR LABOR PRACTICE COMPLAINT FILED ON JANUARY 24, 1980, AND AN AMENDED COMPLAINT FILED ON MARCH 12, 1980, BY THE REGIONAL DIRECTOR, REGION IX, FEDERAL LABOR RELATIONS AUTHORITY, SAN FRANCISCO, CALIFORNIA, AGAINST THE OFFICE OF PROGRAM OPERATIONS, FIELD OPERATIONS, SOCIAL SECURITY ADMINISTRATION, SAN FRANCISCO REGION ("RESPONDENT"). AT THE HEARING IN THIS MATTER, THE PARTIES REACHED A SETTLEMENT IN CASE NO. 9-CA-56 AND A MOTION TO SEVER WAS GRANTED. THE ONLY REMAINING ISSUE IS WHETHER RESPONDENT VIOLATED SECTION 7116(A)(1) AND (5) OF THE STATUTE WHEN IT FAILED TO NOTIFY THE UNION OR GIVE IT AN OPPORTUNITY TO CONSULT OR BARGAIN ABOUT THE IMPACT AND IMPLEMENTATION OF A DECISION TO TEMPORARILY ASSIGN A BARGAINING UNIT EMPLOYEE TO A SUPERVISORY POSITION. RESPONDENT DENIES THAT IT HAD ANY OBLIGATION TO EITHER CONSULT OR NEGOTIATE REGARDING THIS MATTER. A HEARING WAS HELD IN THIS MATTER BEFORE THE UNDERSIGNED AT MODESTO, CALIFORNIA. ALL PARTIES WERE REPRESENTED AND AFFORDED FULL OPPORTUNITY TO BE HEARD, ADDUCE RELEVANT EVIDENCE, AND EXAMINE AND CROSS-EXAMINE WITNESSES. BOTH PARTIES FILED BRIEFS WHICH HAVE BEEN DULY CONSIDERED. BASED ON THE ENTIRE RECORD HEREIN, INCLUDING MY OBSERVATION OF THE WITNESSES AND THEIR DEMEANOR, THE EXHIBITS AND OTHER RELEVANT EVIDENCE ADDUCED AT THE HEARING, I MAKE THE FOLLOWING FINDINGS OF FACT, CONCLUSIONS OF LAW, AND RECOMMENDED ORDER: FINDINGS OF FACT AT ALL TIMES MATERIAL HERETO, THE COUNCIL OF DISTRICT OFFICE LOCALS, AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, SAN FRANCISCO REGION ("UNION"), WAS RECOGNIZED BY THE RESPONDENT AS THE EXCLUSIVE REPRESENTATIVE OF CERTAIN EMPLOYEES IN REGION IX UNDER THE JURISDICTION OF THE ASSISTANT REGIONAL COMMISSIONER, FIELD OPERATIONS, SOCIAL SECURITY ADMINISTRATION, DEPARTMENT OF HEALTH, EDUCATION AND WELFARE. SUPERVISORS WERE NOT INCLUDED IN THE BARGAINING UNIT. DURING THE PERIOD IN ISSUE, RESPONDENT'S MODESTO OFFICE HAD BETWEEN 25 AND 30 CLAIMS REPRESENTATIVES. THESE EMPLOYEES INTERVIEWED APPLICANTS FOR SOCIAL SECURITY BENEFITS, PROCESSED THEIR CLAIMS, AND HANDLED POST-ENTITLEMENT ACTIONS INVOLVING, E.G., CHANGES IN THE AMOUNT OF BENEFITS AND THE NAMES OF BENEFICIARIES. A CLAIMS REPRESENTATIVE WOULD TYPICALLY SPEND FIVE HOURS A DAY CONDUCTING INTERVIEWS. PRIOR TO FEBRUARY 14, 1979, THE MODESTO OFFICE HAD ONE INDIVIDUAL, DAVID DELO, ASSIGNED AS A FIELD REPRESENTATIVE. WITH CERTAIN EXCEPTIONS NOT RELEVANT HERETO, THE LATTER PERFORMED THE SAME FUNCTIONS IN THE FIELD (THE LOCAL COMMUNITY) THAT THE CLAIMS REPRESENTATIVES PERFORMED IN THE OFFICE. THUS IF A CLAIMANT WAS PHYSICALLY UNABLE TO COME INTO THE OFFICE, THE FIELD REPRESENTATIVE WOULD GO TO THE CLAIMANT'S HOME TO CONDUCT THE INTERVIEW. HE ALSO MET THE PUBLIC ONCE A WEEK AT A SOCIAL SECURITY "CONTACT STATION" IN A NEARBY TOWN. FOR A LONG TIME PRIOR TO, AND AFTER, FEBRUARY 14, 1979, RESPONDENT'S MODESTO OFFICE HAD AN ESTABLISHED PRACTICE FOR HANDLING DELO'S CLAIMS FUNCTIONS WHENEVER HE WAS ABSENT FROM DUTY. RESPONDENT WAS AWARE OF THE NAMES OF ALL CLAIMS REPRESENTATIVES WHO WISHED TO SUBSTITUTE FOR DELO IN HIS ABSENCE. AT ALL TIMES RELEVANT HERETO, ABOUT SIX CLAIMS REPRESENTATIVES HAD INDICATED A CONTINUING DESIRE TO PERFORM THIS FUNCTION. ON EACH DAY THAT DELO WAS ABSENT, RESPONDENT WOULD ASK A VOLUNTEER IF HE OR SHE WOULD BE INTERESTED IN SUBSTITUTING FOR DELO ON THAT DAY. THE OPPORTUNITY TO SUBSTITUTE WAS ROTATED AMONG THE SIX VOLUNTEERS. THE WORKLOAD OF THESE VOLUNTEERS DID NOT INCREASE WHILE THEY WERE SUBSTITUTING FOR DELO SINCE NO NEW WORK CAME INTO THEIR UNIT AT THE MODESTO OFFICE WHILE THEY WERE SUBSTITUTING. ALTHOUGH THE POSITION DESCRIPTION FOR ALL CLAIMS REPRESENTATIVES INCLUDES THIS KIND OF TRAVEL AND FIELD WORK, IN PRACTICE ONLY THE ABOVE VOLUNTEERS AND THE FIELD REPRESENTATIVE PERFORMED SUCH WORK. THE FIELD REPRESENTATIVE ALSO PERFORMED SOME PUBLIC RELATIONS WORK. HOWEVER, THE LATTER WORK WAS PERFORMED BY MANAGEMENT IN DELO'S ABSENCE. SINCE NOT ALL OF DELO'S WORK INVOLVED CLAIMS, IT WAS ONLY NECESSARY TO SEND A SUBSTITUTE INTO THE FIELD THREE DAYS OUT OF EACH WEEK WHEN THE FIELD REPRESENTATIVE WAS ABSENT. ALSO, THE SUBSTITUTE WOULD ONLY HAVE TO SPEND SIX HOURS IN THE FIELD. WHEN ONE OF THE VOLUNTEERS WAS SUBSTITUTING FOR DELO, THE INTERVIEWING WORK WHICH HE WOULD NORMALLY HAVE DONE IN THE MODESTO OFFICE WOULD BE PERFORMED BY THE REMAINING 25 OR 30 CLAIMS REPRESENTATIVES AND TEN SERVICE REPRESENTATIVES. ALSO, AT ANY TIME WHEN THE INTERVIEWING WORKLOAD BECAME HEAVY, THE SUPERVISORS WOULD CONDUCT INTERVIEWS WITH APPLICANTS FOR BENEFITS. ON OR ABOUT FEBRUARY 14, 1979, RESPONDENT ASSIGNED DELO TO THE POSITION OF ACTING OPERATIONS SUPERVISOR WITHOUT FIRST NOTIFYING THE UNION OR GIVING IT AN OPPORTUNITY TO CONSULT OR NEGOTIATE ABOUT THE IMPACT OR IMPLEMENTATION OF THAT ASSIGNMENT. WHEN DELO WAS SELECTED FOR THIS DETAIL IT WAS ANTICIPATED THAT HE WOULD BE ACTING FOR ABOUT THREE OR FOUR MONTHS. THUS THE PROMOTION WAS TEMPORARY. SOME OF THE UNIT EMPLOYEES WERE DISSATISFIED BECAUSE THEY WERE NOT GIVEN AN OPPORTUNITY TO COMPETE FOR THE SUPERVISORY POSITION. EVEN THOUGH IT WAS ONLY A TEMPORARY ASSIGNMENT, THEY FELT THAT IT WOULD HAVE ENHANCED THEIR OPPORTUNITIES TO RECEIVE A PERMANENT PROMOTION AT A LATER TIME. CONCLUSIONS OF LAW THE FIRST ISSUE FOR CONSIDERATION IS WHETHER THE RESPONDENT VIOLATED SECTION 7116(A)(5) AND (1) OF THE STATUTE BY REFUSING TO NOTIFY THE UNION OR GIVE IT AN OPPORTUNITY TO NEGOTIATE ABOUT THE PROCEDURES OBSERVED BY RESPONDENT IN MAKING ITS DECISION TO TEMPORARILY ASSIGN DAVID DELO TO THE POSITION OF ACTING OPERATIONS SUPERVISOR. THE GENERAL COUNSEL RELIES UPON SECTION 7106(B)(2). THE RESPONDENT ASSERTS THAT THIS MATTER IS OUTSIDE MANAGEMENT'S OBLIGATION TO BARGAIN UNDER SECTION 7117 OF THE STATUTE BECAUSE IT RELATES TO THE METHOD THAT MANAGEMENT WILL USE IN FILLING A SUPERVISORY, NON-BARGAINING UNIT POSITION. RESPONDENT'S POSITION MUST BE UPHELD IN VIEW OF THE AUTHORITY'S DECISION IN NATIONAL COUNCIL OF FIELD LABOR LOCALS, AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO AND U.S. DEPARTMENT OF LABOR, WASHINGTON, D.C., 3 FLRA NO. 44 (1980). THERE IT WAS EMPHASIZED THAT THE EXCLUSIVE REPRESENTATIVE'S OBLIGATION AND CORRELATIVE RIGHTS EXTEND ONLY TO EMPLOYEES IN THE BARGAINING UNIT AND THAT THE PROCEDURES FOR FILLING SUPERVISORY POSITIONS DO NOT DIRECTLY RELATE TO CONDITIONS OF EMPLOYMENT OF UNIT EMPLOYEES. THE NEXT ISSUE IS WHETHER RESPONDENT SHOULD HAVE GIVEN THE UNION NOTICE AND AN OPPORTUNITY TO BARGAIN, PURSUANT TO SECTION 7106(B)(3), ABOUT "APPROPRIATE ARRANGEMENTS FOR EMPLOYEES ADVERSELY AFFECTED" BY RESPONDENT'S COUNSEL HAS THE BURDEN OF PROVING THAT BARGAINING UNIT EMPLOYEES WERE, IN FACT, "ADVERSELY AFFECTED" AND THAT THE IMPACT WAS SUBSTANTIAL BEFORE AN UNFAIR LABOR PRACTICE CAN BE FOUND WHERE THE OBLIGATION TO BARGAIN IS BASED ON SECTION 7106(B)(3). A SUBSTANTIAL IMPACT RULE EXISTED UNDER EXECUTIVE ORDER 11491. SOCIAL SECURITY ADMINISTRATION, BUREAU OF HEARINGS AND APPEALS AND AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, LOCAL 3615, 2 FLRA NO. 27, (1979) REPORT NO. 23; DEPARTMENT OF DEFENSE, AIR NATIONAL GUARD, TEXAS AIR NATIONAL GUARD, CAMP MABRY, AUSTIN TEXAS, 6 A/SLMR 591, A/SLMR NO. 738 (1976). IN THE LATTER CASE THE ASSISTANT SECRETARY STATED THE FOLLOWING ABOUT SECTION 11(A) OF THE EXECUTIVE ORDER: IN MY VIEW, IT IS NOT INTENDED TO EMBRACE EVERY ISSUE WHICH IS OF INTEREST TO AGENCIES AND EXCLUSIVE REPRESENTATIVES AND WHICH INDIRECTLY MAY AFFECT EMPLOYEES. RATHER, SECTION 11(A) ENCOMPASSES THOSE MATTERS WHICH MATERIALLY AFFECT, AND HAVE A SUBSTANTIAL IMPACT ON, PERSONNEL POLICIES, PRACTICES, AND GENERAL WORKING CONDITIONS. (ID. AT 591) IN APPLYING THE ABOVE RULE TO THE STATUTE, I AM MINDFUL OF THE LEGISLATIVE HISTORY INDICATING THAT SECTION 7106 SHOULD BE READ TO FAVOR COLLECTIVE BARGAINING WHENEVER THERE IS DOUBT AS TO THE NEGOTIABILITY OF A SUBJECT. H.R. REP. NO. 95-1403, 95TH CONG., 2D SESS. 43-44 (1978). HOWEVER, THERE SHOULD BE NO DOUBT THAT MANAGEMENT SHOULD NOT BE COMPELLED TO NEGOTIATE WHERE THE EXERCISE OF ITS RIGHTS RESULTS IN AN INSUBSTANTIAL IMPACT ON BARGAINING UNIT EMPLOYEES. /1/ TO REACH A CONTRARY RESULT WOULD REQUIRE MANAGEMENT TO NEGOTIATE ON THE IMPACT OF DECISIONS WHERE THE EFFECT ON UNIT EMPLOYEES IS REMOTE OR INSIGNIFICANT. IN APPLYING THE ABOVE PRINCIPLES TO THE INSTANT CASE, I HAVE CONCLUDED THAT RESPONDENT HAD NO OBLIGATION TO BARGAIN OR CONSULT REGARDING THE IMPACT OF ITS DECISION TO TEMPORARILY ASSIGN DAVID DELO, THE SOLE FIELD REPRESENTATIVE, INDIRECT EFFECT OF SETTING INTO MOTION AN ESTABLISHED PAST PRACTICE-- WHENEVER DELO WAS ABSENT, RESPONDENT WOULD ASK FOR VOLUNTEERS FROM THE GROUP OF CLAIMS REPRESENTATIVES TO TAKE OVER DELO'S CLAIMS FUNCTIONS IN THE FIELD. OVER A PERIOD OF TIME ABOUT SIX CLAIMS REPRESENTATIVES HAD VOLUNTEERED, AND IT APPEARS THAT ALL WERE GIVEN EQUAL OPPORTUNITIES TO FILL IN FOR DELO. ONLY ONE VOLUNTEER WOULD LEAVE THE OFFICE ON ANY PARTICULAR DAY AND THE PROCEDURE WAS IN EFFECT ONLY THREE ON EACH OF THESE DAYS. WITH REGARD TO THE VOLUNTEERS, THERE IS NO EVIDENCE THAT THEY WERE IN ANY WAY "ADVERSELY AFFECTED" AS REQUIRED BY SECTION 7106(B)(3) OF THE STATUTE. RESPONDENT HAD ALWAYS GIVEN ANYONE WHO ENJOYED GETTING OUT OF THE OFFICE IN DELO'S ABSENCE AN OPPORTUNITY TO DO SO. WHEN THEY FILLED IN FOR DELO THEY WERE PERFORMING ESSENTIALLY THE SAME JOB IN THE FIELD AS THEY HAD PERFORMED IN THE OFFICE EXCEPT THAT THEY HAD AN OPPORTUNITY TO GET OUT OF THE OFFICE FOR SIX HOURS. THEIR WORKLOAD WAS NOT INCREASED. DELO'S THREE OR FOUR MONTH ABSENCE MERELY MEANT THAT EACH OF THE VOLUNTEERS WOULD GET A FEW MORE OPPORTUNITIES TO TRAVEL THAN USUAL DUE TO THE EXTENDED PERIOD; HOWEVER, NO ONE CONTENDS THAT THIS CONSTITUTED AN ADVERSE EFFECT. MOREOVER, THEIR WORKING CONDITIONS WERE NOT CHANGED. I TURN NOW TO THE GENERAL COUNSEL'S PRIMARY CONTENTION THAT THE REMAINING CLAIMS REPRESENTATIVES WERE ADVERSELY AFFECTED. IT IS TRUE THAT WHEN ONE CLAIMS REPRESENTATIVE WAS FILLING IN FOR DELO THE MODESTO OFFICE WOULD BE SHORT ONE PERSON. ASSUMING, FOR THE SAKE OF ARGUMENT, THAT THE NUMBER OF SOCIAL SECURITY APPLICANTS REQUESTING INTERVIEWS REMAINED CONSTANT, THE NUMBER OF INTERVIEWS TO BE CONDUCTED BY THE REMAINING 25 OR 30 CLAIMS REPRESENTATIVES COULD HAVE INCREASED SLIGHTLY. HOWEVER, THIS ADDITIONAL "BURDEN" WAS ALSO SHARED BY AN ADDITIONAL TEN SERVICE REPRESENTATIVES; IN ADDITION, WHENEVER THE INTERVIEWING WORKLOAD BECAME HEAVY, THE SUPERVISORS WOULD ALSO CONDUCT INTERVIEWS. THUS ANY ADDITIONAL WORKLOAD DUE TO A MISSING CLAIMS REPRESENTATIVE WOULD HAVE BEEN WIDELY DIFFUSED AND THE IMPACT UPON THE REMAINING CLAIMS REPRESENTATIVES WOULD HAVE BEEN INSUBSTANTIAL. THE GENERAL COUNSEL ALSO ARGUES THAT THE DECISION TO ASSIGN DELO TO THE ACTING SUPERVISORY POSITION LOWERED THE MORALE OF SOME UNIT EMPLOYEES BECAUSE THEY WERE NOT GIVEN AN OPPORTUNITY TO COMPETE FOR THE POSITION. HOWEVER, AS PREVIOUSLY STATED, MANAGEMENT HAS NO OBLIGATION TO BARGAIN ABOUT THE METHOD IT WILL USE IN FILLING SUPERVISORY, NON-BARGAINING UNIT POSITIONS. NATIONAL COUNCIL OF FIELD LABOR LOCALS, AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO AND U.S. DEPARTMENT OF LABOR, WASHINGTON, D.C., 3 FLRA NO. 44 (1980). ALTHOUGH SOME OF THE EMPLOYEES MAY HAVE BEEN DISPLEASED, RESPONDENT'S ACTION HAD NO DIRECT EFFECT ON THE UNIT EMPLOYEES WHO WERE NOT CHOSEN. SINCE NO VIOLATION OF SECTION 7116(A)(5) AND (1) OF THE STATUTE HAS BEEN SHOWN, /2/ I RECOMMEND THAT THE AUTHORITY ADOPT THE FOLLOWING ORDER: ORDER IT IS HEREBY ORDERED THAT THE COMPLAINT IN CASE NO. 9-CA-57 BE, AND IT HEREBY IS, DISMISSED. RANDOLPH D. MASON ADMINISTRATIVE LAW JUDGE DATED: AUGUST 12, 1980 WASHINGTON, D.C. --------------- FOOTNOTES$ --------------- /1/ AFTER THE ENACTMENT OF THE STATUTE, CONGRESSMAN FORD STATED THAT "WHERE THE ADVERSE EFFECTS ARE 'DE MINIMUS,' NEGOTIATIONS WILL OCCUR, BUT. . . BOTH PARTIES WILL SEE THAT THEY PROCEED WITH APPROPRIATE DISPATCH." 124 CONG. REC. H 13607 (DAILY ED. OCT. 14, 1978). POST-ENACTMENT STATEMENTS DO NOT CONSTITUTE EVIDENCE OF CONGRESSIONAL INTENT. FURTHERMORE, THE CONGRESSMAN MAY HAVE BEEN REFERRING TO SITUATIONS INVOLVING SUBSTANTIAL ADVERSE EFFECTS WHICH ARE MERELY TRANSITORY IN NATURE; THUS THE STATEMENT DOES NOT NECESSARILY CONTRADICT THE CONCLUSION REACHED HEREIN. /2/ IN VIEW OF THE CONCLUSIONS REACHED HEREIN, I NEED NOT DECIDE WHETHER THE UNION WAIVED ITS RIGHT TO NEGOTIATE AND RETAINED ONLY THE LIMITED RIGHT TO "CONSULT."