Social Security Administration (Agency) and American Federation of Government Employees, Local No. 1923, AFL-CIO (Union)
[ 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.