Notes on 5 U.S.C. § 7101 : US Code - Notes
Search Notes on 5 U.S.C. § 7101 : US Code - Notes
(Added Pub. L. 95-454, title VII, Sec. 701, Oct. 13, 1978, 92 Stat.
1192.)
PRIOR PROVISIONS
A prior section 7101, Pub. L. 89-554, Sept. 6, 1966, 80 Stat.
523; Pub. L. 91-375, Sec. 6(c)(19), Aug. 12, 1970, 84 Stat. 776,
related to right of postal employees to organize, prior to the
general amendment of this chapter by Pub. L. 94-454.
EFFECTIVE DATE
Chapter effective 90 days after Oct. 13, 1978, see section 907 of
Pub. L. 95-454, set out as an Effective Date of 1978 Amendment note
under section 1101 of this title.
EMPLOYEE SURVEYS
Pub. L. 108-136, div. A, title XI, Sec. 1128, Nov. 24, 2003, 117
Stat. 1641, provided that:
"(a) In General. - Each agency shall conduct an annual survey of
its employees (including survey questions unique to the agency and
questions prescribed under subsection (b)) to assess -
"(1) leadership and management practices that contribute to
agency performance; and
"(2) employee satisfaction with -
"(A) leadership policies and practices;
"(B) work environment;
"(C) rewards and recognition for professional accomplishment
and personal contributions to achieving organizational mission;
"(D) opportunity for professional development and growth; and
"(E) opportunity to contribute to achieving organizational
mission.
"(b) Regulations. - The Office of Personnel Management shall
issue regulations prescribing survey questions that should appear
on all agency surveys under subsection (a) in order to allow a
comparison across agencies.
"(c) Availability of Results. - The results of the agency surveys
under subsection (a) shall be made available to the public and
posted on the website of the agency involved, unless the head of
such agency determines that doing so would jeopardize or negatively
impact national security.
"(d) Agency defined. - For purposes of this section, the term
'agency' means an Executive agency (as defined by section 105 of
title 5, United States Code)."
EXECUTIVE ORDER NO. 10988
Ex. Ord. No. 10988, Jan. 17, 1962, 27 F.R. 551, which related to
employee-management cooperation in the Federal service, was revoked
by Ex. Ord. No. 11491, Oct. 29, 1969, 34 F.R. 17605, set out below.
EX. ORD. NO. 11491. LABOR-MANAGEMENT RELATIONS IN THE FEDERAL
SERVICE
Ex. Ord. No. 11491, Oct. 29, 1969, 34 F.R. 17605, as amended by
Ex. Ord. No. 11616, Aug. 26, 1971, 36 F.R. 17319; Ex. Ord. No.
11636, Dec. 17, 1971, 36 F.R. 24901; Ex. Ord. No. 11838, Feb. 6,
1975, 40 F.R. 5743; Ex. Ord. No. 11901, Jan. 30, 1976, 41 F.R.
4807; Ex. Ord. No. 12027, Dec. 5, 1977, 42 F.R. 61851; Ex. Ord. No.
12107, Dec. 28, 1978, 44 F.R. 1055, provided:
WHEREAS the public interest requires high standards of employee
performance and the continual development and implementation of
modern and progressive work practices to facilitate improved
employee performance and efficiency; and
WHEREAS the well-being of employees and efficient administration
of the Government are benefited by providing employees an
opportunity to participate in the formulation and implementation of
personnel policies and practices affecting the conditions of their
employment; and
WHEREAS the participation of employees should be improved through
the maintenance of constructive and cooperative relationships
between labor organizations and management officials; and
WHEREAS subject to law and the paramount requirements of public
service, effective labor-management relations within the Federal
service require a clear statement of the respective rights and
obligations of labor organizations and agency management:
NOW, THEREFORE, by virtue of the authority vested in me by the
Constitution and statutes of the United States, including sections
3301 and 7301 of title 5 of the United States Code and as President
of the United States, I hereby direct that the following policies
shall govern officers and agencies of the executive branch of the
Government in all dealings with Federal employees and organizations
representing such employees.
GENERAL PROVISIONS
Section 1. Policy. (a) Each employee of the executive branch of
the Federal Government has the right, freely and without fear of
penalty or reprisal, to form, join, and assist a labor organization
or to refrain from any such activity, and each employee shall be
protected in the exercise of this right. Except as otherwise
expressly provided in this Order, the right to assist a labor
organization extends to participation in the management of the
organization and acting for the organization in the capacity of an
organization representative, including presentation of its views to
officials of the executive branch, the Congress, or other
appropriate authority. The head of each agency shall take the
action required to assure that employees in the agency are apprised
of their rights under this section and that no interference,
restraint, coercion, or discrimination is practiced within his
agency to encourage or discourage membership in a labor
organization.
(b) Paragraph (a) of this section does not authorize
participation in the management of a labor organization or acting
as a representative of such an organization by a supervisor, except
as provided in section 24 of this Order, or by an employee when the
participation or activity would result in a conflict or apparent
conflict of interest or otherwise be incompatible with law or with
the official duties of the employee.
Sec. 2. Definitions. When used in this Order, the term -
(a) "Agency" means an executive department, a Government
corporation, and an independent establishment as defined in section
104 of title 5, United States Code, except the General Accounting
Office [now Government Accountability Office];
(b) "Employee" means an employee of an agency and an employee of
a nonappropriated fund instrumentality of the United States but
does not include, for the purpose of exclusive recognition or
national consultation rights, a supervisor, except as provided in
section 24 of this Order;
(c) "Supervisor" means an employee having authority, in the
interest of an agency, to hire, transfer, suspend, lay off, recall,
promote, discharge, assign, reward, or discipline other employees,
or responsibly to direct them, or to adjust their grievances, or
effectively to recommend such action, if in connection with the
foregoing the exercise of authority is not of a merely routine or
clerical nature, but requires the use of independent judgment;
(d) [Revoked by Ex. Ord. No. 11838, Feb. 6, 1975, 40 F.R. 5743.]
(e) "Labor organization" means a lawful organization of any kind
in which employees participate and which exists for the purpose, in
whole or in part, of dealing with agencies concerning grievances,
personnel policies and practices, or other matters affecting the
working conditions of their employees; but does not include an
organization which -
(1) consists of management officials or supervisors, except as
provided in section 24 of this Order;
(2) assists or participates in a strike against the Government of
the United States or any agency thereof, or imposes a duty or
obligation to conduct, assist, or participate in such a strike;
(3) advocates the overthrow of the constitutional form of
government in the United States; or
(4) discriminates with regard to the terms or conditions of
membership because of race, color, creed, sex, age, or national
origin;
(f) "Agency management" means the agency head and all management
officials, supervisors, and other representatives of management
having authority to act for the agency on any matters relating to
the implementation of the agency labor-management relations program
established under this Order;
(g) "Authority" means the Federal Labor Relations Authority;
(h) "Panel" means the Federal Service Impasses Panel;
(i) "Assistant Secretary" means the Assistant Secretary of Labor
for Labor Management Relations; and
(j) "General Counsel" means the General Counsel of the Authority.
Sec. 3. Application. (a) This Order applies to all employees and
agencies in the executive branch, except as provided in paragraphs
(b), (c) and (d) of this section.
(b) This Order (except section 22) does not apply to -
(1) the Federal Bureau of Investigation;
(2) the Central Intelligence Agency;
(3) any other agency, or office, bureau, or entity within an
agency, which has as a primary function intelligence,
investigative, or security work, when the head of the agency
determines, in his sole judgment, that the Order cannot be applied
in a manner consistent with national security requirements and
considerations; or
(4) any office, bureau or entity, within an agency which has as a
primary function investigation or audit of the conduct or work of
officials or employees of the agency for the purpose of ensuring
honesty and integrity in the discharge of their official duties,
when the head of the agency determines, in his sole judgment, that
the Order cannot be applied in a manner consistent with the
internal security of the agency.
(5) The Foreign Service of the United States: Department of
State, United States Information Agency and Agency for
International Development and its successor agency or agencies.
(6) The Tennessee Valley Authority; or
(7) Personnel of the Federal Labor Relations Authority (including
the Office of the General Counsel and the Federal Service Impasses
Panel).
(c) The head of an agency may, in his sole judgment, suspend any
provision of this Order (except section 22) with respect to any
agency installation or activity located outside the United States,
when he determines that this is necessary in the national interest,
subject to the conditions he prescribes.
(d) Employees engaged in administering a labor-management
relations law or this Order who are otherwise authorized by this
Order to be represented by a labor organization shall not be
represented by a labor organization which also represents other
groups of employees under the law or this Order, or which is
affiliated directly or indirectly with an organization which
represents such a group of employees.
ADMINISTRATION
Sec. 4. Powers and Duties of the Federal Labor Relations
Authority.
(a) [Revoked].
(b) The Authority shall administer and interpret this Order,
decide major policy issues, and prescribe regulations.
(c) The Authority shall, subject to its regulations:
(1) decide questions as to the appropriate unit for the purpose
of exclusive recognition and related issues submitted for its
considerations;
(2) supervise elections to determine whether a labor organization
is the choice of a majority of the employees in an appropriate unit
as their exclusive representative, and certify the results;
(3) decide questions as to the eligibility of labor organizations
for national consultation rights;
(4) decide unfair labor practice complaints; and
(5) decide questions as to whether a grievance is subject to a
negotiated grievance procedure or subject to arbitration under an
agreement as provided in Section 13(d) of this Order.
(d) The Authority may consider, subject to its regulations:
(1) appeals on negotiability issues as provided in Section 11(c)
of this Order;
(2) exceptions to arbitration awards;
(3) appeals from decisions of the Assistant Secretary of Labor
for Labor-Management Relations issued pursuant to Section 6(b) of
this Order; and
(4) other matters it deems appropriate to assure the effectuation
of the purposes of this Order.
(e) In any matters arising under subsection (c) and (d)(3) of
this Section, the Authority may require an agency or a labor
organization to cease and desist from violations of this Order and
require it to take such affirmative action as the Authority
considers appropriate to effectuate the policies of this Order.
(f) In performing the duties imposed on it by this Section, the
Authority may request and use the services and assistance of
employees of other agencies in accordance with Section 1 of the Act
of March 4, 1915 (38 Stat. 1084, as amended; 31 U.S.C. 686) [31
U.S.C. 1535].
Sec. 5. Powers and Duties of the Federal Service Impasses Panel.
(a) There is hereby established the Federal Service Impasses Panel
as a distinct organizational entity within the Authority. The Panel
consists of at least three members appointed by the President, one
of whom he designates as chairman. The Authority shall provide the
services and staff assistance needed by the Panel.
(b) The Panel may consider negotiation impasses as provided in
section 17 of this Order and may take any action it considers
necessary to settle an impasse.
(c) The Panel shall prescribe regulations needed to administer
its function under this Order.
Sec. 6. Powers and Duties of the Office of the General Counsel
and the Assistant Secretary of Labor for Labor-Management
Relations.
(a) The General Counsel is authorized, upon direction by the
Authority, to:
(1) investigate complaints of violations of Section 19 of this
Order;
(2) make final decisions as to whether to issue unfair labor
practice complaints and prosecute such complaints before the
Authority;
(3) direct and supervise all employees in the Office of General
Counsel, including employees of the General Counsel in the regional
office of the Authority;
(4) perform such other duties as the Authority may prescribe; and
(5) prescribe regulations needed to administer his functions
under this Order.
(b) The Assistant Secretary shall:
(1) decide alleged violations of the standards of conduct for
labor organizations, established in Section 18 of this Order; and
(2) prescribe regulations needed to administer his functions
under this Order.
(c) In any matter arising under paragraph (b) of this Section,
the Assistant Secretary may require a labor organization to cease
and desist from violations of this Order and require it to take
such affirmative action as he considers appropriate to effectuate
the policies of this Order.
(d) In performing the duties imposed on them by this Section, the
General Counsel and the Assistant Secretary may request and use the
services and assistance of employees of other agencies in
accordance with Section 1 of the Act of March 4, 1915 (38 Stat.
1084, as amended; 31 U.S.C. 686) [31 U.S.C. 1535].
RECOGNITION
Sec. 7. Recognition in general. (a) An agency shall accord
exclusive recognition or national consultation rights at the
request of a labor organization which meets the requirements for
the recognition or consultation rights under this Order.
(b) A labor organization seeking recognition shall submit to the
agency a roster of its officers and representatives, a copy of its
constitution and by-laws, and a statement of its objectives.
(c) When recognition of a labor organization has been accorded,
the recognition continues as long as the organization continues to
meet the requirements of this Order applicable to that recognition,
except that this section does not require an election to determine
whether an organization should become, or continue to be recognized
as, exclusive representative of the employees in any unit or
subdivision thereof within 12 months after a prior valid election
with respect to such unit.
(d) Recognition of a labor organization does not -
(1) preclude an employee, regardless of whether he is in a unit
of exclusive recognition, from exercising grievance or appellate
rights established by law or regulation, or from choosing his own
representative in a grievance or appellate action, except when the
grievance is covered under a negotiated procedure as provided in
section 13;
(2) preclude or restrict consultations and dealings between an
agency and a veterans organization with respect to matters of
particular interest to employees with veterans preference; or
(3) preclude an agency from consulting or dealing with a
religious, social, fraternal, professional or other lawful
association, not qualified as a labor organization, with respect to
matters or policies which involve individual members of the
association or are of particular applicability to it or its
members. Consultations and dealings under subparagraph (3) of this
paragraph shall be so limited that they do not assume the character
of formal consultation on matters of general employee-management
policy covering employees in that unit or extend to areas where
recognition of the interests of one employee group may result in
discrimination against or injury to the interests of other
employees.
(e) [Revoked by Ex. Ord. No. 11838, Feb. 6, 1975, 40 F.R. 5743.]
(f) Informal recognition or formal recognition shall not be
accorded.
Sec. 8. [Revoked by Ex. Ord. No. 11616, Aug. 26, 1971, 36 F.R.
17319.]
Sec. 9. National consultation rights. (a) An agency shall accord
national consultation rights to a labor organization which
qualifies under criteria established by the Federal Labor Relations
Authority as the representative of a substantial number of
employees of the agency. National consultation rights shall not be
accorded for any unit where a labor organization already holds
exclusive recognition at the national level for that unit. The
granting of national consultation rights does not preclude an
agency from appropriate dealings at the national level with other
organizations on matters affecting their members. An agency shall
terminate national consultation rights when the labor organization
ceases to qualify under the established criteria.
(b) When a labor organization has been accorded national
consultation rights, the agency, through appropriate officials,
shall notify representatives of the organization of proposed
substantive changes in personnel policies that affect employees it
represents and provide an opportunity for the organization to
comment on the proposed changes. The labor organization may suggest
changes in the agency's personnel policies and have its views
carefully considered. It may consult in person at reasonable times,
on request, with appropriate officials on personnel policy matters,
and at all times present its views thereon in writing. An agency is
not required to consult with a labor organization on any matter on
which it would not be required to meet and confer if the
organization were entitled to exclusive recognition.
(c) Questions as to the eligibility of labor organizations for
national consultation rights may be referred to the Authority for
decision.
Sec. 10. Exclusive recognition. (a) An agency shall accord
exclusive recognition to a labor organization when the organization
has been selected, in a secret ballot election, by a majority of
the employees in an appropriate unit as their representative;
provided that this section shall not preclude an agency from
according exclusive recognition to a labor organization, without an
election, where the appropriate unit is established through the
consolidation of existing exclusively recognized units represented
by that organization.
(b) A unit may be established on a plant or installation, craft,
functional, or other basis which will ensure a clear and
identifiable community of interest among the employees concerned
and will promote effective dealings and efficiency of agency
operations. A unit shall not be established solely on the basis of
the extent to which employees in the proposed unit have organized,
nor shall a unit be established if it includes -
(1) any management official or supervisor, except as provided in
section 24;
(2) an employee engaged in Federal personnel work in other than a
purely clerical capacity; or
(3) [Revoked by Ex. Ord. No. 11838, Feb. 6, 1975, 40 F.R. 5743.]
(4) both professional and nonprofessional employees, unless a
majority of the professional employees vote for inclusion in the
unit. Questions as to the appropriate unit and related issues may
be referred to the Authority for decision.
(c) [Revoked by Ex. Ord. No. 11838, Feb. 6, 1975, 40 F.R. 5743.]
(d) All elections shall be conducted under the supervision of the
Authority, or persons designated by it, and shall be by secret
ballot. Each employee eligible to vote shall be provided the
opportunity to choose the labor organization he wishes to represent
him, from among those on the ballot, or "no union", except as
provided in subparagraph (4) of this paragraph. Elections may be
held to determine whether -
(1) a labor organization should be recognized as the exclusive
representative of employees in a unit;
(2) a labor organization should replace another labor
organization as the exclusive representative;
(3) a labor organization should cease to be the exclusive
representative; or
(4) a labor organization should be recognized as the exclusive
representative of employees in a unit composed of employees in
units currently represented by that labor organization or continue
to be recognized in the existing separate units.
(e) When a labor organization has been accorded exclusive
recognition, it is the exclusive representative of employees in the
unit and is entitled to act for and to negotiate agreements
covering all employees in the unit. It is responsible for
representing the interests of all employees in the unit without
discrimination and without regard to labor organization membership.
The labor organization shall be given the opportunity to be
represented at formal discussions between management and employees
or employee representatives concerning grievances, personnel
policies and practices, or other matters affecting general working
conditions of employees in the unit.
AGREEMENTS
Sec. 11. Negotiation of agreements. (a) An agency and a labor
organization that has been accorded exclusive recognition, through
appropriate representatives, shall meet at reasonable times and
confer in good faith with respect to personnel policies and
practices and matters affecting working conditions, so far as may
be appropriate under applicable laws and regulations, including
policies set forth in the Federal Personnel Manual; published
agency policies and regulations for which a compelling need exists
under criteria established by the Federal Labor Relations Authority
and which are issued at the agency headquarters level or at the
level of a primary national subdivision; a national or other
controlling agreement at a higher level in the agency; and this
order. They may negotiate an agreement, or any question arising
thereunder; determine appropriate techniques, consistent with
section 17 of this order, to assist in such negotiation; and
execute a written agreement or memorandum of understanding.
(b) In prescribing regulations relating to personnel policies and
practices and working conditions, an agency shall have due regard
for the obligation imposed by paragraph (a) of this section.
However, the obligation to meet and confer does not include matters
with respect to the mission of an agency; its budget; its
organization; the number of employees; and the numbers, types, and
grades of positions or employees assigned to an organizational
unit, work project or tour of duty; the technology of performing
its work; or its internal security practices. This does not
preclude the parties from negotiating agreements providing
appropriate arrangements for employees adversely affected by the
impact of realignment of work forces or technological change.
(c) If, in connection with negotiations, an issue develops as to
whether a proposal is contrary to law, regulation, controlling
agreement, or this order and therefore not negotiable, it shall be
resolved as follows:
(1) An issue which involves interpretation of a controlling
agreement at a higher agency level is resolved under the procedures
of the controlling agreement, or, if none, under agency
regulations;
(2) An issue other than as described in subparagraph (1) of this
paragraph which arises at a local level may be referred by either
party to the head of the agency for determination;
(3) An agency head's determination as to the interpretation of
the agency's regulations with respect to a proposal is final;
(4) A labor organization may appeal to the Authority for a
decision when -
(i) it disagrees with an agency head's determination that a
proposal would violate applicable law, regulation of appropriate
authority outside the agency, or this order, or
(ii) it believes that an agency's regulations, as interpreted by
the agency head, violate applicable law, regulation of appropriate
authority outside the agency, or this order, or are not otherwise
applicable to bar negotiations under paragraph (a) of this section.
(d) [Revoked by Ex. Ord. No. 12107, Dec. 28, 1978, 44 F.R. 1055.]
Sec. 12. Basic provisions of agreements. Each agreement between
an agency and a labor organization is subject to the following
requirements -
(a) in the administration of all matters covered by the
agreement, officials and employees are governed by existing or
future laws and the regulations of appropriate authorities,
including policies set forth in the Federal Personnel Manual; by
published agency policies and regulations in existence at the time
the agreement was approved; and by subsequently published agency
policies and regulations required by law or by the regulations of
appropriate authorities, or authorized by the terms of a
controlling agreement at a higher agency level;
(b) management officials of the agency retain the right, in
accordance with applicable laws and regulations -
(1) to direct employees of the agency;
(2) to hire, promote, transfer, assign, and retain employees in
positions within the agency, and to suspend, demote, discharge, or
take other disciplinary action against employees;
(3) to relieve employees from duties because of lack of work or
for other legitimate reasons;
(4) to maintain the efficiency of the Government operations
entrusted to them;
(5) to determine the methods, means, and personnel by which such
operations are to be conducted; and
(6) to take whatever actions may be necessary to carry out the
mission of the agency in situations of emergency; and
(c) nothing in the agreement shall require an employee to become
or to remain a member of a labor organization, or to pay money to
the organization except pursuant to a voluntary written
authorization by a member for the payment of dues through payroll
deductions. The requirements of this section shall be expressly
stated in the initial or basic agreement and apply to all
supplemental, implementing, subsidiary, or informal agreements
between the agency and the organization.
Sec. 13. Grievance and arbitration procedures. (a) An agreement
between an agency and a labor organization shall provide a
procedure, applicable only to the unit, for the consideration of
grievances. The coverage and scope of the procedure shall be
negotiated by the parties to the agreement with the exception that
it may not cover matters for which a statutory appeal procedure
exists and so long as it does not otherwise conflict with statute
or this order. It shall be the exclusive procedure available to the
parties and the employees in the unit for resolving grievances
which fall within its coverage. However, any employee or group of
employees in the unit may present such grievances to the agency and
have them adjusted, without the intervention of the exclusive
representative, as long as the adjustment is not inconsistent with
the terms of the agreement and the exclusive representative has
been given opportunity to be present at the adjustment.
(b) A negotiated procedure may provide for arbitration of
grievances. Arbitration may be invoked only by the agency or the
exclusive representative. Either party may file exceptions to an
arbitrator's award with the Authority, under regulations prescribed
by the Authority.
(c) [Revoked.]
(d) Questions that cannot be resolved by the parties as to
whether or not a grievance is on a matter for which a statutory
appeal procedure exists, shall be referred to the Authority for
decision. Other questions as to whether or not a grievance is on a
matter subject to the grievance procedure in an existing agreement,
or is subject to arbitration under that agreement, may by agreement
of the parties be submitted to arbitration or may be referred to
the Authority for decision.
(e) [Revoked.]
Sec. 14. [Revoked by Ex. Ord. No. 11616, Aug. 26, 1971, 36 F.R.
17319.]
Sec. 15. Approval of agreements. An agreement with a labor
organization as the exclusive representative of employees in a unit
is subject to the approval of the head of the agency or an official
designated by him. An agreement shall be approved within forty-five
days from the date of its execution if it conforms to applicable
laws, the order, existing published agency policies and regulations
(unless the agency has granted an exception to a policy or
regulation) and regulations of other appropriate authorities. An
agreement which has not been approved or disapproved within forty-
five days from the date of its execution shall go into effect
without the required approval of the agency head and shall be
binding on the parties subject to the provisions of law, the order
and the regulations of appropriate authorities outside the agency.
A local agreement subject to a national or other controlling
agreement at a higher level shall be approved under the procedures
of the controlling agreement, or, if none, under agency
regulations.
NEGOTIATION DISPUTES AND IMPASSES
Sec. 16. Negotiation disputes. The Federal Mediation and
Conciliation Service shall provide services and assistance to
Federal agencies and labor organizations in the resolution of
negotiation disputes. The Service shall determine under what
circumstances and in what manner it shall proffer its services.
Sec. 17. Negotiation impasses. When voluntary arrangements,
including the services of the Federal Mediation and Conciliation
Service or other third-party mediation, fail to resolve a
negotiation impasse, either party may request the Federal Service
Impasses Panel to consider the matter. The Panel, in its discretion
and under the regulations it prescribes, may consider the matter
and may recommend procedures to the parties for the resolution of
the impasse or may settle the impasse by appropriate action.
Arbitration or third-party fact finding with recommendations to
assist in the resolution of an impasse may be used by the parties
only when authorized or directed by the Panel.
CONDUCT OF LABOR ORGANIZATIONS AND MANAGEMENT
Sec. 18. Standards of conduct for labor organizations.
(a) An agency shall accord recognition only to a labor
organization that is free from corrupt influences and influences
opposed to basic democratic principles. Except as provided in
paragraph (b) of this section, an organization is not required to
prove that it has the required freedom when it is subject to
governing requirements adopted by the organization or by a national
or international labor organization or federation of labor
organizations with which it is affiliated or in which it
participates, containing explicit and detailed provisions to which
it subscribes calling for -
(1) the maintenance of democratic procedures and practices,
including provisions for periodic elections to be conducted subject
to recognized safeguards and provisions defining and securing the
right of individual members to participation in the affairs of the
organization, to fair and equal treatment under the governing rules
of the organization, and to fair process in disciplinary
proceedings;
(2) the exclusion from office in the organization of persons
affiliated with Communist or other totalitarian movements and
persons identified with corrupt influences;
(3) the prohibition of business or financial interests on the
part of organization officers and agents which conflict with their
duty to the organization and its members; and
(4) the maintenance of fiscal integrity in the conduct of the
affairs of the organization, including provision for accounting and
financial controls and regular financial reports or summaries to be
made available to members.
(b) Notwithstanding the fact that a labor organization has
adopted or subscribed to standards of conduct as provided in
paragraph (a) of this section, the organization is required to
furnish evidence of its freedom from corrupt influences or
influences opposed to basic democratic principles when there is
reasonable cause to believe that -
(1) the organization has been suspended or expelled from or is
subject to other sanction by a parent labor organization or
federation of organizations with which it had been affiliated
because it has demonstrated an unwillingness or inability to comply
with governing requirements comparable in purpose to those required
by paragraph (a) of this section; or
(2) the organization is in fact subject to influences that would
preclude recognition under this Order.
(c) A labor organization which has or seeks recognition as a
representative of employees under this Order shall file financial
and other reports, provide for bonding of officials and employees
of the organization, and comply with trusteeship and election
standards.
(d) The Assistant Secretary shall prescribe the regulations
needed to effectuate this section. These regulations shall conform
generally to the principles applied to unions in the private
sector. Complaints of violations of this section shall be filed
with the Assistant Secretary.
Sec. 19. Unfair labor practices. (a) Agency management shall not -
(1) interfere with, restrain, or coerce an employee in the
exercise of the rights assured by this Order;
(2) encourage or discourage membership in a labor organization by
discrimination in regard to hiring, tenure, promotion, or other
conditions of employment;
(3) sponsor, control, or otherwise assist a labor organization,
except that an agency may furnish customary and routine services
and facilities under section 23 of this Order when consistent with
the best interests of the agency, its employees, and the
organization, and when the services and facilities are furnished,
if requested, on an impartial basis to organizations having
equivalent status;
(4) discipline or otherwise discriminate against an employee
because he has filed a complaint or given testimony under this
Order;
(5) refuse to accord appropriate recognition to a labor
organization qualified for such recognition; or
(6) refuse to consult, confer, or negotiate with a labor
organization as required by this Order.
(b) A labor organization shall not -
(1) interfere with, restrain, or coerce an employee in the
exercise of his rights assured by this Order;
(2) attempt to induce agency management to coerce an employee in
the exercise of his rights under this Order;
(3) coerce, attempt to coerce, or discipline, fine, or take other
economic sanction against a member of the organization as
punishment or reprisal for, or for the purpose of hindering or
impeding his work performance, his productivity, or the discharge
of his duties owed as an officer or employee of the United States;
(4) call or engage in a strike, work stoppage, or slowdown;
picket an agency in a labor-management dispute; or condone any such
activity by failing to take affirmative action to prevent or stop
it;
(5) discriminate against an employee with regard to the terms or
conditions of membership because of race, color, creed, sex, age,
or national origin; or
(6) refuse to consult, confer, or negotiate with an agency as
required by this Order.
(c) A labor organization which is accorded exclusive recognition
shall not deny membership to any employee in the appropriate unit
except for failure to meet reasonable occupational standards
uniformly required for admission, or for failure to tender
initiation fees and dues uniformly required as a condition of
acquiring and retaining membership. This paragraph does not
preclude a labor organization from enforcing discipline in
accordance with procedures under its constitution or by-laws which
conform to the requirements of this Order.
(d) Issues which can properly be raised under an appeals
procedure may not be raised under this section. Issues which can be
raised under a grievance procedure may, in the discretion of the
aggrieved party, be raised under that procedure or the complaint
procedure under this section, but not under both procedures.
Appeals or grievance decisions shall not be construed as unfair
labor practice decisions under this Order nor as precedent for such
decisions. All complaints under this section that cannot be
resolved by the parties shall be filed with the Authority.
MISCELLANEOUS PROVISIONS
Sec. 20. Use of official time. Solicitation of membership or
dues, and other internal business of a labor organization, shall be
conducted during the non-duty hours of the employees concerned.
Employees who represent a recognized labor organization shall not
be on official time when negotiating an agreement with agency
management, except to the extent that the negotiating parties agree
to other arrangements which may provide that the agency will either
authorize official time for up to 40 hours or authorize up to one-
half the time spent in negotiations during regular working hours,
for a reasonable number of employees, which number normally shall
not exceed the number of management representatives.
Sec. 21. Allotment of dues. (a) When a labor organization holds
formal or exclusive recognition, and the agency and the
organization agree in writing to this course of action, an agency
may deduct the regular and periodic dues of the organization from
the pay of members of the organization in the unit of recognition
who make a voluntary allotment for that purpose, and shall recover
the costs of making the deductions. Such an allotment is subject to
the regulations of the Office of Personnel Management, which shall
include provision for the employee to revoke his authorization at
stated six-month intervals. Such an allotment terminates when -
(1) the dues withholding agreement between the agency and the
labor organization is terminated or ceases to be applicable to the
employee; or
(2) the employee has been suspended or expelled from the labor
organization.
(b) [Revoked by Ex. Ord. No. 11838, Feb. 6, 1975, 40 F.R. 5743.]
Sec. 22. Adverse action appeals. The head of each agency, in
accordance with the provisions of this Order and regulations
prescribed by the Office of Personnel Management, shall extend to
all employees in the competitive civil service rights identical in
adverse action cases to those provided preference eligibles under
sections 7511-7512 of title 5 of the United States Code. Each
employee in the competitive service shall have the right to appeal
to the Merit Systems Protection Board from an adverse decision of
the administrative officer so acting, such appeal to be processed
in an identical manner to that provided for appeals under section
7701 of title 5 of the United States Code. Any recommendation by
the Merit Systems Protection Board submitted to the head of an
agency on the basis of an appeal by an employee in the competitive
service shall be complied with by the head of the agency.
Sec. 23. Agency implementation. No later than April 1, 1970,
each agency shall issue appropriate policies and regulations
consistent with this Order for its implementation. This includes
but is not limited to a clear statement of the rights of its
employees under this Order; procedures with respect to recognition
of labor organizations, determination of appropriate units,
consultation and negotiation with labor organizations, approval of
agreements, mediation, and impasse resolution; policies with
respect to the use of agency facilities by labor organizations; and
policies and practices regarding consultation with other
organizations and associations and individual employees. Insofar as
practicable, agencies shall consult with representatives of labor
organizations in the formulation of these policies and regulations.
Sec. 24. Savings clauses. (a) This Order does not preclude -
(1) the renewal or continuation of a lawful agreement between an
agency and a representative of its employees entered into before
the effective date of Executive Order No. 10988 (January 17, 1962);
or
(2) the renewal, continuation, or initial according of
recognition for units of management officials or supervisors
represented by labor organizations which historically or
traditionally represent the management officials or supervisors in
private industry and which hold exclusive recognition for units of
such officials or supervisors in any agency on the date of this
Order.
(b) All grants of informal recognition under Executive Order No.
10988 terminate on July 1, 1970.
(c) All grants of formal recognition under Executive Order No.
10988 terminate under regulations which the Federal Labor Relations
Council shall issue before October 1, 1970.
(d) By not later than December 31, 1970, all supervisors shall be
excluded from units of formal and exclusive recognition and from
coverage by negotiated agreements, except as provided in paragraph
(a) of this section.
Sec. 25. Guidance, training, review and information. (a) The
Office of Personnel Management, in conjunction with the Director of
the Office of Management and Budget, shall establish and maintain a
program for the policy guidance of agencies on labor-management
relations in the Federal service and shall periodically review the
implementation of these policies. The Office of Personnel
Management shall be responsible for the day-to-day policy guidance
under that program. The Office of Personnel Management also shall
continuously review the operation of the Federal labor-management
relations program to assist in assuring adherence to its provisions
and merit system requirements; implement technical advice and
information programs for the agencies; assist in the development of
programs for training agency personnel and management officials in
labor-management relations; and, from time to time, report to the
Authority on the state of the program with any recommendations for
its improvement.
(b) The Office of Personnel Management shall develop programs for
the collection and dissemination of information appropriate to the
needs of agencies, organizations and the public.
Sec. 26. Effective date. This Order is effective on January 1,
1970, except sections 7(f) and 8 which are effective immediately.
Effective January 1, 1970, Executive Order No. 10988 and the
President's Memorandum of May 21, 1963, entitled Standards of
Conduct for Employee Organizations and Code of Fair Labor
Practices, are revoked.
[For abolition of United States Information Agency (other than
Broadcasting Board of Governors and International Broadcasting
Bureau), transfer of functions, and treatment of references
thereto, see sections 6531, 6532, and 6551 of Title 22, Foreign
Relations and Intercourse.]
EXECUTIVE ORDER NO. 12871
Ex. Ord. No. 12871, Oct. 1, 1993, 58 F.R. 52201, as amended by
Ex. Ord. No. 12983, Dec. 21, 1995, 60 F.R. 66855; Ex. Ord. No.
13156, Sec. 1, May 17, 2000, 65 F.R. 31785, which established the
National Partnership Council and required the head of certain
Government agencies to implement labor-management partnerships to
help reform Government, was revoked by Ex. Ord. No. 13203, Feb. 17,
2001, 66 F.R. 11227.