N.Y. Comp. Codes R. & Regs. tit. 9 § 1.15

Current through Register Vol. 46, No. 24, June 12, 2024

Section 1.15 - Executive order no. 15: relating to procedures for the submission and settlement of grievances of state employees

BY VIRTUE of the authority vested in me by the Constitution and Laws of the State of New York, it is hereby Ordered as Follows:

I. Preamble. In order to establish a more harmonious and cooperative relationship between the State and its employees, it is hereby declared to be the policy of this Administration and the purpose of this Order to provide for the settlement of differences through an orderly grievance procedure. It is also the policy of this Administration to assure to State employees the right to full freedom of association, self-organization and designation of representatives of their own choosing for the purpose of adjustment of their grievances, free from interference, restraint, coercion, or reprisal. All the provisions of this Order shall be liberally construed for the accomplishment of this purpose.

II. Basic standards and principles.

1. Every employee shall have the right to join or to continue as a member of any employee association or labor organization; provided, however, that no employee shall organize or help to organize or become a member of any society or group of persons which teaches or advocates that the government of the United States or of any State or of any political subdivision thereof shall be overthrown by force or violence, or by any unlawful means.

2. Every employee shall have the right to present his grievance in accordance with the procedures prescribed hereunder, with or without a representative of his own choosing, free from interference, coercion, restraint, discrimination or reprisal. There shall be no discrimination against any employee because such employee has formed, joined, or chosen to be represented by any employee organization for the purposes of this Order.

3. It is a fundamental responsibility of supervisors at all levels to consider, and, commensurate with authority delegated by the head of the department or agency, to take appropriate action promptly and fairly on a grievance of any subordinate employee or employees. To this end appropriate authority shall be delegated to supervisors by heads of departments and agencies.

4. The head of each State department or agency shall be responsible for carrying out the provisions of this Order and the regulations prescribed hereunder and maintaining the standards herein prescribed in his department or agency.

5. The heads of State departments and agencies, or their designated representatives shall hold conferences at appropriate times with employee representatives on problems relating to conditions of employment and the continued improvement of the public service. Proposed new rules or modifications of existing rules governing working conditions should, wherever practicable, be announced in advance and discussed in conference with employee representatives before they are established. Employees are encouraged to contribute their experiences and their ideas to the solution of problems in the public service and to acquire a feeling of identification with the objectives of their department or agency.

6. Informal resolution of differences prior to initiation of action under the formal grievance procedure is encouraged.

III. Grievances; procedural requirements.

1. Departmental procedures. The head of each State department or agency shall, subject to the approval of the Grievance Appeals Board established pursuant to this Order, establish formal procedures for submission of grievances by employees and for prompt and orderly consideration and determination of such grievances by supervisors and the department or agency head. Wherever practicable, with due consideration to organization, size and geographic spread of a department or agency, procedures for such department or agency shall provide for no more than two procedural stages, as follows:

The first stage shall consist of the employee's presentation of his grievance to his immediate supervisor who shall, to the extent necessary or appropriate, consult with and permit the employee to consult with any of his higher ranking supervisors indirect line below the level of the department or agency head, or his designated representative, or with the agency personnel officer. Discussion and resolution of grievances in the first stage shall be on an oral basis. Group grievances should be presented in the first instance to the lowest ranking supervisor common to all employees in the group.

The final departmental stage shall be a determination by the department or agency head or, at his election, by a duly designated representative with full responsibility for determination of grievances in the final departmental stage. If a grievance is not satisfactorily settled at a lower stage the employee may request a review and determination thereof by the head of the department or agency or his designated representative. The specific nature of the grievance and the facts relating thereto shall be reduced to writing jointly or separately by the employee and by the appropriate supervisor. The head of the department or agency, or his designated representative, shall, on request of the employee, hold an informal hearing at which the employee and his representative may appear and present oral statements, or he may designate one or more officers or employees of the department or agency to conduct such informal hearing and to submit a report thereon with recommendations. The final determination of such grievance shall be made by the head of the department or agency or his designated representative. Wherever it is not practicable to limit departmental or agency procedures to two stages, such additional intermediate stages as may be necessary and the procedures applicable thereto may be established, subject to the approval of the Grievance Appeals Board.

2. Representation. An employee shall be entitled to a representative of his own choosing in the presentation and processing of a grievance at all stages under this Order.

3. Time limitations. The formal procedures established by each department and agency shall specify time limitations for the processing of grievances at each stage in order to insure prompt consideration and determination of employee grievances.

4. Employee information. Each department and agency head shall take such steps as may be necessary to insure that all employees and supervisors under his jurisdiction may be fully informed of the grievance procedures adopted pursuant to this Order and of their rights and obligations thereunder.

5. Time off for the processing of grievances. An employee and his representative, if a State employee, shall be allowed such time off from his regular duties as may be necessary and reasonable for the processing of a grievance under the procedures adopted pursuant to this Order without loss of pay or vacation or other time credits.

IV. Grievance Appeals Board. There is hereby established in the Department of Civil Service a board to be known as the Grievance Appeals Board, which shall consist of three members appointed by and who shall serve at the pleasure of the President of the Civil Service Commission. No person regularly employed in a full-time position in the State service shall be eligible for appointment to the Board. One member shall be designated by the President of the Civil Service Commission to serve as Chairman of the Board. The compensation of members of the Board shall be fixed by the President of the Civil Service Commission with approval of the Director of the Budget.

V. General powers and duties. The Board is hereby charged with the responsibility and empowered in conformity with the standards, principles and procedures herein set forth:

1. To establish and maintain a program for resolving employee grievances relating to conditions of employment in the State service.

2. To promulgate such regulations as may be necessary to carry out the provisions of this Order, and to review and approve formal grievance procedures established by departments and agencies pursuant to this Order and such regulations.

3. To publish and distribute appropriate pamphlets and other publications so that all employees may be fully informed of their privileges and rights under this Order.

4. To render advice and assistance to administrative officers of State departments and agencies and to employees, respectively in any matter relating to the establishment or use of the procedures provided for or adopted pursuant to this Order.

5. To require the head of each State department or agency to submit reports from time to time of the manner in which this Order and the regulations prescribed thereunder have been and are administered in such department or agency, and of such other related matters as the Board may require.

6. To hold hearings, to conduct investigations, to appoint fact-finding or advisory committees, to require the attendance of officers and employees of the State as witnesses, and to require the production or examination of records, books and papers of State departments or agencies relating to administration of the grievance procedure.

7. To report to the President of the Civil Service Commission for appropriate action the failure of any department or agency to establish properly or maintain satisfactorily the standards, principles, determinations and procedures embodied in, or authorized by this Order.

VI. Appeals. An employee, within a time limit and upon compliance with the regulations of the Board, may appeal to the Board from a determination of the head of his department or agency, or his designated representative, as the case may be, made pursuant to this Order. Such employee shall be granted a hearing on such appeal before the Board, at which he shall be entitled to a representative of his own choosing, except that with the consent of the employee such hearing may be conducted by one or more members of the Board instead of the full Board. If the appeal involves the enforcement of a law, a civil service rule or regulation or a written rule, regulation or order of a department or agency, the findings of fact and the recommendation of the Board shall be transmitted to the departments or agencies involved for appropriate action in accordance with the facts found by the Board. In all other cases, the determination of the Board shall contain a statement of the facts and an advisory recommendation to the departments or agencies involved. Copies of the determination of the Board shall be sent to the employee involved, to his representative and to the President of the State Civil Service Commission, and a copy shall be filed in the Department of Civil Service as a public record.

VII. Report to the Governor. The President of the Civil Service Commission shall report to the Governor the failure of any department or agency to establish properly or maintain satisfactorily the standards, principles, determinations or procedures embodied in, or authorized by this Order.

VIII. Application.

1. The provisions of this Order shall apply to employees in the Executive branch of the State government.

2. The provisions of this Order and the procedures established thereunder shall be applicable in any department or agency to conditions which are in whole or in part subject to the control of the head of such department or agency, and which involve alleged safety or health hazards, unsatisfactory physical facilities, surroundings, materials or equipment, unfair or discriminatory supervisory and disciplinary practice, unjust treatment by fellow workers, unreasonable assignment of working hours or personal time allowances, unfair or unreasonable work quotas, and all other grievances relating to conditions of employment; provided, however, that this Order shall not apply to matters which are reviewable under administrative procedures established by law or under the rules of the State Civil Service Commission, or the rules of other departments or agencies having the force and effect of law.

IX. The Executive Order heretofore issued on August 5, 1955 is hereby revoked and superseded by this Executive Order. Grievances initiated but not finally resolved prior to the effective date of this Order may be continued at appropriate procedural stages under this Order.

Signed: Nelson A. RockefellerDated: August 28, 1963

[FN*] [Revoked and superseded by Executive Order No. 42, infra.]

N.Y. Comp. Codes R. & Regs. Tit. 9 § 1.15