Current through Register Vol. 46, No. 39, September 25, 2024
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.]
