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newFOIA seeking all records, Grievance NC-08-77405 (SJC A TCT) Jeff Lewis
to:
7-AWA-ARC-FOIA
11/2812012 03:06PM
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The following text describes NARA grievance records retention requirements:
a. A dministratin Grieyance Fil<s.
Page 1 of 1
Records relating to gridvanc~s raised by agency employL>es, except REO complaints. These case files include statements of witilesscs, reports ofintcrviews and hearings, examiner's findings and recommendations, a copy of the original decision, related corl'l)spondenceand exhibits, and records relating to a reconsideration request.
For this new FOIA request, I ask for unredacted copies of all contents, consistent with the listing above, within th.e grievance file NC-08-77405. TO be clear, this was a grievance in the matter of a controller at SJC ATCf, and for which Arbitrator Philip Tamoush signed a decision on 1/17/09. ·
I have developed a website which serves a journalistic function in informing the Public about FAA performance and related matters. The records you produce will be used to inform the Public. Therefore, I request a waiver of all fees in accordance with FOIA.
Thanks for your help. Jeff Lewis
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FAA-02115
FEB t 8 2013
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FrrNlum of Information At'l (FOI.\) Rrqu1.•st \o. 21113-00165-'WP
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. \ S\..'<11'1.:11 \\<IS l'lllldut:t\..'d in th<..' I Iuman R<..':i\llll'l.'~ \Lmag~.·m ... ·nt ( ll'lic~.· ( IIR,\IUI. l·.ncllbl'd ar~
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\\·c hm·l· l'L'dw:h.'d till.: L'lllpiPyc~.··s nanlL'. t'acilit: lllanat.~.·r's name. t:t..:ilit: !Willi:' a11d addn.:s~;_ and 11lht..'l' inlill·nwlitlll l'rtlfll thl..' L'llclos-:d doculll<.'lll dUL' to thL' rcsp..:cti\L· indi\ idual·~ pri\ac: illli..'I'I:Sl in that inr\lrJl\atioll. I hos<..' pmtiuns an.: prtlkdl..'d l'rlllll l'<..'kas<..' lllldl'r l·:xt . .'lllption h or tilL' 1:< )I\. ~1s de lin .. ·,! in 'i I :.S.( ·. ))2(h)(h). 1.\<.'rnptiun 6 mu: h<..' us ... ·d to withhold rc~.:nrds !tllllld in -- ... pcr-..;uni1L'l Hnd m-:dicaltiks and ~imilar tiks. lhl' di:-;I..'IPsllr\.' ~~r \\hkh "'lltld ct~!lstitut...· a ckurl: Ul1\\t11Tantcd imasion tdp ... ·rs(ln;tl pri,ac;."
I hi.' un .. krsi~nl'd and I im I. Kubik. I >irccllH'. !llll1l:tll Rt.:sPllt'L'<..' \lana~cl11\..'llt < >nlt:L'. ar-: r~.:~punsihk t\1r thi~ p;ll·tial (knial. You m:t~ l'l'Ljli<..'St rcl·unsitkr:tti<.lll uf this tkt..:rmination h~ \\l'iting \(lth~.' .'\ssistunl .\dministrall'r ti.1r 1-'in~tllL'<..' and \lana~<..'lllL'I1l (:\H\-1 ). f'L·d .. :ral ,\\ iati1ll\ ,\dlllinist:·ation. 1-\!lOintkJ'L'IhkncL' ,.\,cnu~.·. SW. \\ashin):!ltlll. ()(' 20'i'll. YPur r~~qul·st t\11· recon..,id.:rationmust be mad:..· i11 \\ritin!l \\ithin _;()days fn,m th(' dak tl!' I'L'L'1.'ipt pf' thi.-> ku-:r :111d mu-;t incluck :til inl'ormatitlll and ar~um-:nh r<..'lil·d upun. Your lcu ... ·r nHht -;tat<..' tktt it i~ ~111 :IPI''-':tl t'n•tnlhL' ahl\l.'-dt:snib-:d ~.kni:tl ut·~~ I'L'\jth.:"'illllad~.· und~.·r tiK' H ll \. !Ill.: L'I1\L·IopL· t'tll1tainin~~ th~.· :q•pcal -;hlH:id h..: m:1rk\.'d "I< ll.\."
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Grievance Electronic Tracking System (GETS)
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8. Violation r·r ~·. t,. ::1 ... t ,_ -~' ';,; ~ -. '•
9. Contract
10. Issue
24. WitnE::s:: 1-LHrkS
3. Region f, ,"'/P
4. Facility (A.WP)-
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11. Incident Date 12/28/2007
12. Submission Date :J2/0l/2'J03
13. Employee Name
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18. Arbitrator Nar
19. Hearing Locat City: Stat;::
21. Arbitration He
22. Arbitration De
14. Union Representative Name 23. Arbitration De Pe:y:J:.>:;J
?dmievll'itOTit Name
16. Oral Presentation Requested !.-
17. o~al Presentation Date
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FAA-02117
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Dt\lt;; 1 :J~H~d f0r Federal Avia~ion Adm~r.;stra~ion by RiCt-ir·iAR & Associates
FAA-02118
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Grievance Electronic Tracking System (GETS) Crc~'lte P.:;ncling Draft,; Admin Search Reports LogOff
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Create Similar Grievance
l.Line of Business ATS·P..;'..T
2. Sub Line of Business .c.,,A, T
3. Region A Vi?
4. Facility (AWP.
S.Union r ~ATC,!.-CPC
Edit 1-5 ! ---------------------------------------------------
....-------------.Arbitration - ( Grievance Number: 73487 ) - 0 en Attachments
Grievance PDF Image T _ ::xpeaG~:E:ge::;;:.r~s-~.plif
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6. Type of Grievance Ernp:oye:;
7. Grievance Step
8. Violation C:or.'ract
9. Contract Article Section
15
11. Incident Date 12128!2007
12. Submission Date 82/01/2008
13. Employee Name ,. a
18. Arbitratator Nam
19. Hearing Location C•:y: StDt-:::
21. Arbitration Heari
22. Arbitration Oecis
14. Union Representative Name 23. Arbitration Oecis 15 I I ALI P::r·j :·;·~ - --
10. Issue 16. Oral Presentation Requested D:s.:iJ :'1.:~r 1'
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17. Oral Presentation Date
FAA-02119
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FAA-02120
1)1-IIIJIP 1;AMOUSI-I POST OFFICE BOX 1128 TORRANCE, CA 90505
800.747.9245 (Voice) 800.903.4266 (Fax) (Principal Office and Address)
fO: Richard Fo~~ier. FAA Labor Re1ations Ke\·in Silh, ~ATCA Labor Relation~
!{[: ARBilR .. \ Tf(J\: Dsi~i,J:: on :\rbitr,-lbility rTcnnination of'·••FI11&113
In th:: intcre,;t of ex.ped:tin_:! this matter. k·t rnc i;;su:: the ti.~dlu"ving d-:c·ision now \l:l tL: uue-;tion of .A.rbit~~1bi!i~j .. of :.1r. .. and th:: Union· s Grievance re2ardinL: h!s
' - -t".:.·rn~~rL:!tion:
li:?_ue: .\rbitnbility: Whether the issue of the removal of J • ISis arbitrabk i:ns1u:h a:; i! i-; juri~Ji~tionally ddcctiv\: in that the union filed the grievance on tht! l'•)ntrn.:t that is no lt)nger in effect (Transcript. Part 1, Page 12)
i\krih: \\ h::th::r rhe removal or p t &I a wa:> for such cause as t·) rrornote th(~ effi.::icn-.::y of the- servi~e. l f nor. what is the app:-opriat;; rerncdY1
i.Tr;msc:ripL Part 2. \'olumr.:: I, Pag~ 6)
D~~~i~J.)n: 1 /:;: i'.~Uc on it,; m-2rits ts arbitrable. The partie-; arc ordered to p;o.::cc-d ! . . ;---· ... - . . I ~ . ' I I II I t' I lrt::r tl1·:: fiU~Stion o! \'.'~1~LlcT tne r~rnq" . .:at 01 ~ •• 1 v. as or ~ 1.J·~·1\ Cd.l.t~~ as t(l
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FAA-02121
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Arbitrator Fee SO
Court Reporter Fee $0
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Back Pay $0 ~rbitration · ( Grie•..tcHH.:e Number; 77405 ) -Pending!
Travel
Perm Change Station
Other
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24 Witn255 Nilflrt::s
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11. Incident Date 12/28i2007
12. Submission Date 02/01/2008
13. Employee Name WI a Mdll
18. Arbitrat·
19. Hearing Crty·: State:
21. Arbitra t
22. Arbitrat
14. Union Representative Name 23. Arbitrat I 1 I It a 2 ass Pendrn;J
····~~~illiilfal Name
1.6. Oral Presentation Requested ~-~ ()
17. Oral Presentation Date
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FAA-02122
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FAA-02123
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A!lla»'l, rul>!l, r-!gJJ!utions and the CB.4. 1 ir<~..tgen.~y '>aNions con;-t'Jult! a w'of.:Jiwn o,~ i.~.:luding but not limited to Anich 10, ~'/the 20/iJ colie<·ti~e bargainl"g agl.!<!lll.!rH b<"!.,.et!tl .\A 1'Crt and t/r.; FAA (ll'td 5 l..SC ( l1 ~pt~r 71. This .;rk>anc" i•j':i~d pursuant to Arrid< 9 S~aiM1 I of the 2003 <'.?i:'c't~ti·.·.: b<ug.:zining a;;re~m~lll and 5 esc 7103 (aj (9;.
lf'h,-:lti!t the RE.\J0.~:-4-L i<ptJ/1 • z•· ifail> t•! rr.;mole lhf efriden,: .. · afth<' .·!;~en"} and >i•il#·!ltlti! l'anics' Ctllfecri~·e Bargaining Agr.?emmt, Ia•·. rule and r~g<J!atwn?
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Jh~ REMO~AL citd th~;ollo••in;;
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FAA-02124
National Air Traffic Controllers Association AFL-CIO
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Re: Expedited Arbitration: -· U. I··
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FAA-02125
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Yia Firs! Cla~s :'>I~ it and Certified )!:ti\: ~(106 (i] i)!) 000~ (i;)91 <'Jf)96
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0:-, J:i.:-,u:.:;-:- ! IJ. :::oes. y:n; r:..; .j YN.tr >,".\ TC . .',. R<-r·rt'e::i:d\'-;;:. r •••.. iU:\0.:! "" ...-·.:-2.! pr.:-s~n: .. 1LiOT! ii': rcspt'i'l5~ t:J th~ p:t.-·!p~·5>~:.L I h.!\·~ ·2~r~f1:1!:r re.=·~-1~\ved th.:: irtf.:.nu1a.t1c~::
::·~\:1 r;~s;:;n~eci i:·1 tl'1is or:d rcspon~e. :~t:·~~ )r.Hl: "'rh·~en r~spon:>~. \\}Jc:h 1 alsc.' recel\'ed on J~u:t~3~·y l 0. ?:OOS . .:\.ri:~r thorlr.Jf:b cons\·J~:-2!'h!n cf the s'.lb5't.a!t:e of yc.ur respons.es a.5 \'../~;J c::: t:1e pr.J;;os.21 len::: r1t1d supr()!ling !n~ .. ~)r-£n::.~ior: .. I fiud th.at tb:: ~:\·id~:;~~ s·..:p,='·~·~ns t!·:c prc-p0~e.1 a..:t;on an(i it i.s my decision that ye:; t,;.;.. r:.1rnt~\-...1d c.ff.::cri\~::: J:~.nu:=:y 2S. ~(1(1S.
S~;\Y.J~ :you \\ish to d!spJ:c th1s d~~:i;;i·)J:. :·:.:•~.J J'.2.:-· ti~(! ?..:""1 2.}'?~~1 u:-~de;- t i) th<: F.\ . .w\ Glli:.r.::rlt.eed F2.:r 1 rc.aU.tiC1H (CJF~l') . ..\~?~':~;a! p:-t)C{:du:--c~ ( 2.) rb~ ~vfcr!t Sy::.:erns Proteccio;: 3,.-J3.rd (\fSP8_L orr)·) th= ;,tcg~..~ti:!!t~ Ciri:.'\'2.o:c~1 Pn)c~ .. iur~ (~'\GP;. tic!~..~·~v~r. )()U r~ay
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FAA-02126
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FAA-02127
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FAA-02128
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FAA-02129
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Arbitrator Fee
Court Reporter Fee
Back Pay
Travel
Perm Change Station
Other
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3. Region AWP
4. Fac_lliU (AV/P) ..
-----------------------------~ i ' ~ ' . ' .'J; J ...... ·.,;l,,· ...
6. Type of Grievance
7. Gi'ie'lance Step Aro:: ... !3t:o-~
8. Violation Cc.r:trar;t
9. Contract
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10. Issue
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11. Incident Date 12/28l20CI7
12. Submission Date 02 ... J l/2008
13. Employee Name IA. lt
15. Grievance Official Name ._. 16. Oral Preosentation Requested . ;
17, Oral Presentation Date
18.
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20.
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FAA-02130
L._." i' f•!
FAA-02131
Grievance Electronic Tiacking System (GET [;· ., .. , -.
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2. Sub Line of Business AAT
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3. Region A'I/P
4. Facility (A\'/P'-
Court R~rter fee Back Pay '·,
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·,, Travel
Perm Change Station
Other ~ Erii;J!oye:: $j~
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7. Grievance Step .A:--b!t;atic~:-~
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9. Contrad Art.:::!;; S-:::~-,,r
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11. Incident Date 12/28/2007
12. Submission Date 0 2/0 1/2008
14. Union Reqresentative Name £1111 nun a 15. Grievance.:il:cial Name 110 7 f. I
16. Oral Presentation Requested
17. Oral Presentation Datt:
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FAA-02132
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FAA-02133
January I 7, 2009
~:drossier
Pli.ILIP .rfAMOUSH A rbitrator-Factfinder
(Final Dispute Resolution Service.com) Post Office Box 1128
Torrance, California 90505-6359 (800) 747-9245 (Voice) (800) 903-4266 (Fax)
E-mail: philip:@tamoush.com (Principal Office and Mailing Address)
Labor Relations Sp .. 'cialist Federal Aviation Administration \5000 Aviation Blvd , A \VP- I 6 Ha\'..lhomc, CA 90201
Kevin Sills, Esq Labor Relations StalT Representative National Air Traffic Controllers Association 1325 Massachusetts Ave. 1'-iW Washington DC 20005
San ··rmcbc o/E.tst ll.n H9 \Y. Jack.~on St, #130
!bywu-.:1, C..\ 91:;.11
RE. ARBITRATI00:: FAA/.\'ATCA Tn:n'>rnittal ofOpink·n '-~..: A'>\ard (Termination \jf, ...... ) Ca . .;e No WP-08-774•)5 ... --------.. -----·----·----··-------------· Conduct of H..:ari ng on .-\ rbitrabilit y 1.'2Day ·~U) S J2i)iJ 00 561)0.()(;
I>~ .. :ih·.::ra~i·Jr;.;;. P.(.'\·1~:·-·. uff.~ .. t· .. :;J;·J :::1J \\'r!til·::! ,·jj'{)pinl.Jn(it:::. .·\·.•.Jr:·i ~'.1n \h~~it." r .. ~.:. !:2lJ.1.·r"'· .. ; ~·l~~··r~·) r'\:
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.. l FAA-02134
IQ] ••
A rbitrB tor-Factfinder !Final Dispute Resolution Ser"\ice.com)
Post Office Box 1128 I orrance, California 90505-6359
(800) 747-9245 (Voice) (800) 903-4266 (hn:) E-mail: philip~tamousb.com
(Principal Office and Mailing Address)
January 17, 2009
~~ard Fossier Labor Relations Speciabt Federal Aviation Administration 1500() Aviation Blvd . i\ \VP-16 lla\\1h:)rne, CA 90261
Kevin Sill5, Fsq Labor Relations Staff Representati \·~ National A..ir Traflic Controllers Assodation 1325 l\·fassachusetts Ave NW Washington DC 20005
San Fr-Mtchco/E.ast Rn 2.19 W. Jochoo St., 11130
Hayw~rd. CA 9~5-l-1
RE. ARBITRA l'IO~- FA:Vi\'ATCA Transmittal of Opinion & Award (Termination of RPSU ) Ca;;c i"~o. \\'P-()f;-77405--
Dear Cour:s:.::
'fran~mitred hen;v,-ith are my Opinion 8: Av.arJ a:-1:.1 Billing f()r Ser\ices in the abo'c~ mattc:r. lh'.: Invoice is payable within .1() days
FAA-02135
ARBlTRATIOS OPL\lON AND A WARD
{n the Matter of the Arbitration
between
FEDERAl. AVJATIO~ AOi\flNISTRATION
NATiONAL AIR TRAFFIC COl'-HROLLERS ASSOCIATION
ISSUE
Termination of IIIII I •• (AWOL)
Case N~. WP-08-77405-· ---·------------·--····---·------------------
Philip Tamoush P.O. Box 1128 249 \V. Jackson Street- Suite #130 Torrance, California 90505-0128 Hayward, California 94544-1811 (Principal Office & \failing Addre~s) (ROO) 7 4 7-924 5
ltearing_Hel_q .-\prill4-15 2tX1 :~
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B,g~~g_rc!.C.JQ§_eq ,A. ~~,·M.9)~~1.,1Gci December 13, 2t)(i.'; January 17. 2009
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FAA-02136
The partic:s stipuLlte-1 to the folio',•:i;1g st1tewc:rc1 oft~t~ i%uc 0~1 tht: merits ofthc termination ot~
AlSaJ1n
Whether the removal of I l'llllS'*, was for such cause as to promote the efficienc:; of the:
service; if not, what should the remedy be? (Transcript, Pan 1, page 9)
The Agency als•) raised a juri:dictional issm~, which the parties agreed cou'd be stated
c~sentially a.~ f\)l!ows
Does the Arbitrator ha·.,re the authority to maJ..e a decision on the subject case, inasmuch as it
v..as jurisdictionally defective in t}nt the Union filed the grievanc~ under a contract that \vas no kll1gtr
in effect. (Transcript, Part I, pag(·:; 11 & 1 2)
\Vith regard t•.> the jurisdictional issUt;, Counsel for both parties agreed to present evidence on it
on th,~ morning of April 14, after which they agreed to provide evidence on the mt.:rits of the
termination cilse on ,\pril 14 and 15, 2008. 111e parties pwceeded in that manner, and initially filed
p•lSt-liearing brief:> v .. ith rega1·d tu the tlFe:;hold i'>:>Ut: on J:m,~ 3i.l, 2003
The parties !:iter argued the merits of the app,;al of the termirntic1n matter in O!)ecicg
~taten;enh Th~ .-\gt~ncy filed a \\Titlen hrid~ ~,:,bile. the! :nion d1d 11<.11. tlk E b:ief on the merib, ar:d tb:
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FAA-02137
BACKGROUNO AND SUMMAR\' OF !<'ACTS
This case involv0s th~ apfleal ofthe of the termination ofi•••••••Air Traffic Contro1J"r r , ,_ , ' , ,. ,
from his position at •••••airport on January 28, 2008. The incident precipitating the ultimate
termination occurred in the IIU g control tower on or about November I I, 2006. Since that date and
the final tennination date, the parties engaged in extensive correspondence meetings and settlement
discussions over the Grievant's medic:,aJ condition, A \VOL issues, contractual jurisdictional issues, and
other matters, v.ithout su.:-cessful resolution of any of these. Accordingly, the parties selected the
undersigned to resolve both jurisdictional and meritorious issues dealing v.ithtR••~Pgg;riievance (Joint
Exhibit 6) and his termination (Joint Ex.Pjbit 3).
'Yfore specifically, the Grievant Vias terminated for being AWOL. While there are several
documents relative to proposals to place the Grievant on AWOL, refuse to return him to work, and
finally terminate him, the final precipitating document is the letter of December 10, 2007 (JX-3) to
2 [I I 0 from ....... Air Traffic Manager at.&! t\.ir Traffic Control Tmver,
from ...... ~ actual classification Air Traffic Control Specialist. The letter, in pertinent part, is as
folJO\-VS:
This i,; notice that [propose to remove you from your posrtion of Air Traffic Control Sp<;;cialist at .. .. A TCT and from tht! Federal Aviation Administration (FAA), no earlier than 30 calendar days from the date: yon receive this notice for such cause as "i 1 i promote the effici:mcy of the service The re.a_:;on i.~ a_; follows
REASO:\: CnautJ:orized absence nfm.H\: th.an fLe conseclltiv:~ h~Jrkday'\
Specification: From March l\ 2007 through November 6, 2007, you v.:ere absent, v.ithout au-rboiity. from fl tJ ATCT, 0 C A, yom a:;sign~d duty statio~ ~ ou w~re require...i. to be at :>mLr duty station during tJut period Yo1F absen·~G was n0t authorized and it was properl:• d~rti<::d d'.J~~ t. the u!u.:ceptabi:; medi<:.:.l docu-rr:<:n.t.ati;)O \ z:•u pr:)vid·::d
R\CKGROCSD, h a kt:c:r dat.:."-1 S~p1ember 27, 2t!')i'l notified ~~·u :Jfr:::- p:o~>~.sa! :., rcr.t,-,-,·,: ~··
fr--:;P.J y•:u; pQsitinr~ a.; an :\it Traf:-i·: C<mt; .. i Sp~.'Ci3.lt.::ii :lt]]L£1 ATCl fo< ('can.ilaJJ!\Jty ~-or :lutv ~~:) ~ut f>')Situn of r~-:(:r:.i This kncr ·io,:~Jment:.d th~ nvmerou3 request..~ rmde by th; Ageoc-, tor F. (•) pr.:ynde ad!r.i.:.;::;trat!'> ::-l: •. 3.~G<--rtahk m ::-JiJ .. :a] d.:x:ur,;::>nr.ati'):-1 ti.l :supp.xt : nur clair.,:::d ::J.r.::'ss -aou HE A.s W:ki.i ic mv ~eptemh;;r 2'! pr.)posa.l kn~r t.: vn; dut' t.·, your :ept:<lcC'<~ lr:FAA-02138 :.Jn(i.:"luin? fu.i!:..;~: ~~·; ;·~:-- :,·1d.:.~ ~~~:1.:.~: ~-.~q·.tr,:~~ t::H~d.!·..:~lJ j 1·:ij,Tlt:nt:itJ: t'l 'r·:'-~;1 ,,.., ~ .. _ ~-<ac~d ::: 3.'"' ·\~;; ... ~r:r
Witbo:.;t L~v~ (A\VOL) stahl3 un Ms.rch 16, 2\!(1/, at.1d remained ban AWOL status tr.uough November 6, 2007.
You were provided tht: opportuuity to reply to my September 2 i., proposal within 15 days. At your request, the reply period •vas extended, and the la::.'"t day you had to reply was November 9, 2007. On November 7, 2007, you reported to the facility and stated that you •vere ready to retum to work, and at that time, you gaw m~ a note from your doctor that stated you were available to retum to work v.-ith no restrictions. At that time, I placed you on excused absence (admin.ist:rative leave) status due to management concerns. You \\'ill remain in that leave status during the proposal/reply period.
I have decided to rescind the September 27.:. proposal noted above. You were notified of my decision in a letter I sent you dated November 28, 2007. In lieu of that, I ha\'e decide-d to issue this current proposal Jetter
On November 28, 2006, you were issued a memorandum requesting administratively acceptable medical documentation \\ith regard to your reported illness You failed to provide adequate medical documentation that addressed your medical condition.
On December 11, 2006, you \Vere given a memorandum asking you again to provide administratively acceptable documentation to support your claimed illness. Again, you did not provide adequate medical documentation.
On February 22, 2007, you were given a letter allo\\-ing you until March 15, 2007 to provide the requested administratively acceptable medical documentation to support your absence from duty on an intermittent basis as of December 7, 2006 and absence from duty on a permanent basis since December 12, 2006. This same letter acknowledged your February 9, 2007, request for administrative duties at another facility as an accommodation request and notifled you of your responsibility to submit supporting medical evidence to facilitate the pro:essing of the request
On March 16, 2007, in response to your n.'Pea.ted and continuing failure to provide th<! medical documentation required to justify your continued absence from duty, you were placed in an Absence \:Vithout Leave (AWOL) status.
On Ju:-.e n, 2007, a letter wa~ sent to you informing yuu that continued absence from ;our safety reia~~d duties and failure to n:tum by June 25, 2007, or provide administratively acceptable medical do.:::ument.:ltion would ka vc me no choice but to initiate separation procedures
Regular attendance at your job as a coudit:.Jo of employment 1 tngthy absence's di.>r'"Pt ~·iJI101"d job assignments and place a:r'. un&ir burden cr. cth(.,-r employees Yat;r sc-rvi~:~e.s a' :\ir Traffic Control Spcci::dt:it are needed on a L:l-f.lll1cc regub.r bJ.:sb You h.;1 ,e bl;!ct: a.'! FA-\ emp!oy;;c sine.:: Ja;ua.ry 26, 199') and a C'<)<::~roU::r 2.: tJ-,is 1::!-:i itt\ ;;ir, ~:
hnc 6, 1996 Y:.;u recdved e1 c:undu ... :t ar1d dis .. ~:p:ir:c bn::fing on August 1 i., z,·,{,ct and ail emplo;·.::t: r~ponsibili.tics briefi.:Jg on (J..::tc-b::r \ 3. Z1]1A Additional~], yuu were ropeatedh· b:i ::L: .. i t. ·. FL\f .. ,,-,, Sr.'lnda.:-·.1::; :-,f(',,r:·.:h::·r H?.\fP FR-i l FAP\12hl5 ~'l·.:b.1 !<1>! -'''l'''~~·i .. ,: ' l J.t.~c \,.!f P~n3..lti.:s
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FAA-02139
fhe abo~·e-quoted letter covers virtually all of the critical elements of the time span from
November 2006 tluough actually January 2008 On January 22, 2008, IIIIIP•••••issued the final
action letter which included, in relevant part,:
On January 1 0, 2008, you and your NATCA Representative, d 5 I b made :u1 oral presentation in response to the proposal. 1 have carefully reviewed the information you presented in this oral resp<mse, and your written response, which I also received on January 10, 2008. After thorough consideration ofthe substance ofyollr responses, as well as the proposal letter and supporting infonnation, I find that the evidence supports the · and it is T decision that you be remove.d effective Jan.uary 28, 2008. (JX~5, tetter tof H j , of January 22, 2008)
The termination action, effective January 28, was followed up almost immediately by •
111& NATCA Representative, with a request for expedited arbitration, including • \ i2
grievance documents (which the undersigned finds are contained in JE-4, a letter, with attachments,
from _. to • FTI 5 II)E of some 60 pages which c.ontains virtually all of the relevant
documentation betv:een -.and FAA management represe:-ttatives d<Jring relevant portions
of the period between Novembei 2006 and December 2007).
As indicated in Mr. Fossier's post~hearing brief an.d initial opening statement on the merits,
'' .. There is not much argument as to the factual situation.'' (Post-hearing brief, page 3) Sometime in
•••••an at-.. Air Traflic Control Tower. Apparently, as a result of , ) Ph the CTrievant and tv;u other
coworkers became ill ztR A -IIM?Fl J?l'A&w even thoug.I:J Grievant .. \vas n•.Jt in the
f~,:iiirv \Vbt:-~ tl:c cir cr•:~.ditionin~ ~:ni:. "'a; fi>st turned on after its repair/replacement FMHI g
~-~ .. s r:J.-;tc;.:""1 of i'J~.4( r;l2Ci c.al· -~~::·tt.ii!J .. :.r~s~ fnc!L..dii\~ rsf~ren~...; ti) (:: :.~·: · :;::; f::J: ·
;::"~, <> ... ;s -3/ar·r .. ira~i:>l.:; ~;'"ea:n"'2r: a··~.j res.~:e>·-~:5es t0 trea:n·1er~
... ;, , ... -:;
.1 .,
FAA-02140
4. Prognosis. incfuding plans for futu:·.s treatn1i:•f1t and an e5tii·nate of the sxpected date of full or partial reco1ery;
5. An explanation of the impa•:::t of yo:Jr mediGai condition on overall health and activities, including tlla basis for any conclusions that restrictions or accommodations are or are not warranted, and 1.vhere they are warranted;
6. An explanation of the medical basis for any conclusion which indicates the likelihood that you are or are not expected to suffer sudden or subtle incapacitation by carrying out, 'Nith or without accommodation, the tasks and duties of your position; and
7. A narrative explanation of the medical basis for any conclusion that your medical condition has or has not become static or well stabilized and the likelihood that you may experience sudden or subtle incapacitation as a result of your medical condition.
8. Medical documentation for each day of absence since November 12. 2006 and 6. Form SF71_has_Q.eeQ_pJ:ovidedJ.QJ: .. 'fOU to .flU_Ql;l.h..§Jgo. anii_re~um--' (J)(-·~, pages 1-13, i 4)
The above I 8 request became the followi!Jg a·g request at various times during
a. The history of your medical conditions, including references to findings from previous examinations, treatment and responses to treatment;
b Clinical findings from the most recent medical evaluation, and in the ::ase of psychiatric evaluation or psychological assessment, the findings of a mental status examination and the results of psychological tests;
c Diagnosis, includtng the current clinical status
d Prognosis, including plans for future treatment and an esti:nate of the e.wo;:cte•j date of f~ll or partial reCIJ·,ery; ·
_ /\:1 explar·,ation of the impact of your medical condition on o·;,~:-3!1 rtealth :nJ a.::tivtties, including the basis for any concluskms that restrictions o" :J:co~pr·nodgtic,'IS are or are not ~·,a.Tanted, and v;hsre they ;:ve W3'!'1"'~e.-! a· -::x.;):s(-:at.ior~ ci ~t:~i: ths;·apeutic Jr risk av.)jc;n~~ va\~~·
,;,. ·1 exp!3na~ron of tt.;::; mea;c<JI basis for any Ct..>nclusron wt1iC:h ind'.::at~s ::·!~ 1 •. ,~:d-;·::od t:--.:Jt you .'3'8 :yare r~ot E: <:pected to s·Jffer s•.Jd;ien or s·_;b~le ~;:.:.a: 3 :~:t':lrron b! carrying cd. ·.,vrth o: ·fiit.hOI.i' a,:,.):;n;;;;::ldation the ta 3~. s ~~ .. : l
·~ ;ti'S'.~· 1).:: {''! 1.;" ~~:~)S:ti·";·· ~.;: ... : ··!
FAA-02141
,, r• had atready re..:eivcd retum-w-work pemlits fi\)Ul his medical exan1iners at a411 ...
••• J 18 l medical facility (JX-4, pages 1-36, 37, 38, 39, 40, etc.). In addition, during this whole
period in question., the Grievant had provided a variety of medical documents from b.is own doctor:-;
Additionally, his Union offered to finance testing at the. Tower to assure that
return to work safely. As well, at various times during the period in question, the Grievant did request
moditied ·work restrictions, Workers' Compensation benefits, transfer to other facilities, etc At the
same time, \fanagement representatives continued to request that •••llconform and respond to
their "a··g" requests for "acceptable medical documentation" The matter became a "standoff' of sorts.
Both parties were continuously in communication with one another, but the Grievant was put on
AWOL status at least from March 16 through November 6, 2007 because of this confused situation.
As indicated in Joint Exhibit 3, above quoted, IE .£was provided a final opportunity to
reply to Management's request for medical documentation by November 9, 2007. On November 7 he
did report to \•:ork; stated he was ready to return to work, with a note from r..is doctor indicating he
would have no restrictions Significantly, Management placed J.j Q on paid administrative leave,
which apparently continued tb.roug...l-:1 his termination em~ctive January 28, 2008
The parties noh'vithsL3.nding all of their discussion and '>>.Titten documentation, co:-ttinued a:
bggcrhcads Tht~ rna:tc·r proceeded t:.l arb:tration
FAA-02142
under:>ign::d will not belabor this Opinion by relating extensive discussion un the parties' arguments
Suffice ro mite
Contentions of the AgenC\:
\Vith rc:gard t;J j:Jrisdic:tion, th~ Agency's argilments are well kncw:n and have been presented in
many cases througho•Jt the country. That i~. whether or not the 2006 "Agreement'' implemented by the
FAA un1laten1!ly \vhe:t it could not reach closure o',·er negotiation~ tor a successor contract in 2006
applied to th'~ in~t:ml grievance (JX-1, white book), or whether th.:'. 2orn contract negotiated by th·
parties (.IX-2, grt:en book) applied The FAA bdit.,ves the 2006 document applies, both because it haJ
rcach<:·cl impa.ss~ \.\ith the Union in the 20•')6 negotiations and, pursuant to Federal statute, had the right
r·-~ implermnt its fin:!l otTer after appropriate impas;:;e procedure:> had already been invoked and
follo-..vcd The Agency argues that the grievance ofll lTQR •vas not arbitrable and that the issue
on its merit;; should b·~ di3missed without further cnn.:;idcration
Un its m-:rit<;, the Agency's position i.:; straightforward Th:J.t is, the Grievant was absent
'"itho:_Jt a~.lth·.•riz<':d 1e,1ve fwm \1arch till .'Jovemb;.:r 2rl07, and a:; such arbitral and legal prtcc:d.;nt
~clpp(m:; 1h.~ rdt!t1nali! fnr tenninatinn The (rrie\;l.nt ha~;, failcj and refu~eci to provide "ad~quat.;
pmtenti(J!lS of the lJnion
\'. ,,l., . ·~ ·, ..
I \ ~ 1 3:, · :· .. '•. ; ~I : T : \ . · • : ! · . ! 1 ~ . . · :r ... \~·,-. .-~:t~ ~r.: ··) L·.· ''.··
.····. ~ ~- ·, ... ' ( -~ : l' ., . ...
FAA-02143
\Vitb regmi ~o tht.~ merits ufth~ cas,:, th0 Union's argument is essentially that the Gritvant ani
the T :nion have foll<.nved all appropriate step.-> to meet \vbatever legal and contractual requirement;;
exisl with regard t•) hi:; return to work. The Grievartt has provided adequat;; medical documentation so
th~~t !\.1anagemeut can proceed in evaluating his condition, ·whether for modified work assignment,
regular work assignmen, or uther acti11ri Thl; gric:vance should be sustained and •• 1m etumed t1l
\Vork \vith fiJlJ back pay, benetits, interest on lo,;t earnings, attorney tees, etc
DISCUSSION. FL'\DlKGS AND CO~CLUSIOI'i:S
With regcud to the jurisdictional issue, on July 14, 2008, the undersigned did communicat.; i:1
\\Titing his d<:cision on the que~l:ion of jurisdictional arbitrability, to wit·
lhr2 issue, on its merits, is arbitrable The parties are ordered to proceed to the question of
wheth~r the: rc:rn:.";al of C .• ' IR was t~Jr cause as to promote the ~lTi..:icth.:.:,: of the s;;:rvice (!c:ttcl
fi·om tf:e Arbitratnr tc) Counsel for the parties of July 14, 2008) The undersigned, in his finJing on the
i~:>uc of arh~trah.iliry, adLlpt:> Arbitrator· Elizabeth ~c:uineic:t's dc:~.Cisions un the: sam,; issue from her
\L1y 2., 2(i08 dt::~:is!on in the matter of (!riev:wt AI Ali Mi '; (Grievance No. 1!\'C) NE-C·.~-:ns-
: i,''.:·· i) T ~' I : I :· ·~
... ' . ... 1 . I •.,
.... , \ ! f .
• h . 1 • '( • 1 - ' I I . '' . } 1· • itH t. e lim~ 1Jeing .'fl ess turtr:cr app-:~a ~ occm, t 10 2(!i)ll C·'•ntr<IL'l 1.:; t l·~~ cuntrol.1ng nocUJ!-.:::.:
Regardless of tlk~ (\J' 11t' s opini,m described abn1;c•, th::: ur.dcr::>igned \Vould inJ ic:tte thai th..::
grievance in this case i .'> rvit pro~:edurall y defei::tive because of the etTect of the 2006 contract prevailing
over the 2003 Agreement. The pMies are referred to the classic and definitive book Hm• Arbirrarion
rVurk.s by El Kouri & Fl Kour~ 5tr. Ed., pages 154-162, which has extensive di ;;.:-ussion on why
grievances, e:>pecia!ly thu:;e dealiHg vvith employee discipline, challenging the implementation of the
Agency standards of conduct in Table of Penalties, can and should continue in effect. They should be
ch:1lh:nging a specif1c contra:·tu;:>.l st7ction ofthC? Agreement. v.ith the e:.:ception of the efficiency of th('
:'cr-vi.~(:., end that language: is found in bc•th Agreenwnt,:;
With regard to th~ merits, the parties, t("lr ~ovhatcver reason, perhaps merely t.h(: complexity and
quantity· of grievances being pr\:cessed, could not reach the logical conclusion that they should have in .,-this cas,~]- IUhas responded sulliciently 1<1 the request~ of ~1anagement, tt> the ex1ent tbt r~~
was returnd to vvork on paid leave nn N0\·ernber 7, 2007 fie continued on paid leave until the Agency
1 ,: • ·,' : : .~ ' • t· ·.
. :·· · .. .! f ·~. .:: ·'' ·, \ ···.' •, ... ··· .· :, .. '\•'•
•n••uarr¥ .. ~ ' ' '
., \ . I·:.:!;.: l FAA-02145
agreement on whether h~ ·wa:; medkaliy qualified to return to some sort of 1.vork position, or to he
•;oluntarily retired. The undersigned believes it is !10\\' the function of this arbitration dispute, relying
on the massive quantities of papers filed by both pdrties, to C{)ntinue the actions that should ha'ic
occurred in Jam1ary 2(J(I3 and t{JIJL)wing Accordingly, and in summary of his conclusions on this
matter, the undersigned bel icv~;;s that 211 rr• and the Age:ncy must be required to deal with one
another in a responsible manner, based on equity, including a clear and specific analysis of the Douglas
fil.ctors so tl\at it can hr..: definitively determined whether ••• should bo returned w some S\):·t of
active duty 'I he undersigned beli:.::•e:> that while an argument could be mad<;; h) con:inue.( II I in
pay :;ratus from Janua.ry 2:-5, 2008, it woulJ be a real form of '·unjust enrichment" to permit him to
receive f1.II! pay while expeditiously working to resolve this matter. Rather, it v.ill cause him and the
Agency to movt· rapidly to resolve the issue of his work/retirement status if the followir1g were tO
occur.
Cun;inue ~l ..... on approve,j \
;.~ursLur:t ti'> it-: underst'i:ding uf his j'1b requircrDents
: The p~u1i~.s shall meet fo;thwith ro disc.uss th::: results of such testing.
' The panie:> sh::\1 .:onsider medical retirement, regular retirement, or any other lawfi1l statu~
that cat1 be considered to affect a mutually satisfactory result.
() The und~~rs[gned >vii J retain jurisdiction to finalize any order, respond tel requests for
darificaticm er implernentatior:. or othen•tbe deal with any issue;; brought up in writing by
rh; l!nion or u••• (i:1 the event that the Union no longer is repre.seming-
7 Jt is the intent of th,~ award ir! t.liis matter tha!Jt ••z1•11 be returned to work as an Air
Traflic Control Specialist or in any other capacity administratively possible.
FAA-02147
AWARD
1. !'he grievar:.:.e filed by the Grievant, LIJJ 1 £and his Union, is arbitrable
2 Jh::: rc:moval of QE .. , •• \VaS nut for SUCh cause as tO promote the etlidency of the
5e<vice
3 The Agency is ordered to place ., I on unpaid absence \';ith approval from January
' ·t
28, 2008, on an ongoing basis
With reference to number 2 above, the Agency· is ordered to provide UJCl£ with
,.,·hatever benetlts any other employee on unpaid approved absence would be entitled from
January 28, 2008.
5 The parties are ordered to implement the summary conclusions found on page 12 of the
opinion in this decision in order to reach a mutually acceptable conclusion to both parties.
6 The undersigned does retain jurisdiction in this matter to finalize any order, respond to
requests for clarification or implementation by either party (in writing), or to otherv .. ·ise
accornm•Jdate the needs of the parties and arrive at a mutually satisfactory resolution of the
mattr:r· Either party must re':lpond within 90 days to the undersigned if it wants the
arbitra:\1r tu consider the ut;;e's .status (e g., to retum ....... to work at full pay.
R.t:spectt1J:iy .subrnitted.
; ..
/; ;?/rit?t-i
i :, :
i • .. 1 :': \. h;: .. ~~ .· '.
FAA-02148
..... -- ··---·- ·-" -------------------
S saio Rd., Mulirzo, O.,f' :t?. . .9~\. '.l i 1· 81 Luu tel. (971) 295-7669
Federal Aviation Administration AFN-1, Asst. Administrator for Finance and Management 800 Independence Avenue SW Washington, DC 20591
Dear Sir or Madam,
Sunday, March 17 2013
. Please accept this letter as an Appeal requesting reconsideration of the Agency response to my FOIA request 2013-1654WP.
This should be a very simple FOIA Appeal response. The 34-page FOIA response, which I received on 2/25/13, was signed by A WP Acting Administrator David Suomi. It appears to be fairly complete and actually had very few redactions. However, it did include too many redactions that, by context, were clearly inappropriate for the cited FOIA Exempt!on #6. Specifically, the names of FAA and Union (NATCA) officials, functioning in an official (non-personal) capacity, are NOT properly redacted using FOIA Exemption #6; there is NO personal privacy value in names of officials, names of facilities, numbers used to file documents, and other 'non-personal' data.
For this FOIA Appeal, I ask that you please conform with the FOIAAppeal Timeline and promptly produce all responsive pages, with only the grievant's name/signature redacted. All other content needs to be produced.
Thank you, and I await your response.
Sincerely,
Jeff Lewis
FAA-02149
U.S. Department af Transportation
Assistant Administrator for Finance and Management
Federal Aviation Administration
MAY 1 0 2013 Mr. Jeffrey Lewis 28242 S. Salo Road Mulino, OR 97042
RE: Freedom ofinformation Act Appeal2013-001654A
Dear Mr. Lewis:
800 Independence Ave., SW. Washington, DC 20591
This letter responds to your March 17, 2013, administrative appeal under the Freedom of Information Act (FOIA), 5 U.S.C. § 552. Your initial request dated November 28, 2012, asked for unredacted copies of all documents concerning Grievance File NC-08-77 405. You specify that this grievance concerns a controller at San Jose (SJC) Air Traffic Control Tower and where Arbitrator Philip Tamoush signed a decision on January 1, 2009.
In an initial response dated February 18, 2013, the Western-Pacific Acting Regional Administrator provided 34 responsive pages. 1 However, he determined to redact the employees' names, facility location, facility manager's name, facility name and address, and other identifying information under Exemption 6 ofthe FOIA, 5 U.S.C. § 552(b)(6). He said that release of this information would constitute a clearly unwarranted invasion of personal privacy.
In your appeal, you assert that the records were excessively redacted. You say that the names ofF AA and Union officials were improperly redacted and that there is no privacy interest in names of officials, facilities, numbers used to file documents, and other nonpersonal data. You ask that only the individual's name and signature be redacted.
We have reviewed the partial denial in light of your appeal letter, the FOIA, and applicable case law and conclude that the Regional Administrator properly withheld the names ofF AA and union officials, facility names and locations, numbers used to file documents, manager name, and other identifying information in the other records under Exemption 6.
Exemption 6 -Personal Privacy Information Regarding Conduct/Discipline
Exemption 6 protects individuals against clearly unwarranted invasions of personal privacy. In order to be covered under Exemption 6, information must first meet a threshold requirement: it must fall within the .category of"personnel and medical files and similar files." 5 U.S.C. § 552(b)(6). This is read broadly and includes all information that "applies to a particular individual." U.S. Dep't of State v. Washington Post Co., 456 U.S. 595, 602 (1982). Once that threshold is met, the focus turns to whether disclosure of the information would "constitute a clearly unwarranted invasion of personal privacy." 5 U.S.C. § 552(b)(6). This requires balancing the individual's right
1 On review a recount shows that there are actually 32 pages of records. FAA-02150
2
to privacy against the public's right to disclosure. Dep't of the Air Force v. Rose, 425 U.S. 352, 372 (1976).
We have reviewed the grievance package and the redacted pages consisting ofthe identity of the employee, manager, the facility, and other identifying information. Based on the nature of the records of possible violations of rules and regulations, we find that these individuals have a significant privacy interest in not having their identities disclosed. The courts have held that internal investigations of mid and low-level employees can be protected under Exemption 6 of the FOIA. See Stem v. FBI, 737 F.2d 84 (D.C. Cir. 1984) (finding that employees have a privacy interest in their association with investigations); Neely v. FBI, 208 F.3d 461,464 (4th Cir. 2000) (indicating that individuals mentioned or interviewed in the course of an investigation have a "we11-recognized and substantial privacy interest[] .... ").
Having found a viable privacy interest in non-disclosure of the withheld information about the individuals, we were required to balance that privacy interest against the public interest in disclosure, if it was a qualifying public interest. The burden of proof is on the requester of the information to identify a qualifying public interest in disclosure ofthe information, not an interest of the individual requester. See Carter v. U.S. Dep't of Commerce, 830 F.2d 388, 390 n.8 & 391 n.l3 (D.C. Cir. 1987).
Prior to the Supreme Court's decision in United States Dep't of Justice v. Reporters Committee for the. Freedom of the Press, 489 U.S. 749 (1989), the courts recognized a variety of public interest factors entitled to heavy weight. However, the Supreme Court in Reporters Committee narrowed the scope of the public interest to be considered under the FOIA's privacy exemptions. The analysis now turns on the nature of the document and its relationship to the "core purpose" of the FOIA, which is to shed light on an agency's performance. of its duties. I d. at 773. The Court held that information that does not directly reveal the operations of the federal government "falls outside the ambit of the public interest that the FOIA was enacted to serve." Id. at 775. The Supreme Court reaffirmed this analysis in United States Dep't ofDefense v. Fed. Labor Relations Auth., 510 U.S. 487 (1994).
You have not asserted a qualifying public interest in releasing this information. In this case you were provided with redacted grievance records. You have identified no specific nexus between knowing the identities of the individuals named in the records and the asserted public interest served by their disclosure. See Nat'l Archives and Records Admin. v. Favish, 541 U.S.l57, 172-73 (2004). These individuals' interestinpersonalprivacy therefore outweighs any public interest in the disclosure of their identities.
In this case, simply redacting names cannot completely de-identify the employees involved. Alirez v. NLRB, 676 F.2d 423, 428 (lOth Cir. 1982) ("Even sanitized, these documents would enable [the requester] and others who had specific knowledge of these incidents, to identify readily the informant and persons discussed in each document."); see also Rose, 425 U.S. at 380 ("what constitutes identifying information regarding a subject cadet must be weighed not only from the vie¥lpoint of the public, but also from the vantage point of those
FAA-02151
who would have been familiar, as fellow cadets or Academy staff, with other aspects of his career at the Academy."). Therefore, we are continuing to withhold the records under Exemption 6 of the FOIA.
Exemption 7(C)- Personal Privacy Information in Law Enforcement Records
3
FOIA Exemption 7(C) employs a balancing test nearly identical to the Exemption 6 balancing test, but the protection of the exemption is limited to records compiled for law enforcement purposes where the disclosure "could reasonably be expected to constitute an unwarranted invasion of personal privacy." 5 U.S.C. § 552(b)7)(C); see,~. Stem, 737 F.2d at 91-92. The "law'' to be enforced within the meaning of the term "law enforcement purposes" includes both civil and criminal statutes, as well as those statutes authorizing administrative (i.e., regulatory) proceedings. Kay v. FCC, 867 F. Supp. 11, 17-18 (D.D.C. 1994). Once a privacy interest has been identified, it must be weighed against the public interest in revealing the information. The requester must identify a public interest and demonstrate that the public interest in disclosure is great enough to overcome legitimate privacy interests. See Senate of P.R. v. U.S. Dep't of Justice, 823 F.2d 574, 588 (D.C. Cir. 1987). This is a lower burden than the "clearly unwarranted invasion of personal privacy" burden under Exemption 6. Exemption 7(C) has been regularly applied to withhold references to persons who are not targets of investigations and who were merely mentioned in law enforcement files. See, e.g., Rugiero v. DOJ, 257 F.3d 534, 552 (6th Cir. 2000) (withholding names ofthird parties mentioned or interviewed in course of investigation). Accordingly, these cases and the above-cited cases supporting withholding under Exemption 6 support withholding under Exemption 7(C).
I am the official responsible for this decision which constitutes the final administrative action on your appeal, and has been concurred in by the FAA Office of Chief Counsel, as well as by John E. Allread, an attorney in the Department of Transportation Office of General Counsel. You are advised that under the provisions of5 U.S.C. §552(a)(4)(B), you are entitled to seek judicial review of this decision in the U.S. District Court in the district where you reside, the district where you have your principal place of business, the district where the records are kept, or the District of Columbia.
Sincerely,
Q/})7 ;;6J/YvvV'-Victori~ :. ~assmer Assistant Administrator for Finance and Management
FAA-02152
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