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Teamster Code of Conduct Official Draft 2 - Part 2 Table of Contents PREFACE
A. Financial Influences
B. Improper Associations
SECTION 2 USE OF UNION PROPERTY A. Union Purpose
B. Publications SECTION 3 EXPENDITURE OF UNION MONEY A. Union Purpose
SECTION 4 LOANS AND GIFTS A. Loans
B. Gifts of Union Funds and Property
SECTION 5 ABUSE OF UNION POSITION A. Dealings with Members or Subordinates
SECTION 6 UNION BENEFIT PLANS A. Best Interests of Participants and Beneficiaries SECTION 7 FAIR REPRESENTATION A. Explanation of Failure to Pursue Formal Grievance SECTION 8 ACCOUNTABILITY SECTION 1 LOCAL UNION ELECTIONS A. Elections Should Be Fair
B. Use of Local Union Resources
C. Newly Elected Local Union Officers SECTION 2 MEETINGS A. Free and Open Discussion
B. Informed Voting
C. Time and Place SECTION 3 POLITICAL ACTIVITY A. Tolerating Dissent SECTION 4 DISCLOSURE A. Documents to be Provided CHAPTER III COMPLIANCE AND ENFORCEMENT SYSTEM SECTION 1 INTERNATIONAL MASTER PANEL A. Composition
C. Chief Hearing Officer SECTION 2 INTERNATIONAL INVESTIGATIONS UNIT A. Creation
F. Cooperation with the IIU SECTION 3 INTERNATIONAL ETHICS OFFICER A. Creation of Position
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The mission of the International Brotherhood of Teamsters and its affiliates is expressed in the 12 "Objects" set forth in Article I, Section 2 of the IBT Constitution. Collectively, the Objects promote the dignity and well being of workers, their families, and their communities.
That mission is the guiding force behind this Code of Conduct. The Code does not redefine the Union's mission, but rather is intended to facilitate it. The Code does so by recognizing the duties that officers, staff, and members owe to the Union and its membership and by establishing a system to ensure accountability by enforcing its provisions impartially.
The drafters of this Code have worked diligently to prevent the Code of Conduct from becoming a trap for the unwary. As the Code becomes effective, every effort will be made to provide guidance and support to assure that inadvertent violations do not occur.
The paramount objectives of the Code are to protect the membership from two plagues.
One is the plague of corruption. Nothing destroys the capacity of the Union to serve its members more completely than the intentional misuse of the members' assets and their rights to fair representation. Even the appearance that corruption is tolerated within the Union undermines the confidence of its members and weakens the Union. Therefore, corruption anywhere within the Union harms the entire Union. This is especially true if the corruption is instigated by "organized crime," a parasite that has historically victimized working men and women and their labor unions.
The second plague is the intrusion of politics into Union discipline. To be effective, discipline must be impartial in fact and in appearance. The IBT's international officers are necessarily entrusted with great disciplinary power. But power must not be unlimited, or it will surely lead to abuse. This Code helps improve the Teamsters' system of checks and balances to prevent Code enforcement from being manipulated for political advantage - to punish enemies or protect friends. Although no system of justice can be politics-proof, this Code of Conduct should dispel the fear of politicized discipline within the Union and make future attempts to abuse the system apparent to the membership.
The Code is not a set of mechanical rules. At its heart is a set of fundamental principles that define what it means to act on behalf of the Union. Follow these principles, and the Union will be well served. The more detailed provisions of the Code provide further guidance and protect against arbitrary discipline.
The Code was produced with comprehensive participation by members of the Union. Teamsters were surveyed and interviewed, and they volunteered input individually and in groups. A Task Force of 22 members, from all levels of the Union, worked on and approved all the Code's provisions. It is a thoroughly Teamster document. May it be a source of inspiration and of confidence.
What does ethics mean to Teamsters?
Ethics is at the heart of any system for assuring that an organization is achieving its mission. Ethics helps us, as Teamster officers, staff, and rank-and-file members, to fulfill our roles, responsibilities, and obligations to the Union and its membership. Being ethical means:
Why a Code of Conduct?
The Code should be a central guide and reference for officers, staff, and rank-and-file members in their day-to-day decision making. As a guide, it is intended to express our core values and guiding principles. As a reference, it is meant to be used to locate relevant documents, services, and other resources related to ethics and compliance within the Union.
The Code is also a tool to encourage dialogue on issues of ethics. It is designed to improve how we deal with the ethical dilemmas and gray areas that confront us every day. The Code is meant to complement the IBT Constitution, local bylaws, and other required rules of conduct, not to substitute for them.
The Code does not contain all the answers. When all is said and done, compliance requires good faith on the part of the Union's officers, staff, and members. Because both the global environment and the internal environment of the Union continue to change, application of the Code will evolve. Though the fundamentals are firm, the Code will be informed by the lessons we learn over time.
Scope of the Code
The purpose of this Code is to prevent organized crime and other forms of corruption in the Union. To accomplish this, the Code covers certain duties owed to the Union and its members. The Code does not, however, set forth all the legal obligations of the Union's officers, employees, or members. Therefore, you should not assume that as long as you comply with the Code, you are free of all possible liability.
The Code focuses on conduct necessary to protect the Union from organized crime and other forms of corruption. This is not to imply that other legal obligations are less important. For example, the IBT has long recognized the importance of ending racial, gender, and other forms of discrimination. But given the Union's history and the availability of other means to correct and punish discrimination, it does not seem advisable to use the mechanisms established by this Code to address that problem.
As a result, the Code cannot be used as a reference source of all obligations you owe under the federal law of the United States and Canada, state laws, provincial laws, territorial laws, and local ordinances. It does not even cover all obligations owed under the IBT Constitution and the bylaws of its subordinate bodies. The International Ethics Officer, however, may assist members and staff in determining their obligations which are not specifically addressed in this Code.
What are the responsibilities of the Union?
For this Code to be effective, the IBT and its affiliates must actively foster and maintain a culture that supports ethical behavior. The Union must encourage dialogue and discussion of ethics issues. It must provide guidance through programs, training materials, and other resources. It must ensure that the IBT's systems, policies, and procedures are consistently in line with its ethics goals.
Basic Principles Underlying the Code
The duties set forth in the Code spring from three fundamental sources. They are: (1) The fiduciary duties owed to the Union by those acting on behalf of the Union; (2) The democratic nature of the Union, whose members are the ultimate source of all authority; and (3) The need for officers, staff, and members to have confidence in the proper functioning of the Union.
Union officers, staff, and representatives are agents of the Union. Their authority comes strictly from the fact that they are acting on behalf of the Union and its membership. In the exercise of that authority they have certain fiduciary duties. Although agents of the Union must sometimes weigh the interests of some members of the Union against the interests of others, the only interests they can serve are those of the Union and its members. They are not entitled to use their power for personal advantage.
The existence of these fiduciary duties is reflected in United States federal law. LMRDA §501(a) states:
The officers, agents, shop stewards, and other representatives of a labor organization occupy positions of trust in relation to such organization and its members as a group. It is, therefore, the duty of each such person, taking into account the special problems and functions of a labor organization, to hold its money and property solely for the benefit of the organization and its members and to manage, invest, and expend the same in accordance with its Constitution and Bylaws and any resolutions of the governing bodies adopted thereunder, to refrain from dealing with such organization as an adverse party or in behalf of an adverse party in any matter connected with his duties and from holding or acquiring any pecuniary or personal interest which conflicts with the interest of such organization, and to account to the organization for any profit received by him in whatever capacity in connection with transactions conducted by him or under his direction on behalf of the organization.
These duties are also at the heart of the oath of office required by the IBT Constitution. Each officer swears that:
I will faithfully use all of my energies and abilities to perform the duties of my office.
I will, at all times, act solely in the interests of our members, [and] devote the resources of our Union to furthering their needs and goals.
I will never forget that . . . it is the members whom I will serve.
Much of the Code is devoted to explaining the full scope of this fiduciary duty.
Although the provisions of the Code focus on the duties of agents of the Union, rank-and-file members also owe duties to the Union. According to the IBT Constitution, Article II, §2(a), members pledge their honor to bear true and faithful allegiances to the IBT and their local unions.
Without democracy, a union is a union in name only. A true union must be a democratic institution. Like the governments of the United States and Canada, the Union is a representative democracy, not a "pure" democracy. Not every decision must be taken directly to the membership. The members elect their officers. Power is delegated to the leadership to make many decisions without going back to the membership.
The check on such delegated power in a representative democracy is the holding of elections at regular intervals. If the members disapprove of the way the officers have exercised their delegated power, they can change the Union's bylaws or replace their leadership at the next election. Consideration of these consequences can persuade the officers not to abuse their delegated powers.
For a representative democracy to operate properly, two conditions are essential. First, elections must be conducted fairly. And second, members must have access to the information they need to make informed choices when they vote. These two conditions must also be met when the membership is asked to approve specific decisions of the leadership (such as dues increases or major purchases). That is, voting at membership meetings should be conducted fairly, and before casting their votes at meetings, members should have access to all the relevant information in an easily understandable form.
Representative democracy also requires participation by the members. Although no provision of the Code of Conduct requires members to stay abreast of Union activities, attend meetings, or even vote in elections, all members of the Union must understand how valuable they are to have an effective Union.
Various provisions of federal law are designed to protect and enhance union democracy. With respect to elections, federal law sets forth requirements concerning the procedure for nominating and electing candidates, the distribution of campaign literature, and the financing of campaigns. (Article XXII of the IBT Constitution also sets a number of requirements for local elections.)
As for disclosure, federal law requires unions to prepare an annual report containing information regarding various procedures (such as those for calling meetings, disciplining members, and ratifying contracts) and Union finances. The information in this annual report must be available to members. Federal law also requires union officers and employees to file personal financial information with the Department of Labor regarding their relationships with vendors and employers.
Effective democratic procedure is essential to maintaining an ethical union.
Not only must Union officers act in accord with their fiduciary duties and their obligations to the democratic process, they must appear to do so.
For members of the Union and the public to be confident that Union business is being conducted in an ethical manner, the Code prohibits actions that would raise serious suspicions. It is not a defense, for example, for officers to say that they were not influenced by associating with organized crime or by having a substantial financial interest in a vendor that they have selected for a Union contract. The conduct is prohibited because an ordinary person could be influenced.
In addition, the Code contains provisions requiring disclosure of various actions by Union leadership. Such disclosure can give members confidence that their Union is being managed properly.
Certain principles set limits on what ought to be included in the Code. These include: (1) efficiency, (2) confidentiality, and (3) local autonomy. A fourth limitation is implicit but should be mentioned - the Code cannot and does not supersede governing law, including the law of Canada.
A. Efficiency
The Union must be able to carry out its business efficiently and effectively. That is one reason for having representative, instead of "pure," democracy. The Union could not function if every purchase of paper supplies required a membership vote.
The need for efficiency sets outer limits on the duties described above. To give just two examples:
B. Confidentiality
Despite the principle of democracy and the need for members to have access to relevant information, certain matters must be kept confidential to protect the privacy rights of members and employees. Proprietary information used by the Union in its dealings with employers must also remain confidential.
C. Local Autonomy
The IBT Constitution recognizes the importance of the autonomy of the local unions that make up the IBT. Specific circumstances at each local vary widely, sometimes justifying differing responses to similar issues. Also, reasonable people can have honest differences of opinion. Therefore, where appropriate, the Code recognizes the virtue of letting locals respond to particular ethical issues in their own way. The Code is meant to complement the IBT Constitution, local bylaws, and other required rules of conduct, not to substitute for them.
Local autonomy cannot, however, be an excuse for disregarding ethical obligations.
D. The Laws of Canada and Other Governments
This Code is subject to the labor laws of the nations, states, provinces, and local governments where the Union conducts its affairs. In particular, the IBT Constitution recognizes that Canadian members and Canadian local unions are part of a unique and sovereign nation which is characterized by the distinctiveness of its political and legal institutions and which maintains its own labor traditions. The Code must therefore be applied and interpreted in Canada in a manner consistent with Canadian laws and labor relations traditions. It shall not have the effect of subjecting Canadian members and Canadian local unions to rules contrary to the laws and labor relations traditions that would otherwise be applicable in Canada.
The purpose of the Code is to inspire and encourage ethical behavior. The purpose is not to create excuses for punishing people. The underlying principles for compliance and enforcement are:
A. The first priority is compliance. The Code and its implementing structures should strive to make compliance easy. The goal is a user-friendly system.
B. Although sometimes punishment is required, it should be used only when appropriate. Good faith errors in complying with the Code should be corrected but should otherwise be treated as opportunities for learning and growth.
C. When enforcement is necessary, it should be both fair and effective.
The Code of Conduct is set forth in the following three chapters. The rules are in bold type. The commentary accompanying the rules is explanatory. Any charge of violating the Code must refer to the specific language of a bold-lettered rule.
Section 1: Improper Influences
Because an agent of the Union must make each decision based solely on the best interests of the Union, it is necessary that the agent be free of improper outside influences that would interfere with an ordinary person's objectivity in making the decision. Any such influence creates a prohibited conflict of interest.
Agents of the Union are prohibited from participating in decisions that could have a substantial effect on their personal wealth or income, except that they may participate in decisions concerning their own compensation by the Union or under a collective bargaining agreement.
An agent's conflict of interest arising from financial influence may be permitted, however, if the agent makes a written request for a waiver from the International Ethics Office and the International Ethics Officer grants the waiver in writing.
A person participates in a decision if the person makes the decision, recommends the decision, approves the decision, or provides advice to or collects information for the decision maker. Discussing or voting on a matter at a membership meeting does not constitute participating in a decision on the matter. Also, selecting the lowest bidder does not constitute participating in the decision to select the vendor if the person did not participate in preparing the request for bids and the system of competitive bidding has been approved by the General Secretary-Treasurer.
Compliance with Law
Agents of the Union are prohibited from accepting money or other
things of value from any employer or any agent of an employer in
violation of applicable law.
Fiduciary Duty
In addition to the duty to comply with applicable law, agents of
the Union have a fiduciary duty not to solicit or receive any gift
or gifts that would interfere with an ordinary person's
objectivity in dealing with the donor on behalf of the Union.
General Rule
No member or agent of the Union shall knowingly communicate with a
member suspended for misconduct or a barred member concerning
Union business, regardless of the reason for the bar or
suspension, except to obtain information essential to the conduct
of legitimate Union business when the information is not available
from any other source.
Section 2: Use Of Union Property
Union property can be used only for Union purposes. Agents of the Union are prohibited from using Union property for personal purposes, except as provided in Paragraphs 1 and 2.
An agent of the Union may use Union property if the use is authorized and the agent pays fair market value for the use.
Agents of the Union may use Union property if the use is part of their authorized compensation or is authorized as an accommodation to agents and employees of the Union.
The General Secretary-Treasurer, in consultation with the International Ethics Officer, shall prepare a model rule authorizing certain uses of Union property as an accommodation to agents and employees of the Union. Each Union affiliate is encouraged to adopt the rule or a modification of the rule designed to meet the particular needs and desires of the affiliate. Violation of such a rule is a violation of this Code. If an affiliate does not adopt a rule on the use of Union property, this Code will be enforced as if the affiliate had adopted the model rule. That is, use of Union property in accordance with the model rule will be presumed to have been implicitly approved and all other use of Union property will be presumed to have been prohibited.
B. Publications
Union publications should refrain from personal attacks on members of the Union. If a member of the affiliate that produces the publication feels that he or she has been subjected to a personal attack in the publication, the member may request to respond to the attack. The response shall be in the form of a letter to the editor. If the request to respond is denied by the editor or responsible party, then either party to the dispute may raise the matter with the International Ethics Officer, who shall promptly resolve the dispute. The right to respond is not unlimited. The duty of a Union publication to publish a response depends upon the truth of the response, whether the response disputes the truth of the alleged attack, and whether the response advocates dual unionism, non-payment of dues, crossing an authorized picket line, or breach of the Union's legal or contractual obligations.
Confidential information maintained in Union files belongs to the Union. A member or employee of the Union who has access to such information is prohibited from exploiting or releasing it for personal gain or other non-Union purpose. Likewise, members or employees of the Union who have access to confidential information maintained in files of Union benefit plans are prohibited from using it for personal gain or for the purpose of embarrassing or harassing a member or beneficiary. Disclosures to the International Investigations Unit are not prohibited by this Subsection.
Books, records, and other property of the Union belong to the Union, not to the agents of the Union. Those leaving Union office or employment with the Union must transfer all such property to their successors. In particular, they must preserve Union records and turn them over to their successors. If records are being held at a storage facility or the office of the affiliate's attorney or accountant, they must disclose the location of the records to their successors. During the period from (1) the date of notice of the meeting or meetings for nomination of candidates for office to (2) the end of the first day of the next term of office, agents of the Union must preserve at the Union office (or an authorized storage facility or the office of the affiliate's attorney or accountant) the following records:
Minutes of all meetings, including general membership meetings, executive board meetings, and committee meetings;
Financial books and ledgers;
Wrongful destruction or retention of Union records is prohibited. [See IBT Constitution, Article XIX, §9].
Theft or embezzlement of money or property of the Union or a Union benefit plan is prohibited.
Section 3: Expenditure Of Union Money
Union money is to be used only for Union purposes. Using this money for other purposes is a breach of fiduciary duty.
Union money can be spent only in accordance with the IBT Constitution and applicable bylaws. Unauthorized spending is prohibited.
The executive board of each affiliate is responsible for maintaining the financial solvency of the affiliate.
Vendors should be selected solely on the basis of cost, quality, timeliness, location, convenience, and whether the vendor is unionized. Knowingly paying excessive amounts for goods or services is a breach of fiduciary duty.
To ensure compliance with Subsection D, the principal officer of each affiliate is responsible for documenting the reasons for selecting vendors in accordance with rules promulgated by the General Secretary-Treasurer in consultation with the International Ethics Officer.
Agents of the Union owe a fair day's work for a fair day's pay.
During the period between the date of election and the end of the term of office, no extraordinary expenditure of local Union funds shall be made without the approval of the officers-elect and the membership.
B. Gifts of Union Funds and Property
The law requires Union property to be used only for a Union purpose. This requirement sets an important restriction on gifts of Union property.
Section 5: Abuse Of Union Position
Agents of the Union are prohibited from using their positions to coerce members or subordinate employees into providing money or services for any purpose. It is not coercion to use reasonable means of persuasion in support of lawful Union objectives.
B. Sham Contracts and Memberships
1. Illegitimate Collective Bargaining Agreements (Sham Contracts)
The Union may enter into, renew, or maintain collective bargaining agreements only for legitimate Union purposes. Agents of the Union shall not intentionally encourage or assist the Union in entering into, renewing, or maintaining illegitimate collective bargaining agreements. Legitimate purposes include:
a. Representing employees.
b. Providing benefits, such as pension and health-and-welfare benefits, to owner-operators who fall within the Union's jurisdiction, where permitted by law.
c. Continuing to provide benefits to independent contractors who were formerly employees covered by a Union collective bargaining agreement providing similar benefits.Illegitimate agreements include:
a. Agreements that permit racketeers to obtain or maintain Union membership or Union pension and health-and-welfare benefits.
b. Agreements that cover only owners or that are designed solely to provide pension or health-and-welfare benefits to owners.
c. Agreements that are not intended to be enforced or honored or that are not enforced or honored.
2. Illegitimate (Sham) MembershipsAgents of the Union shall not intentionally encourage or assist the Union in permitting a person to obtain or maintain an illegitimate membership in the Union. Illegitimate memberships are memberships not permitted by the IBT Constitution or applicable law. Illegitimate memberships include:
a. Membership of a racketeer.
b. Membership of an owner pursuant to an illegitimate collective bargaining agreement.
c. Membership of a person who was required by IBT Constitution Article XVIII, Section 6(a) to be issued a withdrawal card.
Section 6: Union Benefit Plans
Any member who serves as a fiduciary of a benefit plan covering members or employees of the Union has the following duties with respect to service as a fiduciary to the plan:
A. Best Interests of Participants and Beneficiaries
The fiduciary shall faithfully serve the best interests of the participants and beneficiaries of the plan in accordance with the requirements of applicable law.
The fiduciary shall exercise duties with respect to the plan with the care, skill, prudence, and diligence under the circumstances that a prudent person familiar with such matters would use acting under similar circumstances.
Neither the fiduciary nor any member of the fiduciary's family shall profit personally from his or her position in the plan, other than through benefits payable under the generally applicable rules of the plan or reasonable compensation payable by the plan for services rendered the plan, which services are necessary for the establishment or operation of the plan.
D. No Payments to Full-time Officers or Employees of Union
A full-time paid officer or employee of an affiliate who is a fiduciary of a union benefit plan shall not receive compensation from the plan if he or she receives full-time pay from the affiliate. The affiliate, however, may receive reimbursement from the plan for the fiduciary's employee-related expenses in connection with services rendered to the plan by a fiduciary who is paid by the affiliate.
The fiduciary shall ensure that the affiliate pays its fair share for any services or facilities it shares with the plan, including, but without limitation, office space, clerical and administrative staff, and telephone and other office equipment and supplies.
The fiduciary shall take reasonable steps, consistent with his or her obligations under applicable law, to ensure that all employers who are required to contribute to the plan under a collective bargaining agreement fully comply with their reporting and contribution obligations.
G. Administrative and Other Expenses
The fiduciary shall not cause the plan to incur unreasonable administrative or other expenses not necessary for the establishment or operation of the plan, in accordance with established law.
H. Cooperation with Negotiators
The fiduciary shall cooperate with Union negotiating committees by responding to requests from any chair or co-chair of a negotiating committee for information and assistance needed for bargaining, to the extent not inconsistent with his or her fiduciary obligations to the plan.
Section 7: Fair Representation
A. Explanation of Failure to Pursue Formal Grievance
If the Union decides not to pursue a grievance after filing of a formal grievance, the Union shall provide the member with an explanation of why it is not continuing to pursue the grievance.
B. Referral Lists (Hiring Halls)
A local union operating a referral system shall base referrals only on objective standards. In determining the order in which workers are referred, the standards cannot be arbitrary or discriminatory, nor can the standards be applied in an arbitrary or discriminatory fashion.
To assure compliance with standards, the procedure by which the referral list is operated must be in writing and available upon request to any member seeking a job referral. Because of the great difficulty in reconstructing what has happened in the past with respect to a referral process, the local must have a system for contemporaneously recording how each referral is placed.
Each officer and employee of the Union has a duty to make reasonable efforts to prevent and correct violations of this Code by fellow officers and employees. Members of the executive board of an affiliate have the following specific duties:
The IBT Constitution requires all officers of the International Union and its affiliates to take an oath of office which includes the words: "I will never forget that it is the members who put me here." The officer must also swear to "maintain and strengthen democratic principles in our Union."
The ultimate source of power and authority for Union officers, employees, and representatives is the consent of the members of the Union. That power is legitimate only to the extent that it is obtained through democratic principles. That means fair elections, meetings that are conducted fairly, and disclosure to the membership of the information needed for them to make informed choices when voting at membership meetings or in elections.
The following provisions provide the framework for democracy in the Union. That framework is a mere shell, however, if members do not actively participate in the work of the Union. Only an informed and involved membership can bring real democracy to the Union.
Section 1: Local Union Elections
Effective democratic procedures are essential to maintaining an ethical union. No democratic union activity is more critical than the election process. Members have the fundamental right to participate in free, fair, and honest elections. This includes the right (a) to vote periodically for local officers, (b) to have honest elections, and (c) to stand for election and to hold elected positions, subject only to fair qualifications uniformly imposed.
Local union elections should be conducted in accordance with applicable federal, state, provincial, and territorial law, the IBT Constitution, and local bylaws. In combination, these rules will ensure fair and honest elections.
Candidates for office have the right, at their expense, to have an observer present at those phases of the election process that are to be conducted in a neutral manner. Such observer shall be the candidate or a member in good standing of the local union.
This right includes the right to have an observer present for the mailing of ballots, the mailing of campaign literature for the observer's candidate, the pick up and delivery of undelivered and cast ballots, and the casting and counting of ballots (except that candidates may not act as their own observers at polling places during voting hours).
All reasonable efforts should be made to accommodate all candidates or their observers; but if space is necessarily limited, it is permissible to require slates to name a single observer for all candidates on the slate.
Union officers shall take reasonable steps to facilitate voting by members who are not literate in the principal language spoken by members of the local union. The International Ethics Officer will respond to requests for assistance in such efforts.
C. Newly Elected Local Union Officers
Incumbent local union officers are responsible for keeping their newly elected successors informed of Union matters during the period between the election and the new term of office.
See Chapter I, §3(G) regarding expenditures during the transition period after an election.
D. Procedure for Enforcing Election Provisions
Complaints of violations of this Section shall be pursued in accordance with Article XXII Section 5 of the IBT Constitution.
Article XXII, §5 sets forth time limits for raising claims related to an election. Those limits apply to claims that this Section was violated. If such a claim comes before the General Executive Board, however, the Board shall refer the matter to a hearing panel as provided in Chapter III, Section 1 of this Code.
A number of locals have adopted bylaws that set forth detailed rules regarding the conduct of meetings. Members and officers should consult these bylaws for guidance.
If the time and place for general membership meetings is not set forth in the bylaws of the local union, the executive board shall, with reasonable notice to the membership, set a time and place convenient to the members, subject to (1) the members' right to overrule the board with respect to future meetings and (2) the ultimate authority of the General Executive Board.
It is unlikely that any one time and place is convenient for all members. The executive board is not required to do the impossible. But convenience to the members is the basic criterion for scheduling meetings, and an executive board should never attempt to limit attendance by setting an inconvenient time or place or by failing to give reasonable notice of the meeting.
Every member and employee of the Union is prohibited from attempting to discourage dissent by personally threatening, injuring, or in any way retaliating against a member for expressing particular views or associating with other members for political purposes.
Pointing out the natural consequences of a member's proposed course of action (such as stating that failure to strike will lead to poor working conditions for all employees) is not a threat barred by this Section.
Freedom of expression and association are essential to the proper functioning of any democratic institution. The Union supports free speech and association for its members.
Neither Subsection A of this Section, nor any provision in Sections 1 or 2 of this Chapter, authorizes advocacy of dual unionism, disclosure of confidential information, or instigation of conduct that would interfere with the Union's performance of its legal or contractual obligations.
Nor is Subsection A of this Section or any provision in Sections 1 or 2 of this Chapter, a limitation on the authority of Union officers to require loyalty from those appointed employees who hold policy making or confidential positions. Disclosing information to the International Investigations Unit or testifying at a hearing prosecuted by the International Investigations Unit is not an act of disloyalty.
See Glossary for definitions of Confidential Information and Dual Unionism.
The following rules governing disclosure represent a balance between competing interests. On one hand, members of the Union are entitled to know how the Union is being run, so they can make informed decisions at election time and when voting at general membership meetings. The Union records that reflect the operation of the Union are property of the Union and should be available to the members in the absence of good reasons to the contrary.
On the other hand, there are reasons for not opening all Union records to all members all the time. Among appropriate reasons for denying access to the membership are:
The records may contain private, personal information about employees, members, or their relatives. Included in such records are dues lists and, at least in some circumstances, documents regarding grievance proceedings.
The records may contain confidential information whose disclosure would hamper the Union's ability to engage in collective bargaining, organize workers, handle grievances, or otherwise deal with employers. Such documents could include opinion letters from attorneys and internal notes of bargaining committees.
Requests for records can overburden officers and staff of the Union if they are not restricted as to time, place, and need to know ("just cause"), particularly because anyone reviewing sole copies of original Union records would ordinarily need to be observed during the review by an officer or staff member to ensure that no documents will be manipulated or removed.
Balancing these interests leads to the following rules:
Each local union shall provide its members the following documents upon request:
Occasionally, addenda and memoranda of understanding with respect to a collective bargaining agreement are not kept with copies of the original collective bargaining agreement in the local union's office. Nevertheless, these documents are part of the contract and copies must be provided when the member requests the collective bargaining agreement. It must also be recognized that the above documents may be temporarily unavailable, as when they are being printed; but reasonable efforts must be made to provide the documents in a timely manner.
B. Documents Available for Inspection Upon Request
Each local union shall either post the following documents at the local union office or make them available for inspection by its members upon request during normal business hours:
The documents listed in this subsection should be readily accessible by office staff so that they can be provided promptly for inspection by a member requesting them. A local union may require clerical employees to check with an officer or business agent before producing records for inspection. The documents must be posted or be available for inspection at the local union's principal office and any other office with a full-time clerical staff. Allowance must be made, however, when office staff are temporarily unavailable; some local unions do not have any full-time staff, and if there is only one such person, the office will be unstaffed when that person is sick, on vacation, involved in contract negotiations, or otherwise unavailable at the office. In such circumstances a member requesting to inspect the documents can be required to wait a reasonable time for access. (Note: Teamster public employee local unions in the United States are not required to file LM forms with the Department of Labor, but they are required to file such forms with the General Secretary-Treasurer.)
C. Documents Available for Inspection Subject to Time and Place Restrictions
Subject to reasonable time and place restrictions, each local union shall make the following documents available for inspection by its members upon written request:
The local union may impose time and place restrictions to avoid disruption to the efficient conduct of the local office. The local union should provide a reasonable time to review the records (although this may require more than one inspection visit).
D. Documents Available for Inspection Upon Showing of Just Cause
Subject to reasonable time and place restrictions, each local union should make the following documents available for inspection by its members upon a written request that establishes just cause to inspect specific records:
This provision does not require the local union to maintain records beyond what is required by applicable laws.
Falsification or other deceitful manipulation of records is prohibited.
Because of the importance of accurate records to the democratic functioning of the Union, as well as exposure of breaches of fiduciary duties to the Union, it is essential that records be entered and maintained accurately.
Compliance And Enforcement System
Ideally, there will be no need for enforcement of this Code. The goal is compliance; the Code is not intended as an excuse to punish people. On the other hand, those who intentionally violate their obligations to the Union and its members deserve, and will receive, just punishment.
To encourage compliance with the Code, the IBT will conduct extensive and continuing training and education programs. During their periodic visits to local unions, the International Auditors will check for compliance and advise of the need for corrective action and changes in procedures. The independent auditors hired by the affiliates to conduct annual audits will also be offered training in the Code so that they can assist their clients in conforming to Code requirements.
The Code itself establishes a new IBT officer to assist in compliance. The International Ethics Officer will answer questions regarding the scope and meaning of the Code and will assist affiliates in developing rules and procedures to comply with the Code.
Nevertheless, in any institution the size of this Union there will undoubtedly be violations of rules. The Code establishes two new institutions for the fair and effective enforcement of the Code: the International Master Panel and the International Investigations Unit.
The International Master Panel will assure that every dispute under the Code will ultimately be heard by a fair, impartial, and expert panel of Teamsters. The manner of selection of the members of the International Master Panel, as well as the opportunity granted the parties to disqualify members who will hear their case, will provide every member of the Union with confidence that the panel will be apolitical. The panel will be composed of five regional panels, one for each of the IBT's present regions: Canadian, Eastern, Central, Southern, and Western.
The panel fits within the present enforcement system under the IBT Constitution. It serves as an adjunct to the General Executive Board (GEB) in cases alleging violations of the Code. In many such cases the panel will sit as an appellate tribunal. A hearing may have been conducted in the local union, followed by an appeal to the joint council. When an appeal is then taken to the GEB, the appeal will be referred to the panel. The panel, which has the authority to conduct any additional hearings that are necessary, will then prepare a report and recommendation to the GEB.
In other cases the panel will sit as the original hearing tribunal. The GEB has the power to assume jurisdiction of complaints involving offenses against the IBT or an IBT officer. When it decides to assume such jurisdiction for complaints of Code violations, the matter will be referred to the panel for trial.
The second new enforcement institution created by the Code is the International Investigations Unit (IIU), headed by a non-Teamster Director. The process by which the Director is selected will assure all Teamsters that investigations of reports of Code violations will be led by a non-partisan expert. Moreover, the IIU has authority to prosecute violations within the Teamster enforcement system.
The Director will also have a special role in the decision whether the GEB takes original jurisdiction of a formal charge that the Code has been violated. When the Director believes that the alleged violation is an offense against the IBT or an international officer, the Director can recommend to the General Executive Board that it assume jurisdiction of the case. If the GEB agrees to assume jurisdiction, it would then refer the matter to the appropriate regional hearing panel for trial. The Director can make this recommendation when the initial complaint is prepared by the IIU or when the complaint has been filed with a local union by a member.
The roles of the hearing panel and the Director are reflected in the following diagram:
INSERT DIAGRAM
Section 1: International Master Panel
The General Executive Board shall appoint a regional hearing panel of nine members for each of the Union's five regions. Each panel member shall be a member of the Union. Each panel shall have three members in each of three categories: (1) rank-and-file members (including elected rank-and-file executive board members), who shall be employed full-time in a craft; (2) business-agent members, who shall be full-time business agents who are not officers; and (3) officer members, who are officers of local unions and full-time Union employees. The category to which a member belongs shall be based on the member's status on the first day of the member's term of office. The 45 members of the regional hearing panels shall constitute the International Master Panel (IMP).
Because each panel will have a rank-and-file member, a business-agent member, and an officer member, the panel will bring to bear on each case the perspective of the full range of Union members.
B. Qualifications and Selection of International Master Panel
The General President shall designate one of the members of the International Master Panel as the chief hearing officer, who shall serve a term of one year and may be reappointed. Prior to the selection of the three-member panel to hear a case, the chief hearing officer shall make interim decisions on procedural matters in the case, subject to later modification by the three-member panel. The General President shall delegate to the chief hearing officer the power, pursuant to Article XIX, §10(c) of the IBT Constitution, to stay a decision whose effect is to cause the loss of an office or Union employment because of an alleged violation of this Code. The chief hearing officer shall receive an annual stipend to be set by the General President, with the approval of the General Executive Board.
Members of the International Master Panel shall have a term of office of six years except for the originally appointed panel members. To stagger the terms of office among the original appointees on each regional panel, one member from each category shall serve a term of two years, one shall serve a term of four years, and one shall serve a term of six years. The terms of the initial members shall be determined by lot. A member may be reappointed to multiple terms on the IMP, but the category to which the member belongs is determined as of the commencement of the new term.
The initial terms of office shall commence on January 1, 2001. All subsequent terms shall commence on January 1 of the appropriate odd-numbered years. A panel member's term ends on December 31st of the appropriate year. In the event of a vacancy caused by resignation, removal, death, or incapacity, the successor shall be appointed to serve for the remainder of the term of the panel member being replaced.
A member of the International Master Panel who is no longer a member in good standing of the Union must resign from the International Master Panel or be removed by the General President. As long as a member of the International Master Panel remains a member in good standing of the Union, the member will serve in the same category as the category to which the member was assigned at the time of appointment.
Before serving as a panel member, each member of the International Master Panel shall receive training from experts in the conduct and administration of hearings.
F. Compensation
Members of the International Master Panel shall be reimbursed for all expenses incurred as a member of the panel, in accordance with regulations adopted by the General Secretary-Treasurer, with the approval of the General Executive Board. Members on the panel shall also receive an annual stipend set by the General President, with the approval of the General Executive Board, and the IBT will make the members whole against any loss of pay or benefits from their regular jobs, pursuant to rules adopted by the General Executive Board.
G. Jurisdiction of Hearing Panel
Whenever the General Executive Board assumes jurisdiction of a case arising under this Code (whether as an appeal or as a matter of original jurisdiction), the General President shall appoint the panel for the region in which the dispute arose as the hearing panel for the General Executive Board pursuant to Article XIX, Section 6 of the IBT Constitution.
Under the IBT Constitution, the General Executive Board may assume jurisdiction of a case in a variety of circumstances. It hears appeals from rulings of joint councils, Article XIX §2(a), or from rulings of local unions when no joint council includes the local, id. The General Executive Board also hears the initial hearing of charges against a joint council or against a joint council executive board, Article XIX, §4(a), or against elective IBT officers, Article XIX, §4(d). The General Executive Board may also assume jurisdiction to try an offense committed against the IBT or its officers, Article XIX, §5(a); if charges with respect to the offense are pending before a subordinate body, the jurisdiction of the subordinate body terminates upon request of the General Executive Board, id.
H. Selection of Members for Hearing Panel
Cases assigned to a regional hearing panel shall be heard by a three-member panel of the regional hearing panel. The hearing panel will be selected by the parties to the dispute, with each party being entitled to strike one member in each category. If both parties strike the same person or one party does not use all its challenges, so that more than one member is left in a category, the member of the hearing panel in that category will be selected by lot from the members not stricken. The chair of the hearing panel shall be the officer member of the panel unless a majority of the panel decides otherwise.
After conducting the hearing, at which the hearing panel may receive testimony and other evidence, the panel shall issue a written report to the General Executive Board summarizing the evidence, the panel's findings of fact, and the panel's recommendation for disposition of the dispute, including any recommended penalty, with an explanation for its recommendation. If a member of the panel does not agree with the report, that member has the right to submit his or her views as a supplement to the report to the General Executive Board. If no two members of the panel can agree on a report, the panel shall issue a written report stating its failure to reach a decision and setting forth those matters (such as findings of fact) on which two or more members agree; in that event, any member may submit his or her views as a supplement to the report. Under the IBT Constitution, the General Executive Board must issue the final decision.
The General Executive Board may remand a case to the same hearing panel that issued the written report, when the Board believes the panel has not adequately considered certain evidence or a proposition of law. The panel, in its discretion, may then reaffirm its report, revise its report, or reopen the hearing and issue a new report.
Rules of procedure for the hearing panels will be adopted by the General Executive Board, on recommendation from the International Ethics Officer. The rules will include provisions regarding: (1) the disqualification of panel members and the use of panel members from another region when necessary; (2) an oath of office; (3) time deadlines and other means to assure the prompt disposition of cases; (4) the imposition of financial sanctions for abusing the appellate system by pursuing unfounded claims or defenses in bad faith; (5) rules of evidence; and (6) other rules deemed advisable to assure efficiency and due process in the conduct of proceedings before the hearing panels.
K. Access to Reports and Decisions
All hearing panel reports shall be delivered to the International Ethics Officer, who shall be the official depository for such reports and the subsequent General Executive Board decisions. Reports and decisions will be available to any Union member upon request and payment of the costs of duplication and delivery. The International Ethics Officer may also publish summaries of the reports and decisions, deleting identification of the charged party, to assist members in interpreting this Code. The hearing panels shall strive to be consistent with one another with respect to penalties imposed for violations of this Code.
The chief hearing officer shall select a hearing panel counsel from a list of names recommended by the IBT Blue-Ribbon Committee. The hearing panel counsel shall assist the International Master Panel in the conduct of its work, including the preparation of reports reviewing decisions of lower tribunals in a case. The hearing panel counsel may be part-time or full-time. Compensation for the position will be set by the General President, subject to approval by the General Executive Board.
The role of the hearing panel counsel is to be a source of independent advice to the International Master Panel and to provide specialized expertise regarding the conduct of hearings. Independence, however, does not necessarily mean isolation. There is no reason why the hearing panel counsel should refrain from consulting with the IBT legal department, particularly on matters relating to interpretation of the IBT Constitution and General Executive Board, General President, or IRB decisions that could serve as precedents.
M. Cooperation with Hearing Panel
Members and employees shall comply with hearing panel orders to testify and produce records in their possession or under their control.
Section 2: International Investigations Unit (IIU)
The General Executive Board shall create an International Investigations Unit (IIU), to be headed by a Director.
B. Selection, Qualifications, Term, and Compensation of Director
The General President, with the approval of the General Executive Board, shall appoint a Director from a list of recommended candidates submitted to the General President by the IBT Blue-Ribbon Committee. The Director shall have an unimpeachable reputation for integrity, have extensive experience in conducting investigations and preparing investigative reports, and be familiar with the structure and purposes of labor unions. As a condition of the appointment, the Director shall resign any employment or membership he or she may have with any IBT affiliate and shall sign an agreement not to seek or accept any office or other employment with any IBT affiliate within ten years of termination of his or her position as Director. The Director shall serve a fixed term of four years and can be reappointed. He or she shall not be removed except for good cause, as found by the General President and concurred in by the General Executive Board. The Director shall receive compensation set by the General Executive Board, which cannot be reduced during the Director's term of office.
The investigatory staff of the IIU shall be members of the Union and shall be selected by the Director. The Director shall retain an expert in Canadian law and procedure and may retain other expert outside assistance.
The Director shall submit an annual budget for the IIU to the General Secretary-Treasurer for approval. The budget shall cover all necessary expenses, including office, staff, travel, and operating expenses.
Failure to cooperate with the IIU by refusing to respond to a request to answer questions or provide documents, or by knowingly providing false or fraudulent answers or documents, is a violation of this Code. The IIU's request must be reasonable as to the time and place for a response.
G. Intimidation of Witnesses, Complainants, and Subjects of Complaints
Intimidating witnesses, complainants, subjects of complaints, or potential witnesses or complainants, by threatening, harassing, or otherwise injuring them is a violation of this Code. It is not a violation of this provision to make a complaint or file a charge against a member for making a complaint or filing a charge in bad faith and without reasonable grounds for the charge or complaint.
Filed charges of violations of the Code of Conduct must be signed by a member of the Union in good standing. The charge shall state the name and local of the person being charged, the provisions of the Code alleged to have been violated, and a brief statement of the facts supporting the allegations.
The accused shall be notified of the time and place of hearing at least ten days in advance. If the charges are amended or supplemented, the accused shall be provided at least ten additional days for preparation after the date of notification of the change.
The accused is entitled to assistance at hearing by a member in good standing of the Union. The charging party has the burden of proving the charges by a preponderance of the evidence. The charging party shall first present the evidence supporting the charges; the accused may then present evidence in response. The accused has the right to be present throughout the hearing, to present witnesses, and to cross-examine all adverse witnesses, including the charging party.
When the Director determines that an IIU investigation is complete and supports the filing of a charge against the subject of the investigation, the Director shall notify the subject of the specific accusation before any charge is filed. Within a reasonable time and at a mutually convenient place, the Director shall make available for inspection by the subject the following documents in the Director's possession or under the Director's control: (1) all statements of and reports of interviews with persons whom the IIU would expect to call as witnesses if a charge is filed and a hearing conducted on the charge, (2) copies of all documents that the IIU would expect to offer as evidence if a charge is filed and a hearing conducted on the charges, (3) all reports of auditors, accountants, or other experts that state findings or conclusions relevant to the accusation, and (4) all information that would tend to exculpate the subject of the investigation with respect to the accusation. Within 45 days of the opportunity to inspect the materials, the subject may request the Director to supplement the investigative record by using the IIU's authority to obtain statements from witnesses or other relevant evidence that may be helpful to the subject. The Director, whose duty is to do justice, shall respond favorably to any meritorious request. If a person against whom the IIU files a charge is or has been substantially prejudiced in defending the charge by the failure of the Director to comply with the requirements of this paragraph, the International Master Panel hearing panel that hears the case shall recommend that the GEB grant appropriate relief. Appropriate rel