Policy on Arbitrator and Fact Finder Qualifications,
Appointment and Removal ProceduresMay, 1998
INTRODUCTION
Among the services which the Wisconsin Employment Relations Commission provides is the development and maintenance of a master roster of individuals who serve as fact finders, grievance arbitrators, and interest arbitrators. The Commission continuously monitors said roster and is concerned with insuring the quality and professionalism of the individuals appointed therefrom to serve as fact finders and arbitrators so that said individuals will properly perform the functions and responsibilities required of them in Chapter 111, Stats. This policy represents the Commission's effort to establish relevant qualifications and procedures to guide the Commission in the appointment and/or removal of individuals to the aforesaid roster.
QUALIFICATIONS
The qualifications utilized by the Commission as guidelines for appointment to and continued service on its roster are as follows:
1. Eligibility Consideration
A. Maintain principal place of residence in the State of Wisconsin or in one of its contiguous states as well as Indiana. The maintenance of a mail box or mail delivery point is not sufficient to satisfy this requirement.
B. Willingness to accept appointments in all four types of proceedings.
1. Fact finding;
2. Contract grievance arbitration;
3. Police and fire interest arbitration under Section 111.77, Stats.; and
4. Municipal employment interest arbitration under Section 111.70(4)(cm), Stats.
C. Nonadvocate. Not currently, nor within the past one year, an advocate for public or private sector employers, employe organizations or employer organizations. An advocate is a person who represents employers, labor organizations, or individuals as an employe, attorney, or consultant in the matters of labor relations, including but not limited to the subjects of union representation and recognition matters, collective bargaining, equal employment opportunity, arbitration, unfair labor practices and labor-related litigation, wage and benefit administration, unemployment compensation, worker compensation, occupational health and safety standards, and minimum wage or other labor standards matters.
2. Knowledge, Skills, Abilities and Qualifications
A. Knowledge of labor relations concepts, principles and practices regarding: contract administration and negotiations; interest arbitration and grievance arbitration; labor laws; local government laws; and related matters.
B. Acceptability to parties in Wisconsin labor relations disputes.
C. Impartiality (lack of any real or apparent conflict of interest) and ability to render neutral decisions.
D. Knowledge of hearing procedures, ability to conduct hearings and to develop an accurate record of proceedings.
E. Capable of analyzing testimony and exhibits and rendering competent, well-reasoned and accurate decisions.
F. Knowledge of and compliance with the ethical standards and procedures set forth in the Code of Professional Responsibility for Arbitrators of Labor-Management Disputes approved by the Joint Steering Committee of the National Academy of Arbitrators, American Arbitration Association and Federal Mediation and Conciliation Service published in 1985.
G. Ability to produce written decisions within reasonable time limits. Arbitrators are encouraged to render awards not later than 60 days from the date of closing of the record as determined by the arbitrator, unless otherwise agreed by the parties or specified by law.
H. Knowledge of relevant WERC rules and policies.
I. Knowledge of public sector finance and the ability to calculate costs of wages and fringe benefits.
J. Ability to communicate effectively and serve as a channel of communication between the parties and to initiate constructive and innovative alternative proposals in order to resolve impasses.
K. Ability to effectively apply mediation techniques.
L. High moral character and integrity.
3. Experience
A. Neutral -- Individuals who have functioned as a labor relations neutral for at least eight years may apply for appointment to the ad hoc arbitrator roster. Such applicants shall provide eight arbitration awards (including two interest arbitration awards, if the applicant has issued such awards) or other writing samples. This requirement may be waived or reduced if the applicant can satisfactorily demonstrate sufficient knowledge and experience in labor law and labor relations, along with proficient writing skills.
B. Prior advocate -- Individuals who have functioned as labor relations advocates for at least eight years may apply for appointment to the ad hoc arbitrator roster provided that at the time of application such applicant has not been a labor relations advocate for a period of at least one year. Ten writing samples (i.e. briefs, reports, etc.) must be submitted. Such applicants may be requested to write eight practice arbitration awards, which may include two interest arbitration awards. Such awards shall be based on facts provided by the Commission. This requirement may be waived or reduced if the applicant can demonstrate sufficient knowledge and experience in labor law and labor relations, along with proficient writing skills.
C. Academic -- Individuals who have taught accredited labor relations courses or accredited labor relations-related courses on the college level for at least eight years may apply for appointment to the ad hoc arbitrator roster. Ten writing samples (i.e. awards/reports, research papers, etc.) must be submitted. Such applicants may be requested to write eight practice arbitration awards, four of which shall be interest arbitration awards. This requirement may be waived or reduced if the applicant can satisfactorily demonstrate sufficient knowledge and experience in labor law and labor relations, and proficient writing skills.
D. Combinations of the above and relevant experience can be considered by the Commission.
E. Other -- Any person who has no previous experience as a neutral, advocate, or academic in labor relations may, pursuant to the provisions of Sec. 111.71(5), Stats., apply for service as arbitrators or arbitration panel members under Sec. 111.70(4)(cm), Stats. Such persons shall be referred to a competent evaluation authority for an assessment of skills and abilities reasonably required in order to function in such capacity successfully. A program may be designed to provide appropriate training to address applicants' identified needs. The applicant may be charged a reasonable fee for participation in such training. The fee is to reflect preparation and actual training time reasonably expended on behalf of such applicant.
4. References:
Any person applying for admission to the ad hoc arbitrator roster, in-state resident or non-resident, shall submit at least six professional references, three of which shall be provided by unions and three of which shall be provided by employers.
APPOINTMENT PROCEDURES
Qualified individuals who are interested in being appointed by the Commission to the roster may obtain an application form from the Chairman of the Commission. The completed application along with writing samples and references should be returned to the Chairman. The Commission will review the completed applications and will make all final decisions as to whether an applicant may be listed on the roster. The Commission will base its evaluation on the criteria set forth above.
After reviewing the application, the Commission may interview the candidate to obtain additional information relevant to the individual's qualifications. Candidates are expected to provide complete and accurate information on the application and during the interview. Failure to do so may result in rejection. Individuals are expected to notify the Commission of any changes in personal status which are relevant to the individual's qualifications. Changes in status which result in non-compliance with the Commission's qualifications may result in removal of the individual from the roster at the discretion of the Commission.
A candidate who is deemed to be qualified to serve on the roster will be added to the list if the Commission determines there is a need for additional individuals to be added. Each applicant will be notified in writing of the Commission's decision and the reasons therefor.
Each candidate added to the panel will serve a three-year probationary period. During this time the Commission will review and evaluate the individual's performance. Should deficiencies be identified, the Commission (or a single Commissioner) will meet with the individual to review and resolve the concerns. If necessary, the Commission may extend the candidate's probationary period.
It is improper for a candidate to attempt to influence the Commission or staff members regarding appointment to the roster through means other than the formal appointment procedure. Such an attempt will result in rejection of a candidate and a bar on reappointment for a specified period.
The master roster includes individuals who the Commission believes are competent and willing to participate in all types of proceedings -- grievance arbitration, interest arbitration, mediation and fact finding.
REMOVAL PROCEDURE
Appointment by the Commission to the roster does not constitute an inherent right to continued service. Individuals who are on the panel have no inherent right to be placed on any given panel, or on a minimum number of panels in any fixed period, such as a month or a year. Arbitrators and fact finders must demonstrate competence in labor relations, including procedural and substantive matters, integrity and impartiality. Compromise by an arbitrator to enhance the possibility of future selection is unacceptable; an arbitrator or fact finder must be prepared to rule on the merits of the cases presented.
Individuals on the roster may be removed at the sole and exclusive discretion of the Commission based on the following:
1. Failure to comply with Commission arbitration guidelines, policies and rules;
2. Failure to meet, on a continuing basis, the Commission's arbitrator qualifications;
3. Failure to provide the Commission with complete and accurate biographical data and to keep the Commission informed of changes in personal status and availability to arbitrate cases;
4. Repeated delinquency in submitting awards;
5. Refusal to comply with requests from the Commission concerning arbitration activities and potential conflicts of interest;
6. Unacceptability to the parties, which may be evidenced by a low rate of selection over a period of time;
7. Failure to disclose to the parties and the Commission any personal relationships or other circumstances which might reasonably raise a question regarding the arbitrator's or fact finder's impartiality;
8. Failure to adhere to appropriate ethical principles; or
9. Failure to satisfactorily complete the probationary period.
Individuals may request that a member of the panel may be removed. Such request shall be in writing and shall contain:
1. The name, address and telephone number of the requesting party.
2. The dispute or disputes in which the requesting party has interacted with the panel member.
3. The specific allegations on which the request is based.
4. The signature of the party making the request.
5. The date on which the request was prepared.
Subsequent to receipt of a request for removal of a panel member, the Commission, or its designee, shall conduct a preliminary investigation of the allegations contained in the request. The Commission shall thereafter determine the appropriate action, if any, to be taken.
The Commission will determine if a panel member should be removed from the roster. An individual who is being considered for removal will be provided with prior written notice including a statement setting forth the basis therefor. The panel member shall have an opportunity to provide a written response to the Commission to indicate why removal should not take place. The decision of the Commission shall be final and shall be placed in a written notice which will include the reasons for the Commission's decision.
OTHER PROVISIONS
A. Roster members shall be required to file an annual updated biography and shall be required to keep the WERC informed as to any changes in his/her status.
B. Roster members may be required to attend periodic training courses in order to remain on the roster.
C. Roster members have a continuing duty to inform the WERC in writing of any conflict of interest or any matter which could give rise to an allegation of bias, lack of impartiality, or interest in any proceedings, to which the person might be or has been assigned as a fact finder or arbitrator.
D. Roster members must file a copy of all awards with the WERC.
ADMINISTRATIVE GUIDELINES
The following administrative guidelines are adopted to support/clarify the arbitrator/fact finder roster procedures.
1. The guidelines and procedures can be modified by the Commission whenever it is deemed necessary.
2. The in-state and out-of-state rosters will each be limited to fifty (50) members. Several vacancies will remain unfilled on the in-state roster. However, notwithstanding the fifty (50) member limit, those candidates successfully completing training pursuant to Sec. 111.71(5), Stats. will be added to the roster of interest arbitrators.
3. If a member of the in-state roster leaves Wisconsin for more than 60 consecutive days, the arbitrator shall notify the Commission prior to departure and shall be placed on inactive status for the period of their absence. A member of the out-of-state roster who moves to Wisconsin shall become a member of the in-state roster.
4. Panels will be generated randomly. Unless otherwise specified, grievance panels and interest arbitration panels under Sec. 111.77, Stats. will include one out-of-state arbitrator. If parties agree to include out-of-state arbitrators for interest arbitration panels under Sec. 111.70(4)(cm), Stats., one out-of-state arbitrator will be included on the seven name panel. Specific requests from parties regarding panel composition will be honored to the extent possible (i.e., specific experience, expertise, location, etc.)
APPLICATION FOR PLACEMENT ON AD HOC ARBITRATION ROSTER OF WERC
Please provide the following information
Name and Address
Employment History
Present Occupation (Please state the date you assumed present position and describe duties and responsibilities)
Labor Relations Experience (Please list chronologically, fully describing duties and responsibilities of this experience.)
Education (Beginning with college, please list all institutions of higher learning you have attended and degrees obtained.)
Arbitration Experience
List any arbitration rosters or professional labor arbitration societies of which you are a member
Grievance (Rights) Arbitration Experience
Beginning Date
Number of Awards Issued
Number of Cases Issued in Preceding 3 Years
Number of joint requests if awards are a result of administrative agency employment
Range of Issues (Describe)
Equivalent Experience (if any)
Interest Arbitration and Fact Finding Experience
Beginning Date
Number of Awards Issued
Number of Cases Issued in Preceding 3 Years
Arbitration or Fact Finding Systems Functioned Under (e.g., final package, issue-by-issue, etc.)
Equivalent Experience (if any)
List any arbitration rosters or professional labor arbitration societies of which you are a member
References Attach at least 3 from union representatives and at least 3 from employer representatives
Awards/Decisions/Writing Samples: Attach to this application.
Fee Schedule (Please list your anticipated fees (hourly, per diem, other), including docket charges, cancellation charges, travel time charges, and from what address your charges and/or expenses would commence.)
Why do you wish to be added to the WERC ad hoc roster?
Have you ever been the subject of any inquiry into your professional ethics? If your answer is "yes," please describe particulars in some detail, along with the outcome of the inquiry.
Signature of Applicant
Date of Application
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This page is a public domain communication of the Wisconsin Employment Relations Commission. The URL of this page is {http://werc.wi.gov/ad_hoc_roster_policies_and_application_form.htm}. Last modified on 14 AUG 1998.
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