Amendments, Rules and Policies
Revised 4/96
TABLE OF CONTENTS
Summmary................................................2
Ethical Practices Code.................................15
LIUNA Ethics and Disciplinary Procedure................21
Rules for Hearing Procedure............................37
Rules for Appeals......................................44
Summary of LIUNA Agreement.............................50
Agreement..............................................55
Consent Decree.........................................58
Job Referral Rules.....................................93
General Executive Board Policies.......................99
Page 1
SUMMARY
On January 18, 1995, the General Executive
Board of the Laborers' International Union of North America (LIUNA)
amended its three Constitutions (the International Union Constitution,
the Uniform District Council Constitution, and the Uniform Local
Constitution) to implement a new Ethic and Disciplinary Procdure.
It has two parts, an Ethical Practices Code, which defines basic
standards of conduct applicable to all members and employees of
LIUNA, and the Ethics and Disciplinary Procedure, which defines
a new structure to ensure that potential violations are investigated
and tried by neutral and independent officers. Together, these
amendments to the Constitutions will promote honesty, integrity
and fairness at every level of the Union.
As part of this reform process, the two new
judicial officers, the Independent Hearing Officer and the Appellate
Officer, have promulgated rules governing proceedings before them.
To assist in carrying out the reform process, the General Executive
Board has adopted five new policies, copies of which are also
included. Four of these policies require review by the LIUNA Inspector
General of the appointment of trustees or other representatives
to trust funds, certain contracts or expenditures of subordinate
bodies, the imposition of trusteeships, and the gift or donation
of union property. The fifth policy requires the reporting of
arrests or indictments for felony violations or for violations
of any laws relating to labor organizations. Finally, to ensure
that each member has fair and equal access to job referrals, the
General Executive Board has adopted Uniform Job
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Referral Procedures that establish basic
standards for referrals and ensure access to job referral information.
Since their adoption by the General Executive
Board, the Ethics and Disciplinary Procedure and the Ethical Practices
Code have been considered by two separate Federal courts, which
both held unequivocally that the GEB acted properly and in the
interests of LIUNA members in adopting these reforms. Together,
these amendments, rules, and policies lay a solid foundation for
continued reform.
Part One:
The Ethical Practices Code
The Ethical Practices Code deals with five
areas of activity:
1. Democratic Practices.
The Code recognizes every member's right
to participate fully in Union affairs. It reaffirms their democratic
rights to freedom of speech and participation in the election
process. It also cautions that every LIUNA member must respect
the rights of every other member, and that no member has the right
to undermine the Union or subvert its essential policies. Among
its provisions: regular meetings must be conducted in an atmosphere
of fairness; Union rules must be applied uniformly without favoritism
or discrimination; and corruption of any kind is banned.
2. Financial Practices.
These will be the same as other well-run
institutions and will utilize competitive bidding for major contracts.
There will be no contracts or investments that
Page 3
result in financial advantage to any officer
or representative of the Union, and no Union subsidiary shall
make loans to officers, representatives or employees or their
families for private purposes.
3. Health, Welfare and Retirement Funds.
The responsibilities and obligations of Union
officials who are also benefit fund trustees have been defined
to prohibit the payment of any salaries or for serving as a trustee
(other than reimbursement of expenses), as well as any financial
connection between a benefit fund and any vendor or service provider
who does business with a benefit fund. The code also requires
quires union trustees who request or, if necessary, demand regular
audits of their funds, and to file these audit reports with the
International Union and make them available to the fund's beneficiaries
at least once a year.
4. Business and Financial Activities of
Union Officials.
The Code prohibits actual and potential conflicts
of interest. The restriction includes keeping confidential all
mailing lists of union members; prohibiting any personal financial
interest that conflicts with Union duties; and prohibiting any
financial interest by a union official in any business with which
the Union bargains collectively. Any compensation to a union official,
whether in the form of a kickback, valuable gift, lavish entertainment
or anything of substantial value, made by an employer with which
the Union bargains, or by a vendor or service provider with which
the Union does business, is prohibited.
Page 4
5. Barred Conduct.
Four types of conduct are clearly prohibited:
(a) committing any act of racketeering, which
includes crimes such as bribery, extortion, fraud, accepting kickbacks,
bookmaking and other felonies [a complete list of these crimes
appears in Appendix A to the Ethics and Disciplinary Procedure];
(b) knowingly associating with any member
or associates an organized crime family or syndicate.
"Knowingly associate" means that
the individual knows that the other person is a member or associate
of organized crime; that the association relates directly or
indirecetly to Union affairs; and that the association is more
then a casual relationship. [There are also certain exceptions
to the definition "knowingly associate" that are, described
in Appendix B to the Ethics and Disciplinary Procedure. For example,
it is not considered a violation of the Disciplinary Procedure
if an individual is merely related by blood or marriage to a person
considered a member or associate of organized crime as long as
the family relationship does not affect the Union];
(c) knowingly allowing any organized crime
member or associate to influence an officer of the Union; and
(d) interfering in anyway with the operation
of the Disciplinary Procedure and the persons responsible for
its administration.
Part Two:
The Ethics and Disciplinary Procedure
Violations of the Ethical Practices Code
are subject to the full disciplinary process set forth in the
Ethics and
Page 5
Disciplinary Procedure.
The Ethics and Disciplinary Procedure calls
for the creation of four new independent, supervisory positions:
1. General Executive Board Attorney.
The GEB Attorney's function is to investigate
and prosecute violations of the Ethics Code. The GEB Attorney
will also review the imposition of trusteeships. recommend discipline
and present cases to the Independent Hearings Officer. The GEB
Attorney may bring charges against any union officer, representative
or member for any illegal or unethical conduct, regardless of
when the conduct occurred, but only if the conduct has a present
effect on the person's membership or current service to the Union.
Anyone, including a Union officer, representative,
member, contractor or vendor or law enforcement organization may
refer a complaint against a Union official or member by filing
it with the GEB Attorney. The GEB Attorney or the Inspector General
will investigate it and decide whether charges should be brought.
The GEB Attorney has the right to take sworn statement from Union
personnel and impose discipline if anyone refuses to appear and
allow his/her testimony to be taken, or refuses to testify on
the grounds of self-incrimination.
Finally, the GEB Attorney will undertake
an "Opertions Study" to assist the General Executive
Board in implementing further policies that will continue to prevent
corruption. This study will include, among other areas, reviewing
the provisions of the three constitutions, internal operating
policies and field procedures. The GEB Attorney is an attorney
in private prac-
Page 6
tice who serves for a five-year term. At
the end of his term, his functions will be by the Inspector General.
2. Inspector General.
This position is an in-house, full-time permanent
employee of the International Union, whose office is located at
Headquarters. The Inspector General's function is primarily to
investigate disciplinary violations, and also to handle disciplinary
prosecutions that are delegated by the GEB Attorney, including
defending the imposition of certain trusteeships or presenting
cases that do not involve what has been described above as "barred
conduct."
3.
Independent Hearing Officer.
This position is a permanent part-time position
to be filled by an outside person who is either a former judge,
labor department official or otherwise highly qualified individual.
The Independent Hearing Officer will act as a neutral judge or
arbitrator in all disciplinary hearings, trusteeships, election
protests, and other matters referred for hearing by the GEB Attorney.
4. Appellate Officer.
This position's function is to hear appeals
from decisions of the Independent Hearing Officer as well as appeals
from Local Union and District Council Trial Boards. Like the Independent
Hearing Officer, the Appelate Officer will be a permanent, part-time
position filled by an outside person who is either a former judge,
labor department official, or otherwise a highly qualified individual.
The Disicplinary Procedure also describes
the basic
Page 7
rules for the conduct of hearings, requiring
them to be fair and efficient. These rules are supplemented by
the Hearing Procedures described Part Three.
Finally, the Disciplinary Procedure confers
two other important powers on the General President and the General
Executive Board. The first is that if the General President believes
that there is an emergency that threatens the welfare or preservation
of the Union, he may suspend, without pay, any union official,
appointed or elected, at any level of the organization. If the
General President takes this action, the GEB Attorney is required
to bring formal charges against the official within ten days of
the suspension, and the official is then entitled to hearing according
to the Disciplinary Procedure.
The second provision requires that whenever
the General Executive Board or the General President receives
notice that any officer, agent, representative or employee of
any Union entity has been indicted for a felony or charged with
any crime relating to the affairs of a labor organization or employee
benefit plan, the General Executive Board or the General President
must place the accused person on a temporary leave of absence
with pay. The GEB Attorney must then institute a disciplinary
hearing before the Independent Hearing Officer based on the indictment
or criminal charges.
Rules for Hearings before the
Independent Hearing Officer
All hearings procedures begin with the filing
of specific written charges, and the person charged is notified
in writing of the accusations. The accused has at least
Page 8
thirty days to prepare a defense, and is
entitled to be represented by in attorney or other person at the
hearing. If the accused does not believe that the charges are
specific enough, he or she may file a motion for more specific
charges and may request discovery of evidence to be used in the
hearing.
The procedures for those hearings will be
similar to those that apply in labor arbitrations proceedings,
including the use of hearsay or affidavit evidence-but only if
the Independent Hearing Officer finds it reliable. All testimony
will be under oath, and all witnesses will be kept out of the
hearing room, except when they are called to testify. If a non-LIUNA
member is willing to provide relevant testimony but unable to
attend the hearing, the person can provide a deposition in place
of live, in-person testimony.
In order to maintain confidentiality, all
papers in any disciplinary case, including the charges, motions
or other pleadings, documents used as evidence, and the decision
of the hearing officer, will be filed only with the Independent
Hearing Officer and the parties or their lawyers or other representatives.
When a written decision is issued by the Independent Hearing Officer,
the entire case file will he transmitted to LIUNA Headquarters
where it will be received and entered into a formal record called
a docket.
If there is an appeal from the decision of
the Independent Hearing Officer, the file will immediately be
sent to the Appelatte Officer and not returned to Headquarters
until a final decision by the Appellate Officer is made. In any
case where there is a final decision impos-
Page 9
ing discipline, the file will be open to
inspection by any member of the Union. In any case where the
final decision does not impose discipline, the file will be returned
to the Independent Hearing Officer and not be available for inspection
by anyone.
In all hearings, the burden of proof will
be on the GEB Attorney to convince the Independent Hearing Office
that there is just cause to impose discipline.
Finally, any hearing will be conducted at
a location chosen by the Independent Hearing Officer with an effort
to make the place convenient to all parties.
Rules of Procedure for Appeals to
the Appellate Officer
All decisions concerning disciplinary matters
by the Independent Hearing Officer are subject to review by the
Appellate Officer. An appeal may be commenced within 10 days
of any final decision by the IHO by filing a notice of appeal
with the Appellate Officer. The Appellate Officer will thereafter
set a briefing schedule outlining when any briefs are due and
the page limits applicable to each party's briefs.
Each party to an appeal has the opportunity
to state whether or not oral argument is requested. The Appellate
Officer may also decide to hold oral argument on his own motion
and will decide requests for oral argument by the parties. The
Appellate Office will make an effort to hold oral arguments at
a location convenient to the parties. If the Appellate Officer
concludes that additional fact-finding is required, he may remand
any matter to the IHO for further investigation.
Page 10
General Executive Board Policies
Pursuant to its constitutional authority,
and in order to accomplish the purposes of the Ethics and Disciplinary
Procedure, the GEB has adopted five additional policies designed
to guarantee the success of the reform process. These include:
GEB Policy on Appointment of Officers,
Trustees and Benefit Fund Representatives. This
policy requires that the names of all persons selected by LIUNA
or any local or district council to hold the positions of Regional
Manager, Assistant Regional Manager, International Representative,
Special International Representative, Trustee or Supervisor over
any subordinate body, or labor trustees of any pension plan, welfare
plan or other trust fund must be submitted to the Inspector General
for his review. If the IG concludes that the appointment is inconsistent
with the objectives and purposes of the Ethical Practices Code
or the Ethics and Disciplinary Procedure, he may disapprove the
appointment.
GEB Policy on Contract Procedures.
This policy requires contracts in excess of $150,000 to be entered
into by LIUNA or any of its subordinate bodies must be submitted
to the Inspector General for his review. If he concludes that
entry into the contact is inconsistent with the objectives and
purposes of the Ethical Practices Code or the Ethics and Disciplinary
Procedure he may disapprove the contract.
Page 11
GEB Policy on Gifts or Donations of Union
Assets or Property. This policy
requires that any gift or donation of union property of more than
$5,000 or any gifts or donations in any twelve month period
totaling more than $10,000 must be reported to the Inspector General.
He may disapprove any such gifts if he concludes that such a
gift or donation is inconsistent with the objectives and purposes
of the Ethical Practices Code or the Ethics and Disciplinary Procedure.
GEB Policy on Actions Affecting Subordinate
Bodies. All actions by the GEB
or the General President to suspend or revoke charter or the consolidate
or amalgamate subordinate bodies must be submitted to the Inspector
General. He may disapprove any such action if he concludes that
it is inconsistent with the objectives and purposes of the Ethical
Practices Code or the Ethics and Disciplinary Procedure.
GEB Policy on Reporting Felony Arrests
and Indictments. Any member of
the GEB, any officer of subordinate body, and all members serving
as trustees of any employee benefit plan, fund, or trust must
notify the Inspector General in writing within five days whenever
they learn that any member, employee, officer, labor trustee is
arrested, indicted, or otherwise charged with any felony or with
any law relating to the affairs of a labor organization or benefit
plan.
Job referral Rules. In
April, 1995, the General Executive Board adopted Job Referral
Rules that are designed to ensure that every member of the Union
is
Page 12
treated fairly in job referrals. The rules
require fair and equal treatment in making job referrals and ensure
that complete and accurate information about job referrals is
available to every union member. At this time, the rules apply
only to those locals that operate an exclusive hiring hall. The
Rules also do not apply if a term of the rules conflict with an
express provision of a collective bargaining agreement, or, in
Canada, if a term of the Rules conflicts with a requirement of
provincial law. In all other cases, locals must follow the Rules
in registering applicants on an out-of-work list, referring applicants
to jobs, maintaining records, and making those records available
for inspection.
Page 13
February 15, 1995
To All Members, Officers, Representatives,
Employees and Affiliates of the Laborers' International Union
of North America, and Trustees and Employees of
LIUNA Benefit Funds:
On January 18, 1995, the General executive
Board of the Laborers' International Union of North America adopted
the LIUNA Ethics and Disciplinary Procedure.
The Disciplinary Procedure provided for
the drafting and implementation of an Ethical Practices Code modeled
after that adopted by the United Auto Workers in 1992.
The General Executive Board delegated
to me the responsibility of drafting the Ethical Practices Code
for LIUNA, and that effort has now been completed.
Pursuant to the authorization delegated
to me under Paragraph (1) of the LIUNA ETHICS AND DISCIPLINARY
PROCEDURE, adopted by the General Executive Board January 18,
1995, I hereby promulgate the attached Ethical Practices Code,
which becomes a part of the LIUNA Ethics and Disciplinary Procedure.
Fraternally,
ARTHUR A. COIA
General President
Page 14
ETHICAL PRACTICES CODE
The following Ethical Practices shall apply
to the International Union, all District Councils, every Local
Union, all subordinate bodies, and to every
employee, member and officer thereof, and to every union trustee
and employee of any benefit fund or political action committee.
Democratic Practices
LIUNA's traditions, its Constitution, and
federal law all protect the democratic rights of LIUNA's members
to participate fully, without fear, abuse, or intimidation in
all Union affairs. To that end, the following principles shall
be respected.
1. Each member shall be entitled to a
full share in Union self-government. Each member shall have full
freedom of speech and the right to participate
in the democratic decisions of the Union. Subject to reasonable
rules, regulations and qualifications, each member shall have
the right to run for office, to nominate
through duly established constitutional procedures, and to vote
in free, fair and honest elections. In a democratic union,
as in a democratic society, every member has certain rights but
she/he also must accept certain corresponding obligations. Each
member shall have the right freely
to criticize the policies and personalities of Union officials;
however, this does not include the right to undermine the Union as an institution; to vilify other
members of the Union and its elected officers or to carry on activities
with complete disregard of the rights of
other
Page 15
members and the interests of the Union; to subvert the Union
in collective bargaining or to advocate or engage in dual unionism.
2. Local Union membership meetings, District Council delegate
meetings, and International Conventions shall be held regularly,
with proper notice of time and place
and shall be conducted in an atmosphere of fairness.
3. All Union rules and laws must be fairly and uniformly applied
and disciplinary procedures shall be fair and afford full due
process to each member.
4. The Union shall ensure that its operations shall be conducted
in a democratic and fair manner. Corruption, discrimination or
anti-democratic procedures shall not
be permitted under any circumstances.
Financial Practices
Union funds are held in trust for the benefit
of the membership. The membership is entitled to assurance that
Union funds are not dissipated and are
spent for proper purposes. The membership is also entitled to
be reasonably informed as to how Union funds are invested or used.
1. The Union shall conduct its proprietary
functions, including all contracts for purchase or sale or for
rendering housekeeping services in accordance
with the practice of well-run institutions, including the securing
of competitive bids for major contracts where appropriate.
2. The Union shall not permit any of its funds to be invested
in a manner which results in the personal pro-
Page 16
fit, or advantage
of any officer or representative of
the Union.
3. There shall be no contracts for purchase or sale or for rendering
services that result in the personal profit or advantage of any
officer or representative of the Union.
Nor shall any officer, representative or employee of the International
Union, District Council, or any Local Union accept
personal profit or special advantage from any action of any officer
or representative of the Union.
4. Neither the International Union, District Council or any Local
Union shall make loans to its officers, representatives, employees
or members, or members of their families,
for the purpose of financing the private business of such persons.
Health, Welfare and Retirement
Funds
1. No official, representative or employee
of the International Union, District Council or a Local Union,
nor any union trustee of a benefit fund, shall
receive fees or salaries of any kind from a fund established for
the provision of health, welfare or retirement benefits, except
for reasonable reimbursement provided
for in a collective bargaining agreement or trust agreement and
expressly approved by the General President or the Board
of Trustees, respectively.
2. No official, employee or other person acting as an agent or
representative of the International Union, who exercises responsibilities
or influence in the administration
of health, welfare and retirement programs or the placement of
insurance contracts, shall have any
Page 17
compromising personal
ties, direct or indirect, with outside agencies
such as insurance carriers, brokers or consultants doing business
with the health, welfare and retirement
plans.
3. Complete records of the financial operations of all health,
welfare and retirement funds and programs shall be maintained
in accordance with the best accounting
practice. Each Union trustee shall require that each such fund
be audited regularly.
4. All such audit reports shall be provided to the International
Union and shall be available to the members of the Union covered
by the fund.
5. The Union trustees or administrators of such funds shall make
a full disclosure and report to the members covered by the fund
at least once each year.
Business and Financial Activities
of Union Officials
Any person who represents LIUNA and its members,
whether elected or appointed, has a sacred trust to serve the
best interests of the members and
their families. Therefore, every officer and representative must
avoid any outside transaction which creates an actual or potential
conflict of interest. The special
fiduciary nature of Union office requires the highest loyalty
to the duties of the office.
1. The mailing lists of the Union are
valuable assets. In order to protect the interests of our membership,
Union officers and representatives shall not,
under any circumstances, without the express prior written consent
of the General President, turn over a Union
Page 18
mailing list to an
outsider for use in the promotion
or sale of any goods or services that benefit an individual or
private concern. Mailing lists are to be used only to promote
the necessary legitimate functions
of the Union and for no other purpose. It is improper for any
official or representative of the Union, without the express
prior written consent of the General President, to permit the
use of any mailing list by any third party to promote the sale
of any goods or services, or to enable
professionals to solicit the membership.
2. No officer or representative of the Union shall have a personal
financial interest which conflicts with his/her Union duties.
3. Except for stock purchase plans, profit sharing or retirement
plans, no officer or representative of the Union shall have any
substantial interest in a business
with which LIUNA bargains collectively.
4. No officer or representative shall accept "kickbacks",
under-the-table payments, valuable gifts, lavish entertainment
or any personal payment of any kind,
other than regular pay and benefits for work performed as an employee,
from an employer with which the Union bargains collectively or
from a business or professional enterprise
with which the Union does business.
5. The principles of this Code apply to investments and activities
of third parties where they amount to a subterfuge to conceal
the financial interests of such officials
or representatives.
Page 19
Barred Conduct
No Union officer, representative or employee,
and no union trustee of any benefit fund, shall engage in "barred
conduct."
"Barred conduct" is defined to
include:
a) committing any act of racketeering,
as defined in Title 18 of the United States Code, section 1961(1)
[set forth in Appendix A to the LIUNA Ethics and Disciplinary
Procedure];
b) knowingly associating with any member or associate of the organized
crime syndicate known as La Cosa Nostra (LCN);
c) knowingly permitting any member or associate of the LCN to
exercise control or influence in the conduct of the affairs of
the Union; or
d) obstructing or interfering with the LIUNA Inspector General,
the General Executive Board Attorney, or the Independent Hearing
Officer, as those parties are described in the LIUNA Ethics and
Disciplinary Procedure. The term "knowingly associate"
shall mean that:
-
- a) an individual knew that the person
with whom he or she was associating was a member or associate
of the LCN;
-
- b) the association related directly or
indirectly to the affairs of the Union; and
- c) the association was more than fleeting
or casual.
The definition of "knowingly associate"
in this Code also provides for, and incorporates by reference,
certain additional exceptions as they appear and are defined in
the Consent Decree entered in the case of United States v. District
Council of New York and Vicinity of the United Brotherhood of
Carpenters and Joiners of America, 90 Civ. 5722 [set forth in
Appendix B to the LIUNA Ethics and Disciplinary Procedure].
Page 20
WHEREAS, by the imposition of certain trusteeships, internal union
discipline, and other techniques, the General Executive Board
and the General President have reduced corruption from certain
entities within the Union, but have not eliminated all corruption
from every entity within the Union; and
WHEREAS, it is in the best interests of this organization to adopt
an Ethics Code and a new system of disciplinary procedures designed
to rid this Union of any corrupting influences
NOW THEREFORE, the General Executive Board hereby adopts the following
disciplinary procedure:
1. Ethical Practices Code
General President and General Executive Board are preparing
an Ethical Practices Code for the Union, modeled after the Code
adopted by the United Automobile Aerospace and Agricultural Implement
Workers of America (hereinafter, the "UAW") at the UAW's
Thirtieth Constitutional Convention in June 1992, which imposes
or codifies standards of conduct for all financial practices relating
to the handling of union, benefit and pension funds, the award
and administration of contracts, conflicts of interest and similar
issues. The General President is hereby authorized to draft and
implement an Ethical Practices Code consistent herewith.
Page 21
In addition to the Ethical Practices Code to be adopted by LIUNA,
this Disciplinary Procedure also prohibits all current and future
officers, agents, representatives, employees, and members of the
Union from engaging in "barred conduct." "Barred
conduct" is defined to include: a) committing any act of
racketeering, as defined in 18 U.S.C. 1961(1); b) knowingly associating
with any member or associate of the organized crime syndicate
known as La Cosa Nostra (LCN); c) knowingly permitting any member
or associate of the LCN to exercise control or influence in the
conduct of the affairs of the Union; or d) obstructing or interfering
with the LIUNA Inspector General, the GEB Attorney, or the Independent
Hearing Officer, as those parties are discussed below. For purposes
of this Disciplinary Procedure and the Ethical Practices Code,
the term "knowingly associate" shall mean that: a) an
individual knew that the person with whom he or she was associating
was a member or associate of the LCN, b) the association related
directly or indirectly to the affairs of the Union; and c) the
association was more than fleeting or casual. The definition of
"knowingly associate" in the Ethical Practices Code
also provides for, and incorporates by reference, certain additional
exceptions as they appear and are defined in the Consent Decree
entered in the case of United States v. District Council of New
York City and Vicinity of The United Brotherhood of Carpenters
and Joiners of America, 90 Civ. 5722.
The General Executive Board, pursuant to the powers provided for
in Article VIII, Section 2(b) of the Constitution of the Laborers'
International Union of North America (hereinafter "the LIUNA
Constitu-
Page 22
tion) amends the LIUNA Constitution to incorporate fully
the Ethical Practices Code
2. New Positions
The General Executive Board hereby creates the following positions:
the GEB Attorney, the LIUNA Inspector General, and the Independent
Hearing Officer. LIUNA shall purchase a policy of insurance and/or
bonds, in an appropriate amount, to protect each person holding
one of these new positions, and any persons hired by or acting
on his behalf, from personal liability for any of the actions
under this Disciplinary Procedure. If such insurance is not available,
or if the General Executive Board so elects, LIUNA shall indemnify
these persons, and any persons hired by or acting on their behalf,
from personal liability (and costs incurred to defend against
any claim of liability) for any of their actions under this Disciplinary
Procedure
3. The GEB Attorney
LIUNA shall engage the services of an outside attorney, highly
regarded for his or her integrity, intellect, and diligence, to
serve as the GEB Attorney.
For the purpose of fulfilling the mandate of the GEB and General
President, all of the investigative and disciplinary powers described
in the LIUNA Constitution, the Uniform Local Union Constitution,
and the Uniform District Council Constitution (hereinafter the
three constitutions are referred to together as "The Constitution")
are delegated to the GEB Attorney.
The GEB Attorney shall have the authority and duty to investigate
and prosecute charges (or otherwise im-
Page 23
pose discipline, as provided
for by The Constitution) against any officer, agent, representative,
employee, or member of the Union for engaging in barred conduct.
The GEB Attorney also shall have the authority to investigate
and prosecute charges (or otherwise impose discipline, as provided
for by The Constitution) against any officer, agent, representative,
employee, or member of the Union for committing a felony violation
under federal or state law; for violating any federal or state
law relating to the conduct of the affairs of a labor organization
or employee benefit or pension plan; or, for violating The Constitution,
the Ethical Practices Code, or any other disciplinary rule, regulation,
practice or procedure adopted by the General Executive Board.
The GEB Attorney shall have the same authority, including the
right to impose and review the imposition of trusteeships, over
any district council, local, or other entity within the Union.
All such disciplinary actions initiated by the GEB Attorney shall
be heard by the Independent Hearing Officer, in accordance with
the terms of Paragraph 5 below.
The GEB Attorney may recommend discipline, including, but not
limited to, suspension, removal from Union office, permanent expulsion
from the Union, imposition of a trusteeship over a district council,
local union, or other entity of the Union, or the revocation of
the charter of a district council, local union, or other entity
of the Union.
As long as the offending conduct at issue is deemed to be relevant
to an accused's current membership in, or service to, the Union,
the GEB Attorney may bring charges, regardless of when the conduct
at issue occurred.
Page 24
Any officer or member of this International Union, or any person
or entity having a business or contractual relationship with this
International Union, or any Trustee of any of the International
Union's Taft-Hartley Benefit Funds, or the United States Departments
of Labor and/or Justice may refer any individual or entity to
the GEB Attorney for investigation and possible discipline. In
making such referral, the referring party (to the extent lawful
and appropriate) shall provide the GEB Attorney with information
relating to misconduct by the individual or entity at issue. The
GEB Attorney shall, thereafter, investigate the matter and, within
the time period agreed to by the referring party and the GEB Attorney,
file charges, or issue a report that no disciplinary action is
warranted, or refer the matter to the LIUNA Inspector General
for further action.
LIUNA will provide the GEB Attorney with sufficient staff, funding,
and office space to fulfill his mandate. The GEB Attorney shall
have complete and unfettered access to, and the right to make
copies of, all books, records, accounts, correspondence, files,
and other documents of any individual or entity.
The GEB Attorney shall have the right to take and require the
sworn statement, or sworn oral deposition, of any officer, agent,
representative, employee, or member of the Union. If any person
refuses to testify or to provide evidence before the GEB Attorney
on the basis of his privilege against self incrimination, discipline
may be imposed on such person for that reason alone, consistent
with the Code of Ethics of the American Federation of Labor-Congress
of Industrial Organizations, as adopted by LIUNA in 1958.
Page 25
The GEB Attorney shall prepare and submit a report on the progress
of his or her efforts to remove the influence of criminal elements
from the Union to the General Executive Board on or before the
fifteenth day of each month. The report shall discuss the status
of all investigative and disciplinary proceedings and trusteeships,
as well as contemplated future action, including the enforcement
of any other lawfully adopted policies of the General Executive
Board.
The GEB Attorney also shall prepare reports concerning his or
her activities, and the progress he or she is making towards achieving
the objectives and purposes of this Disciplinary Procedure, to
be published on a bimonthly basis in The Laborer.
The GEB Attorney also shall report each instance in which he brings
charges or declines to bring charges against any officer, agent,
representative, employee, or member of the Union, or any entity
within the Union, accompanied by a statement of the reasons, to
the General Executive Board within five days after such action
is taken.
The GEB Attorney, in conjunction with the LIUNA Inspector General,
shall study the operations of the Union and recommend changes
to the GEB to improve those operations in order to eliminate all
corruption and racketeering activity, referred to hereinafter
as the "Operations Study." The operations that the GEB
Attorney and LIUNA Inspector General shall study include, but
are not limited to, the following:
a. the procedures used by the Union to investigate and discipline
misconduct by the officers, agents, representatives, employees,
and members;
Page 26
b. the procedures used to fill vacancies in Union positions;
c. the procedures used to select service providers;
d. the procedures used to acquire and staff training sites;
e. the employment procedures; and
f. the practices relating to the imposition of trusteeships and
other sanctions against subordinate organizations.
Within twelve months from the date of adoption of this Disciplinary
Procedure, the GEB Attorney and the LIUNA Inspector General will
submit a report, making recommendations to the GEB, based upon
this study.
The GEB Attorney shall serve for a term of five years from the
date of adoption of this Disciplinary Procedure, unless the GEB
decides to terminate such services at a different date
4. The LIUNA Inspector General
LIUNA shall hire an individual, highly regarded for his or her
integrity and experience, to serve as a full time Inspector General
on the staff of LIUNA. During the term of the GEB Attorney, the
LIUNA Inspector General shall have the authority to resolve all
disciplinary matters arising under the Constitution or Ethical
Practices Code, and to investigate and prosecute all charges 1)
not involving barred conduct, and 2) as to which the GEB Attorney
has not exercised authority.
Thereafter, the LIUNA Inspector General shall also acquire the
disciplinary authority delegated hereunder to the GEB Attorney.
As to any matter within the jurisdiction of the LIUNA Inspector
General, the Inspec-
Page 27
tor General may refer such matter to the appropriate
constitutional authority for further proceedings. The LIUNA Inspector
General also shall have the right to impose and defend any trusteeship,
unless responsibility for the matter is assumed by the GEB Attorney.
The LIUNA Inspector General also shall revise and supervise LIUNA's
compliance and ethics training program, and LIUNA's audit program.
The LIUNA Inspector General also shall supervise the implementation
and operation of all other lawfully adopted procedures and policies
of this International Union. Upon determining that there has been
a violation of any such practice or policy, and unless the GEB
Attorney has assumed jurisdiction of the matter, the LIUNA Inspector
General may issue any direction to any officer, agent, representative,
employee, or member of the Union, as may be appropriate to remedy
the violation
LIUNA will provide the LIUNA Inspector General with sufficient
staff, funding, and office space, to fulfill his mandate. The
LIUNA Inspector General shall have complete and unfettered access
to, and right to make copies of, all books, records, accounts,
correspondence, files, and other documents of any individual or
entity.
The LIUNA Inspector General shall have the right to take and require
the sworn statement, or sworn oral deposition, of any officer,
agent, representative, employee, or member of the Union. If any
person refuses to testify, or to provide evidence, before the
LIUNA Inspector General on the basis of his privilege against
self-incrimination, discipline may be imposed on such person for
that reason alone, consistent with the Code of
Page 28
Ethics of the American
Federation of Labor-Congress of Industrial Organizations, as adopted
by LIUNA in 1958.
The LIUNA Inspector General also will assist the GEB Attorney
in undertaking and reporting on the Operations Study, as delineated
above. During the term of the GEB Attorney, the LIUNA Inspector
General shall provide (at least) quarterly reports to the GEB
and the GEB Attorney concerning his activities during the Previous
quarter. Following the completion of such terms, the LIUNA Inspector
General shall provide such quarterly reports to the GEB
5. The Independent Hearing and Appellate Officers
Two former judges, hearing examiners, or attorneys of similar
integrity, judgement, and experience shall be hired, with one
to serve as an Independent Hearing Officer under this Disciplinary
Procedure, and the other as the Appellate Officer. For a period
of five years following the adoption of this Disciplinary Procedure,
the General Executive Board, with the advice and consultation
of the GEB Attorney and the LIUNA Inspector General, shall select
(and, if necessary, replace) the Independent and Hearing and Appellate
Officers.Thereafter, the GEB shall select future Independent Hearing
and Appellate Officers, with the approval of the LIUNA Inspector
General.
The Independent Hearing Officer shall preside over and provide
rulings in a) all cases brought by the GEB Attorney, pursuant
to this Disciplinary Procedure; and b) all trusteeships; and c)
all election protests brought by
Page 29
any member, officer, or candidate
for office within the Union. Following the termination of the
role of the GEB Attorney, the Independent Hearing Officer shall
preside over and rule in all disciplinary cases brought by the
LIUNA Inspector General alleging the commission of barred conduct
or reviewing the imposition of a trusteeship
The Appellate Officer shall hear all appeals in all matters brought
under The Constitution by the LIUNA Inspector General and, in
the discretion of the LIUNA Inspector General, appeals from local
union or district council trial boards. Such appeals shall be
decided under appropriate appellate standards of review. To the
extent any provisions relating to the Independent Hearing and
Appellate Officers are inconsistent with the LIUNA Constitution,
the General Executive Board, pursuant to Article VIII, Section
2, of the International Union Constitution, hereby amends said
Constitution to incorporate the provisions herein.
At any hearing conducted before the Independent Hearing Officer
by the GEB Attorney (or, following the termination of the role
of the GEB Attorney, by the LIUNA Inspector General), the following
procedures shall apply:
a. Hearings shall be initiated by the filing of a written specific
charge, which shall be served upon the charged party.
b. The charged party shall have at least thirty days, prior to
the hearing, to prepare a defense
c. The party charged may be represented by counsel at the hearing.
d. A fair and impartial hearing shall be conducted before an Independent
Hearing Officer.
Page 30
e. The hearing shall be conducted under the rules and procedures
generally applicable in labor arbitration proceedings, and decisions
shall be made based on a "just cause" standard.
f. The Independent Hearing Officer may require any officer, agent,
representative, member, or employee of, or entity within, the
Union to produce any book, paper, document, record or other tangible
object, for use in any hearing. Any failure to comply with the
request of the Independent Hearing Officer shall be considered
by the Independent Hearing Officer in assessing whether such individual
or entity should be subject to the imposition of discipline.
g. All testimony and other evidence shall be received by the Independent
Hearing Officer under oath.
h. If any person refuses to testify or to provide evidence before
the Independent Hearing Officer on the basis of his privilege
against self-incrimination, or for any other reason not supported
by a valid claim of privilege, discipline may be imposed by the
Independent Hearing Officer on such person for that reason alone,
consistent with the Code of Ethics of the American Federation
of Labor-Congress of Industrial Organizations, as adopted by LIUNA
in 1958.
i. Any discipline imposed by the Independent Hearing Officer,
or other final decision of the Independent Hearing Officer, shall
be subject to appeal by the party disciplined to the Appellate
Officer.
Page 31
Notwithstanding the above procedures, whenever the General President
determines that an emergency situation exists in which the welfare
or preservation of the Union is at stake, he may suspend without
pay any officer or elected union official, at any level of the
organization, including without limitation all officers and/or
Executive Board members of any local union, any district council,
or the International Union, including members of the General Executive
Board, pending the filing of formal charges in or within ten days
of the date of suspension, and a hearing thereon pursuant to the
provisions of sections (a) through (i) of this paragraph.
6. Suspension of Indicted Officers
Upon receipt of notice that any officer, agent, representative,
or employee of any entity within the Union has been indicted for
any felony violation of any federal or state law, or for violating
any federal or state law, relating to the conduct of the affairs
of a labor organization or employee benefit or pension plan, the
GEB and/ or General President shall place the accused individual
on a temporary leave of absence with pay. The GEB Attorney shall
promptly institute a disciplinary hearing before the Independent
Hearing Officer, who shall determine the appropriate discipline,
if any (including whether and for how long to continue the suspension),
pursuant to the procedures delineated herein.
Upon the adoption of this Disciplinary Procedure, written notices,
informing the Union membership of the signing and scope hereof
will be sent to every local union, and will be printed in the
first issue of The Laborer which is published after the date hereof.
Page 32
Date Adopted: January 18th, 1995
The General Executive Board of The Laborers' International Union
of North America, AFL-CIO
Arthur A. Coia
General President
Rollin P. Vinall
General Secretary-Treasurer
Mason M. Warren
First Vice-President
John Serpico* Did not sign
Second Vice-President
Vere 0. Haynes
Third Vice-President
Samuel J. Caivano *Did not sign
Fourth Vice-President
Enrico Mancinelli
Fifth Vice-President
Chuck Barnes
Sixth Vice-President
Jack Wilkinson
Seventh Vice-President
George R. Gudger
Eighth Vice-President
Mike Quevedo, Jr
Ninth Vice-President
Armand E. Sabitoni
Tenth Vice-President
Page 33
Appendix A
"Racketeering activity" means (A) any act or threat
involving murder, kidnapping, gambling, arson, robbery, bribery,
extortion, dealing in obscene matter, or dealing in narcotic or
other dangerous drugs, which is chargeable under State law and
punishable by imprisonment for more than one year, (B) any act
which is indictable under any of the following provisions of title
18, United States Code; Section 201 (relating to bribery), section
224 (relating to sports bribery), sections 471, 472, and 473 (relating
to counterfeiting), section 659 (relating to theft from interstate
shipment) if the act indictable under section 659 is felonious,
section 664 (relating to embezzlement from pension and welfare
funds), sections 891-894 (relating to extortionate credit transactions),
section 1029 (relating to fraud and related activity in connection
with access devices), section 1084 (relating to the transmission
of gambling information), section 1341 (relating to mail fraud),
section 1343 (relating to wire fraud), section 1344 (relating
to financial institution fraud) sections 1461-1465 (relating to
obscene matter), section 1503 (relating to obstruction of justice),
section 1510 (relating to obstruction of criminal investigations),
section 1511 (relating to the obstruction of State or local law
enforcement), section 1512 (relating to tampering with a witness,
victim, or an informant), section 1513 (relating to retaliating
against a witness, victim, or an informant), section 1951(relating
to interference with commerce, robbery, or extortion), section
1952 (relating to racketeering), section 1953 (relating to interstate
transportation of wagering paraphernalia), section 1954 (relating
to unlawful welfare fund payments), section 1955 (relating to
the prohibition of illegal gambling businesses), section 1956
(relating to the laundering of monetary instruments), section
1957 (relating to engaging in monetary transactions in property
derived from specified unlawful activity), section 1958 (relating
to use of interstate commerce facilities in the commission of
murder-for-hire),
Page 34
sections 2312 and 2313 (relating to interstate
transportation of stolen motor vehicles), sections 2314 and 2315
(relating to interstate transportation of stolen property), section
2321 (relating to trafficking in certain motor vehicles or motor
vehicle parts), sections 2341-2346 (relating to trafficking in
contraband cigarettes), sections 2421-24 (relating to white slave
traffic), (C) any act which is indictable under title 29, United
States Code, section 186 (dealing with restrictions on payments
and loans to labor organizations) or section 501 (c) (relating
to embezzlement from union funds). (D) any offense involving fraud
connected with a case under title 11, fraud in the sale of securities,
or the felonious manufacture, importation, receiving, concealment,
buying, selling, or otherwise dealing in narcotic or other dangerous
drugs, punishable under any law of the United States, or (E) any
act which is indictable under the Currency and Foreign Transactions
Reporting Act
Page 35
Appendix B
A "barred person" is (1) any member or associate of
any La Cosa Nostra crime family or any other criminal group, or(2)
any person prohibited from participating in Union affairs. _"Knowingly
associating" does not include (a) a Union member, representative
or official meeting or communicating with a "barred person"
who is an employer to discuss the negotiation, execution or management
of a collective bargaining agreement, or a labor dispute, when
the Union member, representative or official represents, or seeks
to represent or would admit to membership the employees of that
employer; (b) a Union member, representative or official meeting
or communicating with a "barred person" who is a representative
of a labor organization to discuss Union matters; (c) a Union
member, representative or official meeting or communicating with
an officer, employee or member of LIUNA and its affiliated entities,
and (d) a Union member, representative or official meeting or
communicating with a relative by blood or marriage solely for
social purposes. As used in this paragraph, the term "relative"
shall mean a lineal descendent, stepchild, ancestor, sibling or
spouse or child of a lineal descendent, stepchild, ancestor, or
sibling.
Page 36
RULES OF PROCEDURE FOR ARBITRATIONS INVOLVING
DISCIPLINARY MATTERS FOR
INDIVIDUALS BEFORE THE LIUNA INDEPENDENT HEARING OFFICER
Pursuant to the LIUNA Ethics and Disciplinary Procedure adopted on
January 18, 1995, the following procedural rules are hereby adopted.
- Pleadings
All pleadings regarding disciplinary matters before the
Independent Hearing Officer (IHO) including the list of charges, motions
and briefs shall be filed
with the Independent Hearing Officer consisting of an original and one
copy. The IHO should be served at Vaira Backstrom & Riley, 1600
Market, Suite 2650, Philadelphia, PA.19103. A separate copy must be
served on the opposing party. The IHO will hold the pleadings confidential and permit no one except
the parties and their authorized representatives to examine them during
the pre-hearing and hearing stages of the proceedings. A person other
than those authorized by this order who wishes to examine the pleadings
at the pre-hearing and hearing stages of the proceedings must file a
motion with the IHO which demonstrates a particularized need to examine
the documents. The need to examine the pleadings cannot prejudice the
right of all parties to a fair hearing.
Upon a final decision by the IHO
which concludes an arbitration, the original record containing the
pleadings and other documents will be forwarded to
Page 37
General
Secretary-Treasurer of the LIUNA who will enter it on formal docket as
described below.
- Formal Docket
- a. The General Secretary-Treasurer of the LIUNA shall establish a
formal docket at a secure location within the General Headquarters of
the union.
- b. The security of the docket will be the responsibility of the General
Secretary-Treasurer.
- c. The docket will contain all charges, pleadings, and other papers
filed with the IHO, as well as all opinions and orders of the IHO,
arbitration transcripts,and other documents ordered by the IHO to be
docketed.
- d. A separate file will be maintained for each matter, with a separate
number. The details of this numbering system will be formulated at a
future date. The General Secretary-Treasurer shall maintain a separate
docket summary sheet, similar to those maintained by federal courts,
which indicates the matter number, the date the document is entered on
the docket, and a brief description of the document.
- e. The original documents placed on the docket shall not be removed
except upon order by the IHO or the Appellate Officer.
- f. The documents on the docket and the docket entry sheet may be
examined by members of the LIUNA or their representatives upon request
made to the General Secretary-Treasurer, but may not be removed from the
premises of the General Headquarters except upon a written order by the
IHO or the Appellate Officer. It is the responsibility of the General
Secretary -Treasurer to insure that no one examining the docketed
materials destroys or damages the records.
Page 38
- g. Copies of the documents on the docket may be made at any time upon
request of those persons who are authorized to examine the
material.
- h. Persons, other than those authorized to examine the docket by these
rules, who wish to examine the docket must request permission from the
General Secretary-Treasurer.
Discovery
As a general rule, labor arbitration proceedings do not maintain the
formal discovery procedure of common law courts of the United States,
nor of many proceedings before administrative law judges in various
state and federal agencies. Notwithstanding the informality, due process
standards must met, in the context of the types of hearings and their
purposes.
In disciplinary hearings the following discovery procedures
will be followed:
-
-
a. Motion for Full Disclosure. Title 29 U.S.C.Sec. 411 (a)(5) requires
fair notice of the charges in sufficient time to enable the member to
defend himself/herself. The charges should be specific enough to inform
the member of the offense(s) of which he/she has been charged, but need
not be as specific as a criminal indictment. The standards of
particularity of Title29 U.S.C. Sec. 411 (a)(5), as construed by the
courts, will be followed. A member who believes that a charge filed
against him/her is not specific enough to enable him/her to defend
against it may file for full disclosure(in the nature of a bill of
particulars). A motion for a full disclosure must be filed with the IHO
within ten business days of the receipt of the charge(s) by the member.
A copy of the motion shall be served upon
Page 39
the GEB attorney. The GEB
attorney shall respond within seven business days by formal reply to the
IHO with a copy served on the opposing party. The IHO will rule upon the
contested portions of the motion.
b. Documents. Within fifteen business days of the filing of charges the
GEB attorney shall identify to the member served with charges the
documents which the GEB attorney intends to offer into evidence at the
hearing. Upon request of the member, the GEB attorney shall make the
documents available to the member by providing copies, or in the event
the documents are too voluminous, the GEB attorney shall make the
documents available for inspection by the member. This provision is not
intended to limit the GEB attorney from obtaining and utilizing
additional documents other than those specified within
the time limits set out above. In the event the GEB attorney determines
that additional documents may be offered in evidence, the GEB attorney
will promptly notify the opposing party of their identity to permit
examination and inspection.
c. Witness List. No later than seven business days prior to the
scheduled date of the hearing, the GEB attorney shall provide the member
with a list of The names of the witnesses the GEB attorney intends to
call at the hearing. In theevent that other witnesses become available
the GEB attorney shall promptly notify the opposing party of their
identity.
Motions.
All motions must be filed with the IHO pursuant to paragraph (1) of
these rules. Opposition to a motion shall be filed within seven business
days. Upon
Page 40
petition the IHO may grant additional time to answer a
motion.
Hearing Procedure:
- (a) The member charged is entitled to be represented by a lawyer
or other non-lawyer representative of his/her choice, at all stages of
the proceedings.
(b) The hearings will be conducted in a courtroom like manner,
although strict evidentiary rules which are ordinarily followed by
common law courts will not be applied. Hearsay will be admitted provided
there is a demonstration of reliability in the custom and practice of
labor arbitrations. Documents admitted in evidence will be properly
marked and made part of the record. All witnesses will be sworn and
testimony will be transcribed by an accredited court reporter. A
transcript will be filed with the IHO for inclusion in the record.
Testimony of witnesses will consist of direct examination,
cross-examination, redirect and recross. A witness once excused may be
recalled with permission of the IHO. Objections and motions during the
hearing shall be made according to normal courtroom procedure. Unless
otherwise directed by the IHO, witnesses will be sequestered from the
hearing room except during their testimony.
(c) Evidence by Affidavit. The IHO may receive and consider evidence
of witnesses by affidavit in accordance with the custom and practice of
labor arbitrations.
(d) The hearings will be conducted at a location designated by the
IHO. An attempt will be made to hold the hearings at locations
convenient to all parties. Attendance at the hearings will be limited to
the parties, their attorneys or representatives.
Page 41
- (e) The burden of proof is upon the GEB attorney to convince the IHO
that just cause exists to discipline the member.
(f) Subpoenas. Either party may request the IHO to issue a subpoena
duces tecum (for documents) or ad testificandum (for testimony) to a
member or officer of the LIUNA pursuant to section 5(f) of the amended
disciplinary rules. If the IHO is convinced that the documents or
testimony sought are probative and admissible, a subpoena will be
issued. Failure to comply with the subpoena will be dealt with in the
manner set forth in section 5(f) of the LIUNA Ethics and Disciplinary
Procedure pertaining to such refusals. This section in no ways limits
the subpoena power granted independently to the GEB Attorney by the
LIUNA Ethics and Disciplinary Procedure.
(g) Depositions. In the event that a non-LIUNA member is willing to
offer testimony, but is unavailable to appear at the hearing, either
party may petition the IHO for permission to take the deposition of the
person. If the moving party convinces the IHO that the testimony of the
witness is probative and admissible a deposition may be taken for
evidentiary purposes, following as closely as possible the Federal Rules
of Civil Procedure. The transcript of the deposition may be offered in
evidence as part of the hearing.
(h) The IHO may request briefs and arguments on questions that arise
during the hearing and may request proposed findings and
conclusions.
(i)The parties may make summary arguments and submit summary briefs
in conclusion.
Page 42
(j) The IHO will render a decision in writing. The IHO need not await
the transcription of the record to render a final decision.
(k) Following the IHO's written decision, the IHO will transmit the
original record to the General Secretary-Treasurer for inclusion on the
docket.
s/Peter F. Vaira
Peter F. Vaira
Independent Hearing Officer
Dated: February 15,1995
Page 43
OFFICE OF THE APPELLATE OFFICER
LABORERS' INTERNATIONAL UNION OF
NORTH AMERICA
Rules of Procedure for Appeals to the Appellate Officer
Rule 1. Scope of Rules
Pursuant to the LIUNA Ethics and Disciplinary Procedure
adopted on January 18, 1995, the following rules are hereby
adopted. The rules shall take effect on May 10, 1995 and
shall apply to all appeals to the Appellate Officer from
decisions rendered after May 10, 1995 by the independent
Hearing Officer ("IHO").
Rule 2. Pleadings
All pleadings referred to in these rules, including notices
of appeals, motions, briefs, and appendices, shall be filed
with the Appellate Officer in care of the following: W. Neil
Eggleston, Appellate Officer, Howrey & Simon, 1299
Pennsylvania Avenue, N.W., Washington, D.C. 20004. The
original and one copy of each pleading shall be filed. A
separate copy must be served on the opposing party. Filing of
pleadings may be accomplished by mail or courier
addressed to the Appellate Officer. Pleadings will be
treated as filed on the day of mailing or transmittal. The
Appellate Officer will hold the pleadings confidential
and permit no one except the parties and their
authorized representatives to examine them during the
pendency of the proceedings.
Page 44
Rule 3. Notice of Appeal
A party wishing to appeal from a final decision of
the IHO must file, within 10 days of the filing of a final
decision by the IHO, a notice of appeal with the
Appellate Officer.. The notice shall indicate the party or
parties taking the appeal; the date of the decision below;
and the names of counsel for or other authorized,
representative of each party.
Rule 4. Briefing Schedule
Upon filing of the notice of appeal, the Appellate
Officer will serve upon each party a briefing schedule
indicating when each party's briefs are due to be filed.
The briefing schedule will also set forth the page limits
applicable to each party's briefs. In appropriate cases,
the Appellate Of ricer, upon the motion of any party or
on his own motion, may order expedited briefing and
argument.
Rule 5. Briefs
(a) Principal Brief
The principal briefs of the appellant and appellee
shall contain the following:
(1) A statement of the issues presented for review.
(2) A statement of the facts relevant to the issues
presented for review. All facts stated shall be
supported by reference to the page or pages of the
record or appendix (see Rule 6, below) where
that fact appears.:
(3)An argument.
(4) A short conclusion stating the relief sought.
Page 45
(b) Reply Brief
The appellant may file a brief in reply to the brief of
the appellee.
Rule 6. Appendix to the Briefs
(a) Contents
The appellant shall submit, bound separately
from the principal brief, one copy of an appendix
containing any opinion, memorandum of decision
report or findings of facts and conclusions of law
issued by the IHO in support of his decision. The
appendix shall also contain copies of any other
opinions, orders, excerpts from transcripts and
other documents relevant to the issues raised on
appeal. The appellee may also submit with its brief
one copy of an appendix containing any materials
not contained in the appellant's appendix.
(b) Hearing of Appeals on the Original Record
Without the Necessity of an Appendix
The Appellate Officer may, upon motion of any party
or on his own moron, dispense with the requirement of an
appendix and permit appeals to be heard on the original
record.
Rule 7. Computation and Extensions of Time
(a) Computation of Time
In computing any period of time prescribed
by these rules or a briefing schedule, only
business days shall be included. The day of the act or
event from which the designated
period of time begins to run shall not be
included. In all instances in which a responsive
pleading or brief is required, the time period
shall commence running from the date the brief
or pleading requiring a response was mailed
or otherwise transmitted.
Page 46
(b)Enlargement of Time
The Appellate Officer may enlarge the time prescribed
by these rules on request of any party. Such requests
shall be set forth in a letter submitted to the Appellate
Officer stating the reasons for the request, and a copy of
such letter shall be served on all other parties.
Rule 8. Oral Argument
The principal briefs of the appellant and
appellee shall state whether oral argument is
requested. The Appellate Officer or may request oral
argument on his own motion in the absence of a
request for oral argument by either party. If oral
argument is ordered, the Appellate Officer will
notify each party within a reasonable time after the
filing of ad briefs. Arguments will be heard at a time
and place designated by the Appellate Officer. An
attempt will be made to hold oral argument at a location
convenient to all parties. Attendance at the argument
will be limited to the parties and their attorneys or
representatives.
Rule 9. Petition for Rehearing
A petition for rehearing may be filed within 10 days
after the Appellate Officer renders a decision. The
petition shall state the points of law or fact which
in the opinion of me petitioner the Appellate Officer
has overlooked. There will be no oral argument in
support of a petition. No answer to a petition will be received
unless requested by the Appellate Officer. If a
petition for rehearing is granted, the Appellate Officer may
make a final disposition of the case without re-argument.
Page 47
Rule 10. Motions
Unless otherwise provided under these
rules, an application an order or other relief
shall be made by filing a motion with
service on all parties. Unless the time for
filing a response is modified by the
Appellate Officer, any party may file a
response in opposition to a motion within 7
days after the motion is mailed or otherwise
transmitted. No oral argument will be heard
on motions unless otherwise ordered by the
Appellate Officer.
Rule 11. Permissive Appeals
An appeal from a ruling other than a final
disposition by the IHO may be sought by filing a petition
for leave to appear with the Appellate
Officer. Allowance of such an appeal is disfavored, and is
within the discretion of the Appellate Officer. The petition
shall be filed within 15 days of the ruling from which
appeal is sought. A notice of appeal need not be filed. The
petition for leave to appeal shall contain a statement of the
facts necessary to an understanding of the issues to be
presented' by the appeal; a statement of those issues and
of the relief sought; a statement of the reasons why in the
opinion of the petitioner the appeal shall be allowed; and a
copy of the ruling complained of and any opinion or
memorandum relating thereto. No answer to a petition will
be received unless requested by the Appellate
Officer.
Rule 12. Remand for Further Investigation
The Appellate Officer reserves the right to remand any matter
to the IHO for further investigation or fact-finding.
Page 48
Rule 13. Substantial Compliance
The Appellate Officer, within his discretion, may
consider pleadings that are untimely or otherwise not in
technical compliance with these rules.
Rule 14. Transmission of Record
Following the issuance of the Appellate Officer's final
written decision and the expiration of time for the filing of
any petition for rehearing, the Appellate Officer will
transmit the original record to the General Secretary
Treasurer for inclusion in the docket in accordance with
the procedure outlined in Rule 2 of the IHO's Rules of
Procedure For Arbitrations involving Disciplinary Matters
For Individuals Before the LIUNA independent Hearing
Officer.
W. NEIL EGGLESTON
Appellate Officer
DATE: May 10, 1995
Page 49
SUMMARY OF LIUNA-GOVERNMENT AGREEMENT
February 13, 1995 was an historic day for
the Laborers' International Union of North America (LIUNA). After
years of controversy and months of negotiation, the General Executive
Board entered into an unprecedented agreement with the United
States government that will enable the organization - once and
for all - to shed the label "mob Union," and with it
the damaging effects it has had on organizing efforts and labor-management
relations.
This agreement is a first-of-its-kind in
the history of union-government partnering, and represents a further
example of what LIUNA has done to advance cooperation at
a national level. It is completely different form the International
Brotherhood of Teamsters situation, which was an example of government
take-over and control of a union.
Our negotiations with the Government resulted
in a two-part agreement. The first part, officially entitled Agreement,
is referred to in this summary as the "Operating Agreement";
the second part, entitled Consent Decree, is referred to
here as the "Contingency Plan."
The Operating Agreement essentially provides
that LIUNA, with certain assistance from the government in the
form of information and evidence, will undertake internal reforms
focused on implementing and enforcing disciplinary procedures
and conducting internal investigations into possible wrongdoing,
especially concerning associations with individuals involved in
organized crime. LIUNA's day-to-day operations will not
Page 50
be affected in any way by this process, and
no government personnel will be involved in the administration
of Union activity. This process will be allowed to continue for
a period of ninety (90) days. At that time, the government will
review our progress, and talk to our attorneys and our Inspector
General about the steps we have taken and how successful we have
been. They will also discuss what remains to be done. If everyone
agrees that we are making a successful effort on our own, the
internal program will continue. Our efforts will be reviewed
periodically by the Government, and could go on as long three
years. If the government does not activate the Consent Decree
during this three-year period, the "Operating Agreement"
expires and the Consent Decree can never be put into effect.
At any time after the first ninety (90)
days, if the government believes that we have not done enough,
or that we do not have the right tools, it will have the option
to trigger the Consent Decree, or "Contingency Plan,"
as we call it. The Contingency Plan is exactly that - a secondary
agreement that comes into play only if the first one fails. AT
THE PRESENT TIME, THERE IS NO LAWSUIT BETWEEN LIUNA AND THE UNITED
STATES GOVERNMENT.
The Contingency Plan provides that LIUNA
and the government have agreed to the filing of a lawsuit that
gives the Court the legal basis to impose the Consent Decree.
This means that no one has to spend time, money and manpower in
Court. The Consent Decree is simple and says that both LIUNA and
the government recognize that over the years, organized crime
has had some influence on the Union; that both the gov-
Page 51
ernment and LIUNA agree that there should
be no such criminal influence; and that both the government and
LIUNA, in their own ways, have tried to eliminate the problem,
but have not been completely successful in doing so.
The Decree then provides some additional
tools to make the process of eliminating corruption and ensuring
democracy easier to accomplish. These tools are the appointment
of an Independent Monitor, who would be the Court's supervisor
of the process of removing criminal elements from the Union, and
would also perform functions similar to those of our Independent
Hearing Officer; and Investigations Officer, who would be the
government's version of our own Inspector General and GEB Attorney;
and an Elections Officer whose job would be to implement and supervise
rank-and-file elections of International Officers. All these positions
would be filled by individuals selected jointly by both LIUNA
and the government. The Monitor and Investigations Officer would
serve for terms of three (3) years, unless the Court shortens
or lengthens their terms; the Elections Officer would serve until
the Court feels it is no longer necessary. LIUNA would continue
to have the right, under the Consent Decree to discipline its
own members and subordinate bodies, and the roles of our GEB Attorney
and Inspector General would be preserved.
__________________
Two other
changes would be made by the Consent Decree, if it ever became
operational. First, certain job referral rules and procedure
would be implemented in every local union whose collective bargaining
agreements provide for hiring halls. A copy of these rules and
procedures follows the Consent Decree in the booklet. These rules
are similar to the practices that Local Unions are already expected
to follow.
Page 52
Second, International Officers, that is
the General President, General Secretary-Treasurer, and General
Executive Board members, would be nominated at the Convention
and then elected by a rank-and-file mail ballot. This new election
procedure would involve two other elements besides the mail balloting
by the rank-and-file. The first is that the Executive Board would
be expanded to include an Eleventh Vice President, then six of
the Vice Presidents on the General Executive Board would be elected
on a regional basis; that is, they would be nominated only by
delegates from the Regions in which they are located and elected
only by members from those regions. The remaining five Vice Presidents,
along with the General President and the General Secretary-Treasure,
would be nominated by all the delegates and elected by all the
rank-and-file. The second element is that in order for any qualified
candidate to be nominated for International Office, he or she
would have to obtain at least five (5%) percent of the delegates
from that Region to be nominated.
Other provisions of the Consent Decree permit
the Independent Monitor to review appointments to Union positions
on Boards of Trustees of national benefit funds, International
Staff appointments, selections of persons to act as Trustees of
Local Unions or District Councils that are placed in trusteeship,
contracts for services in excess of one hundred fifty thousand
($150,000) dollars. The Monitor could reverse a decision by the
Union only if it would permit influence
Page 53
by organized crime. The Monitor would not
have the power to second guess the decision of your elected officials
on how to manage the day-to-day affairs of LIUNA. Any decisions
made by the Monitor could be appealed to the Court.
AGAIN, THE PROVISIONS OF THE CONSENT
DECREE ARE NOT IN EFFECT AT THIS TIME, AND THEY MAY NEVER BE PUT
INTO EFFECT. AS LONG AS WE CONTINUE TO MAKE PROGRESS TOWARD OUR
GOALS, WE WILL E ABLE TO FUNCTION INDEPENDENTLY OF BOTH THE GOVERNMENT
AND ANY CORRUPTIVE INFLUENCES.
Page 54
AGREEMENT
This Agreement is entered into, this 13th
day of February 1995, between the Laborers' International Union
of North America (hereinafter referred to as "LIUNA")
and the United States of America, by and through the Assistant
Attorney General Jo Ann Harris and the United States Attorney
for the Northern District of Illinois,James B. Burns.
WHEREAS,,
LIUNA and the United States have been pursuing various courses
of action designed to ensure that all locals and other entities
within LIUNA are rid of any corrupting influence of any member
of organized crime;
WHEREAS,,
both LIUNA and the United States seek the complete elimination
of any such corrupting influence on any entity within LIUNA;
NOW, THEREFORE,,
LIUNA and the United
States agree as follows:
1. LIUNA shall be allowed to undertake a
period of internal reform, lasting at least ninety (90) days,
aimed at further investigating and disciplining individuals within
any entity of LIUNA for wrongful association with, or corruption
by, members of organized crime, as well as instituting other reforms.
During this period, the United
States may provide any assistance allowed
by law to LIUNA
2. If, after this period of at least ninety
(90) days from the date hereof (but prior to the expiration of
this Letter Agreement), the Assistant Attorney General for the
Criminal Division determines, in her sole discretion, that the
imposition of a consent decree is neces-
Page 55
sary or desirable, after
having given LIUNA an opportunity to have a meeting to be heard, the parties agree
to the filing of the attached complaint and entry and implementation
of the attached consent decree.
3. This Agreement shall expire on February
11, 1998.
CONSENTED AND AGREED TO:
DATE: February 13, 1995
THE GENERAL EXECUTIVE BOARD OF
THE LABORERS' INTERNATIONAL
UNION OF NORTH AMERICA, AFL-CIO
signature/Arthur A. Coia
Arthur A. Coia
General President
s/Did Not Sign
John Serpico
Second Vice-President
signature/Rollin P. "Bud" Vinall
Rollin P. "Bud" Vinall
General Secretary-Treasurer
signature/Vere O Haynes
Vere O.Haynes
Third Vice-President
signature/Mason M. Warren
Mason M. "Max" Warren
First Vice-President
signature/Did Not sign
Samuel J. Caivano
Fourth Vice-President
Page 56
signature/Enrico Mancinelli
Enrico Mancinelli
Fifth Vice-President
signature/Michael Quevedo, Jr.
Michael Quevedo, Jr.
Ninth Vice-President
signature/Chuck Barnes
Chuck Barnes
Sixth Vice-President
signature/Armand Sabitoni
Armand Sabitoni
Tenth Vice-President
signature/Jack Wilkinson
Jack Wilkinson
Seventh Vice-President
signature/Robert D. Luskin
Robert D. Luskin
Attorney to the General
Executive Board of LIUNA
signature/George R. Gudger
George R. Gudger
Eighth Vice-President
signature/Brendan V. Sullivan, Jr.
Brendan V Sullivan, Jr
Attorney for Arthur A. Coia
THE UNITED STATES OF AMERICA
signature/Jo Ann Harris
Jo Ann Harris
Assistant Attorney General
signature/Paul E. Coffey
Paul E. Coffey, Chief
Racketeering Section
Criminal Division
U.S. Department of Justice
signature/James B. Burns
James B. Burns
United States Attorney Northern District
of Illinois
Page 57
UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF ILLINOIS
EASTERN DIVISION
UNITED STATES OF AMERICA,
Plaintiff,
v.
LABORERS'INTERNATIONAL UNION
OF NORTH AMERICA,AFL-CIO,
Defendant.
CONSENT DECREE
This matter coming before the
Court by agreement of the parties,the United States of America
(hereinafter "the United States"), plaintiff, and the
defendant, Laborers'(hereinafter "LIUNA"), acting through
and by decision of the General Executive Board, (hereinafter "the
GEB"), and the Court being fully informed in the premises,
FINDS as follows:
A. The organized crime syndicate
known as La Cosa Nostra (hereinafter "the LCN") has
at various times had a corrupting influence on the affairs of
various locals and other entities within LIUNA;
B. By bringing certain criminal
prosecutions and related proceedings, the United States has had
success in reducing the extent of LCN corruption in various entities
within LIUNA, but has not eliminated all of the corrupting influence
in entities within LIUNA;
C. By the imposition of certain
trusteeships, internal union discipline, the adoption of an Ethics
Code and a new system of disciplinary procedures, and other techniques,
the current GEB has taken steps to reduce the LCN corruption in
certain entities within LIUNA, but has not eliminated all of such
corrupting influence in entices within LIUNA;
Page 58
D. The United States and LIUNA
agree that there should be no corruption by the LCN of any entity
anywhere within LIUNA, and thus, that further cooperative efforts,
subject to judicial supervision and with judicial assistance,
are necessary and appropriate.
E. The parties thus have agreed
to the filing of a complaint, seeking equitable relief pursuant
to the civil remedies provisions of the Racketeer Influenced and
Corrupt Organizations Act ("RICO"), 18 U.S.C. 1964,
and to the contemporaneous filing of this Consent Decree;
F. The United States and LIUNA
agree that one of the purposes of this Consent Decree is to ensure
that the affairs of LIUNA should be maintained and conducted in
a democratic fashion, with integrity, for the sole benefit of
its members and without unlawful outside influence;
G. This Consent Decree has
been entered into on. behalf of the rank-and-file members of LIUNA;
and,
H. The United States and LIUNA,
by and through its GEB, have consented to the entry of this order.
Page 59
Accordingly, it is hereby ORDERED,
ADJUDGED AND DECREED as follows:
Purpose and Summary
- The findings set forth in
paragraphs A through H above are incorporated by reference in
this paragraph and are agreed to by the undersigned parties. Both
the United States and LIUNA are strongly committed to eradicating
organized crime and criminal elements from all levels of the union.
To fulfill its commitment to eradicate organized crime and criminal
elements from all levels of the union, LIUNA has adopted a variety
of procedural, structural, and substantive reforms designed to
accomplish that goal and agrees to the adoption of additional
reforms. These include constitutional, election and work referral reforms.
- In addition, the GEB has
retained an attorney it, (hereinafter "the GEB attorney"),
who has the GEB's mandate to take whatever action is necessary
to accomplish the removal of organized crime and all other criminal
elements from all levels of the union.
-
To achieve the mandate of
the Consent Decree, this decree also establishes:
(i) an Independent Monitor, who, among other things, is to supervise the removal of organized crime and all other criminal elements from all levels
of the union;
(ii) an investigations Officer,
who shall have independent authority to initiate and pursue investigations
under this Consent Decree; and (iii) an Elections Officer who
is to supervise the conduct of direct rank-and-file elections
for officers of the International Union. Nothing in this paragraph
shall be construed to limit the power and authority
Page 60
of the LIUNA
officers from taking appropriate action not inconsistent with
the purposes and objectives of this decree.
Court Jurisdiction
- LIUNA, by and through the
GEB, acknowledges that this Court has jurisdiction over the subject
matter of the action and personal jurisdiction over the parties
to this Consent Decree. This Consent Decree is a valid exercise
of the Court's jurisdiction and remedial authority.
- This Court shall retain
exclusive jurisdiction over the subject matter of this action
and over the parties to this Consent Decree to supervise implementation
of this Consent Decree and shall have exclusive jurisdiction to
decide any and all issues arising under the Consent Decree, and
any and all disputes growing out of the interpretation or application
of this Consent Decree until further order of this Court. The
independent Monitor, the Investigations Officer, the Elections
Officer or any party to this Consent Decree may apply to the Court
for any order necessary or appropriate to implement this Consent
Decree, including orders preventing non-parties from interfering
with the implementation of the Consent Decree. The GEB, the Independent
Monitor, and the United States shall have the right to intervene
in the event of any and all disputes growing out of the interpretation
or application of this Consent Decree.
Definitions
- Any reference in this Consent
Decree to the term' "Independent Monitor" shall be construed
to be a ref-
Page 61
erence to the Independent Monitor whose powers and
duties are defined in paragraphs 26 to 35 below.
- Any reference in this Consent
Decree to the term to the Investigations Officer whose powers
and duties are defined in paragraphs 36 to 43 below.
- Any reference in this Consent
Decree to the term "Elections Officer" shall be construed
to be a reference to the Elections Officer whose powers and duties
are defined in paragraphs 44 to 47 below.
- Any reference in this Consent
Decree to the term "employee pension benefit plan,"
shall be construed to be a reference to any "employee pension
benefit plan," and includes, but is not limited to, such
plans as are defined in 29 U.S.C. ß 1002(2) and any pension
plans covering governmental employees.
- Any reference in this Consent
Decree to the term "employee welfare benefit plan" or
"welfare plan" shall be construed to be a reference
to any employee welfare benefit plan, including, but not limited
to, such plans as are defined in 29 U.S.C. ß1002(1) or any
welfare plan covering governmental employees.
- The term "attorneys
for the United States" as used in this Consent Decree means
the United States Attorney for the Northern District of Illinois
or any assigned Assistant United States Attorney for the Northern
District of Illinois and the Chief of the Organized Crime and
Racketeering Section, Criminal Division, United States Department
of Justice, (hereinafter OCRS ') or any assigned Trial Attorney
of that office, or any other attorney assigned by the United States
Attorney General. Any requirement in this Consent De-
Page 62
cree to submit
reports or other documents to the attorneys for the United States
shall be construed to require submission of such reports and documents
to the United States Attorney for the Northern District of Illinois
and the Chief of OCRS.
- Any reference to the term
"LIUNA and its affiliated entities" in this Consent
Decree shall be a reference to the International Union and its
Regional Offices, District Councils, Local Unions and other subordinate
entities and its affiliated employee pension
benefit plans, employee welfare benefit plans, and its other affiliated
funds, including but not limited to, political action committees
(hereinafter referred to as "PACs") and Laborers-Employers
Cooperative Education Trust funds (hereinafter referred to as
"LECET funds").
- As used in this Consent
Decree, the term "knowingly associating" shall mean
that:
(a) an enjoined party knew
or should have known that the person with whom he or she was associating
is a barred person; and
b) the association was more
than fleeting or casual. A "barred person" is
(1) any member or associate
of any La Cosa Nostra crime family or any other criminal group,
or
(2) any person prohibited from
participating in union affairs. Nothing in this paragraph shall
preclude:
(i) an enjoined party from
meeting or communicating with a barred person who is an employer
to discuss the negotiation, execution or management of a collective
bargaining agreement, or a labor dispute, when the enjoined party
represents, seeks to represent, or would admit to membership the
employees of that employer;
(ii) an enjoined party from
meeting or communicating with a barred person who is a representative
of a labor
Page 63
organization to discuss union matters;
(iii) an enjoined party from
meeting or communicating with an officer, employee or member of
LIUNA and its affiliated entities; and (iv) an enjoined party
from meeting or communicating with a relative by blood or marriage
solely for social purposes. As used in this paragraph, the term
"relative" shall mean lineal descendent, stepchild,
ancestor, sibling or spouse or child of a lineal descendent, stepchild,
ancestor, or sibling.
Union Action
- Permanent Injunctions:
LIUNA agrees that all current and future of ricers, agents, representatives,
employees and members of LIUNA and its affiliated entities are
permanently enjoined:
(a) from committing any act
of racketeering as defined in 18 U.S.C. ß 1961(1);
(b) from knowingly associating
with any member or associate of the LCN or other criminal group
or with any barred person;
(c) from knowingly permitting
any member or associate of the LCN or other criminal group or
barred person to exercise any control or influence, directly or
indirectly, in any way or degree, in the conduct of the affairs
of LIUNA and its affiliated entices. Nothing in this paragraph
shall limit an enjoined person's ability to associate or transact
union business with employers, LIUNA members, and labor representatives
as provided for in paragraph 13 (i)-(iii) above;
(d) from obstructing or otherwise
interfering, directly or indirectly, in any way or degree, with
the work of anyone who is appointed by the terms of this decree
or from interfering with the efforts of any offic-
Page 64
er, attorney,
or employee of LIUNA and its affiliated entities in effectuating
the terms of this decree, or in attempting to prevent the LCN
or other criminal element from exercising influence on the conduct
of the affairs of LIUNA and its affiliated entities.
- Job Referral Rules: LIUNA
believes that its members should be treated fairly in the distribution
of work and that members should not be intimidated from exercising
their democratic rights through manipulation of the hiring hall
process. Therefore, LIUNA agrees
that within thirty days after the entry of this Consent Decree,
LIUNA and all of its subordinate entities shall adopt the job
referral rules and procedures attached hereto as Exhibit A and
incorporated herein (hereinafter referred to as "the Job
Referral Rules"). These entities shall comply with the Job
Referral Rules in all respects.
- The GEB Attorney and the
Independent Monitor shall supervise the implementation and operation
of the Job Referral Rules. Upon determining that there has been
a violation of those rules, the GEB Attorney or the independent
Monitor may issue any direction to any officer, agent representative,
employee or member of LIUNA or any of its subordinate entities,
as may be appropriate to remedy the violation. The Job Referral
Rules may be amended or modified by agreement of the GEB Attorney
and the independent Monitor.
- Other Internal Reforms:
LIUNA recognizes that members must be free from intimidation in
order to exercise their rights under the provisions of the Labor
Management Reporting and Disclosure Act of 1959, as amended, 29
U.S.C. 11401-531 (hereinafter referred
Page 65
to as 'the LMRDA"). The free exercise of these rights is
important in eliminating the influence of organized crime. Therefore,
LIUNA agrees to the election reforms set forth in paragraphs 45
to 48 below, and
the constitutions enumerated
in paragraphs 49 through 50 below.
- GEB Attorney: The GEB Attorney
has given the power by the GEB to initiate and conduct investigations
to remove organized crime and all other criminal elements as a
source of influence in the affairs of LIUNA. A of the investigative
powers described in the LIUNA International Union Constitution,
Uniform Local Union Constitution and Uniform District Council
Constitution (hereinafter referred to collectively as "the
LIUNA constitutions") are delegated to the GEB Attorney for
the purposes of complying with this Consent Decree. The GEB Attorney
may initiate charges and present evidence at hearing before the
Independent Monitor as detailed in paragraph 30 below. The GEB
Attorney may bring charges against any officer, agent, representative,
employee or member of LIUNA and its affiliated entices, including
the General President, the General Secretary-Treasurer, and the
members of the General Executive Board, for any matter constituting
a felony violation of the laws of the United States; or any violation
of any state or federal law relating to the conduct of the affairs
of a labor organization or employee benefit plan. Charges may
also be brought for a violation of the injunctions adopted in
paragraph 14 of this Consent Decree, any provision of the LIUNA
constitutions, or working rules, including the Job Referral Rules.
Page 66
- LIUNA will provide the
GEB attorney with sufficient staff and funding by LIUNA to fulfill
his mandate. The GEB Attorney shall have complete and unfettered
access to, and the right to make copies of, all books, records,
accounts, correspondence, files, and other documents of LIUNA
and its affiliated entities or of any officer, agent, representative,
member or employee of LIUNA and its affiliated entities. If the
GEB Attorney needs subpoena power to obtain necessary documents
and testimony from outside parties, he shall seek such power from
the Court by requesting it through the investigations Officer,
who shall not unreasonably deny the request. The GEB Attorney
may request the Investigations Officer to assume jurisdiction
over any matter at any time.
- The GEB Attorney shall
have the right to take and require the sworn statement or sworn
oral deposition of any officer, agent, representative, employee
or member of LIUNA and its affiliated entities. If any person
who is the subject of an inquiry under this decree refuses to
testify or to provide evidence to the GEB Attorney on the basis
of his privilege against self-incrimination, discipline may be
imposed on such person for that reason alone, consistent with
the Code of Ethics of the American Federation of Labor-Congress
of Industrial Organizations, as adopted by LIUNA in 1958. Also,
failure to testify or provide evidence in the absence of a valid
claim of attorney-client privilege may be the basis for discipline.
Any person so declining to testify or provide evidence to the
GEB Attorney may be subpoenaed to testify before the Independent
Monitor and he may be subject to punishment for contempt
Page 67
of court
upon application to the Court by the independent Monitor.
- Reporting Requirements:
On a quarterly basis, the GEB Attorney shall file a written status
report with the independent Monitor regarding the actions he has
taken toward achieving the objectives and purposes of this Consent Decree. Copies of this report
shall be provided to the GEB, the attorneys for the United States
and to the Investigations Officer. The report shall also include
an assessment of the progress of the adoption, implementation,
and operation of the Job Referral Rules.
- LIUNA shall publish reports
by the GEB Attorney concerning his activities and the progress
he is making towards achieving the objectives and purposes of
this decree. These reports will be made on a bimonthly basis and
will be
>published in LIUNA's organ,
The Laborer, or other similar publication.
- Review Authority: The GEB
Attorney, in conjunction with the Investigations Officer, will
study the operations of LIUNA and its affiliated entices and recommend
changes to the GEB to improve those operations in order to eliminate corruption and racketeering
activity. The operations that the GEB Attorney and Investigations
Officer shall study include, but are not limited to, the following:
(a) the procedures used by
LIUNA to investigate and discipline alleged misconduct by the
officers, agents, representatives, employees, and members of LIUNA
and its affiliated entities;
(b) the procedures used by
LIUNA and its affiliated entities to fill vacancies in union positions;
(c) the procedures used by
LIUNA and its affiliated entities to select service providers;
(d) the procedures used by
LIUNA and its affiliated entities to acquire and staff training
sites;
Page 68
(e) the employment procedures
used by LIUNA and its affiliated entities; and
(f) the practices of LIUNA
relating to the imposition of trusteeships against subordinate
organizations.
- Within twelve months after
entry of this decree, the GEB Attorney and the investigations
Officer are to make specific recommendations to the GEB based
upon their study of the issues listed in paragraph 23 above, which
the GEB shall consider in good faith. As
to any such recommendation that is directly related to those disciplinary
procedures or those trusteeship procedures necessary to eliminate
corruption by the LCN or other criminal group, if the GEB fails
to adopt the recommendations within 30 days, the Court may order
LIUNA to adopt and implement such recommendations upon application
of either the GEB Attorney or the Investigations Officer, if the
Court finds that such additional disciplinaryprocedure or trusteeship procedure
recommendations are necessary to eliminate corruption by the LCN
or other criminal group. Copies of the recommendations by the
GEB Attorney and the Investigations Officer to the GEB shall be concurrently sent to the Court,
the independent Monitor and the attorneys for the United States.
- The GEB Attorney and the
investigations Officer also shall study the procedures used by
LIUNA for the chartering and defining of Jurisdiction of Local
Unions, District Councils, and other subordinate bodies, and the
discipline of these entities, for the purpose of assuring that
these procedures will not be abused so
Page 69
as to encourage corruption
following the expiration of this Consent Decree. When the Court
determines to terminate this Consent Decree, the GEB Attorney
and the Investigations Officer shall thereafter have six months
in which to make specific recommendations to the GEB based upon
their study of these matters. If the GEB fails to adopt the recommendations
within thirty (30) days, the Court may order LIUNA to adopt and
implement the recommended procedures following the termination
of this decree upon application of either the GEB Attorney or
the Investigations Officer, if the Court finds that such adoption
as such procedures is necessary to eliminate corruption by the
LCN or other criminal group and does not impose an unreasonable burden upon the operations
or self-governance of the Union. Necessary is defined as meaning
that other procedures in the Consent Decree have been tried and
have failed or reasonably appear to be unlikely to succeed if
tried. Copies of the recommendations by the GEB
Attorney and the Investigations Officer to the GEB shall be concurrently
sent to the Court, the Independent Monitor and the attorneys for
the United States.
- Waiver of Attorney-Client
Privilege: The actions taken and decisions made by the GEB Attorney
in the performance of his duties under this Consent Decree are
not covered by the attorney-client or work-product privilege,
and if so covered, those privileges are deemed to have been waived
by LIUNA and its affiliated entities.
The Independent Monitor
- The parties shall jointly
select an independent Monitor to be appointed by the Court. If
the parties fail
Page 70
to reach agreement on selection of an individual
to serve as the Independent Monitor, the parties shall follow
the procedures set forth in paragraph 58 below. The independent
Monitor will supervise the removal of organized crime and all
other criminal elements as a source of influence in the affairs
of LIUNA. In achieving this mandate independent Monitor shall have the following powers,
rights and responsibilities:
- Disciplinary Powers: The
independent Monitor shall have the same rights and powers as the
LIUNA General President and GEB and any other officer, agent,
employee or representative of LIUNA, as well as full authority
derived from any and all provisions
of law, to discharge those duties which relate to disciplining
officers, agents, representatives, employees, and members of LIUNA
and its affiliated entities for the purposes of complying with
this Consent Decree and fulfilling its mandate. The Independent
Monitor shall have the authority to impose discipline for all
matters within the jurisdiction and authority of the GEB Attorney
and the Investigations Officer. The Independent Monitor shall
preside at hearings on charges brought by the GEB Attorney and
the investigations Officer.
- Review of the GEB Attorney:
if the Independent Monitor reasonably determines that the GEB
Attorney is not making sufficient progress toward the achievement
of the purposes of this Consent Decree, the independent Monitor
may remove any or all of the investigative
authority delegated to the GEB Attorney under this Consent Decree.
In such event, those powers shall be exclusively delegated to
the Investigations Officer. In such event, the Independent Monitor
shall
Page 71
give notice to the Court and to the parties with a statement
of the reasons for such action.
- Policy Review: The Independent
Monitor shall have the authority to review the policies and appointments
of LIUNA and its affiliated entities as set forth below:
(a) The GEB shall submit to
the independent Monitor the names and identifying data of all
persons selected to fill vacancies on the GEB between the times
of regular elections for such positions, and any other appointed
office of LIUNA, including, but not limited
to, regional managers, international representatives, special
international representatives and trustees to oversee the affairs
of LIUNA district councils, local unions, and other subordinate
entities during a trusteeship imposed pursuant to the provisions
of 29 U.S.C. ß 462. Unless the Independent Monitor disapproves
the appointment within 15 days of receiving the submission, based
on a determination that such selection would be inconsistent with
the objectives and purposes of this Consent Decree, the appointment
shall be final. The Independent Monitor may submit such names
to the attorneys for the United States who may submit the names
and identifying data to any governmental agency for the purpose
of determining if the selection would be inconsistent with the
objectives and purposes of this Consent Decree.
(b) The GEB shall submit to
the independent Monitor the names and identifying data of all
persons selected by LIUNA or any of its affiliated entices to
fill the position of union trustee, or any other union-appointed
position, on any international pension benefit
Page 72
plan or welfare plan or other fund affiliated with LIUNA, including,
but not limited to, PACs and LECET funds. Unless the independent
Monitor disapproves the appointment within 15 days of receiving
the submission, based on a determination
that such selection would be inconsistent with the objectives
and purposes of this Consent Decree, the appointment shall be
final. The independent Monitor may provide such names to the attorneys
for the United States who may submit the names and identifying
data to any governmental agency for the purposes of determining
if the selection would be inconsistent with the objectives and
purposes of this Consent Decree.
(c) The GEB shall submit all
proposed contracts of over $150,000 to be entered into by LIUNA
or any of its affiliated entities to the Independent Monitor.
Unless the Independent Monitor disapproves the contract within
15 days of receiving the submission, based on a determination
that entry into such contract would be inconsistent with the objectives
and purposes of this Consent Decree, the GEB or LIUNA may enter
into such contact. In making his determination, the Independent Monitor may request
the assistance of the Investigations Officer or the attorneys
for the United States.
(d) The independent Monitor
shall have the authority to review all expenditures or gifts of
union property by the GEB or any other entity of the International
Union, including its regional offices. Within 15 days of receipt
of notice of any expenditure, the independent Monitor may seek
to rescind any expenditure that is not duly authorized or, if
authorized, would be inconsistent with the objectives and purposes
of this
Page 73
Consent Decree. The Independent Monitor shall report the
results of this review to the Court and to the attorneys for the
United States who may use such information for whatever purposes
they deem appropriate.
(e) The GEB shall give the
independent Monitor a written agenda for every meeting of the
GEB, and the Independent Monitor or his designee shall have the
right to attend every such meeting.
- Hearing Procedures: At
any hearing conducted by the Independent Monitor, the following
procedures shall apply:
(a) Hearings before the independent
Monitor shall be initiated by the filing of a written specific
charge which shall be served upon the charged party.
(b) The charged party shall
have at least thirty days prior to the hearing to prepare a defense.
(c) The party charged may be
represented by counsel at the hearing.
(d) A fair and impartial hearing
shall be conducted before the independent Monitor.
(e) The hearing shall be conducted
under the rules and procedures generally applicable in labor arbitration
proceedings and decisions shall be made using a 'just cause"
standard.
(f )The independent Monitor
shall have the authority pursuant to 18 U.S.C. ß1965( b),
to issue subpoenas to all parties including LIUNA or any of its
affiliated entities and to non-parties for the purpose of compelling
testimony and requiring the production of books, papers, records
or other tangible objects at hearings conducted by the independent
Monitor.
Page 74
(g) The Independent Monitor
may require any component of LIUNA, or its affiliated entries,
or any officer, agent, representative, member or employee of LIUNA
or any of its affiliated entities to produce any book, paper,
document, record, or other tangible object
for use in any hearing conducted by the independent Monitor. Any
failure by LIUNA or its affiliated entities to comply with any
such request may be used by the Independent Monitor to determine
whether such entity should be subject to the imposition of discipline.
(h) All testimony and other
evidence shall be received by the Independent Monitor under oath
and shall be subject to the penalties of perjury to the same extent
as if such evidence was submitted directly to the Court.
(i) if any person who is the
subject of an application for imposition of discipline, refuses
to testify or to provide evidence before the independent Monitor
on the basis of his privilege against self-incrimination, discipline
may be imposed by the Independent Monitor on such person for that
reason alone, consistent with the Code of Ethics of the American
Federation of Labor-Congress of industrial Organizations, as adopted
by LIUNA in 1958. Also, failure to testify or provide evidence
in the absence of a valid claim of attorney-client privilege may
be the basis for discipline. Any person so refusing to testify
or provide evidence before the Independent Monitor may be subject
to punishment for contempt of court upon application to the Court
by the Independent Monitor.
(j) At any hearing before the
Independent Monitor, the Independent Monitor may receive and consid-
Page 75
er,
along with any other evidence, the sworn testimony of any law
enforcement officer regarding information given to a law enforcement agency by a reliable confidential
source of information. In no instance shall such officer be required
to reveal the identity of the confidential source of information,
but the Independent Monitor can choose what weight, if any, to
give such testimony.
(k) Any discipline imposed
by the Independent Monitor, or other decision of the Independent
Monitor, shall be final and binding on the parties to the hearing
subject to review by the Court.
- Appeals of Monitor's Decisions:
Any discipline imposed by, or decision of the Independent Monitor
shah be fine and binding, subject to review by this Court. For
a period of up to fourteen (14) calendar days after service of
the independent Monitor's decision, the person, party, or entity
aggrieved by the decision shad have the right to seek review in
this Court. In reviewing decisions of the Monitor, the Court shall
apply the same standard of review applicable to review of final
agency action under the Administrative Procedure Act, that is,
that such decision shall be sustained if supported by substantial
evidence on the record and if it is not an abuse of discretion.
- Reporting Requirements:
On a quarterly basis, the Independent Monitor shall file a written
status report with the GEB and the Court regarding the activities
of the GEB Attorney, the Investigations Officer, and the independent
Monitor toward achieving the objectives and purposes of this Consent
Decree. Copies of this report shall be provided to the attorneys
for the
Page 76
United States, to the GEB Attorney and to the Investigations
Officer. The Independent Monitor may distribute written reports
to the membership of LIUNA entities describing the activities
of the Independent Monitor and/or any events occurring as part
of the implementation of this Consent Decree. The Independent
Monitor shall also make quarterly assessments of the
progress being made to fulfill the mandate of this decree and
these reports will also be published at union expense in The Laborer
or other similar publication.
- Court Enforcement: The
Independent Monitor, the Investigations Officer, the GEB, or the
parties, may apply to the Court for any orders necessary or appropriate
to implement this Consent Decree.
(a) The Independent Monitor
may request that the United States assist him in any manner to
carry out his responsibilities and mandate under this decree,
including asking the United States to represent him in any proceeding
before the Court or to provide any legal assistance or advice.
(b) The Independent Monitor
may apply to the Court for appropriate sanctions against any person
who
(i) has failed to comply with any of the Independent Monitor's
decisions or orders, or
(ii) has obstructed or interfered with
him or anyone else in the exercise of their duties under this
Consent Decree.
- Staff: The Independent
Monitor shall have the authority to employ such personnel as are
reasonably necessary to assist in the proper discharge of the
duties imposed by this Consent Decree. To the extent that authority
under this Consent Decree is granted to
the Independent Monitor, that authority is also delegated
Page 77
to personnel
hired or retained by the Independent Monitor to carry out his
mandate under this Consent Decree.
- Term of Officer: The term
of the Independent Monitor shall presumptively be for three years.
Any party may petition the Court to extend the period beyond three
years, upon a finding that the presence of an Independent Monitor
is necessary for a longer period to achieve the purposes of this
decree. Any party may petition the Court to shorten the period
with the agreement of the parties.
The Investigations Officer
- The parties shall jointly
select an Investigations Officer to be appointed by the Court.
If the parties fail to reach agreement on selection of an individual
to serve as the Investigations Officer, the parties shall follow
the procedures set forth in paragraph 58 below. The mandate of
the Investigations Officer is to initiate and conduct investigations
to remove organized crime and all other criminal elements as a
source of influence in the affairs of LIUNA. To achieve this mandate,
the Investigations Officer shall have the following powers,rights
and responsibilities:
- Disciplinary Hearings:
The Investigations Officer shall have independent authority to
investigate the operations of LIUNA or any of its affiliated entities
and to initiate disciplinary charges against any officer, agent,
representative, employee or member of LIUNA or any of its affiliated
entities. The Investigations Officer has the same authority to
initiate and conduct investigations as does the GEB Attorney or
any other officer, agent, employee or representative of LIUNA
under this
Page 78
Consent Decree. The Investigations Officer may initiate
charges and present evidence at hearings before the Independent
Monitor as detailed in paragraph 30 above. The Investigations
Officer may bring charges against any officer, agent, representative,
employee or member of LIUNA and its affiliated entities for any
matter constituting a felony violation of the laws of the United
States; or any violation of any state or federal law relating
to the conduct of the affairs of a labor organization or employee
benefit plan. Charges may also be brought for a violation of the
injunctions adopted in paragraph 14 of this Consent Decree, any
provision of the LIUNA constitutions, or working rules including
the Job Referral Rules.
- Investigative Powers: The
Investigations Officer shall have the authority to take such reasonable
steps as are lawful and necessary to be fully informed about the
activities of LIUNA or any of its subordinate regional offices,
district councils, local unions or other subordinate entity. To
carry out his responsibilities under this Consent Decree, the
Investigations Officer shall have the same rights and powers to
initiate investigations and prefer charges as the GEB Attorney
as set forth in paragraph 18 above.
(a) The Investigations Officer
shall have the discretion to refer allegations of misconduct by
any officer, agent, representative, employee, or member of LIUNA
or its affiliated entities to the GEB Attorney.
(b) The Investigations Officer
shall have the discretion to assume jurisdiction over any matter
referred by the GEB Attorney.
- Access to Information:
The Investigations Officer shall have the unfettered right to
attend all executive
Page 79
board or general membership meetings of any
LIUNA district council, local union or other subordinate entity
and to examine and copy all books, records, and
all other documents of LIUNA or its affiliated entities, and of
any officer, agent, representative, employee, or member of LIUNA
or its affiliated entities.
- Review Authority: The Investigations
Officer shall have the authority to review the matters set forth
in this subparagraph:
(a) The Investigations Officer,
in conjunction with the Attorney for the GEB, will study the operations
of LIUNA and its affiliated entities in the manner detailed in
paragraph 23 of this Consent Decree and shall recommend changes
to the GEB to improve those operations in order to eliminate corruption
and racketeering activity.
(b) Within twelve months after
entry of this decree, the GEB Attorney and the Investigations
Officer are to make specific recommendations to the GEB based
upon their study of the issues listed in paragraphs 23 and 25
above, which shall be considered in accordance with paragraphs
24 and 25 above. Copies of the recommendations by the GEB Attorney
and the Investigations Officer to the GEB shall be concurrently
sent to the Court, the Independent Monitor and the attorneys for
the United States.
- . Reporting Requirements:
On a quarterly basis, the Investigations Officer shall file a
written status report with the Independent Monitor regarding the
activities of the Investigations Officer toward achieving the
objectives and purposes of this Consent Decree. Copies of this
report shall be provided to the attorneys for the United States
and to the GEB Attorney.
Page 80
- Staff: The Investigations
Officer shall have the authority to employ such personnel as are
reasonably necessary to assist in the proper discharge of the
duties imposed by the Consent Decree. To the extent that authority
under this Consent Decree is granted to the Investigations Officer,
that authority is also delegated to personnel hired or retained
by the Investigations Officer to carry out his mandate under this
decree.
- Term: The term of the Investigations
Of ricer shall presumptively be for three years. Any party may
petition the Court to extend the period beyond three years upon
a finding that the presence of an Investigations Officer is necessary
for a longer period to achieve the purposes of this decree. Any
party may petition the Court to shorten the period with the agreement
of the parties.
Elections Officer
- The parties shall jointly
select an Elections Officer to be appointed by the Court. If the
parties fail to reach agreement on selection of an individual
to serve as the Elections Officer, the parties shall follow the
procedures set forth in paragraph 58 below. The Elections Officer
shall supervise direct elections by the rank-and file membership
of LIUNA of persons to serve as members of the General Executive
Board of LIUNA, that is, the positions of General President, General
Secretary-Treasurer, and the positions of eleven International
Vice-Presidents.
- It shall be the mandate
of the Elections Officer to ensure that free and fair, direct,
referendum elections based on the principle of one member, one
vote are held for positions on the General Executive Board of
Page 81
LIUNA. In achieving this mandate, the Elections Officer shall
adhere to the guidelines set forth below and shall have the following
powers, rights and responsibilities:
(a) The delegates to the 1996
LIUNA International Convention, and successive conventions, shall
be chosen by direct rank- and-file secret balloting which shall
be conducted no more than four (4) months, nor less than two (2)
months, before the date on which the
convention is to be held, with each delegate to be elected individually.
(b) All duly nominated candidates
for the position of International Vice President shall stand for
election on the same ballot and at the same time as the election
of General President and General Secretary-Treasurer, as provided
herein.
(c) At the International Convention,
after the voting for nominees for the position of International
Vice President, all delegates shall then vote for nominees for
the offices of LIUNA General President and General Secretary-Treasurer.
(d) Any delegate may place
in nomination the name of any LIUNA member in good standing for
the positions of General President, General Secretary-Treasurer,
or International Vice President otherwise meeting the qualifications
for the office specified in Article VI, Section
4 of the LIUNA Constitution.
(e) To qualify for the ballot
for direct rank-and-file voting, candidates for LIUNA General
President, General Secretary-Treasurer, or International Vice
President at-large must receive at least five percent (5%) of
the delegate votes at the International Convention.
Page 82
Regionally
selected International Vice Presidents must receive at least five
percent (5%) of the delegate votes from delegates of the region
the candidates seek to represent.
(f) No person may appear on
the ballot in the same election for more than one position on
the GEB.
(g) No less than two (2) and
no more than three (3) months after the International Convention
at which candidates were nominated, the LIUNA General President,
General Secretary- Treasurer, and International Vice Presidents
shall be elected by direct rank-and-file voting by secret ballot
in union-wide, one-member, one-vote elections for each position.
(h) Six of the International
Vice Presidents shall be chosen on a regional geographical basis
pursuant to terms agreed upon by the GEB Attorney and the Elections
Officer, such that each geographical region shall include substantially
the same number of members. The candidates for these six International
Vice President positions shall be nominated on a geographical
basis. All duly nominated candidates for the position of International
Vice President shall stand for election conducted at Local Unions
within each region on the same ballot and at the same time as
the election of General President and General Secretary-Treasurer.
Five of the International Vice Presidents shall be chosen on an
at-large basis. The candidates for these five International Vice
President positions shall be nominated at the same time and in
the same manner as the nominations for General President and General
Secretary-Treasurer. No more than two International Vice Presidents
may be from any one region.
Page 83
(i) All direct rank-and-file
voting by secret ballot described above shall be by mailed ballots,
in accordance with procedures developed by the Elections Officer.
( j) To the extent that the
Constitution of LIUNA is inconsistent with the procedures for
election of members of the GEB as set forth above, such Constitution
is hereby amended to read as provided in sub-paragraphs (a) through
(i) of this paragraph.
(k) The Elections Officer shall
conduct a study of procedure for filling interim vacancies on
the GEB and to the extent that the procedure currently provided
by the Constitution of LIUNA is inconsistent with the achievement
of the objectives and purposes of this Consent Decree, shall recommend
changes in such to the procedure to the GEB, which shall consider
them in good faith.
(l) The Elections Officer shall
have the right to distribute materials about the election to the
LIUNA membership through The Laborer or other similar
publication.
(m) The Elections Officer may
supervise the delegate selection process at any LIUNA local union
or district council in any manner he sees fit.
(n) The Elections Officer shall
supervise the balloting process and certify to the Court the results
of the elections as promptly as possible after the balloting.
(o) The Elections Officer shall
have the authority to resolve those disputes pertaining to the
integrity of the 1996 international election for the purposes
of securing a free, fair and honest election. Thereafter, the
Elections Officer may have such dispute resolution au
Page 84
thority only
upon the Court's determination that such authority is required
to achieve the purposes of this Consent Decree. The burden of
persuasion shall be upon the party seeking to continue such dispute
resolution authority of the Elections Officer.
- Staff: The Elections Officer
shall have the authority to employ such personnel as are reasonably
necessary to assist in the proper discharge of the dunes imposed
by this Consent Decree. To the extent that authority under this
Consent Decree is granted to the E actions Of ricer, that authority
is also delegated to personnel hired or retained by the Elections
Officer to carry out his mandate under this decree.
- Term: The term of the Elections
Officer shall continue until the Court determines that the presence
of an Elections Officer is no longer necessary to achieve the
purposes of this decree. In any event, the term of the Elections
Officer shall be no less than three years from entry of this consent
decree. The burden of persuasion shall be on the party seeking
to discontinue the term of the Elections Officer.
Amendments to the LIUNA
Constitutions
- The constitutions of LIUNA
and its affiliated entities, shall be deemed, and hereby are,
amended to incorporate and conform with all of the terms set forth
in this Consent Decree. By no later than the conclusion of the
LIUNA convention to be held in 1996 LIUNA shall have formally
amended the LIUNA constitutions to incorporate and conform with
all of the terms, including the grounds set forth for the imposition
of discipline, set forth in this Consent Decree by presenting
such terms to the delegates for a vote.
Page 85
- In addition to the amendments
to the LIUNA constitutions deemed necessary by this decree, the
parties have agreed that each of the three LIUNA constitutions
shall be amended to provide that any officer, agent, representative
or employee of LIUNA or any of its subordinate regional offices,
district councils, local unions or other subordinate entities
who is named as a defendant in an indictment or other charging
document accusing him of a felony violation of the laws of the
United States, or any violation of any state or federal law relating
to the conduct of the affairs of a labor organization or employee
benefit plan, shall be placed on temporary leave of absence during
the pendency of the matter and an investigation shall be undertaken
to determine if discipline should be imposed.
The United States
- The United States has the
right to intervene in any matter or to appeal any decision arising
out of this Consent Decree The United States, in its discretion,
may choose to assist the GEB Attorney, and the court authorized
officers in the performance of their duties. The United States
may appeal decisions of the GEB Attorney, the investigations Officer,
or the Elections Officer to the Independent Monitor. The United
States may appeal decisions of the Independent Monitor to the
Court. The United States may, if requested, also agree to represent
any party or entity before this Court concerning any matter arising
out of the subject of this decree.
Miscellaneous Provisions
- Compensation and Expenses:
The compensation
Page 86
and expenses of the GEB Attorney, independent
Monitor, Investigations Officer, and the Elections Officer, and
of all persons hired under their authority, shall be paid by LIUNA.
All costs associated with the
activities of these officials, and of all persons hired under
their authority, shall be paid by LIUNA. To effectuate this provision,
LIUNA shall deposit $150,000.00 with the Independent Monitor within
five days after the entry of this Consent Decree and shall maintain
that amount on deposit as necessary thereafter. The Court shall
review the amount of the deposit within 90 days of the entry of
this Consent Decree. The independent Monitor will thereafter be
responsible for allocating payments to all persons entitled to
compensation and expenses under this provision. On a quarterly
basis, the Independent Monitor and the Elections Officer shall
file with the Court, and serve on the United States and on counsel
for the GEB, an accounting, including an itemized bill with supporting
material, for all such expenditures. LIUNA shall
have he right to challenge to the Court any fees or expenses that
are unreasonable. If the Court determines that a pattern of unreasonable
challenges to expenses has developed, the Court may limit LIUNA's
right to challenge the expenditures.
- Costs and Fees: The United
States shall not seek costs or attorneys' fees from any other
party hereto, nor shall LIUNA seek costs or attorneys' fees from
the United States.
- Indemnification: LIUNA
shall purchase a policy of insurance and/or bonds in an appropriate
amount to protect the GEB Attorney, the court authorized officers,
and any persons hired by or acting on their behalf
Page 87
from personal
liability for any of their actions on behalf of LIUNA, or pursuant
to this Consent Decree. If such insurance is not available, or
if the LIUNA GEB so elects, LIUNA shad Indemnify the court authorized
officers, and any persons hired by or acting on their behalf from
personal liability (and costs incurred to defend against any claim
of liability) for any of their actions on behalf of LIUNA, or
the court authorized officers taken pursuant to this Consent Decree.
In addition, the court authorized officers, and any persons hired
by or acting on their behalf, shall enjoy whatever immunity from
personal liability may exist under the law for court officers.
- Future Practices: The parties
intend the provisions set forth herein to govern the practices
of LIUNA and its GEB in the areas affected by this
Consent Decree, now and in the future. If the GEB wishes to make
any constitutional change or change in the structure of the union,
or the disciplinary or electoral practices of the union or the
Job Referral Rules, the GEB shall give prior written notice to
the Investigations Officer, the attorneys for the United States
and to the Independent Monitor.
- Future Actions: Nothing
in this Consent Decree shall preclude the Government, or any of
its departments or agencies, from taking any appropriate action
in regard to the defendant or any other person who is a signatory
hereto in reliance on any federal law, including any criminal
investigation or prosecution or civil action.
- Scope of Decree: This Consent
Decree determines the rights of the parties hereto and concerns
the affairs
Page 88
of LIUNA, its officers, employees, and members. Nothing,
except as is specifically in this decree, shall be construed as
creating any right, title or interest accruing to any third party,
except the court authorized officers and any persons retained
by any such officers to assist them in fulfilling their duties
as described in this Consent Decree.
- Selection of Officers:
The parties shall jointly select the individuals to be appointed
by the Court to the position ofthe Independent Monitor, the Investigative
Officer, and the Elections Officer. If the parties fail to reach
agreement on selection of any one of these offices, the following
procedure may be used to make the selection(s):
(a) Either party may nominate
one candidate for each unfilled position;
(b) Within one week of either
party nominating a candidate for an unfilled position, the other
party may nominate a candidate for that position;
(c) Within Two weeks of a party
having nominated a candidate for an unfilled position, an individual
previously chosen by the parties shall make a selection between
the two candidates nominated by the parties who shall be appointed
by the court; and
(d) In the event that a selection
has not been made within the time permitted by subparagraph (c),
then the district court shall make the selection between the two
candidates.
- Guarantee of Rights: Nothing
herein shall be construed to diminish the right of every member
in good standing, as guaranteed by the LMRDA, to be a candidate
for union office, to be informed about financial
Page 89
and electoral
matters, to express opinions on union affairs,
to vote for candidates of choice, and otherwise participate in
a democratic manner in the operations of LIUNA and its affiliated
entities. Trusteeships of subordinate labor organizations shad
be established and administered for the purposes specified in
the LMRDA or this Consent Decree. If there is any provision of
the LIUNA Constitution inconsistent with any provision of this
Consent Decree, the terms of this Consent Decree shall govern
and LIUNA waives any inconsistent provisions of the LIUNA Constitutions.
With respect to any remedies or procedures set forth herein concerning
disciplinary sanctions against individuals, supervision of subordinate
labor organizations through trusteeships, or the conduct of any
officer elections, the parties intend the remedies and procedures
set forth herein to govern, notwithstanding any contrary provision
of the LIUNA Constitutions or any statute.
- Non-Admission Clause: Nothing
herein shah be construed as an admission by the defendant or any
signatory hereto of any wrongdoing, or of the truth or validity
of any of the claims or allegations contained in the complaint,
or any other papers filed or submitted by the United States in
this action.
- Notice of Decree: Upon
the entry of this decree, written notices informing the union
membership of the entry and scope of this decree will be sent
to every local union and will be printed in first issue of The
Laborer which is published after the date of the entry of this
Consent Decree, or other similar publication. These notices will
be issued by the GEB Attorney and by the United States Attorney
for the Northern District of Il-
Page 90
linois. These notices are to be
posted in local union offices for a period of six months from
the date of entry of this decree.
- Merger: This consent Decree
constitutes a final written expression of ad terms of this Decree
and is complete and exclusive statement of those terms.
- Acknowledgment of Consultation
with Counsel: The members of the GEB have read this Consent Decree
and have consulted with their respective counsel before consenting
to and signing this Consent Decree. Note: Exhibits are not included here.
United States
District Judge
Dated:
CONSENTED AND AGREED TO:
DATE:
THE GENERAL EXECUTIVE BOARD
OF THE
LABORERS' INTERNATIONAL
UNION OF NORTH
AMERICA, AFL-CIO
s/Arthur A. Coia
Arthur A. Coia
General President
s/Rollin P. Vinall
Rollin P. "Bud" Vinall
General Secretary- Treasurer
s/ Mason M Warren
Mason M. "Max" Warren
First Vice-President
no signature/John Serpico
John Serpico
Second Vice-Presidert
Page 91
s/Vere O. Haynes
Vere O. Haynes
Third Vice-President
no signature/Samuel J. Caivano
Samuel J. Caivano
Fourth Vice-President
s/Enrico Mancinelli
Enrico Mancinelli
Fifth Vice-President
s/Chuck Barnes
Chuck Barnes
Sixth Vice-President
s/Jack Wilkinson
Jack Wilkinson
Seventh Vice-President
s/George R. Grudger
George R. Grudger
Eighth Vice-President
s/Michael Quevedo. Jr.
Michael Quevedo, Jr
Ninth Vice-President
s/Armand E. Sabitoni
Armand E. Sabitoni
Tenth Vice-Preident
THE UNITED STATES OF AMERICA
s/James B. Burns
James B. Burns
United States Attorney
Northern District of Illinois
s/Paul E. Coffey
Paul E. Coffey,
Chief, Organized Crime and
Racketeering Section,
Criminal Division
U.S. Department of Justice
Page 92
AMENDED JOB REFERRAL RULES
In order for the Laborers' International
Union of North America (LIUNA) and its subordinate local unions
to maintain and administer a processing system for referral of
applicants to employment in a fair and equitable manner, and to
establish records and procedures which will be adequate to disclose
fully the basis on which each referral is made, the following
amended rules have been promulgated and shall be adopted and implemented
by each LIUNA Local Union.
1.Non-Discrimination in Job Referrals
Referrals to jobs shall be on a non-discriminatory
basis and shall not be based on, or in any way affected by, race,
gender, national origin, sexual orientation, disability, religion,
or lawful union-related activity.
2.Effect on Hiring Hall Rules
All referrals by a Local Union to jobs within
its jurisdiction shall be made in accordance with these rules
except to the extent that any rule contained herein conflicts
with either provincial law or with a term of collective bargaining
agreement or in accordance with a variance granted under §
8 below. Any Local Union that concludes that these rules conflict
with provincial law or the term of a collective bargaining agreement
shall apply to the GEB Attorney, furnishing such information as
he shall determine.
The GEB Attorney shall advise the Local Union
in writing whether such a conflict exists. In cases where a term
of a collective bargaining agreement conflicts with these rules,
the Local Union or District Council shall use its best efforts
to modify that term in any successor agreement in order to fully
conform to these rules. All newly negotiated agreements should
include these rules and, where applicable, the Local Union or
District Council shall use its best efforts to include
an exclusive hiring hall provision in all successor or newly negotiated
collective bargaining agreements.
Page 93
3.Registration of Availability
for Referral
A. An
applicant seeking referral to a job must file with the Local Union
a signed and dated referral form providing name, telephone number
and social security number, and stating any skills the applicant
possesses and the jobs the applicant is able to perform, including
any relevant licenses or certifications. Blank referral forms
will be available at the Local Union. The Local Union will compile
an out-of-work list, consisting of the applicants who have registered
their availability for referral. The Local Union may confirm any
prior employment, licenses, or certifications listed by an applicant.
The Local Union has five business days from the time a member
places his name on the out-of-work list to challenge an applicant's
representations concerning his prior employment, licenses, or
certifications. If the Local Union makes a timely challenge, it
must promptly notify the applicant in writing, who shall have
five business days from the receipt of this notice in which to
respond and to submit any relevant information. Any applicant
who remains aggrieved by a final decision of the Local Union may
file a protest with the Independent Hearing Officer, who shall
finally resolve all such disputes in accordance with procedures
that he shall establish.
B. Apprentices
shall be referred under a separate out-of-work list, and shall
be listed according to their apprenticeship year.
C. Only applicants who are not currently
employed at the trade may register their availability for referral.
Applicants who, after registering their availability for referral,
on their own, obtain one or more jobs at the trade in the aggregate
lasting eleven (1l) working days or more of employment,
must advise the Local Union immediately. Those applicants will
then be removed from the out-of-work list. Failure to advise the
Local Union of such employment as required herein will result
in the applicant being removed from the out-of-work list.
D. Applicants shall be removed from
the out-of-work list upon receiving a job referral, subject to
the provisions at § 4(C) on short-term referrals. An applicant
who is laid off or discharged from a job must again register his
or her availability in order to be included on the out-of-work
list.
E. Once
an applicant has registered his or her availability for referral,
by filing a signed referral form with the Local Union, the applicant
may afterward register his or her availability by telephone to
the Local Union.
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F. An applicant's registration of
availability for referral shall be in effect for ninety (90) days.
An applicant must against register his or her availability before
the expiration of that period in order to retain his or her position
on the out-of-work list.
4. Referral Procedure
A. Subject
to any exceptions or variances approved by the GEB Attorney pursuant
to § 2 above or § 8 below. Applicants on the out-of-work
list shall be referred to jobs in the order in which they have
registered their availability for referral, with the first registered
applicant referred first, provided that the applicant has the
qualifications requested by the employer.
B. Requests
by an employer for specific applicants employed by the employer
within the previous six months shall be fulfilled as required
by applicable collective bargaining agreements.
C. An
applicant who is referred to a job which, lasts ten (l0) working
days or less either because (l) the job is terminated or (2) the
applicant is laid off or discharged will return to his or her
position on the out-of-work list prior to receiving the referral.
However, after receiving a job referral immediately following
such a short-term referral, regardless of its length, that individual
must again register in order to be included on the out-of-work
list. The short term referral provisions herein are inapplicable
and the applicant will be removed from the out of-work list, if
the applicant takes any action within the first ten (l0) days
of employment designed to manipulate this provision of the Amended
Job Rules, such as voluntarily quitting or requesting to be laid
off or discharged from a job to which he or she is referred.
D.To notify an applicant of a job
referral, the Local Union shall call the applicant at the telephone
number on the file. The Local Union shall record the date and
time of the call, the person making the call, the name of the
employer, the location of the job, the start date of the job,
and the results of the call, including whether the call was answered,
by whom and what response, if any, was made.
E.Any
applicant who refuses or is unavailable for two consecutive referrals
shall be moved to the bot-
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tom of the out-of- work list. An applicant
must be unavailable on two separate days before he/she can be
moved to the bottom of the out - of-work list. An applicant will
be considered unavailable if he or she cannot be reached after
three calls have been placed to the telephone number provided
by the applicant, unless the applicant has given the Local Union
notice in writing of unavailability for a period not to exceed
thirty, (30) days. The three calls must be separated by intervals
of no less than thirty (30) minutes.
F. When
the Local Union determines that the applicant who is first on
the out-of-work list cannot be referred because of refusal, unavailability,
or lack of required skills, the Local Union shall then refer the
next applicant on the out-of-work list who is willing, available,
and has the required skills
G. An applicant shall not be referred
to an employer if the applicant was previously discharged for
cause by the same employer. Applicants who are twice lawfully
rejected by an employer for lack of skills, after referral by
the Local Union, shall not be eligible far referral to a job requiring
the same skills without first providing the Local Union with references
from two previous employers, showing the applicant has demonstrated
the skills required
5 Disssemination of the Job
Referral Rules
These rules shall be (a) conspicuously posted
at the offices of each Local Union; and (b) published in The Laborer.
Additional copies of these rules shall be made available to members
upon request, subject to the payment of reasonable copying costs.
New members shall receive a copy of the job referral rules upon
admission to membership.
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6. Job Referral Information
A Local Union shall maintain accurate and
current records of all job referrals. The records shall be preserved
for a period of three (3) years from the making of each record.
The records shall include the following information:
A. All
registration by applicants of their availability for referral,
including the date of each applicant's registration;
B. A
current out-of-work list, including all applicants whose registration
of availability for referral are then in effect, and the date
of each applicant's registration;
C. All requests from employers for
workers, including the date of each request, the location of the
job site, the length of the job, if known, and any request by
the employer for applicants with special skills, licenses, or
certifications, or an applicant employed by the employee pursuant
to 4(D), above.
D. All instances where a job referral
is not made because an applicant (1) refuses the referral, (2)
is unavailable, or (3) lacks the required skills, including (where
applicable) the date and time of the call(s), the person making
the call(s), the name of the employer, the location of the job
site, the start date of the job, the basis for not making the
referral, the results of the call, including whether the call
was answered and by whom, and what response, if any, was made,
and
E. All job referrals made, including
the applicant referred, the date on which the applicant registered
his or her availability for employment, the date of the referral,
the employer, the location of the job site, the date the applicant
was hired, and the date any employment terminated.
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7. Access to Job Referral Information
A. Any applicant can inspect or
copy any record containing the job referral information described
in § 6. An appointment for inspection shall be scheduled
for within five (5) days of request. Copies of 500 pages or less
shall be provided within ten (10) days of request. Copies of more
than 500 pages shall be provided within (30) days of a request.
A Local Union may charge $.50 per page to copy the first twenty
(20) pages, and $.25 per page thereafter.
B. Lists
containing the information described in § 6(B) and (E) shall
be conspicuously posted, or otherwise immediately available for
inspection, at the offices of a Local Union on a weekly basis,
so that the previous week is posted or immediately available by
the close of business on the following Monday. The information
shall remain posted or immediately available for a least two weeks.
8. Application
for a variance from a provision(s) of these Uniform Job Referral
Rules may be made in writing to the General Executive Board Attorney.
The General Executive Board Attorney may grant such an application
provided he determines that the variance is consistent with the
LIUNA Ethical Practices Code, with applicable law, and is intended
to further a legitimate purpose. Any such variance shall be effective
for a period of one year and shall be subject to further application
to the General Executive Board Attorney in order to continue beyond
one year. Further, a variance shall be subject to any other condition
imposed by the General Executive Board Attorney.
9. Any
complaints or concerns regarding alleged violations of the Code
of Ethics and/or Uniform Job Referral Rules to discriminate, punish,
retaliate or reward members for their Union political or election
activity should be promptly addressed to Inspector General W.
Douglas Gow, (202) 942-2360.
MEMORANDUM
DATE:
TO: All
Referral Applicants at Local Union ______
FROM:_________________
Business Manager
In accordance with the policy of the International
Union regarding the adoption of uniform referral procedures as
published in The Laborer magazine our Local Union will from this
time forward utilize those procedures when we are requested by
a signatory contractor to provide job referrals
A copy of those uniform procedures is posted at the Local Union and may be obtained upon request. Any wishing
to register for referral may do so by signing the registration
list. A copy of the current out-of-work list and a list of all
job referrals made will be posted and available for inspection
at the Local Union. Ordinarily, referrals will be made in order
of registration provided that such applicant possesses the required
qualifications for the position. The reason for any out-of-order
referrals will be available upon request. Examples of reasons
for an out-of-older referral include inability to contact the
next applicant, lack of skills or qualifications as required by
the employer, or the recall of a former employee as provided for
in the referral rules.
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GENERAL EXECUTIVE BOARD'S POLICY
ON APPOINTMENT OF OFFICERS, TRUSTEES AND BENEFIT FUND REPRESENTATIVES
Pursuant to its authority under Article
VII, 2(c) and (n) of the Constitution of the Laborers' International
Union of North America, and in order to accomplish more fully
the purposes of the LIUNA Ethical Practices Code ("Code"),
and the Ethics and Disciplinary Procedure ("EDP") and
to ensure compliance with Section 411 of the Employee Retirement
Income Security Act of 1974, it is hereby declared to be the policy
of the General Executive Board that the names of all persons selected
by the International Union or any of its affiliated or subordinate
bodies to hold the position of Regional Manager, Assistant Regional
Manager, International Representative, Special International Representative,
Trustee or Supervisor to oversee the affairs of a labor organization
pursuant to 29 U.S.C. 162, or labor trustees on any pension benefit
plan or welfare benefit plan or other trust fund associated with
LIUNA or its affiliated or subordinate bodies, including but not
limited to PACs, LECET funds, and training funds shall be submitted
to the Inspector General for review. If the Inspector General
determines that such appointment is inconsistent with the objectives
and purposes of the Code or the EDP, then in the case of an entity
other than pension benefit plan or welfare benefit plan or other
trust fund associated with LIUNA or its affiliated or subordinate
bodies, including but not limited to PACs, LECET funds, and training
funds, the
Page 99
appointment shall be rescinded; and, in the
case of a pension benefit or welfare benefit plan or other trust
fund associated with LIUNA or its affiliated or subordinate bodies,
including but not limited to PACs, LECET funds, and training funds,
the Inspector General shall so advise the fiduciaries of such
fund. This policy shall apply as well to the appointment of all
persons selected to fill any vacancy on the General Executive
Board between the times of regular elections for such positions
and to fill any vacancy in any of the positions named above.
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GENERAL EXECUTIVE BOARD'S POLICY
ON CONTRACT PROCEDURES
Pursuant to its authority under Article
VIII, 2(c) and (n) of the Constitution of the Laborers' International
Union of North America and in order to accomplish more fully the
purposes of the LIUNA Ethical Practices ("Code") and
the Ethics and Disciplinary Procedure ("EDP"), it is
hereby declared to be the policy of the General Executive Board
that all proposed contracts in excess of one-hundred fifty thousand
($150,000) dollars to be entered into by LIUNA or any of its affiliated
or subordinate bodies shall be submitted to the Inspector General.
If the Inspector General determines that entry into such contract
is inconsistent with the objectives and purposes of the Code or
the EDP, LIUNA or its affiliated or subordinate body may not enter
into such contract. No proposed contract shall be subdivided or
apportioned in order to avoid the intent and purposes of this
policy. The Inspector General should be provided with such advance
notice of the proposed contract as may be reasonable in the circumstances
to allow him to form an informed judgment.
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GENERAL EXECUTIVE BOARD'S POLICY
ON GIFTS OR DONATIONS OF UNION ASSETS OR PROPERTY
Pursuant to its authority under Article
VIII, (c) & (n) of the Constitution of the Laborers' International
Union of North America and in order to accomplish more fully the
purposes of the LIUNA Ethical Practices ("Code") and
the Ethics and Disciplinary Procedure ("EDP"), it is
hereby declared to be the policy of the General Executive Board
that any proposed gift or donation of Union Property or assets
to be made by LIUNA or any of its affiliated or subordinate bodies,
where such gift or donation exceeds the fair market value of five
thousand ($5,000) dollars or where the cumulative total of such
gifts or donations made to all recipients over the course of any
consecutive twelve (12) month period exceeds the fair market value
of ten thousand ($10,000) dollars, shall be reported to the Inspector
General. The Inspector General may disapprove thereof upon his
determination that such gift or donation is inconsistent with
the objectives and purposes of the code or the EDP. It shall
further be the policy of the General Executive Board that any
member who serves as trustee of any pension benefit plan or welfare
affiliated or subordinate bodies, including but not limited to
LECET funds and training funds shall recommend to the trustees
of such fund that any gift or donation meeting one or more of
the thresholds set forth above shall be reported to the Inspector
General. If the Inspector General determines that such gift or
donation
Page 102
is inconsistent with the objectives and the
purposes of the Code or EDP, he shall so advise the fiduciaries.
Page 103
GENERAL EXECUTIVE BOARD'S POLICY
ON REPORTING FELONY ARRESTS AND INDICTMENTS
Pursuant to its authority under Article
VII, (c) and (n) of the Constitution of the Laborers' International
Union of North America and in order to accomplish more fully the
purposes of the LIUNA Ethical Practices ("Code") and
the Ethics and Disciplinary Procedure ("EDP"), and to
ensure compliance with Section 411 of the Employee Retirement
Income Security Act of 1974, it is hereby declared to be the policy
of the General Executive Board that any member of the GEB, any
officer of any affiliated or subordinate body, and all members
serving as trustees on any employee benefit plan, fund, or trust
shall notify the Inspector General in writing whenever it shall
come to their attention that any member, employee, officer or
labor trustee is arrested, indicted or other otherwise charged
with any felony under the laws of Canada or the Unites States
or any province or state thereof or with any offense relating
to the conduct of the affairs of a labor organization or employee
benefit plan, such written notice to be provided within five
(5) calendar days of receiving notice of such arrest, indictment,
or charge, whichever may occur soonest.
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GENERAL EXECUTIVE BOARD POLICY
ON ACTIONS AFFECTING SUBORDINATE BODIES
Pursuant to its authority under Article
VIII, (c) and (n) of the Constitution of the Laborers' International
Union of North America and in order to accomplish more fully the
purposes of the LIUNA Ethical Practices ("Code") and
the Ethics and Disciplinary Procedure ("EDP"), it is
hereby declared to be the policy of the General Executive Board
that all actions by the General Executive Board or the General
President to suspend or revoke charters or consolidate or amalgamate
subordinate bodies pursuant to Article II, 3 of the Uniform Local
Union Constitution shall be submitted to the Inspector General.
If the Inspector General determines that such action is inconsistent
with the objectives and purposes of the Code or the EDP, the General
President or the General Executive Board shall not take such action.
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