Title 4 Part 207

Policy regarding grievance arbitration

It is the policy of the act to encourage public employers and recognized or certified employee

organizations to enter into written agreements containing grievance procedures. In furtherance of

this policy, the following voluntary arbitration rules of procedure are provided to (a) insure an

efficient and orderly procedure for grievance arbitration, (b) assist the parties in remedying

procedural deadlocks, and (c) effectuate the rapid adjudication of disputes and controversies.

Panel of arbitrators

qualify and meet the board’s standards and criteria of professional competence, impartiality and

acceptability. All applicants requesting inclusion on the panel shall be reviewed by the board on

the basis of their education, experience and expertise in the field of labor arbitration or its

equivalent, and general reputation in the practice of labor-management relations. Careful

evaluation, subject to the above standards and criteria, shall be made before an applicant is

included on the panel of arbitrators.

responsibility of keeping the director of conciliation immediately informed of any changes in

address, availability limitations, per diem rate, and occupation, especially where such

occupational change results in financial return from, connection with, or of concern to, a public

employer or employee organization. The board shall periodically review the panel of arbitrators

and shall at any time take appropriate action, including removal of the arbitrator from the panel,

where the arbitrator has not adhered to the board’s policies and this Part.

Agreement to arbitrate

Either party or both parties to a written agreement may request the director of conciliation to

commence the administration of these voluntary arbitration rules of procedure if, in their

agreement, the parties have provided for arbitration pursuant to the provisions of this Part. The

voluntary arbitration rules of procedure shall apply in the form obtaining at the time the

arbitration is initiated.

Demand for arbitration; submission to arbitrate

respondent a demand for arbitration which shall serve as notice of intention to arbitrate pursuant

to CPLR section 7503. Such notice shall be served in the same manner as the summons or by

registered or certified mail, return receipt requested. In addition, one copy of the demand for

arbitration shall be filed with the director of conciliation together with proof of service on the

respondent.

correspondence from the director of conciliation shall be directed;

with a copy thereof;

with a copy thereof;

remedy(ies) sought (include the name(s) of the grievant(s);

designate a different address than that provided below on the agency’s website:

“THE UNDERSIGNED, A PARTY TO A WRITTEN AGREEMENT WHICH

PROVIDES FOR ARBITRATION AS DESCRIBED HEREWITH, HEREBY

DEMANDS ARBITRATION. YOU ARE HEREBY NOTIFIED THAT COPIES OF

THIS DEMAND FOR ARBITRATION ARE BEING FILED WITH THE DIRECTOR

OF CONCILIATION, NEW YORK STATE PUBLIC EMPLOYMENT RELATIONS

BOARD, EMPIRE STATE PLAZA, AGENCY BUILDING 2, 20th FLOOR, ALBANY,

NEW YORK 12220 WITH THE REQUEST THAT THE ADMINISTRATION OF THE

VOLUNTARY ARBITRATION RULES OF PROCEDURE BE COMMENCED.

PURSUANT TO THE NEW YORK ARBITRATION LAW, ARTICLE 75, SECTION

7503, CIVIL PRACTICE LAW AND RULES, YOU HAVE TWENTY (20) DAYS

FROM DATE OF SERVICE OF THIS DEMAND TO APPLY TO STAY THE

ARBITRATION OR BE PRECLUDED FROM SUCH APPLICATION.”

arbitration by forwarding a submission to arbitrate to the director of conciliation.

representative of each party to whom correspondence from the director of conciliation

shall be directed;

remedy(ies) sought (include the name(s) of the grievant(s);

“THE PARTIES NAMED HEREIN HEREBY JOINTLY REQUEST BINDING

ARBITRATION OF THE DISPUTE DESCRIBED HEREIN UNDER THE

VOLUNTARY ARBITRATION RULES OF PROCEDURE OF THE NEW YORK

STATE PUBLIC EMPLOYMENT RELATIONS BOARD.”

Determination of jurisdiction

deemed binding on the parties as a valid part of such agreement.

into an agreement to arbitrate, the board’s jurisdiction will not attach in the matter until a

submission to arbitrate has been received by the director of conciliation or until the respondent

has been served with a demand for arbitration and the time limit to apply for a stay of arbitration,

as provided in CPLR section 7503, has expired. In the event no application for a stay is made

within the specified time limit, the board’s jurisdiction shall attach and this Part shall be deemed

binding on the parties as a valid part of their agreement to arbitrate.

Arbitrability

make no determination whether the grievance is a proper subject for arbitration. The director of

conciliation’s sole responsibility throughout the application of this Part is administrative and,

therefore, commencement of the administration of this Part shall be construed as compliance

with a request.

determination. However, should the party served with a demand for arbitration pursue the legal

remedies for a stay of arbitration in accordance with CPLR section 7503, a copy of the

application to stay arbitration shall be filed with the director of conciliation within 20 days of

service of the demand for arbitration.

conciliation shall hold in abeyance the designation of the arbitrator pending final court

determination of the arbitrability question. Absent timely receipt, the administrative

responsibilities of the director of conciliation shall be carried out pursuant to this Part.

Selection process

After receipt of a demand for arbitration or submission to arbitrate, the director of conciliation

shall forward to the representatives named therein two copies of an identical panel list of seven

arbitrators selected from the panel of arbitrators. A resume, including per diem fee and billing

disclosure statement, of each arbitrator on such panel list shall be made available for the parties’

review. Each party shall have 10 days from date of the letter containing the panel list in which to

select, rank and return their selections to the director of conciliation.

selecting an arbitrator in their agreement to arbitrate, the following process for the selection of an

arbitrator shall be employed: if more than four names on the panel list are acceptable, those

names shall be ranked in order of the party’s preference and the remaining name, if any, shall be

stricken. Otherwise the party shall strike no more than three names from the panel list and

indicate a preference among those names remaining by ranking them (1), (2), (3) and (4).

unacceptable, a request by such party for an additional panel list shall be filed with the director

of conciliation within the 10-day time period established for selection and preferential ranking. A

copy of such request shall be sent to the other party simultaneously. Each party shall have the

right to request one additional list, and consequently, no party shall receive more than three panel

lists. Pursuant to the selection process, if the parties fail to select an arbitrator after the

submission of a third panel list, the director of conciliation shall take whatever steps are

necessary to designate an arbitrator.

consistent with their selected order of preference, the director of conciliation shall

designate the arbitrator. If the designated arbitrator declines or is unable to serve, the

director of conciliation shall reserve the right to designate an arbitrator without the

submission of an additional panel list. In no case, however, will an arbitrator be

designated whose name was stricken by either or both parties.

director of conciliation, all names submitted in the panel list shall be deemed acceptable

to such party and the designation of the arbitrator shall be made according to the

preferences of the party whose selections have been timely received.

Notice of designation

designated arbitrator.

immediately communicate directly with the parties to make arrangements for preliminary matters

such as the date, time and place of the arbitration hearing. If the arbitrator cannot schedule a

hearing and determine the issues promptly, the arbitrator shall notify the director of conciliation

forthwith. The director of conciliation shall take such action, consistent with this Part, as the

director of conciliation deems appropriate.

Status of arbitrator after designation; conduct of proceedings

After designation, the legal relationship of the arbitrator is with the parties, rather than the board.

The designated arbitrator shall not be considered an agent or representative of the board. The

conduct of the arbitration proceeding shall be under the arbitrator’s exclusive jurisdiction and

control, subject to such rules of procedure as the parties may jointly agree upon. The arbitrator

shall have all of the powers specified in CPLR sections 7505, 7506 and 7509 insofar as these

sections may be applicable. The arbitrator’s conduct shall conform to applicable laws.

Stenographic record and transcript

that party shall be responsible for arrangements for such stenographic record.

transcript to be furnished to the arbitrator. If the arbitrator orders that testimony be recorded, the

cost of recording the testimony shall be mutually shared by the parties, including the cost of a

transcript to be furnished to the arbitrator. Any other party to the arbitration shall be entitled to

obtain a transcript upon payment therefor. The arbitrator shall indicate whether or not the

transcript taken shall serve as the official record of the proceeding.

Award upon settlement

The commencement of the administration of this Part shall in no way preclude the parties from

settling the dispute on their own at any time before or during an arbitration hearing. If the parties

have settled, the arbitrator, upon joint request of the parties, may set forth the terms of the

settlement in the form of an award.

Expedited rendition of award

the form of a joint request in writing shall be received by the director of conciliation before the

designation of the arbitrator.

within seven days after the arbitrator has declared the hearing closed.

Form of award and time rendered

The award shall be in writing, signed and affirmed by the arbitrator, and shall be delivered to the

parties either personally or by registered or certified mail, return receipt requested, or by other

means as mutually agreed by all parties involved. If no period of time for the rendition of an

award has been specified in the agreement and the parties have not mutually agreed to an

expedited rendition of the award, as provided in section 207.12 of this Part, an award shall be

rendered within 30 days after the arbitrator has declared the hearing closed, unless this time

period has been extended by the parties and so confirmed by them in writing.

Time extension

Except as prescribed by statute, upon request of any party, with notice to the other party, the

director of conciliation, for good cause shown, may extend any time limit in this Part except the

time limit for rendering an award.

Expenses and fees

party shall be charged by the board for its administrative services. The amount of this

administrative fee may be changed by the board on a yearly basis after an annual review. The

board must provide notice on the agency’s website at least 60 (sixty) days in advance of any

change.

the arbitrator’s resume, shall be the rate charged to the parties. Compensation for the services of

an arbitrator, including required travel and other necessary and incidental expenses, shall be

borne completely by the parties. Each party shall pay 50 percent of such fees and expenses,

unless otherwise mutually agreed upon in writing by the parties.

or cancellation of a scheduled hearing by either or both parties, shall give proper notice on his or

her resume. Unless otherwise mutually agreed upon in writing by the parties, the party

responsible for such adjournment shall pay the entire fee, and in the case where both parties

require adjournment, each party shall pay 50 percent of such adjournment fee.

involving arbitrator payments and compensation are to be resolved between the parties and the

arbitrator directly.

Filing the arbitrator's invoice

Upon completion of the assignment, the arbitrator shall submit to the director of conciliation a

copy of the invoice submitted to the parties showing a detailed accounting of fees and expenses

(if any).