State of Connecticut
Regulation of the Organization and Policies of the State Board of
Mediation and Arbitration
booklet consists of The State Board of Mediation and Arbitration regulations
concerning the organization and policies of the Board. Information in this
booklet, will enable you to understand the policies and procedures of the
Board. Please read this material carefully. If you have any questions, you
may contact the Board of Mediation and Arbitration.
Description of the Organization
Sec. 31-91-1. Creation and Authority.
(a) The Connecticut State Board of Mediation and Arbitration (hereinafter
referred to as the Aboard@) was created by Sec. 31-91 of the
Connecticut General Statutes, and administers various statutes that provide for
mediation and arbitration services to private and public sector employers and
employee organizations and appeals pursuant to Sec. 53-303e of the Connecticut
General Statutes. The board is composed of six members appointed by the
Governor, for six year terms as provided in Sec. 4-9a of the Connecticut General
Statutes, with the public, labor, and management each represented by two
members. One of the public members is designated by the Governor as the chairman
and the other public member shall be the deputy chairman. The members shall have
the power to complete any matter pending at the expiration of the terms for
which they were appointed.
(b) Alternate members of the board are appointed by the Governor upon request
of the Labor Commissioner or the chairman of the board for a term of up to one
year or until a replacement is appointed. The number of alternate members
appointed shall depend upon necessity and demand. Alternate members shall serve
when duties are delegated. While performing such delegated duty, alternate
members shall have all the powers of members of the board. Alternate members
shall have the power to complete any matter pending after the expiration of the
terms for which they were appointed.
(c) Board members and alternates shall take the applicable oath of office
described in Sec. 31-92a of the Connecticut General Statutes before assuming
their duties for the term of appointment. The director shall record the date
that each board member or alternate took the oath as well as the name and title
of the person administering the oath.
(d) Wherever any provisions of the Connecticut General Statutes refer to the
secretary of the Board of Mediation and Arbitration, they are construed to refer
to the board director. The duties of the board director shall include but are
not limited to serving as:
(1) secretary to the board;
(2) agent for service of civil process directed to the board;
(3) agent for the board when so authorized;
(4) custodian of the board=s
(5) provider of certified copies of documents; and
(6) mediator in high priority cases.
Sec. 31-91-2. Functions.
(a) The six member board establishes policy and promulgates regulations for
the operation of the board. It provides advice and consent to the Labor
Commissioner on the appointment of full time mediators who shall be responsible
to the board.
(b) The board provides employers and employee organizations with mediators
for the purpose of settlement of grievances or mediation of impasses in contract
negotiations. It also makes available arbitration services for the purpose of
arbitration of disputes over the interpretation or application of the terms of
the written collective agreements.
Sec. 31-91-3. Meetings of the Board.
(a) The board shall hold regular meetings on the third Monday of every other
month, except when an emergency arises. A quorum shall consist of four members,
provided there is at least one public, labor, and management member present. A
member who is unable to attend a meeting may, by completing a proxy form,
designate an appropriate alternate member to serve as a substitute. The minutes
of the meeting shall be recorded in a formal book of minutes, and these official
minutes shall be signed by the director of the board.
(b) The chairman may convene special and emergency meetings.
Sec. 31-91-4. Official Address.
(a) All communications should be addressed to the State Board of Mediation
and Arbitration, 38 Wolcott Hill Road, Wethersfield, Connecticut, 06109.
(b) Except as otherwise provided in this subsection, faxes shall be accepted
by the board for communication purposes with the board. To meet any mandated
time frame, faxes shall be received by the close of the business day of the
board. The close of the business day is 4:30 p.m. Faxes shall not be accepted
for last best offers in interest arbitration or for briefs in any
(c) Any civil process directed to the board shall be served on the board
director at the board=s office during
regular business hours. Regular business hours are 8:30 a.m. to 4:30 p.m.
Sec. 31-91-5. Public Information.
The public may inspect only the regulations, decisions and public records of
the board at its office in Wethersfield. Written requests should be submitted to
the board at its above-stated official address.
Rules of Procedure for Grievance Arbitration
Sec. 31-91-22. Purpose and scope of arbitration services.
Arbitration is the procedure of submitting disputes between an employer and
the employee organization designated to represent his employees to a third party
neutral or tripartite panel for decision. The arbitration services of the board
are available to employers and employee organizations.
Sec. 31-91-23. Conditions for initiation of arbitration procedure.
(a) A grievance or dispute will be heard by the board when any of the
following conditions is
(1) The board is specifically named as arbitrator within a collective
(2) The parties to the dispute submit in writing their mutual request for
and mutual agreement to be bound by the board=s decision; or
(3) An employee files a written claim alleging that he was discharged in
of Sec. 53-303e of the Connecticut General Statutes.
(b) A party claiming the dispute is not arbitrable shall submit notice of
such claim and the reasons therefor, to the board and to the opposing party at
least ten days prior to the initial hearing date.
Sec. 31-91-24. Demand for arbitration services; payment of filing fee; and
types of cases.
(a) A submission or demand for arbitration services shall be submitted on a
completed and signed grievance arbitration request form which shall include a
general statement of the dispute and the position of the filing party. The
purpose of the general statement is to provide the board with the general
outline of the dispute. A demand for arbitration shall be accompanied by the
two hundred (200) dollar filing fee. A confirmation letter and a copy of the
request for grievance arbitration form will be forwarded to the parties involved
in the case.
(b) A bill for the filing fee will be sent to the non-demanding party and is
due within thirty (30) days of the date of the confirmation letter. The failure
of the non-demanding party to pay the two hundred (200) dollar filing fee will
not delay the arbitration process. Where payment of the filing fee is not timely
made, the board may seek such payment through all available legal means.
(c) Except as set forth in subsection (d) and subsection (e) of this Section
and subsection (h) of Section 31-91-36 of the Regulations of Connecticut State
Agencies, the board shall schedule cases in chronological order.
(d) Priority cases are cases involving terminations, suspensions of thirty
(30) days or more, or layoffs. In these cases the board requests the parties to
set a mutually acceptable date as soon as possible and notify the board of such
date so a hearing date can be scheduled. Where the parties do not agree on a
date, the board shall assign a date.
(e) Expedited cases are cases where the parties mutually request the
expedited process before a panel or single arbitrator.
Sec. 31-91-25. Notice of hearing.
The board shall provide notice of the date, time, and location of the formal
hearing no later than twenty-one (21) days prior to such hearing. Two cases a
day may be scheduled for any employer and employee organization having more than
one case awaiting a hearing before the board. Where two cases are scheduled they
shall be cases between the employer and the same bargaining unit. When letters
are sent to the parties scheduling hearings, two cases may be listed rather than
one. Cases shall be heard in the order listed.
Sec. 31-91-26. Location of hearings.
(a) Arbitration hearings shall be scheduled in the Labor Department, 38
Wolcott Hill Road, Wethersfield, or at such other locations as may be designated
by the board.
(b) The cost of hearing rooms for arbitrations held at locations other than
the Labor Department at Wethersfield, shall be shared equally by the
Sec. 31-91-27. Postponements.
(a) Where the board has scheduled a case a party may within 15 days of
receipt of the hearing notice request one postponement per case by: (1)
obtaining from the opposing party an agreement for the postponement, (2)
confirming a new mutually acceptable hearing date, (which must be at least three
months but not longer than six months from the date of the postponement
request), and (3) notifying the case manager, who originally scheduled the case,
of the agreement to postpone and the new mutually acceptable hearing date.
Unless the parties have agreed on a postponement and a new hearing date, and
have so notified the case manager within 15 days, the request for postponement
shall proceed under the board=s formal
postponement policy set forth in subsection (c) of this Section.
(b) In priority and expedited cases where a hearing date has been scheduled a
party may within 15 days of receipt of the hearing notice, request one
postponement per case by: (1) obtaining from the opposing party an agreement for
the postponement, (2) confirming a new mutually acceptable hearing date, and (3)
notifying the case manager, who originally scheduled the case, of the agreement
to postpone and the new mutually acceptable hearing date. Where the parties have
not agreed on a postponement or a new hearing date within 15 days and have not
so notified the case manager, the request for postponement shall proceed under
the board=s formal postponement policy
set forth in subsection (c) of this Section.
(c) Any formal postponement shall be granted by the board only where the
requesting party or parties have demonstrated to the board that there is
sufficient cause for such postponement.
(d) For the purposes of this section sufficient cause includes, but is not
(1) death or illness;
(2) spokesman handling the case is required to
appear in court and cannot be available at a later time that day; (evidence
of court appearance is required);
(3) a previously scheduled vacation; or,
(4) a previously scheduled interest arbitration hearing.
In all postponement requests the board may require written documentation,
which shall become part of the record.
(e) The board shall contact the non-requesting party to give them an
opportunity to comment prior to granting a postponement where the request for
postponement is for a reason other than those enumerated in subsection (d) of
(f) The board shall notify the parties to the case that a postponement has
Sec. 31-91-28. Appointment of the Panel.
(a) The board shall be represented at arbitration proceedings by a tripartite
panel of three of its members, unless the parties have jointly agreed that a
single public member of the board shall represent the board.
(b) Whenever a tripartite panel is used, the employer and employee
organization may each select their advocate member from the appropriate
permanent advocate members of the board, who will represent their interests on
the panel. If either party fails to designate its advocate arbitrator or the
advocate arbitrator is unavailable, the board shall select an advocate
arbitrator for that party in the following manner:
(1) One of the permanent advocate board members shall be designated, if one
(2) If neither permanent advocate board member is available, an alternate
board member shall be designated by the board.
(c) The public member of the panel shall serve as chairman and shall be
selected by the board pursuant to the following procedure:
(1) The chairman of the board shall be designated if he is available.
(2) If the chairman is not available, the deputy chairman shall be
(3) If both the chairman and the deputy chairman are not available, an
public member shall be designated by the board.
(d) Where a single arbitrator has been selected to hear a case, he shall have
all the powers of a panel.
Sec. 31-91-29. Waiver of Oral Hearings.
The parties may provide, by written agreement, for the waiver of oral
hearings. If the parties are unable to agree as to the procedure, the panel
chairman shall specify a fair and equitable procedure. If the panel assigned to
hear the case feels that a hearing is necessary to make a full and fair
decision, it may order a hearing.
Sec. 31-91-30. Stenographic records.
The board does not provide a stenographic service during arbitration
hearings. If either or both parties feel it is necessary to have their
respective arbitration hearings recorded, they should make the necessary
arrangements with a private reporting service at their own expense. Whenever a
transcript is ordered by a party, three copies shall be sent to the board. In
single member proceedings, one copy shall be required.
Sec. 31-91-31. Adjournments.
The chairman may adjourn a hearing either upon his own initiative or in
response to a request by either party if good cause is shown.
Sec. 31-91-32. Arbitration in the absence of a party.
An arbitration hearing may proceed in the absence of any party, who, after
due notice, fails to be present or fails to obtain a postponement or
adjournment. An award shall not be made solely on the default of a party. The
panel members shall require the appearing party to submit such evidence as may
be required for the making of an award.
Sec. 31-91-33. Principal spokesperson.
Each party shall be represented at the hearing by a principal spokesperson
who shall present the party=s case.
The principal spokesperson may be an attorney or other authorized
Sec. 31-91-34. Attendance at hearings; subpoenas.
(a) Persons having a direct interest in the arbitration proceedings are
entitled to attend the hearings. It shall be discretionary with the chairman and
subject to the agreement of all parties whether any other persons may
(b) The subpoena power of the board may be used at the discretion of the
panel only when it becomes evident that the panel will be unable to render a
fair and just decision without the appearance of a material witness or pertinent
records or documents.
Sec. 31-91-35. Opening the hearing.
(a) Hearings shall open with the recording of the time, date and place of the
hearing, the identity of the panel members present, the identity of parties and
their representatives present.
(b) The parties shall present to the panel prior to proceeding with the
merits of the case, a carefully worded statement of the issue or issues in
dispute between them on which the board is requested to rule. Where the parties
are unable to agree upon the issue or issues to be decided, the panel shall
frame the issue or issues prior to proceeding on the merits of the case.
Sec. 31-91-36. Order of proceedings.
(a) The party who has filed the grievance will normally proceed first with
the presentation of evidence, except that the employer shall proceed first in
disciplinary cases, and the panel shall have discretion to vary the normal
procedure but shall afford full and equal opportunity to all parties for
presentation of relevant evidence.
(b) Each party will be permitted to make an opening statement through its
(c) Each party will have a full opportunity to present relevant
evidence and to cross-examine witnesses, subject to the rulings of the panel or
(d) Each party=s representative
will have an opportunity to make a closing statement to the panel.
(e) Once a hearing has commenced, the panel may continue the hearing to a
specific date: (1) on its own initiative or, (2) on the request of a party where
the panel finds that good cause is shown.
(f) The board expects all parties to be prepared to conclude the hearings
(g) The filing party may withdraw a grievance from arbitration at any time
prior to the issuance of the panel=s
decision, upon filing a written withdrawal with the board. When a withdrawal is
filed, the grievance shall be dismissed with prejudice unless a written
statement is received from the filing party stating the withdrawal is without
prejudice. A notice to withdraw a grievance before the hearing date shall be
received by the board before the close of business, five (5) business days prior
to the date of the hearing. Where said notice has not been received within this
time limit, the parties are required to appear before the panel assigned to hear
the issue(s). The parties may choose to have only one representative appear
before the panel to withdraw a grievance.
(h) Where a grievance which has been scheduled by the board for a hearing is
withdrawn or settled prior to the hearing date, the parties may mutually choose
to substitute another grievance which has not already been scheduled for a
hearing. The parties may mutually choose any pending grievance, regardless of
its chronological order. It shall be the responsibility of the parties to select
the case which they choose to have heard in lieu of the case originally
scheduled, and to notify the board accordingly. Only where the board has
approved such substitutions prior to the hearing date may the hearing
(i) Where the parties withdraw a grievance scheduled for a hearing and do not
choose the option of substituting another grievance of their choice in lieu of
the withdrawn grievance, the board may substitute the next grievance listed in
chronological order in lieu of the case being withdrawn. Such substitutions may
only be made by the board where the withdrawal is submitted at least three (3)
weeks prior to the hearing date.
Sec. 31-91-37. Evidence.
(a) The parties may offer such evidence as they desire and shall
produce such additional evidence as the panel members may deem necessary to an
understanding and determination of the dispute. The panel members shall be the
judge of the relevance and materiality of the evidence offered. Conformity to
legal rules of evidence shall not be necessary. All evidence shall be taken in
the presence of all panel members and both parties, except where any of the
parties is absent, in default or has waived his right to be present.
(b) Documents, records and other pertinent data, when offered by either
party, may be received in evidence by the panel. Written evidence must be
submitted either in the original or proper copies thereof. The names and
addresses of all witnesses and exhibits in order received shall be made a part
of the case file and recorded on the official hearing forms supplied by the
board. The panel shall not be required to return exhibits.
(c) In tripartite proceedings, the parties shall be required to submit five
copies of each exhibit to the chairman at the hearing: one copy for each of the
three panel members, one copy for the other party, and one copy for the case
file. In proceedings before a single arbitrator, three copies of each exhibit
must be submitted.
Sec. 31-91-38. Witnesses.
(a) All witnesses shall be sworn. The chairman of the panel shall administer
the following oath to all witnesses: AYou solemnly swear that the evidence you
shall give, concerning the case now in question, shall be the truth, the whole
truth and nothing but the truth, so help you God.@ When any person, required to take an oath,
from scruples of conscience declines to take it in the usual form or when the
chairman is satisfied that any person called as a witness does not believe in
the existence of a supreme being, a solemn affirmation may be administered to
him in the form of the oath prescribed, except that instead of the word Aswear@ the words Asolemnly and sincerely affirm and
declare@ shall be used and instead of
the words Aso help you God@ the words Aupon the pains and penalties of perjury or
false statement@ shall be used. The
parties shall be advised that all sworn testimony is subject to the Connecticut
Statutes on perjury.
(b) All witnesses called shall be subject to cross examination by the other
party=s chief spokesperson.
(c) The panel members may question witnesses at any point in the hearing.
(d) The chairman of the panel shall have the power to require the retirement
of any witness or witnesses during the testimony of other witnesses, and a
request by either party that a witness or witnesses be so retired may be granted
if any possibility exists that denial of such a request could affect the
testimony of the witnesses provided the following persons shall not be so
(1) Persons who are a direct party in interest; except that if such person is
to be a witness, such person shall be first to present testimony;
(2) The principal spokesperson for a party; or
(3) Persons whose duty it is to assist the principal spokesperson in
preparing the case.
Sec. 31-91-39. Evidence by affidavit and filing of documents.
(a) The panel members may receive and consider the evidence of witnesses by
affidavit, but shall only give it such weight as deemed proper after
consideration of any objection made to its admission.
(b) All documents not filed with the panel at the hearing, but which are
arranged at the hearing or subsequently by agreement of the parties to be
submitted, shall be filed with the board for transmission to the panel. All
parties shall be afforded opportunity to examine such documents.
Sec. 31-91-40. Inspection.
Whenever the panel judges it necessary, an on site inspection may be made of
the premises in connection with the subject matter of the dispute, after written
notice of the parties, who may be present at such inspection.
Sec. 31-91-41. Briefs.
(a) After the presentation of evidence, each party shall be permitted to file
(b) The panel may require the parties to submit briefs on the issue or issues
of the dispute and may require a brief on a particular point or question.
(c) The briefing schedules agreed upon by the parties and the arbitrator or
arbitrators shall be strictly adhered to and the parties shall submit their
briefs directly to the panel and to the opposing party with a copy to the board
in accordance with such schedule. Parties wishing to reserve their right to a
reply brief shall do so at the hearing. Any request for extension of the
briefing schedule shall be made only to the board. The board shall forward all
such requests to the panel. The panel may grant a request for extension only
where sufficient cause is shown by the requesting party or parties. For purposes
of this subsection sufficient cause means an occurrence which could not have
been known or anticipated by a reasonable person at the time the briefing
schedule was agreed to and which the requesting party or parties argues created
the need for delay. An extension may be considered by the panel only where the
request has been received by the board at least one week prior to the due date,
unless sufficient cause has been shown for making the request later. Late briefs
shall be returned to the filing party.
Sec. 31-91-42. Closing of hearings.
(a) The panel members shall inquire of both parties whether they have any
further evidence to offer or witnesses to be heard. Upon receiving negative
replies, the chairman of the panel shall declare the hearings closed.
(b) If briefs or other documents are to be filed, the hearings shall be
declared closed as of the final date set by the panel members for the filing of
said summary briefs or documents with the
Sec. 31-91-43. Reopening of hearings.
Prior to the rendering of an award, a party may move to reopen a hearing for
good cause shown such as the emergence of new evidence, but a hearing shall be
reopened contingent solely upon the discretion of the panel chairman.
Sec. 31-91-44. Award.
The award for termination cases shall be rendered by the panel members not
more than forty-five (45) days from the date of the final executive panel
session held to decide the case, or, where heard by a single arbitrator not more
than forty-five (45) days from the date of the last hearing or the briefing
date, whichever is later. The award for all cases other than terminations shall
be rendered by the panel members within seventy-five (75) days from the date of
the final executive panel session held to decide the case or, where heard by a
single arbitrator, not more than seventy-five (75) days from the date of the
last hearing or the briefing date, whichever is later.
Sec. 31-91-45. Executive panel sessions; form of award.
(a) The executive panel session is the session held to decide the case after
the last hearing or the briefing date, whichever is later. The panel shall
schedule an agreed upon date for an executive panel session which shall be held
not more than thirty days after the last hearing or the briefing date, whichever
(b) Oral awards may be rendered upon mutual request of the parties. Whether
or not an oral award has been rendered, an award shall be reduced to writing and
signed by the members of the panel.
(c) Decisions shall be made by majority vote of the panel members. A panel
member may express his disapproval of the majority decision by adding the word Adissenting@ after his signature on the award or said
panel member may also prepare a dissenting opinion which shall be sent to the
board=s office and will be made part
of the award proper.
Sec. 31-91-46. Award upon settlement.
If the parties settle their dispute during the course of the arbitration, the
arbitrator, upon their request, may set forth the terms of the agreed settlement
in an award.
Sec. 31-91-47. Delivery of award.
The award, incorporating the panel=s decision, will be sent by first class
mail to the parties.
Sec. 31-91-48. Expenses.
With the exception of the filing fee, arbitration services of the board are
supplied to Connecticut employers and employee organizations without
Sec. 31-91-49. Communication with panel members.
There shall be no communication concerning the pending case between the
parties and the panel members after the chairman of the panel has declared the
arbitration hearing or hearings closed.
Any other oral or written communication, other than the briefs and reply
briefs, from the parties to the panel members shall be directed to the director
of the board for transmittal to the respective panel members. It shall be the
duty of the board to notify a party of any communication of the other
Section 31-91-50 of the Regulations of Connecticut State Agencies is
Sec. 31-91-51. Request for expedited arbitration.
(a) Upon mutual request by both parties to a dispute, the board will process
the dispute according to the following expedited arbitration procedure:
(1) There shall be no stenographic record;
(2) There shall be no briefs;
(3) There shall be no written opinion accompanying the award;
(4) A single arbitrator may hear the case at the option of the parties;
(5) All other requirements of the board=s regulations concerning arbitration, which
are not in conflict with this Section, shall apply;
(6) Arbitrability may not be claimed; and
(7) Only one day of hearings shall be allowed for each case.
Sec. 31-91-52. Purpose and scope of mediation services.
Mediation is the use of third party neutrals to assist two contending parties
to reach agreement on matters in dispute. The mediation services of the board
are available to State employers and employee organizations for purposes of
settlement of grievances or mediation of impasses in contract
Sec. 31-91-53. Appointment of powers of mediators.
The full time mediators appointed by the Labor Commissioner, with the advice
and approval of the board, shall be available to investigate and adjust labor
disputes between State employers and employee organizations. Each mediator shall
have all the powers of the board to enter establishments, to examine payrolls or
other records, to issue subpoenas and to administer oaths.
Sec. 31-91-54. Goals and duties of mediators.
Every labor dispute is unique, therefore, no techniques or procedures can be
established to govern the conduct of mediators in every dispute. However, to
assure the parties the greatest degree of equity and professional conduct by
mediators, the board and its mediators will adhere to the ACode of Professional Conduct for Labor
Mediators@ which has been adopted by
the federal mediation and conciliation service and the association of labor
relations agencies. In the performance of mediation services, mediators shall be
responsible to the board.
Sec. 31-91-55. Function of the board in strikes and lockouts.
In cases where the board has knowledge of a potential or actual strike or
lockout, the chairman of the board or a panel of said board shall establish
communications with both parties to the controversy and endeavor by the process
of mediation to secure a settlement of such strike or lockout.
Sec. 31-91-56. Testimony by mediators.
To maintain the effectiveness of mediation the parties must be assured that
their discussions with mediators shall not be disclosed. Mediators shall not
testify, even if subpoenaed, concerning information disclosed during the
Sec. 31-91-57 - Sec. 31-91-63.
Sections 31-91-57 through Sec. 31-91-63, inclusive, of the Regulations of
Connecticut State Agencies are repealed.
Rules of Procedure for Municipal Mediation
Fact Finding, and Binding Interest Arbitration
Sec. 31-91-64. Notice of contract expiration; form; contents.
(a) The board shall provide municipal employers with a notice form, which
shall be completed by the municipal employer and returned to the board within
thirty days after the approval of each municipal collective bargaining
(b) The information provided by the municipal employer on the notice form
shall include, but shall not be limited to, the following:
(1) The name and address of the municipality and the name of the official who
will represent the municipality in impasse resolution procedures.
(2) The name and address of the employee organization and the name of the
official who will represent the employee organization in impasse resolution
(3) The approval date and expiration date of the contract.
(4) The number of employees covered by the contract.
(5) The subject matter and sections of the contract which may be subject to a
Sec. 31-91-65 - Sec. 31-91-70.
Section 31-91-65 through Sec. 31-91-70, inclusive, of the Regulations of
Connecticut State Agencies are repealed.
Statement of Purpose
The purpose of these regulations is to make changes that incorporate the
present organization and policies of the State Board of Mediation and
Arbitration and that reflect changes in statute since the effective date of the