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NYH&MTC By Laws

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If hard work were such a wonderful thing, surely the rich would have kept it all to themselves.
Lane Kirkland
 

 

By-Laws 

of the New York Hotel and Motel Trades Council, AFL-CIO

Introduction

This booklet contains the by-laws of the New York Hotel and Motel Trades Council, AFL-CIO as written at the Council's founding in 1938 and as amended since then to fit the needs of the growing Council.

ARTICLE I

Name and Object

Section 1. Name. The name of this organization shall be New York Hotel and Motel Trades Council, AFL-CIO ("Council").

Section 2. Object The object of this organization shall be to organize all workers in the hotel, motel and allied industries in the Greater New York area, to provide them with a collective bargaining agent, and, in general, to better their condition financially, socially, morally, and physically.

Section 3. Definition. The word "Hotel" as used herein shall mean hotel, motel and/or allied facility.

 ARTICLE II

Organization

Section 1. Organization of the Council. The Council shall consist of the local unions now affiliated with it and such other local unions as may hereafter become affiliated with it, provided, however, that no local union that is not affiliated with the "AFL-CIO" may be affiliated with the Council.

Section 2. Unions now affiliated with the Council. The local unions now affiliated with the Council are:

(a) International Brotherhood of Electrical Workers, Local Union No. 3, AFL-CIO

(b) Hotel, Restaurant & Club Employees and Bartenders Union Local 6, Hotel Employees and Restaurant Employees International Union, AFL-CIO

(c) Hotel Maintenance Upholstery Workers, Local 43U, United Steel Workers of America, AFL-CIO

(d) International Brotherhood of Firemen, Oilers and Maintenance Mechanics, Local 56, Service Employees International Union, AFL-CIO

(e) International Union of Operating Engineers, Local 94-94A-94B, AFL-CIO.

(f) Service Employees International Union, Local 758, Hotel and Allied Services Union, AFL-CIO

(g) Office and Professional Employees International Union, Local 153, AFL-CIO

(h) Hotel Maintenance Painters Union, Local 1422, Brotherhood of Painters, Decorators and Paperhangers of America, AFL-CIO

(i)Hotel Maintenance, Carpenters, Valets and Utility Workers Union, Local 1, AFL-CIO

Section 3. "Individual Members" Definitions and Rights

(a) "Individual Members" of the Council are defined as those individuals employed or available for employment in the hotel industry who pay dues and/or per capita tax to the Council.

(b) "Individual member in good standing" shall be limited to those individuals employed of available for employment in the hotel industry whose dues and/or per capita tax have been paid to the Council during the month for which said dues or per capita tax are payable. Failure to pay dues and/or per capita tax during the month for which they are payable shall result in automatic suspension from "individual membership in good standing" in the Council as of the last day of the month. A suspended "individual member" may again become an "individual member in good standing" by the payment of his dues and/or per capita tax for the current month and all arrearages or such amount in lieu of all arrearages as the Council may establish in accordance with established rules.

(c) Anything contained in these By-Laws seemingly to the contrary notwithstanding, the term "individual member" or "individual membership" is intended to confer upon hotel workers, covered by Collective Bargaining Agreements enter into between the Council and the Hotel Association of New York, Inc., and/or any other hotel owners or operators, only such rights, benefits and privileges as the individual hotel worker in the craft covered by said Collective Bargaining Agreements is entitled to enjoy under said agreements.

(d) Each person becoming an "individual member" of the Council who is also a member of a local union affiliated with the Council or a member of a local union which belongs to the same International Union as a local union which is affiliated with the Council, shall, upon becoming an "individual member" of the Council, be credited for the purpose of satisfying any membership waiting period required by the Group Insurance Plan or medical plan, with a period of continuous membership in good standing in the Council equal to the period immediately prior to his becoming an "individual member" of the Council that he was continuously a member in good standing of the local union to which he belongs.

Section 4. Direct Affiliation of Workers. In the event of the organization of hotel workers not belonging to any craft within the jurisdiction of the local unions affiliated with it, the Council shall affiliate such workers directly with it until such time as a local union of the crafts to which they respectively belong shall become affiliated with the Council.

 ARTICLE III

Representation

Section 1. Representation on the Executive Board. Each local union affiliated with the Council shall be entitled to be represented on the Executive Board of the Council either by a General Officer or by a Vice President of the Council, but not by both, except, however, that for the purpose of the Section, the President of the Council shall not be deemed to be a representative of any particular local union but shall be deemed rather to be a representative of the Council as a whole, and the local union of which he is a member shall also be entitled to be represented on the Executive Board by a Vice President. Anything contained in these By-Laws seemingly to the contrary notwithstanding, however, if two or more local unions affiliated with the Council are also affiliated with the same International Union, only one of such local unions shall be entitled to be represented on the Executive Board by a General Officer or a Vice President. On all roll call votes the combined votes of the General Officers and/or Vice President, as the case may be, shall not exceed the combined total of votes to which both local unions are entitled under the provisions of Article 3, Section 3 hereof.

Section 2. Delegates. Each local union affiliated with the Council shall be entitled to select the following number of delegates:

Hotel, Restaurant & Club Employees and Bartenders Union Local 6 - 9 delegates; 

Service Employees International Union, Local 758 - 5 delegates;

International Brotherhood of Electrical Workers, Local Union No. 3-3 delegates;

Hotel Maintenance Upholstery Workers, Local 43U - 3 delegates;

International Brotherhood of Firemen, Oilers and Maintenance Mechanics, Local 56-3 delegates; International Union of Operating Engineers, Local 94-94A-94B - 3 delegates; 

Office and Professional Employees International Union, Local 153-5 delegates;

Hotel Maintenance Painters Union, Local 1422 - 3 delegates; 

and Hotel Maintenance, Carpenters, Valets and Utility Workers Union, Local 1 - 3 delegates.

 Any organization which shall hereafter become affiliated with the Council shall be entitled to such number of delegates and votes as the Executive Board of the Council may unanimously determine at the time of the affiliation of such organization.

Each delegate shall be elected by direct secret ballot vote of the membership of the local union he represents. The foregoing may be done either by designation in the By-Laws of the local union of certain elected officers as delegates to the Council or by the separate direct election of delegates to the Council.

Section 3. Voting. Upon any vote by the Executive Board or by the delegates, the Executive Board member representing each affiliated local union, or delegate or delegates representing such local union, as the case may be, shall have the right to cast the full number of votes to which such local union shall be determined as follows:

(a) Each local union affiliated with the Council, irrespective of its size, shall be entitled to a minimum of three votes. Those local unions which have more than 500 members shall be entitled to one additional vote for each additional 500 members or major fraction thereof; provided, however, that if the number of votes to which any one local union would be entitled under the foregoing formula would equal or exceed the combined total of the votes of the other local unions, the number of votes of such one union shall be reduced to one less than the combined total of the votes of the other local unions, so that the number of votes which any one local union affiliated with the Council may cast shall not equal or exceed the combined total of the number of votes of the other local unions affiliated with the Council.

(b) Any language contained in these By-Laws seemingly to the contrary notwithstanding, whenever a roll call vote is had, when there are two or more local unions which are affiliated with the Council and which are also affiliated with the same International Union, the member of the executive board and the alternate of the sister local shall divide the combined votes to which the said local unions are entitled under the provisions of Article 3, Sections 1, 2, and 3 hereof.

(c) The number of members of any affiliated local union shall be determined on the basis of the average monthly dues payments to the Council for the twelve-month period preceding the vote.

Section 4. Voting on collective bargaining agreements. Anything contained in these By-Laws seemingly to the contrary notwithstanding, voting on the approval or ratification of collective bargaining agreements shall be by all of the "individual members" of the Council as defined in Article II, Section 3, of these By-Laws, each of which "individual members" shall have one vote.

 ARTICLE IV

Government

 Section 1. The General Officers. The Delegates shall elect the following General Officers from among their member delegates: President, Executive Vice President, Secretary-Treasurer and Recording Secretary, The Vice President of the Council who is a delegate from Local 6, Hotel Restaurant & Club Employees and Bartenders Union, shall also be a General Officer.

Section 2. The Vice Presidents. Subject to the provisions of Article 3, Section 1, the delegates shall elect from among their member delegates Vice Presidents of the Council sufficient in number so that the number of Vice Presidents plus the Recording Secretary and the Secretary-Treasurer shall be equal to the number of local unions affiliated with the Council. Each affiliated local union shall be entitled to have one of its delegates elected either as a Vice President or a General Officer; and no affiliated local union shall be entitled to have more than one of its delegates elected to any such office, except that the local union of which the President of the Council is a member shall also be entitled to have one of its delegates elected as Vice President.

Section 3. The Executive Board. The General Officers and the Vice Presidents, together, shall comprise the Executive Board of the Council.

Section 4. Powers and Duties of the Executive Board. The Executive Board shall be the governing body of the Council.

Section 5. Powers and Duties of the General Officers. The President, Executive Vice President, Secretary-Treasurer and Recording Secretary shall devote such time to the business of the Council as the Council shall from time to time require. The General Officers shall carry out the policies and duties of the Executive Board between meetings of the Executive Board.

In the event that the office of President shall become vacant for any reason whatsoever, the Executive Vice President, the Secretary-Treasurer and the Vice President of the Council from Hotel, Restaurant and Club Employees and Bartenders Union, Local 6 shall assume the powers and duties of the president. They shall have the right by a majority vote to designate one of their number to assume said powers and duties or shall, if they so decide, act collectively, in which event all decisions made by them shall be by majority vote. They shall continue to carry out the duties of the President for a 30-day period, in the event no election of officers has taken place, a new President of the Council shall be elected in accordance with the By-Laws.

Section 6. Other Powers and Duties. Subject to the direction and control of the Executive Board the General Officers shall have other powers and duties as are customarily exercised and performed by such officers.

Section 7. Compensation of Officers. The compensation of all officers, Vice Presidents, delegates and employees of the Council shall be fixed form time to time by the Executive Board.

Section 8. Vacancies in Office. Except in the case of the President whose vacancy shall be filled as set forth in Section 5 of this ARTICLE IV, in the event of the death, resignation, inability or unwillingness to serve of any of the General Officers or Vice Presidents, the delegates shall immediately choose a successor in the same manner and by the same method as the person whose position became vacant was chosen.

Section 9. Elections. An election of officers of the Council to serve for a three-year term shall be held at a meeting in the month of May, 1954. Thereafter, an election of officers shall be held in May of every third year following such election.

 ARTICLE V

Income and Finance

 Section 1. Income. The income of the Council shall consist of:

(a) Forty (40%) percent of all the initiation fees of hotel workers belonging to affiliated local unions.

(b) Dues and/or a per capita tax of Nine Dollars ($9.00) per month to be paid by each of the affiliated local unions, for each of its members employed in the hotel industry.

(c) A further per capita tax and/or dues of fifty cents (.50) per month to be paid to the Neighborhood Service Councils by each employee working in the hotel industry who is covered by the terms of the collective bargaining agreement between the Council and his employer.

(d) Such other and further initiation fees, dues, and/or per capita taxes as the Council may from time to time direct be paid by or on behalf of employees who are directly affiliated with the Council.

(e) Such other revenues as the Council may, from time to time, be able to raise, including special assessments.

Section 2. Defense Fund.

(a) In accordance with these By-Laws and applicable federal law, a defense fund was established by secret ballot vote of the Council membership on May 13, 1975.

The defense fund has been and continues to be financed by an additional dues or assessment of two hundred dollars ($200.00), paid or to be paid, by each employee working in the hotel industry and covered by the terms of the collective bargaining agreement between the Council and his employer.

  The monies paid to the defense fund shall be paid in twenty (20) separate equal weekly installments often dollars ($10.00) each.

The monies paid to the defense fund shall be placed in a separate account in the name of the Council, and not commingled wit any other funds of the Council. The operations of the defense fund shall be audited at least once a year and a copy of such audit shall be distributed each year to all locals of the Council. The assets of the defense fund shall be used for the purposes of assisting the Council and/or its constituent local unions in hotel related organizational drives and authorized work stoppages, strikes and picketing activities and to assist the Council in any and all authorized activities designed to defend the Council, and to defend and enhance the wage and benefit standards of its members.

  Such assistance shall include but shall not be limited to the payment of all necessary and ordinary expenses related to any of the foregoing including the retention of all necessary professional, legal and technical personnel.

(b) Notwithstanding any of the foregoing provisions of subparagraph (a) hereof seemingly to the contrary, upon a determination having been made by the Council's Executive Board and Enlarged Council that emergency circumstances exist which seriously threaten or pose a clear and present danger to the financial, physical, mental or emotional well-being of the Council's members, the assets of the Defense Fund may be used for the purpose of providing supplementary income and other benefits to the members of the Council who are directly affected by such circumstances. Any such emergency expenditures made by the Council pursuant to this subparagraph (b) shall be in such amounts and for such purposes as determined to be reasonable, necessary and appropriate by the President of the Council, approved by the Council's Executive Board and approved/ratified by the Council's Delegate body.

Section 3. There is hereby established the New York Hotel and Motel Trades Council, AFL-CIO, Committee on Political Education (sometimes hereinafter referred to as "Committee") consisting of the members in good standing of the Council for the sole purpose of making lawful political contributions to federal, state, county and local political candidates or in opposition thereto, and in support of or opposition to ballot issues and referendums which, in the Committee's discretion, shall be in the Council's best interests. The Committee shall also be known as "HTC C.O.P.E." The Committee shall operate through and be administered by its Executive Board in accordance with the Committee's by-laws.

  The Committee, by appropriate resolution, shall establish and maintain a political fund, which shall be wholly separate and segregated from the accounts of this Council, for the sole purpose of making expenditures for the political exempt function of the Committee as defined by law, and which shall be in the name of the Committee and known as the New York Hotel and Motel Trades Council Committee on Political Education State Fund. The Committee shall also establish the New York Hotel and Motel Trades Council Committee on Political Education Federal Fund and any additional funds in accordance with law.

   The State Fund shall be funded from dues received by the Council on the basis of twenty-five cents ($0.25) per month, per member, payable to the Committee promptly upon receipt of same by the Council, which funds shall not be used in connection with federal election activity. Voluntary contributions from the Council's members and other lawfully permitted donors may also be accepted, but shall be kept in the separate Federal Fund and may be contributed to or used in connection with candidates for federal office and/or state and local office. The aforesaid monthly funding payments by the Council to the State Fund shall be increased as follows to: $0.50 per month effective as of January 1, 1996; $0.75 per month effective as of January 1, 1998; and $1.00 per month effective as of January 1, 2000. The Council, from time to time, may by majority vote of its Executive Board, suspend or reduce the rate of the aforesaid monthly funding payments to the Committee for a period of time not to exceed twelve (12) months.

  Upon transfer of monies by the Council to the State Fund, the monies shall be under the exclusive direction and control of the Committee, and the Council shall have no interest in, right, or obligation concerning the monies. In no event shall monies transferred to the Committee be returned to or used by the Council and the Committee shall use the monies only for the purposes set out in this section. The Committee, however, is not prohibited from reimbursing the Council for the actual cost of goods or services provided to the Committee by the Council.

  Voluntary contributions may also be accepted, but shall be kept in the separate Federal Fund and may be contributed to or used in connection with candidates for federal office and/or state and local office, if such contributions are not prohibited by law.

  Notwithstanding anything contained in these by-laws of the Committee seemingly to the contrary, the Council, from time to time, by majority vote of its Executive Board, may lend to the Committee such amounts as are necessary for the Committee only in connection with lawful and authorized Committee purposes and further provided, that the Committee shall repay to the Council said loan amounts with interest thereon at the then current prime lending rate plus one-half of one percent (0.05%), with said repayment to be made over a reasonable period of time not to exceed eighteen (18) months.

  The President shall have the authority to make expenditures from the separate segregated fund established hereunder. The President with the approval of the Executive Board shall have the authority to make expenditures from the Union's general treasury for other political, lobbying and/or legislative purposes.

Section 4. Distribution of Income. From the monies the Council receives by way of dues, initiation fees, and assessments, it shall deduct its share as per capita tax, assessments, etc. The Council thereafter shall transmit to the appropriate local union the balance of whatever monies the Council determines should be sent to the appropriate affiliated Union. In the event that internal dispute arises in any local union affiliated with the Council, or in the event any conflict arises as a result of any expulsion, suspension, trusteeship, charter revocation, or attempt at same, or any local union affiliated with the Council, which in the opinion or the Council affects the interests of hotel workers coming within the scope of the Council agreement with the Employers, the Council shall have the power in its discretion to determine what monies, if any, it shall transmit to the local unions during the existence of the situations above provided for, and the Council shall have the power in its discretion to retain all monies received as dues, assessments and initiations fees, and to expend any monies it deems necessary in order to protect the best interests of the hotel workers coming under the jurisdiction of the local union involved.

Section 5. Signatures and checks, etc. All checks, notes, drafts, contracts or other instruments shall be signed by any two of the following three officers: President, Secretary-Treasurer, Recording Secretary.

Section 6. Expenses of the Council. All salaries and overhead expenses as well as ordinary organization campaign expenses shall be paid by the Council out of its own treasury, unless otherwise agreed to by the Council and the local union or unions specially interested in any particular phase or type of organization campaign. The salaries and other remuneration to the organizers and business agents delegated by the local unions to work with the Council in hotels shall be paid by their respective local unions.

Section 7. Legal and Related Expenses. The Council is authorized to pay or reimburse all the expenses for investigating services, employment of all counsel and other necessary expenditures incurred or paid in defending any cause, matter, case or cases where a general officer, officer, representative, employee, agent or one charged with acting on behalf of the Council is charged with any violation or violations of any law or is sued in any civil actions (1) if a majority of the Executive Board in its sole discretion, subject to the approval of a majority of the delegates to the Council present and voting at a regular or special meeting determines that said charges or lawsuits are (a) unfounded, or (b) are politically motivated, or (c) were filled in bad faith in an attempt to embarrass or destroy the Council general officer, officer or representative, or (2) or if a majority of the Executive Board in its sole discretion determines that the expenditures should be made.

 ARTICLE VI

 Meetings

 Section 1. The Holding of Meetings. Regular meetings of the Executive Board shall be held on call of and be presided over by the President. Meetings of the delegates shall be on call of the Executive Board.

Section 2. Procedure at delegates meetings. At each meeting of the delegates, the General Officers shall make a full report with respect to the matters appertaining to their particular offices.

 ARTICLE VII

Collective Bargaining and Strikes

 Section 1. Power of the Council. The Council is the exclusive bargaining agent for the local unions affiliated with it and with respect to all of the members of said local unions working in the hotel industry and none of the said local unions shall negotiate directly with any hotel except with the express consent in writing of the Council and according to the rules and regulations to be established by the Council.

Section 2. Voting on collective bargaining agreements. The stated objective and organizational purpose of the Council is to provide the hotel workers in the greater New York area with an effective and unified collective bargaining agency. Pursuant to that purpose, it is hereby declared to be the policy of the Council to submit to a vote of the hotel workers it represents all proposed master collective bargaining agreements, whether with the Hotel Association of New York City, Inc. or any successor or similar employer organization. A vote of a majority of the workers affected by the collective bargaining agreement shall be binding upon all.

Section 3. Grievance machinery. The Council shall establish rules and regulations, as well as machinery, for the settlement of grievances of hotel employees and disputes between employers and employees in the hotel industry.

Section 4. Majority vote. Unless otherwise specifically provided for herein, whenever the term "majority vote" is used in these By-Laws, it is intended to mean majority of all of the members of the Council. Unless otherwise specifically provided for, whenever the term "two-thirds" vote is used in these By-Laws, it is intended to mean "two-thirds" vote of all of the members of the Council.

Section 5. Strikes. The Council shall be the only body authorized to call any strike or stoppage, or to order the cessation of work by any employee in the hotel industry; and it shall have the sole authority to call off any strike, stoppage or other cessation of work, ordered by it. None of the affiliated unions shall call any strike, stoppage or and other cessation of work of its members working in the hotel industry except with the express consent of the Council and upon such terms and conditions with respect to the settlement or calling off of such strike, stoppage or other cessation of work as may be stipulated by the Council.

 ARTICLE VIII

Notice Where Unanimous Vote is Required

 Whenever a unanimous vote is required under these By-Laws, at least five days' notice in writing shall be given of the matter to be voted upon.

 ARTICLE IX

Vote on Jurisdictional Questions

 Any new questions of jurisdiction or dispute not already provided for in contracts or agreements between the affiliated unions shall be decided by a majority vote of the Council.

 ARTICLE X

Amendments

 These By-Laws may be amended by a two-thirds vote of the delegates at any regular or special meeting of the delegates, provided at least five days' written notice has been sent to the delegates of the proposed amendment and of the fact that such amendment is to be brought up at such meeting.

 

 ARTICLE XI

President Emeritus

 Upon the retirement of any Council President (except one who serves only temporarily following a vacancy in that office pursuant to Section 5, Article IV), said retired President may assume the title "President Emeritus" with such emoluments as may be designated by the Executive Board of the Council.

 

ARTICLE XII

Ethical Practices Code

 In order to insure the highest standards of executive and administrative practices in the New York Hotel and Motel Trades Council ("HTC"), the HTC has adopted the following Code of Ethical Practices and is subject to its provisions.

Section 1. Preamble: The purpose of this Code is to insure high standards of executive and administrative practices in the HTC, its affiliate local unions and the officers of HTC and its affiliated local unions all in connection with HTC related business.

(a) HTC and its affiliated local unions shall maintain adequate safeguards for the prevention of corruption, discrimination, any anti-democratic procedures, and the association of any official of the HTC or any of its affiliate unions with known organized crime figures or anyone that would bring disrepute to the Union.

(b) HTC monies and other assets or property are to be held in sacred trust for the benefit of the HTC membership.

Section 2. Financial Practices: Union monies and other assets or property shall be held in sacred trust for the benefit of the HTC membership. The membership is entitled to assurance that Union monies and other assets or property are not dissipated and are spent only for legitimate and proper purposes. The membership is also entitled to be reasonably informed as to how Union funds are invested or expended and how Union assets or property is used.

(a) The HTC and its affiliate local unions shall conduct HTC proprietary functions and business, in accordance with generally accepted and recognized business practices of well-run institutions. Such business practices shall include but not be limited to securing competitive bids for major contracts, retaining professional and technical advisors and service providers as necessary to assist the officers of the Union to faithfully and satisfactorily discharge their fiduciary duties owed to the members and conducting the affairs of the Union in accordance with its bylaws and all applicable law.

(b) The Union shall not permit any of its monies to be invested in a manner which results in the personal profit or advantage of any elected or appointed officer or representative or employee of the Union.

(c) There shall be no contracts for the purchase or sale of Union property or for the rendition of services to, for or in behalf of the Union, which will result in the personal profit or advantage of any Union officer, representative or employee. Nor shall any officer, representative or employee of the Union or of any affiliate local union accept personal profit or special advantage from an Employer or business enterprise with which the Union collectively bargains.

(d) Neither the Union nor any of its affiliate local unions 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. Section 3. Health, Welfare, and Pension Funds.

(a) No officer, representative or employee of the Union or any affiliate local union shall receive, directly or indirectly, fees or compensation of any kind whatsoever from an employee benefit trust fund established for the provision of health, welfare or pension benefits to the Union's members and/or their beneficiaries, except, however, that all such persons may receive reasonable reimbursement provided for in a collective bargaining agreement or trust agreement and/or as expressly approved by the Union's Executive Board or by the trustees of the fund(s).

(b) No officer, representative or employee of the Union, or other person acting as an agent or representative of the Union or any of its affiliate local unions, who exercises responsibilities or influence in the administration of health, welfare and pension benefit programs or in the placement of insurance or other contracts, shall have any compromising personal ties, direct or indirect, with outside agencies such as insurance carriers, brokers, consultants, or other persons or entities doing or seeking to do business with the Union's health, welfare and pension plans.

(c) The officers of the Union shall ensure that complete records of the financial operations of all HTC health, welfare and pension funds and programs shall be maintained in accordance with regular and accepted accounting practices and procedures and that each such fund shall be audited regularly and in no event less than annually.

(d) In accordance with ERISA, all such fund audit reports shall be made available to the members of the Union covered by the fund, upon request.

(e) The officers of the Union shall ensure that the trustees or administrators of such employee benefit funds shall make a full disclosure and report to the members covered by the funds at least once each year, all in accordance with ERISA.

Section 4. Business and Financial Activities of Union Officers: Any person, whether he/she is an elected or appointed officer of the Union and who represents the Union and its members, has a sacred duty and obligation to serve the best interests of the Union, the members and their beneficiaries. Therefore, every Union officer and representative must avoid participation in any outside transaction which even gives the appearance of a conflict of interest. The special fiduciary nature of Union office requires that all officers evince the highest loyalty to the duties of their office.

(a) No officer or representative of the Union shall have a personal financial interest in any enterprise which conflicts with his/her Union duties.

(b) No officer or representative of the Union shall have any substantial financial interest (even in the publicly-traded, widely-held stock of a corporation except for stock purchase plans, profit sharing or nominal amounts of such stock or investments held in a mutual fund or blind trust), in any business with which the Union collectively bargains. An officer or representative of the Union shall not have any substantial interest in any business enterprise with which the Union bargains collectively.

(c) No officer or representative of the Union shall demand or accept "kickbacks," commissions, finders fees, under-the-table payments, valuable gifts, lavish entertainment or any personal payment or other thing of value of any kind whatsoever, other than regular pay and benefits for work performed as an employee from an employer with which the Union bargains or from a business or professional enterprise with which the Union does business.

(d) The principles of this Code, of course, apply to investments and activities of third parties, where such activities amount to a subterfuge or an attempt to conceal the true financial interests of such Union officers or representatives.

(e) For purposes of this Code a "substantial interest" is one which either contributes significantly to the individual's financial well-being or which enables the individual to affect or influence the cause of corporate decision making.

Section 5. Prohibited conduct:

(a) No current and future officers, agents, employees, representatives, and persons holding positions of trust in the HTC and in its affiliate local unions as well as all current and future members of the HTC and its affiliate local unions shall in connection with HTC related business:

1. commit any crime listed in 18 U.S.C. § 1961(1);

1. knowingly associate with any member or associate of any criminal group or with any person permanently barred from membership in a union;

2. knowingly permit any member or associate of any criminal group or any permanently barred person to exercise any control or influence, directly or indirectly, in any way or degree, in the conduct of the affairs of the HTC and its affiliate local unions; and,

3. obstruct or otherwise interfere, directly or indirectly, with the efforts of anyone effectuating or attempting to effectuate the terms of this Code, or in attempting to prevent any criminal groups or barred person from exercising influence on the conduct of the affairs of the HTC and the affairs of its affiliate local unions as such affairs relate to HTC business.

(b) As used in this Code, the term "knowingly associate" shall mean that: (a) the person knows or should know that the person with whom he or she is associating is a member or associate of any criminal group or is a permanently barred person; and (b) the association is intentional and more than fleeting.

(c) As used in the Code a "barred person" is: (a) any known member or associate of any organized crime family or other criminal group, or (b) any person prohibited from participating in HTC affairs or in the affairs of any other recognized labor union pursuant to or by operation of law or court order.

(c) No person who is convicted of any felony involving the infliction of grievous bodily injury, any crime of dishonesty or any crime involving abuse or misuse of such person's position or employment in a labor organization or an employee benefit fund shall serve as an officer, employee or representative of HTC.

Section 6. Enforcement: This Code shall be enforced by the following process:

(a) The President of HTC shall appoint a standing Ethical Practices Committee ("EPC") consisting of three (3) members of the HTC Executive Board, serving on a rotating basis every two (2) years.

(b) Charges of violations of this Code may be filed only by a member of HTC who is also a member of a local union affiliated with HTC and must be accompanied by substantiating documentation. Such charges, must be in writing; signed by the charging party; and filed with the Secretary/Treasurer of HTC. The charges shall be specific, citing in detail the nature, the date, and the circumstances of the alleged offense and where a violation of this Code is alleged, the specific section of the Code shall be cited along with the specific act or failure to act which constitutes the alleged violation. The charges shall be referred by the Secretary/Treasurer to the EPC for review and recommended disposition.

  Within fourteen (14) business days following the receipt of the charges, the Secretary/Treasurer of the HTC shall send by certified mail return receipt requested, an exact and full copy of the charge to the charged party, together with a copy of the Code and an explanation of the hearing procedure to be followed. A charge alleging the existence of a substantial financial interest by a non-employee officer of the HTC in a company or firm with which the HTC does business in violation of this Code shall be dismissed administratively where it is established that the individual in question recused himself or herself from any and all decision making with respect to the company or firm involved.

(c) The EPC shall have the authority to investigate and, where the EPC finds reasonable cause to believe that a violation of the Code has occurred, to bring the matter to an appropriate hearing before an impartial hearing officer designated by the President and approved by the HTC Executive Board, if the matter is not otherwise resolved. The hearing officer shall preside at the trial and hearing, pass on all objections and establish rules of decorum and procedure consistent with this Code.

(d) All charges and investigations shall be kept confidential unless and until the EPC finds reasonable cause to bring the matter to a hearing. The EPC shall adopt reasonable measures to ensure that confidentiality is maintained, including enforceable sanctions for breach of confidentiality.

(e) Fundamental due process shall be afforded to the individual charged in connection with any such hearing including but not limited to the right of the charged party to be represented by counsel. A full stenographic transcript of the hearing shall be kept and a copy of same will be provided to the charged party upon request.

(f) Following completion of the hearing, the hearing panel shall issue a written decision containing its findings and recommendations made to the HTC President and Executive Board.

(g) Where a violation of the Code is found, the recommendations shall include an appropriate disposition and/or recommended penalty up to and including suspension or removal from service as an HTC officer and/or employee; the imposition of a fine and/or such other appropriate penalty.

(h) The Executive Board shall have the final decision in the matter and shall permit the individual charged a reasonable opportunity, upon request, to present his or her position to the Executive Board prior to rendering a final written decision.

(i) An appeal from, including a request for a vacatur or modification of, the decision of the Executive Board may be taken to the delegates to the Enlarged Council. Such appeal must be made in writing by the individual appealing or seeking to vacate or modify the decision of the Executive Board, within fourteen (14) business days of the issuance of the Executive Board's final written decision. The delegates to the Enlarged Council, may, upon good cause shown, conduct a hearing on the merits of the appeal before an impartial

hearing officer (who may or may not be an officer or employee of HTC) designated by the Enlarged Council, the cost and expense, if any, of such hearing including the fee for such hearing officer and any charges for a stenographic record of such proceedings shall be borne by the Union, except that the individual prosecuting the appeal shall bear the entire cost of his/her appeal including counsel fees, if any, and for copies, if any, of the stenographic record of the proceedings.

The Enlarged Council shall issue a written decision on the appeal within fourteen (14) business days after the close of any such hearing on the merits, or, within fourteen (14) business days after the receipt of the notice of appeal if the Enlarged Council determines that good cause is not shown requiring a hearing on the merits, as the case may be.

No further appeals may be taken from the final written decision of the Enlarged Council.

(j) There shall be no retaliation against any HTC officer, representative, employee or member who, in good faith, files a charge alleging a violation of this Code. The foregoing notwithstanding, any individual who maliciously or knowingly files a false charge alleging a violation of this Code shall be deemed to violate this Code and may be disciplined in accordance with the provisions hereof.

Section 6. Application: The substance and procedures of this Code shall be binding upon each HTC affiliate local union with respect to its own officers and managerial employees, engaged in HTC related business.

(a) This Code is not intended to address the dealings and conduct of HTC officers and employees in their other capacities as officers, representatives, employees or members of HTC affiliate unions or other district labor organizations in connection with non-HTC related business.

      
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