TABLE OF CONTENTS v

TABLE OF CONTENTS

PREFACE .............................................................................................................................................. I

CHAPTER 1: INTRODUCTION TO FLRA STRUCTURE AND JURISDICTION ................................ 1

I. FEDERAL LABOR RELATIONS AUTHORITY ...................................................................................................................................................................1A. STATUTORY PURPOSE ................................................................................................................................................................................................1B. FLRA FUNCTIONS ........................................................................................................................................................................................................2C. FLRA STRUCTURE ........................................................................................................................................................................................................2

1. Requests for Interpretation and Guidance ...............................................................................................................................................32. Advisory Opinions .............................................................................................................................................................................................33. Regulations ..........................................................................................................................................................................................................3

D. LABOR-MANAGEMENT FORUMS ..........................................................................................................................................................................3II. AGENCIES HAVING SPECIALIZED LABOR RELATIONS SYSTEMS .........................................................................................................................5

A. HOMELAND SECURITY—HUMAN RESOURCES MANAGEMENT SYSTEM .............................................................................................51. Statutory Basis for Separate Labor Relations System............................................................................................................................52. Regulations Implementing the DHS Labor Relations System ...........................................................................................................83. Litigation Challenging the DHS Labor Relations System ....................................................................................................................8

B. DEPARTMENT OF DEFENSE—NATIONAL SECURITY PERSONNEL SYSTEM ...................................................................................... 151. 2008 Authorization Act ................................................................................................................................................................................. 152. 2003 Authorization Act ................................................................................................................................................................................. 173. Regulations Implementing the 2003 Authorization Act................................................................................................................... 19

a. D.C. Circuit Review of the 2006 NSPS Regulations ................................................................................................................... 19

CHAPTER 2: UNIT DETERMINATIONS AND ELECTIONS ........................................................... 25

I. UNIT DETERMINATIONS ................................................................................................................................................................................................... 25A. STATUTORY AND REGULATORY CRITERIA ...................................................................................................................................................... 25

1. Actual Duties Control .................................................................................................................................................................................... 27a. Newly Encumbered Positions .......................................................................................................................................................... 27

B. CLASSES OF STATUTORILY EXCLUDED POSITIONS ..................................................................................................................................... 271. Managers; 5 USC 7112(b)(1) ........................................................................................................................................................................ 27

a. Technical and Research Directors ................................................................................................................................................... 28b. Expert Advisors ...................................................................................................................................................................................... 28c. Auditors .................................................................................................................................................................................................... 28d. Program Analysts and Program Managers .................................................................................................................................. 28e. Contract Negotiators and Specialists ............................................................................................................................................ 29f. Engineers ................................................................................................................................................................................................. 29g. Lawyers .................................................................................................................................................................................................... 29h. Adjudicators ........................................................................................................................................................................................... 30i. Policymakers for Military Personnel............................................................................................................................................... 31

2. Supervisors; 5 USC 7112(b)(1) .................................................................................................................................................................... 31a. Guard Units ............................................................................................................................................................................................. 34b. Firefi ghters .............................................................................................................................................................................................. 34c. Nursing Personnel ................................................................................................................................................................................ 37d. Small Shop Chiefs ................................................................................................................................................................................. 38e. Work or Team Leaders ......................................................................................................................................................................... 38f. Administrative Offi cers ....................................................................................................................................................................... 39g. Library Employees ................................................................................................................................................................................ 39h. Law Offi ce Employees ......................................................................................................................................................................... 39i. Personnel Offi ce Employees ............................................................................................................................................................. 39j. Inspection Positions ............................................................................................................................................................................ 40k. Researchers ............................................................................................................................................................................................. 40

3. Confi dential Employees; 5 USC 7112(b)(2) ............................................................................................................................................ 40a. Legal Offi cers and Staff ....................................................................................................................................................................... 41b. Management Secretaries ................................................................................................................................................................... 42c. Program Analysts .................................................................................................................................................................................. 43d. Schedule C Appointees ...................................................................................................................................................................... 43e. Others ....................................................................................................................................................................................................... 44

4. Employees Engaged in Personnel Work; 5 USC 7112(b)(3) .............................................................................................................. 45

vi GUIDE TO FLRA LAW AND PRACTICE

a. Personnelists; Management Analysts ........................................................................................................................................... 46b. Federal Women’s Program Managers ............................................................................................................................................ 48c. Hispanic Employment Program Managers ................................................................................................................................. 48d. EEO Counselors, Specialists .............................................................................................................................................................. 48e. Employee Development Specialist; Partnership Mediator .................................................................................................... 48

5. Employees Who Administer Title VII of the CSRA; 5 USC 7112(b)(4) ............................................................................................. 496. Employees Affi liated With Organizations Representing Others Engaged in Administration

of Labor Relations Laws; 5 USC 7112(c)(2) ............................................................................................................................................. 497. Security Exclusions ......................................................................................................................................................................................... 51

a. National Security Work; Employees With Security Clearances; 5 USC 7112(b)(6) ......................................................... 51b. Internal Agency Investigators; OIG Personnel; 5 USC 7112(b)(7) ........................................................................................ 63c. Executive Orders 12171, 12559 ....................................................................................................................................................... 65

8. Transportation Security Agency ................................................................................................................................................................ 66C. SPECIAL CLASSES OF EMPLOYEES ..................................................................................................................................................................... 68

1. Reemployed Annuitants ............................................................................................................................................................................... 682. WAE; Intermittent Personnel ....................................................................................................................................................................... 683. Temporary Employees; Students ............................................................................................................................................................... 684. Employees on Detail ...................................................................................................................................................................................... 705. Intergovernmental Personnel Act Assignments .................................................................................................................................. 706. Employees on Inter–Agency Assignments; Loaned Employees .................................................................................................... 707. Contract Employees ....................................................................................................................................................................................... 70

a. Teachers ................................................................................................................................................................................................... 70b. Private Contractors .............................................................................................................................................................................. 70

8. Interns ................................................................................................................................................................................................................. 729. National Guard Technicians ......................................................................................................................................................................... 7210. Noncitizens ........................................................................................................................................................................................................ 75

D. FACTORS FOR APPROPRIATE UNITS.................................................................................................................................................................. 751. Community of Interest .................................................................................................................................................................................. 76

a. Remote Field Organization ............................................................................................................................................................... 77b. Schedule C Employees ....................................................................................................................................................................... 77c. Distinctions in Pay Systems ............................................................................................................................................................... 78d. Part-Time Employees ........................................................................................................................................................................... 78e. New Employees ..................................................................................................................................................................................... 78f. Units Including Excepted and Competitive Service Personnel ............................................................................................ 78

2. Eff ective Dealings ........................................................................................................................................................................................... 79a. Historical Patterns of Recognition .................................................................................................................................................. 79

3. Effi ciency of Agency Operations ............................................................................................................................................................... 79a. Avoidance of Unit Fragmentation .................................................................................................................................................. 80b. Anticipated Changes in Workforce; Continuity of Employment ......................................................................................... 80c. Organizational or Geographical Location of Employees........................................................................................................ 81d. Agency-Wide Units .............................................................................................................................................................................. 81e. Occupational Groupings .................................................................................................................................................................... 82

4. Vacant Positions .............................................................................................................................................................................................. 82a. Unit Determination Essential for Arbitration .............................................................................................................................. 82

5. Units of Supervisors and Managers .......................................................................................................................................................... 83a. Mixed Units of Prevailing Rate Employees Predating the Reform Act .............................................................................. 83

E. PARTICULAR AGENCIES .......................................................................................................................................................................................... 851. Agency for International Development .................................................................................................................................................. 852. Agriculture ......................................................................................................................................................................................................... 863. Archives .............................................................................................................................................................................................................. 864. Commerce ......................................................................................................................................................................................................... 865. Defense ............................................................................................................................................................................................................... 86

a. AAFES (Army and Air Force Exchange Service) .......................................................................................................................... 86b. Air Force ................................................................................................................................................................................................... 86c. Army .......................................................................................................................................................................................................... 86d. Navy, Marines ......................................................................................................................................................................................... 87e. Defense Communications Agency ................................................................................................................................................. 88f. Defense Dependents Schools .......................................................................................................................................................... 88g. Defense Logistics Agency .................................................................................................................................................................. 88h. Defense Mapping ................................................................................................................................................................................. 88i. Others ....................................................................................................................................................................................................... 88

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6. Environmental Protection Agency............................................................................................................................................................ 887. Health and Human Services ........................................................................................................................................................................ 888. Housing and Urban Development ........................................................................................................................................................... 889. Interior ................................................................................................................................................................................................................ 8810. International Communications Agency .................................................................................................................................................. 8811. International Trade Commission ............................................................................................................................................................... 8812. Justice .................................................................................................................................................................................................................. 8813. Labor .................................................................................................................................................................................................................... 8914. NASA .................................................................................................................................................................................................................... 8915. National Guard ................................................................................................................................................................................................. 8916. Small Business Administration ................................................................................................................................................................... 8917. Transportation.................................................................................................................................................................................................. 8918. Treasury .............................................................................................................................................................................................................. 9019. Veterans Aff airs ................................................................................................................................................................................................ 90

a. Compressed Work Therapy Program Participants .................................................................................................................... 9020. Boards, Commissions, Corporations ........................................................................................................................................................ 90

a. EEOC .......................................................................................................................................................................................................... 90b. FDIC ........................................................................................................................................................................................................... 90c. MSPB ......................................................................................................................................................................................................... 90d. National Labor Relations Board ....................................................................................................................................................... 90e. Panama Canal Commission .............................................................................................................................................................. 90f. Securities and Exchange Commission .......................................................................................................................................... 90g. Smithsonian Institution ...................................................................................................................................................................... 90

II. REPRESENTATION PROCEEDINGS ................................................................................................................................................................................ 90A. ELECTION PROCEDURES........................................................................................................................................................................................ 90

1. Principal Statutory Procedures ................................................................................................................................................................... 912. Regional Control .............................................................................................................................................................................................. 91

a. Burden of Proof ..................................................................................................................................................................................... 93b. Time Limits .............................................................................................................................................................................................. 93c. Persons Entitled to Seek Review ..................................................................................................................................................... 94d. Consent Election Agreement ........................................................................................................................................................... 94e. Stays of Regional Decisions .............................................................................................................................................................. 95

3. Showing of Interest ........................................................................................................................................................................................ 964. Intervention ...................................................................................................................................................................................................... 985. Doubt as to Majority Status; Decertifi cation ......................................................................................................................................... 996. Contract Bar ....................................................................................................................................................................................................100

a. Request for Renegotiation ..............................................................................................................................................................102b. Extensions of Agreements ..............................................................................................................................................................102c. Clear and Unambiguous Expiration Date ..................................................................................................................................104d. Eff ect of Agency Head Disapproval .............................................................................................................................................104e. Eff ect of Automatic Renewal ..........................................................................................................................................................105f. Insulated Period Following Election or Withdrawal of Petition .........................................................................................106g. Schism ....................................................................................................................................................................................................107

7. Professional Employees ..............................................................................................................................................................................107a. Medical Personnel ..............................................................................................................................................................................107

8. Expanding/Contracting Agency Operations ......................................................................................................................................1079. Tie Votes ...........................................................................................................................................................................................................10810. Low Turnout ....................................................................................................................................................................................................10811. Absent Voters .................................................................................................................................................................................................108

a. Mail Ballot Election.............................................................................................................................................................................108B. UNFAIR ELECTION PRACTICES ..........................................................................................................................................................................109

1. Breach of Neutrality by Government .....................................................................................................................................................1092. Equivalent Status Rule; Access and Solicitation by Rival Unions .................................................................................................1103. Access by Rival Union Without Equivalent Status to Agency Property .....................................................................................113

a. SSA and NTEU ........................................................................................................................................................................................113b. Other Decisions ...................................................................................................................................................................................124

4. Facilities; Benefi ts or Arrangements Reached by Collective Bargaining ...................................................................................1255. Changes in Employment Conditions .....................................................................................................................................................126

a. Election Guidelines ............................................................................................................................................................................126b. Duration of Question Concerning Representation ................................................................................................................127

6. Campaign Speech and Activities .............................................................................................................................................................127

viii GUIDE TO FLRA LAW AND PRACTICE

a. Management Statements ................................................................................................................................................................127b. Union Statements ...............................................................................................................................................................................127c. Statements of Employees ................................................................................................................................................................129d. Dues Waivers ........................................................................................................................................................................................130

7. Blocking Eff ect of ULP Charges ................................................................................................................................................................1308. Reckoning Period ..........................................................................................................................................................................................1309. Remedy for Objectionable Election Conduct .....................................................................................................................................130

C. CHALLENGES TO ELECTIONS .............................................................................................................................................................................1301. Objections to Elections and Preliminary Proceedings ...................................................................................................................1312. Challenge to Procedures ............................................................................................................................................................................131

a. Burden of Proof ...................................................................................................................................................................................131b. Eff ect of Procedural Errors ...............................................................................................................................................................132

3. Hearings ...........................................................................................................................................................................................................1324 Review of Decisions of Regional Director ............................................................................................................................................1335 Challenge Through ULP Process ..............................................................................................................................................................135

III. UNIT CLARIFICATION AND CHANGES.......................................................................................................................................................................135A. UNIT CLARIFICATION ............................................................................................................................................................................................135

1. Objections and Stay .....................................................................................................................................................................................1372. Determinations in ULP Cases ....................................................................................................................................................................1373. Determinations in Grievance Cases .......................................................................................................................................................138

B. AMENDMENT TO CERTIFICATION PETITION ................................................................................................................................................1381. Union Merger; Change in Affi liation ......................................................................................................................................................138

a. Balloting Requirements ....................................................................................................................................................................140b. Continuity of Union Before and after Change in Affi liation ................................................................................................143

C. REORGANIZATIONS ...............................................................................................................................................................................................1441. Accretion ..........................................................................................................................................................................................................145

a. Procedure ..............................................................................................................................................................................................1492. Successorship .................................................................................................................................................................................................149

a. Distinctions Between Successorship and Accretion ..............................................................................................................151b. Amendment of Certifi cation...........................................................................................................................................................160c. Elections .................................................................................................................................................................................................161d. Disclaimers ............................................................................................................................................................................................164

3. New Employee Doctrine.............................................................................................................................................................................1654. Changes in Chain of Command ...............................................................................................................................................................166

D. CONSOLIDATION OF UNITS ................................................................................................................................................................................1721. Eff ect on Bargaining Obligations ............................................................................................................................................................179

E. SEVERANCE ...............................................................................................................................................................................................................1791. Showing of Interest ......................................................................................................................................................................................1792. Criteria ...............................................................................................................................................................................................................179

CHAPTER 3: LABOR ORGANIZATIONS .....................................................................................183

I. STATUS ...................................................................................................................................................................................................................................183A. DEFINITION OF LABOR ORGANIZATION .......................................................................................................................................................183B. STANDARDS OF CONDUCT.................................................................................................................................................................................183

1. FLRA Inquiry into Status .............................................................................................................................................................................1832. Failure of Agency to Recognize Union ..................................................................................................................................................186

II. RESPONSIBILITIES .............................................................................................................................................................................................................186A. EXCLUSIVE REPRESENTATION ............................................................................................................................................................................186B. AUTHORITY TO NEGOTIATE AGREEMENT .....................................................................................................................................................186

III. DUES CHECKOFF ...............................................................................................................................................................................................................186A. STATUTORY PROCEDURES ..................................................................................................................................................................................187

1. Violations .........................................................................................................................................................................................................1872. Remedy .............................................................................................................................................................................................................187

B. SPECIAL PURPOSE CHECKOFF ..........................................................................................................................................................................187C. TERMINATION OF CHECKOFF ............................................................................................................................................................................187

1. Unit Status .......................................................................................................................................................................................................1872. Eff ect of Question Concerning Representation .................................................................................................................................1883. Employee Revocation ..................................................................................................................................................................................1884. Eff ect of Reinstatement of Employee ....................................................................................................................................................191

D. NEGOTIABLE PROVISIONS ..................................................................................................................................................................................1921. Timing of Remittances ................................................................................................................................................................................192

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2. Waiver of Eff ect of Error ..............................................................................................................................................................................1923. Transfer of Employees .................................................................................................................................................................................1924. Temporary Promotion .................................................................................................................................................................................1925. Procedures for Resolving Errors ...............................................................................................................................................................193

E. PRE-REFORM ACT AGREEMENTS......................................................................................................................................................................193F. DUES ALLOTMENTS UNDER 5 USC 7115(C) .................................................................................................................................................193

IV. OFFICIAL TIME ....................................................................................................................................................................................................................193A. COLLECTIVE BARGAINING ..................................................................................................................................................................................197

1. Ground Rules ..................................................................................................................................................................................................1982. Impact and Midterm Bargaining .............................................................................................................................................................1983. Local Agreements .........................................................................................................................................................................................1984. Travel Time .......................................................................................................................................................................................................1985. Preparation Time for Negotiations .........................................................................................................................................................1986. Unit Status of Employee .............................................................................................................................................................................198

B. FLRA PROCEEDINGS ..............................................................................................................................................................................................1991. FSIP .....................................................................................................................................................................................................................2002. Negotiation of Offi cial Time ......................................................................................................................................................................200

C. REPRESENTATION ...................................................................................................................................................................................................2001. Unit and Statutory Coverage ....................................................................................................................................................................2022. Full-Time Representatives ..........................................................................................................................................................................2023. Unrestricted Block Grants of Time ..........................................................................................................................................................2034. Overtime; Representational Activities While in Nonduty Status .................................................................................................2045. Telecommuting .............................................................................................................................................................................................2056. Training .............................................................................................................................................................................................................2067. EEO Proceedings ...........................................................................................................................................................................................2068. Statutory Appeals; ULP Proceedings .....................................................................................................................................................2069. Internal Union Activities; Union Reporting Requirements ............................................................................................................20710. Joint Committees ..........................................................................................................................................................................................20711. Lobbying ..........................................................................................................................................................................................................207

D. WITNESSES; OTHERS .............................................................................................................................................................................................214E. TRAVEL AND PER DIEM ........................................................................................................................................................................................214

V. RIGHT TO INFORMATION ...............................................................................................................................................................................................219A. TEST OF PARTICULARIZED NEED .....................................................................................................................................................................221

1. Necessity for Information ...........................................................................................................................................................................2222. Articulation of Need for Information; Response; Overbroad Requests .....................................................................................2243. Specifi city, Relevancy of Request ............................................................................................................................................................2344. Grievability, Negotiability, ULP, and Statutory Appeal Issues .......................................................................................................2385. Prior Test: Relevance; Presumptive Relevance ....................................................................................................................................239

B. ADVERSE ACTION, DISCIPLINARY CASES; INVESTIGATIONS INTO MISCONDUCT .......................................................................2391. Supporting Records; Mitigation Analysis; Comparable Off enses ................................................................................................2402. Information Concerning Managers, Supervisors ...............................................................................................................................2443. Geographical or Organizational Limitations on Right to Information Concerning Comparable Discipline ................2454. Information Requested to Monitor Disciplinary Actions ................................................................................................................2475. Witness Statements ......................................................................................................................................................................................249

C. OTHER INFORMATIONAL REQUESTS ..............................................................................................................................................................2491. Overtime Entitlement ..................................................................................................................................................................................2492. Performance Appraisals; Related Data ..................................................................................................................................................2493. Crediting Plans; Rating Schemes .............................................................................................................................................................2504. Other Promotion Information ..................................................................................................................................................................2545. Leave Requests, TDY, Work Schedules ...................................................................................................................................................2576. Work Rules .......................................................................................................................................................................................................2577. Reorganizations .............................................................................................................................................................................................2578. Offi cial Time ....................................................................................................................................................................................................2579. EEO Information ............................................................................................................................................................................................25710. EEO Settlements ............................................................................................................................................................................................25811. Inspector General, Law Enforcement Investigative Reports; Confi dential Information ......................................................25912. Support for Lobbying Eff orts ....................................................................................................................................................................26113. Support for Midterm Negotiations .........................................................................................................................................................26114. Arbitration Transcripts .................................................................................................................................................................................26115. Automated Information; Classifi ed Data ..............................................................................................................................................262

D. MATERIAL NORMALLY MAINTAINED ..............................................................................................................................................................263

x GUIDE TO FLRA LAW AND PRACTICE

1. Supervisors’ Notes; Memory Joggers .....................................................................................................................................................2632. Inspector General Records.........................................................................................................................................................................2643. Material Reasonably Available; Burden of Production ....................................................................................................................2644. Material Available From Other Sources ................................................................................................................................................266

E. DISCLOSURE PROHIBITED BY LAW ..................................................................................................................................................................2671. Taxpayer Information ..................................................................................................................................................................................2682. A–76 Cost Studies; MEO Reports .............................................................................................................................................................268

F. PROCEDURE FOR DISCLOSURE .........................................................................................................................................................................2691. Timeliness of Release; Failure to Respond ...........................................................................................................................................2692. Manner of Release; Destruction of Evidence ......................................................................................................................................2703. Form of Information Sought .....................................................................................................................................................................2704. Proof of Request ............................................................................................................................................................................................2715. FOIA ...................................................................................................................................................................................................................271

G. INTERNAL AGENCY INFORMATION; DELIBERATIVE PROCESS; MANAGEMENT GUIDANCE, ADVICE, COUNSEL, OR TRAINING ............................................................................................................................................................................................................2711. Guidance From OPM ....................................................................................................................................................................................2712. Disciplinary Recommendations, Evaluations ......................................................................................................................................2713. Performance Issues .....................................................................................................................................................................................2794. Reorganizations; RIF .....................................................................................................................................................................................2805. Classifi cation Issues ......................................................................................................................................................................................2816. Evaluations of Work ......................................................................................................................................................................................281

H. FOIA; PRIVACY ACT AND PRIVACY INTERESTS ............................................................................................................................................2811. Routine Users; Alternate Means of Disclosure ....................................................................................................................................2832. Offi cial Personnel File ..................................................................................................................................................................................2863. Promotion Records, Appraisals—1995 and Beyond; FAA TRACON and the Public Interest in Disclosure .....................2864. Promotion Records, Appraisals—1994 and Before...........................................................................................................................2945. Redaction; Sensitive Information Not Revealed Through Disclosure ........................................................................................294

a. Identifying Information Clear From Nature of Document Disclosed ...............................................................................2956. Employees’ Names and Home Addresses ............................................................................................................................................295

a. Decisions Prior to 1994 .....................................................................................................................................................................2977. Medical Information.....................................................................................................................................................................................2998. Drug Testing Procedures ............................................................................................................................................................................3009. Information Concerning Disciplinary Cases ........................................................................................................................................30110. Last Chance Agreements; Settlements .................................................................................................................................................30311. Disciplinary Actions Against Supervisors .............................................................................................................................................305

I. EXEMPT AGENCIES—DEPARTMENT OF VETERANS AFFAIRS................................................................................................................311J. REMEDIES ...................................................................................................................................................................................................................312

1. Waiver, Mootness of Requests ..................................................................................................................................................................3122. Related MSPB Proceedings ........................................................................................................................................................................313

CHAPTER 4: SUBJECTS OF BARGAINING: PROCEDURES FOR NEGOTIABILITY

DETERMINATIONS ................................................................................................315

I. INTRODUCTION .................................................................................................................................................................................................................315II. DEFINITIONS OF BASIC ELEMENTS OF BARGAINING .........................................................................................................................................316III. EXEMPT AGENCIES ...........................................................................................................................................................................................................317

A. EXECUTIVE ORDER 12171 ....................................................................................................................................................................................317B. DEPARTMENT OF VETERANS AFFAIRS ...........................................................................................................................................................317

IV. FRAMEWORK FOR NEGOTIABILITY APPEALS ........................................................................................................................................................318A. REGULATIONS ..........................................................................................................................................................................................................318B DEVELOPMENT OF FACTUAL RECORD ...........................................................................................................................................................323

1. Hearings ...........................................................................................................................................................................................................323C EXPEDITION OF NEGOTIABILITY APPEALS...................................................................................................................................................323D. REQUIREMENT OF SPECIFIC PROPOSALS .....................................................................................................................................................324

1. Proposals Constituting Demands for Negotiations ..........................................................................................................................3252. Proposals Incorporating Other Contract Articles by Reference ...................................................................................................3263. Examples of Rulings Concerning Specifi city of Proposals ..............................................................................................................326

E. ALLEGATION OF NONNEGOTIABILITY ...........................................................................................................................................................3261. Unrequested Allegation .............................................................................................................................................................................3272. Service of Nonnegotiability Allegation .................................................................................................................................................3273. Failure of Agency to Make Allegation ....................................................................................................................................................328

a. Withdrawal of or Failure to Support Nonnegotiability Allegation ...................................................................................328

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4. Eff ect of Agreement That Matter is in Dispute; Ineff ectiveness of Agreement of Parties to Extend Time for Appeal .........................................................................................................................................................................329

5. Format of Nonnegotiability Allegation .................................................................................................................................................329F. DISAPPROVAL OF AGREEMENT BY AGENCY HEAD ..................................................................................................................................330

1. Disapproval of Master Agreement ..........................................................................................................................................................3302. Disapproval of Local Agreement .............................................................................................................................................................330

a. Permissive Subjects ...........................................................................................................................................................................3313. Disapproval of Agreement Issued by FSIP or Interest Arbitrator .................................................................................................3344. Format of Disapproval of Agreement; Service ...................................................................................................................................335

G. FILING, TIMING, AND SERVICE OF PETITION FOR REVIEW .....................................................................................................................3371. Filing ..................................................................................................................................................................................................................3372. Timeliness ........................................................................................................................................................................................................3383. Service ...............................................................................................................................................................................................................3394. Untimely Petitions; Waiver and Extensions .........................................................................................................................................3405. Request to Agency for Reconsideration; Resubmission of Proposal; Continuation of Bargaining .................................340

a. Revised Proposals; Conditional Approval by Agency ............................................................................................................3416. Format of Petition for Review ...................................................................................................................................................................3427. Amendment of Petition ..............................................................................................................................................................................343

H. STATEMENT OF POSITION; RESPONSE ...........................................................................................................................................................3431. Specifi city; Explanation or Modifi cation of Proposals .....................................................................................................................343

a. Clarifi cation of Proposals .................................................................................................................................................................345b. Revisions to Proposals in FLRA Submission ..............................................................................................................................347c. Verbal Proposals ..................................................................................................................................................................................347

2. Timeliness ........................................................................................................................................................................................................3473. Filing and Service ..........................................................................................................................................................................................348

a. Authority to File ..................................................................................................................................................................................3484. Supplemental Submissions .......................................................................................................................................................................3485. Failure to Make Response ..........................................................................................................................................................................3496. Post-Petition Conference ...........................................................................................................................................................................350

I. EFFECT OF FLRA RULING .....................................................................................................................................................................................3501. Bargaining Still Required ............................................................................................................................................................................3502. No Retroactivity .............................................................................................................................................................................................3513. Severable Proposals .....................................................................................................................................................................................3524. Overbroad Proposals ...................................................................................................................................................................................3535. Incomplete Proposals ..................................................................................................................................................................................3536. Alternate Proposals; Grouped Proposals ..............................................................................................................................................353

J. RECONSIDERATION PROCEDURE .....................................................................................................................................................................353V. ISSUES NOT APPROPRIATE FOR NEGOTIABILITY APPEALS .............................................................................................................................354

A. APPLICATION OF NEGOTIATED AGREEMENTS ..........................................................................................................................................3561. Inconsistencies With Agreements ...........................................................................................................................................................3562. Interpretations of Agreements.................................................................................................................................................................3563. Arbitrability Issues ........................................................................................................................................................................................356

B. ASSERTION THAT BARGAINING HAS OCCURRED ......................................................................................................................................3571. Dispute Whether Bargaining Requested ..............................................................................................................................................3572. Waiver of Bargaining ....................................................................................................................................................................................357

C. DENIALS OF INFORMATION TO UNION .........................................................................................................................................................357D. DISPUTED RECOGNITION STATUS ...................................................................................................................................................................357E. UNIT STATUS .............................................................................................................................................................................................................358F. LEVEL OF BARGAINING ........................................................................................................................................................................................358G. DISPUTES ON THE MERITS OF PROPOSALS .................................................................................................................................................358

1. Legality of Negotiated Provisions of Agreement ..............................................................................................................................358VI. PROPOSALS COVERED BY EXISTING PROVISIONS OF AGREEMENT ............................................................................................................358VII. MOOTNESS; CHANGED CIRCUMSTANCES ..............................................................................................................................................................360

A. INTERVENING OR EXISTING AGREEMENT .....................................................................................................................................................360B. WITHDRAWAL OF NONNEGOTIABILITY ALLEGATION .............................................................................................................................361C. PROPOSAL NO LONGER RELEVANT ................................................................................................................................................................361

1. New Union .......................................................................................................................................................................................................3632. Change in Unit or Agency Status ............................................................................................................................................................3643. Intervening Change in Law .......................................................................................................................................................................364

D. PROVISIONS OF NEGOTIATED AGREEMENTS IN EFFECT PRIOR TO 1978; 5 USC 7135 ...............................................................364

xii GUIDE TO FLRA LAW AND PRACTICE

VIII. ROLE OF FSIP ......................................................................................................................................................................................................................364A. NEGOTIABILITY PROBLEMS DURING FSIP PROCEEDINGS .....................................................................................................................364

1. Timing of Negotiability Appeal ................................................................................................................................................................3642. Authority of FSIP, Interest Arbitrators to Resolve Duty to Bargain or Negotiability Disputes ...........................................365

a. Permissive Subjects of Bargaining ...............................................................................................................................................366B. AGENCY REVIEW OF FSIP ORDERS ..................................................................................................................................................................366C. AGENCY AND FLRA REVIEW OF FSIP INTEREST ARBITRATION AWARDS .........................................................................................367

1. Award by Panel Designee ..........................................................................................................................................................................3672. Award by Panel–Directed Arbitrator ......................................................................................................................................................3693. Award by Voluntarily Selected Panel–Approved Arbitrator ..........................................................................................................3704. Summary ..........................................................................................................................................................................................................371

IX. ROLE OF GRIEVANCE ARBITRATION ..........................................................................................................................................................................372A. INTEREST ARBITRATORS ......................................................................................................................................................................................373

X. ROLE OF ULP PROCEDURES ..........................................................................................................................................................................................373A. EFFECT OF GRIEVANCE RAISING ULP ISSUE ................................................................................................................................................375B. EFFECT OF ULP DECISION ...................................................................................................................................................................................376

CHAPTER 5: SUBJECTS OF BARGAINING: SUBSTANTIVE LIMITATIONS

ON NEGOTIABILITY DETERMINATIONS .............................................................377

I. INTRODUCTION .................................................................................................................................................................................................................377A. EFFECT OF PRIVATE SECTOR PRECEDENT ....................................................................................................................................................378B. DIVERGENCE OF RESULTS IN FEDERAL APPELLATE COURTS ...............................................................................................................378

II. EMPLOYMENT CONDITIONS .........................................................................................................................................................................................379A. MATTERS COVERED BY LAW...............................................................................................................................................................................379

1. Proposals to Enforce Agency Regulations ...........................................................................................................................................3812. Matters Within Exclusive Authority of Agency ...................................................................................................................................384

B. EMPLOYMENT CONDITIONS DEFINED ...........................................................................................................................................................3851. Post-Employment Conditions; Retirees ................................................................................................................................................3882. Matters Aff ecting Agency Clients............................................................................................................................................................3883. Matters Covered by Prior Agreement; Eff ect of Expiration of Agreement ...............................................................................3884. Discriminatory Provisions; Unfair Labor Practices .............................................................................................................................3895. Position Classifi cation ..................................................................................................................................................................................390

C. MATTERS AFFECTING NONUNIT EMPLOYEES .............................................................................................................................................3921. The “Vitally Aff ects” Test ..............................................................................................................................................................................3942. Cases Decided Prior to “Vitally Aff ects” Test Involving Proposals Impacting Nonunit Personnel ....................................401

D. AGENCY CONTROL OVER WORKING CONDITIONS ...................................................................................................................................401III. COMPELLING NEED DETERMINATIONS ...................................................................................................................................................................402

A. PROCEDURE ..............................................................................................................................................................................................................4021. Mootness .........................................................................................................................................................................................................403

B. MINORITY/MAJORITY UNION STATUS ...........................................................................................................................................................403C. OUTSIDE AUTHORITY ...........................................................................................................................................................................................404D. ISSUE RAISED IN NEGOTIABILITY APPEAL ....................................................................................................................................................404E. ISSUE RAISED IN ULP CASE .................................................................................................................................................................................404F. ANALYSIS AND FINDINGS ...................................................................................................................................................................................405

1. Budgetary Constraints ................................................................................................................................................................................4052. Uniform Personnel Policies ........................................................................................................................................................................406

IV. GOVERNMENT–WIDE REGULATIONS ........................................................................................................................................................................406A. PROPOSALS THAT RESTATE GOVERNMENT–WIDE REGULATIONS, STATUTES ..............................................................................409B. REGULATIONS ISSUED AFTER AGREEMENT .................................................................................................................................................409C. SPECIFIC RULES AND REGULATIONS ..............................................................................................................................................................409

1. OPM Regulations, FPM ................................................................................................................................................................................4092. GSA Regulations ............................................................................................................................................................................................4103. OMB Directives...............................................................................................................................................................................................4104. State Department Regulations ................................................................................................................................................................4105. Department of Labor Regulations ..........................................................................................................................................................4106. Executive Orders............................................................................................................................................................................................410

D. FOREIGN LAW, LOCAL LAW, TREATIES ............................................................................................................................................................410E. CONGRESSIONAL REPORTS................................................................................................................................................................................410

V. PERMISSIVE SUBJECTS OF BARGAINING; EXECUTIVE ORDERS 12871, 13522 ..........................................................................................411A. EXTENSION OF EXISTING AGREEMENTS .......................................................................................................................................................418

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VI. SPECIFIC MANAGEMENT RIGHTS ...............................................................................................................................................................................419A. GENERAL CONSIDERATIONS ..............................................................................................................................................................................419B. DETERMINATION OF AGENCY BUDGET.........................................................................................................................................................420C. DETERMINATION OF AGENCY ORGANIZATION .........................................................................................................................................429D. DETERMINATION OF TECHNOLOGY, METHODS AND MEANS OF PERFORMING WORK............................................................430E. STAFFING ...................................................................................................................................................................................................................432F. ASSIGNMENT OF WORK; DIRECTION OF EMPLOYEES .............................................................................................................................437

1. Action Required by Particular Level of Management Offi cial .......................................................................................................438G. OPERATIONS DURING EMERGENCIES ............................................................................................................................................................438H. DETERMINATION OF INTERNAL SECURITY ..................................................................................................................................................439

1. Arrangements Bargaining..........................................................................................................................................................................442VII. NEGOTIABLE PROCEDURES ..........................................................................................................................................................................................443

A. ACTING AT ALL ........................................................................................................................................................................................................443B. DIRECT INTERFERENCE.........................................................................................................................................................................................446

VIII. APPROPRIATE ARRANGEMENTS .................................................................................................................................................................................447A. EXCESSIVE INTERFERENCE ..................................................................................................................................................................................449

1. KANG ..................................................................................................................................................................................................................450B. REASONABLY FORESEEABLE ADVERSE EFFECTS; SPECULATIVE ADVERSE EFFECT ....................................................................451

1. Tailoring the Proposal to Suit the Harm; Overbroad Proposals; Minerals Management ......................................................455a. Improper Tying of Requests for Impact Bargaining and Term Bargaining.....................................................................461

C. EFFECT OF GOVERNMENT–WIDE REGULATIONS ......................................................................................................................................465D. OFFICIAL TIME..........................................................................................................................................................................................................465

IX. CONSULTATION RIGHTS .................................................................................................................................................................................................466A. NATIONAL CONSULTATION RIGHTS: CHANGES IN EMPLOYMENT CONDITIONS .........................................................................466

1. Procedural Obligations ...............................................................................................................................................................................467B. GOVERNMENT–WIDE CONSULTATION RIGHTS: GOVERNMENT–WIDE REGULATIONS ..............................................................467

CHAPTER 6: SUBJECTS OF BARGAINING: SPECIFIC APPLICATIONS

OF NEGOTIABILITY DETERMINATIONS ..............................................................469

I. LOCATION OF WORK ........................................................................................................................................................................................................469A. FIXED DUTY STATION ............................................................................................................................................................................................469B. WORK AT HOME ......................................................................................................................................................................................................469C. RELOCATIONS AND REORGANIZATIONS ......................................................................................................................................................471

II. HOURS OF WORK; TOURS OF DUTY ..........................................................................................................................................................................473A. SHIFTS, TOURS, HOURS OF DUTY ....................................................................................................................................................................473

1. Agency Shift Changes .................................................................................................................................................................................4772. Allocation of Work During Shift ...............................................................................................................................................................4793. Employee-Requested Shift Changes .....................................................................................................................................................4794. Shift Swaps ......................................................................................................................................................................................................4805. Shift Assignment by Seniority ..................................................................................................................................................................4806. Delays in Shift Changes ..............................................................................................................................................................................4807. Notice of Work and Shift Changes ..........................................................................................................................................................4808. Reporting, Changing, and Wash–Up Time ...........................................................................................................................................4849. Rest Periods and Other Short Breaks .....................................................................................................................................................486

a. Paid Breaks Tied to Unpaid Breaks................................................................................................................................................48710. Lunch Breaks ...................................................................................................................................................................................................48711. Time Off for Physical Fitness .....................................................................................................................................................................48812. Planning and Training Periods .................................................................................................................................................................48913. Hours of Instruction for Teachers ............................................................................................................................................................48914. Basic Work Week; Work Year ......................................................................................................................................................................49015. Days Off ............................................................................................................................................................................................................49216. Designated Holidays ....................................................................................................................................................................................49317. Long–Term Tours of Duty ...........................................................................................................................................................................49318. Maximum Hours of Work............................................................................................................................................................................49419. Commuting Time ..........................................................................................................................................................................................494

B. GUARANTEED EMPLOYMENT, INCOME; DESIGNATION OF EMPLOYEES AS “ESSENTIAL” .........................................................495C. ALTERNATIVE WORK SCHEDULES: FLEXTIME AND COMPRESSED WORK SCHEDULES .............................................................496

1. Limited Negotiability Appeal ...................................................................................................................................................................499a. Agency Eff orts to Terminate Compressed Work Schedules ................................................................................................499

2. Permissible Arrangements ........................................................................................................................................................................5013. Impermissible Arrangements ...................................................................................................................................................................501

xiv GUIDE TO FLRA LAW AND PRACTICE

4. Credit Hours and Union Activities ...........................................................................................................................................................5025. National Guard ...............................................................................................................................................................................................502

D. OVERTIME/PREMIUM PAY ASSIGNMENTS ....................................................................................................................................................5031. FLSA Computations......................................................................................................................................................................................5032. Overtime Distribution .................................................................................................................................................................................5033. Overtime Limitations and Requirements .............................................................................................................................................5044. Privileges With Overtime; Meals and Meal Breaks ............................................................................................................................5075. FLSA Exemption Status ...............................................................................................................................................................................5086. Advance Notice ..............................................................................................................................................................................................5087. Beepers and Standby Time ........................................................................................................................................................................508

E. OPERATIONS DURING EMERGENCIES, HOLIDAYS .....................................................................................................................................509F. TIMEKEEPING; LOGS ..............................................................................................................................................................................................510

III. TRAINING ..............................................................................................................................................................................................................................510A. DURATION AND TIMING OF TRAINING ..........................................................................................................................................................511B. DISCONTINUATION ................................................................................................................................................................................................511C. RETRAINING ..............................................................................................................................................................................................................511

1. Correction of Poor Performance ..............................................................................................................................................................5122. Individual Development Plans .................................................................................................................................................................513

D. TRAINING AS A CONDITION TO WORK ASSIGNMENT..............................................................................................................................5131. New Positions; Tasks; Details .....................................................................................................................................................................514

E. TRAINING AS CONDITION TO WORK EVALUATION ...................................................................................................................................515F. UNION REPRESENTATIONAL TRAINING; UNION PRESENTATIONS DURING AGENCY TRAINING ............................................515G. PROFICIENCY TRAINING; CROSS-TRAINING ................................................................................................................................................516

1. Training to Avoid Erosion of Grade .........................................................................................................................................................518H. ARRANGEMENTS FOR PROFESSIONAL TRAINING.....................................................................................................................................519

1. Financial Assistance .....................................................................................................................................................................................519I. EEO CONSIDERATIONS .........................................................................................................................................................................................519

1. Disability Accommodation ........................................................................................................................................................................519J. PERSONNEL WHO PROVIDE TRAINING ..........................................................................................................................................................519K. SELECTION OF TRAINEES ....................................................................................................................................................................................520

1. Notice of Training Opportunities ............................................................................................................................................................520IV. JOB CONTENT; WORK ASSIGNMENT .........................................................................................................................................................................520

A. BROAD CRITERIA GOVERNING ASSIGNMENTS ...........................................................................................................................................5201. Compliance With Law ..................................................................................................................................................................................5202. Seniority ...........................................................................................................................................................................................................5203. Personnel Who May Assign Work ............................................................................................................................................................5214. Personnel Who May Be Assigned Work .................................................................................................................................................5215. Military Assignments ...................................................................................................................................................................................521

B. SPECIFIC LIMITS ON ASSIGNMENTS OF WORK ...........................................................................................................................................5251. Voluntary Acceptance .................................................................................................................................................................................5252. Light Duty ........................................................................................................................................................................................................5263. Workload Management; Equalization ...................................................................................................................................................528

a. Distribution of Work Among Qualifi ed Employees ................................................................................................................5294. Specifi c Work Instructions..........................................................................................................................................................................5295. Agency Handbooks ......................................................................................................................................................................................5306. Assignments to Union Offi cials ................................................................................................................................................................5307. Supervisory Responsibilities .....................................................................................................................................................................5318. Delay Pending Study of Assignments ...................................................................................................................................................5319. Delay Pending Bargaining .........................................................................................................................................................................53210. Protection of Licensing; Adherence to Certifi cation Requirements ...........................................................................................53211. Unlawful Orders .............................................................................................................................................................................................53212. Academic Freedom for Teachers .............................................................................................................................................................53213. Authority to Carry Weapons ......................................................................................................................................................................53314. Forms of Address; Military Courtesy ......................................................................................................................................................537

C. OTHER DUTIES AS ASSIGNED; POSITION DESCRIPTION .........................................................................................................................5371. Accurate Position Descriptions ................................................................................................................................................................5372. Linkage of Duties and Position Descriptions ......................................................................................................................................5373. Collateral Work Assignments ....................................................................................................................................................................5384. Duties to Be Consistent With Grade, Position .....................................................................................................................................5395. Documentation of Duties ..........................................................................................................................................................................539

D. WORK PRESERVATION ..........................................................................................................................................................................................539

TABLE OF CONTENTS xv

1. Unit Work .........................................................................................................................................................................................................5392. Part-Time/Full-Time Employment ...........................................................................................................................................................5403. Professionals and Nonprofessionals ......................................................................................................................................................5404. Preservation of Overtime ...........................................................................................................................................................................5405. Industry Practices ..........................................................................................................................................................................................5416. Employees Returning From Leave ..........................................................................................................................................................542

E. ROTATION OF JOBS AND ASSIGNMENTS ......................................................................................................................................................5421. Job Assignment Rotation ...........................................................................................................................................................................5422. Selection of New Jobs .................................................................................................................................................................................5443. Supervisory Positions ..................................................................................................................................................................................544

F. CONTROL OVER WORK PRODUCT ...................................................................................................................................................................5451. Recognition of Work ....................................................................................................................................................................................5452. Instructional Material, Equipment ..........................................................................................................................................................5453. Qualifi cations for Students ........................................................................................................................................................................5454. Courses to Teach ............................................................................................................................................................................................5455. Quality Control Measures ...........................................................................................................................................................................5466. Personnel Assigned to Perform Work ....................................................................................................................................................546

G. SAFETY RESTRICTIONS; RISKS TO SAFETY AND HEALTH .......................................................................................................................5461. Weather ............................................................................................................................................................................................................5462. Working Alone ...............................................................................................................................................................................................5463. Dangerous Working Conditions ..............................................................................................................................................................5474. Duration of Assignments ...........................................................................................................................................................................5495. Precautionary Measures .............................................................................................................................................................................5496. Medical Restrictions .....................................................................................................................................................................................549

V. CONTRACTING OUT .........................................................................................................................................................................................................549A. PROPOSALS DIRECTLY AFFECTING THE RIGHT TO CONTRACT OUT .................................................................................................552B. PROCEDURES AND APPROPRIATE ARRANGEMENTS ...............................................................................................................................553C. PERMISSIVE NEGOTIATION .................................................................................................................................................................................554D. FEDERAL ACTIVITIES INVENTORY REFORM ACT ........................................................................................................................................554

VI. TRAVEL...................................................................................................................................................................................................................................557A. TRAVEL DAYS AND STATUS .................................................................................................................................................................................557

1. Compensatory Time .....................................................................................................................................................................................5582. Limits on Travel ..............................................................................................................................................................................................558

VII. LEAVE ARRANGEMENTS .................................................................................................................................................................................................558A. MANDATORY APPROVAL OF LEAVE ................................................................................................................................................................558B. ANNUAL LEAVE; SENIORITY ...............................................................................................................................................................................559

1. Seniority Arrangements .............................................................................................................................................................................5602. Leave Forfeiture; “Use or Lose” .................................................................................................................................................................560

C. SICK LEAVE ................................................................................................................................................................................................................5611. Permitted Uses ...............................................................................................................................................................................................5612. Required Documentation ..........................................................................................................................................................................5613. Who May Receive, Approve Requests ...................................................................................................................................................5614. Reporting Requirements ............................................................................................................................................................................5615. Substitution of Annual Leave ...................................................................................................................................................................5616. Leave Restriction ...........................................................................................................................................................................................5617. Required Grant of Sick Leave ....................................................................................................................................................................562

D. ADVANCED SICK OR ANNUAL LEAVE .............................................................................................................................................................563E. MATERNITY, PATERNITY, AND FAMILY LEAVE ..............................................................................................................................................563

1. Maternity and Paternity Leave .................................................................................................................................................................5632. Family Leave ....................................................................................................................................................................................................564

F. LEAVE FOR RELIGIOUS OBSERVANCES ..........................................................................................................................................................565G. LEAVE WITHOUT PAY .............................................................................................................................................................................................566H. ADMINISTRATIVE LEAVE ......................................................................................................................................................................................567

1. Temporary Shutdown of Facility..............................................................................................................................................................5692. Health and Welfare .......................................................................................................................................................................................571

a. Blood Donors; Medical Problems .................................................................................................................................................571b. Safety Training .....................................................................................................................................................................................571c. Other .......................................................................................................................................................................................................571

3. Substitution for Travel Time, Overtime, Annual Leave; Personal Holidays ...............................................................................5734. Weight Control and Fitness .......................................................................................................................................................................574

I. COMPENSATORY TIME ..........................................................................................................................................................................................576

xvi GUIDE TO FLRA LAW AND PRACTICE

J. CHARGES TO AND ACCOUNTING FOR LEAVE .............................................................................................................................................5781. Emergency Conditions ................................................................................................................................................................................5782. Use or Lose ......................................................................................................................................................................................................5793. Liberal Leave Policy; Volunteers...............................................................................................................................................................579

K. APPROVED LEAVE AS BASIS FOR DISCIPLINE .............................................................................................................................................579L. CIRCUMSTANCES REQUIRING LEAVE..............................................................................................................................................................580

1. Directed or Enforced Leave Usage ..........................................................................................................................................................580M. CANCELLATION OF LEAVE ..................................................................................................................................................................................582N. NAF AND OTHER SPECIAL GROUPS OF EMPLOYEES ...............................................................................................................................591

1. NAF Employees ..............................................................................................................................................................................................5912. Dependents Schools Teachers .................................................................................................................................................................5913. National Guard Technicians .......................................................................................................................................................................591

VIII. DISCIPLINARY PROCEDURES AND STANDARDS ..................................................................................................................................................591A. INVESTIGATORY PROTECTIONS ........................................................................................................................................................................591

1. Right to Remain Silent .................................................................................................................................................................................5912. Advice of Rights .............................................................................................................................................................................................5923. Delay of Interrogation .................................................................................................................................................................................5934. Scope and Extent of Representation .....................................................................................................................................................5945. Transcript or Record of Interrogation ....................................................................................................................................................5946. Criminal Investigations ...............................................................................................................................................................................5957. Form and Notice of Complaints, Investigations .................................................................................................................................5958. Polygraphs .......................................................................................................................................................................................................5969. Search ................................................................................................................................................................................................................59610. Monitoring of Telephones, Computers .................................................................................................................................................59911. Hotlines .............................................................................................................................................................................................................60012. Inspector General Investigations ............................................................................................................................................................60013. Reimbursement of Employees’ Expenses .............................................................................................................................................60114. Fitness for Duty Examinations ..................................................................................................................................................................601

B. PRE-DECISION PROCEDURES .............................................................................................................................................................................6021. Investigatory Protections to Assist Employees ..................................................................................................................................6022. Factfi nding.......................................................................................................................................................................................................6023. Proposing and Deciding Offi cials ............................................................................................................................................................6024. Advance Notice for Adverse Actions ......................................................................................................................................................602

a. Opportunity to Resign Prior to Decision ....................................................................................................................................6035. Provision of Information and Witnesses ...............................................................................................................................................6036. Structure of Charges ....................................................................................................................................................................................605

C. OPPORTUNITY TO IMPROVE PERFORMANCE OR CONDUCT ...............................................................................................................6061. Employee Assistance Programs ...............................................................................................................................................................6062. Reassignment to Enhance Performance ..............................................................................................................................................6063. Training or Job Familiarization as Condition to Discipline .............................................................................................................6064. Progressive Discipline; Mitigation ...........................................................................................................................................................607

D. RECORDS MAINTENANCE AND USE; DISCLOSURE ...................................................................................................................................608E. PROTECTION OF PRIVACY ...................................................................................................................................................................................610F. STAYS ...........................................................................................................................................................................................................................611

1. Pending Grievance Review ........................................................................................................................................................................6112. Pending Rehabilitation ...............................................................................................................................................................................6133. Pending MSPB Review ................................................................................................................................................................................6144. Pending Disability Retirement Decision ...............................................................................................................................................615

G. DISCIPLINARY STANDARDS ................................................................................................................................................................................6151. Compliance With Law ..................................................................................................................................................................................6152. Defi nitions, Limitations of Off enses; Unlawful or Unsafe Work Orders .....................................................................................6153. Required and Precluded Documentation, Evidence; Expungement of Disciplinary Records ...........................................6174. Just Cause ........................................................................................................................................................................................................6195. Off –Duty Conduct; Nexus ..........................................................................................................................................................................6196. Department of Veterans Aff airs Employees.........................................................................................................................................620

H. STANDARDS OF CONDUCT.................................................................................................................................................................................6201. Disclosure Statements and Arrangements Concerning Real or Apparent Confl icting Interests .....................................6212. Privacy Act Responsibilities .......................................................................................................................................................................6223. Secrecy Agreements ....................................................................................................................................................................................622

I. OUTSIDE EMPLOYMENT, BUSINESS RELATIONSHIPS ...............................................................................................................................6221. Criteria ...............................................................................................................................................................................................................622

TABLE OF CONTENTS xvii

2. Standards of Conduct Procedures ..........................................................................................................................................................622J. FIDUCIARY EMPLOYEES; PECUNIARY LIABILITY; CLAIMS ......................................................................................................................622

1. Stays of Collection ........................................................................................................................................................................................6232. Debts .................................................................................................................................................................................................................623

K. TRAFFIC INFRACTIONS; DRIVING PRIVILEGES ............................................................................................................................................623L. ALLOWABLE PENALTIES; REMEDIES ................................................................................................................................................................624

1. Limitation or Reckoning Period; Stale Charges; Limitations Upon Use of Past Discipline..................................................625a. Lifespan of Prior Off enses ................................................................................................................................................................626b. Time for Issuance of Decision .........................................................................................................................................................627

2. Estoppel; Double Jeopardy .......................................................................................................................................................................6283. Last Chance Agreements ...........................................................................................................................................................................6284. Counsel Fees ...................................................................................................................................................................................................630

M. OTHER RESTRICTIONS ON DISCIPLINE ..........................................................................................................................................................6301. Conditions of Suspensions ........................................................................................................................................................................630

a. Advance Notice of Eff ective Date .................................................................................................................................................6302. Discipline Against Union Offi cials ...........................................................................................................................................................630

N. PROBATIONARY, TERM OR TEMPORARY, AND NAF EMPLOYEES .........................................................................................................6301. Terminations ...................................................................................................................................................................................................6302. Protections Available ...................................................................................................................................................................................6313. Temporary, Intermittent Employees ......................................................................................................................................................632

a. Nonrenewal of Appointments .......................................................................................................................................................6334. NAF Employees ..............................................................................................................................................................................................633

IX. DRUG USE AND DRUG DETECTION ...........................................................................................................................................................................633A. EXECUTIVE ORDER 12564 ....................................................................................................................................................................................633B. NEGOTIABILITY FRAMEWORK ...........................................................................................................................................................................635

1. Proposals Requiring Probable Cause; Reasonable Suspicion .......................................................................................................635a. Nullifi cation of Results ......................................................................................................................................................................637

2. Consent Forms ...............................................................................................................................................................................................6373. Testing Objectives ........................................................................................................................................................................................6374. Personnel Who May Direct Testing .........................................................................................................................................................6375. Standards for Laboratories ........................................................................................................................................................................6376. Equipment, Testing Methods and Personnel ......................................................................................................................................6387. Storage Protections ......................................................................................................................................................................................6388. Chain of Custody ...........................................................................................................................................................................................6389. Secondary Testing .........................................................................................................................................................................................63910. Split Samples; Private Testing ...................................................................................................................................................................64011. Retesting ..........................................................................................................................................................................................................64012. Advance Notice and Timing of Tests ......................................................................................................................................................64113. Frequency of Tests; Exemption From Testing ......................................................................................................................................64214. Information for Employees; Union Representatives.........................................................................................................................64215. Explanation of Reasons for Testing .........................................................................................................................................................64316. Provision of Test Results ..............................................................................................................................................................................64317. Compliance With Laws and Regulations ..............................................................................................................................................64418. Testing During Duty Time; Location, Travel Expenses, Arrangements ......................................................................................64619. Administrative Leave; Offi cial Time ........................................................................................................................................................64720. Compensation for False Positive Tests; Unnecessary Testing ........................................................................................................64721. Involvement of Unit Personnel in Test Administration ....................................................................................................................64722. Union Representation; Observers; Lab Inspections .........................................................................................................................64723. Employee Privacy; Search ..........................................................................................................................................................................64824. Interpretation, Rebuttal of Tests ..............................................................................................................................................................65425. Record Keeping and Disclosure Requirements ..................................................................................................................................654

C. DELAYS IN IMPLEMENTATION PENDING LITIGATION, NOTICE ............................................................................................................654D. STAY OF TESTING PENDING BARGAINING ....................................................................................................................................................656E. ALTERNATIVES TO TESTING ................................................................................................................................................................................656F. DISCIPLINARY LIMITATIONS ...............................................................................................................................................................................657

1. Firm Choice, Last Chance Agreements ..................................................................................................................................................657G. SAFE HARBOR PROVISIONS ................................................................................................................................................................................658

1. Nonnegotiable Proposals...........................................................................................................................................................................6582. Negotiable Proposals...................................................................................................................................................................................661

H. REHABILITATION .....................................................................................................................................................................................................6631. Administrative Leave for Counseling, Rehabilitation .......................................................................................................................666

xviii GUIDE TO FLRA LAW AND PRACTICE

I. DESIGNATION OF SENSITIVE POSITIONS ......................................................................................................................................................667J. TESTING FOR PERSONNEL IN NONSENSITIVE JOBS .................................................................................................................................669

X. IDENTIFICATION, UNIFORMS, GROOMING .............................................................................................................................................................670A. NAMEPLATES ............................................................................................................................................................................................................670

1. Pseudonyms ....................................................................................................................................................................................................671B. UNIFORMS .................................................................................................................................................................................................................671

1. National Guard ...............................................................................................................................................................................................671a. Use of Uniforms During Participation in Third Party Proceedings ....................................................................................674

2. Other Agencies ..............................................................................................................................................................................................6743. Allowances; Uniform Maintenance ........................................................................................................................................................6764. Personal Items of Clothing ........................................................................................................................................................................6795. Changing Facilities; Storage ......................................................................................................................................................................679

C. GROOMING AND DRESS CODES .......................................................................................................................................................................6791. Specifi c Grooming Standards, Exemptions .........................................................................................................................................6832. Procedures for Employees to Challenge Application of Dress and Grooming Codes..........................................................688

XI. PROMOTIONS, VACANCIES, AND APPOINTMENTS .............................................................................................................................................689A. ADVERTISING VACANCIES ...................................................................................................................................................................................689

1. Time for Filling Vacancies; Eff ective Date of Promotion ..................................................................................................................6892. Military Positions ...........................................................................................................................................................................................690

B. SOURCES FOR VACANCIES ..................................................................................................................................................................................6911. Right to Apply; Interviews, Certifi cation ...............................................................................................................................................691

a. National Guard Positions: Inversion of Rank .............................................................................................................................6912. Restrictions on Outside Candidates ......................................................................................................................................................694

a. Military Family Act ..............................................................................................................................................................................695b. Personal Service Contracts ..............................................................................................................................................................695

3. Prior Consideration of Inside Candidates; Justifi cation for Nonselection ................................................................................696a. Cases Prior to 1992 .............................................................................................................................................................................700b. Nonrestrictive Proposals Requiring Consideration of Unit Employees ...........................................................................701

4. Automatic Consideration of Employees ...............................................................................................................................................7015. Quotas; Upward Mobility ...........................................................................................................................................................................7016. Predetermination of Selectees or Eligibles ..........................................................................................................................................7017. Part-Time Positions .......................................................................................................................................................................................7028. Applicants for Employment ......................................................................................................................................................................7029. Former Unit Employees ..............................................................................................................................................................................702

C. RANKING, RATING, AND QUALIFICATIONS ..................................................................................................................................................7021. Merit Promotion Plans.................................................................................................................................................................................702

a. Proposals Limiting Sources to Fill Vacant Positions ...............................................................................................................7022. Creation of Rosters .......................................................................................................................................................................................7043. Seniority ...........................................................................................................................................................................................................7044. Uniformity of Standards; Selection Procedures .................................................................................................................................7065. Crediting Plans: Specifi c Selection Criteria; KSAs ..............................................................................................................................7066. General and Nonrestrictive Selection Criteria ....................................................................................................................................7097. SKAPs; Career or Specialty Codings ........................................................................................................................................................7108. Licensing, Certifi cation Requirements ..................................................................................................................................................7109. Evidence of Qualifi cations .........................................................................................................................................................................71010. Department of Veterans Aff airs Positions ............................................................................................................................................71011. National Guard Positions; Military and Civilian Compatibility Requirements.........................................................................71512. Nonunit Personnel ........................................................................................................................................................................................716

D. PANEL COMPOSITION AND DELIBERATIONS ..............................................................................................................................................7161. Composition ...................................................................................................................................................................................................716

a. Union Participation ............................................................................................................................................................................7182. Evaluation Procedure ..................................................................................................................................................................................7203. Records .............................................................................................................................................................................................................7204. Selecting Offi cial ...........................................................................................................................................................................................720

E. JOBS OUTSIDE THE UNIT .....................................................................................................................................................................................7201. Supervisory and Management Positions .............................................................................................................................................7202. Scope of Permissive Bargaining ...............................................................................................................................................................7223. Return From Promotions Outside the Unit ..........................................................................................................................................722

F. TEMPORARY PROMOTIONS................................................................................................................................................................................7221. Selection by Seniority ..................................................................................................................................................................................7222. Enhanced Duties; Higher–Graded Positions .......................................................................................................................................723

TABLE OF CONTENTS xix

3. Supervisory Duties .......................................................................................................................................................................................7234. Rotation of Promotions ...............................................................................................................................................................................7245. Timing of Promotions and Related Pay Increases .............................................................................................................................7246. Time-in-Grade Restrictions ........................................................................................................................................................................724

G. REPROMOTION ........................................................................................................................................................................................................7251. Priority Consideration .................................................................................................................................................................................7252. Justifi cation for Nonselection; Stays ......................................................................................................................................................725

H. ENHANCEMENT OF PROMOTION OPPORTUNITIES .................................................................................................................................7251. Agency Organizational Structure; Bridge Positions .........................................................................................................................7252. Enhancement of Duties ..............................................................................................................................................................................7253. Reclassifi cation of Positions ......................................................................................................................................................................726

I. CAREER LADDERS ...................................................................................................................................................................................................7261. Structure ...........................................................................................................................................................................................................7262. Operation .........................................................................................................................................................................................................727

a. Advancement Through Systems Similar to Career Ladders ................................................................................................728b. Evaluation of Advancement Potential ........................................................................................................................................729

3. Other Promotion Issues ..............................................................................................................................................................................730J. GRIEVANCE RIGHTS ...............................................................................................................................................................................................730

XII. DETAILS, TEMPORARY DUTY, TRANSFER AND REASSIGNMENT ...................................................................................................................730A. SELECTION PROCEDURES ...................................................................................................................................................................................730

1. Seniority; Volunteers ....................................................................................................................................................................................7302. Reasonable Accommodation ...................................................................................................................................................................7323. Use of Competition; Selection Criteria ..................................................................................................................................................732

B. CONDITIONS OF DETAILS ....................................................................................................................................................................................7331. Advance Notice ..............................................................................................................................................................................................7332. Compensation ................................................................................................................................................................................................7333. Expense Reimbursement Arrangements .............................................................................................................................................7344. Coverage of Negotiated Agreement; Details Outside Unit............................................................................................................7345. Documentation .............................................................................................................................................................................................7346. Assignment and Distribution of Duties ................................................................................................................................................7347. Eff ect on Promotion and Evaluation ......................................................................................................................................................734

C. DURATION .................................................................................................................................................................................................................735D. ROTATION ..................................................................................................................................................................................................................737

1. Equity of Distribution; Use to Avoid Promotions ...............................................................................................................................738E. REASSIGNMENT .......................................................................................................................................................................................................739

1. Volunteers and Seniority ............................................................................................................................................................................7392. Application of RIF Procedures ..................................................................................................................................................................7403. Conditional Reassignment ........................................................................................................................................................................7404. Cancellation or Reconsideration of Reassignments; Return Rights ............................................................................................7405. Timing ...............................................................................................................................................................................................................7436. Delay Pending Completion of Negotiations or Resolution of Grievances ...............................................................................7437. Protections Against Involuntary Reassignments ...............................................................................................................................743

F. TRANSFERS BETWEEN AGENCIES ....................................................................................................................................................................745XIII. SAFETY ..................................................................................................................................................................................................................................745

A. SAFETY EQUIPMENT, CLOTHING, PROCEDURES ........................................................................................................................................7451. Safety Inspections .........................................................................................................................................................................................7452. Selection of Equipment, Clothing, Grooming Standards; Rules Governing Use of Vehicles .............................................7463. Environmental Conditions .........................................................................................................................................................................7474. Provision of Equipment; Safety Shoes; Motorcycle Gear ................................................................................................................747

a. Medical Examinations .......................................................................................................................................................................748b. Eye Examinations; Corrective Lenses...........................................................................................................................................748c. Other Protective Equipment ..........................................................................................................................................................749

5. Safety Training ................................................................................................................................................................................................7506. Maintenance and Disclosure of Medical and Safety Records .......................................................................................................7517. Safety Measures .............................................................................................................................................................................................7528. Medical Treatment Facilities ......................................................................................................................................................................7549. Alternate Work Arrangements .................................................................................................................................................................75510. Assistance to Employees ............................................................................................................................................................................75511. Arrangements for Sick or Injured Employees .....................................................................................................................................756

a. Defi nition of Emergency ..................................................................................................................................................................756B. SECURITY MEASURES ...........................................................................................................................................................................................756

xx GUIDE TO FLRA LAW AND PRACTICE

1. Building, Installation Security ...................................................................................................................................................................756C. SAFETY COMMITTEES ...........................................................................................................................................................................................757

1. Certifi ed Committees ..................................................................................................................................................................................7582. Non-Certifi ed Committees ........................................................................................................................................................................758

XIV. SECURITY CLEARANCE PROCESSES ..........................................................................................................................................................................758XV. PAY, PREMIUMS, AND ALLOWANCES ........................................................................................................................................................................759

A. ENVIRONMENTAL DIFFERENTIAL, HAZARDOUS DUTY PAY ..................................................................................................................7601. Environmental Diff erentials ......................................................................................................................................................................7602. Hazard Pay .......................................................................................................................................................................................................7603. Tropical Diff erential ......................................................................................................................................................................................7614. Hardship, Danger Pay ..................................................................................................................................................................................761

B. RETAINED PAY FOR INJURED EMPLOYEES ....................................................................................................................................................761C. TRAVEL EXPENSES AND ARRANGEMENTS ...................................................................................................................................................762

1. Mileage; Commuting Costs .......................................................................................................................................................................7622. Location of Duty Station .............................................................................................................................................................................7623. Methods of Travel ..........................................................................................................................................................................................7624. Local Transportation ....................................................................................................................................................................................7625. Identifi cation; Documentation .................................................................................................................................................................7626. Arrangements for Payment of Expenses; Recovery of Expenses by Agency; Relocation Expenses ...............................7627. Travel Advances .............................................................................................................................................................................................764

a. Interest ...................................................................................................................................................................................................764b. Amount of Advances; Government Sponsored Credit Cards .............................................................................................764

D. SPECIAL STATUTORY PAY RATES .......................................................................................................................................................................765E. PREVAILING RATE EMPLOYEES; PAY AND PAY PRACTICES .....................................................................................................................766

1. Prevailing Rate Determinations ...............................................................................................................................................................766a. Participation in Wage Surveys........................................................................................................................................................766

2. Pay and Pay Practices ...................................................................................................................................................................................766a. Wages Set by Statute ........................................................................................................................................................................777b. Wage Negotiations for Prevailing Rate Employees Who Are Not Subject to 5 USC 704 ...........................................778c. Conditions of Employment Other Than Pay .............................................................................................................................778

F. PAY AND EMPLOYMENT FOR EMPLOYEES OF PARTICULAR AGENCIES............................................................................................7791. General Rule ....................................................................................................................................................................................................7792. Pension Benefi t Guaranty Corporation .................................................................................................................................................7793. Military School Systems ..............................................................................................................................................................................779

a. Personal Service Contracts ..............................................................................................................................................................7814. Panama Canal Commission .......................................................................................................................................................................7825. FDIC ....................................................................................................................................................................................................................7826. Offi ce of Thrift Supervision ........................................................................................................................................................................7827. Offi ce of the Comptroller of the Currency ...........................................................................................................................................7828. Bureau of Engraving and Printing ...........................................................................................................................................................7839. Department of Veterans Aff airs ...............................................................................................................................................................78610. Nuclear Regulatory Commission .............................................................................................................................................................78611. Corps of Engineers ........................................................................................................................................................................................78712. Merchant Marine Academy .......................................................................................................................................................................78713. National Imagery and Mapping Agency ..............................................................................................................................................787

G. HOLIDAYS AND PREMIUMS ................................................................................................................................................................................7881. Other Premium Pay ......................................................................................................................................................................................788

H. MEAL ALLOWANCE ................................................................................................................................................................................................788I. OVERTIME RATES; CALLBACK PAY ...................................................................................................................................................................788

1. Administratively Uncontrollable Overtime .........................................................................................................................................789J. INSURANCE COVERAGE, HEALTH CARE.........................................................................................................................................................789

1. Defense Education Activity .......................................................................................................................................................................7892. NAF Employees ..............................................................................................................................................................................................789

K. PER DIEM ....................................................................................................................................................................................................................790L. LIVING QUARTERS ALLOWANCE ......................................................................................................................................................................791M. MOVING EXPENSES ................................................................................................................................................................................................791

1. Shipment of Household Goods ...............................................................................................................................................................7912. Expenses Related to Relocation ...............................................................................................................................................................791

N. MISCELLANEOUS PAY ISSUES ............................................................................................................................................................................7911. Cessation of Work Before End of Pay Period........................................................................................................................................7912. Tip Off sets ........................................................................................................................................................................................................791

TABLE OF CONTENTS xxi

3. License and Examination Fees .................................................................................................................................................................7914. Debt Recovery From Employees; Stays of Collection ......................................................................................................................792

a. Settlement of Pay Claims .................................................................................................................................................................793O. INCENTIVE PAY; AWARDS .....................................................................................................................................................................................794

1. Initial Determination of Substantive Nonnegotiability ...................................................................................................................7952. Onset of Substantive Negotiability ........................................................................................................................................................7963. Standards Governing Incentive Awards ...............................................................................................................................................797

a. Pre-1995 Regulations and Cases ...................................................................................................................................................7984. Profi t Sharing; Gainsharing ........................................................................................................................................................................7995. Quality Step Increases .................................................................................................................................................................................8006. Suggestion Awards ......................................................................................................................................................................................8017. Special Act Awards .......................................................................................................................................................................................8028. Other Procedural Elements .......................................................................................................................................................................8029. Participation in Awards Ceremonies ......................................................................................................................................................802

P. RETIREMENT ISSUES ..............................................................................................................................................................................................802Q. DISTRIBUTION OF CHECKS, FINANCIAL DOCUMENTS ............................................................................................................................803

1. Direct Deposit Arrangements...................................................................................................................................................................8042. Cash Advances ...............................................................................................................................................................................................8043. Agency Loss of Records ..............................................................................................................................................................................8044. Check Cashing Privileges ...........................................................................................................................................................................804

R. INDEMNIFICATION AGREEMENTS; IMMUNITY; LEGAL ASSISTANCE .................................................................................................8041. Reimbursement for Personal Losses; Government Credit Cards .................................................................................................806

XVI. FACILITIES FOR EMPLOYEES .........................................................................................................................................................................................806A. DAY CARE ...................................................................................................................................................................................................................806B. PARKING AND VEHICLES ......................................................................................................................................................................................808

1. Reimbursement of Parking Costs ............................................................................................................................................................8112. Removal of Vehicles .....................................................................................................................................................................................8123. Vehicular Speed Controls ...........................................................................................................................................................................812

C. OVERSEAS EMPLOYEES ........................................................................................................................................................................................8121. Vehicle Registration .....................................................................................................................................................................................8122. Ration Control ................................................................................................................................................................................................8123. Home Leave ....................................................................................................................................................................................................8124. Access to Government Schools ...............................................................................................................................................................8125. Education Allowances .................................................................................................................................................................................8126. Travel Arrangements....................................................................................................................................................................................812

D. LOCKERS, STORAGE FACILITIES .........................................................................................................................................................................8131. Weapons ...........................................................................................................................................................................................................813

E. RECREATIONAL, EXCHANGE, AND SCHOOL FACILITIES .........................................................................................................................8191. Management of Facilities ...........................................................................................................................................................................823

F. OFFICE AND DESK USE; PRIVACY .....................................................................................................................................................................8231. Search of Offi ces, Furniture .......................................................................................................................................................................8242. Meals at or Away From the Worksite ......................................................................................................................................................8253. Assignment of Desks, Workstations; Seniority ...................................................................................................................................8264. Choice of Offi ces ...........................................................................................................................................................................................827

G. BUILDING AND OFFICE DESIGN .......................................................................................................................................................................8301. Eff ect on Nonunit Personnel .....................................................................................................................................................................8312. Eff ect on Building Security ........................................................................................................................................................................8313. Size and Use of Offi ces ................................................................................................................................................................................8314. Smoking Rules; Offi ce Arrangements ....................................................................................................................................................8335. Noise Abatement ..........................................................................................................................................................................................834

H. AVAILABILITY AND PRICING OF DINING FACILITIES .................................................................................................................................8341. Pricing, Use, and Location of Vending, Dining Facilities .................................................................................................................8342. Kitchen Facilities ............................................................................................................................................................................................8363. Free Meals ........................................................................................................................................................................................................8364. Drinking Water ...............................................................................................................................................................................................836

I. HOUSING ....................................................................................................................................................................................................................8361. Employees at Remote Locations .............................................................................................................................................................836

J. TRANSPORTATION ARRANGEMENTS .............................................................................................................................................................8371. Government Cars for Commuting ..........................................................................................................................................................8372. Internal Transportation ...............................................................................................................................................................................8373. Availability and Use of Government Vehicles .....................................................................................................................................837

xxii GUIDE TO FLRA LAW AND PRACTICE

4. Employees With Job–Related Injuries ...................................................................................................................................................8395. Commuting and Transportation Allowances ......................................................................................................................................839

K. TELEPHONES; CELL PHONES AND PAGERS ..................................................................................................................................................840L. DISTRIBUTION OF MAIL .......................................................................................................................................................................................843M. E-MAIL .........................................................................................................................................................................................................................843N. ACCESS TO AGENCY PERSONNEL OFFICE ....................................................................................................................................................843O. OFFICE EQUIPMENT...............................................................................................................................................................................................843P. CHARITABLE AND ANCILLARY ENDEAVORS ................................................................................................................................................843

XVII. EQUAL EMPLOYMENT OPPORTUNITY ......................................................................................................................................................................845A. EEO PLANS ................................................................................................................................................................................................................845

1. Funding and Support ..................................................................................................................................................................................8452. Instruction of Applicants and Employees ............................................................................................................................................845

B. JOB STRUCTURING; SPECIFIC HIRING PRACTICES ....................................................................................................................................8451. General Goals; Prospective Employees .................................................................................................................................................8452. Validation of Selection Procedures; Studies ........................................................................................................................................8463. Job Restructuring; Qualifi cation Waiver; Training .............................................................................................................................847

a. Bridge Positions ..................................................................................................................................................................................848b. Disabled Employees ..........................................................................................................................................................................849

4. Set–Aside of Jobs ..........................................................................................................................................................................................8505. Placement Preferences ................................................................................................................................................................................8506. Facilities, Assistance for Disabled, Stressed Employees ..................................................................................................................8507. Submission of Medical Information; Privacy of Records .................................................................................................................852

C. EEO COUNSELORS AND COORDINATORS ....................................................................................................................................................8521. EEO Counselors ..............................................................................................................................................................................................8522. Women’s and Hispanic Employment Program Coordinators ........................................................................................................8523. Qualifi cations, Training of Counselors ...................................................................................................................................................8524. Duties of Counselors ....................................................................................................................................................................................8525. Investigations .................................................................................................................................................................................................853

D. DISCIPLINARY ACCOMMODATION ..................................................................................................................................................................8531. Cost of Rehabilitation ..................................................................................................................................................................................853

E. EEO PROCEEDINGS, HEARINGS ........................................................................................................................................................................8531. Representatives; Observers .......................................................................................................................................................................8542. Agency Liability for Discrimination; Sexual Harassment ................................................................................................................8543. Agency EEO Settlement Programs .........................................................................................................................................................855

XVIII. REDUCTIONS IN FORCE .................................................................................................................................................................................................855A. COMPETITIVE AREA AND LEVEL .......................................................................................................................................................................856

1. Competitive Area ..........................................................................................................................................................................................856a. Elective Bargaining ............................................................................................................................................................................861

2. Competitive Level .........................................................................................................................................................................................862B. PLACEMENT; FILLING OF VACANCIES DURING RIF; SENIORITY ...........................................................................................................862

1. Freeze on Positions; Attrition ....................................................................................................................................................................8642. Freeze on Position Descriptions ..............................................................................................................................................................8673. Waiver of Qualifi cation Requirements ...................................................................................................................................................8674. Geographical Reassignment of Senior Employees ...........................................................................................................................867

C. RETENTION STANDING; RETREAT RIGHTS ....................................................................................................................................................8691. Service Credit; Seniority; Performance Rating Levels ......................................................................................................................8692. Subgroup Displacement ............................................................................................................................................................................8693. Retention Registers; Performance Appraisals .....................................................................................................................................8694. National Guard; Civilian Technicians ......................................................................................................................................................8705. Union Offi cials ................................................................................................................................................................................................8706. Part-Time/Full-Time Employees ...............................................................................................................................................................8717. Excepted Service Employees ....................................................................................................................................................................871

D. REEMPLOYMENT AND REPROMOTION RIGHTS .........................................................................................................................................8721. Repromotion, Recall by Seniority ............................................................................................................................................................8722. Limitation of Consideration for Vacancies to Repromotion Eligibles .........................................................................................8723. Required Filling of Vacancies ....................................................................................................................................................................8754. Retrainable Employees; Retraining ........................................................................................................................................................8755. Pay Adjustments on Repromotion..........................................................................................................................................................877

E. FURLOUGHS; SENIORITY .....................................................................................................................................................................................877F. TRANSFER OF FUNCTION ....................................................................................................................................................................................877G. AGENCY ORGANIZATION; ALTERNATIVES TO RIF ......................................................................................................................................878

TABLE OF CONTENTS xxiii

1. Stays ...................................................................................................................................................................................................................879H. LIMITATIONS ON NOTICES ..................................................................................................................................................................................879

1. Duty Status During Notice Period ...........................................................................................................................................................879I. APPEAL RIGHTS AND REMEDIES ......................................................................................................................................................................880J. RETIREMENT OPTIONS .........................................................................................................................................................................................880K. PAY AND GRADE RETENTION .............................................................................................................................................................................880L. OTHER ARRANGEMENTS .....................................................................................................................................................................................880

XIX. CRITICAL ELEMENTS AND PERFORMANCE STANDARDS ..................................................................................................................................880A. SPECIFIC ELEMENTS AND STANDARDS .........................................................................................................................................................881B. GENERAL DEFINITIONS ........................................................................................................................................................................................883

1. Number of Elements; Designation of Elements as Critical .............................................................................................................8832. Number of Performance Levels ...............................................................................................................................................................884

C. BROAD CRITERIA .....................................................................................................................................................................................................8851. Exemption of Positions From Appraisal System ................................................................................................................................8872. Relating Standards to Position Description and Assigned Duties ..............................................................................................8873. Incorporation of Organizational, Other Goals ....................................................................................................................................8884. Uniformity of Standards .............................................................................................................................................................................8895. Explanations of Standards .........................................................................................................................................................................8896. Professional Positions ..................................................................................................................................................................................8907. Factors Beyond Control of Employees ..................................................................................................................................................890

a. Negotiable Provisions .......................................................................................................................................................................890b. Nonnegotiable Provisions ...............................................................................................................................................................892

D. COVERAGE OF GRIEVANCE PROCEDURE; GRIEVANCE REVIEW STANDARD ...................................................................................8931. Law Prior to 1987 ..........................................................................................................................................................................................8932. Informal Review of Elements and Standards ......................................................................................................................................894

E. UNACCEPTABLE PERFORMANCE ACTION PROCEDURES .......................................................................................................................8941. Timing of Notices; Reviews ........................................................................................................................................................................8942. Precondition of Reassignment or Demotion ......................................................................................................................................8943. Delays in Actions ...........................................................................................................................................................................................8954. Counseling.......................................................................................................................................................................................................8955. Training; Other Assistance to Employees .............................................................................................................................................895

F. ALOC, STEP–INCREASE DETERMINATIONS ..................................................................................................................................................8961. Quality Step Increase ...................................................................................................................................................................................8962. Within–Grade Increase ................................................................................................................................................................................896

G. NONCRITICAL ELEMENTS; COLLATERAL DUTIES .......................................................................................................................................897H. DEVELOPMENT OF STANDARDS AND ELEMENTS .....................................................................................................................................898

1. Reorganizations .............................................................................................................................................................................................8992. Details ...............................................................................................................................................................................................................8993. Delay in Implementation ...........................................................................................................................................................................8994. Changes in Standards ..................................................................................................................................................................................899

a. Changes in Standards Requested by Employees ....................................................................................................................900I. NOTICE AND EXPLANATION OF CRITICAL ELEMENTS, STANDARDS .................................................................................................900

XX. PERFORMANCE APPRAISAL ..........................................................................................................................................................................................900A. FREQUENCY AND TIMING OF APPRAISAL ....................................................................................................................................................900

1. Use of Appraisals ...........................................................................................................................................................................................9012. Eff ect of Details ..............................................................................................................................................................................................901

B. EMPLOYEE INVOLVEMENT IN THE APPRAISAL PROCESS .......................................................................................................................901C. IMPROVEMENT PERIOD; NOTICE; DELAYS ....................................................................................................................................................902

1. Second Opportunity Periods ....................................................................................................................................................................9042. Record Retention, Creation, Use ..............................................................................................................................................................9053. Appraisal Forms .............................................................................................................................................................................................906

D. PERSONNEL WHO CONDUCT APPRAISALS .................................................................................................................................................9061. Explanation of Ratings ................................................................................................................................................................................9082. Privacy ...............................................................................................................................................................................................................910

E. STUDIES, OBSERVATIONS, AND SAMPLING .................................................................................................................................................9101. Frequency and Method of Monitoring .................................................................................................................................................9112. Classroom Visits .............................................................................................................................................................................................9123. Production of Information .........................................................................................................................................................................912

F. DEFINITION OF WORK ERRORS AND PRODUCTIVITY ..............................................................................................................................9131. Performance Measurement; Statistical Applications .......................................................................................................................9152. Allowance for Nonproductive Time .......................................................................................................................................................917

xxiv GUIDE TO FLRA LAW AND PRACTICE

3. Factors Beyond Control of Employees ..................................................................................................................................................9184. Other Factors Aff ecting Appraisal ...........................................................................................................................................................920

G. EVIDENCE OF PERFORMANCE ...........................................................................................................................................................................9221. Period of Performance Measurement ...................................................................................................................................................926

H. ENTRY LEVEL OR PRESUMPTIVE RATINGS ....................................................................................................................................................927I. APPRAISAL OF UNION OFFICIALS ON OFFICIAL TIME ............................................................................................................................927J. REMEDIAL AUTHORITY OF ARBITRATOR ......................................................................................................................................................931

XXI. UNION RIGHTS, BARGAINING RIGHTS AND PROCEDURES ..............................................................................................................................931A. BARGAINING TEAM ................................................................................................................................................................................................931

1. Composition of Bargaining Team ............................................................................................................................................................9312. Authority of Team Members .....................................................................................................................................................................9323. Uniform Requirements................................................................................................................................................................................932

a. Forms of Address ................................................................................................................................................................................932B. MEMBERSHIP NOTIFICATION, SOLICITATION ..............................................................................................................................................934

1. Union Literature ............................................................................................................................................................................................9342. Notices and Signs ..........................................................................................................................................................................................934

C. WORKPLACE ACCESS ............................................................................................................................................................................................9341. Access of Employees to Union .................................................................................................................................................................936

D. WORK AND SHIFT ASSIGNMENTS TO UNION OFFICIALS .......................................................................................................................9361. Leave of Absence ..........................................................................................................................................................................................9372. Authorized Leave for Internal Union Business ...................................................................................................................................938

E. USE OF AGENCY FACILITIES................................................................................................................................................................................9391. Telephones ......................................................................................................................................................................................................9402. Equipment .......................................................................................................................................................................................................9403. Offi ce Space ....................................................................................................................................................................................................9404. Government Mail ..........................................................................................................................................................................................9415. Protection Against Searches of Union Property ................................................................................................................................941

F. JOINT COMMITTEES ..............................................................................................................................................................................................9411. Incentive Awards Program.........................................................................................................................................................................9432. Promotion and Staffi ng Matters ..............................................................................................................................................................9443. Training .............................................................................................................................................................................................................9454. Performance Issues ......................................................................................................................................................................................9455. Job Content; Work Planning......................................................................................................................................................................9466. Discussion Forums ........................................................................................................................................................................................9467. Work Evaluation .............................................................................................................................................................................................9468. Department of Veterans Aff airs Professional Standards Boards ..................................................................................................9479. EEO .....................................................................................................................................................................................................................94710. Offi cial Time Use ............................................................................................................................................................................................948

G. LEVEL OF BARGAINING ........................................................................................................................................................................................9481. Local Agreements .........................................................................................................................................................................................9482. Participants in Bargaining, Mediation ...................................................................................................................................................948

H. EFFECTIVE DATE, SEVERABILITY, AND PRESERVATION OF NEGOTIATED AGREEMENT .............................................................9481. Renewal of Agreement ...............................................................................................................................................................................9482. Survival of Provisions ...................................................................................................................................................................................9493. Confl icts With Future Laws, Regulations ...............................................................................................................................................9494. Reservation of Right to Future Negotiations ......................................................................................................................................9495. Affi rmation of Agency Policies, Statutory Requirements ...............................................................................................................9506. Partial Disapproval of Agreement by Agency Head .........................................................................................................................950

I. INFORMATION FROM MANAGEMENT ............................................................................................................................................................9501. Procedures for Obtaining Information ..................................................................................................................................................9512. Studies ..............................................................................................................................................................................................................9513. Grievances .......................................................................................................................................................................................................9544. Orientation of New Employees ................................................................................................................................................................954

J. BARGAINING PROCEDURES ...............................................................................................................................................................................9541. Ground Rules ..................................................................................................................................................................................................9542. Notice of Work Changes .............................................................................................................................................................................9553. Midterm; Negotiability and Future Disputes ......................................................................................................................................955

a. Reopener Clauses ...............................................................................................................................................................................957b. Clauses Defi ning Application of the “Covered by Doctrine” ...............................................................................................957c. FSIP Assistance ....................................................................................................................................................................................963

4. Ratifi cation ......................................................................................................................................................................................................963

TABLE OF CONTENTS xxv

5. Review of Local Agreements .....................................................................................................................................................................9636. Lockouts ...........................................................................................................................................................................................................9647. Preservation of Status Quo Pending Negotiations ............................................................................................................................9648. Status Quo During Impasse Resolution, Negotiability Appeals, and Grievances ...................................................................9659. Notice of Designated Representatives ..................................................................................................................................................966

K. MEETINGS; EMPLOYEE REPRESENTATION ....................................................................................................................................................9661. Meetings With Employees .........................................................................................................................................................................9662. Desk Audits .....................................................................................................................................................................................................9663. Disciplinary Tribunals ..................................................................................................................................................................................9674. Meetings With Agency Clients .................................................................................................................................................................967

L. ULP PROCEDURES ..................................................................................................................................................................................................967M. COMPENSATION MAINTENANCE OR ADVANCEMENT FOR UNION OFFICERS ..............................................................................967N. TRAVEL EXPENSES AND FACILITIES .................................................................................................................................................................967O. SHIFT ADJUSTMENTS FOR UNION OFFICIALS ............................................................................................................................................968P. TRAINING FOR UNION OFFICIALS ...................................................................................................................................................................968Q. UNION MEMBERSHIP REQUIREMENTS; SERVICE FEES ............................................................................................................................968

XXII. GRIEVANCE PROCEDURES .............................................................................................................................................................................................968A. EXCLUSIONS .............................................................................................................................................................................................................969

1. Management Grievances ...........................................................................................................................................................................9692. Safety and Health Issues .............................................................................................................................................................................9693. Matters Committed by Statute to Agency Head ...............................................................................................................................9694. Department of Veterans Aff airs—Title 38 ............................................................................................................................................9705. National Guard ...............................................................................................................................................................................................9716. Contract Teachers .........................................................................................................................................................................................9717. Excepted Service Employees ....................................................................................................................................................................971

a. Other Personnel Systems .................................................................................................................................................................9738. NAF Employees ..............................................................................................................................................................................................973

B. LEVEL OF UNION GRIEVANCE REPRESENTATION ......................................................................................................................................9741. Requirement of Union Involvement ......................................................................................................................................................974

C. ESTOPPEL CLAUSES ...............................................................................................................................................................................................9751. Final and Binding Arbitration ...................................................................................................................................................................975

D. ELECTION OF STATUTORY, NEGOTIATED PROCEDURES .........................................................................................................................9751. Agency Grievance Systems .......................................................................................................................................................................9752. EEO Procedures; Election of Remedies ..................................................................................................................................................9763. RIF Challenges ................................................................................................................................................................................................976

E. PROCEDURAL ISSUES ...........................................................................................................................................................................................9761. Location and Arrangements for Grievance Hearings ......................................................................................................................976

a. Shift Changes to Permit Participation .........................................................................................................................................9762. Personnel Authorized to Initiate, Consider and Decide Grievances ...........................................................................................977

a. Advisory Boards ..................................................................................................................................................................................9773. Parties Who May Invoke Arbitration.......................................................................................................................................................978

a. Unilateral Invocation .........................................................................................................................................................................9784. Grievance Filing Periods .............................................................................................................................................................................9785. Arbitration Procedures ................................................................................................................................................................................9786. Review Rights .................................................................................................................................................................................................9787. Alternate Dispute Resolution ...................................................................................................................................................................978

XXIII. MANAGEMENT AND SUPERVISORY PRACTICES ..................................................................................................................................................978A. ASSESSMENT, QUALIFICATIONS OF SUPERVISORS ..................................................................................................................................978

1. Equipment Available to Supervisors ......................................................................................................................................................9792. Instruction of Supervisors ..........................................................................................................................................................................979

B. DESIGNATION OF SUPERVISORS TO ASSIGN WORK .................................................................................................................................9791. National Guard; Inversion of Rank ..........................................................................................................................................................980

C. DISCIPLINE OF SUPERVISORS, MANAGERS ..................................................................................................................................................980D. WORK TO BE PERFORMED BY SUPERVISORS; MANAGERS ....................................................................................................................980E. OFFICIALS WHO MAY IMPOSE DISCIPLINE ..................................................................................................................................................981F. RECORDS TO BE MAINTAINED ...........................................................................................................................................................................982

1. Offi cial Time Use ............................................................................................................................................................................................982

xxvi GUIDE TO FLRA LAW AND PRACTICE

CHAPTER 7: FEDERAL SERVICE IMPASSES PANEL ..................................................................983

I. MISSION ...............................................................................................................................................................................................................................983II. STATUTORY AUTHORITY ................................................................................................................................................................................................983III. REGULATORY PROCEDURES .........................................................................................................................................................................................984

A. DIRECTION OF INTEREST ARBITRATION ........................................................................................................................................................985B. VOLUNTARY INTEREST ARBITRATION.............................................................................................................................................................986

IV. SCOPE OF FSIP REVIEW AUTHORITY .........................................................................................................................................................................986A. DEFINITION OF ISSUE ...........................................................................................................................................................................................986B. DISPUTED STATUS OF AGREEMENT ................................................................................................................................................................986C. NEGOTIABILITY ISSUES ........................................................................................................................................................................................986D. FSIP BARGAINING ORDERS .................................................................................................................................................................................987

V. EFFECT OF FSIP DECISION .............................................................................................................................................................................................987A. STAY OF PANEL DECISION ...................................................................................................................................................................................987

VI. DECLARATION OF AN IMPASSE ...................................................................................................................................................................................988A. EXHAUSTION OF VOLUNTARY RESOLUTION EFFORTS; FMCS ..............................................................................................................989B. MAINTENANCE OF STATUS QUO .......................................................................................................................................................................989

1. Necessary Functioning of Agency ..........................................................................................................................................................992VII. REVIEW AND ENFORCEMENT OF FSIP DECISIONS ..............................................................................................................................................992

A. INTERPRETATION OF FSIP ORDERS .................................................................................................................................................................992

CHAPTER 8: UNFAIR LABOR PRACTICES .................................................................................995

I. THE STATUTE .......................................................................................................................................................................................................................995II. MANAGEMENT VIOLATIONS .........................................................................................................................................................................................996

A. MANAGEMENT DEFENSE: THE CONTRACT PERMITS THE AGENCY TO ACT: IRS ...........................................................................996B. BARGAINING FAILURES ......................................................................................................................................................................................1003

1. Waivers of Bargaining Rights ..................................................................................................................................................................1006a. Discussions During Negotiations ...............................................................................................................................................1007b. Failure to Request Bargaining; Inaction ...................................................................................................................................1008c. Zipper or Integration Clauses .......................................................................................................................................................1013d. “Consultation Rights” Clause ........................................................................................................................................................1014e. Incorporation of Past Policies .......................................................................................................................................................1014f. Contemporaneous Agreement; Authority of Representatives ........................................................................................1014g. Waiver by Withdrawal of Bargaining Request ........................................................................................................................1014h. Eff ect of Statutory Changes ..........................................................................................................................................................1014

2. Bargaining Obligations and the “Covered By” Doctrine: SSA ......................................................................................................1015a. Evolution of the Doctrine ..............................................................................................................................................................1018b. Application of the Doctrine ..........................................................................................................................................................1034

i. When the Defense Must Be Raised ..................................................................................................................................1038ii. Signifi cance of Past Practice and Bargaining History ................................................................................................1038iii. Examples of “Covered By” Decisions ...............................................................................................................................1040

c. Management Action Permitted by Contract; Harmonizing the SSA “Covered By” and the IRS Waiver Doctrines .......................................................................................................................................................1042

d. Bargaining to Impasse Over “Covered By” Matters ...............................................................................................................10433. Problems With Bargaining Delegations ..............................................................................................................................................1044

a. Involvement of Higher–Level Agency Components ...........................................................................................................1045b. Interference by Coordinate Organizations ..............................................................................................................................1047c. Respondeat Superior; Agency Relationships .........................................................................................................................1047

4. Problems with Multi–Unit/Employer Bargaining ............................................................................................................................1047a. Bargaining Across Agency Subdivision Lines .........................................................................................................................1049

5. Refusal or Failure to Conclude Agreement ........................................................................................................................................1050a. Meeting of the Minds ......................................................................................................................................................................1050b. Authorized Representatives .........................................................................................................................................................1050c. Partnership Bargaining ...................................................................................................................................................................1051

6. Impassed Proposals; Maintenance of the Status Quo ....................................................................................................................1052a. Existence of Impasse; Obligations Before and During Impasse ......................................................................................1056b. Exigencies of Agency Operations; Nonnegotiable Proposals ..........................................................................................1058c. Eff ect of Proposal Adopted Following Impasse .....................................................................................................................1058

7. Withdrawal From Agreement .................................................................................................................................................................10598. Failure to Honor Prior Identical Negotiability Determinations ...................................................................................................10609. Failure to Honor FSIP Determinations .................................................................................................................................................106010. Failure to Sign or Memorialize an Agreement ..................................................................................................................................1061

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11. Bargaining to Impasse on Permissive Matters ..................................................................................................................................1062a. Agency Disapproval of Negotiated Articles ............................................................................................................................1064

12. Improper Disapproval of Agreement by Agency ............................................................................................................................1064a. What Constitutes an Agreement.................................................................................................................................................1064b. Belated Disapproval.........................................................................................................................................................................1065c. Obligations Following Disapproval ............................................................................................................................................1065

C. CLEAR AND PATENT BREACHES OF NEGOTIATED AGREEMENTS .....................................................................................................10651. Breach Amounting to Repudiation of Agreement ..........................................................................................................................1066

a. Role of Extrinsic Evidence of Contractual Intent ...................................................................................................................10682. Unfounded Belief of Invalidity of Provision .......................................................................................................................................10713. Isolated Noncompliance ..........................................................................................................................................................................10714. Failure to Honor Grievance Settlement .............................................................................................................................................1072

a. Settlement That Violates Statute .................................................................................................................................................1072b. Lack of Authority to Settle .............................................................................................................................................................1073

5. Illegal Provisions; Management Rights ...............................................................................................................................................10736. Treatment of Past Practices .....................................................................................................................................................................1075

D. UNILATERAL CHANGES IN EMPLOYMENT CONDITIONS AND PAST PRACTICE...........................................................................10751. Necessity for Impact and Implementation Bargaining .................................................................................................................1075

a. Ground Rules ......................................................................................................................................................................................10772. Defi ning Past Practice ................................................................................................................................................................................1078

a. Employment Condition ..................................................................................................................................................................1079b. Historical Patterns ............................................................................................................................................................................1079

3. Change in Employment Conditions .....................................................................................................................................................10804. Absence of Impact ......................................................................................................................................................................................1081

a. Determining When Impact Occurs.............................................................................................................................................1081b. Reasonably Foreseeable Eff ects ..................................................................................................................................................1082c. De Minimis Changes: SSA OHA .....................................................................................................................................................1082d. De Minimis Changes: Prior Law Distinguishing Substantive and Impact Bargaining ..............................................1089e. Impact of Unit Size, Number of Aff ected Employees ..........................................................................................................1090

5. Illegal Practice or Negotiated Provision ..............................................................................................................................................10926. Necessary Functioning of Agency ........................................................................................................................................................10947. Eff ect of Negotiability Determination .................................................................................................................................................10968. Specifi c Changes Requiring Impact or Decision Bargaining .......................................................................................................1096

a. Leave; Schedule; Shift .....................................................................................................................................................................1096b. Offi ce Relocation, Reorganization, Abolition .........................................................................................................................1098c. Furlough...............................................................................................................................................................................................1098d. Downgradings; Position Reclassifi cation .................................................................................................................................1099e. Work Assignments; Reassignments; Details ...........................................................................................................................1099f. Work Methods; Equipment ...........................................................................................................................................................1101g. Position Classifi cation .....................................................................................................................................................................1101h. Overtime ..............................................................................................................................................................................................1101i. Methods of Filling Unit Positions ................................................................................................................................................1102j. Pay and Fringe Benefi ts ..................................................................................................................................................................1102k. Employees’ Privileges ......................................................................................................................................................................1102l. Union Privileges ................................................................................................................................................................................1102m. Parking ..................................................................................................................................................................................................1102n. Adverse Action Procedures ...........................................................................................................................................................1103o. Last Chance Agreements ...............................................................................................................................................................1103p. Performance Standards and Critical Elements; Work Review Procedures ...................................................................1104q. Appraisal Procedures ......................................................................................................................................................................1105r. Training Program Requirements .................................................................................................................................................1105s. EEO Procedures .................................................................................................................................................................................1105t. Upward Mobility, Promotion Programs ....................................................................................................................................1105u. EEO Settlements ...............................................................................................................................................................................1105v. Auto and Motorcycle Use ..............................................................................................................................................................1107w. Travel Arrangements .......................................................................................................................................................................1107x. Security Procedures .........................................................................................................................................................................1107y. Supervisory Positions ......................................................................................................................................................................1107

9. Notice of Changes in Working Conditions .........................................................................................................................................1108a. Form, Timing, and Recipient of Notice ......................................................................................................................................1108b. Level of Notifi cation .........................................................................................................................................................................1109

xxviii GUIDE TO FLRA LAW AND PRACTICE

c. Specifi city Required .........................................................................................................................................................................1110d. Extension of Time to Bargain Requested .................................................................................................................................1110e. Maintenance of Status Quo During Bargaining and Arbitration Proceedings ............................................................1111

10. Expiration of Agreement ..........................................................................................................................................................................1111a. Permissive Subjects of Bargaining .............................................................................................................................................1111

E. BYPASSING UNION ...............................................................................................................................................................................................11121. Low–Level Grievance Adjustments ......................................................................................................................................................11132. Polls; General Inquiries; Questionnaires .............................................................................................................................................1113

F. FAILURE TO COOPERATE IN ARBITRATION .................................................................................................................................................11151. Interference With Grievances .................................................................................................................................................................11162. Witnesses .......................................................................................................................................................................................................11163. Failure to Honor Arbitration Awards ....................................................................................................................................................1116

a. Eff ect of Change in Law ..................................................................................................................................................................1119b. Delay in Implementation ...............................................................................................................................................................1119

G. INTERFERENCE .......................................................................................................................................................................................................11191. Discouragement of Organization ..........................................................................................................................................................11192. Regulation of Solicitation: Membership, Elections .........................................................................................................................1119

a. Membership .......................................................................................................................................................................................1119b. Elections ...............................................................................................................................................................................................1120c. No–Distribution Rule .......................................................................................................................................................................1120d. Dues Collection Problems .............................................................................................................................................................1121e. Fundraising .........................................................................................................................................................................................1121

3. Surveillance ...................................................................................................................................................................................................11224. Interference With Witnesses, Union Representatives, Grievances, Evidence ........................................................................1122

a. ULP Cases ............................................................................................................................................................................................1122b. Court Testimony ................................................................................................................................................................................1123c. Grievances ...........................................................................................................................................................................................1123d. Access to Agency Grievance Procedures .................................................................................................................................1123e. Interrogation of Representatives ................................................................................................................................................1123

5. Restraints Upon Communications ........................................................................................................................................................1127a. Newspapers ........................................................................................................................................................................................1127b. Bulletin Boards ...................................................................................................................................................................................1128c. Literature; Leafl ets ............................................................................................................................................................................1130d. Insignia .................................................................................................................................................................................................1130e. Other Communications ..................................................................................................................................................................1134

6. Protected and Unprotected Speech ....................................................................................................................................................1134a. Union Offi cials ...................................................................................................................................................................................1134b. Employees ...........................................................................................................................................................................................1140c. Management Offi cials .....................................................................................................................................................................1141

7. Reprisal and Discipline Causation Analysis .......................................................................................................................................1142a. Causation Analysis; Letterkenny ...................................................................................................................................................1142b. Circumstantial Evidence .................................................................................................................................................................1147c. Pre-Letterkenny Analysis .................................................................................................................................................................1148

8. Reprisal and Discrimination Other Than Discipline ........................................................................................................................1149a. Threats ..................................................................................................................................................................................................1149b. Disparagement ..................................................................................................................................................................................1150c. Lawsuits; Threats of Litigation......................................................................................................................................................1150d. Assault ..................................................................................................................................................................................................1151e. Performance Appraisals .................................................................................................................................................................1153f. Denial of Promotion ........................................................................................................................................................................1157g. Details and Reassignments ...........................................................................................................................................................1158h. Reclassifi cation ..................................................................................................................................................................................1158i. Job Tenure ...........................................................................................................................................................................................1159j. Other Working Conditions ............................................................................................................................................................1159

9. Military Aspects of Civilian Employment; Security Clearance ....................................................................................................116110. Discipline of Union Offi cials ....................................................................................................................................................................1163

a. Flagrant Misconduct ........................................................................................................................................................................116311. Protected Action Against Union Offi cials ...........................................................................................................................................116912. Restraints Upon Union Internal Organization ..................................................................................................................................1169

a. Recognition of Representatives ..................................................................................................................................................1169b. Confl ict of Interests ..........................................................................................................................................................................1170

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c. Voting in Union Elections by Supervisors ................................................................................................................................1175d. Control of Bargaining Conduct....................................................................................................................................................1176

13. Interference With Union Facilities, Offi cial Time ..............................................................................................................................1176a. Access to Agency Premises, Union Offi ce ................................................................................................................................1176b. Policing Offi cial Time .......................................................................................................................................................................1177c. Balancing Offi cial Time and Work Needs .................................................................................................................................1177d. Access to and Use of Documents and Information; Press Contacts ...............................................................................1178

14. Protection of Supervisors .........................................................................................................................................................................1178H. REPRESENTATION DURING INVESTIGATIONS ...........................................................................................................................................1178

1. “Reasonable Belief” Standard .................................................................................................................................................................1180a. Immunity; Promises Against Discipline ....................................................................................................................................1180

2. Need to Request Representative ...........................................................................................................................................................1181a. Delay of Investigation Pending Arrival of Designated Representative .........................................................................1182b. Withdrawal of Request ...................................................................................................................................................................1183c. Determining the Unit of Representation .................................................................................................................................1183

3. Scope of Investigatory Representation ...............................................................................................................................................11834. Investigations into Misconduct, Substandard Performance .......................................................................................................1186

a. Tax Audits ............................................................................................................................................................................................1186b. Work Monitoring ...............................................................................................................................................................................1186c. Performance Evaluations; Counseling ......................................................................................................................................1187d. Search ...................................................................................................................................................................................................1187e. Questioning by Inspectors General and Agency Criminal Investigative Units ..........................................................1187

5. Misconduct During Investigation .........................................................................................................................................................11926. Exclusion of Particular Representative ................................................................................................................................................11927. Employees of the Department of Veterans Aff airs; Standards Boards .....................................................................................11948. Remedy ...........................................................................................................................................................................................................1197

I. REPRESENTATION DURING FORMAL DISCUSSIONS ...............................................................................................................................11981. Defi ning Formal Discussion ....................................................................................................................................................................1199

a. Discussions About Performance Standards ............................................................................................................................1201b. Orientation Sessions ........................................................................................................................................................................1201c. EEO Proceedings: Pre-Complaint Informal Adjustments ...................................................................................................1202d. EEO Proceedings: Post-Complaint Settlement Discussions and Adjustments; Mediation ....................................1202e. EEO Proceedings: Adjustments of Nonunit Employees’ Complaints .............................................................................1217f. EEO Interviews ...................................................................................................................................................................................1218g. Discussions Concerning Grievances ..........................................................................................................................................1218h. Adverse Action Reply; MSPB Settlement .................................................................................................................................1220

2. Brief Discussions With Supervisors .......................................................................................................................................................1223a. Routine Counseling .........................................................................................................................................................................1223b. Changes in Work Assignments ....................................................................................................................................................1223c. Discussion of Work Practices; Reminders of Policies ............................................................................................................1223d. Advice on Employment Opportunities .....................................................................................................................................1224

3. Announcement or Warning of Action to Be Taken .........................................................................................................................12244. Discussion of Workplace Rules, Schedules ........................................................................................................................................12265. Partnerships, Quality Circles ...................................................................................................................................................................12266. Questioning of Witnesses ........................................................................................................................................................................1229

a. Brookhaven .........................................................................................................................................................................................1230b. Arbitrations .........................................................................................................................................................................................1233c. ULP Cases ............................................................................................................................................................................................1234d. MSPB Appeals; Interviews .............................................................................................................................................................1234e. MSPB Depositions ............................................................................................................................................................................1240f. ULP Cases ............................................................................................................................................................................................1241g. EEO Investigative Interviews ........................................................................................................................................................1241h. Claims of Attorney Work Product Privilege .............................................................................................................................1244

7. Notice of Formal Meetings ......................................................................................................................................................................1246III. UNION VIOLATIONS .......................................................................................................................................................................................................1247

A. BARGAINING FAILURES ......................................................................................................................................................................................12481. Negotiability Issues ....................................................................................................................................................................................12482. Bargaining to Impasse on Permissive Subjects ................................................................................................................................12483. Failure to Honor Settlements ..................................................................................................................................................................12484. Failure to Sign Agreement .......................................................................................................................................................................12485. Failure to Secure Ratifi cation of Agreement .....................................................................................................................................1248

xxx GUIDE TO FLRA LAW AND PRACTICE

6. Refusal to Arbitrate .....................................................................................................................................................................................1249B. STRIKING AND PICKETING ................................................................................................................................................................................1249

1. Eff ect of Decertifi cation ............................................................................................................................................................................12492. Picketing .........................................................................................................................................................................................................1249

C. INTERFERENCE .......................................................................................................................................................................................................12491. Coercion .........................................................................................................................................................................................................12492. Protests to Employer About Unit Employees ....................................................................................................................................12503. Interference with Work of Employees .................................................................................................................................................12504. Removal of Offi cers, Members ...............................................................................................................................................................12505. Committee and Other Nominations ....................................................................................................................................................1253

D. DUTY OF FAIR REPRESENTATION ...................................................................................................................................................................12531. Membership Considerations...................................................................................................................................................................12542. Scope ...............................................................................................................................................................................................................1255

a. MSPB Appeals ....................................................................................................................................................................................1257b. Arbitration Service Fees .................................................................................................................................................................1258c. Litigation ..............................................................................................................................................................................................1258d. Provision of Information; Polling; Seniority Determinations ............................................................................................1259e. Representation During Negotiations; Ratifi cation ...............................................................................................................1262f. Benefi t Programs ..............................................................................................................................................................................1262

3. Level of Responsibility...............................................................................................................................................................................12634. Defi nition of Actionable Misconduct ...................................................................................................................................................1263

a. Negligence ..........................................................................................................................................................................................1264b. Bad Faith; Arbitrary Conduct; Distribution of Settlement Proceeds; Agency Liability ............................................1265

5. Remedies ........................................................................................................................................................................................................1268E. INTERNAL UNION BUSINESS ON DUTY TIME ............................................................................................................................................1268

IV. ULP PROCEDURES...........................................................................................................................................................................................................1268A. ULP CASE PROCESSING REGULATIONS .......................................................................................................................................................1270B. ELECTION/PRECLUSION OF REMEDIES; STATUTORY APPEALS; 5 USC 7116, 7121 .....................................................................1276

1. Issues Litigable Under an Appeals Procedure; MSPB, EEO Complaint, and ULP Elections ...............................................1277a. EEO Procedures .................................................................................................................................................................................1287

2. Collateral Estoppel ......................................................................................................................................................................................12873. Mootness .......................................................................................................................................................................................................1287

C. FILING PROCEDURES...........................................................................................................................................................................................12871. Time for Filing ...............................................................................................................................................................................................1287

a. Failure to Honor Arbitration Award ...........................................................................................................................................1289b. Deferral by Agreement of the Parties ........................................................................................................................................1294

2. Proper Parties ...............................................................................................................................................................................................1294a. Who May File Charge ......................................................................................................................................................................1294b. Change of Status of Parties ...........................................................................................................................................................1294

D. PRESERVATION OF ISSUES ................................................................................................................................................................................12941. Scope and Purpose of Charge ................................................................................................................................................................1294

a. Service of the Charge ......................................................................................................................................................................12962. Adequacy of Investigation .......................................................................................................................................................................1296

E. PLEADINGS AND PRELIMINARIES ..................................................................................................................................................................12971. Withdrawal of Charge; Appeal of Dismissal of Charge ..................................................................................................................12972. Complaint ......................................................................................................................................................................................................1298

a. Relationship of the Charge and Complaint .............................................................................................................................1299b. Specifi city ............................................................................................................................................................................................1299c. Amendment of Complaint; Matters Fully and Fairly Litigated .........................................................................................1300d. Parties Encompassed by Complaint ..........................................................................................................................................1304e. Answer to Complaint ......................................................................................................................................................................1305

3. Discovery ........................................................................................................................................................................................................13054. Cases Submitted on Stipulation ............................................................................................................................................................13055. Summary Judgment ..................................................................................................................................................................................1306

a. Voluntary Dismissal..........................................................................................................................................................................13076. Prehearing Procedures ..............................................................................................................................................................................1307

a. Sanctions .............................................................................................................................................................................................1308F. THE HEARING .........................................................................................................................................................................................................1308

1. Prima Facie Case...........................................................................................................................................................................................13092. Evidence .........................................................................................................................................................................................................1309

a. Evidence of Events Prior to Charge or After Complaint ......................................................................................................1310

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b. Inferences and Presumptions ......................................................................................................................................................1310c. Admissions ..........................................................................................................................................................................................1310d. Parol Evidence....................................................................................................................................................................................1311e. Hearsay .................................................................................................................................................................................................1311f. Polygraphs ..........................................................................................................................................................................................1311g. Administrative and Judicial Notice ............................................................................................................................................1311h. Res Judicata .........................................................................................................................................................................................1311i. New Evidence; Proof of Compliance ..........................................................................................................................................1311

3. Witnesses; Jencks Rule ...............................................................................................................................................................................1312a. Sequestration .....................................................................................................................................................................................1312b. Expert ....................................................................................................................................................................................................1312c. Attorneys .............................................................................................................................................................................................1312

4. Allegations of Bias.......................................................................................................................................................................................13135. Rights of Charging Party...........................................................................................................................................................................13146. Continuances ................................................................................................................................................................................................13147. Payment of Expenses to Witnesses; Subpoenas ..............................................................................................................................1314

a. Protective Orders; in Camera Inspection ..................................................................................................................................1315G. REQUIREMENTS OF DECISION.........................................................................................................................................................................1316

1. Findings on Credibility and Other Issues............................................................................................................................................13162. Jurisdictional Issues....................................................................................................................................................................................13183. Precedential Value ......................................................................................................................................................................................13184. Eff ect of Court Decisions ..........................................................................................................................................................................13185. Obligation to Raise Issues Before ALJ ..................................................................................................................................................13186. Interlocutory Appeal ..................................................................................................................................................................................1319

H. EXCEPTIONS ............................................................................................................................................................................................................13191. Filing Dates ....................................................................................................................................................................................................13192. Amended and Supplemental Submissions .......................................................................................................................................13203. Cross-Exceptions .........................................................................................................................................................................................13204. Format .............................................................................................................................................................................................................13215. Controlling Law ...........................................................................................................................................................................................13216. Issues Raised Through Exceptions Must First Be Raised With the Judge ................................................................................13217. Factual Findings ...........................................................................................................................................................................................1322

I. SETTLEMENT ..........................................................................................................................................................................................................13231. Alternate Dispute Resolution; Precomplaint Settlements ...........................................................................................................13252. Post-Complaint Settlements ...................................................................................................................................................................1326

V. REMEDIES ...........................................................................................................................................................................................................................1327A. INTERFERENCE, RESTRAINT, AND COERCION ...........................................................................................................................................1327

1. Back Pay ..........................................................................................................................................................................................................1331a. Interest .................................................................................................................................................................................................1332b. Allowances and Diff erentials; Benefi ts ......................................................................................................................................1332c. Deductions From Back Pay for Interim Earnings ...................................................................................................................1334

2. Interference With Grievance Proceedings .........................................................................................................................................1335a. Failure to Comply With Arbitration Award ..............................................................................................................................1335

3. Denial of Offi cial Time, Representation, Travel and Per Diem, or Benefi ts .............................................................................13364. Disciplinary Cases .......................................................................................................................................................................................1336

a. Multiple Charges ...............................................................................................................................................................................1336b. Eff ect of Failure to Bargain ............................................................................................................................................................1336

5. Security Clearance Revocation ...............................................................................................................................................................13376. Refusal to Recognize Union ....................................................................................................................................................................13377. Mootness .......................................................................................................................................................................................................13388. De Minimis Violations .................................................................................................................................................................................13399. Probationers; Excepted Service Personnel ........................................................................................................................................133910. Exempt Agencies and Employees .........................................................................................................................................................1340

a. National Guard Technicians ..........................................................................................................................................................1340b. Department of Veterans Aff airs ...................................................................................................................................................1343

B. FAILURE TO BARGAIN ..........................................................................................................................................................................................13501. Retroactive Bargaining Orders; Make Whole Remedies ................................................................................................................1353

a. Procedural Aspects of Bargaining Orders ................................................................................................................................1358b. Examples of Bargaining Orders ...................................................................................................................................................1359c. Inclusion of Provision in Agreement .........................................................................................................................................1360

2. Status Quo Remedy Required .................................................................................................................................................................1360

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a. Application of Remedy ...................................................................................................................................................................13623. Status Quo Remedy Not Required .........................................................................................................................................................1363

a. Interim Accommodations; FSIP Involvement .........................................................................................................................1364b. Discontinuance of Temporary Changes ...................................................................................................................................1364c. Minimal Impact of Change............................................................................................................................................................1364d. Good Faith ...........................................................................................................................................................................................1365e. Undue Interruption of Agency Operations; Impossibility of Restoration of Status Quo .........................................1365

4. Status Quo Orders; Make Whole Remedies ........................................................................................................................................13665. Causal Connection Required for Back Pay in Failure to Bargain Cases ....................................................................................1367

a. Interference With Awards, Benefi ts ............................................................................................................................................13686. Extension of Certifi cation Year ...............................................................................................................................................................1370

C. AWARDS OF COUNSEL FEES .............................................................................................................................................................................13711. Charging Party Against Agency Respondent ...................................................................................................................................1371

a. Basis for Fees—Back Pay Act ........................................................................................................................................................1371b. Reasonableness of Time .................................................................................................................................................................1374c. Reasonableness of Rate; Cost Basis or Market Rate .............................................................................................................1376d. Costs ......................................................................................................................................................................................................1379

2. Union Respondent Against FLRA ..........................................................................................................................................................1379a. Equal Access to Justice Act ...........................................................................................................................................................1379b. Rates Under Equal Access to Justice Act ..................................................................................................................................1381

D. OTHER REMEDIES; REMEDIAL ISSUES ..........................................................................................................................................................13821. Nontraditional Remedies .........................................................................................................................................................................13822. Parties Encompassed by Remedial Order ..........................................................................................................................................13843. Postings ..........................................................................................................................................................................................................1384

a. Notice Directly to Employees, Managers; Others .................................................................................................................1384b. Geographic Extent of Posting ......................................................................................................................................................1386c. Union Violations ................................................................................................................................................................................1387d. Individual Who Signs Remedial Notice .....................................................................................................................................1387

4. Interaction With Other Agencies ...........................................................................................................................................................1390

CHAPTER 9: REVIEW OF ARBITRATION AWARDS .................................................................1391

I. STATUTORY AUTHORITY FOR REVIEW ....................................................................................................................................................................1391A. STATUS OF AWARDS ARISING IN PARTICULAR AGENCIES ...................................................................................................................1392

1. TVA ...................................................................................................................................................................................................................13922. Panama Canal Commission .....................................................................................................................................................................13923. Government Printing Offi ce ....................................................................................................................................................................1392

II. STATUTORY PRECLUSION OF CERTAIN MATTERS FROM GRIEVANCE ARBITRATION ...........................................................................1392A. RETIREMENT, INSURANCE, POLITICAL ACTIVITY, NATIONAL SECURITY, APPOINTMENT

AND EXAMINATION ISSUES ..............................................................................................................................................................................1393B. CLASSIFICATION ISSUES ....................................................................................................................................................................................1394

1. Accuracy of Position Description ..........................................................................................................................................................13942. Claims for Back Pay, Promotion ..............................................................................................................................................................13953. Determination of Applicable Pay Rates ..............................................................................................................................................13974. Constructive Demotions ..........................................................................................................................................................................13985. Environmental Diff erential Pay ..............................................................................................................................................................1398

C. PRECLUSION OF GRIEVANCES BY PARTICULAR EMPLOYEES ..............................................................................................................13981. Adverse Action Appeals by Probationers or Individuals Who Do Not Meet the Statutory Defi nition

of an “Employee” ..........................................................................................................................................................................................13982. Department of Veterans Aff airs Medical Professionals; Hybrid Employees ...........................................................................1399

III. STATUTORY ELECTIONS OF REMEDIES THAT PRECLUDE GRIEVANCE ARBITRATION .........................................................................1408A. GRIEVANCE/ULP FILINGS; 5 USC 7116(D) ...................................................................................................................................................1409

1. Eff ect of Grievance Procedure on Ability to Assert Statutory Violation in ULP Charge .....................................................14122. Identity of Parties ........................................................................................................................................................................................14123. Identity of Issues..........................................................................................................................................................................................1413

a. Contract Violation; Repudiation of Contract ..........................................................................................................................14234. Statutory Violation ......................................................................................................................................................................................14245. Timing of Filing ............................................................................................................................................................................................1426

B. ADVERSE ACTIONS; PERFORMANCE ACTIONS; 5 USC 7121(E) ..........................................................................................................1426C. EEO CLAIMS; 5 USC 7121(D) .............................................................................................................................................................................1428D. OTHER PROHIBITED PERSONNEL PRACTICES; 5 USC 7121(G) ..........................................................................................................1432E. RIF; SALARY STEP INCREASE APPEALS ........................................................................................................................................................1432

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1. MSPB Review on EEO Grounds...............................................................................................................................................................1433IV. PARTICULAR MATTERS EXCLUDED OR ENCOMPASSED BY CONTRACT ...................................................................................................1433

A. PERMISSIVE SUBJECTS OF BARGAINING ....................................................................................................................................................1434V. AWARDS INVOLVING ADVERSE ACTIONS AND PERFORMANCE ACTIONS UNREVIEWABLE BY FLRA ..........................................1435

A. ADVERSE ACTION, PERFORMANCE CASES ................................................................................................................................................14371. Constructive Adverse Actions ................................................................................................................................................................14392. Determinations of Probationary Status ..............................................................................................................................................14393. Pay, Grade Retention .................................................................................................................................................................................1440

B. MATTERS RELATED TO STATUTORY APPEALS ...........................................................................................................................................1440C. STATUTORY APPEAL NOT AVAILABLE...........................................................................................................................................................1446D. PRE-DECISIONAL ADVISORY ARBITRATIONS ............................................................................................................................................1447E. CASES UNDER OTHER PERSONNEL SYSTEMS ...........................................................................................................................................1447

VI. RECURRENT JURISDICTIONAL ISSUES ....................................................................................................................................................................1449A. ARBITRABILITY, NEGOTIABILITY DISPUTES ................................................................................................................................................1449B. CREATION AND EXISTENCE OF COLLECTIVE BARGAINING AGREEMENTS ...................................................................................1451

1. Midterm Bargaining Requirements ......................................................................................................................................................14512. Negotiability of Local Agreements .......................................................................................................................................................14513. Conduct of Interest Arbitration; Ground Rules ................................................................................................................................1451

C. PROCEDURAL ISSUES .........................................................................................................................................................................................1452D. MANAGEMENT RIGHTS ......................................................................................................................................................................................1454E. ULP ISSUES ..............................................................................................................................................................................................................1455

1. Eff ect of Prior, Related ULP Rulings; Estoppel ...................................................................................................................................1456VII. PROCEDURES FOR REVIEW OF ARBITRATION AWARDS ..................................................................................................................................1456

A. FINALITY; INTERLOCUTORY APPEALS ..........................................................................................................................................................14561. General Rule ..................................................................................................................................................................................................1456

a. Interim Awards ..................................................................................................................................................................................1457b. Awards That Split Resolution of Issues......................................................................................................................................1457c. Remedy Reserved .............................................................................................................................................................................1458d. Procedural Issues and Rulings ......................................................................................................................................................1459e. Bifurcated Cases; Issues of Jurisdiction or Arbitrability; Plausible Jurisdictional Defect; Unit Issues .................1460f. Other Exceptions to Preclusion of Interlocutory Review ...................................................................................................1464g. Exceptions Requiring Prohibited FLRA Advisory Opinions ...............................................................................................1464

2. Deferral or Remand by Arbitrator .........................................................................................................................................................14653. Doctrine of Functus Offi cio .......................................................................................................................................................................14654. Clarifi cation, Correction of Awards .......................................................................................................................................................1467

a. Eff ect of FLRA Decision Setting Award Aside on Ability of Arbitrator to Clarify Award ..........................................14705. Retained Jurisdiction to Implement Remedy ...................................................................................................................................14706. Counsel Fees .................................................................................................................................................................................................1472

B. REQUIREMENTS OF EXCEPTIONS ...................................................................................................................................................................14731. Proper Party ..................................................................................................................................................................................................14752. Timely Filing ..................................................................................................................................................................................................1476

a. Waiver or Forgiveness of Delayed Exceptions ........................................................................................................................1477b. Overseas Cases ..................................................................................................................................................................................1477c. Place of Filing .....................................................................................................................................................................................1477d. Method of Filing; Service ...............................................................................................................................................................1478e. 30–Day Period for Exceptions ......................................................................................................................................................1478f. Bench Awards ....................................................................................................................................................................................1479g. Supplemental Awards .....................................................................................................................................................................1480h. Awards Served by E-Mail................................................................................................................................................................1480i. Cross-Exceptions Not Allowed .....................................................................................................................................................1482j. Opposition; Reply .............................................................................................................................................................................1482k. Supplemental Exceptions; Supplemental Submissions .....................................................................................................1483

3. Materials Accompanying Exceptions; New Evidence ....................................................................................................................1483a. Hearing Transcript and Other Documents; Unoffi cial Hearing Record .........................................................................1485

4. Offi cial Notice ...............................................................................................................................................................................................14855. Issues to Be First Raised With the Arbitrator; New Issues Raised in Exceptions; Issues Raised

by FLRA Sua Sponte; Jurisdictional or Constitutional Issues ........................................................................................................14866. Eff ect of Failure to File Exceptions ........................................................................................................................................................1489

a. Awards Under Auspices of FSIP ...................................................................................................................................................14907. Dicta .................................................................................................................................................................................................................1490

a. Advisory Opinions ............................................................................................................................................................................1490

xxxiv GUIDE TO FLRA LAW AND PRACTICE

8. Award Based on Separate and Independent Grounds ..................................................................................................................14909. Mootness .......................................................................................................................................................................................................149010. Waiver of Exceptions .................................................................................................................................................................................149211. Counsel Fees .................................................................................................................................................................................................1492

C. STAYS .........................................................................................................................................................................................................................14931. Eff ect of Judicial Proceedings .................................................................................................................................................................1493

D. PROCEDURE AFTER REVIEW .............................................................................................................................................................................14931. Modifi cation of Award ...............................................................................................................................................................................14932. Entry of Remedy by the Authority ........................................................................................................................................................14933. Ability to Resubmit or Negotiate; Ambiguous or Unclear Awards; Remands .......................................................................14934. Need for FLRA Clarifi cation ......................................................................................................................................................................1496

VIII. GROUNDS FOR REVIEW ................................................................................................................................................................................................1496A. AWARD FAILS TO DRAW ITS ESSENCE FROM THE AGREEMENT.........................................................................................................1497

1. Nature of the Exception ............................................................................................................................................................................14982. Award Exceeds Authority of Arbitrator ...............................................................................................................................................1501

a. Defi ning the Issue .............................................................................................................................................................................1504b. Remedy Exceeds Claimed Violation; Award Extending to Employees Other Than Grievants ..............................1507c. Eff ect on Nonunit, Former Unit Employees; Inclusion of Actions Occurring Prior to Unit Membership ..........1510

3. Remedial Latitude and Limits .................................................................................................................................................................1511a. Reconstruction of Personnel Action ..........................................................................................................................................1513b. Eff ect on Third Parties: EEO Adjustments.................................................................................................................................1514

4. Stays in Aid of Arbitration ........................................................................................................................................................................1515B. AWARD IS BASED ON “NONFACT” ..................................................................................................................................................................1515

1. Examples of Awards Set Aside Based on Nonfact ...........................................................................................................................1518a. Remand for Clarifi cation Required .............................................................................................................................................1518

C. REQUIREMENT OF FAIR HEARING ..................................................................................................................................................................15181. Conduct of the Hearing ............................................................................................................................................................................1520

a. Document Production, Discovery ..............................................................................................................................................1521b. Transcripts ...........................................................................................................................................................................................1522c. Timing of Award ................................................................................................................................................................................1522

2. Challenges to Admission of Evidence, Briefs ....................................................................................................................................15223. Ex Parte Arbitration .....................................................................................................................................................................................15244. Allegations of Bias.......................................................................................................................................................................................1525

a. Self–Interest in Arbitrator Selection Disputes ........................................................................................................................1527b. Preclusion of Other Arbitrations; Extent of Arbitrator’s Appointment ..........................................................................1529

5. Award Obtained by Fraud ........................................................................................................................................................................1530a. Breach of the Duty of Fair Representation ..............................................................................................................................1530

D. VIOLATION OF PUBLIC POLICY .......................................................................................................................................................................1530E. FAILURE TO CONFORM TO LAW, RULE, AND REGULATION ..................................................................................................................1531

1. Arbitrator’s Ability to Enforce Laws, Regulations .............................................................................................................................15322. Nature of the Exception ............................................................................................................................................................................1534

a. Government–Wide Regulations ..................................................................................................................................................1538b. Statutes Specifi c to the Agency ...................................................................................................................................................1539c. Agency Regulations .........................................................................................................................................................................1539d. Antidefi ciency Act ............................................................................................................................................................................1542e. Sovereign Immunity ........................................................................................................................................................................1543f. Comptroller General Decisions ....................................................................................................................................................1544g. Constitutional Law ...........................................................................................................................................................................1544h. Controlling FLRA Law; Court Decisions ....................................................................................................................................1547i. Back Pay Act ........................................................................................................................................................................................1547

3. Authority of the Arbitrator to Enforce Provisions of Remedial Statutes; Civil Rights Acts ...............................................15514. Management Rights; Appropriate Arrangements; BEP .................................................................................................................1552

a. Right of Agency to Determine Its Budget ...............................................................................................................................1559b. Right of Agency to Determine Its Organization ....................................................................................................................1560c. Right of Agency to Operate During an Emergency .............................................................................................................1561

5. Promotions ....................................................................................................................................................................................................1562a. Merit Promotion ................................................................................................................................................................................1563b. Career Ladder Promotions ............................................................................................................................................................1571c. Procedural Violations and Remedy ............................................................................................................................................1576d. Basic and Relative Qualifi cations ................................................................................................................................................1578e. Seniority ...............................................................................................................................................................................................1578

TABLE OF CONTENTS xxxv

f. Classifi cation; Accretion of Duties ..............................................................................................................................................1578g. Time-in-Grade Restrictions ...........................................................................................................................................................1581h. Area of Consideration .....................................................................................................................................................................1581i. Reruns ...................................................................................................................................................................................................1582j. Removal of Incumbent From Position ......................................................................................................................................1583k. Disqualifi cation of Selectee From Further Consideration; Limitations on Selecting Offi cial, Panel ...................1584l. Priority Consideration .....................................................................................................................................................................1586m. Prospective Promotion ...................................................................................................................................................................1592n. Application of Crediting Plans .....................................................................................................................................................1593o. Discrimination ...................................................................................................................................................................................1593p. Disability Discrimination; Accommodation ............................................................................................................................1598q. Union Animus ....................................................................................................................................................................................1598

6. Temporary Promotions .............................................................................................................................................................................1602a. Authority to Direct Promotion and Award Back Pay ............................................................................................................1602b. Assessment of Qualifi cations; OPM Qualifi cation Requirements ....................................................................................1605c. Performance of Higher–Graded Duties ....................................................................................................................................1606d. Necessity for Classifi ed Position at the Higher Level ...........................................................................................................1607e. Classifi cation Issues..........................................................................................................................................................................1608f. Accretion of Duties Claims ............................................................................................................................................................1611g. Temporary Supervisory Positions ...............................................................................................................................................1613h. Limitation Upon Duration of Back Pay ......................................................................................................................................1614i. Linkage Required Between Violation of Contract, Regulation, or Past Practice and Entitlement

to Temporary Promotion................................................................................................................................................................1615j. Necessity for Articulated Award ..................................................................................................................................................1616k. Supervisory Vacancies ....................................................................................................................................................................1616

7. Other Aspects of Employment, Job Retention .................................................................................................................................1618a. Details; Reassignments ...................................................................................................................................................................1618b. Recall of Seasonal and Temporary or Intermittent Employees ........................................................................................1619c. Conversion of Appointments .......................................................................................................................................................1619d. Temporary Appointments of Disabled Employees ..............................................................................................................1621e. Initial Appointments; Extensions of Appointments .............................................................................................................1621

8. Overtime Compensation ..........................................................................................................................................................................1622a. FLSA Exemption Status...................................................................................................................................................................1629b. FLSA Class or Group Grievances ..................................................................................................................................................1631c. Causation .............................................................................................................................................................................................1632d. Distribution and Qualifi cations ...................................................................................................................................................1636e. Standby Pay ........................................................................................................................................................................................1641f. Call Back Time ....................................................................................................................................................................................1644g. Administratively Uncontrollable Overtime .............................................................................................................................1645h. Travel Time ..........................................................................................................................................................................................1645i. Labor Relations Activities ..............................................................................................................................................................1648j. Preparatory Time; Changing Clothing; Preliminary and Postliminary Activities .......................................................1649k. Lunch Periods ....................................................................................................................................................................................1657l. Calculation ..........................................................................................................................................................................................1657m. Recovery Period ................................................................................................................................................................................1658n. FLSA Liquidated Damages; Interest ...........................................................................................................................................1663o. Compensatory Time ........................................................................................................................................................................1667p. Law Enforcement Availability Pay Act of 1994 .......................................................................................................................1669

9. Travel, Commuting Expenses, Parking Fees, and Per Diem .........................................................................................................1669a. Transit Subsidies ...............................................................................................................................................................................1670

10. Other Compensation and Leave Cases ...............................................................................................................................................1672a. Damages, Penalties, Interest.........................................................................................................................................................1673b. Compensatory Damages under the Civil Rights Acts .........................................................................................................1674c. Damages for Violations of the Privacy Act ...............................................................................................................................1675d. Work Rotation Agreements...........................................................................................................................................................1678e. Teachers; Work Outside Regular Workday ...............................................................................................................................1678f. Reinstatement Remedies; Off sets From Earnings .................................................................................................................1679g. Leave Disputes; Military Leave; USERRA ...................................................................................................................................1679h. Family Medical Leave Act; Federal Employees Family Friendly Leave Act ...................................................................1682i. Leave Banks ........................................................................................................................................................................................1684j. Statutory Pay Systems; Statutory Pay Premiums; Bonuses ................................................................................................1685

xxxvi GUIDE TO FLRA LAW AND PRACTICE

k. Grade and Pay Retention ...............................................................................................................................................................1687l. Offi cial Time ........................................................................................................................................................................................1687m. Step Increases ....................................................................................................................................................................................1696n. Environmental Diff erential Pay; Danger Pay ...........................................................................................................................1696o. Hazard Pay ...........................................................................................................................................................................................1704p. Night Diff erential ..............................................................................................................................................................................1706q. Enforced and Administrative Leave; Facility Shutdowns ...................................................................................................1706r. Furloughs .............................................................................................................................................................................................1707s. Relocation Expenses; LQA and Post Diff erentials; Transportation Agreements; Severance Pay ..........................1707t. Awards ..................................................................................................................................................................................................1709u. Continuation of Pay .........................................................................................................................................................................1713

11. Miscellaneous Benefi ts..............................................................................................................................................................................171312. Work Assignments ......................................................................................................................................................................................1713

a. Job Qualifi cations; Certifi cation ..................................................................................................................................................1713b. Seniority ...............................................................................................................................................................................................1713c. Work Preservation ............................................................................................................................................................................1714d. Hours, Days of Duty; Schedule Adjustments; Flexible Schedules; AWS; Credit Hours ............................................1716e. LWOP .....................................................................................................................................................................................................1719f. Job Rotation .......................................................................................................................................................................................1719g. Flexiplace .............................................................................................................................................................................................1720h. Reassignments; Shift Changes; Assignment to New Supervisor .....................................................................................1722i. Training ................................................................................................................................................................................................1727j. Restructuring of Jobs ......................................................................................................................................................................1728k. Restoration to Job Following Recovery From Compensable Injury ...............................................................................1728l. Temporary Assignments ................................................................................................................................................................1729m. Filling of Vacancies ...........................................................................................................................................................................1729

13. Safety and Health ........................................................................................................................................................................................1729a. Safety Equipment .............................................................................................................................................................................1729b. Safety or Health Records ................................................................................................................................................................1729c. Unsafe Working Conditions ..........................................................................................................................................................1729d. Medical Examinations .....................................................................................................................................................................1730e. Employment of Personnel Presenting Safety Risk ................................................................................................................1731

14. Management Right to Discipline ..........................................................................................................................................................1731a. General Restrictions .........................................................................................................................................................................1733b. Mitigation Analysis; Progressive Discipline .............................................................................................................................1735c. Due Process; Notice of Charges ...................................................................................................................................................1737d. Timing of Discipline .........................................................................................................................................................................1738e. Insubordination Charges ...............................................................................................................................................................1738f. Drug and Alcohol Testing Problems ..........................................................................................................................................1739g. Proof of AWOL; Justifi cation for Leave ......................................................................................................................................1739h. Union Animus; Prohibited Personnel Practices; Discrimination and Reprisal ............................................................1740i. Suspensions ........................................................................................................................................................................................1745j. Technicians Act Cases .....................................................................................................................................................................1748k. Remedial Discipline of Supervisors; Apologies .....................................................................................................................1749l. Dismissals of Probationers, Term Employees ..........................................................................................................................1751m. Veterans Readjustment Act Appointees ..................................................................................................................................1753

15. Performance-Related Issues ....................................................................................................................................................................1753a. Critical Elements, Performance Standards ..............................................................................................................................1753b. Performance Appraisal—1988 and Beyond ...........................................................................................................................1758c. Objectivity of Performance Standards ......................................................................................................................................1767d. Performance Appraisal—Through 1987 ..................................................................................................................................1769e. Means to Improve Performance ..................................................................................................................................................1769f. Performance Actions .......................................................................................................................................................................1770g. Requests for Information ...............................................................................................................................................................1770

16. Reductions in Force ....................................................................................................................................................................................1770a. Competitive Area ..............................................................................................................................................................................1771b. Competitive Level; Duties of Union Offi cials ..........................................................................................................................1772c. Assignment Rights ...........................................................................................................................................................................1774d. Appraisals ............................................................................................................................................................................................1776e. Agency Organization ......................................................................................................................................................................1776f. Seasonal Employees ........................................................................................................................................................................1776

TABLE OF CONTENTS xxxvii

17. Contracting Out ...........................................................................................................................................................................................177718. Retirement .....................................................................................................................................................................................................177919. Coerced Resignations ................................................................................................................................................................................178020. Issues Pertaining to Unit Status .............................................................................................................................................................1780

a. Agreement Coverage Distinguished From Unit Status .......................................................................................................178221. Fiduciary Responsibility; Employee Debt ...........................................................................................................................................1783

a. Financial Reporting Requirements .............................................................................................................................................178422. Security Clearances ....................................................................................................................................................................................178523. Unfair Labor Practices; Refusal or Failure to Bargain ......................................................................................................................1785

a. Application of the “Covered by Doctrine” ...............................................................................................................................1789b. Agreements Concerning Case Processing ...............................................................................................................................1792c. Implementation of FSIP Decisions .............................................................................................................................................1792d. Mootness .............................................................................................................................................................................................1793

24. Union Rights and Obligations ................................................................................................................................................................1793a. Agency Facilities ...............................................................................................................................................................................1793b. Information Requests ......................................................................................................................................................................1794c. Protection of Union Offi cials’ Conduct ......................................................................................................................................1796d. Remedies Against Unions ..............................................................................................................................................................1797e. Enforcement of Arbitration Award .............................................................................................................................................1799

25. Grievance Settlements ..............................................................................................................................................................................179926. Existence of Contract .................................................................................................................................................................................180127. Violations of Specifi c Statutes ................................................................................................................................................................180228. Prohibited Personnel Practices; Merit Systems Principles ............................................................................................................1802

a. Whistleblower Reprisal ...................................................................................................................................................................1803b. Other Prohibited Personnel Practices .......................................................................................................................................1804

29. Civil Rights Laws ..........................................................................................................................................................................................1806a. EEO Analysis; Burdens of Proof ....................................................................................................................................................1806b. Statistical Evidence ..........................................................................................................................................................................1806c. Age Discrimination ..........................................................................................................................................................................1807d. Sexual Harassment; Hostile Environment ................................................................................................................................1807e. Disability Discrimination; Reasonable Accommodation; Treatment of Medical Records ......................................1809f. Reprisal .................................................................................................................................................................................................1818g. EEO Settlements ...............................................................................................................................................................................1819

F. ATTACKS ON REASONING OF AWARD ..........................................................................................................................................................18191. General Policy ...............................................................................................................................................................................................18192. Signifi cance of Past Practice ....................................................................................................................................................................18193. Uncertain or Contradictory Award; Involvement of Third Parties .............................................................................................18214. Failure to Discuss All Charges, Evidence, Issues ...............................................................................................................................18225. Right Result, Wrong Reason ....................................................................................................................................................................1824

a. Issue Not Raised in Grievance ......................................................................................................................................................1825b. Estoppel ...............................................................................................................................................................................................1825

6. Adherence to Precedent; Res Judicata; Collateral Estoppel .........................................................................................................1825G. CHALLENGES TO PROOF....................................................................................................................................................................................1827

1. Order of Proof ...............................................................................................................................................................................................18272. Burden of Proof ............................................................................................................................................................................................18273. Quantity and Sources of Evidence ........................................................................................................................................................18284. New Evidence ...............................................................................................................................................................................................18295. Credibility Issues ..........................................................................................................................................................................................18296. Past Practice ..................................................................................................................................................................................................18297. Harmful Error Rule ......................................................................................................................................................................................1829

H. CHALLENGES BASED ON PROCEDURAL REQUIREMENTS OF AGREEMENT .................................................................................18301. Timeliness Objections ...............................................................................................................................................................................18302. Allocation of Arbitration Costs ...............................................................................................................................................................18313. Dispute Concerning Arbitrator’s Fee ....................................................................................................................................................1832

a. Recovery by Arbitrator of Fees.....................................................................................................................................................1832IX. COUNSEL FEE AWARDS ................................................................................................................................................................................................1833

A. REQUIRED FINDINGS AND ANALYSIS ...........................................................................................................................................................18331. Back Pay Act ..................................................................................................................................................................................................1835

a. Necessity of Unjustifi ed or Unwarranted Personnel Action and Award of Back Pay ...............................................18352. Reasoned Award .........................................................................................................................................................................................1838

a. Remands–Current Law ...................................................................................................................................................................1840

xxxviii GUIDE TO FLRA LAW AND PRACTICE

b. Remands–Prior Law .........................................................................................................................................................................18413. Prevailing Party ............................................................................................................................................................................................1843

a. Partial Success; Mitigation of Discipline ...................................................................................................................................18464. Interest of Justice ........................................................................................................................................................................................1847

a. Substantial Innocence ....................................................................................................................................................................1852b. Knew or Should Have Known .......................................................................................................................................................1853c. Service to Federal Workforce ........................................................................................................................................................1856d. Civil Rights Cases; Title VII ..............................................................................................................................................................1857

5. Reasonable Rates; Time Reasonably Invested; Location of Counsel; Travel Time and Expenses ...................................1858a. Contingency Arrangements .........................................................................................................................................................1860b. Rates for Counsel Employed by Unions ....................................................................................................................................1860c. Laff ey Matrix .......................................................................................................................................................................................1862

6. Reasonable Amounts.................................................................................................................................................................................18627. Compensable Services ..............................................................................................................................................................................1865

a. Support Personnel; Attorney–Client Relationship ...............................................................................................................18668. Equal Access to Justice Act ......................................................................................................................................................................18689. Fair Labor Standards Act ..........................................................................................................................................................................186810. Costs ................................................................................................................................................................................................................1868

B. PROCEDURES ........................................................................................................................................................................................................18681. When Application May Be Made ...........................................................................................................................................................1869

X. IMPLEMENTATION OF ARBITRATION AWARDS ...................................................................................................................................................1871A. ENFORCEMENT ......................................................................................................................................................................................................1871

1. Section 7121(f ) Awards .............................................................................................................................................................................1871B. CLARIFICATION ......................................................................................................................................................................................................1874C. BACK PAY CALCULATIONS, ENTITLEMENT .................................................................................................................................................1874

CHAPTER 10: ADMINISTRATIVE RECONSIDERATION AND JUDICIAL REVIEW ....................1875

I. ADMINISTRATIVE RECONSIDERATION ....................................................................................................................................................................1875A. TIME LIMIT FOR RECONSIDERATION REQUEST ........................................................................................................................................1876B. SUBSTANTIVE BASES FOR RECONSIDERATION ........................................................................................................................................1878

II. ACTIONS SUBJECT TO JUDICIAL REVIEW ..............................................................................................................................................................1879A. STANDARDS FOR JUDICIAL REVIEW .............................................................................................................................................................1880B. ADEQUACY OF FLRA DECISION ......................................................................................................................................................................1880C. FSIP DECISIONS .....................................................................................................................................................................................................1880D. ARBITRATION AWARDS ......................................................................................................................................................................................1883

1. ULP Issues ......................................................................................................................................................................................................1885a. Direct Review .....................................................................................................................................................................................1885b. Indirect Review Through Enforcement .....................................................................................................................................1889

2. Adverse Actions ...........................................................................................................................................................................................18933. Reduction in Force ......................................................................................................................................................................................1893

E. NEGOTIABILITY DECISIONS ..............................................................................................................................................................................18931. Doctrine of Deference ...............................................................................................................................................................................18932. Remands.........................................................................................................................................................................................................18953. Departure From Precedent ......................................................................................................................................................................1896

a. Eff ect of Executive Order 11491 Decisions ..............................................................................................................................1896b. Eff ect of Private Sector Precedent ..............................................................................................................................................1896

4. Stays .................................................................................................................................................................................................................18965. Delays ..............................................................................................................................................................................................................1896

F. UNFAIR LABOR PRACTICE CASES ...................................................................................................................................................................18971. Decision Not to Issue ULP Complaint ..................................................................................................................................................18982. Construction of Complaint ......................................................................................................................................................................19003. Departure From Precedent ......................................................................................................................................................................19004. Counsel Fees .................................................................................................................................................................................................1900

G. REPRESENTATION AND UNIT DETERMINATIONS .....................................................................................................................................1900H. INTERPRETATION AND GUIDANCE ................................................................................................................................................................1905

III. INJUNCTIONS ...................................................................................................................................................................................................................1905IV. OTHER ASPECTS OF JUDICIAL REVIEW ..................................................................................................................................................................1905

A. MOOTNESS ..............................................................................................................................................................................................................1905B. PRECLUSION ...........................................................................................................................................................................................................1906C. EXHAUSTION OF REMEDIES .............................................................................................................................................................................1907

1. Futility .............................................................................................................................................................................................................1908

TABLE OF CONTENTS xxxix

2. Issues Raised Initially in FLRA Decision ...............................................................................................................................................19103. Issues Raised in Enforcement Proceedings........................................................................................................................................1911

D. STARE DECISIS; COLLATERAL ESTOPPEL .....................................................................................................................................................1911E. VENUE .......................................................................................................................................................................................................................1911F. PROPER PARTIES ...................................................................................................................................................................................................1911

V. FAIR REPRESENTATION SUITS .....................................................................................................................................................................................1912

BIBLIOGRAPHY ...........................................................................................................................1915

TABLE OF CASES..........................................................................................................................1921

INDEX ...........................................................................................................................................1995