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The web site itself may have changed. You can check the current page or check for previous versions at the Internet Archive. Yahoo! is not affiliated with the authors of this page or responsible for its content. SBA SOP37 11 5a - Labor Relations Program SBA SOP 37 11 5
__________________ Labor Relations Program
Office of Human Resources
U.S. Small Business Administration SMALL BUSINESS ADMINISTRATION
STANDARD OPERATING PROCEDURE National SUBJECT: S.O.P. REV Labor Relations Program SECTION 37 NO. 11 5A INTRODUCTION 1. Purpose. To amend the guidelines and procedures for the management and implementation of SBAs Labor Program as required by Executive Order 13203.
2. Personnel Concerned. All SBA employees.
3. Page Changes.
Remove Insert Remove Insert
Pages 7 & 8 7 & 8 Pages 9 & 10 9 & 10
Pages 13 & 14 13 &14 Pages 31 & 32 31 & 32 Pages 39 & 40 39 & 40 Pages 51 64 51 60
4. Originator. Office of Human Resources, Guidance, Innovation, and Review Division AUTHORIZED BY:
EFFECTIVE DATE August 10, 2001 Hector V. Barreto
Administrator
PAGE 1 SBA Form 989 (5-90) Ref: SOP 00 23 Federal Recycling Program Printed on Recycled Paper This form was electronically produced by Elite Federal Forms, Inc. 37 11 5A
SBA LABOR RELATIONS PROGRAM Table of Contents
Paragraph Page Chapter 1..........................................................................................................................................8 General Information..................................................................................................................8 1. What Is the Purpose of this Standard Operating Procedure (SOP)? ..........................8
2. What Is the Source of Authority for SBA's Labor Relations Program?.....................8
3. What Are the Basic Elements of SBA's Labor Relations Program? ..........................8
4. Does SBA's Labor Relations Program Cover All Employees?..................................9
5. What Rights Do Employees Have Under This Program? ..........................................9
6. What Rights Do Labor Organizations Have?...........................................................10
7. What Makes a Meeting "Formal?"...........................................................................10
8. What Rights Does Management Have? ...................................................................11
9. What Is a Bargaining Unit?......................................................................................11
10. Will the Union Represent Me? .................................................................................12
11. Do I Have a Choice of Belonging to a Previously Certified Bargaining Unit? .......12
12. What Bargaining Units Does SBA Currently Recognize? .......................................12
13. What Is an Interagency Local? .................................................................................12
14. Are Any SBA Offices Not in a Recognized Bargaining Unit? ................................12
15. What SBA Offices Are Certified for Dues Allotment?............................................13
16. What Is a Dues Allotment?.......................................................................................13
17. What Conditions Must a Labor Organization Meet to Collect Dues Through Payroll Allotments?..................................................................................................14 18. What Is the Difference Between Exclusive Recognition and Certification for Dues Allotment?.......................................................................................................14 19. May I Have Union Dues Withheld from My Pay and How Do I Qualify?..............14
20. What Is the Procedure for Dues Withholding?.........................................................15
21. How Often and When Can A Union Change Its Dues Structure?............................16
22. When and How Can I Cancel My Dues Allotment? ................................................16
23. Can My Dues Allotment Automatically Terminate?................................................16 Chapter 2........................................................................................................................................18 Day-to-Day Labor Relations ..................................................................................................18 1. Who Is Responsible for Administering a Labor Agreement? ..................................18
2. What Should I Do When a Labor Organization Initiates an Organizing Drive? .....18 Effective Date: August 10, 2001 Page 2 37 11 5A 3. What SBA Services and Facilities May a Labor Organization Use?.......................20
4. What Is Negotiable? .................................................................................................20
5. What is the Purpose of the Negotiated Grievance Procedure (NGP)?.....................21
6. What Is Grievable Under an NGP? ..........................................................................21
7. Can I File a Grievance and an Appeal Simultaneously?..........................................21
8. Who May File a Grievance Under the Negotiated Agreement? ..............................22
9. May an Employee File a Grievance Without Union Assistance? ............................22
10. What Is the Source of Authority for Official Time? ................................................22
11. What Is the Purpose of "Official Time?"..................................................................22
12. Who May Request Official Time to File a Grievance?............................................23
13. What Does "Reasonable and Necessary" Mean? .....................................................23
14. How Is Official Time Documented? ........................................................................23
15. As the Approving Official, Do I Have Any Latitude in Granting Official Time? ...23
16. Is It Appropriate to Record the Official Time as Administrative Leave on the Time and Attendance Record? .................................................................................24 17. Do Union Officials and Bargaining Unit Members Have to Document Discussions or Meetings of Less Than 15 Minutes?................................................25 18. If SBA Form 1448, Representation Time, Is Not Complete or All Items (1-6) Are Checked Without Explaining Why, Should I Withhold My Approval Until
I Receive an Explanation?........................................................................................25 19. If an Employee Prepares a Grievance Response After Work Hours, Is It Appropriate to Authorize Compensatory Time?......................................................25 20. Is a Union Official Entitled to Earn Compensatory Time for Representational Work? ........................................................................................................25 21. When Union Officials Travel, Who Signs the Travel Authorization and Travel Voucher? ........................................................................................................26 22 Who Has the Authority to Sign a Negotiated Settlement Agreement? ....................26
23. What Is Mediation? ..................................................................................................26
24. How Does Mediation Work?....................................................................................26
25. Who Can Request Mediation?..................................................................................27
26. Why Mediate a Grievance? ......................................................................................27
27. What Is the Difference Between Mediation and Arbitration?..................................27
28. Is Mediation a Required Step in the Grievance Procedure?.....................................27
29. Who Can Invoke Arbitration? ..................................................................................28
30. What Is an Unfair Labor Practice (ULP) Charge? ...................................................28
31. Who May File a ULP?..............................................................................................28
32. What Should I Do If a ULP Charge Is Filed Against Me?.......................................28
33. Where Do I Get Labor Relations Advice? ...............................................................28 Chapter 3........................................................................................................................................30 Labor Negotiations .................................................................................................................30 1. How Do You Define Labor Negotiation? ................................................................30
2. What Is "Impact and Implementation" (I&I) Bargaining?.......................................30 Effective Date: August 10, 2001 Page 3 37 11 5A 3. What Is the Scope of Bargaining in the Federal Service?........................................30
4. What Matters Are Nonnegotiable?...........................................................................31
5. What Is Interest Based Bargaining (I-BB)? .............................................................31
6. Are There Procedures to Resolve Negotiation Disputes and Impasse? ...................31
7. How Does a Labor Organization Challenge SBA Policy?.......................................32
8. What Is the Compelling Need Procedure? ...............................................................32
9. What Is the Criteria for a Compelling Need Test? ...............................................32
10. How Do I Handle Negotiability Questions?.............................................................33
11. What Procedure Do I Follow to Declare a Proposal Nonnegotiable?......................33
12. Is Official Time, Travel, and Per Diem for Labor Organization Representatives Negotiable? 33 Chapter 4........................................................................................................................................34 Third Party Authorities...........................................................................................................34 1. What Is a Third Party? .............................................................................................34
2. What Is the Function of the Federal Labor Relations Authority (FLRA)? ..............34
3. What Is the Function of the Federal Mediation and Conciliation Service (FMCS)?...................................................................................................................34 4. What Is the Role of the Federal Service Impasse Panel (FSIP)? .............................35 Chapter 5........................................................................................................................................36 Delegated Authority and Program Responsibilities ...............................................................36 1. Who Has Program Responsibility? ..........................................................................36
2. What Is the ADA/M&A's Role?...............................................................................36
3. What Is the Assistant Administrator for Human Resources' Role? .........................36
4. What Is the Role of a Regional Administrator? .......................................................37
5. What Is the General Counsel's Role? .......................................................................38
6. What Is the Role of a Field Office Head? ................................................................38
7. Who Should Receive Copies of Labor Relations Documents?................................39 Appendix 1.....................................................................................................................................42 Index to Forms and Reports....................................................................................................42 Appendix 2.....................................................................................................................................44 Definitions ..............................................................................................................................44 Appendix 3.....................................................................................................................................49 AFGE National Consolidated Bargaining Unit ......................................................................49 Effective Date: August 10, 2001 Page 4 Appendix 4.....................................................................................................................................51 37 11 5A Appendix 4.....................................................................................................................................53 APPENDIX C ................................................................................................................................53 REPRESENTATIONAL TIME .............................................................................................53 Effective Date: August 10, 2001 Page 5 37 11 5A Effective Date: August 10, 2001 Page 6 37 11 5A Purposely Left Blank Effective Date: August 10, 2001 Page 7 37 11 5A Chapter 1 General Information
1. What Is the Purpose of this Standard Operating Procedure (SOP)?
This SOP provides guidance to supervisors and managers in effecting their labor-
management relations responsibilities. It also advises employees of their rights
guaranteed by statute and how SBA's Labor Relations Program is administered.
2. What Is the Source of Authority for SBA's Labor Relations Program?
The Federal Service Labor-Management Relations Statute and Executive order place
certain responsibilities, restrictions, and rights on SBA management, employees, and
labor organizations.
a. Title 5 of the United States Code, Chapter 71, Labor-Management Relations, 5
U.S.C. 7101 et sec. (Act) governs all dealings with Federal employees and labor
organizations representing Federal employees.
b. Executive Order 12871, Labor Management Partnerships (E.O. 12871, see
appendix 4) directs the Administrator to form partnership councils or committees
(see appendix 5) that are not adversarial in nature. It also expands the scope of
bargaining by directing management to negotiate in areas that were formerly
permissive subjects of bargaining [5 U.S.C. Section 7106 (b)(2)].
3. What Are the Basic Elements of SBA's Labor Relations Program?
SBA's basic labor relations program consists of:
a. Exercising management's statutory rights to the extent necessary for providing
quality service to the small business community;
b. Negotiating in good faith with representatives of exclusive bargaining units, using
interest-based bargaining to reach agreements at the appropriate level of exclusive
recognition;
c. Ensuring employees and recognized unions full exercise of their rights under law,
Executive order, and, where applicable, negotiated agreement; Effective Date: August 10, 2001 Page 8
d. Remaining sensitive to employee needs and concerns, and taking appropriate 37 11 5A action to correct or improve situations that are within the discretion of
management authority; e. Using the negotiated grievance procedure and grievance mediation to resolve f. Emphasizing and giving full force and effect to the requirements of efficient . Does SBA's Labor Relations Program Cover All Employees? Yes. Your specific duties and responsibilities may limit your rights under this program r a. Excluded from belonging to a bargaining unit based on statutory exclusion or case b. Included in an exclusively recognized bargaining unit based on a unit c. Eligible to belong to a bargaining unit should a labor organization petition to . What Rights Do Employees Have Under This Program? Under 5 U.S.C. Section 7102, each employee has the right to form, join, or assist any lty a. Act for a labor organization as a representative and, as such, the right to present disputes at the level of authority nearest the origin of the dispute; and operation and high levels of productivity as elements of joint concern to
employees, unions, and management.
4
or place specific labor relations responsibilities upon you. Look at your position
description cover sheet to determine the bargaining unit status (BUS) code for you
position. As an SBA employee you are either: law decision (BUS Code 8888); determination by the Federal Labor Relations Authority (FLRA) or its
predecessor (BUS Codes of 0033, 0045, 0054, 0150, 0160 or 0170); or represent your office or organizational unit (BUS Code 7777).
5
labor organization, or to refrain from any such activity, freely and without fear of pena
or reprisal. Each employee shall be protected in the exercise of such rights, except as
otherwise provided by the Act. This includes the right to: the views of the labor organization to SBA officials and other officials of the
executive branch of the Government, the Congress, or other appropriate
authorities; Effective Date: August 10, 2001 Page 9 37 11 5A
b. Engage in collective bargaining about conditions of employment through
representatives chosen by employees; and
c. Have representation, upon request, by a representative of the employee's
bargaining unit at any examination by SBA management, if the employee
reasonably believes that the examination may result in disciplinary action against
the employee. See 5 U.S.C. Section 7114 (a)(2)(B)(i) and (ii). This right is
commonly referred to as your "Weingarten Rights," N.L.R.B. v. J. Weingarten,
Inc., 95 S. Ct. 959 (1975) 88 LRRM 2689.
6. What Rights Do Labor Organizations Have?
Under 5 U.S.C. Section 7111, SBA must grant exclusive recognition to a labor
organization when a majority of voting employees in an appropriate unit select that labor
organization in a secret ballot election. A labor organization accorded exclusive
recognition will be:
a. The exclusive representative of all employees in the unit without discrimination
and without regard to labor organization membership;
b. Entitled to negotiate binding agreements covering all employees in the unit; and
c. Given the opportunity to represent employees at any formal discussion between
one or more representatives of SBA and one or more employees in the unit or
their representatives concerning any grievance, any personnel policy or practice,
or other general condition of employment.
7. What Makes a Meeting "Formal?"
A "formal" meeting or discussion occurs as follows.
a. A supervisor schedules a meeting and requires the attendance of one or more
bargaining unit employees to discuss:
(1) A grievance;
(2) Changes in any personnel policy or practice; or
(3) General conditions of employment. (Examples of general conditions of
employment are: hours of work, leave, overtime, and such work
environment matters such as parking, access to food, heat, air Effective Date: August 10, 2001 Page 10 37 11 5A conditioning, and safety. )
b. Generally, routine discussions between a supervisor and a bargaining unit
employee over such work-related matters as assignment of work, performance
feedback, and work techniques do not meet the requirement of a formal
discussion. However, a staff meeting may accidentally turn into a "formal
discussion" when managers respond to a question (unrelated to the discussion)
that addresses a condition of employment, personal complaint, or grievance.
When this happens, the manager should acknowledge the employee's concern and
close the discussion of the issue because such matters require formal notice to the
Union.
8. What Rights Does Management Have?
Under 5 U.S.C. Section 7106(a), management retains the right to:
a. Determine SBA's mission, budget, organization, number of employees, and
internal security practices;
b. Hire, assign, direct, layoff, and retain SBA employees, or to suspend, remove,
reduce in grade or pay, or take other disciplinary action against employees;
c. Assign work, make determinations with respect to contracting out, and determine
the personnel by which SBA operates;
d. Make selections for appointments from among properly ranked and certified
candidates for promotion, or from any other appropriate recruitment source; and
e. Take whatever actions may be necessary to carry out the SBA's mission during
emergencies.
9. What Is a Bargaining Unit?
A bargaining unit is a group of employees certified by the Federal Labor Relations
Authority (FLRA) to deal with SBA management over matters of employment. An
appropriate bargaining unit occurs when the FLRA determines that a clear and
identifiable community of interest among the employees covered by a petition, and where
dealing with them collectively would promote efficient SBA operations. Effective Date: August 10, 2001 Page 11 37 11 5A 10. Will the Union Represent Me?
All members of the group certified by the FLRA are bargaining unit members, even if
they don't belong to the union or pay dues. A unit certified by the FLRA must represent
all members of the bargaining unit regardless of their union affiliation.
11. Do I Have a Choice of Belonging to a Previously Certified Bargaining Unit?
No, you do not. All members of the group found to be appropriate and certified by the
FLRA as bargaining unit members are members of the bargaining unit even if they do not
belong to the union and pay dues.
12. What Bargaining Units Does SBA Currently Recognize?
SBA recognizes the following exclusive bargaining units: AFGE Council 228, National
Consolidated Bargaining Unit (see appendix 3, AFGE Council 228 Unit Description);
NFFE Local 1851, Denver Office of Financial Operations and Denver District Office;
NFFE Local 2170, Casper District Office; and NFFE Local 1454, Houston District
Office.
13. What Is an Interagency Local?
An interagency local is a local union that represents more than one agency. These local
unions negotiate and administer the collective bargaining agreements for several
agencies. Pittsburgh, PA; Casper, WY; Corpus Christi, TX; and Madison and
Milwaukee, WI are SBA district offices where an interagency local represents and
administers one or more agency labor agreements.
14. Are Any SBA Offices Not in a Recognized Bargaining Unit?
Yes.
a. The Office of the Inspector General is a functionally distinct group of employees
who share a community of interest separate and distinct from the employees in
SBA's existing bargaining units.
b. The Office of Disaster Assistance and the four Disaster Area Offices are
functionally distinct groups of employees who share a community of interest
separate and different from the employees in SBA's existing bargaining units. Effective Date: August 10, 2001 Page 12 37 11 5A c. The following regional, district, and branch offices and service centers are not in
a bargaining unit: Agana, Guam; Honolulu, Hawaii; Anchorage and Fairbanks,
Alaska; Spokane, Washington; Portland, Oregon; Boise, Idaho; Sacramento,
California; Sioux Falls, South Dakota; Kansas City and St. Louis, Missouri; Des
Moines, Iowa; Omaha, Nebraska; San Antonio and El Paso, Texas; Detroit,
Michigan; Cincinnati, Ohio; Nashville, Tennessee; Birmingham, Alabama;
Jacksonville, Florida; Columbia, South Carolina; Baltimore, Maryland;
Wilmington, Delaware; and Harrisburg and Wilkes-Barre, Pennsylvania; Denver
Personnel Servicing Center; Denver Litigation Center; Litigation Center - (EAST)
Philadelphia, Pennsylvania; Hazard, Kentucky LowDoc Center; Sacramento
LowDoc Center; Birmingham, Alabama Disaster Home Loan Service Center; El
Paso, Texas Disaster Home Loan Service Center.
15. What SBA Offices Are Certified for Dues Allotment?
On May 23, 1995, the FLRA certified SOLIDARITY, U.S.A., an independent union, for
voluntary allotment of dues from:
All professional and nonprofessional employees employed by the Small
Business Administration at its: Baltimore, Maryland District Office;
Kansas City, Missouri Regional Office; Kansas City, Missouri District
Office; Springfield, Missouri Branch Office; St Louis, Missouri District
Office; Wichita, Kansas District Office; but excluding all management
officials, supervisors, and employees described in 5 U.S.C. Section
7112(b)(1), (2), (3), (6) and (7).
16. What Is a Dues Allotment?
A dues allotment is a voluntary automatic deduction from your salary check to cover
your union dues. Effective Date: August 10, 2001 Page 13 37 11 5A
17. What Conditions Must a Labor Organization Meet to Collect Dues Through Payroll
Allotments?
To be eligible to receive employee-authorized dues withholdings, a labor organization
must have either FLRA:
a. Certification as representing at least 10 percent of the employees in an appropriate
unit where no other labor organization has status as the exclusive representative;
or
b. Certification as the exclusive representative.
18. What Is the Difference Between Exclusive Recognition and Certification for Dues
Allotment?
The FLRA certifies both, but not for the same unit. FLRA certification provides for: EXCLUSIVE
RECOGNITION DUES
ALLOTMENT Collection of Dues Collection of Dues Negotiation of Agreements Representation at: Grievance Meetings
and
All Employee Meetings
19. May I Have Union Dues Withheld from My Pay and How Do I Qualify?
Yes. To be eligible to have dues withheld from your pay, you must:
a. Be in an appropriate unit of exclusive recognition or in an appropriate unit for the
purpose of dues allotment as determined by the FLRA;
b. Be a member in good standing of the recognized labor organization; and Effective Date: August 10, 2001 Page 14 c. Voluntarily request in writing that dues be withheld from your earnings by
executing Standard Form 1187, "Request for Payroll Deductions for Labor
Organization Dues." 37 11 5A
20. What Is the Procedure for Dues Withholding? a. Labor organizations desiring to arrange for dues withholding or change the (1) Meet the conditions in paragraph 1-15; (2) Provide the name of the labor organization official authorized to receive (3) Submit requests for a "Dues Allotment Agreement" or an "Increase in nce, (4) Submit the completed SF 1187 after the authorized labor organization b. An employee who wishes to make an allotment must obtain an SF 1187 from the c. The SBA cannot process an SF 1187 from an employee who is: (1) Ineligible for membership in a bargaining unit, i.e., supervisor, codes are (2) Not a member of a bargaining unit or an office certified for dues y dues d. The SBA will normally begin deductions for a dues allotment at the beginning of the e. The SBA will withhold dues from each biweekly salary, unless the employee's
amount of dues withheld, must do all of the following:
the remittances, along with the address to which all remittances are to be
mailed; Dues" in writing to SBA's Labor Relations Officer (LRO) in the Guida
Innovation, and Review Division of the Office of Human Resources; and official certifies the amount of the dues to the appropriate servicing
personnel office for processing. labor organization, complete the form in its entirety, and return it to the labor
organization.
management official, personnelist, etc. (employees whose BUS
8888 may not make an allotment for payroll deductions for labor
organization dues); or withholding (see paragraph 1-3) or an office certified for voluntar
allotments (see paragraph 1-15). the first complete pay period after the servicing personnel office receives a
properly signed and certified SF-1187 if it is received at least 5 days before
beginning of the pay period. Effective Date: August 10, 2001 Page 15 37 11 5A net salary after other legal and required deductions is not sufficient to cover the
amount of dues allotment.
21. How Often and When Can A Union Change Its Dues Structure?
a. A union can change it dues structure once every 12 months, unless otherwise
provided for in a appropriate collective bargaining agreement.
b. The amount of the dues shall remain unchanged until the appropriate official of
the labor organization provides written certification to SBA's Labor Relations
Officer, Office of Human Resources, of the new amount of the biweekly dues
deduction.
22. When and How Can I Cancel My Dues Allotment?
Your allotment must remain in effect for at least 1 year. If you wish to cancel your
allotment, you can do so within 15 days after the 1 year anniversary. You may submit an
SF 1188, "Cancellation of Payroll Deductions for Labor Organization Dues," or any other
written, signed, and dated cancellation to your servicing personnel office. You also must
send a copy of the revocation to your labor organization.
23. Can My Dues Allotment Automatically Terminate?
Yes, your dues will automatically terminate when:
a. Your labor organization loses its exclusive recognition or authorization for a dues
withholding agreement; or
b. You are no longer in the bargaining unit. Effective Date: August 10, 2001 Page 16 37 11 5A
Purposely Left Blank Effective Date: August 10, 2001 Page 17 37 11 5A Chapter 2 Day-to-Day Labor Relations
1. Who Is Responsible for Administering a Labor Agreement?
On a day-to-day basis you are, if you are either a Union officer, steward, or a member of
the management team (supervisor, office director, manager, or Management Board
member). The parties to the collective bargaining agreement must ensure that the
agreement's application is fair and consistent.
2. What Should I Do When a Labor Organization Initiates an Organizing Drive?
a. Managers and Supervisors of Non-represented Offices.
Managers and supervisors in non-represented offices must be familiar with
paragraph 1-4 and 1-5 of this SOP, which describe the statutory rights of
employees and labor organizations. When faced with an initial organizing
campaign, you should do the following.
(1) Contact your servicing personnel office for advice.
(2) Remain completely neutral.
(3) Prepare a general memo to your management team advising them that a
Union has a right to organize employees and that employees have the right
to assist, form, or join a Union or to refrain from engaging in those
activities. You should also make clear that you will not tolerate
discrimination or reprisal against an employee who engages in such
activities to form or join a Union. You may advise your supervisors that
they have a right to join a Union, however, their participation in activities
on behalf of the labor organization is limited. As a non-bargaining unit
member, supervisors cannot be represented by an SBA employee
representative of a labor organization and cannot have dues automatically
withheld from his or her salary.
(4) Respond to a Union representative's request to meet with employees. You
may negotiate use of facilities, space, and time for such a meeting.
Contact your servicing personnel office for advice before responding to
the union's request. Effective Date: August 10, 2001 Page 18 37 11 5A (5) Insist that any Union informational meetings be held outside of the work area, before or after work, or during lunch break.
(6) Request to be present at the general information meeting. You should
attend the meeting, and be seen but not heard.
(7) Advise employees that they may not distribute Union literature, or
organize during work hours or at employee work areas. Such activities
are permitted only during lunch breaks or before or after duty hours
outside of the work area. The one exception is if employees eat lunch at
their desks and no one else is around who is working. In such cases, the
employee organizer may approach co-workers at their desks.
b. Managers and Supervisors of Represented Offices.
Do not approve requests for SBA facilities and services from a labor organization
challenging an incumbent union unless the challenger has "equivalent status"
granted by the FLRA. To do so would make you vulnerable to an unfair labor
practice (ULP) charge filed by the incumbent union under 5 U.S.C. Section
7116(a)(3). SBA's labor relations officer (LRO) can advise you whether or not a
challenger has equivalent status.
(1) A labor organization obtains "equivalent status" by filing a representation
petition and a showing of interest of 30 percent of the employees in the
unit (membership applications and/or signed authorization cards) with the
FLRA. If the FLRA finds sufficient evidence establishing the required
showing of interest the appropriate FLRA regional director will notify
SBA's labor relations officer. See 5 C.F.R. Section 2422.10(e).
(2) When the union that represents the employees in your office announces a
membership drive to canvas employees, circulate petitions, post and
distribute literature, use meeting space, and other aspects associated with
these activities, you should refer to the appropriate provisions of the
controlling agreement before taking any action. If the collective
bargaining agreement is silent, you may (seek advice from your servicing
personnel office for advice before responding to the union):
(a) Negotiate use of facilities, space, and time for a meeting;
(b) Insist that any Union informational meetings must be before or
after work or during lunch break, and outside of the work area;
(c) Request to be present at the general information meeting; Effective Date: August 10, 2001 Page 19 37 11 5A (d) Advise employees that they may not distribute Union literature or
organize during work hours or at employee work area. Such
activities are permitted only during lunch breaks or before or after
duty hours outside of the work area. The one exception is if
employees eat lunch at their desks and no one else is around who is
working. In such cases, the employee organizer may approach co-
workers at their desks.
3. What SBA Services and Facilities May a Labor Organization Use?
Union officials may negotiate for the use of SBA personal computers, facsimile
machines, telephones, and photocopiers for representational purposes. There are
occasions when a local union officer or steward has a reasonable need for privacy, such
as a discussion with an employee concerning a grievance. Supervisors should consult
with their servicing personnel office before granting requests for the use of such
facilities. Generally, supervisors may grant reasonable or routine requests as long as it
does not interfere with the carrying out of SBA's mission.
4. What Is Negotiable?
On a day-to-day basis:
a. Issues where the Master Agreement and/or local agreements are silent are
negotiable to the level of your delegated authority;
b. Any changes in past practices (unwritten work rules) are negotiable, including
changes in hours of duty, rearranging office space, etc; and
c. Grievance settlements are negotiable to your level of authority upon advice and
concurrence of your servicing personnel specialist and the Office of the General
Counsel. Effective Date: August 10, 2001 Page 20 37 11 5A 5. What is the Purpose of the Negotiated Grievance Procedure (NGP)?
The NGP provides a forum to resolve employee, union, and management complaints
arising out of the collective bargaining agreement at the lowest level of the authority.
The procedure recognizes that the lowest level of authority may have the authority to
resolve the complaint and the NGP provides for three progressive steps for the purpose of
narrowing each party's contentions prior to a final decision.
6. What Is Grievable Under an NGP?
All SBA collective bargaining agreements cover virtually any complaint or
dissatisfaction an employee may have concerning her/his job with the following statutory
exclusions, see 5 U.S.C. Section 7121(c):
a. Violations of subchapter III of Chapter 73 of Title 5, United States Code (relating
to prohibited political activities);
b. Retirement, life insurance, or health insurance;
c. A suspension or removal under Section 7532 of Title 5, United States Code
(relating to national security);
d. Any examination, certification, or appointment (including the examination,
removal or separation during a probationary or trial period); and
e. The classification of any position that does not result in the reduction in (current)
grade or pay of an employee.
7. Can I File a Grievance and an Appeal Simultaneously?
The NGP and 5 U.S.C. Section 7121 provide you with options should SBA remove you,
downgrade you, or suspend you for greater than 14 days due to unsatisfactory
performance, improper conduct, or prohibited personnel practices involving allegations
of discrimination. In each of these types of situations, you may elect to file either a
grievance or an appeal, but not both. The "trigger" for making the option is the timely
filing of either a grievance or an appeal, in writing. Once you exercise your option, you
may not later change your mind and attempt a different procedure to resolve the matter. Effective Date: August 10, 2001 Page 21 37 11 5A 8. Who May File a Grievance Under the Negotiated Agreement?
You may file a negotiated grievance if you are any of the following.
a. If you are an employee covered by a collective bargaining agreement. A quick
reference to determine whether or not you are a member of a bargaining unit is to
check your latest SF 50B at block # 37. If block #37 has a BUS Code of 0033,
0045, 0054, 0150, 0160, or 0170, you are a member of that bargaining unit and
must use its NGP. If block #37 reflects 7777 or 8888, you must use the procedure
described in SOP 37 71. If you find some other code, you should call your
servicing personnelist and ask for an interpretation.
b. If you are an officer of a labor organization you may file a "Union Grievance" on
behalf of the labor organization.
c. If you are an SBA manager or supervisor, you may file an "Agency Grievance"
with the union when you believe the union or its representative violated the
collective agreement.
9. May an Employee File a Grievance Without Union Assistance?
Yes. You or a group of employees may pursue a negotiated grievance without
representation to the final step of the NGP. However, the union, as a party to the
agreement, must be given the opportunity to be present at any discussions between you
and management concerning your grievance and must approve any settlement of the
matter. This is a union's statutory right and is mandatory even if you (or other grievants)
do not want the union present during a discussion.
10. What Is the Source of Authority for Official Time?
Official time for representational activities is authorized (through the collective bargaining process) by 5 U.S.C. Section 7131.
11. What Is the Purpose of "Official Time?"
Official time is a release from regular duty without loss of pay for employees to perform
sanctioned representational activities described in a labor agreement. Supervisors have
the authority to approve and disapprove requests for official time from union
representatives, grievants, and employees. Employee representatives who serve on labor-
management committees may request and receive official time for their participation the
committee. Effective Date: August 10, 2001 Page 22 37 11 5A
12. Who May Request Official Time to File a Grievance?
Employees and Union officials (employee representatives) who are members of a
bargaining unit may request official time to:
a. Discuss a problem or concern prior to filing a grievance provided they follow the
procedures for requesting official time described in the collective bargaining
agreement; and
b. Participate in the grievance procedure, including preparation and presentation of
the grievance.
13. What Does "Reasonable and Necessary" Mean?
The term "reasonable and necessary," as used in our labor agreements, means the amount of time necessary to perform the representational function as efficiently and
quickly as possible.
14. How Is Official Time Documented?
The request for and the approval or disapproval of official time is documented by using
SBA Form 1448, "Representational Time."
15. As the Approving Official, Do I Have Any Latitude in Granting Official Time?
Supervisors should reasonably address official time requests upon their receipt.
a. You may reasonably delay the request based on the "needs of the Agency" to
complete a specific job function or project.
b. You cannot deny an official time request unless you can show or demonstrate that
the use of official time will interfere with the accomplishment of SBA's mission.
Likewise, an aggrieved employee or union representative cannot claim
entitlement to official time without regard to management's needs and
requirements for the performance of assigned work to accomplish SBA's mission.
c. When such conflicts occur:
1. Management can reassign the Union official to a position, without loss of Effective Date: August 10, 2001 Page 23 37 11 5A pay, with duties that are not as essential to the SBA's mission
(management has the responsibility of showing that such a transfer was
warranted); and
2. When there are conflicts between employees' entitlement under Section
7131 of the statute and the entitlement of management under Section 7106
of the statute to manage, the parties must recognize the need for and seek a
reasonable accommodation.
16. Is It Appropriate to Record the Official Time as Administrative Leave on the Time
and Attendance Record?
No. Official time is not leave, but a release from duty to perform sanctioned representational activities on the clock or during regular duty hours. The appropriate
transaction code for use of official time depends on how the time was used. SBA Form
1448, "Request for Representational Time," documents the purpose. Time and
attendance clerks must record on Form CD 440 the transaction code as:
a. 35 - Regular time - Basic Renegotiation or Reopener Negotiations;
b. 36 - Regular Time - Mid-term Negotiations;
c. 37 - Regular Time - On-going Labor-Management Relationship such as,
telephone conference calls with management or union officials, Labor-
Management and partnership council meetings; or
d. 38 - Regular Time - Grievance and appeals. This is the appropriate code for most
union stewards and employees preparing responses to proposed disciplinary and
adverse actions, grievances including grievance arbitration, grievance mediation
and appeals to the Merit System Protection Board. Effective Date: August 10, 2001 Page 24 37 11 5A
17. Do Union Officials and Bargaining Unit Members Have to Document Discussions or
Meetings of Less Than 15 Minutes?
Not always. The Master Agreement (Article 12, Section 4, Absence for Representation)
permits infrequent and unplanned absences without prior approval. The negotiators'
intent was to exempt infrequent calls and visits to union officials of less than 15 minutes
from documentation. This means four or five 10-minute sessions daily should be
documented because they are not "infrequent."
18. If SBA Form 1448, Representation Time, Is Not Complete or All Items (1-6) Are
Checked Without Explaining Why, Should I Withhold My Approval Until I Receive
an Explanation?
Definitely! If the union representative checked all items (1 - 6), the union officials
should provide you with an explanation of the amount of time to be spent on each
category checked. Time and attendance recordkeeping requires appropriate designation
(codes 35 - 38).
19. If an Employee Prepares a Grievance Response After Work Hours, Is It
Appropriate to Authorize Compensatory Time?
No. Official time under 5 U.S.C. Section 7131(d) is an authorization for an employee
who would otherwise be in a duty status. It is a release from regular duties to perform
representational activities. SBA cannot legally authorize "overtime or compensatory
time" (premium pay) under the statute or the Master Agreement for Union officials who
perform representational activities (grievance, negotiation, partnership meetings, labor-
management meetings) outside of their regular duty hours because such activities do not
meet the requirements of 5 U.S.C. Sections 5542 - 3.
20. Is a Union Official Entitled to Earn Compensatory Time for Representational
Work?
No. Employees earn compensatory time by performing regular duties outside of the
regular work day as requested, approved, and documented by SBA Form 454,
"Authorization for Paid Overtime and/or Holiday Work, and for Compensatory
Overtime." Union officials who request to earn compensatory time for religious purposes
may do so, provided supervisors have work assignments that require compensatory
overtime.
Effective Date: August 10, 2001 Page 25 37 11 5A 21. When Union Officials Travel, Who Signs the Travel Authorization and Travel
Voucher?
When Union officials receive a memorandum from the Assistant Administrator for
Human Resources authorizing travel for labor relations matters, their supervisors should
authorize official time for representational activities. Supervisors sign the "Travel
Authorization," SBA Form 21, and the resulting "Travel Voucher," SF 1012, verifying
the appropriation and accounting codes are those provided by the Office of Human
Resources or the specific office authorizing the travel.
22. Who Has the Authority to Sign a Negotiated Settlement Agreement?
The parties to the collective bargaining agreement are:
a. The bargaining unit representative; and
b. The SBA management official having the delegated authority to grant the relief.
However, a servicing personnelist with delegated authority and the Associate
General Counsel for General Law or designee must review and concur on all
settlement agreements before the their execution.
23. What Is Mediation?
Mediation is informal. Rules of evidence do not apply, testimony is not taken, and the
dispute is not "decided" by the mediator. The mediator facilitates discussions, sometimes
with the parties together and sometimes with each side privately.
24. How Does Mediation Work?
The mediator, in effect, creates a new forum where the parties in disagreement can
candidly discuss their cases. The mediator will not reveal anything from private
discussions which one side does not want revealed to the other. Thus, the mediator often
will have more information, and a more complete picture of the problem than either party
alone. By virtue of this unique position, the mediator can often find options for
agreement which were not evident to the parties. Effective Date: August 10, 2001 Page 26 37 11 5A 25. Who Can Request Mediation?
Only the parties (management and union representatives) to a collective bargaining
agreement can request mediation services from the Federal Mediation and Conciliation
Service (FMCS).
26. Why Mediate a Grievance?
You should mediate a grievance to:
a. Facilitate the constructive exchange of views and develop alternative solutions;
b. Narrow or clarify issues; and
c. Provide a cost effective alternative to litigation (arbitration).
27. What Is the Difference Between Mediation and Arbitration? Mediation is... Arbitration is... 1. Fast and less costly 1. Time consuming and
expensive 2. Joint problem solving
and non-adversarial 2. Adversarial proceeding
before an arbitrator 3. Win-win process 3. Win-lose process
28. Is Mediation a Required Step in the Grievance Procedure?
Mediation may occur at any time, and it requires a joint request by the parties.
Supervisors and managers are encouraged to initiate requests for mediation. When either
party refuses to mediate a grievance, the supervisor or manager involved must document
the rationale for not requesting mediation and forward the documentation to the Chief
Operating Officer. All managers and personnel servicing offices are to report any
success stories to the Labor Relations Policy Officer within 10 days of the resolution of
the dispute. Effective Date: August 10, 2001 Page 27 37 11 5A
29. Who Can Invoke Arbitration?
Only the parties (labor and management) to the collective bargaining agreement can
invoke arbitration upon receipt of a final NGP decision.
30. What Is an Unfair Labor Practice (ULP) Charge?
A ULP charge is an allegation by any person that either SBA or a labor organization
engaged in or is engaging in any practice prohibited under 5 U.S.C. Section 7116.
31. Who May File a ULP?
Any person may file a ULP charge against SBA or labor organization. SBA supervisors
and managers who propose to file charges against a labor organization must seek advice
and concurrence of your servicing personnel specialist and the Office of the General
Counsel.
32. What Should I Do If a ULP Charge Is Filed Against Me? You Should ... MANAGER, SUPERVISOR or Management Official Immediately contact your servicing personnel
office and send a copy to SBA's Labor Relations Officer, 409 Third Street, S.W., Washington DC 20416 .
33. Where Do I Get Labor Relations Advice? If you are in... then contact... Office of the Inspector General OIG Personnel Officer at
Headquarters Disaster Assistance Area Office Disaster Area Personnel Officer Regional, District, or Branch
Office Human Resources Operations
Division - Denver Component Headquarters Human Resources Operations Division Headquarters Servicing Center Human Resources Operations
Division Headquarters Effective Date: August 10, 2001 Page 28 37 11 5A
Purposely Left Blank Effective Date: August 10, 2001 Page 29 37 11 5A Chapter 3 Labor Negotiations
1. How Do You Define Labor Negotiation?
It is the mutual obligation of the representatives of labor and management to meet at
reasonable times and bargain in good faith to agree on the conditions of employment
affecting employees, subject to any constraints by Federal law, Government-wide rule, or
a controlling agreement at a higher level in the Agency. The FLRA has consistently held
that "meet and confer" means to negotiate.
2. What Is "Impact and Implementation" (I&I) Bargaining?
I&I bargaining occurs when management provides a labor organization with an
opportunity to bargain over proposed changes in existing conditions of employment
during the life of the collective bargaining agreement. While the decision may be a
management right, the labor organization has the right to offer proposals that reduce the
impact of the change on the bargaining unit and how and/or when the implementation of
the change takes place. The best way for management to avoid ULP charges is avoid
making unilateral changes.
3. What Is the Scope of Bargaining in the Federal Service?
* The statute requires labor and management to meet and negotiate in good faith over
conditions of employment affecting employees in the bargaining unit. The scope of
bargaining includes:
a. Personnel policies, practices, and matters, whether established by rule, regulation,
or otherwise, affecting working conditions, where the FLRA determines that SBA
has no compelling need for any such rule, regulation, or standard operating
procedure;
b. Procedures that management officials will observe in exercising any authority
under the Act; and Effective Date: August 10, 2001 Page 30 37 11 5A
c. Appropriate arrangements for employees adversely affected by the exercise of
any authority under the Act by management officials. *
4. What Matters Are Nonnegotiable? The following matters are nonnegotiable:
a. The Agency's mission, budget, organization, number of employees, and internal
security practices; and b. Issues covered by Federal law or Government-wide rule or regulation.
5. What Is Interest Based Bargaining (I-BB)?
Interest-Based Bargaining (I-BB) is a positive approach to collective bargaining. It uses
the win-win approach proffered by Fisher and Ury in the book Getting to Yes, rather than
traditional concepts based on positional bargaining. I-BB challenges labor and
management to break with the traditional adversarial ways of dealing with each other.
Under this process, labor and management must:
a. Share information on issues or problems and work together to state the issue
clearly;
b. Develop and discuss their respective interests (goals, objectives, or needs);
c. Identify and discuss mutual interests;
d. Raise options and agree on criteria to evaluate options;
e. Discuss options based on the criteria; and
f. Use consensus to reach a solution.
6. Are There Procedures to Resolve Negotiation Disputes and Impasse?
Yes, the procedures are:
a. Mediate the dispute; Effective Date: August 10, 2001 Page 31 37 11 5A b. Either party may request the Federal Service Impasse Panel (FSIP or Panel) to
consider the matter; and
c. Arbitration or third party fact-finding may be used with the authorization or at the
direction of the Panel.
7. How Does a Labor Organization Challenge SBA Policy?
A labor organization challenges SBA regulations and policies within the context of
negotiation. Upon receipt of a union proposal that conflicts with SBA policy,
management's negotiator shall make an initial determination of whether the policy will
stand a compelling need test. In all cases, the management negotiator must seek advice
from SBA's labor relations officer, immediately, if possible, and in no event later than 72
hours of receipt of the union's proposal.
8. What Is the Compelling Need Procedure?
Should management's negotiator assert that a compelling need exists for any SBA policy,
it is a bar to negotiation. A labor organization may challenge this determination of
compelling need by filing an appeal to the FLRA in accordance with 5 C.F.R. Section 2424.
9. What Is the Criteria for a Compelling Need Test?
The "Compelling Need Test" is confined to "internal" SBA policies and regulations,
which are the policies and regulations intended solely for application within SBA as they
relate to personnel policies and practices and matters affecting conditions of employment.
Policies and regulations issued by SBA that apply to other agencies, organizations, or
clients are not subject to a "Compelling Need Test." A policy meets the "Compelling
Need Test" when it:
a. Is essential, as distinguished from helpful or desirable, to the accomplishment of
the mission of the SBA;
b. Is necessary to ensure the maintenance of basic merit principles;
c. Implements a mandate to SBA under law or other outside authority,
implementation is essentially non-discretionary in nature; and d. Establishes uniformity for all or a substantial segment of SBA employees where
the policy is essential to the public interest. Effective Date: August 10, 2001 Page 32 37 11 5A
10. How Do I Handle Negotiability Questions?
As management's chief negotiator, you may declare a union proposal nonnegotiable if:
a. The proposal is in violation of law or appropriate regulation;
b. The proposal is in conflict with management's rights under Section 7106(a) of the
Act; or
c. The proposal is outside the obligation to bargain, i.e., the proposal does not
concern personnel policies, practices, or matters affecting working conditions of
unit employees.
11. What Procedure Do I Follow to Declare a Proposal Nonnegotiable?
You should:
a. Send a copy of the disputed proposal to the Labor Relations Officer, along with
the reasons why you consider the proposal nonnegotiable;
b. Obtain written guidance from SBA's LRO to formally declare the union's proposal
nonnegotiable (the declaration of nonnegotiability must be in writing and
addressed to the union's chief negotiator); and
c. Recognize that the labor organization may appeal SBA's nonnegotiability
determination to the FLRA per 5 C.F.R. Section 2424.
12. Is Official Time, Travel, and Per Diem for Labor Organization Representatives
Negotiable?
For the purpose of negotiating an agreement, official time is authorized by 5 U.S.C.
Section 7131(a). The number of bargaining unit representatives authorized official time
for negotiations shall not exceed the number of persons representing SBA.
The amount of official time for the purpose of representational activities by a labor
organization's employee representatives is negotiable. Whether or not SBA pays travel and per diem for employee representatives of a labor organization is negotiable. Effective Date: August 10, 2001 Page 33 37 11 5A Chapter 4 Third Party Authorities
1. What Is a Third Party?
Third party refers to all neutrals who participate in day-to-day labor relations either
through a collective bargaining agreement or required by statute. The following are third
party neutrals:
a. Independent arbitrators, mediators, and factfinders;
b. Commissioners (mediators) from the Federal Mediation and Conciliation Service
(FMCS);
c. Field investigators, administrative law judges, staff, and members of the Federal
Labor Relations Authority (FLRA); and
d. Factfinders and interest arbitrators from the Federal Service Impasse Panel
(FSIP). . What Is the Function of the Federal Labor Relations Authority (FLRA)? The FLRA performs the following: a. Determines the appropriateness for labor organization representation; b. Supervises, conducts, and certifies bargaining unit elections; c. Resolves issues relating to determining compelling need for Agency rules and d. Resolves issues relating to the failure to bargain in good faith; e. Conducts hearings and resolves unfair labor practice complaints; f. Resolves exceptions to arbitrator's awards; and g. Provides labor-management training and facilitation assistance. . What Is the Function of the Federal Mediation and Conciliation Service (FMCS)?
2
regulations;
3 Effective Date: August 10, 2001 Page 34 37 11 5A The FMCS performs the following:
a. Provides assistance when the parties first reach a bargaining impasse. The FMCS
Commissioner's primary objective is to get the parties to agree to a collective
b. list of arbitrators to hear and adjudicate grievances invoked using the arbitration article in the collective bargaining agreement. See 5
c. ing and facilitation assistance. . What Is the Role of the Federal Service Impasse Panel (FSIP)? g process through factfinding and interest arbitration. The President appoints seven members to the Panel. bargaining agreement; Provides the parties with U.S.C. Section 7119(a) and (b); and Provides labor and management train
4
The FSIP assists in resolving impasses from the collective bargainin A member of the Panel may review a factfinder's report and render a decision that
imposes specific contract language upon the parties for the duration of the collective
bargaining agreement. See 5 C.F.R. Parts 2470 - 2473. Effective Date: August 10, 2001 Page 35 37 11 5A Chapter 5 Delegated Authority and Program Responsibilities
1. Who Has Program Responsibility?
By statute, the Administrator has overall responsibility for SBA's Labor Relations
Program. The Administrator delegated to the Associate Deputy Administrator for
Management and Administration (ADA/M&A) the responsibility for overall direction of
the program, including labor-management cooperation in support of the President's
initiative under E.O. 12871 (see appendix 4 of this SOP). The Administrator reserves the
right to approve any negotiated agreement with a labor organization having exclusive
recognition.
2. What Is the ADA/M&A's Role?
The ADA/M&A directs SBA's Labor Relations Program. The ADA/M&A is SBA
management team's chair on the SBA - American Federation of Government Employees
(AFGE) Partnership Council.
3. What Is the Assistant Administrator for Human Resources' Role?
The Assistant Administrator for Human Resources (AA/HR) administers the SBA Labor
Relations Program. The AA/HR or designee(s):
a. Represents the Administrator in labor relations matters with the national
headquarters of labor organizations, negotiates master labor agreement(s)
covering one or more bargaining units, and implements cooperative labor-
management relations initiatives at appropriate SBA levels;
b. Grants exclusive recognition to a labor organization that meets the requirements
for exclusive recognition under the Act as ordered by the FLRA;
c. Consults and negotiates with labor organizations that have exclusive recognition
and conducts any other meetings with labor organizations deemed necessary;
d. Recommends the approval of negotiated agreements with labor organizations
having exclusive recognition with SBA or any of its components; Effective Date: August 10, 2001 Page 36 e. Makes SBA's assertion of nonnegotiability due to a compelling need under
Section 7117 of the Act; 37 11 5A
f. Makes final SBA determinations in connection with any conflict of interest, or r g. Approves requests from SBA managers to pay travel or per diem to SBA l is t h. Provides all employees in SBA bargaining units with an Annual Notification of "Title 5 United States Code Section 7114 includes a ployees (2) An exclusive representative of an appropriate unit in an agency shall be (B) any examination of an employee in the unit by a n (i) the employee reasonably believes (ii) the employee requests representation." i. Updates appendices to this SOP. . What Is the Role of a Regional Administrator? Regional administrators or their designee(s) carry out the labor relations program in their a. Serves as the chair of a Regional Partnership Council with labor organizations b. Serves as SBA's final decision authority on all grievances arising under the NGP c. Reviews and recommends approval of any negotiated agreement or supplements apparent conflict of interest, resulting from employee participation in the
management of a labor organization or acting as a representative of a labo
organization or an individual; employees negotiating on behalf of a certified labor organization (approva
contingent upon payment being clearly in the interests of the Agency consisten
with paragraph 3-13, "Labor Negotiations," of this SOP); and Representational Rights via an SBA Information Notice. This notice must state: requirement that each agency shall annually inform em
of their rights under paragraph (2)(B). given the opportunity to be represented at -- representative of the agency in connection with a
investigation if -- that the examination may result in
disciplinary action against the
employee; and
4
regions with HR and OGC who are available to provide advice and assistance. A
regional administrator: having exclusive representational rights in the region; within their region; Effective Date: August 10, 2001 Page 37 37 11 5A to any agreement, as well as any grievance settlement agreements with a labor
d. r region, and refers any appeal to the AA/HR for final Agency determination. . What Is the General Counsel's Role? agreements and supplements to agreements with labor organizations; b. otiated agreement or supplemental agreement within 20 days of its execution for the Administrator's review as required by . ngs, such as unfair labor practice hearings, arbitration proceedings, and meetings with the FSIP and FLRA in matters relating
d. ttlement agreements. . What Is the Role of a Field Office Head? responsible for: that meet the requirements for exclusive recognition as ordered by the FLRA (see paragraph 1-5); b. ate, depending upon whether or not the office is included in a national or consolidated c. ee rights (paragraph 1-4) are protected; * ve labor-management committee or a local partnership council (not parallel) and/or employee and
organization that has exclusive recognition within their region; and Makes an initial determination regarding a conflict of interest in thei 5
Office of General Counsel provides:
a. Legal assistance in negotiating Legal review of a neg 5 U.S.C. Section 7114(c)(1) and (4); c Representation in third party proceedi to the negotiation process; and Legal review of all grievance se
6
District, center, and area office directors are
a. Granting exclusive recognition to labor organizations Negotiating in good faith local or supplemental agreements, as appropri bargaining unit; Ensuring employ d. Establishing, voluntary and where appropriate a cooperati crafting solutions to better serve the small business community; and Effective Date: August 10, 2001 Page 38 37 11 5A e. Requiring his or her managers and supervisors who direct bargaining unit employees to:
(1) Comply with the letter and spirit of this SOP and the provisions of any
applicable negotiated agreement;
(2) Seek advice from their servicing personnel office before engaging in
informal or formal labor-management activities;
(3) Obtain clearance or concurrence of union/employee grievance settlement
offers from Human Resources and the Office of General Counsel before
finalizing any (oral or written) settlement;
(4) Comply with the applicable leave regulations, including the proper
recording of approved official time use and any applicable negotiated
agreement when approving requests from union representatives for official
time; and
The web site itself may have changed. You can check the current page or check for previous versions at the Internet Archive. Yahoo! is not affiliated with the authors of this page or responsible for its content. SBA SOP37 11 5a - Labor Relations Program SBA SOP 37 11 5
__________________ Labor Relations Program
Office of Human Resources
U.S. Small Business Administration SMALL BUSINESS ADMINISTRATION
STANDARD OPERATING PROCEDURE National SUBJECT: S.O.P. REV Labor Relations Program SECTION 37 NO. 11 5A INTRODUCTION 1. Purpose. To amend the guidelines and procedures for the management and implementation of SBAs Labor Program as required by Executive Order 13203.
2. Personnel Concerned. All SBA employees.
3. Page Changes.
Remove Insert Remove Insert
Pages 7 & 8 7 & 8 Pages 9 & 10 9 & 10
Pages 13 & 14 13 &14 Pages 31 & 32 31 & 32 Pages 39 & 40 39 & 40 Pages 51 64 51 60
4. Originator. Office of Human Resources, Guidance, Innovation, and Review Division AUTHORIZED BY:
EFFECTIVE DATE August 10, 2001 Hector V. Barreto
Administrator
PAGE 1 SBA Form 989 (5-90) Ref: SOP 00 23 Federal Recycling Program Printed on Recycled Paper This form was electronically produced by Elite Federal Forms, Inc. 37 11 5A
SBA LABOR RELATIONS PROGRAM Table of Contents
Paragraph Page Chapter 1..........................................................................................................................................8 General Information..................................................................................................................8 1. What Is the Purpose of this Standard Operating Procedure (SOP)? ..........................8
2. What Is the Source of Authority for SBA's Labor Relations Program?.....................8
3. What Are the Basic Elements of SBA's Labor Relations Program? ..........................8
4. Does SBA's Labor Relations Program Cover All Employees?..................................9
5. What Rights Do Employees Have Under This Program? ..........................................9
6. What Rights Do Labor Organizations Have?...........................................................10
7. What Makes a Meeting "Formal?"...........................................................................10
8. What Rights Does Management Have? ...................................................................11
9. What Is a Bargaining Unit?......................................................................................11
10. Will the Union Represent Me? .................................................................................12
11. Do I Have a Choice of Belonging to a Previously Certified Bargaining Unit? .......12
12. What Bargaining Units Does SBA Currently Recognize? .......................................12
13. What Is an Interagency Local? .................................................................................12
14. Are Any SBA Offices Not in a Recognized Bargaining Unit? ................................12
15. What SBA Offices Are Certified for Dues Allotment?............................................13
16. What Is a Dues Allotment?.......................................................................................13
17. What Conditions Must a Labor Organization Meet to Collect Dues Through Payroll Allotments?..................................................................................................14 18. What Is the Difference Between Exclusive Recognition and Certification for Dues Allotment?.......................................................................................................14 19. May I Have Union Dues Withheld from My Pay and How Do I Qualify?..............14
20. What Is the Procedure for Dues Withholding?.........................................................15
21. How Often and When Can A Union Change Its Dues Structure?............................16
22. When and How Can I Cancel My Dues Allotment? ................................................16
23. Can My Dues Allotment Automatically Terminate?................................................16 Chapter 2........................................................................................................................................18 Day-to-Day Labor Relations ..................................................................................................18 1. Who Is Responsible for Administering a Labor Agreement? ..................................18
2. What Should I Do When a Labor Organization Initiates an Organizing Drive? .....18 Effective Date: August 10, 2001 Page 2 37 11 5A 3. What SBA Services and Facilities May a Labor Organization Use?.......................20
4. What Is Negotiable? .................................................................................................20
5. What is the Purpose of the Negotiated Grievance Procedure (NGP)?.....................21
6. What Is Grievable Under an NGP? ..........................................................................21
7. Can I File a Grievance and an Appeal Simultaneously?..........................................21
8. Who May File a Grievance Under the Negotiated Agreement? ..............................22
9. May an Employee File a Grievance Without Union Assistance? ............................22
10. What Is the Source of Authority for Official Time? ................................................22
11. What Is the Purpose of "Official Time?"..................................................................22
12. Who May Request Official Time to File a Grievance?............................................23
13. What Does "Reasonable and Necessary" Mean? .....................................................23
14. How Is Official Time Documented? ........................................................................23
15. As the Approving Official, Do I Have Any Latitude in Granting Official Time? ...23
16. Is It Appropriate to Record the Official Time as Administrative Leave on the Time and Attendance Record? .................................................................................24 17. Do Union Officials and Bargaining Unit Members Have to Document Discussions or Meetings of Less Than 15 Minutes?................................................25 18. If SBA Form 1448, Representation Time, Is Not Complete or All Items (1-6) Are Checked Without Explaining Why, Should I Withhold My Approval Until
I Receive an Explanation?........................................................................................25 19. If an Employee Prepares a Grievance Response After Work Hours, Is It Appropriate to Authorize Compensatory Time?......................................................25 20. Is a Union Official Entitled to Earn Compensatory Time for Representational Work? ........................................................................................................25 21. When Union Officials Travel, Who Signs the Travel Authorization and Travel Voucher? ........................................................................................................26 22 Who Has the Authority to Sign a Negotiated Settlement Agreement? ....................26
23. What Is Mediation? ..................................................................................................26
24. How Does Mediation Work?....................................................................................26
25. Who Can Request Mediation?..................................................................................27
26. Why Mediate a Grievance? ......................................................................................27
27. What Is the Difference Between Mediation and Arbitration?..................................27
28. Is Mediation a Required Step in the Grievance Procedure?.....................................27
29. Who Can Invoke Arbitration? ..................................................................................28
30. What Is an Unfair Labor Practice (ULP) Charge? ...................................................28
31. Who May File a ULP?..............................................................................................28
32. What Should I Do If a ULP Charge Is Filed Against Me?.......................................28
33. Where Do I Get Labor Relations Advice? ...............................................................28 Chapter 3........................................................................................................................................30 Labor Negotiations .................................................................................................................30 1. How Do You Define Labor Negotiation? ................................................................30
2. What Is "Impact and Implementation" (I&I) Bargaining?.......................................30 Effective Date: August 10, 2001 Page 3 37 11 5A 3. What Is the Scope of Bargaining in the Federal Service?........................................30
4. What Matters Are Nonnegotiable?...........................................................................31
5. What Is Interest Based Bargaining (I-BB)? .............................................................31
6. Are There Procedures to Resolve Negotiation Disputes and Impasse? ...................31
7. How Does a Labor Organization Challenge SBA Policy?.......................................32
8. What Is the Compelling Need Procedure? ...............................................................32
9. What Is the Criteria for a Compelling Need Test? ...............................................32
10. How Do I Handle Negotiability Questions?.............................................................33
11. What Procedure Do I Follow to Declare a Proposal Nonnegotiable?......................33
12. Is Official Time, Travel, and Per Diem for Labor Organization Representatives Negotiable? 33 Chapter 4........................................................................................................................................34 Third Party Authorities...........................................................................................................34 1. What Is a Third Party? .............................................................................................34
2. What Is the Function of the Federal Labor Relations Authority (FLRA)? ..............34
3. What Is the Function of the Federal Mediation and Conciliation Service (FMCS)?...................................................................................................................34 4. What Is the Role of the Federal Service Impasse Panel (FSIP)? .............................35 Chapter 5........................................................................................................................................36 Delegated Authority and Program Responsibilities ...............................................................36 1. Who Has Program Responsibility? ..........................................................................36
2. What Is the ADA/M&A's Role?...............................................................................36
3. What Is the Assistant Administrator for Human Resources' Role? .........................36
4. What Is the Role of a Regional Administrator? .......................................................37
5. What Is the General Counsel's Role? .......................................................................38
6. What Is the Role of a Field Office Head? ................................................................38
7. Who Should Receive Copies of Labor Relations Documents?................................39 Appendix 1.....................................................................................................................................42 Index to Forms and Reports....................................................................................................42 Appendix 2.....................................................................................................................................44 Definitions ..............................................................................................................................44 Appendix 3.....................................................................................................................................49 AFGE National Consolidated Bargaining Unit ......................................................................49 Effective Date: August 10, 2001 Page 4 Appendix 4.....................................................................................................................................51 37 11 5A Appendix 4.....................................................................................................................................53 APPENDIX C ................................................................................................................................53 REPRESENTATIONAL TIME .............................................................................................53 Effective Date: August 10, 2001 Page 5 37 11 5A Effective Date: August 10, 2001 Page 6 37 11 5A Purposely Left Blank Effective Date: August 10, 2001 Page 7 37 11 5A Chapter 1 General Information
1. What Is the Purpose of this Standard Operating Procedure (SOP)?
This SOP provides guidance to supervisors and managers in effecting their labor-
management relations responsibilities. It also advises employees of their rights
guaranteed by statute and how SBA's Labor Relations Program is administered.
2. What Is the Source of Authority for SBA's Labor Relations Program?
The Federal Service Labor-Management Relations Statute and Executive order place
certain responsibilities, restrictions, and rights on SBA management, employees, and
labor organizations.
a. Title 5 of the United States Code, Chapter 71, Labor-Management Relations, 5
U.S.C. 7101 et sec. (Act) governs all dealings with Federal employees and labor
organizations representing Federal employees.
b. Executive Order 12871, Labor Management Partnerships (E.O. 12871, see
appendix 4) directs the Administrator to form partnership councils or committees
(see appendix 5) that are not adversarial in nature. It also expands the scope of
bargaining by directing management to negotiate in areas that were formerly
permissive subjects of bargaining [5 U.S.C. Section 7106 (b)(2)].
3. What Are the Basic Elements of SBA's Labor Relations Program?
SBA's basic labor relations program consists of:
a. Exercising management's statutory rights to the extent necessary for providing
quality service to the small business community;
b. Negotiating in good faith with representatives of exclusive bargaining units, using
interest-based bargaining to reach agreements at the appropriate level of exclusive
recognition;
c. Ensuring employees and recognized unions full exercise of their rights under law,
Executive order, and, where applicable, negotiated agreement; Effective Date: August 10, 2001 Page 8
d. Remaining sensitive to employee needs and concerns, and taking appropriate 37 11 5A action to correct or improve situations that are within the discretion of
management authority; e. Using the negotiated grievance procedure and grievance mediation to resolve f. Emphasizing and giving full force and effect to the requirements of efficient . Does SBA's Labor Relations Program Cover All Employees? Yes. Your specific duties and responsibilities may limit your rights under this program r a. Excluded from belonging to a bargaining unit based on statutory exclusion or case b. Included in an exclusively recognized bargaining unit based on a unit c. Eligible to belong to a bargaining unit should a labor organization petition to . What Rights Do Employees Have Under This Program? Under 5 U.S.C. Section 7102, each employee has the right to form, join, or assist any lty a. Act for a labor organization as a representative and, as such, the right to present disputes at the level of authority nearest the origin of the dispute; and operation and high levels of productivity as elements of joint concern to
employees, unions, and management.
4
or place specific labor relations responsibilities upon you. Look at your position
description cover sheet to determine the bargaining unit status (BUS) code for you
position. As an SBA employee you are either: law decision (BUS Code 8888); determination by the Federal Labor Relations Authority (FLRA) or its
predecessor (BUS Codes of 0033, 0045, 0054, 0150, 0160 or 0170); or represent your office or organizational unit (BUS Code 7777).
5
labor organization, or to refrain from any such activity, freely and without fear of pena
or reprisal. Each employee shall be protected in the exercise of such rights, except as
otherwise provided by the Act. This includes the right to: the views of the labor organization to SBA officials and other officials of the
executive branch of the Government, the Congress, or other appropriate
authorities; Effective Date: August 10, 2001 Page 9 37 11 5A
b. Engage in collective bargaining about conditions of employment through
representatives chosen by employees; and
c. Have representation, upon request, by a representative of the employee's
bargaining unit at any examination by SBA management, if the employee
reasonably believes that the examination may result in disciplinary action against
the employee. See 5 U.S.C. Section 7114 (a)(2)(B)(i) and (ii). This right is
commonly referred to as your "Weingarten Rights," N.L.R.B. v. J. Weingarten,
Inc., 95 S. Ct. 959 (1975) 88 LRRM 2689.
6. What Rights Do Labor Organizations Have?
Under 5 U.S.C. Section 7111, SBA must grant exclusive recognition to a labor
organization when a majority of voting employees in an appropriate unit select that labor
organization in a secret ballot election. A labor organization accorded exclusive
recognition will be:
a. The exclusive representative of all employees in the unit without discrimination
and without regard to labor organization membership;
b. Entitled to negotiate binding agreements covering all employees in the unit; and
c. Given the opportunity to represent employees at any formal discussion between
one or more representatives of SBA and one or more employees in the unit or
their representatives concerning any grievance, any personnel policy or practice,
or other general condition of employment.
7. What Makes a Meeting "Formal?"
A "formal" meeting or discussion occurs as follows.
a. A supervisor schedules a meeting and requires the attendance of one or more
bargaining unit employees to discuss:
(1) A grievance;
(2) Changes in any personnel policy or practice; or
(3) General conditions of employment. (Examples of general conditions of
employment are: hours of work, leave, overtime, and such work
environment matters such as parking, access to food, heat, air Effective Date: August 10, 2001 Page 10 37 11 5A conditioning, and safety. )
b. Generally, routine discussions between a supervisor and a bargaining unit
employee over such work-related matters as assignment of work, performance
feedback, and work techniques do not meet the requirement of a formal
discussion. However, a staff meeting may accidentally turn into a "formal
discussion" when managers respond to a question (unrelated to the discussion)
that addresses a condition of employment, personal complaint, or grievance.
When this happens, the manager should acknowledge the employee's concern and
close the discussion of the issue because such matters require formal notice to the
Union.
8. What Rights Does Management Have?
Under 5 U.S.C. Section 7106(a), management retains the right to:
a. Determine SBA's mission, budget, organization, number of employees, and
internal security practices;
b. Hire, assign, direct, layoff, and retain SBA employees, or to suspend, remove,
reduce in grade or pay, or take other disciplinary action against employees;
c. Assign work, make determinations with respect to contracting out, and determine
the personnel by which SBA operates;
d. Make selections for appointments from among properly ranked and certified
candidates for promotion, or from any other appropriate recruitment source; and
e. Take whatever actions may be necessary to carry out the SBA's mission during
emergencies.
9. What Is a Bargaining Unit?
A bargaining unit is a group of employees certified by the Federal Labor Relations
Authority (FLRA) to deal with SBA management over matters of employment. An
appropriate bargaining unit occurs when the FLRA determines that a clear and
identifiable community of interest among the employees covered by a petition, and where
dealing with them collectively would promote efficient SBA operations. Effective Date: August 10, 2001 Page 11 37 11 5A 10. Will the Union Represent Me?
All members of the group certified by the FLRA are bargaining unit members, even if
they don't belong to the union or pay dues. A unit certified by the FLRA must represent
all members of the bargaining unit regardless of their union affiliation.
11. Do I Have a Choice of Belonging to a Previously Certified Bargaining Unit?
No, you do not. All members of the group found to be appropriate and certified by the
FLRA as bargaining unit members are members of the bargaining unit even if they do not
belong to the union and pay dues.
12. What Bargaining Units Does SBA Currently Recognize?
SBA recognizes the following exclusive bargaining units: AFGE Council 228, National
Consolidated Bargaining Unit (see appendix 3, AFGE Council 228 Unit Description);
NFFE Local 1851, Denver Office of Financial Operations and Denver District Office;
NFFE Local 2170, Casper District Office; and NFFE Local 1454, Houston District
Office.
13. What Is an Interagency Local?
An interagency local is a local union that represents more than one agency. These local
unions negotiate and administer the collective bargaining agreements for several
agencies. Pittsburgh, PA; Casper, WY; Corpus Christi, TX; and Madison and
Milwaukee, WI are SBA district offices where an interagency local represents and
administers one or more agency labor agreements.
14. Are Any SBA Offices Not in a Recognized Bargaining Unit?
Yes.
a. The Office of the Inspector General is a functionally distinct group of employees
who share a community of interest separate and distinct from the employees in
SBA's existing bargaining units.
b. The Office of Disaster Assistance and the four Disaster Area Offices are
functionally distinct groups of employees who share a community of interest
separate and different from the employees in SBA's existing bargaining units. Effective Date: August 10, 2001 Page 12 37 11 5A c. The following regional, district, and branch offices and service centers are not in
a bargaining unit: Agana, Guam; Honolulu, Hawaii; Anchorage and Fairbanks,
Alaska; Spokane, Washington; Portland, Oregon; Boise, Idaho; Sacramento,
California; Sioux Falls, South Dakota; Kansas City and St. Louis, Missouri; Des
Moines, Iowa; Omaha, Nebraska; San Antonio and El Paso, Texas; Detroit,
Michigan; Cincinnati, Ohio; Nashville, Tennessee; Birmingham, Alabama;
Jacksonville, Florida; Columbia, South Carolina; Baltimore, Maryland;
Wilmington, Delaware; and Harrisburg and Wilkes-Barre, Pennsylvania; Denver
Personnel Servicing Center; Denver Litigation Center; Litigation Center - (EAST)
Philadelphia, Pennsylvania; Hazard, Kentucky LowDoc Center; Sacramento
LowDoc Center; Birmingham, Alabama Disaster Home Loan Service Center; El
Paso, Texas Disaster Home Loan Service Center.
15. What SBA Offices Are Certified for Dues Allotment?
On May 23, 1995, the FLRA certified SOLIDARITY, U.S.A., an independent union, for
voluntary allotment of dues from:
All professional and nonprofessional employees employed by the Small
Business Administration at its: Baltimore, Maryland District Office;
Kansas City, Missouri Regional Office; Kansas City, Missouri District
Office; Springfield, Missouri Branch Office; St Louis, Missouri District
Office; Wichita, Kansas District Office; but excluding all management
officials, supervisors, and employees described in 5 U.S.C. Section
7112(b)(1), (2), (3), (6) and (7).
16. What Is a Dues Allotment?
A dues allotment is a voluntary automatic deduction from your salary check to cover
your union dues. Effective Date: August 10, 2001 Page 13 37 11 5A
17. What Conditions Must a Labor Organization Meet to Collect Dues Through Payroll
Allotments?
To be eligible to receive employee-authorized dues withholdings, a labor organization
must have either FLRA:
a. Certification as representing at least 10 percent of the employees in an appropriate
unit where no other labor organization has status as the exclusive representative;
or
b. Certification as the exclusive representative.
18. What Is the Difference Between Exclusive Recognition and Certification for Dues
Allotment?
The FLRA certifies both, but not for the same unit. FLRA certification provides for: EXCLUSIVE
RECOGNITION DUES
ALLOTMENT Collection of Dues Collection of Dues Negotiation of Agreements Representation at: Grievance Meetings
and
All Employee Meetings
19. May I Have Union Dues Withheld from My Pay and How Do I Qualify?
Yes. To be eligible to have dues withheld from your pay, you must:
a. Be in an appropriate unit of exclusive recognition or in an appropriate unit for the
purpose of dues allotment as determined by the FLRA;
b. Be a member in good standing of the recognized labor organization; and Effective Date: August 10, 2001 Page 14 c. Voluntarily request in writing that dues be withheld from your earnings by
executing Standard Form 1187, "Request for Payroll Deductions for Labor
Organization Dues." 37 11 5A
20. What Is the Procedure for Dues Withholding? a. Labor organizations desiring to arrange for dues withholding or change the (1) Meet the conditions in paragraph 1-15; (2) Provide the name of the labor organization official authorized to receive (3) Submit requests for a "Dues Allotment Agreement" or an "Increase in nce, (4) Submit the completed SF 1187 after the authorized labor organization b. An employee who wishes to make an allotment must obtain an SF 1187 from the c. The SBA cannot process an SF 1187 from an employee who is: (1) Ineligible for membership in a bargaining unit, i.e., supervisor, codes are (2) Not a member of a bargaining unit or an office certified for dues y dues d. The SBA will normally begin deductions for a dues allotment at the beginning of the e. The SBA will withhold dues from each biweekly salary, unless the employee's
amount of dues withheld, must do all of the following:
the remittances, along with the address to which all remittances are to be
mailed; Dues" in writing to SBA's Labor Relations Officer (LRO) in the Guida
Innovation, and Review Division of the Office of Human Resources; and official certifies the amount of the dues to the appropriate servicing
personnel office for processing. labor organization, complete the form in its entirety, and return it to the labor
organization.
management official, personnelist, etc. (employees whose BUS
8888 may not make an allotment for payroll deductions for labor
organization dues); or withholding (see paragraph 1-3) or an office certified for voluntar
allotments (see paragraph 1-15). the first complete pay period after the servicing personnel office receives a
properly signed and certified SF-1187 if it is received at least 5 days before
beginning of the pay period. Effective Date: August 10, 2001 Page 15 37 11 5A net salary after other legal and required deductions is not sufficient to cover the
amount of dues allotment.
21. How Often and When Can A Union Change Its Dues Structure?
a. A union can change it dues structure once every 12 months, unless otherwise
provided for in a appropriate collective bargaining agreement.
b. The amount of the dues shall remain unchanged until the appropriate official of
the labor organization provides written certification to SBA's Labor Relations
Officer, Office of Human Resources, of the new amount of the biweekly dues
deduction.
22. When and How Can I Cancel My Dues Allotment?
Your allotment must remain in effect for at least 1 year. If you wish to cancel your
allotment, you can do so within 15 days after the 1 year anniversary. You may submit an
SF 1188, "Cancellation of Payroll Deductions for Labor Organization Dues," or any other
written, signed, and dated cancellation to your servicing personnel office. You also must
send a copy of the revocation to your labor organization.
23. Can My Dues Allotment Automatically Terminate?
Yes, your dues will automatically terminate when:
a. Your labor organization loses its exclusive recognition or authorization for a dues
withholding agreement; or
b. You are no longer in the bargaining unit. Effective Date: August 10, 2001 Page 16 37 11 5A
Purposely Left Blank Effective Date: August 10, 2001 Page 17 37 11 5A Chapter 2 Day-to-Day Labor Relations
1. Who Is Responsible for Administering a Labor Agreement?
On a day-to-day basis you are, if you are either a Union officer, steward, or a member of
the management team (supervisor, office director, manager, or Management Board
member). The parties to the collective bargaining agreement must ensure that the
agreement's application is fair and consistent.
2. What Should I Do When a Labor Organization Initiates an Organizing Drive?
a. Managers and Supervisors of Non-represented Offices.
Managers and supervisors in non-represented offices must be familiar with
paragraph 1-4 and 1-5 of this SOP, which describe the statutory rights of
employees and labor organizations. When faced with an initial organizing
campaign, you should do the following.
(1) Contact your servicing personnel office for advice.
(2) Remain completely neutral.
(3) Prepare a general memo to your management team advising them that a
Union has a right to organize employees and that employees have the right
to assist, form, or join a Union or to refrain from engaging in those
activities. You should also make clear that you will not tolerate
discrimination or reprisal against an employee who engages in such
activities to form or join a Union. You may advise your supervisors that
they have a right to join a Union, however, their participation in activities
on behalf of the labor organization is limited. As a non-bargaining unit
member, supervisors cannot be represented by an SBA employee
representative of a labor organization and cannot have dues automatically
withheld from his or her salary.
(4) Respond to a Union representative's request to meet with employees. You
may negotiate use of facilities, space, and time for such a meeting.
Contact your servicing personnel office for advice before responding to
the union's request. Effective Date: August 10, 2001 Page 18 37 11 5A (5) Insist that any Union informational meetings be held outside of the work area, before or after work, or during lunch break.
(6) Request to be present at the general information meeting. You should
attend the meeting, and be seen but not heard.
(7) Advise employees that they may not distribute Union literature, or
organize during work hours or at employee work areas. Such activities
are permitted only during lunch breaks or before or after duty hours
outside of the work area. The one exception is if employees eat lunch at
their desks and no one else is around who is working. In such cases, the
employee organizer may approach co-workers at their desks.
b. Managers and Supervisors of Represented Offices.
Do not approve requests for SBA facilities and services from a labor organization
challenging an incumbent union unless the challenger has "equivalent status"
granted by the FLRA. To do so would make you vulnerable to an unfair labor
practice (ULP) charge filed by the incumbent union under 5 U.S.C. Section
7116(a)(3). SBA's labor relations officer (LRO) can advise you whether or not a
challenger has equivalent status.
(1) A labor organization obtains "equivalent status" by filing a representation
petition and a showing of interest of 30 percent of the employees in the
unit (membership applications and/or signed authorization cards) with the
FLRA. If the FLRA finds sufficient evidence establishing the required
showing of interest the appropriate FLRA regional director will notify
SBA's labor relations officer. See 5 C.F.R. Section 2422.10(e).
(2) When the union that represents the employees in your office announces a
membership drive to canvas employees, circulate petitions, post and
distribute literature, use meeting space, and other aspects associated with
these activities, you should refer to the appropriate provisions of the
controlling agreement before taking any action. If the collective
bargaining agreement is silent, you may (seek advice from your servicing
personnel office for advice before responding to the union):
(a) Negotiate use of facilities, space, and time for a meeting;
(b) Insist that any Union informational meetings must be before or
after work or during lunch break, and outside of the work area;
(c) Request to be present at the general information meeting; Effective Date: August 10, 2001 Page 19 37 11 5A (d) Advise employees that they may not distribute Union literature or
organize during work hours or at employee work area. Such
activities are permitted only during lunch breaks or before or after
duty hours outside of the work area. The one exception is if
employees eat lunch at their desks and no one else is around who is
working. In such cases, the employee organizer may approach co-
workers at their desks.
3. What SBA Services and Facilities May a Labor Organization Use?
Union officials may negotiate for the use of SBA personal computers, facsimile
machines, telephones, and photocopiers for representational purposes. There are
occasions when a local union officer or steward has a reasonable need for privacy, such
as a discussion with an employee concerning a grievance. Supervisors should consult
with their servicing personnel office before granting requests for the use of such
facilities. Generally, supervisors may grant reasonable or routine requests as long as it
does not interfere with the carrying out of SBA's mission.
4. What Is Negotiable?
On a day-to-day basis:
a. Issues where the Master Agreement and/or local agreements are silent are
negotiable to the level of your delegated authority;
b. Any changes in past practices (unwritten work rules) are negotiable, including
changes in hours of duty, rearranging office space, etc; and
c. Grievance settlements are negotiable to your level of authority upon advice and
concurrence of your servicing personnel specialist and the Office of the General
Counsel. Effective Date: August 10, 2001 Page 20 37 11 5A 5. What is the Purpose of the Negotiated Grievance Procedure (NGP)?
The NGP provides a forum to resolve employee, union, and management complaints
arising out of the collective bargaining agreement at the lowest level of the authority.
The procedure recognizes that the lowest level of authority may have the authority to
resolve the complaint and the NGP provides for three progressive steps for the purpose of
narrowing each party's contentions prior to a final decision.
6. What Is Grievable Under an NGP?
All SBA collective bargaining agreements cover virtually any complaint or
dissatisfaction an employee may have concerning her/his job with the following statutory
exclusions, see 5 U.S.C. Section 7121(c):
a. Violations of subchapter III of Chapter 73 of Title 5, United States Code (relating
to prohibited political activities);
b. Retirement, life insurance, or health insurance;
c. A suspension or removal under Section 7532 of Title 5, United States Code
(relating to national security);
d. Any examination, certification, or appointment (including the examination,
removal or separation during a probationary or trial period); and
e. The classification of any position that does not result in the reduction in (current)
grade or pay of an employee.
7. Can I File a Grievance and an Appeal Simultaneously?
The NGP and 5 U.S.C. Section 7121 provide you with options should SBA remove you,
downgrade you, or suspend you for greater than 14 days due to unsatisfactory
performance, improper conduct, or prohibited personnel practices involving allegations
of discrimination. In each of these types of situations, you may elect to file either a
grievance or an appeal, but not both. The "trigger" for making the option is the timely
filing of either a grievance or an appeal, in writing. Once you exercise your option, you
may not later change your mind and attempt a different procedure to resolve the matter. Effective Date: August 10, 2001 Page 21 37 11 5A 8. Who May File a Grievance Under the Negotiated Agreement?
You may file a negotiated grievance if you are any of the following.
a. If you are an employee covered by a collective bargaining agreement. A quick
reference to determine whether or not you are a member of a bargaining unit is to
check your latest SF 50B at block # 37. If block #37 has a BUS Code of 0033,
0045, 0054, 0150, 0160, or 0170, you are a member of that bargaining unit and
must use its NGP. If block #37 reflects 7777 or 8888, you must use the procedure
described in SOP 37 71. If you find some other code, you should call your
servicing personnelist and ask for an interpretation.
b. If you are an officer of a labor organization you may file a "Union Grievance" on
behalf of the labor organization.
c. If you are an SBA manager or supervisor, you may file an "Agency Grievance"
with the union when you believe the union or its representative violated the
collective agreement.
9. May an Employee File a Grievance Without Union Assistance?
Yes. You or a group of employees may pursue a negotiated grievance without
representation to the final step of the NGP. However, the union, as a party to the
agreement, must be given the opportunity to be present at any discussions between you
and management concerning your grievance and must approve any settlement of the
matter. This is a union's statutory right and is mandatory even if you (or other grievants)
do not want the union present during a discussion.
10. What Is the Source of Authority for Official Time?
Official time for representational activities is authorized (through the collective bargaining process) by 5 U.S.C. Section 7131.
11. What Is the Purpose of "Official Time?"
Official time is a release from regular duty without loss of pay for employees to perform
sanctioned representational activities described in a labor agreement. Supervisors have
the authority to approve and disapprove requests for official time from union
representatives, grievants, and employees. Employee representatives who serve on labor-
management committees may request and receive official time for their participation the
committee. Effective Date: August 10, 2001 Page 22 37 11 5A
12. Who May Request Official Time to File a Grievance?
Employees and Union officials (employee representatives) who are members of a
bargaining unit may request official time to:
a. Discuss a problem or concern prior to filing a grievance provided they follow the
procedures for requesting official time described in the collective bargaining
agreement; and
b. Participate in the grievance procedure, including preparation and presentation of
the grievance.
13. What Does "Reasonable and Necessary" Mean?
The term "reasonable and necessary," as used in our labor agreements, means the amount of time necessary to perform the representational function as efficiently and
quickly as possible.
14. How Is Official Time Documented?
The request for and the approval or disapproval of official time is documented by using
SBA Form 1448, "Representational Time."
15. As the Approving Official, Do I Have Any Latitude in Granting Official Time?
Supervisors should reasonably address official time requests upon their receipt.
a. You may reasonably delay the request based on the "needs of the Agency" to
complete a specific job function or project.
b. You cannot deny an official time request unless you can show or demonstrate that
the use of official time will interfere with the accomplishment of SBA's mission.
Likewise, an aggrieved employee or union representative cannot claim
entitlement to official time without regard to management's needs and
requirements for the performance of assigned work to accomplish SBA's mission.
c. When such conflicts occur:
1. Management can reassign the Union official to a position, without loss of Effective Date: August 10, 2001 Page 23 37 11 5A pay, with duties that are not as essential to the SBA's mission
(management has the responsibility of showing that such a transfer was
warranted); and
2. When there are conflicts between employees' entitlement under Section
7131 of the statute and the entitlement of management under Section 7106
of the statute to manage, the parties must recognize the need for and seek a
reasonable accommodation.
16. Is It Appropriate to Record the Official Time as Administrative Leave on the Time
and Attendance Record?
No. Official time is not leave, but a release from duty to perform sanctioned representational activities on the clock or during regular duty hours. The appropriate
transaction code for use of official time depends on how the time was used. SBA Form
1448, "Request for Representational Time," documents the purpose. Time and
attendance clerks must record on Form CD 440 the transaction code as:
a. 35 - Regular time - Basic Renegotiation or Reopener Negotiations;
b. 36 - Regular Time - Mid-term Negotiations;
c. 37 - Regular Time - On-going Labor-Management Relationship such as,
telephone conference calls with management or union officials, Labor-
Management and partnership council meetings; or
d. 38 - Regular Time - Grievance and appeals. This is the appropriate code for most
union stewards and employees preparing responses to proposed disciplinary and
adverse actions, grievances including grievance arbitration, grievance mediation
and appeals to the Merit System Protection Board. Effective Date: August 10, 2001 Page 24 37 11 5A
17. Do Union Officials and Bargaining Unit Members Have to Document Discussions or
Meetings of Less Than 15 Minutes?
Not always. The Master Agreement (Article 12, Section 4, Absence for Representation)
permits infrequent and unplanned absences without prior approval. The negotiators'
intent was to exempt infrequent calls and visits to union officials of less than 15 minutes
from documentation. This means four or five 10-minute sessions daily should be
documented because they are not "infrequent."
18. If SBA Form 1448, Representation Time, Is Not Complete or All Items (1-6) Are
Checked Without Explaining Why, Should I Withhold My Approval Until I Receive
an Explanation?
Definitely! If the union representative checked all items (1 - 6), the union officials
should provide you with an explanation of the amount of time to be spent on each
category checked. Time and attendance recordkeeping requires appropriate designation
(codes 35 - 38).
19. If an Employee Prepares a Grievance Response After Work Hours, Is It
Appropriate to Authorize Compensatory Time?
No. Official time under 5 U.S.C. Section 7131(d) is an authorization for an employee
who would otherwise be in a duty status. It is a release from regular duties to perform
representational activities. SBA cannot legally authorize "overtime or compensatory
time" (premium pay) under the statute or the Master Agreement for Union officials who
perform representational activities (grievance, negotiation, partnership meetings, labor-
management meetings) outside of their regular duty hours because such activities do not
meet the requirements of 5 U.S.C. Sections 5542 - 3.
20. Is a Union Official Entitled to Earn Compensatory Time for Representational
Work?
No. Employees earn compensatory time by performing regular duties outside of the
regular work day as requested, approved, and documented by SBA Form 454,
"Authorization for Paid Overtime and/or Holiday Work, and for Compensatory
Overtime." Union officials who request to earn compensatory time for religious purposes
may do so, provided supervisors have work assignments that require compensatory
overtime.
Effective Date: August 10, 2001 Page 25 37 11 5A 21. When Union Officials Travel, Who Signs the Travel Authorization and Travel
Voucher?
When Union officials receive a memorandum from the Assistant Administrator for
Human Resources authorizing travel for labor relations matters, their supervisors should
authorize official time for representational activities. Supervisors sign the "Travel
Authorization," SBA Form 21, and the resulting "Travel Voucher," SF 1012, verifying
the appropriation and accounting codes are those provided by the Office of Human
Resources or the specific office authorizing the travel.
22. Who Has the Authority to Sign a Negotiated Settlement Agreement?
The parties to the collective bargaining agreement are:
a. The bargaining unit representative; and
b. The SBA management official having the delegated authority to grant the relief.
However, a servicing personnelist with delegated authority and the Associate
General Counsel for General Law or designee must review and concur on all
settlement agreements before the their execution.
23. What Is Mediation?
Mediation is informal. Rules of evidence do not apply, testimony is not taken, and the
dispute is not "decided" by the mediator. The mediator facilitates discussions, sometimes
with the parties together and sometimes with each side privately.
24. How Does Mediation Work?
The mediator, in effect, creates a new forum where the parties in disagreement can
candidly discuss their cases. The mediator will not reveal anything from private
discussions which one side does not want revealed to the other. Thus, the mediator often
will have more information, and a more complete picture of the problem than either party
alone. By virtue of this unique position, the mediator can often find options for
agreement which were not evident to the parties. Effective Date: August 10, 2001 Page 26 37 11 5A 25. Who Can Request Mediation?
Only the parties (management and union representatives) to a collective bargaining
agreement can request mediation services from the Federal Mediation and Conciliation
Service (FMCS).
26. Why Mediate a Grievance?
You should mediate a grievance to:
a. Facilitate the constructive exchange of views and develop alternative solutions;
b. Narrow or clarify issues; and
c. Provide a cost effective alternative to litigation (arbitration).
27. What Is the Difference Between Mediation and Arbitration? Mediation is... Arbitration is... 1. Fast and less costly 1. Time consuming and
expensive 2. Joint problem solving
and non-adversarial 2. Adversarial proceeding
before an arbitrator 3. Win-win process 3. Win-lose process
28. Is Mediation a Required Step in the Grievance Procedure?
Mediation may occur at any time, and it requires a joint request by the parties.
Supervisors and managers are encouraged to initiate requests for mediation. When either
party refuses to mediate a grievance, the supervisor or manager involved must document
the rationale for not requesting mediation and forward the documentation to the Chief
Operating Officer. All managers and personnel servicing offices are to report any
success stories to the Labor Relations Policy Officer within 10 days of the resolution of
the dispute. Effective Date: August 10, 2001 Page 27 37 11 5A
29. Who Can Invoke Arbitration?
Only the parties (labor and management) to the collective bargaining agreement can
invoke arbitration upon receipt of a final NGP decision.
30. What Is an Unfair Labor Practice (ULP) Charge?
A ULP charge is an allegation by any person that either SBA or a labor organization
engaged in or is engaging in any practice prohibited under 5 U.S.C. Section 7116.
31. Who May File a ULP?
Any person may file a ULP charge against SBA or labor organization. SBA supervisors
and managers who propose to file charges against a labor organization must seek advice
and concurrence of your servicing personnel specialist and the Office of the General
Counsel.
32. What Should I Do If a ULP Charge Is Filed Against Me? You Should ... MANAGER, SUPERVISOR or Management Official Immediately contact your servicing personnel
office and send a copy to SBA's Labor Relations Officer, 409 Third Street, S.W., Washington DC 20416 .
33. Where Do I Get Labor Relations Advice? If you are in... then contact... Office of the Inspector General OIG Personnel Officer at
Headquarters Disaster Assistance Area Office Disaster Area Personnel Officer Regional, District, or Branch
Office Human Resources Operations
Division - Denver Component Headquarters Human Resources Operations Division Headquarters Servicing Center Human Resources Operations
Division Headquarters Effective Date: August 10, 2001 Page 28 37 11 5A
Purposely Left Blank Effective Date: August 10, 2001 Page 29 37 11 5A Chapter 3 Labor Negotiations
1. How Do You Define Labor Negotiation?
It is the mutual obligation of the representatives of labor and management to meet at
reasonable times and bargain in good faith to agree on the conditions of employment
affecting employees, subject to any constraints by Federal law, Government-wide rule, or
a controlling agreement at a higher level in the Agency. The FLRA has consistently held
that "meet and confer" means to negotiate.
2. What Is "Impact and Implementation" (I&I) Bargaining?
I&I bargaining occurs when management provides a labor organization with an
opportunity to bargain over proposed changes in existing conditions of employment
during the life of the collective bargaining agreement. While the decision may be a
management right, the labor organization has the right to offer proposals that reduce the
impact of the change on the bargaining unit and how and/or when the implementation of
the change takes place. The best way for management to avoid ULP charges is avoid
making unilateral changes.
3. What Is the Scope of Bargaining in the Federal Service?
* The statute requires labor and management to meet and negotiate in good faith over
conditions of employment affecting employees in the bargaining unit. The scope of
bargaining includes:
a. Personnel policies, practices, and matters, whether established by rule, regulation,
or otherwise, affecting working conditions, where the FLRA determines that SBA
has no compelling need for any such rule, regulation, or standard operating
procedure;
b. Procedures that management officials will observe in exercising any authority
under the Act; and Effective Date: August 10, 2001 Page 30 37 11 5A
c. Appropriate arrangements for employees adversely affected by the exercise of
any authority under the Act by management officials. *
4. What Matters Are Nonnegotiable? The following matters are nonnegotiable:
a. The Agency's mission, budget, organization, number of employees, and internal
security practices; and b. Issues covered by Federal law or Government-wide rule or regulation.
5. What Is Interest Based Bargaining (I-BB)?
Interest-Based Bargaining (I-BB) is a positive approach to collective bargaining. It uses
the win-win approach proffered by Fisher and Ury in the book Getting to Yes, rather than
traditional concepts based on positional bargaining. I-BB challenges labor and
management to break with the traditional adversarial ways of dealing with each other.
Under this process, labor and management must:
a. Share information on issues or problems and work together to state the issue
clearly;
b. Develop and discuss their respective interests (goals, objectives, or needs);
c. Identify and discuss mutual interests;
d. Raise options and agree on criteria to evaluate options;
e. Discuss options based on the criteria; and
f. Use consensus to reach a solution.
6. Are There Procedures to Resolve Negotiation Disputes and Impasse?
Yes, the procedures are:
a. Mediate the dispute; Effective Date: August 10, 2001 Page 31 37 11 5A b. Either party may request the Federal Service Impasse Panel (FSIP or Panel) to
consider the matter; and
c. Arbitration or third party fact-finding may be used with the authorization or at the
direction of the Panel.
7. How Does a Labor Organization Challenge SBA Policy?
A labor organization challenges SBA regulations and policies within the context of
negotiation. Upon receipt of a union proposal that conflicts with SBA policy,
management's negotiator shall make an initial determination of whether the policy will
stand a compelling need test. In all cases, the management negotiator must seek advice
from SBA's labor relations officer, immediately, if possible, and in no event later than 72
hours of receipt of the union's proposal.
8. What Is the Compelling Need Procedure?
Should management's negotiator assert that a compelling need exists for any SBA policy,
it is a bar to negotiation. A labor organization may challenge this determination of
compelling need by filing an appeal to the FLRA in accordance with 5 C.F.R. Section 2424.
9. What Is the Criteria for a Compelling Need Test?
The "Compelling Need Test" is confined to "internal" SBA policies and regulations,
which are the policies and regulations intended solely for application within SBA as they
relate to personnel policies and practices and matters affecting conditions of employment.
Policies and regulations issued by SBA that apply to other agencies, organizations, or
clients are not subject to a "Compelling Need Test." A policy meets the "Compelling
Need Test" when it:
a. Is essential, as distinguished from helpful or desirable, to the accomplishment of
the mission of the SBA;
b. Is necessary to ensure the maintenance of basic merit principles;
c. Implements a mandate to SBA under law or other outside authority,
implementation is essentially non-discretionary in nature; and d. Establishes uniformity for all or a substantial segment of SBA employees where
the policy is essential to the public interest. Effective Date: August 10, 2001 Page 32 37 11 5A
10. How Do I Handle Negotiability Questions?
As management's chief negotiator, you may declare a union proposal nonnegotiable if:
a. The proposal is in violation of law or appropriate regulation;
b. The proposal is in conflict with management's rights under Section 7106(a) of the
Act; or
c. The proposal is outside the obligation to bargain, i.e., the proposal does not
concern personnel policies, practices, or matters affecting working conditions of
unit employees.
11. What Procedure Do I Follow to Declare a Proposal Nonnegotiable?
You should:
a. Send a copy of the disputed proposal to the Labor Relations Officer, along with
the reasons why you consider the proposal nonnegotiable;
b. Obtain written guidance from SBA's LRO to formally declare the union's proposal
nonnegotiable (the declaration of nonnegotiability must be in writing and
addressed to the union's chief negotiator); and
c. Recognize that the labor organization may appeal SBA's nonnegotiability
determination to the FLRA per 5 C.F.R. Section 2424.
12. Is Official Time, Travel, and Per Diem for Labor Organization Representatives
Negotiable?
For the purpose of negotiating an agreement, official time is authorized by 5 U.S.C.
Section 7131(a). The number of bargaining unit representatives authorized official time
for negotiations shall not exceed the number of persons representing SBA.
The amount of official time for the purpose of representational activities by a labor
organization's employee representatives is negotiable. Whether or not SBA pays travel and per diem for employee representatives of a labor organization is negotiable. Effective Date: August 10, 2001 Page 33 37 11 5A Chapter 4 Third Party Authorities
1. What Is a Third Party?
Third party refers to all neutrals who participate in day-to-day labor relations either
through a collective bargaining agreement or required by statute. The following are third
party neutrals:
a. Independent arbitrators, mediators, and factfinders;
b. Commissioners (mediators) from the Federal Mediation and Conciliation Service
(FMCS);
c. Field investigators, administrative law judges, staff, and members of the Federal
Labor Relations Authority (FLRA); and
d. Factfinders and interest arbitrators from the Federal Service Impasse Panel
(FSIP). . What Is the Function of the Federal Labor Relations Authority (FLRA)? The FLRA performs the following: a. Determines the appropriateness for labor organization representation; b. Supervises, conducts, and certifies bargaining unit elections; c. Resolves issues relating to determining compelling need for Agency rules and d. Resolves issues relating to the failure to bargain in good faith; e. Conducts hearings and resolves unfair labor practice complaints; f. Resolves exceptions to arbitrator's awards; and g. Provides labor-management training and facilitation assistance. . What Is the Function of the Federal Mediation and Conciliation Service (FMCS)?
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regulations;
3 Effective Date: August 10, 2001 Page 34 37 11 5A The FMCS performs the following:
a. Provides assistance when the parties first reach a bargaining impasse. The FMCS
Commissioner's primary objective is to get the parties to agree to a collective
b. list of arbitrators to hear and adjudicate grievances invoked using the arbitration article in the collective bargaining agreement. See 5
c. ing and facilitation assistance. . What Is the Role of the Federal Service Impasse Panel (FSIP)? g process through factfinding and interest arbitration. The President appoints seven members to the Panel. bargaining agreement; Provides the parties with U.S.C. Section 7119(a) and (b); and Provides labor and management train
4
The FSIP assists in resolving impasses from the collective bargainin A member of the Panel may review a factfinder's report and render a decision that
imposes specific contract language upon the parties for the duration of the collective
bargaining agreement. See 5 C.F.R. Parts 2470 - 2473. Effective Date: August 10, 2001 Page 35 37 11 5A Chapter 5 Delegated Authority and Program Responsibilities
1. Who Has Program Responsibility?
By statute, the Administrator has overall responsibility for SBA's Labor Relations
Program. The Administrator delegated to the Associate Deputy Administrator for
Management and Administration (ADA/M&A) the responsibility for overall direction of
the program, including labor-management cooperation in support of the President's
initiative under E.O. 12871 (see appendix 4 of this SOP). The Administrator reserves the
right to approve any negotiated agreement with a labor organization having exclusive
recognition.
2. What Is the ADA/M&A's Role?
The ADA/M&A directs SBA's Labor Relations Program. The ADA/M&A is SBA
management team's chair on the SBA - American Federation of Government Employees
(AFGE) Partnership Council.
3. What Is the Assistant Administrator for Human Resources' Role?
The Assistant Administrator for Human Resources (AA/HR) administers the SBA Labor
Relations Program. The AA/HR or designee(s):
a. Represents the Administrator in labor relations matters with the national
headquarters of labor organizations, negotiates master labor agreement(s)
covering one or more bargaining units, and implements cooperative labor-
management relations initiatives at appropriate SBA levels;
b. Grants exclusive recognition to a labor organization that meets the requirements
for exclusive recognition under the Act as ordered by the FLRA;
c. Consults and negotiates with labor organizations that have exclusive recognition
and conducts any other meetings with labor organizations deemed necessary;
d. Recommends the approval of negotiated agreements with labor organizations
having exclusive recognition with SBA or any of its components; Effective Date: August 10, 2001 Page 36 e. Makes SBA's assertion of nonnegotiability due to a compelling need under
Section 7117 of the Act; 37 11 5A
f. Makes final SBA determinations in connection with any conflict of interest, or r g. Approves requests from SBA managers to pay travel or per diem to SBA l is t h. Provides all employees in SBA bargaining units with an Annual Notification of "Title 5 United States Code Section 7114 includes a ployees (2) An exclusive representative of an appropriate unit in an agency shall be (B) any examination of an employee in the unit by a n (i) the employee reasonably believes (ii) the employee requests representation." i. Updates appendices to this SOP. . What Is the Role of a Regional Administrator? Regional administrators or their designee(s) carry out the labor relations program in their a. Serves as the chair of a Regional Partnership Council with labor organizations b. Serves as SBA's final decision authority on all grievances arising under the NGP c. Reviews and recommends approval of any negotiated agreement or supplements apparent conflict of interest, resulting from employee participation in the
management of a labor organization or acting as a representative of a labo
organization or an individual; employees negotiating on behalf of a certified labor organization (approva
contingent upon payment being clearly in the interests of the Agency consisten
with paragraph 3-13, "Labor Negotiations," of this SOP); and Representational Rights via an SBA Information Notice. This notice must state: requirement that each agency shall annually inform em
of their rights under paragraph (2)(B). given the opportunity to be represented at -- representative of the agency in connection with a
investigation if -- that the examination may result in
disciplinary action against the
employee; and
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regions with HR and OGC who are available to provide advice and assistance. A
regional administrator: having exclusive representational rights in the region; within their region; Effective Date: August 10, 2001 Page 37 37 11 5A to any agreement, as well as any grievance settlement agreements with a labor
d. r region, and refers any appeal to the AA/HR for final Agency determination. . What Is the General Counsel's Role? agreements and supplements to agreements with labor organizations; b. otiated agreement or supplemental agreement within 20 days of its execution for the Administrator's review as required by . ngs, such as unfair labor practice hearings, arbitration proceedings, and meetings with the FSIP and FLRA in matters relating
d. ttlement agreements. . What Is the Role of a Field Office Head? responsible for: that meet the requirements for exclusive recognition as ordered by the FLRA (see paragraph 1-5); b. ate, depending upon whether or not the office is included in a national or consolidated c. ee rights (paragraph 1-4) are protected; * ve labor-management committee or a local partnership council (not parallel) and/or employee and
organization that has exclusive recognition within their region; and Makes an initial determination regarding a conflict of interest in thei 5
Office of General Counsel provides:
a. Legal assistance in negotiating Legal review of a neg 5 U.S.C. Section 7114(c)(1) and (4); c Representation in third party proceedi to the negotiation process; and Legal review of all grievance se
6
District, center, and area office directors are
a. Granting exclusive recognition to labor organizations Negotiating in good faith local or supplemental agreements, as appropri bargaining unit; Ensuring employ d. Establishing, voluntary and where appropriate a cooperati crafting solutions to better serve the small business community; and Effective Date: August 10, 2001 Page 38 37 11 5A e. Requiring his or her managers and supervisors who direct bargaining unit employees to:
(1) Comply with the letter and spirit of this SOP and the provisions of any
applicable negotiated agreement;
(2) Seek advice from their servicing personnel office before engaging in
informal or formal labor-management activities;
(3) Obtain clearance or concurrence of union/employee grievance settlement
offers from Human Resources and the Office of General Counsel before
finalizing any (oral or written) settlement;
(4) Comply with the applicable leave regulations, including the proper
recording of approved official time use and any applicable negotiated
agreement when approving requests from union representatives for official
time; and
