09:0716(86)NG - AFGE Local 2l92 and VA Region Office, St. Louis, MO -- 1982 FLRAdec NG
[ v09 p716 ]
09:0716(86)NG
The decision of the Authority follows:
9 FLRA No. 86 AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 2192 Union and VETERANS ADMINISTRATION REGIONAL OFFICE, ST. LOUIS, MISSOURI Agency Case No. O-NG-420 DECISION AND ORDER ON NEGOTIABILITY ISSUES THE PETITION FOR REVIEW IN THIS CASE COMES BEFORE THE FEDERAL LABOR RELATIONS AUTHORITY (THE AUTHORITY) PURSUANT TO SECTION 7105(A)(2)(E) OF THE FEDERAL SERVICE LABOR-MANAGEMENT RELATIONS STATUTE (THE STATUTE) (5 U.S.C. 7101 ET SEQ.). THE ISSUE PRESENTED IS THE NEGOTIABILITY OF FIVE UNION PROPOSALS. /1/ UPON CAREFUL CONSIDERATION OF THE ENTIRE RECORD, INCLUDING THE PARTIES' CONTENTIONS, THE AUTHORITY MAKES THE FOLLOWING DETERMINATIONS. UNION PROPOSAL 1 SECTION 1: THE PARTIES AGREE THAT CRITICAL ELEMENTS OF A POSITION USED FOR PERFORMANCE APPRAISAL PURPOSES WILL BE BASED ONLY ON THE GRADE-CONTROLLING FACTORS OF A POSITION FOR WHICH THERE WILL BE AN ACCURATE POSITION OR JOB DESCRIPTION. SUCH CRITICAL ELEMENTS FOR PERFORMANCE APPRAISALS WILL BE WEIGHTED IN DIRECT PROPORTION TO THE RELATIVE IMPORTANCE IN GRADE DETERMINATION. EACH EMPLOYEE WILL BE GIVEN A COPY OF THE CRITICAL ELEMENTS FOR THEIR POSITION AT THE BEGINNING OF THE APPRAISAL YEAR. (ONLY THE UNDERSCORED PORTIONS OF THE PROPOSAL HAVE BEEN ALLEGED TO BE OUTSIDE THE DUTY TO BARGAIN.) THE AGENCY CONTENDS, AND THE AUTHORITY AGREES, THAT THE UNDERSCORED PORTIONS OF THE PROPOSAL ARE INCONSISTENT WITH AGENCY MANAGEMENT'S RIGHTS TO "DIRECT" EMPLOYEES AND "ASSIGN WORK" UNDER SECTION 7106(A)(2)(A) AND (B) OF THE STATUTE BECAUSE THEY WOULD PRECLUDE THE AGENCY FROM IDENTIFYING AS A CRITICAL ELEMENT ANY JOB ELEMENT WHICH IS NOT GRADE-CONTROLLING. IN THIS RESPECT, THE PROPOSAL IS IDENTICAL TO PROPOSALS IN AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 3804 AND FEDERAL DEPOSIT INSURANCE CORPORATION, CHICAGO REGION, ILLINOIS, 7 FLRA NO. 34 (1981), AND AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 1968 AND DEPARTMENT OF TRANSPORTATION, SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, MASSENA, NEW YORK, 5 FLRA NO. 14 (1981), REQUIRING THAT CRITICAL ELEMENTS OF A POSITION BE BASED ONLY ON THE GRADE-CONTROLLING FACTORS OF THE POSITION, WHICH THE AUTHORITY HELD TO BE OUTSIDE THE DUTY TO BARGAIN UNDER SECTION 7106(A)(2)(A) AND (B). THEREFORE, FOR THE REASONS SET FORTH IN DETAIL IN FEDERAL DEPOSIT INSURANCE CORPORATION AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, THE UNDERSCORED PORTIONS OF THE DISPUTED PROPOSAL IN THIS CASE MUST BE HELD TO BE OUTSIDE THE DUTY TO BARGAIN. ACCORDINGLY, PURSUANT TO SECTION 2420.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), IT IS ORDERED THAT THE PETITION FOR REVIEW OF THE UNDERSCORED PORTIONS OF UNION PROPOSAL 1 BE, AND IT HEREBY IS, DISMISSED. UNION PROPOSAL 2 SECTION 2: STANDARDS USED FOR MEASUREMENT OF PERFORMANCE FOR CRITICAL ELEMENTS OF THE JOB WILL BE FAIR, OBJECTIVE, REASONABLE AND DIRECTLY RELATED TO AN EMPLOYEE'S OFFICIAL POSITION. STANDARDS OF PERFORMANCE WILL MAKE ALLOWANCE FOR FACTORS BEYOND THE CONTROL OF THE EMPLOYEE. SUCH STANDARDS WILL BE IN WRITING AND GIVEN TO EMPLOYEES AT THE BEGINNING OF THE APPRAISAL YEAR. (ONLY THE UNDERSCORED PORTIONS OF THIS PROPOSAL HAVE BEEN ALLEGED TO BE OUTSIDE THE DUTY TO BARGAIN.) CONTRARY TO THE AGENCY'S CONTENTIONS, THE AUTHORITY FINDS THAT THE UNDERSCORED PORTIONS OF THE PROPOSAL WOULD NOT BE DETERMINATIVE OF THE CONTENT OF PERFORMANCE STANDARDS. FURTHER, CONTRARY TO THE AGENCY'S POSITION, THE PROPOSAL WOULD NOT ESTABLISH CRITERIA FOR THE CONTENT OF PERFORMANCE STANDARDS WHICH ARE INCONSISTENT WITH THOSE PROVIDED IN 5 U.S.C. 4302(B)(1). /2/ RATHER, THE PROPOSAL WOULD PROVIDE A CONTRACTUAL STANDARD OF OBJECTIVITY AND JOB-RELATEDNESS BY WHICH AGENCY ACTION UNDER ITS PERFORMANCE STANDARDS MAY BE REVIEWED. IN THIS REGARD, THE PROPOSAL IS IDENTICAL TO UNION PROPOSAL 2 IN FEDERAL DEPOSIT INSURANCE CORPORATION, SUPRA, WHICH THE AUTHORITY FOUND TO BE WITHIN THE DUTY TO BARGAIN BECAUSE THE PROPOSAL ESTABLISHED GENERAL, NONQUANTITATIVE REQUIREMENTS BY WHICH THE APPLICATION OF PERFORMANCE STANDARDS ESTABLISHED BY MANAGEMENT COULD SUBSEQUENTLY BE EVALUATED IN A GRIEVANCE BY AN EMPLOYEE WHO BELIEVED THAT HE OR SHE HAD BEEN ADVERSELY AFFECTED BY THE APPLICATION OF SUCH STANDARDS. THEREFORE, FOR THE REASONS MORE FULLY SET FORTH IN FEDERAL DEPOSIT INSURANCE CORPORATION AND, AS REFERENCED THEREIN, AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 32 AND OFFICE OF PERSONNEL MANAGEMENT, WASHINGTON, D.C., 3 FLRA 783, 789 (1980), THE UNDERSCORED PORTION OF THE PROPOSAL IS CONSISTENT WITH LAW AND IS WITHIN THE DUTY TO BARGAIN. ACCORDINGLY, PURSUANT TO SECTION 2424.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), IT IS ORDERED THAT THE AGENCY SHALL UPON REQUEST (OR AS OTHERWISE AGREED TO BY THE PARTIES) BARGAIN CONCERNING UNION PROPOSAL 2. /3/ UNION PROPOSAL 3 SECTION 3: EMPLOYEE'S ANNUAL PERFORMANCE RATING WILL BE THE RESULT OF THE APPLICATION OF STANDARDS OF PERFORMANCE TO THE APPROPRIATE CRITICAL ELEMENTS OF A POSITION ESTABLISHED IN ACCORDANCE WITH SECTIONS 1 AND 2 ABOVE. ALL PERFORMANCE APPRAISALS SHALL BE IN WRITING, GIVEN TO THE EMPLOYEE AND STATE IN DETAIL THE BASIS FOR THE RATING. THE EMPLOYEE SHALL BE GIVEN ADEQUATE OPPORTUNITY TO IMPROVE PERFORMANCE, NOT LIMITED TO THE STATUTORY NOTICE PERIOD, AND MANAGEMENT WILL MAKE A SINCERE EFFORT TO ASSIST THE EMPLOYEE IN IMPROVING PERFORMANCE TO THE LEVEL REQUIRED. (ONLY THE UNDERSCORED PORTION OF THIS PROPOSAL HAS BEEN ALLEGED TO BE OUTSIDE THE DUTY TO BARGAIN.) THE UNDERSCORED PORTION OF THIS PROPOSAL, IN PART, CONCERNS THE DURATION OF THE PERFORMANCE APPRAISAL CYCLE AND THE APPLICATION OF PERFORMANCE STANDARDS TO EACH ELEMENT OF AN EMPLOYEE'S JOB. IN THIS RESPECT THE PROPOSAL IS IDENTICAL TO PROPOSALS IN FEDERAL DEPOSIT INSURANCE CORPORATION, SUPRA, AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, SUPRA, ESTABLISHING THE FREQUENCY OF PERIODIC PERFORMANCE APPRAISALS WHICH WERE HELD NEGOTIABLE. THEREFORE, FOR THE REASONS SET FORTH IN DETAIL IN FEDERAL DEPOSIT INSURANCE CORPORATION AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, THE UNDERSCORED PORTION OF THE PROPOSAL IS WITHIN THE DUTY TO BARGAIN TO THE EXTENT IT WOULD ESTABLISH THE DURATION OF AN APPRAISAL CYCLE. FINALLY, INSOFAR AS THIS PROPOSAL WOULD REQUIRE CRITICAL ELEMENTS OF A POSITION AND PERFORMANCE STANDARDS TO BE ESTABLISHED IN ACCORDANCE WITH THE DISPUTED PORTION OF UNION PROPOSAL 1, SUPRA, PREVIOUSLY DETERMINED HEREIN TO BE OUTSIDE THE DUTY TO BARGAIN UNDER SECTION 7106 OF THE STATUTE, UNION PROPOSAL 3 IS LIKEWISE OUTSIDE THE DUTY TO BARGAIN. ACCORDINGLY, PURSUANT TO SECTION 2424.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), IT IS ORDERED THAT THE AGENCY SHALL UPON REQUEST (OR AS OTHERWISE AGREED TO BY THE PARTIES) BARGAIN CONCERNING UNION PROPOSAL 3 TO THE EXTENT SET FORTH ABOVE. /4/ UNION PROPOSAL 4 SECTION 4. THERE SHALL BE NO SECRET STUDIES BEARING ON PERFORMANCE APPRAISALS. ALL STUDIES CONDUCTED BY THE EMPLOYER WILL BE CONDUCTED ON TYPICAL WORKERS UNDER NORMAL WORKING CONDITIONS. THE UNION SHALL PARTICIPATE ON AN EQUAL BASIS IN THE DEVELOPMENT OR REVISION OF ALL MEASURES OF PERFORMANCE AND STUDIES INCLUDING BUT NOT LIMITED TO SELECTION OF TYPICAL WORKERS AND CONDITIONS. IF AGREEMENT CANNOT BE REACHED, FORMAL NEGOTIATIONS WILL BE CONVENED. ANY IMPASSE WILL BE REFERRED TO THE FEDERAL SERVICE IMPASSES PANEL FOR RESOLUTION. (ONLY THE UNDERSCORED PORTION OF THIS PROPOSAL HAS BEEN ALLEGED TO BE OUTSIDE THE DUTY TO BARGAIN.) BASED ON THE RECORD IN THIS CASE IT APPEARS THAT THE UNDERSCORED PORTION OF THE PROPOSAL WOULD REQUIRE BARGAINING TO IMPASSE WITH THE UNION AS AN EQUAL PARTNER IN DETERMINING THE SPECIFIC CONTENT OF PARTICULAR PERFORMANCE STANDARDS. IN THIS REGARD, IT IS IDENTICAL TO PROPOSALS THE AUTHORITY HELD TO BE OUTSIDE THE DUTY TO BARGAIN IN FEDERAL DEPOSIT INSURANCE CORPORATION, SUPRA, AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, SUPRA. IN EACH OF THESE CASES, THE PROPOSAL AT ISSUE WAS FOUND TO REQUIRE BARGAINING WITH THE UNION CONCERNING THE CONTENT OF PERFORMANCE STANDARDS AND, THEREFORE, TO BE INCONSISTENT WITH MANAGEMENT'S RIGHTS TO DIRECT EMPLOYEES AND TO ASSIGN WORK UNDER SECTION 7106(A)(2)(A) AND (B). THEREFORE, FOR THE REASONS MORE FULLY SET FORTH IN THOSE CASES, UNION PROPOSAL 4 HEREIN IS OUTSIDE THE DUTY TO BARGAIN. ACCORDINGLY, PURSUANT TO SECTION 2424.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), IT IS ORDERED THAT THE PETITION FOR REVIEW OF THE UNDERSCORED PORTION OF UNION PROPOSAL 4 BE, AND IT HEREBY IS, DISMISSED. UNION PROPOSAL 5 SECTION 6: ANY DISPUTES UNDER THIS ARTICLE MAY BE RESOLVED UNDER THE NEGOTIATED GRIEVANCE PROCEDURE INCLUDING BUT NOT LIMITED TO: (1) CHALLENGES TO THE CRITICAL ELEMENTS OF A POSITION. (2) THE MEASURE OF PERFORMANCE AS SET FORTH IN PERFORMANCE STANDARDS. (3) THE PERFORMANCE APPRAISAL ITSELF. (4) ANY DISPUTED ACTION TAKEN AS A RESULT OF A PERFORMANCE APPRAISAL WILL BE TREATED AS ANY OTHER DISCIPLINARY MATTER. (5) ANY DISPUTE UNDER THIS ARTICLE THAT IS MADE THE SUBJECT OF AN APPEAL OR GRIEVANCE WILL BE STAYED UNTIL A FINAL DECISION IS RENDERED ON THE DISPUTED ISSUE. (ONLY THE UNDERSCORED PORTIONS OF THE PROPOSAL HAVE BEEN ALLEGED TO BE OUTSIDE THE DUTY TO BARGAIN.) SUBSECTIONS (1) AND (2) OF THE PROPOSAL WOULD PROVIDE FOR REVIEW IN A NEGOTIATED GRIEVANCE PROCEDURE OF THE AGENCY'S IDENTIFICATION OF THE CRITICAL ELEMENTS OF A POSITION AND ESTABLISHMENT OF PERFORMANCE STANDARDS. AN IDENTICAL PROPOSAL WAS DISPUTED IN FEDERAL DEPOSIT INSURANCE CORPORATION, SUPRA, AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, SUPRA. IN THOSE DECISIONS, THE AUTHORITY HELD THAT BY PROVIDING FOR ARBITRAL REVIEW OF THE AGENCY'S IDENTIFICATION OF THE CRITICAL ELEMENTS OF A POSITION AND THE ESTABLISHMENT OF PERFORMANCE STANDARDS, THE PROPOSALS WERE INCONSISTENT WITH AGENCY MANAGEMENT'S RIGHTS TO DIRECT EMPLOYEES AND ASSIGN WORK UNDER SECTION 7106(A)(2)(A) AND (B) OF THE STATUTE. THUS, FOR THE REASONS MORE FULLY SET FORTH IN FEDERAL DEPOSIT INSURANCE CORPORATION, AND SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION, SUBSECTIONS (1) AND (2) OF UNION PROPOSAL 5 ARE OUTSIDE THE DUTY TO BARGAIN. AS TO SUBSECTION (5), WHICH PROVIDES FOR THE STAYING OF AN AGENCY ACTION PENDING A FINAL DECISION ON APPEAL OR THROUGH THE NEGOTIATED GRIEVANCE PROCEDURE WITH RESPECT TO DISPUTES ARISING UNDER THE PERFORMANCE STANDARD SECTION, THE AUTHORITY, IN AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, AFL-CIO, LOCAL 1999 AND ARMY-AIR FORCE EXCHANGE SERVICE, DIX-MCGUIRE EXCHANGE, FORT DIX, NEW JERSEY, 2 FLRA 152 (1979), ENFORCED SUB NOM. DEPARTMENT OF DEFENSE V. FLRA, 659 F.2D 1140 (D.C. CIR. 1981), CERT. DENIED SUB NOM. AFGE V. FLRA, . . . U.S. . . ., 102 S.CT. 1443 (1982), HELD THAT PROPOSALS WHICH ESTABLISHED PROCEDURES UNDER 7106(B)(2) OF THE STATUTE WERE WITHIN THE DUTY TO BARGAIN UNLESS THE AGENCY WAS PREVENTED BY SUCH PROCEDURES FROM ACTING AT ALL. IN THAT CASE, THE AUTHORITY HELD THAT A PROPOSAL PROVIDING FOR A STAY OF AGENCY ACTION PENDING AN ARBITRATOR'S AWARD WAS WITHIN THE DUTY TO BARGAIN BECAUSE IT DID NOT PREVENT THE AGENCY FROM ACTING AT ALL. THUS, IF THE DISPUTED PROPOSAL HAD PROVIDED ONLY FOR THE STAYING OF AGENCY ACTION PENDING A FINAL DECISION THROUGH THE NEGOTIATED GRIEVANCE PROCEDURE IT WOULD HAVE BEEN WITHIN THE DUTY TO BARGAIN. SEE ALSO AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES, LOCAL 547, AFL-CIO AND VETERANS ADMINISTRATION MEDICAL CENTER, TAMPA, FLORIDA, 4 FLRA NO. 50 (1981), ENFORCED SUB NOM. VETERANS ADMINISTRATION MEDICAL CENTER, TAMPA, FLORIDA V. FLRA, 675 F.2D 260 (11TH CIR. 1982). HOWEVER, THE DISPUTED PROPOSAL ALSO PROVIDES FOR A STAY OF AN AGENCY ACTION PENDING AN APPEAL. IT IS CONCLUDED THAT THE TERM "APPEAL" MEANS AN APPEAL TO THE MERIT SYSTEMS PROTECTION BOARD (MSPB) UNDER 5 U.S.C. 7701, WHICH APPEAL IS REFERENCED IN SECTION 7121(E)(1) OF THE STATUTE. /5/ THUS, THE PROPOSAL IS NOT MATERIALLY DIFFERENT FROM THE PROPOSAL IN NATIONAL TREASURY EMPLOYEES UNION AND DEPARTMENT OF THE TREASURY, U.S. CUSTOMS SERVICE, 9 FLRA NO. 70 (1982), WHICH PROVIDED FOR STAYING THE EFFECT OF ANY AGENCY DECISION AGAINST ANY EMPLOYEE PENDING THE OUTCOME OF ANY APPEAL TO MSPB. IN THAT CASE, THE AUTHORITY HELD THAT SINCE MSPB REQUIRES FINAL AGENCY ACTION AS A PREREQUISITE TO AN EXERCISE OF ITS APPELLATE JURISDICTION, THE REQUIREMENT OF A STAY OF AGENCY ACTION PENDING AN APPEAL TO MSPB WOULD RESULT IN AGENCY ACTION BEING STAYED PERMANENTLY AND, THEREFORE, THE AGENCY WOULD BE PREVENTED FROM ACTING AT ALL TO EXERCISE ITS RIGHTS UNDER SECTION 7106(A)(2)(A) OF THE STATUTE. THUS, FOR THE REASONS MORE FULLY SET FORTH IN NATIONAL TREASURY EMPLOYEES UNION, SUPRA, SUBSECTION (5) OF THE DISPUTED PROPOSAL IS OUTSIDE THE DUTY TO BARGAIN BECAUSE IT REQUIRES A STAY OF AGENCY ACTION PENDING A FINAL DECISION IN AN APPEAL TO MSPB. ACCORDINGLY, PURSUANT TO SECTION 2424.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), IT IS ORDERED THAT THE PETITION FOR REVIEW AS TO SUBSECTIONS (1) AND (2) OF UNION PROPOSAL 5 BE, AND IT HEREBY IS, DISMISSED. FURTHER, PURSUANT TO SECTION 2424.10 OF THE AUTHORITY'S RULES AND REGULATIONS (5 CFR 2424.10 (1981)), BECAUSE SUBSECTION (5) OF UNION PROPOSAL 5 REQUIRES THE STAYING OF A FINAL DECISION PENDING APPEAL, IT IS ORDERED THAT THE PETITION FOR REVIEW BE, AND IT HEREBY IS, DISMISSED. ISSUED, WASHINGTON, D.C., AUGUST 3, 1982 RONALD W. HAUGHTON, CHAIRMAN HENRY B. FRAZIER III, MEMBER LEON B. APPLEWHAITE, MEMBER FEDERAL LABOR RELATIONS AUTHORITY --------------- FOOTNOTES$ --------------- /1/ THE AGENCY WITHDREW ITS ALLEGATIONS OF NONNEGOTIABILITY AS TO TWO OTHER PROPOSALS WHICH HAD BEEN APPEALED BY THE UNION IN THE INSTANT CASE. CONSEQUENTLY, THE DISPUTES AS TO THOSE PROPOSALS HAVE BEEN RENDERED MOOT AND THEY WILL NOT BE FURTHER CONSIDERED HEREIN. /2/ 5 U.S.C. 4302(B)(1) PROVIDES AS FOLLOWS: SEC. 4302. ESTABLISHMENT OF PERFORMANCE APPRAISAL SYSTEMS . . . . (B) UNDER REGULATIONS WHICH THE OFFICE OF PERSONNEL MANAGEMENT SHALL PRESCRIBE, EACH PERFORMANCE APPRAISAL SYSTEM SHALL PROVIDE FOR-- (1) ESTABLISHING PERFORMANCE STANDARDS WHICH WILL, TO THE MAXIMUM EXTENT FEASIBLE, PERMIT THE ACCURATE EVALUATION OF JOB PERFORMANCE ON THE BASIS OF OBJECTIVE CRITERIA (WHICH MAY INCLUDE THE EXTENT OF COURTESY DEMONSTRATED TO THE PUBLIC) RELATED TO THE JOB IN QUESTION FOR EACH EMPLOYEE OR POSITION UNDER THE SYSTEM(.) /3/ IN DECIDING THAT UNION PROPOSAL 2 IS WITHIN THE DUTY TO BARGAIN, THE AUTHORITY, OF COURSE, MAKES NO JUDGMENT AS TO THE MERITS THEREOF. /4/ IN DECIDING THAT UNION PROPOSAL 3 IS WITHIN THE DUTY TO BARGAIN TO THE EXTENT INDICATED, THE AUTHORITY, OF COURSE, MAKES NO JUDGMENT AS TO THE MERITS THEREOF. /5/ SECTION 7121(E)(1) PROVIDES, IN PERTINENT PART, AS FOLLOWS: SEC. 7121. GRIEVANCE PROCEDURES . . . . (E)(1) MATTERS COVERED UNDER SECTIONS 4303 AND 7512 OF THIS TITLE WHICH ALSO FALL WITHIN THE COVERAGE OF THE NEGOTIATED PROCEDURE MAY, IN THE DISCRETION OF THE AGGRIEVED EMPLOYEE, BE RAISED EITHER UNDER THE APPELLATE PROCEDURES OF SECTION 7701 OF THIS TITLE OR UNDER THE NEGOTIATED GRIEVANCE PROCEDURE, BUT NOT BOTH.