COLLECTIVE BARGAINING AGREEMENT
between
U.S. ENVIRONMENTAL PROTECTION AGENCY
and
THE AMERICAN FEDERATION OF GOVERNMENT EMPLOYEES
The effective date of this agreement is August 1, 2007
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This publication contains the AFGE/EPA Master Collective
Bargaining Agreement effective August 1,2007, and the
AFGE/PARS Agreement of February 14,2007. AFGE
bargaining unit employees are encouraged to familiarize
themselves with both agreements and keep this publication as a
reference.
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Table fff Contents
Title
Recognition and Unit Description
Definition
Governing Laws and Regulations
Rights of the Employer
Union Rights and Duties
Union Activities
Labor-Management Relations
Employee Rights
Professional Employees
Dues Withholding
Use of Agency Facilities
Child Care Facilities
Employee Counselling and Assistance Program
Fitness and Wellness Centers
Drug Free Work Place
Worker's Compensation
Medical Examinations
Smoking Policy
Employee Pantry/Kitchenette Facilities
Health and Safety
Computer Displays and Workstations
Flexiplace
Hours of Work
Overtime
Leave
Human Resources Development
Awards
Merit Promotion
Career Ladder Promotions
Reassignment
Details
Selective Placement Programs
Position Classification
Reduction in Force and Transfer of Function
Contracting Out
Equal Employment Opportunity
Disciplinary and Adverse Actions
Negotiated Grievance Procedure
Arbitration
Supplemental Agreements/Mid-term Bargaining
Duration
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Article 1
Recognition and Unit Description
Section 1: Parties to the Agreement
This Agreement is entered into between the American Federation of Government Employees,
Council 238 (hereafter referred to as "the Union" or "AFGE") and the Environmental Protection
Agency (hereafter referred to as "the Agency" or "EPA"), and collectively referred to as "the
Parties". This Agreement shall be clearly identified as an Agreement between the Parties.
Section 2: Applicability
The provisions of this Agreement are applicable solely to employees and positions in the units of
exclusive recognition by AFGE as certified by the Federal Labor Relations Authority in case
numbers 22-09130(UC)-001 (non-professional) and 22-09130(TJC)-002 (professional), dated
January 8,1980, as amended, and all subsequent FLRA certifications and/or clarifications, which
are included herein by reference.
Section 3: The Parties shall maintain copies of current applicable Federal Labor Relations
Authority AFGE/EPA bargaining unit certifications.
Section 4: EPA shall post a current list of AFGE Council 238 national bargaining units as
certified by the FLRA on the Agency's intranet site.
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Article 2
Definitions
Section 1: The following words and terms have the meanings given to them for the purposes of
this Agreement:
A. "Employer", "Agency", or "Management" means the United States Environmental
Protection Agency and its authorized representatives including supervisors and
management officials.
B. "Union" means the American Federation of Government Employees, AFL-CIO, Council
238 or Local and its designated representatives and agents.
C. "Government" means the Government of the United States of America.
D. "Unit" means the consolidated bargaining unit for which the Union is the exclusive
representative within the Agency.
E. "Local Level" means the location at which an election was conducted to determine
whether the Union should become the exclusive representative (e.g. a Regional Office is
a local level). For the purposes of this Agreement, the part of the Union located at the
Agency's headquarters is a local level.
F. "Representative", "Agent", or "Spokesperson" means an individual expressly designated
and authorized by one of the Parties to speak for an make commitments on behalf of that
Party.
G. "Agreement" means this collective bargaining agreement.
H. "Official time" means paid time when an employee would otherwise be in a duty status.
It is an excusal from an employee's regular duties under the circumstances and conditions
set forth in this Agreement.
I. "Laws" and "Statutes" means the Federal laws and Statutes of the United States.
J. "Regulations" means the written official policy of EPA and applicable Government-Wide
rule or regulation.
K. "The Statute" means the Federal Service Labor-Management Relations Statute, Public
Law 95-454.
Section 2: Other words and terms used in this Agreement:
A. Where other words or terms are defined in an applicable law or regulation they shall have
that meaning.
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B. Where words or terms are not defined in this Agreement, by applicable law or regulation,
they shall have their dictionary meaning (Webster's Unabridged).
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Article 3
Governing Laws and Regulations
Section 1: In the administration of all matters covered by this Agreement, the Union, Agency
Officials and Employees shall be governed by applicable Federal Statutes, as well as, published
Agency and Government-Wide regulations in existence at the time this Agreement was
approved.
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Article 4
Rights of the Employer
Section 1: Nothing in this Agreement shall affect the authority of any management official of
the Agency to determine: mission, budget organization and internal security practices.
In accordance with applicable laws: to hire, assign, direct, layoff, and retain employees or to
justly suspend, remove, reduce in grade or pay, or to take other disciplinary action against
employees;
Assign work, make determinations with respect to contracting out, and to determine the
personnel by which agency operations will be conducted;
With respect to filling positions, to make selections for appointments from among properly
ranked and certified candidates for promotion; or any other appropriate source; and take
whatever actions may be necessary to maintain agency operations in emergency situations.
Nothing in this section shall preclude the Agency and the Union from negotiating:
At the election of the Agency: on the numbers, types, and grades of employees or positions
assigned to any organizational subdivision, work project or tour of duty; or on the technology,
methods, and means of performing work;
Procedure which management officials of the Agency will observe in exercising any authority
under this Article; or appropriate arrangements for employees adversely affected by the exercise
of any authority under this section by such management officials.
Section 2: The provisions of this Agreement must be applied and interpreted in a manner
consistent with the requirements of an effective and efficient Government.
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Article 5
Union Rights and Duties
Section 1: Employees shall be protected from restraint, interference, coercion, or discrimination
in the legitimate exercise of their rights and responsibilities as designated representatives of the
Union. Within the confines of laws, rules, and this Agreement, the Union has the right to
designate representatives of its own choosing.
Section 2: The Parties agree to strive to improve communications between Employees and the
Agency; to promote and improve Agency efficiency; and to improve the morale of the
Employees.
Section 3: Bargaining unit employees have the right to participate, through the Union, in the
formulation and implementation of policies and practices affecting conditions of their
employment.
Section 4: The Agency will provide the Union with one copy of all changes to EPA Orders,
Directives, Manuals and issuances relating to personnel policies, practices, procedures and
matters affecting working conditions of the bargaining units.
Section 5: The Agency will furnish to the Union, or its authorized representatives, upon request,
and to the extent not prohibited by law, data concerning the Bargaining Unit(s) which:
A. Is normally maintained by Management in the regular course of business;
B. Is reasonably available and necessary for full and proper discussion, understanding, and
negotiation of subjects within the scope of collective bargaining; and
C. Does not constitute guidance, advice, counsel or training provided for management
officials or supervisors related to collective bargaining.
Information requested will be provided within a reasonable time.
Section 6: The Union is responsible for representing the interests of all Bargaining Unit(s)
employees without discrimination and without regard to labor union membership.
Section 7: The Union shall have the right and responsibility to present its views to the Employer
either orally or in writing.
Section 8: The Union shall be given the opportunity to be represented at any formal discussion
between one or more representatives of the Agency and one or more employees in the unit of
their representation concerning any grievance or any personnel policy or practices or other
general conditions of employment.
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Section 9: If prior to or during any examination of an employee in the unit by a representative
of the Agency in connection with an investigation there is reasonable belief by the employee that
the examination may result in disciplinary action against the employee, and the employee
requests Union representation, the employee has the right to Union representation.
Section 10: The Union will be afforded the opportunity to participate in the orientation process
for bargaining unit employees. Due to the differences in numbers of employees, size and
physical locations at various facilities, the local parties are authorized to negotiate arrangements
to implement this section.
Section 11: The Union shall have the right to communicate with Bargaining Unit(s) employees.
Methods and vehicles used by the Union to communicate with Bargaining Unit(s) employees is a
proper subject for local negotiations.
Section 12: The Agency shall annually inform the employees of their right to Union
representation.
Section 13: Nothing in this Agreement shall be interpreted in a manner that will waive
employee rights under 5 U.S.C. 7102 of the Statute.
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Article 6
Union Activities
Section 1: Bargaining unit employees expressly designated by the Union shall be allowed
official time as Union representatives in accordance with applicable law, rules and regulations.
All official time will be used when an employee would otherwise be in a duty status.
Section 2: The use of official time including attending union-sponsored training by bargaining
unit employees who are Union representatives at the local level is an appropriate matter for local
level bargaining.
Section 3: The National level representative of the Union will granted necessary, reasonable
amounts of official time for National level matters.
Section 4: When it is necessary for a Union representative to leave his/her work station for
representational purposes, the employee will inform his/her immediate supervisor when and
where he/she needs to go, and provide the supervisor with a telephone number where he/she may
be reached when practicable. In the event that a pressing job related need precludes the
immediate excusal of the Union representative, the supervisor will inform the employee of the
earliest time he/she will be permitted to leave the work site. The employee will report to the
supervisor upon his/her return to the work site.
Section 5: At the end of each pay period each Union representative will submit a report of
his/her official time to the official timekeeper. The report will include the amount of time used
each workday with the time characterized by OPM reporting categories for use of official time.
When a complete report is not possible at due time of submission, the Union representative will
submit one as soon as possible.
Section 6: Union representatives will not use official time for internal union business including
solicitation for membership or collection of dues.
Section 7: Employees may request leave without pay to serve as an AFGE representative or
officer or to participate in other union related activities. Approved leave without pay is limited
to one year and may be extended for only one additional year.
Section 8: Official time shall be granted in reasonable and necessary amounts to Union
representatives for representational purposes, except for the following:
The Council President and the Executive Vice President shall be granted up to 100% use of
official time.
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Article 7
Labor/Management Relations
Section 1: The Parties agree to approach dealings with each other in an atmosphere of mutual
respect and cooperation. Nothing in this Agreement is intended to prevent or discourage the
Parties from communicating with each other through their duly appointed representatives at all
levels. To the contrary, the Parties expressly encourage a continuing dialogue by their
representatives in the belief that communication prevents and resolves difficulties which may
arise.
Section 2: Local levels may establish labor relations committees or provisions for periodic
meeting between the Parties. The procedures and processes for such activities are a matter for
local level agreement.
Section 3: At the National and Local levels, the designated representatives will maintain open
lines of communication in the day to day activities involving the Parties' relationship. Where the
Parties believe face to face meetings would be appropriate, they may meet to discuss issues of
mutual concern. The mechanics and procedures for such meetings will be decided by the
representatives based on the circumstances at the time.
Section 4: Union participation on committees which are not management decision process
orientated will be as described in the appropriate subject matter article.
Section 5: The Agency agrees to provide for reasonable accommodation(s) to qualified disabled
employees who participate in labor-management relations activities, either as employees or
Union representatives. This is not intended to apply to internal union business or off-site union-
sponsored training.
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Article 8
Employee Rights
Section I: General. In an atmosphere of mutual respect, all employees shall be treated fairly
and equitably and without discrimination in regard to their political affiliation, Union activity,
race, color, religion, national origin, gender, sexual orientation, marital status, age, or non-
disqualifying handicapping conditions. Employees will also be afforded proper regard for and
protection of their privacy and constitutional rights. It is therefore agreed that the Agency and
the Union will endeavor to establish working conditions which will be conducive to enhancing
and improving employee morale, efficiency and effectiveness to further the mission of the
Agency in protecting human health and the environment.
Section 2: Right to Union Membership. Employees have the right to join and assist the Union
without fear of penalty or reprisal, and each employee shall be protected in the exercise of these
rights. Included among these rights shall be the right to file a grievance and the right to
participate in union activities in the capacity of Union officers, stewards, and representatives to
management committees. Employees also have the right to refrain from these activities.
Employees temporarily assigned to a managerial or supervisory position may not serve as a
Union representative and are temporarily outside the bargaining unit.
Section 3: Right to Private Lives. Subject to applicable law, rule, and regulation, employees
shall have the right to direct and/or fully pursue their private lives, personal welfare and personal
beliefs without interference, coercion or discrimination by the Agency so long as such activities
do not conflict with job responsibilities.
Section 4: Merit Systems Principles. The Parties endorse the following Merit Systems
Principles found in 5 U.S.C. 2301 and agree that they will govern the administration of personnel
management in the Agency.
A. Recruitment should be from qualified individuals from appropriate sources in an
endeavor to achieve a work force from all segments of society, and selection and
advancement should be determined solely on the basis of relative ability, knowledge and
skills* after fair and open competition which assures that all receive equal opportunity.
B. All employees and applicants for employment should receive fair and equitable
treatment in all aspects of personnel management without regard to political affiliation,
race, color, religion, national origin, marital status, age, or handicapping condition, and
with proper regard for their privacy and constitutional rights.
C. Equal pay should be provided for work of equal value, with appropriate consideration
of both national and local rates paid by employers in the private sector, and appropriate
incentives and recognition should be provided for excellence in performance.
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D. All employees should maintain high standards of integrity, conduct, and concern for
the public interest.
E. The federal work force should be used efficiently and effectively.
F. Employees should be retained on the basis of the adequacy of their performance,
inadequate performance should be corrected, and employees should be separated who
cannot or will not improve their performance to meet required standards.
G. Employees should be provided effective education and training in cases in which such
education and training would result in better organizational and individual performance.
H. Employee's should be—
(1) protected against arbitrary action, personal favoritism, or coercion for partisan
political purposes, and
(2) prohibited from using their official authority or influence for the purpose of
interfering with or affecting the result of an election or nomination for election.
I. Employees should be protected against reprisal for the lawful disclosure of information
which the employee reasonably believes evidences—
(1) a violation of any law, rule, or regulation, or
(2) mismanagement, a gross waste of funds, an abuse of authority, or a substantial and
specific danger to public health or safety.
Section 5: Prohibited Personnel Practices. The following personnel practices are prohibited
as described in 5 U.S.C, 2302:
A. Discriminate for or against any employee or applicant for employment on the basis of
race, color, religion, sex, age, handicapping condition, marital status, political affiliation
or national origin.
B. Solicit or consider any recommendation or statement, oral or written, with respect to
any individual who requests o^ is under consideration for any personnel action unless
such recommendation or statement is based on personal knowledge or records of the
person furnishing it and consists of—
(1) an evaluation of the work performance, ability, aptitude, or general qualifications
of such individual; or
(2) an evaluation of the character, loyalty, or suitability of such individual.
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C. Coerce the political activity of any person (including the providing of any political
contribution or service), or take any action against any employee or applicant for
employment for the refusal of any person to engage in such political activity.
D. Deceive, or willfully obstruct any person with respect to such person's right to
compete for employment.
E. Influence and person to withdraw from competition from any position for the purpose
of improving or injuring the prospects of any other person for employment.
F. Grant any preference or advantage not authorized by law, rule, or regulation to any
employee or applicant for employment (including defining the scope or manner of
competition or the requirements for any position) for the purpose of improving or
injuring the prospects of any particular person for employment.
G. Appoint, employ, promote, advance, or advocate for appointment, employment,
promotion, or advancement, in, or to, a civilian position any individual who is a relative
of such employee, if such position is in the agency in which such employee is serving as
a public official or over which such employee exercises jurisdiction or control as such
and official.
H. Take or fail to take or threaten to take or fail to take a personnel action with respect to
any employee or applicant for employment because of—
(1) any disclosure of information by an employee or applicant which the employee or
applicant reasonably evidences—
(a) a violation of any law, rule or regulation, or
(b) gross mismanagement, a gross waste of funds, an abuse of authority, or a
substantial and specific danger to public health or safety, if such disclosure is not
specifically prohibited by law and if such information is not specifically required by
Executive Order to be kept secret in the interest of national defense or the conduct of
foreign affairs; or
(2) any disclosure to the Special Counsel, or to the Inspector General of an agency or
another employee designated by the head of the agency to receive such disclosures of
information which the employee or applicant reasonably believes evidences—
(a) a violation of any law, rule or regulation, or
(b) gross mismanagement, a gross waste of funds, an abuse of authority, or a
substantial and specific danger to public health or safety.
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I. Take or fail to take, or threaten to take or fail to take, any personnel action against any
employee or applicant for employment because of—
(1) the exercise of any appeal, complaint, or grievance right granted by law, rule or
regulation;
(2) testifying for or otherwise lawfully assisting any individual in the exercise of any
right referred to in subparagraph (1);
(3) cooperating with or disclosing information to the Inspector General of an agency,
or the Special Counsel, in accordance with applicable provisions of law; or
(4) refusing to obey an order that would require the individual to violate the law.
J. Discriminate for or against any employee or applicant for employment on the basis of
conduct which does not adversely affect the performance of the employee or applicant or
the performance of others; except that nothing in this paragraph shall prohibit an agency
from taking into account in determining suitability or fitness, any conviction of the
employee or applicant, for any crime under the laws of any State, of the District of
Columbia, or of the United States.
K, Knowingly take, recommend, or approve any personnel action or fail to take,
recommend, or approve any personnel action, if the taking of such action would violate a
veteran's preference requirement.
L. Take or fail to take any other personnel action if the taking of or failure to take such
action violates any law, rule, or regulation implementing, or directly concerning, the
merit system principles contained in Section 4 of this Article.
Section 6: Additional Principles. The Union and the Agency further agree to practice the
following principles:
A. Nothing in this Section is intended to prevent or limit management's right to assign
work and direct employees. Instructions will be given in a reasonable and constructive
manner. To the maximum extent feasible, such instruction will be provided in an
atmosphere that will avoid public embarrassment or ridicule. If an employee is to be
served with a warrant or subpoena, it will be done in private without the knowledge of
other employees to the extent it is within the Agency's control. Nothing in this Section
interferes with the Agency's method and manner in assigning work and directing
employees.
B. In accordance with federal law and the terms of this Agreement, no employee will be
subject to intimidation, coercion, harassment, or unreasonable working conditions as
reprisal for legally protected activity, nor shall any employee be used as an example to
threaten other employees.
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C. When employees receive conflicting orders, they should discuss the matter with their
immediate supervisor to resolve the conflict. In the case of an emergency, the employee
is expected to act with appropriate prudence and responsibility.
D. The Agency will make every reasonable effort to continue to provide for the secure
storage of appropriate personal belongings. When new furniture is installed, the furniture
will contain lockable, secure space for the storage of personal belongings. Any search of
these accommodations must be done in compliance with applicable law, rule and
regulation.
E. An employee is free to resign or retire at any time, to set the effecti ve date of his/her
resignation or retirement, and to have his/her reasons for resigning/retiring entered in
his/her official records. The Agency may permit an employee to withdraw his/her
resignation/retirement at any time before it has become effective. The Agency may
decline a request to withdraw a resignation/retirement before its effective date only when
the Agency has a valid reason and explains that to the employee. A valid reason
includes, but is not limited to, administrative disruption or the hiring or commitment to
hire a replacement, or the presence of an executed settlement agreement.
F. No electronic recording of any conversation between a bargaining unit employee and
a management official may be made without mutual consent, except for Inspector
General Investigations, or other law enforcement investigations conducted by agencies
outside of EPA. When a transcript is made from a recording, the employee will be given
the opportunity to review the transcript for accuracy and the employee will be provided a
copy of both the tape and the transcript, if any. Information obtained in conflict with this
section will not be used as evidence against any employee. This provision does not apply
to the video-taping of training session.
G. When Agency approval of outside employment is required, the Agency agrees to
approve or disapprove an employee's written request to engage in outside employment as
soon as possible. The Ethics Officer or designee will respond in writing and if the
request is denied, the reason for doing so will be included.
Section 7: Right to Voice Concerns.
A. If the employee wishes to discuss a condition of employment or potential grievance
with a Union representative, the employee shall have the right to contact and meet with
the Union representative on duty time.
B. Employees shall also have access to management officials on duty time and in
accordance with this Section. Employees are encouraged to voice their concern at the
lowest level of authority that can effectively correct it. However, employees have the
right to communicate with the following:
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(1) A supervisor or management official of a higher rank than the employee's
immediate supervisor;
(2) The Human Resources Office;
(3) An Equal Employment Opportunity Specialist or Officer and/or an Equal
Employment Opportunity Counselor; and
(4) The Financial Management Officer or designee on matters directly affecting the
employee.
C. Employees will advise their supervisor of the need to contact the aforementioned.
Should a pressing operational exigency preclude the employee's immediate release, the
supervisor will advise the employee of the earliest time he/she may leave the work site.
The employee will give the supervisor an estimated duration of his/her expected absence
and will telephone the supervisor if more time is needed. The employee will not be
requested to discuss the substance of the issue with the supervisor.
Section 8: Right to Representation. Except for grievances submitted under Article 38 of this
Agreement, employees may be represented by an attorney or any other representative of their
choosing, provided there is no conflict of interest. In a grievance submitted under Article 38 of
this Agreement, the employee may choose to represent him or herself, or be represented by a
representative designated by the Union.
Section 9: Right of Access to Documentation.
A. In accordance with applicable laws and regulations, employees have the right to be
made aware of and receive copies of any information specific to them that is maintained
under the Agency's official systems of records as published by EPA in the Federal
Register. Upon request, an employee may see such records and have a copy made of
them. All such records shall be deemed confidential, shall be viewed or disseminated
only to officials/employees with a legitimate administrative need to know, and must be
maintained in a secure location.
B. Employees and/or their authorized representatives shall have the right and shall be
granted a reasonable amount of official time to examine any of their personnel records (as
defined in Article 8, Section 9A above) during their regular work hours and in the
presence of a management official. The employee shall have the right to prepare and
enter on the record, while in duty status, a response to material placed in such records.
C. Access to the employee's personnel records (as defined in Article 8, Section 9A
above) shall be granted to the employee and/or the employee's representative within three
(3) work days of the request if such records are maintained on the premises in which the
employee is located and are readily available. If the records are not so maintained, the
Agency will initiate prompt action to obtain the records from their remote location.
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Section 10: Participation in Voluntary Activities. Employees have the right to participate or
decline to participate in the Combined Federal Campaign, blood donor drives, bond campaigns,
and similar worthy causes on a voluntary basis. This does not preclude giving general publicity
and encouragement to employees to take part in such activities. However, the Agency will not
require or coerce employees to invest their money, donate to charity, or otherwise participate in
these activities. Participation or non-participation will not be used to advantage or disadvantage
employees.
Section 11: Right to Debt Collection.
A. It is recognized that all employees are expected to pay promptly all just financial
obligations. Employee garnishments will be processed in accordance with the provisions
of 5 C.F.R. Parts 581 and 582. The Agency agrees to hold in confidence any and all debt
notices and in the event of a dispute between an employee and a private individual or
firm with respect to an alleged debt or financial obligation, where the debt is not
acknowledged by the employee or reduced to a judgment, the Agency will not act as an
arbitrator nor will the Agency take any action against the employee which is not directly
related to the debt. This provision does not apply to debts against the United States of
America which are considered a just obligation upon presentation to the employee, or to
debts incurred on credit cards issued to the employee for use in Official Government
business.
B. Prior to initiating a collection action through salary offset for a debt against the
United States, the Agency will provide notice to the employee of the employee's rights as
outlined in appropriate regulation, as well as a copy of such regulation, if requested.
Section 12: Right to Proper Payment. The Agency agrees that employees are entitled to their
proper pay or reimbursement at the proper time in the proper amount. The Union and the
Agency endorse the use of electronic deposit of payments by the Agency to the employee. No
sooner than sixty (60) days from the effective date of this Agreement, delivery of payments to
the office will be discontinued. Employees must utilize electronic transfer unless a hardship is
demonstrated. If a hardship waiver is approved, the employee will receive his/her check by mail
at an address designated by the employee for that purpose. If an employee is overpaid, the
Agency will explain to the affected employee the circumstances of the overpayment and will
assist the employee in the completion of a Request for Waiver of Claim for Erroneous Payment.
It is the responsibility of the employee to notify the Agency of overpayment immediately.
In the case of overpayment or underpayment of net pay due to the error of the Agency, the
Agency will expeditiously attempt to correct the overpayment, and reimburse the employee any
interest and penalties incurred by the employee as a result of the overpayment, to the extent
authorized by law, rule and regulation.
Section 13: Right to Notice of Benefits.
A. The Agency will inform employees of the following:
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(1) Notice of Thrift Savings Plan Open Season;
(2) Notice of Federal Employee Health Benefits (FEHB) Open Season;
(3) Copies of FEHB provider brochures;
(4) Timely notice of discontinued service by an FEHB provider;
(5) Notice of any open seasons for Federal Group Life Insurance, and conversion
for other pension systems, etc.
B. Employees in a non-pay status may remain covered by the FEHB program in
accordance with applicable law and regulations.
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Article 9
Professional Employees
Section 1: In addition to the rest of this Agreement, the following provisions in this Article
apply to professional employees.
Section 2: Employees required by the Agency to attend a professional convention or conference
will be in a duty status while in attendance. Travel (if any) to and from such conventions or
conferences will be administered in accordance with the Agency's travel policies and
procedures.
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Article 10
Dues Withholding
Section 1: Withholding. As authorized by 5 U.S.C. § 7115, employees will have their Union
dues withheld through payroll deductions as described more fully below.
Section 2: Eligibility. To be eligible to make a voluntary Union allotment, an employee must:
A. Be a member in good standing with the Union; and
B. Have a regular net salary, after other legal and required deductions, sufficient to cover
the amount of authorized allotments; and
C. Submit an SF-1187 to a designated Union representative.
Section 3: The Agency's payroll/HR system provider allows for:
A. Electronic distribution of an employee's allotment to AFGE National
(Washington D.C.). AFGE Council 238, and each Local Union; the amounts may
vary from Local to Local as well as within a Local.
B. Alphabetical listings of employees whose allotments are terminated or
temporarily suspended citing Nature of Action Code on an SF 50 shall be
provided to the Union at the local level.
Section 4: Responsibilities of the Union. The Union shall:
A. Inform and educate its members of the voluntary nature of the allotment program,
including conditions governing institution of allotments;
B. Provide forms SF-1187 "Request and Payroll Deduction f
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(1) changes in the amount of Union allotments;
(2) changes in the Union officials who may certify and submit SF-1187s and SF-
1188s.
(3) a change in the bank routing number and/or account number used by the
Union for the receipt of dues allotments.
(4) the name of any employee who has been expelled or ceased to be a member of
good standing in the Union within fifteen (15) days after the date of final
determination.
Section 5: Agency Responsibilities. The Agency agrees to:
A. Withhold dues on a bi-weekly basis, at no charge to the Union.
B. Forward to the designated Union officials for approval, copies of SF-1188s received
directly from Union members foT processing;
C. Whenever an employee enters into duty, either for the first time or following a
transfer or reassignment, an SF-1187 will be provided to the employee along with a
welcome letter from the Local President. The SF-1187 and welcome letter will be
provided to the employee at the same time as other forms such as tax withholding forms,
direct deposit of payroll forms, health benefit forms, and similar documents.
D. Within ten (10) days of the close of each pay period, transmit employee dues
withholdings to the bank account designated by the Union.
E. At each servicing Human Resource Office and alternate locations where forms are
normally processed by Human Resources Offices are made available in self service
dispensers, Form SF-1187 will be among the forms made available to employees. The
Union will be responsible for stocking and restocking the dispensers with SF-1187 forms.
F. For each transmittal of dues withholdings, the Agency will provide a dues withholding
report that contains an alphabetical listing of employees, the allotment withheld from
each employee, and the total allotment and total number of employee that had dues
withheld.
G. When an employee's dues are discontinued because the employee has left the
applicable Local or will be placed in non-pay status through a personnel action (SF-52), a
sanitized copy of the document(s) forming the basis for the discontinuance will be
provided to the Union. Examples of such events would generally include, extended
periods of leave without pay, permanent reassignment to a location within the
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consolidated unit represented by a different Local, reassignment or promotion to a
position outside the consolidated unit, termination, and/or resignation.
H. Whenever an employee is reassigned within the consolidated unit, but to an
administrative unit represented by a different Local, the employee's dues withholding
will be remitted to the Local representing employees at the new administrative unit the
first full pay period following the effective date of the reassignment. The amount of dues
withholding remitted to the employee's new Local representative will be equal to the
amount remitted to the employee's previous Local representative, until notified otherwise
by the employee's new Local representative.
I. The Agency will terminate an employee's voluntary allotment on the first full pay
period following: (1) loss of exclusive recognition by the Union, (2) assignment or
reassignment of the employee to an administrative unit outside of any of the Union's
recognized bargaining units, (3) separation of the employee from the Agency, (4) upon
notice from the Union that the employee has been expelled or ceased to be a member in
good standing of the Union, (5) when the agreement for dues withholding is suspended or
terminated by and appropriate authority outside the Agency.
Section 6: Processing Steps to Effect Allotment Withholding. Bargaining unit members, who
wish to join the Union, will have their dues, fees, and assessment, known collectively as
allotments, withheld by payroll deduction by completing a form SF-1187, and submitting it to
officials designated by the Union. These officials will certify the form and include the amount of
allotment to be withheld. The Union will forward the certified form SF-1187 to the Agency
Human Resources Office for transmittal to the Payroll Office for processing. Allotments will be
withheld by the Agency beginning the first bi-weekly pay period after receipt by the payroll
office.
Section 7: Revocation of Allotments.
A. As required by 5 U.S.C. § 7115(a), employees may not revoke their dues
withholding for at least one (1) year after the first deduction: employees must submit a
timely SF-1188, "Cancellation of Payroll Deductions For Labor Organization Dues" to
the designated Union official.
B. "Anniversary date" means the date the employee signed his/her first SF-1187 that
caused the initiation of allotment withholding. If no copy of the initiating SF-1187 can
be located by the Union, then the "Anniversary date" shall be assumed to be a date ten
(10) days prior to the first day of the pay period that the Union allotments were withheld.
C. "Open Season" is unique to each individual and is defined to be thirty (30) days in
length, with the first day being (and including) the date twenty-one (21) days prior to the
anniversary date and ending nine (9) days after the anniversary date.
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D. If the employee does not timely submit a properly completed SF-1188 during the
open season, his/her withholding allotment may not be revoked until his/her next open
season. The SF-1188 submitted by the employee will be returned to the employee by the
Union unprocessed with an explanation attached.
E. When an employee timely submits a properly completed SF-1188, the designated
Union official will indicate the effective date of revocation on the SF-1188, and submit
the form to the Payroll Office via the Human Resources Office. The termination of dues
will occur the first bi-weekly pay period after receipt by the Payroll Office.
Section 8: Reinstatement of Allotment Withholding.
A. When the employee is temporarily detailed, reassigned or promoted to a position
outside the bargaining unit, the Union allotment withholding will restart automatically
when the employee returns to his/her position in the bargaining unit.
B. When an employee previously on dues allotment returns to pay status from non-pay
status, the Agency will automatically reinstate the allotment withholding at the rate in
effect at the time the employee returns to pay status.
C. Upon determination by the Federal Labor Relations Authority or a court, that the
Agency removed a position from the bargaining unit which should have remained in the
unit, and the incumbent(s) was a dues paying member of the Union at the time of
removal, the Agency shall reimburse the Union for any lost dues income due to the
removal from the bargaining unit. Payment to the Union will be made as soon as
possible, generally within two (2) pay periods from the date that the determination was
final. Nothing herein compromises or reduces the remedies available to the Union under
the law.
Section 9: Privacy. The Agency will exercise caution in the retention and release of information
concerning employee dues withholdings and such information will only be released to those
management officials with a "need to know."
Section 10: Correction of Errors.
A. The Agency agrees that any under withholding errors made by the Agency shall be
corrected as soon as practical after the error is discovered by the Agency or after the
Agency has received a written notification from the Union's designated representative of
the error.
B. If an under withholding occurs, the Agency will provide the employee with a written
explanation that indicates the additional amount to be withheld each pay period and the
number of pay periods over which the additional amount will be withheld to correct the
error.
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C. If the Agency, through and administrative error, does not process an approved SF-
1188 timely (over collects from the employee), the Union will be responsible for re-
payment of the employee.
Section IX: Continuation of Existing Agreements. Employees who have a current dues
withholding agreement in effect on the date this Agreement is approved need not execute a new
SF-1187 to come under the provisions of this Agreement.
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Article 11
Use of Agency Facilities
Section 1: The provision of any Agency controlled facilities is a matter for local level
negotiations, to the extent they are within the control of local management and not within a
secured or restricted area. Such facilities include office space, fax machines, electronic mail
boxes, telephones, bulletin boards, meeting rooms, office equipment, and access to review laws,
rules and regulations as the Agency maintains.
Section 2: The national level Union representative may use the same facilities and space
provided to the local Union by Agreement solely between the Union representatives.
Section 3: Use of facilities as stated in Section 1 for national representatives at their duty
locations is a matter for local negotiations.
Section 4: When national level Union representatives visit, the Agency agrees to furnish, when
available, the use of Agency facilities as described in Section I.
Section 5: The Parties agree that office space for the Union could be useful in facilitating
effective representation of unit employees. In the event that office space cannot be provided, the
Agency may bargain with the Union over alternative arrangements, in lieu of office space. This
is a matter for local negotiations.
Section 6: Facilities for membership drives during break and lunch periods is a matter for local
negotiations.
Section 7: Official publications of the Union may not be distributed by designated Union
representatives during duty time.
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Article 12
Child Care Facilities
Section 1: The Parties agree that child care facilities are beneficial to employees and the
Agency.
Section 2: Provisions for child care facilities is a matter for local level negotiations subject to
applicable law and regulations.
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Article 13
Employee Counseling and Assistance Program
Section 1: The Agency and the Union recognize the importance of an Employee Assistance
Program for employees whose job performance is affected by the abuse of alcohol or other
drugs, emotional or mental illness or other personal problems. The success of such a program is
dependent upon participation by both the Agency and the Union. Employee participation in the
program shall be voluntary.
Section 2: It is understood that the employee has the responsibility to maintain acceptable
performance while he/she is on the job. The Agency agrees to consider the employee's personal
problems that are brought to the Agency's attention by the employee when evaluating the
employee's performance or when making assignments of work.
Section 3: Employee counseling may include services provided by a service contracted for by
the Agency, at no charge to the employee, or referral to outside professional treatment and
assistance sources in the local community.
Section 4: The Union shall inform unit members of the existence and operation of the program
and refer those seeking assistance to the Program Coordinator. The Agency will keep the Union
informed concerning the correct telephone numbers and contacts for the Program.
Section 5: On a periodic basis, the Parties shall publicize the Program, including the name of
the Program Coordinator to employees. The Parties hereby give their assurances of
confidentiality for employee participants.
Section 6: The Agency agrees to arrange periodic briefings from staff of the Program for Union
representatives. These briefings will include information about the services provided by the
Program, procedures for obtaining services, and guidance on how to make referrals in an
effective and sensitive way.
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Article 14
Fitness and Wellness Centers
Section 1: The Agency, within budgetary limitations, agrees to provide a wellness/fitness
program. This is a matter for local level bargaining. The Parties recognize that some of the
activities of the Program developed and implemented pursuant to this Article may involve, in
part or in whole, employee financial contributions as well as use of non-duty hours for
participation. The Parties mutually agree that employee wellness is ultimately the individual
responsibility of each employee.
Section 2: Employees who are required by the Agency to maintain a high level of physical and
mental fitness for the performance of their duties may be granted a reasonable amount of time for
exercise. This matter is delegated the local level for bargaining consistent with Section 1 of this
Article.
Section 3: Due to geographic areas and facilities in several locations within one geographic
area, the Parties agree that provisions for Fitness and Wellness Centers are a matter of Local
level bargaining.
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Article 15
Drug Free Workplace
Section 1: The Agency will administer its drug testing program in accordance with Executive
Order 12564, the HHS Mandatory Guidelines for Federal Drug Testing Programs, EPA's Drug-
Free Workplace Plan dated January 1998, other relevant laws and Government-wide regulations,
and this Agreement.
Section 2: Random Testing.
A. The Agency will designate positions subject to random drug testing. Employees
occupying such positions will be notified in writing of this designation on a periodic
basis. Whenever any change is made to a position's designation, the employee will be
notified in writing no later than the next work day.
B. The Agency will provide each employee who is subject to required random testing
with an individual (specific) notice of testing at least thirty (30) days prior to initiating
testing. Such notices will include at a minimum:
(1) That the employee is subject to mandatory random testing;
(2) The consequences of a positive result or refusal to cooperate, including
adverse action;
(3) That after any confirmed positive drug test there will be an opportunity for
them to submit supplemental medical documentation to support the legitimate use
of a specific drug;
(4) That drug abuse counseling and referral services are available through the
Employee Assistance Program (EAP). The employee can seek counseling
voluntarily prior to testing without reprisal. The notice will contain information
on how to contact the EAP.
C. The Agency's drug testing selection methodology shall ensure that employees subject
to testing in an area with an active random testing program will have an equal likelihood
of being selected for testing. The basic required random testing program shall not be
used to single out any individual employee or group of employees for increased
frequency of testing.
D. An employee who is selected to report for random drug testing shall be notified orally
two (2) hours prior to the time he/she is to report. Whenever possible, this oral
notification will be confirmed promptly by electronic mail. Oral notification will be
made as discretely as possible. The employee will be provided the following information
at a minimum:
(1) That he/she was randomly selected and is not under suspicion of taking illegal
drugs;
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(2) Where and when to report for testing;
(3) The consequences of refusing to report for testing, including possible removal;
(4) The employee will be required to sign in at the collection site and provide a
picture identification.
Section 3: Reasonable Suspicion Testing.
A. Reasonable suspicion testing may be required of:
(1) Any employee in a TDP when there is reasonable suspicion that the employee
uses illegal drugs, whether on or off duty, or
(2) Any employee in any position when there is reasonable suspicion of on duty
use or on duty impairment.
B. Prior to directing an employee to testing based on a reasonable suspicion that the
employee uses illegal drugs, the supervisor ordering such testing will receive concurrence
from a higher level official or authorized management official. A written statement will
be prepared that will document the concurrence and articulate the reasons for testing.
Section 4: Methods and Procedures for Testing.
A. All drug testing will be conducted in accordance with the HHS scientific and
technical guidelines. The methods and equipment used will meet the requirements set
forth in the guidelines. The Agency agrees that the following procedure will be utilized
to assure drug testing is reliable:
(1) Affected employees will report at Agency expense to the designated location
to be tested;
(2) Procedures for collecting urine specimens shall allow individual privacy
unless there is reason to believe that a particular individual may alter or substitute
the specimen to be provided;
(3) Laboratory analysis will comply with the HHS technical guidelines in effect at
the time of testing;
(4) If sufficient volume of urine is not initially able to be provided the Agency
will ensure that collection site personnel allow the employee a reasonable amount
of time to produce a sufficient volume;
(5) The collection, handling and transportation of all specimens will be in
accordance with the HHS chain of custody procedures;
(6) An authorized agent will collect all drug testing specimens.
Section 5: Confidentiality and Safeguarding Information.
(1) All samples will be subject to a strict chain of custody in accordance with the
HHS technical guidelines.
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(2) Employees will be guaranteed confidentiality in all matters relating to drug
testing.
(3) Testing laboratories will not provide unconfirmed initial positive test results to
the Agency.
(4) Upon written request, employees will be given access to all records relating to
his/her drug test.
Section 6: Counseling and Rehabilitation.
A. Employees whose tests have been confirmed positive will be referred to the
Employee Assistance Program at no cost to the employee.
B. When feasible, the services of the EAP will be offered at no cost to family members
of employees with substance abuse problems and offered to employees who have family
members with substance abuse problems.
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Article 16
Worker's Compensation
Section 1: The Parties agree that employee(s) or witness(es) should report any occupational on
the job injury, disease or death immediately or as soon as possible to the Agency.
Section 2: The Agency will provide the employee and/or another person, including the Agency
on the employee's behalf, the following information regarding the Department of Labor, Office
of Worker's Compensation Program as cited in 20 C.F.R. Part 10:
A. Information on the right to file claims, including the right to use compensation
benefits in lieu of sick or annual leave;
B. Information on the types of benefits available, including the receipt of forty-five (45)
days of continuation of pay following a traumatic injury;
C. The procedures and correct forms for filing claims.
Section 3: When an on the job injury is reported, the Agency will provide emergency or
appropriate medical treatment for any such injury or illness suffered by an employee while on
the job.
Section 4: The Agency will counsel an injured employee, and/or another person on the
employee's behalf, on options, compensation benefits, and/or types of leave when the injury or
illness causes an absence of more than three (3) days.
Section 5: The Agency will counsel a disabled employee on all aspects of disability retirement,
if appropriate, when a compensation claim is pending. Before removing an employee who has
been on Worker's Compensation benefits (LWOP) for over a year, with no anticipated return to
full duty, the Agency wili provide him/her with possible job options, such as continued long-
term worker's compensation, disability retirement, resignation. There will be no effort to urge
the employee to choose on option over another regarding claims for benefits.
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Article 17
Medical Examinations
Section I: In directing employees to undergo medical examinations, the Agency agrees to
follow 5 C.F.R. Part 339, Medical Qualification Determinations.
Section 2: All records pertaining to the employee's examination and, as applicable, any
subsequent personal information included with an application for disability retirement are
confidential and may be disclosed only to those with an administrative need to know or as
specifically authorized by the subject employee in writing.
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Article 18
Smoking Policy
Section 1: The Agency's and applicable Federal laws, rules and regulations, will be complied
with to ensure a smoke free environment in EPA controlled spaces. This smoke free
environment protects the health and safety of employees and visitors.
A. Smoking is prohibited in all Agency occupied space and vehicles owned or leased by
EPA orGSA.
B. At EPA owned facilities, the Agency will designate outdoor smoking areas, if possible,
which are reasonable accessible to employees and provide a reasonable measure of
protection from the elements. Designation of outdoor areas where smoking is permitted
or prohibited will be subject to local level negotiations, except that every EPA owned
facility will provide a minimum of one (1) outdoor area which will be properly equipped
with ash trays and seating where possible. In GSA owned or leased facility the Agency
will request that such outdoor facilities be provided.
Section 2: The Parties support and encourage efforts by employees to stop smoking. The
Agency shall sponsor or provide a smoking cessation program periodically, as warranted.
Employees will be provided the opportunity to participate in the Agency's smoking cessation
program, at no cost to the employee. Employee participation is voluntary.
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Article 19
Employee Pantry/Kitchenette Facilities
Section 1: The Parties agree that the Agency shall provide pantry/kitchenette facilities for
employees that are safe and well lighted. These areas shall be equipped with a microwave oven
and refrigerator. Where possible, a table and chairs will be provided. The Agency will provide
vending machines with foods and beverages where possible.
Section 2: Vending machines will display a telephone number for obtaining reimbursement for
money lost and for reporting malfunctions during work hours.
Section 3: Local Parties are authorized to negotiate for additional provisions beyond these
minimum requirements.
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Article 20
Health and Safety
Section 1: It is recognized that the health and safety of the employees is a mutual concern of
the Agency and the Union.
A. The Agency shall provide a safe, sound and healthful working environment and
conditions consistent with appropriate health and safety standards and controlling laws.
B. The Parties will also cooperate by encouraging employee to abide by correct safety
practices.
C. Protective equipment shall be provided, maintained, and replaced by the Agency
whenever such equipment is determined to be required for compliance with OSHA, HHS
and NRC regulations for protection against occupational exposure to hazardous
chemicals or biological or radiological irritants which could cause illness or injury, as
defined under OSHA, HHS and NRC Regulations. The Agency shall provide training
when appropriate in the use of all protective equipment, such as respirators, but not
limited to.
Section 2: Employees:
A. Shall comply with OSHA and EPA Occupational Health and Safety Standards, rules,
regulations, and orders;
B. Will use the safety equipment, personal protective equipment and other health and safety
devices provided by die Agency;
C. Shall follow the procedures, provided or as directed, necessary for their protection;
D. Shall report any work related property and personnel accidents, and illnesses to
management; and
E. May decline to perform assigned tasks because of reasonable belief that under the
circumstances the task poses an imminent risk of death or serious bodily harm, coupled
with a reasonable belief that there is insufficient time to effectively seek corrective action
through normal hazard reporting and abatement procedures. Such imminent risk may be
caused by failure of the employer to provide appropriate protective clothing or
equipment.
Section 3: Employees may voluntarily participate in immunization programs when EPA can
provide or offer such services to employees.
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Section 4: On local level health and safety committees, the Union will be permitted to designate
one (1) bargaining unit employee to serve on the committee. The Parties agree that all
confidential information will be protected and treated accordingly. It is understood that such
committees are advisory bodies to management on health and safety issues.
Section 5: The Union will designate a representative for all safety and health matters which are
beyond local scope and impact. The Agency will contact that individual when it is planning
changes or modifications in its national health and safety program which will have an impact on
bargaining unit employees at more than one location.
Section 6: The Agency agrees to furnish the Union the name and location of the Safety and
Health Program Coordinator, Director EHSD, and other officials having responsibilities in the
Safety Program.
Section 7: Union representatives on safety committees shall receive the same training
opportunities as other committee members as a result of their membership on the committee.
Section 8: The Agency agrees to grant the Union access to any Material Data Safety Sheets
maintained or prepared by the Agency, manufacturer or distributor on chemicals to which
bargaining unit employees may be exposed. The Agency agrees to implement the Hazard
Communication Standards.
Section 9: When a health and safety inspection is conducted on the Agency's premises, a Union
representative will be notified in advance and permitted to accompany the inspection team.
Section 10: The Agency may grant administrative excusal to employees because of any
environmental condition problems when unhealthy, or unsafe conditions are such as to actually
prevent working in a safe environment.
Section 11: Where Union representatives are selected for appointment to a Field Federal Safety
Council, they will be in a duty status to attend and participate in Council meetings.
Section 12: It is understood that employees may be required to undergo a medical monitoring
examination. When the Agency provides for additional examinations (available only after all
mandatory examinations), the Agency will give an employee an opportunity to volunteer for the
examination. When there are insufficient examinations available for all volunteers, the Agency
will decide those to be examined based on the duties of employees and their actual or potential
exposure to hazardous conditions.
Section 13:
A. The Agency shall notify an employee involved in a reported job-related accident, as soon
as possible, of all the options, responsibilities, and benefits under the Federal Employee's
Compensation Act.
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B. Consistent with applicable law, the Agency agrees to compile and maintain the
appropriate records involving occupational injuries and illnesses and reported possible
causes of potential injuries and illnesses.
Section 14: If indoor air quality testing is already being conducted which provides the
information listed below, upon request of the local Union health and safety designee, the Agency
shall provide an annual report to the Union of the quality of air in agency work spaces where
bargaining unit employees are located. The report shall contain:
A. Percents of outside ambient air as compared to the American Association of Heating,
Refrigeration, and Air Conditioning Engineers (AAHRACE) standards;
B. Radon, asbestos, volatile organic hydrocarbons, ozone, and carbon monoxide levels.
Section 15: Where available under existing public health programs, the Agency will offer the
opportunity for all employees not covered by the Medical Monitoring Program to participate in
an annual general physical examination program which will include indications of job stress and
management.
Section 16: Union-Management Safety and Health Committees
A. The Agency may agree to establish or continue a joint safety and health committee at the
national and local levels, and funding as available, as provided for in Executive Order
12196,1-3. These committees shall make recommendations to the appropriate
authorities with regard to occupational safety and health, in accordance with 29 CFR Part
1960, Subpart F.
B. National level will have a Safety and Health Committee with equal representatives
appointed by the Union as appointed by the Agency.
C. Each local Safety and Health Committee will have a least one (1) member appointed by
the Union.
Section 17: Upon request, the Agency agrees to provide the Union a copy of all reports of
Safety and Health inspections, accidents, and occupational illnesses, subject to the Privacy Act.
The Parties agree that such information may be sanitized.
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Article 21
Computer Displays and Workstations
Section 1: Within the Agency's infrastructure there are many positions which require extended
periods of time of sitting and working before a desktop and/or laptop computer which includes
monitors for visual display of data.
Section 2: Employees who suspect that an adverse health effect is caused by use of a computer
and its visual display of data may report their condition to their supervisor or the appropriate
health and safety official. The Agency shall review the conditions reported by the employee and,
if recommended by the appropriate Agency health and safety official, implement corrective
measures consistent with Section 4 of this Article.
Section 3: If applicable, rest breaks for positions that require constant monitoring of a video
screen by employees is a matter for local negotiations.
Section 4: The Agency agrees to utilize corrective measures to reduce the effects of any
possible adverse factors on employees and/or their conditions of employment, such as but not
limited to:
(a) Adjustable chairs with the capacity to allow personal adjustment to suit each employee will
be provided to allow optimum comfort for heights, back and tension, and the minimum amount
of physical stress for each employee. Chairs with high or low back, foil length and half length
arms rest, or chairs without arms rests will be provided.
(b) Hoods will be provided for screens when needed to avoid glares and minimize eye strain.
(c) Adjustments to office illumination may be made, consistent with GSA standards, as needed.
(d) All working surfaces and the paneling materials around the workstation shall be low
reflecting to minimize glare and/or contrast problems.
(e) Workstations shall be adjustable so that the angle of employees' forearms is proper for
typing to minimize any adverse effects of repetitive motions.
(f) Positioning of desktop monitors will be at the proper angle to the windows to avoid the
glare.
(g) Avoid placement of monitors near an unshaded or uncovered window.
(h) The Agency will make every reasonable effort to reduce sources of glare surrounding
employees' work station.
(i) Avoid placement of an employee directly under an air vent.
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(j) Provide footrests at work stations where needed.
The above actions are subject to the availability of funds.
Section S: The Agency will apply Article 20 in the provision of adequate and safe ventilation,
safe level of relative humidity, ambient temperature, heat or air conditioning, and proper lighting
in each office.
Section 6: Employees who become pregnant may request a temporary limit on the period of
work at a computer work station, if required by a qualified physician for medical purposes,
request to limit duties will be conditioned upon receipt of certification from the employee s
physician that a change of duties is required for medical purposes.
Section 7: Employees shall report malfunctioning computers to their supervisor or appropriate
information systems office.
Section 8: Should a problem arise involving more than one (1) employee concerning the safety
and health of computer workstations (including physical discomfort, both physical and
psychological stress, etc.), the matter may be referred by the employee (through his/her
supervisor) to the parties' safety and health committee or appropriate agency official, for
investigation and resolution. The investigations shall include, as appropriate, an evaluation of
the workstation design, illumination, glare control, or other specifically identified problems.
Corrective actions are contingent upon funds being available.
Section 9: Nothing in this Article shall limit employees' rights under the Rehabilitation Act and
Americans' With Disabilities Act.
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Article 22
Flexiplace
Section 1: The National AFGE/EPA Flexiplace Agreement is hereby incorporated and made a
part of this Agreement.
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Article 23
Hours of Work
Section 1: The administrative workweek means a period of seven (7) consecutive calendar days
designated in advance by the head of an Agency. For employees of EPA the seven (7)
consecutive days begins on Sunday.
Except for employees on the compressed work schedules, the regularly scheduled workweek for
a full-time employee means the forty (40) hour period within an administrative workweek an
employee is regularly scheduled to work. For part-time employees, it means the officially
prescribed days and hours within an administrative workweek during which the employee is
regularly scheduled to work.
Section 2: The Parties agree that compressed work schedules and flexitime plans are appropriate
matters for bargaining at the local level.
Section 3: Employees who normally may not leave their assigned tasks for any personal reasons
(e.g. to obtain coffee; to make telephone calls; to use the bathroom; etc.) will be permitted a 15
minute break in the morning after two (2) hours of work and 15 minute break in the afternoon
after two (2) hours of work. Other employees who are permitted to leave their assigned tasks as
conditions permit may continue to do so. However, such unscheduled breaks may not exceed a
total of 15 minutes during each four (4) hours of duty.
Section 4: Except in situations where the organization would be seriously handicapped in
carrying out its functions or where costs would be substantially increased, efforts will be made to
give an employee two (2) weeks notice of a change in tour of duty.
Section 5: The Agency will consider an employee's needs to change car pools, day care and
eldercare schedules or other work related commuting arrangements, when scheduling a change in
tour of duty.
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Article 24
Overtime
Section 1: When the Agency decides to assign overtime to employee(s) who possess the
requisite skills and abilities for the assignment, in the same organizational unit performing the
same type of duties, the assignment(s) will be fair and equitable among qualified employees.
Section 2: Overtime shall not be worked unless authorized by the Agency. The Parties agree
that assignment of overtime will neither be distributed nor withheld as a penalty or reward.
Section 3: The Agency will consider its need versus the needs of the employee(s) when requests
are made to be excused from overtime and may seek qualified substitutes for the assignment(s).
Section 4: If practicable, the Agency will provide at least forty-eight hours advance notice to
employees when a decision is made to assign overtime, or as much notice as the Supervisor is
given, minus time to contact the employee.
Section 5: Qualified employees assigned to a particular task during regular working hours
normally will be given the opportunity to complete the assignment.
Section 6: Compensation for overtime work will be made in accordance with applicable laws
and regulations. When allowable under controlling laws, regulations, and Agency policies
employees may request compensatory time in lieu of overtime pay.
Section 7: Unless flexitime or compressed work schedules apply, the basic workday for full-
time employees shall be eight (8) hours each day.
Section 8: Travel by bargaining unit employee(s) outside regularly scheduled duty hours is not
compensable through overtime or compensatory time unless such travel has been officially
ordered and approved and meets one of the criteria cited below:
A. It involves the performance of work while traveling;
B. It is incident to travel that involves the performance of work while traveling;
C. It is carried out under arduous conditions; or
D. It results from an event which could not be scheduled or controlled administratively.
To the maximum extent practicable, time spent in travel status away from the employee's official
duty station will be scheduled by the Agency within the normal working hours.
Section 9: Overtime work performed by employees called back to work outside of and
unconnected with their regular work hours is deemed at least two (2) hours in duration for the
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purpose of overtime compensation, regardless of what portion of the two (2) hours work is
performed.
Section 10: Employees required to remain in standby status will be paid in accordance with
applicable law or regulation.
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Article 25
Leave
Section 1: Annual Leave as provided for by law is an employee right and accrues automatically,
in accordance with applicable statutes, OPM Regulations, Agency-wide regulations and this
Agreement. Employees will be given the opportunity to use their annual leave during the leave
year of accrual, subject to approval by management and based on exigencies of the Agency's
work. In granting the use of all categories of leave, the Agency will consider its needs versus the
needs of the employee.
Subject to applicable law, rule and/or regulations, the Agency shall protect the privacy of an
employee's leave record, and divulge their contents on the employee's request or on a need to
know basis.
Annual leave and sick leave may be requested and used in fifteen (15) minute increments.
Section 2: When requesting emergency annual leave, the employee will notify his/her supervisor
or supervisor's designee of the request by telephone, voicemail, or email, as soon as possible, but
no later than two (2) hours after the start of the employee's regularly scheduled tour of duty,
unless circumstances prevent the employee from making contact within this period of time.
When a request cannot be made in the first two (2) hours, the employee will make the request as
soon as practical. In those circumstances where the employee is unable to make the request
himself/herself, the employee will cause the supervisor to be notified consistent with this
Section. The Agency will make a good faith effort to grant emergency annual leave.
Section 3: When it is impractical to grant all requests for annual leave for a given period, the
supervisor shall give consideration to all the following factors:
A. The needs of the Agency to accomplish the Agency's mission;
B. Whether the employee has sufficient annual leave on record;
C. Possibility of the employee having to forfeit leave;
D. Seniority (SCD);
E. Mitigating circumstances.
Section 4: Jury duty or witness appearances shall be administered in accordance with applicable
law, rules and regulations.
Section 5: Upon request, and subject to supervisory approval, an employee may work
compensatory overtime, for the purpose of taking time off without charge to annual leave when
personal religious beliefs require that the employee abstain from work during certain periods of
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the workday or workweek. The parties recognize that a religious observance is a bonafide reason
for requesting annual leave or leave without pay.
Section 6: Advanced annual leave may be granted to the extent of applicable law and regulations
that apply; however, an employee may not be advanced annual leave beyond the amount he/she
will earn in the current leave year.
Section 7: Tardiness of less than one (1) hour may be excused at the discretion of the supervisor.
However, if annual leave is charged, the employee will not be required to perform work until
leave time charged has expired.
Section 8: When administrative excusal is granted in the case of inclement weather or other
conditions, the Agency will make a reasonable effort to notify the Union, then the employees on
duty as soon as possible. Employees in an approved leave status, or working at home under the
Flexiplace Program, will not be affected. Essential employees may be required to remain on
duty.
Section 9: An employee will be granted annual leave or leave without pay to attend the funeral
of a member of his/her family. An employee will be granted "funeral leave" to attend the
memorial services of a relative who is a veteran as covered by 5 G.F.R. Chapter 1, Subpart H.
Section 10: Employees who volunteer to serve as blood donors without compensation may be
excused for up to four (4) hours to recuperate. If the donor location is not the work site, the
excused time for donation and recuperation will not include transit time. It is understood that
excusal applies only to the day of donation.
Section 11: As a general rule, where the polls are not open at least three (3) hours either before
or after an employee's regular hours of work, he/she may be granted an amount of excused leave
which will permit him/her to report to work three (3) hours after the polls open or leave work
three (3) hours before the polls close, whichever requires the lesser amount of time off. Under
exceptional circumstances where the general rule does not permit sufficient time, an employee
may be excused for such additional time as may be needed to enable him/her to vote, depending
on the particular circumstances in his/her individual case, but not to exceed a full day.
Employees requesting more than the general rule will do it in writing. Each request shall state
fully the reasons for additional time needed. Additional time may be approved, if determined to
be reasonable, up to a total of eight (8) hours. Voting arrangements requiring excused time will
be made with the employee's supervisor prior to Election Day to prevent undue interruption of
work operations.
Section 12: Leave related to pregnancy, childbirth, or care of infants may consist of sick leave,
annual leave or leave without pay, as applicable, and consistent with law, rule and regulations,
including the Family and Medical Leave Act of 1993(FMLA).
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Section 13: Leave without pay may be granted to employees, subject to management's approval,
and in accordance with applicable law, policies, rules and regulations.
Section 14: Leave without pay may be granted to employees, subject to management's approval,
and in accordance with applicable policies, law, rules and regulation, in lieu of sick leave or
annual leave for employees who have filed a claim for worker's compensation or disability
retirement.
Section 15: Accrued sick leave shall be granted to employees when they are incapacitated for the
performance of their duties by sickness or injury; for medical, dental, or optical examination or
treatment; when a member of the immediate family of the employee is afflicted with a
contagious disease (as prescribed by public health authorities having jurisdiction) that requires
the care and attendance of the employee; or when in the opinion of the above public health
authorities, the presence of the employee at his/her post of duty would unduly jeopardize the
health of other employees.
A. An employee requesting sick leave, will notify his/her supervisor, or the
supervisor's designee, as soon as possible, but not later than two (2) hours after
the beginning of the employee's regular tour of duty. When an employee's
situation will require him/her to be absent longer than one (1) day, the employee
will so indicate the expected return to duty date.
B. For sick leave periods of not more than three (3) consecutive days, the employee
shall not be required to submit a physician's statement of incapacitation or other
acceptable evidence unless there is reasonable evidence of abuse.
C. In the event of suspected sick leave abuse, a determination will be made based on
the facts. If warranted, the employee will be counseled. The counseling will
identify the problem to the employee and advise the employee of the wisdom of
the prudent use of sick leave.
D. An employee will be counseled prior to receiving a sick leave letter of
requirement. If improvement does not occur within a reasonable period of time,
an employee who is found abusing sick leave may be issued a "sick leave letter of
requirement." The Agency will review a sick leave letter of requirement not later
than six (6) months after issuance. If sufficient improvement occurs, the letter
will not extend beyond one (1) year; however, the letter may be withdrawn at any
time.
Section 16: Subject to applicable law, rule, and/or regulation, and management's approval,
advance sick leave may be granted to an employee. Employees should be aware that sick leave
cannot be advanced in excess of thirty (30) days, or the amount of leave the employee would
otherwise earn during the remaining term of his/her appointment, whichever is less.
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Section 17: Military Leave
A. In accordance with law and regulation, full time, permanent or temporary
indefinite employees who are members of the National Guard or the Armed
Forces Reserves are entitled to fifteen (15) calendar days of regular military leave
in a fiscal year for active duty training.
B. For part time career employees, the rate at which military leave accrues shall be a
percentage of the rate determined by dividing forty (40) into the number of hours
in the regularly scheduled work week of the employee during that fiscal year.
C. Employees who do not use the entire fifteen (15) days can carry any unused
military leave (not to exceed fifteen (15) days) over to the next fiscal year.
Military leave may never exceed thirty (30) calendar days in any one fiscal year.
D. Military leave is charged in increments of one (1) hour and is charged only for
those hours in which the employee would otherwise be in duty status.
E. When possible, management will arrange schedules to allow such employees to
have scheduled days off immediately preceding and following the required
military leave if so requested by the employee.
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Article 26
Human Resources Development
Section 1: The purpose of training and career development is to enable employees to increase
the knowledge, proficiency, ability, skill and qualification in the performance of their official
duties. It is understood that the choice of subject matter, areas for training, selection, and
assignment of training is a function of management and the program will be administered in
accordance with applicable laws, regulations and agency policies.
Section 2: Self development requires the dedication of an individual's personal time and
resources. The Parties jointly recognize that responsibility and encourage employees to make
such personal commitments. The Agency will not bear the cost of any self development training
that has not been approved in advance as required by EPA regulations.
Section 3: The Parties encourage employees to review their official personnel folder to assure
that training is recorded and that the folder is otherwise up to date.
Section 4: When the Agency, at a local level, uses a committee process to formulate and
recommend training policies and practices affecting employees in the unit, the Union will be
given the opportunity to have at least one (1) bargaining unit employee at the location to
participate as a committee member on matters affecting the bargaining unit(s) employees.
Section 5: The Agency will administer its Upward Mobility Program in accordance with
applicable laws, rules, and Agency policies. The Parties will encourage eligible employees to
apply for participation in the Agency's Upward Mobility Program when such opportunities are
available. The Agency agrees to periodically evaluate the Program's operation and make
modifications where appropriate.
Section 6: When the employee so requests, the reason(s) for disapproval of a training request
submitted in writing will be given to the employee in writing.
Section 7: Employees required to join and maintain membership in a professional organization
as a condition of continuing employment will have their memberships in such situations paid by
the Agency in accordance with applicable regulations and policies.
Section 8: The Agency will consider employee requests for variations in their normal work
schedules for educational purposes. The Agency's ability to carry out its activities in a timely
fashion will be the primary determinant in the consideration of such requests.
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Article 27
Awards
Section 1: Introduction. The EPA Recognition Program reflects the Agency's commitment to
promote continuous improvement in the Agency's performance. It is recognized that the use of
both monetary and non-monetary awards has a significant effect on employee morale, motivation
and performance. The EPA Recognition Program is an incentive program that provides
recognition based on employee achievements that contribute to the Agency's mission of
providing the highest quality service possible to the public. The EPA Recognition Program is
intended to motivate and reward employees to continually strive for excellence. In addition, the
program provides for monetary and non-monetary awards for suggestions, inventions and special
acts of service or heroism.
Section 2: Authorities. In the administration of all matters covered by this Article, the Union,
the Agency and employees shall be governed by 5 U.S.C. Chapter 451 and 531; and 3130,
Recognition Policy and Procedures Manual and the Master Collective Bargaining Agreement.
Section 3: Additional Provisions. Recognition will be granted in accordance with the
Recognition Policy and Procedures Manual with the following exceptions:
A. EPA Awards Board. The EPA Awards Board shall include representation from the
AFGE National Council of Locals.
B. Local Awards Board. It is agreed that the establishment of local awards boards is an
appropriate matter for partnering/negotiating at the local level. The procedures and
operations of such boards will be locally determined, within the following parameters:
(1) boards may vary in function up to and including recommendation of awards; (2) local
awards boards must include representation of all unions with recognition at that
organization (i.e., there may not be separate awards boards for each union); and (3) board
procedures may supplement but not conflict with the above authorities.
C. Awards Budgets. At the beginning of each appraisal period or as soon as available,
information concerning the amount and allocation of the awards budget will be provided
to the union. At the local level, if there is a further reallocation of the awards budget, the
union will be provided and opportunity for input/feedback during this process. The
Union will also be provided with periodic updates on the expenditure of awards budgets.
D. Peer Awards. Peer award nominations will not be limited to $250. The nominator
will not specify a dollar amount. The monetary amount will be determined by the
recommending/approving official(s). The nominator and nominee must have an
established working relationship whether in or out of the same AA/RA-Ship, or on the
same team, workgroup, self directed team, or variation thereof.
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E. Employee awards information, including names, award types and dollar amounts will
be provided to the National and local union on a quarterly basis, or as otherwise agreed to
locally. This data will be treated by the union in a confidential manner. At least
annually, each organization will publish the names of award recipients and the types of
awards they received.
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Article 28
Merit Promotion
Section 1: The Parties agree that the purpose and intent of the provisions contained herein are to
ensure that merit promotion principles are applied in a consistent manner with equity to all
bargaining unit employees and positions, and without regard to political religious, or labor
organization or non-affiliation, marital status, race, color, sex, sexual preference, national origin,
non-disqualifying disability, or age, and shall be based solely on job-related criteria. This Article
shall be administered consistent with 5 U.S.C. Chapter 23.
A. It is agreed that the Agency will use the skills and abilities of bargaining unit
employees to the extent possible consistent with mission requirements, merit principles
and applicable laws and regulations.
B. Applicants must meet time in grade and time after competitive appointments
requirements within thirty (30) days of the closing date of an announcement to be eligible
for promotion consideration. Applicants must meet all qualifications and selective
placement factors by the closing date of the announcement.
Section 2: Definitions
A. Area of Consideration (Area of Publicity): The designated organizational and/or
geographical area in which an intensive search is made for candidates in a specific
promotion action. This is the area in which the announcement is publicized.
B. Best Qualified Candidates: Those eligible candidates who rank at the top when
compared with other candidates applying under the announcement and who are referred
to the selecting official on a Merit Promotion Certificate.
C. Eligible Candidates: Those who meet the minimum qualification standards and
possess all appropriate selective placement factors for a particular position.
D. Selective Placement Factors: Knowledge, skills, abilities, and other characteristics
(KSAOs) are in addition to OPM qualification standards used to determine basic
eligibility because they are necessary for satisfactory job performance.
E. Quality Ranking Factors: Knowledge, skills, abilities and characteristics that are
issued to rank eligible candidates.
F. Career Promotion: Promotion without current competition when at an earlier stage an
employee was selected from a civil service register or under competitive promotion
procedures for an assignment intended to prepare the employee for a higher grade level.
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G. Positions with Known Promotion Potential: Positions from which career promotions
may be made because adequate competition was held at an earlier stage. These include,
among other things; career ladder positions; apprentice positions; trainee positions;
understudy positions; positions filled at grade levels within the established career ladder;
and upward mobility positions.
H. Promotion: The change of an employee to a position at a higher grade or pay level.
I. Selecting Official: The supervisor/manager who has authority to select an employee
for assignment to a position. The selection process is a management prerogative
involving the exercise of informed judgment. Each selecting official must be aware of
and adhere to equal opportunity principles.
J. Concurrent Consideration: The consideration of employees who are entitled to
automatic referral concurrently by the selecting official along with certified applicants.
For example, referrals by special appointing authorities, candidates from outside
registers, priority considerations, non-competitive promotion eligible etc.
K. Nepotism: Supervisors and public officials as defined in FPM 310, are prohibited
from participating in any portion of any selection process if a relative is under
consideration. Neither supervisors nor public officials may advocate the selection of a
relative. If a relative of the selecting official is among the candidates certified for
selection he/she must disqualify himself/herself and the selection authority exercised at a
higher level in the chain of command.
Section 3: This program applies to all EPA organizations and covers all competitive service
bargaining unit positions.
Section 4: When Competition is Required. Competition is required for the following actions:
(1) Promotion or transfer to a higher grade;
(2) Temporary promotion for more than one hundred twenty (120) days. Any prior
details to higher graded positions or temporary promotions during the preceding twelve
(12) months (whether competitive or non competitive) must be included when calculating
the number of days;
(3) Selection for detail to a higher graded position for more than one hundred twenty
(120) calendar days, or to a position with known promotion potential;
(4) Selection for training required for promotion (e.g. the employee is not eligible for
promotion unless he/she has completed the training);
(5) Reassignment, demotion, reinstatement or transfer to a position with more promotion
potential than a position the employee previously held on a permanent basis in the
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competitive service (except when a reassignment or demotion is made to place an
employee affected by a RIF or in lieu of disability retirement); and
(6) Reinstatement to a permanent or temporary position at a higher grade than any grade
held in a permanent position in the competitive service.
Section 5: When Competition is Not Required. Competition is not required for:
A. Career Ladder Promotions. Career ladder promotions are permitted when an
employee is appointed or assigned to any grade level below the established full
performance level of the position (i.e. the position has a documented career ladder and
promotion potential). These promotions may be made non-competitively for any
employee who entered the career ladder by:
(1) Competitive procedures;
(2) Competitive appointment from a certificate of eligibles (through OPM or
delegated examining authority); or
(3) Non-competitive appointment under special authority; e.g. conversion of
Student Career Experience Program student or Federal Career Intern, appointment
of former ACTION Volunteers or Peace Corps personnel (must clear ICTAP
through an announcement), conversion of a Veterans Readjustment Act (VRA)
appointee and Presidential Management Fellows.
B. Promotion Based on Reclassification when:
(1) No significant change occurs in the duties or responsibilities of the position
and the position is upgraded due to issuance of a new classification standard, an
updated Agency-wide classification policy or the correction of a classification
error; or
(2) The position is upgraded due to accretion of additional duties and
responsibilities and the following provisions are met:
(a) The employee continues to perform the same basic functions in the
same organization, working for the same supervisor (the duties of the
former position are absorbed into the new position, and the former
position is abolished);
(b) The new position has no promotion potential;
(c) The additional duties and responsibilities assigned or accrued by the
incumbent do not adversely affect or impact other positions in the unit;
and
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(d) The accretion is supported by a written analysis of the position (which
may involve an audit with the employee and/or the employee's supervisor,
or other fact gathering method).
C. Permanent Promotion to a position held under a temporary promotion when:
(1) The assignment was originally made under competitive procedures;
(2) It was known to all competitors at the time that the assignment may lead to a
permanent position.
(3) Temporary Promotion of an employee for less than one hundred twenty (120)
days; or for more than one hundred twenty (120) days to a grade level previously
held on a permanent basis, unless the employee was demoted for reason related to
performance or misconduct.
(4) Placement as a Result of Priority Consideration when the referral is a remedy
for candidates not given proper consideration in a competitive promotion action.
(5) Reduction in Force Placements which result in an employee receiving a
position with higher promotion potential.
(6) Promotion to a Grade Previously Held on a permanent basis in the competitive
service, from which the employee was separated or demoted for other than
performance or conduct reasons.
(7) Promotion. Reassignment, Demotion, Transfer. Reinstatement, or Detail to a
Position Having No Higher Promotion Potential than the potential of a position an
employee currently holds or previously held on a permanent basis in the
competitive service and did not lose because of performance or conduct reasons.
(8) Promotion Resulting from Successful Completion of a Training Program for
which the employee was competitively selected.
(9) Selection from the Re-employment Priority List at the same or lower grade
level than the position from which separated.
(10) Reinstatement to any Position if a career or career conditional employee who
served under a career SES appointment consistent with 5 C.F.R. 335.103(c)(3).
(11) Promotion as a Legal Remedy as ordered and agreed upon in a legal or
administrative proceeding.
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(12) Details for one hundred twenty (120) days or less to a higher graded position
or to a position with known promotion potential.
Section 6: Area of Consideration f AOC).
A. It is important that the AOC be sufficiently broad to uphold the basic merit principles
of open competition, equal employment opportunity and identification of Best Qualified-
candidates. The AOC is not intended to limit competition. In determining an AOC the
Human Resources Office shall consider a geographic and/or organizational area which is
likely to result in a reasonable number of qualified applicants. To help EPA meet its
mission and diversity objectives, Human Resources Offices may consider any appropriate
sources.
B. The minimum AOC will be an organizational unit, no less than a division or
laboratory, which is considered sufficient to attract more than one qualified candidate for
promotional consideration. The local appointing authority has the option of establishing
an area of consideration larger than the minimum prescribed above, especially if
experience shows that those minimum areas fail to provide enough qualified candidates.
C. An AOC will be established for each vacancy.
D. The Office of Personnel Management will be notified of vacancies in the competitive
service for which the Agency will consider applicants from outside the Agency in
accordance with 5 U.S.C. § 3327.
Section 7: Posting Vacancy Announcements.
A. The Agency will post a vacancy announcement to cover all vacancies that must be
filled in accordance with the procedures of this Article. The Human Resources Office
will post announcements on the Agency's automated hiring system for a minimum of ten
(10) work days. When the area of consideration is broader than the commuting area,
vacancy announcements shall remain open for at least 15 workdays. By mutual
agreement of the local parties, different periods of time are appropriate matters for local
negotiations.
B. Applications post marked or submitted electronically on or before the closing date
will be accepted.
C. At a minimum, the vacancy announcement will contain the same type of information
as contained in the Office of Personnel Management (OPM) announcement template, for
example:
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(1) Title, series and grade(s) of the vacancy announcement and announcement
number;
(2) Geographic and organizational locations;
(3) Summary statement of the principal work assignments;
(4) Minimum OPM qualification requirements plus any mandatory (selective
placement) factors;
(5) Knowledge, skills and abilities and/or competencies and/or task statements
required;
(6) Whom to contact for additional information;
(7) Where and/or how applications should be submitted and what they should
include;
(8) Opening and closing dates;
(9) If the vacancy has known promotion potential or is a career ladder position;
(10) An EEO statement;
(11) Area of consideration; and
(12) Number of positions expected to be filled at the time if more than one.
Section 8: Method of Locating Candidates. Candidates may be located using a wide range of
methods which may vary with each vacancy depending upon the AOC, the type of position, and
similar considerations. All Merit Promotion announcements (or subsequent cancellations) will
be posted on the Agency Intranet/automated hiring system. These methods include:
A. Vacancy Listings - A brief summary of multiple positions open to competition under
the merit promotion procedures.
B. Individual Vacancy Announcements - Posted notices that advertise one or more
positions open to competition under the merit promotion procedures. They will contain
the same type of information as found in the OPM announcement template. Individual
vacancy announcements will be open for a minimum of ten (10) work days. Vacancies
whose area of consideration is broader that the commuting area will be open for at least
15 work days, unless otherwise agreed by the local parties.
C. Open Continuous Announcements - Posted notices through which applications may
be accepted and referred to selecting officials on a continuing basis. They may be used
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when there is a continuous need for candidates in a particular occupation or group of
occupations or hard to fill vacancies. They will contain the same type of information as
found in the OPM template.
Section 9: Priority Consideration. The referral of individuals who by law, regulation,
settlement agreement or final decision in a grievance or discrimination complaint must be
considered before other candidates. Types of priority consideration include:
A. Repromotion Consideration Eligibles. Employees demoted in the Agency without
personal cause and on grade/pay retention are entitled to priority consideration for any
vacancies for which they qualify in the local commuting area. Repromotion eligibles are
entitled to priority consideration for two (2) years unless they are repromoted to their
former grade or decline a position of equal grade, whichever occurs first. Candidates
may receive consideration only at the grade level in which consideration was lost and
having no higher promotion potential than the position previously held.
B. Candidates Who Did Not Receive Proper Consideration in a Previous Merit
Promotion Action Due to a Procedural. Regulatory, or Program Violation. These
candidates will receive priority consideration for the next appropriate vacancy in the
geographic location where proper consideration was denied. The following conditions
must be met before priority consideration under this provision may be granted:
(a) The vacancy occurs within one (1) year of the determination that the employee
was not afforded proper consideration;
(b) It is a similar type position in the same pay system as the position for which
the employee failed to receive proper consideration;
(c) The employee is qualified for and would have been in the Best Qualified-
group;
(d) The vacancy is at the same grade level, with no higher promotion potential
than the position for which consideration was lost.
C. Employees Who Receive Priority Consideration Based on an EEQ Complaint. These
employees must be given priority consideration if it is either the agreed upon resolution
to settle the complaint or the remedial action ordered in the final decision of a
discrimination complaint.
D. Displaced Applicants. The Agency will provide special selection priority to eligible
displaced applicants who are determined to be well-qualified, in accordance with the
regulatory requirements (e.g. under the Career Transition Assistance Plan or Interagency
Career Transition Assistance Plan).
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Section 10: Application Procedures.
A. Accepting Applications.
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Unless otherwise specified, applications must be submitted on-line by all
candidates by the closing date and time specified in the vacancy announcement.
Required documents will be listed in the announcements and must be submitted as
specified. For assistance in applying for a vacancy, applicants may contact the
Human Resources representative listed on the vacancy announcement for
assistance in submitting the on-line application.
(b) When the Human Resources Office uses a Manual Recruitment System.
Generally, the manual system will by used only in such situations as identification
of systematic problems with the automated hiring system, system failure, and/or
loss of vendor contract. Unless otherwise specified, applications will be accepted
from all promotion eligible candidates whose applications are receive in the
Human Resources Office or postmarked by the closing date. Applications from
noncompetitive eligibles, qualified persons with disabilities, 30% or more
compensable disabled veterans, VRA eligibles, and Public Health Service
Officers may be accepted up until the time the certificate of eligibles in sent to the
selecting official. Employees within the area of consideration who are absent for
legitimate reasons, such as approved leave, official travel, detail,
Intergovernmental Personnel Act assignment, training or military service, may
furnish copies of their application to other employees or their supervisor, and
request in writing that they be submitted for vacancies.
Section 11: Eligibility Requirements.
A. General. Applicants must meet OPM qualification requirements and any selective
placement factors by the closing date of the announcement. Additionally, certain legal
and regulatory requirements (i.e. time-in-grade, time-after-competition appointment,
etc.) must be met within thirty (30) days of the closing date of the announcement.
Applicants applying for open continuous announcements must meet the eligibility
requirements at the time the application is submitted to the Human Resources Office.
B. Minimum Qualification Requirements. Minimum qualification requirements will be
those described or approved by OPM for the particular position involved, and any
mandatory selective placement factors. Qualification requirements are found in the OPM
Operating Manual for Qualification Standards for General Schedule Positions.
Section 12: Distinguishing Between Candidates. Candidates who meet eligibility requirements
will be divided into two (2) categories;
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A. Promotion Eligibles. Those applicants who must compete in order to be placed in
the position; and
B. Noncompetitive Eligibles. Those applicants with or without competitive status who
are eligible for reinstatement, reassignment, change to lower grade, special appointing
authority, (e.g. persons with disabilities, disabled veterans, etc.) or other action where
competition is not required for placement in a position.
C. Applicants in the promotion eligible category will be evaluated in accordance with
the provisions below. Noncompetitive eligibles will be referred alphabetically without
being rated and ranked. Such referrals may be made up until the time the certificate of
eligibles is sent to the selecting official.
Section 13: Evaluations of Candidates.
A. Applications may be evaluated by a subject matter expert, a rating panel or a human
resources representative. Regardless of the evaluator, ratings must be based solely on the
application material submitted by the applicant. If an automated hiring system is used to
qualify, rate and/or rank applicants, a human resources representative will conduct a
quality review before the rating is finalized. When a quality review is conducted for an
automated rating, adjustments will only be made in the event that an applicant's answers
to the automated question(s) are not consistent with the applicant's resume or other
documentation provided in the application package.
B. All candidates who meet the minimum (basic) qualification requirements must be
evaluated on job-related criteria (i.e. work experience, education and training) and the
selecting official or interview panel will consider applicant awards and appraisals in the
selection process, if they are required by the vacancy announcement.
C. Evaluation methods must include an analysis of the job to determine pertinent
knowledge, skills, and abilities (KSA's) or competencies that are important for successful
job performance. Based on the job analysis, the KSA's/competencies to be used as
Mandatory KSA's/competencies and rating factors for the vacancy announcement will be
identified and weighted. In an automated hiring system, the identified
KSA's/competencies will be elicited in the form of questions or requests for information
that the applicant must answer or provide.
D. A rating plan must be developed by the subject matter expert or human resources
representative. The automated hiring system or promotion panel/ranking official will
provide an objective assessment of each applicant's potential to perform in the vacant
position.
E. All candidates meeting basic qualification requirements for the position will be rated
and ranked, regardless of the number of applicants.
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Section 14: Ranking and Referral of Candidates.
(1) Determining Best Qualified. Promotion eligible candidates will be rated against the
KSA's/competencies set forth in the rating plan. Candidates will be identified as either
"best-qualified" or "qualified" based on the scores received in the evaluation process.
When more than ten (10) candidates are rated as eligible, best-qualified candidates will
be determined by using all of the ranking factors listed in the vacancy announcement in
the evaluation process. Candidates will be ranked according to their rating scores
assigned by the automated hiring system or promotion panel/ranking official.
(2) Referral When There are More Than Ten (10) Qualified Competitive Candidates.
The Best Qualified threshold score will be set prior to the close of the vacancy. The Best
Qualified candidates who will be referred for consideration will be determined based on
the most logical (natural) break in the scores; i.e., two or more points. However, in the
event the natural break method results in more than nine (9) Best Qualified candidates,
the HR Official will resort to identifying only the top ten (10) numerically ranked
candidates who will then be forwarded to the selecting official/panel in alphabetical
order. All tied scores (at number 10) will be forwarded to the selecting official.
Candidates will be ranked according to the rating score assigned by the automated hiring
system or panel/SME and referred in alphabetical order.
(3) If a Best Qualified-certificate is to be used for more than one (1) vacancy, an
additional Best Qualified-candidate (if available) may be added for each additional
vacancy.
(4) If there are fewer than ten (10) Best Qualified-candidates, only the Best Qualified-
candidates will be referred.
(5) If there are no Best-Qualified candidates and the selecting official, with the
concurrence of the human resources representative, determines that it is impractical to
expand the area of consideration, then the qualified candidates may be referred in
alphabetical order. If the human resources representative makes such a decision, the
reason(s) why further expansion of the AOC is impractical must be fully documented in
writing and included in the Merit Promotion case file.
(6) Duration of the Merit Promotion Certificate. Normally, certificates are issued with a
sixty (60) calendar day time limit. In extenuating circumstances, certificates may be
extended for an additional sixty (60) days with a written request from the selecting
official to the servicing Human Resources Officer.
(7) Use of Certificates for Additional Positions. Certificates may be used to fill
additional vacancies for similar positions up to one hundred twenty (120) days. A similar
position is one that is located in the same division or office, has the same title, series,
grade and promotion potential, and requires the same KSA's or competencies.
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Section 15: Interviews and Selections.
(1) When the selecting official or interview panel receives a merit promotion certificate
as a result of a competitive announcement, he/she may interview the candidates, subject
to the following:
(a) For each Merit Promotion Certificate issued, the selecting official may
interview all or none of the referred promotional candidates.
(b) If one (1) internal EPA candidate is interviewed from the Best Qualified-list,
all other EPA, bargaining unit candidates will be given a reasonable opportunity
to be interviewed.
(2) The selection process is a management prerogative involving the exercise of informed
judgment coupled with responsibility. Selecting officials shall choose the person(s) who,
in their judgment, will best fulfill their requirements and the objectives of the
organization. Selecting officials may select or non-select any candidate on a certificate of
eligibles.
(3) Release and Notification of Applicants. The human resources representative will
work with program officials to establish mutually agreeable release dates based on
mission and program requirements. Normally, an employee will be released no later than
one (1) complete pay period for promotions, following the selection. When local
workforce and program conditions permit, an employee will be released no later than two
(2) complete pay periods for reassignments, following the selection. When an employee
is nearing the end of a waiting period for a within-grade increase, consideration should be
given to releasing the employee at the beginning of a pay period on or after the effective
date of the within-grade increase, provided such ah action would benefit the employee.
All Best Qualified-applicants will be notified of the outcome of announced vacancies.
Section 16: Disclosure of Information. Merit Promotion information will be disclosed in
accordance with the provisions of the Privacy Act, 5 C.F.R. Part 335, existing supplements and
this agreement.
(1) Internal Agency applicants will be notified of:
(a) Whether they were found eligible;
(b) Whether they were referred to the selecting official; and
(c) Who was selected; and
(d) Whether the vacancy announcement was cancelled and why.
(2) Applicants may request and receive information concerning:
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(a) Areas, if any, they should improve to increase their chances for future
promotions; and
(b) The applicants own rating assigned in the ranking process.
Section 17: Employee Inquiry and Concerns. When an employee has a question or concern
about the merit promotion process he/she should discuss it with an appropriate human resources
representative. Employees wishing to raise concerns through the grievance procedure or
complaint of discrimination must follow appropriate time frames provided for in the negotiated
grievance procedure or the discrimination complaint process. Bargaining unit employees may
not file grievances based solely on non-selection.
Section 18: Records. The Agency will maintain promotion and selection information for two
(2) years or after an OPM evaluation, whichever comes first, in accordance with governing laws,
rules and regulations. Each record shall contain sufficient information to allow reconstruction of
the promotion action, including documentation on how employee candidates were rated and
ranked. It is understood that some information may be precluded from release subject to
applicable regulation and/or law.
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Article 29
Career Ladder Promotions
Section 1: It is the policy of the Agency to provide appropriate opportunities for bargaining unit
employees to develop and advance in their careers.
Section 2: Employees in career ladder positions will be given maximum opportunity to reach
the full potential of their assigned career ladders. Upon placing an employee in a career ladder
position, the supervisor will discuss the job requirements and expectations for the employee to
reach the next higher level. The supervisor will hold these discussions at each level of the
employee's progression within the career ladder.
Section 3: Career ladders are not automatic; an acceptable level of performance must be
demonstrated for progression. Employees in career ladders will clearly demonstrate the ability to
perform at the next higher grade level before being promoted to the next grade in the career
ladder. Once the promotion has been made, supervisors will assign work at the new grade level.
Section 4: At the time an employee meets time-in-grade and any other legal promotion
requirements, the supervisor will make a decision to promote or not to promote. This decision
will be made in a timely manner.
Section 5: The supervisor will periodically provide feedback to the employee about their
performance in the career ladder position.
Section 6: Employees not meeting the criteria for promotion will be counseled by their
supervisor regarding areas needing improvement before the promotion can be effected in
accordance with applicable law, rules, or regulation.
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Article 30
Reassignment
Section 1: The provisions of the Article apply solely to reassignments within the bargaining
unit(s).
Section 2: An employee who is reassigned will be given a reasonable period of time to learn and
satisfactorily perform the functions of his/her new position in accordance with the Agency's
approved Performance Management System as incorporated into this Agreement.
Section 3: Employees desiring reassignment within the Agency may either apply for vacancies
through the merit promotion process, directly to the organization which they are interested in, or
to the appropriate Human Resources Office.
Section 4: Reassignments to positions with promotion potential higher than the employee's
current position are processed under the provisions of the Merit Promotion Article of this
Agreement.
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Article 31
Details
Section 1: The provisions of this article apply solely to the assignment of bargaining unit
employees within the unit. A detail is the temporary assignment of an employee to a different
position or set of duties for a specified period of time. There is no formal position change,
officially, the employee continues to hold the position from which detailed and keeps the same
status and pay; with the employee normally returning to his/her regular duties at the end of the
detail.
Section 2: Details shall be rotated equitably among those employees who have been determined
by management to have the capacity and requisite skills for assuming the responsibilities of the
assignment unless competitive procedures are used.
Section 3: The Agency will provide a memorandum to the employee documenting official
details to higher level classified positions of more than ten (10) consecutive work days. Official
details in excess of thirty (30) calendar days will be recorded on an SF-52 "Request for
Personnel Action."
Section 4: An employee temporarily assigned to a classified position at a higher level for more
than thirty (30) calendar days will receive a temporary promotion as soon as practicable, but no
later than the 31sl day of the assignment. The employee must meet any qualification and
eligibility requirements to be promoted.
Temporary promotions in excess of 120 calendar days shall be filled through competitive
procedures. Temporary promotions of less than 120 calendar days may be rotated equitably
among those employees who have been determined by management to have the capacity and
requisite skills for assuming the responsibilities of the assignment unless competitive procedures
are used.
Section 5: Details to a lower classified position shall not affect the employee's classification or
salary.
Section 6: Details to less physical, stressful or other demanding positions may be used for
employees undergoing or completing medical treatment.
Section 7: Length of details will be in accordance with OPM regulations.
Section 8: Management will keep details within the shortest practicable time so that they will
not promote any compromise of the open competitive principles of the Merit Promotion System.
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Article 32
Selective Placement Programs
Section 1: The Parties hereby agree to support the Agency's Selective Placement Programs
established under the provisions of the Rehabilitation Act of 1979 (P.L. 93-112), as amended by
P.L. 93-516, and the Veteran's Readjustment Act of 1974 (P.L. 93-508) and in accordance with
regulations and policies.
Section 2: The Parties will work together in an effort to find and make reasonable
accommodations to known physical and mental limitations of qualified employees.
Section 3: The Agency will work with Reasonable Accommodation Coordinators in considering
accommodations for known disabled employees; such as making facilities accessible; possible
job restructuring; appropriate work equipment or devices; or obtaining the services of readers or
sign language interpreters where appropriate.
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Article 33
Position Classification
Section 1: A bargaining unit employee shall be provided a current position description
reflecting their principal duties and responsibilities, normally within the first Pay Period of
assignment to a position. Employees may discuss with supervisors any perceived substantial
differences between the duties assigned or performed, and those contained in the position
description. Occasionally, an employee may be required to perform "other duties as assigned"
which are incidental to the principal duties and responsibilities of the position, that are
impractical to include in the narrative portion of the position description, as well as duties which
may be required in emergency situations, consistent with the Agency's mission. When
permanent changes in the duties, responsibilities, or supervisory relationship so warrant, the
position description shall be amended or rewritten in a reasonable time, generally within 30
calendar days.
Section 2: A bargaining unit employee will be given a reasonable advance notice of any position
audit or review that may affect the classification of the employee's position. The Union will be
given reasonable advance notice, not less than ten (10) work days of management initiated audits
(i.e., not in response to employee requests or dissatisfaction with current title, series or grade) of
two (2) or more bargaining unit employees that may affect the classification of the employees'
positions. Employees are encouraged to review the "Employee Guide to Desk Audits" to
prepare for the audit. Employees have access to this information on the Agency's website
http://www.oDm.eov or they may contact their servicing Human Resources Office. If the audit
or review results in proposed changes to the employee's position description, the employee will
be notified prior to effecting the change. Additionally, the employee will be provided a copy of
any written evaluation prepared by the Agency as a result of an audit or review.
Section 3: An employee dissatisfied with the classification of his/her position should first
discuss the classification with his/her supervisor. If the supervisor is unable to resolve the issue
to the employee's satisfaction, at the employee's request the appropriate human resources
official will explain the basis for the classification/job grading.
Section 4: A General Schedule employee who still believes his/her position is improperly
classified may:
A. Request a desk audit at the local level (i.e., the HR office servicing that region, tab, or
headquarters component) by submitting a written request to the human resources office,
with a copy to his/her supervisor. This step must happen before selecting any other
options provided in this section, since an "appeal" is an appeal of the decision made at
the local level. At the employee's request a Union representative may participate in the
desk audit as a silent observer.
B. File an appeal at the Agency level to the Director, Office of Human Resources, who is
the Agency Appellate Authority; or
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C. If dissatisfied with the Agency's decision, the employee may file a subsequent appeal,
with the Office of Personnel Management through the Agency; or
D. File an appeal directly with the Office of Personnel Management.
Section 5: A Federal Wage System employee who still feels his/her position is improperly
classified may:
A. Request a desk audit at the local level (i.e., the HR office servicing that region, lab or
headquarters component), by submitting a written request to the human resources office
with a copy to his or her supervisor. This step must happen before selecting any other
options provided in this section, since an "appeal" is an appeal of the decision made at
the local level.
B. File an appeal with the Director, Office of Human Resources who is the Agency
Appellate Authority;
C. Provide the name, address, and business telephone number of the employee's
representative, if a representative has been selected;
D. Provide information on other decided or pending appeals, complaints, or
administrative decisions where the classification of the same position is or was an issue;
and
E. If dissatisfied with the Agency's decision the employee may file an appeal with the
Office of Personnel Management within fifteen (15) calendar days of the date of the
receipt of the Agency's decision.
Section 6: The appeal should discuss the specific aspects of the position that the employee thinks
were either misunderstood or not considered adequately. It should also include copies of the
current classified Position Description, and any evaluation report by HR. The position
description submitted should be the employee's position description of record.
Section 7: When designated as the employee's representative, the Union may assist an
employee who has filed a classification appeal in the preparation of such an appeal.
Section 8: When the Agency is afforded the opportunity to review and comment on proposed
position classification standards by OPM for bargaining unit positions covered by this
Agreement, the Agency will provide notice to the Union at the National Level, The Union may
forward its comments separately to OPM.
Section 9: The Agency will, upon request, provide the Union with access to written
classification standards and qualification standards that the Agency maintains.
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Section 10: The Agency agrees to inform the Union as soon as possible when, due to
reorganization or realignment of program responsibilities, the Agency is establishing new
positions and/or is making significant changes in the duties and responsibilities of positions
within the bargaining unit, and when changes in position classification standards result in
changes to title, series or grade, or bargaining unit status of bargaining unit positions. The Union
may request to make recommendations and present supporting evidence thereto. The Union must
provide its recommendations and supporting evidence to management's representative within
fifteen (15) calendar days of the notification. The Agency will consider the Union's
recommendations and upon request advise the Union of the results of its review.
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Article 34
Reduction in Force and Transfer of Function
Section 1: Scope. This Article governs Reduction in Force (RIF) and Transfer of Function
(TOF) actions as provided in applicable laws and regulations. For purposes of this Article, the
following terms are defined in law and are included for informational purposes:
A. Reduction in Force (RIF): When the Agency releases a competing employee from his
or her competitive level by furlough for more than thirty (30) days, separation, demotion,
or reassignment requiring displacement, when the release is required because of lack of
work, shortage of funds, insufficient personnel ceiling, reorganization, the exercise of
reemployment rights or restoration rights, or reclassification of an employee's position
due to erosion of duties when such action will take effect after the Agency has formally
announced a reduction in force in the employee's competitive area and when the
reduction in force will take effect within sixty (60) days or within thirty (30) days in
emergency situations.
B. Transfer of Function (TOF): The transfer of the performance of a continuing function
from one competitive area and its addition to one or more other competitive areas, except
when the function involved is virtually identical to functions already being performed in
the other competitive area(s) affected; or the movement of the competitive areas in which
the function is performed to another commuting area.
C. Function: All or a clearly identifiable segment of any agency's mission (including all
integral parts of that mission, regardless of how it is performed).
D. Competitive Area: The Agency will define the competitive area for a RIF or TOF
action. The competitive area may consist of all or parts of the Agency. The competitive
area will be defined solely in terms of EPA's organizational unit(s) and geographical
location and will include all employees within the competitive area so defined.
E. Competitive Level: Positions in the competitive area that are in the same grade (or
occupational level) and classification series that are so alike in qualification requirements,
duties, responsibilities, pay schedule, and working conditions that the incumbent of one
position can successfully perform the critical elements of any other position in the level
upon assignment to it, without loss of productivity or undue interruption.
F. Commuting Area: The geographic area that usually constitutes one area for
employment purposes. It includes any population center (or two or more neighboring
ones) and the surrounding localities in which people like and can reasonably be expected
to travel back and forth daily to their usual employment.
G. Undue Interruption: A degree of interruption that would prevent the completion of
required work by the employee ninety (90) days after the employee has been placed in a
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different position under a RIF action. However, a work program would generally not by
unduly interrupted even if an employee needed more than ninety (90) days after the RIF
to perform the optimum quality or quantity of work. The ninety (90) day standard may
be extended if placement is made to a low priority program or to a vacant position.
Section 2: Statement of Principle.
A. The Agency and the Union recognize that employees may be seriously and adversely
affected by a Reduction in Force (RIF) or Transfer of Function (TOF) action. Before
implementing a RIF or TOF affecting bargaining unit employees, the Agency will
attempt to minimize adverse effects through such appropriate means as attrition,
reassignment, furlough, hiring freeze, and early retirement. The Agency considers a RIF
to be an action of last resort.
B. Before taking a final decision in the matter, the Agency will meet with the appropriate
Local for the affected location(s) as soon as possible to discuss any alternatives that could
alleviate adverse effects on employees.
Section 3: Notice to the Union. When the Agency reaches a final decision to take a RIF or TOF
action, the Council President and the affected Local will be notified in writing at the earliest
possible date, but no later than ninety (90) days prior to the effective date. Notice will include
the reason for the RIF or TOF, approximate number and types of positions to be affected,
geographic location, and anticipated date of the planned actions.
Section 4: Retention Registers. The Agency will make current its retention registers before
giving notice to affected employees. Upon request, the Agency will provide the Union with a
copy of the updated retention register(s) and will meet with the Union to discuss any questions
the Union has regarding the registers). Employees will be permitted to review retention
registers with the employee's name, and other retention registers for other positions that could
affect the composition of the employee's competitive level and/or the determination of the
employee's assignment rights.
Section 5: Consistent with 5 CFR 351, after notice to the Union, the Agency will provide notice
of RIF or TOF action to affected employees of no less than sixty (60) full days. Individual RIF
or TOF notices must include the following information:
A. The action to be taken, the reason for the action, and its effective date;
B. The employee's competitive area, competitive level, retention subgroup, service date,
and three most recent performance ratings of record received during the last four (4)
years;
C. The place where the employee may inspect the regulations and records pertinent to
this case;
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D. The reasons why any lower standing employees in the same competitive area are
being retained;
E. Grade and Pay retention information applicable to the employee receiving the notice;
F. Information on reemployment rights;
G. The employee's right to grieve the action under Article 38, Negotiated Grievance
Procedure.
H. The option to either grieve the action under Article 38, Negotiated Grievance
Procedure or to the Merit Systems Protection Board if the employee alleges the RIF
action is a Prohibited Personnel Practice under 5 USC 2302.
Section 6: Offer of Position.
A. The Agency shall, in accordance with 5 CFR 351, if possible, offer an assignment to
each employee adversely affected through the implementation of a RIF or TOF.
Consistent with 5 CFR 351.701 the offer, if made, shall be of a position as close as
possible to, but not higher than, the current grade of the affected employee, and the
position shall be in the same competitive area. Employees adversely affected by a RIF or
TOF may request, in writing, that they be assigned to a particular continuing position
meeting the provisions in the previous sentence. An employee is restricted to making
such a request only one time; the request can be made only after the retention registers
have been completed. Such an employee request will be answered within ten (10) days.
These employee requests will not be grievable under the Negotiated Grievance Procedure
if the request is rejected by the Agency.
B. Employees will respond in writing to a best offer of employment to another position
within fifteen (15) calendar days of receipt of a written offer. Failure to respond within
fifteen (15) days will be considered a rejection of the offer.
Section 7: In accordance with applicable RIF and TOF regulations and to the extent feasible, if
the Agency is unable to offer an assignment to an affected employee, the Agency will waive
some qualifications for a vacant position which it intends to fill, which does not contain selective
placement factors, provided the a) employee meets any minimum education requirement for the
position; b) Agency determines that the employee has the capacity, adaptability, and special
skills needed to satisfactorily perform the duties and responsibilities of the position.
Section 8: Use of Vacancies. To the extent possible, the Agency will not fill a vacant
bargaining unit position within the organizational unit in which the RIF is taking place until it
has considered all reasonable alternatives to reduce the adverse effects on bargaining unit
employees who are to be displaced as a result of the RIF. In considering these alternatives, the
Agency will review the possibility and feasibility of redesigning vacant positions.
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Section 9: Relocation.
A. Employees who are relocated by the Agency as a result of action covered by this
Article will receive relocation expenses and authorized absence as provided by law and
regulations.
B. Employees reassigned to a different commuting area who relocate will be allowed a
period of time, as appropriate on a case by case basis, to complete the move and report to
work at the new work location.
C. The employee will be provided administrative time to research relocation matters
such as area housing and schools in the new geographic location, disposition of their
current homes, and to handle any other matters related to the move, to the extent
allowable under appropriate laws and regulations.
Section 10: Placement Services.
A. The Agency will utilize all resources available under applicable law and regulation in
efforts to place employees who are separated or reduced in grade in a RIF. This will
include the Agency's Reemployment Priority List and OPM's Career Transition
Assistance Program. Employees separated in a RIF will receive priority consideration to
fill vacant positions at the activity where they worked for which they are qualified for in
accordance with eligibility and employment restrictions per 5 C.F.R. 330.
B. Whenever technological changes cause abolishment of some jobs and the
establishment of other, the Agency agrees, when feasible, to utilize the abilities and
skills of the displaced employees through established re-training programs designed to
qualify these employees for other jobs:
(1) when feasible and applicable by law and regulation, and
(2) consistent with the abilities of the employees.
C. Repromotion:
(1) for a period of two (2) years, an affected employee demoted by an action
covered by this Article will be repromoted to vacancies the Agency determines to
fill as they occur according to the following criteria:
(a) A satisfactory performance rating on his/her most recent rating which
is documented in his/her official personnel file and meets other eligibility
requirements of 5 C.F.R. 330.
(b) The employee has the requisite skills and abilities for the position
without undue interruption.
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(2) If more than one employee meets the criteria of subsection t and is not subject
to the criteria in subsection 2, the employee who has the higher retention standing
will be promoted.
(3) An employee who was previously demoted without personal cause,
misconduct or inefficiency, and who meets all other eligibility criteria in 5 C.F.R.
330, will receive special consideration for repromotion.
D. Employees facing RIF actions will receive reasonable amounts of administrative
leave to contact federal job placement officials and employment agencies.
Section 11: Excepted Service. In reduction in force and transfer of function actions, the Agency
will apply the same procedures in this Article for both competitive and excepted service
employees only as provided by applicable laws and regulations; however, excepted service
employees will compete only with other excepted service employees in the same appointing
authority and in the same competitive area. In no case will excepted and competitive service
employees compete with each other for retention or placement.
Section 12: Unemployment Compensation. The Agency will counsel employees who are to be
separated in a RIF in their eligibility and procedures for applying for unemployment
compensation. Expert assistance from the relevant state will be obtained if the employee
requests.
Section 13: Furloughs.
A. Employees who are furloughed during a lapse in appropriations will be retroactively
paid and otherwise compensated when appropriations are approved to the extent
permitted by law and regulation.
B. Employees will be allowed to request a specific schedule for the furlough time. An
employee's request will be honored unless management determines that mission and
workload prevents approval of the request. Should an employee request be denied, the
employee will be provided written reasons for the denial.
C. The Agency will have a liberal leave without pay (LWOP) policy during periods of
furloughs, but will not coerce any employee into using LWOP during a furlough. The
Agency will inform employees of any differences in eligibility for unemployment
compensation if the employee is placed on furlough of LWOP.
Section 14: Reemployment. In accordance with applicable laws and regulations, terminated
employees as a result of RIF action will be notified of Agency vacancies for which they are
qualified and will receive priority consideration over non-Agency employees for a two year
period.
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Article 35
Contracting Out
Section 1:
A. Management agrees to notify and consult with the Union regarding any anticipated
review of a function for contracting out that affects bargaining unit positions, as required
or allowed by law, rule or regulation, OMB Circular A-76 and its Supplement, and this
Agreement. This notification to the Union does not include a function that currently is
not being performed by bargaining unit employees.
B. Upon issuance, a solicitation used in the conduct of a cost comparison will be made
available to the Union for comments. The Union shall be given the opportunity to review
the document and submit comments before final receipt of offers from the private sector.
Private sector offerors shall comment as provided by the Federal Acquisition
Regulations.
Section 2: The Agency agrees to minimize the need to separate employees by a contracting out
decision. It will use attrition and restrict new hires to the maximum extent possible, in the event
of a RIF and will place the affected employees in positions consistent with OPM regulations.
Section 3: In the event the Agency determines to conduct a cost analysis study pursuant to
OMB Circular A-76, during the course of the study, it will hold monthly meetings with affected
bargaining unit employees for the purpose of providing information. The Union will be given an
opportunity to participate in such briefings. The Parties can mutually agree to postpone or cancel
any meeting. If there is no information to provide, the Agency will advise the employees and the
Union via electronic mail and the meeting may be postponed or cancelled.
Section 4: Management and the Union recognize the right of first refusal required by OMB
Circular A-76 and its Supplement. Declining to exercise the right of first refusal due to
displacement from contracting out shall not be deemed to be a waiver in any appeal or grievance
rights a bargaining unit employee might have under applicable law, regulation, and this
Agreement.
Section 5: The Agency and the Union will cooperate and communicate to the maximum extent
possible.
Section 6: During the contract performance period, the Union is encouraged to bring known
contract deficiencies to the appropriate contract administrator or designee's attention.
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Article 36
Equal Employment Opportunity
Section 1: No employee will be denied a benefit of employment by the Agency, or a benefit or
right of unit membership by the Union, because of the employee's race, color, creed, national
origin, sex, age, sexual preference. Union affiliation, lawful political affiliation, marital status, or
qualifying handicapping condition. Both Parties support the realization of a representative work
force within the unit at all levels.
Section 2: The Parties hereby affirm their support of affirmative action.
Section 3: When the Agency, at the local level utilizes an EEO committee, or councils, the
Union will be given the opportunity to have at least one bargaining unit employee at the location
as its representative to participate as a committee member on matters affecting unit employees.
Section 4: The Union will designate an authorized representative for the Agency to deal with on
all EEO matters which are beyond local scope and impact.
Section 5: The Union may submit the names of bargaining unit employees who are interested in
serving as EEO Counselors to the appropriate management official. Employees who meet the
criteria for an EEO Counselor and are selected by the Agency will receive appropriate training in
accordance with the applicable policies and regulations. No Union representative who handles
employee representation functions for the union may serve as an EEO Counselor nor may an
EEO Counselor serve in a representative capacity for any employee.
Section 6: A bargaining unit employee may file an EEO complaint under the Negotiated
Grievance Procedure or the administrative procedure provided by statute and regulations, but not
both. An employee filing a formal EEO complaint under the Agency's procedure is entitled to a
representative of personal choice subject to Agency policies and regulations. An employe^ filing
a formal EEO complaint under the Negotiated Grievance Procedure may be represented only by
an authorized Union representative.
Section 7: Upon request, in accordance with the provisions of Section 7114(b)(4) of the Statute,
and this Agreement, the Agency will provide any prepared statistical EEO reports and EEO
complaint summaries on the unit to the Union.
Section 8: An employee shall be deemed to have exercised his or her option in filing an EEO
complaint at such time as the employee timely initiates a formal written EEO complaint/notice of
appeal under the statutory procedures or timely initiates a grievance in writing above the first
step (informal) in accordance with the Grievance Article.
Section 9: Employees are encouraged to discuss EEO allegations with an EEO counselor.
Discussions between an employee and an EEO Counselor do not preclude an employee from
opting to select the negotiated procedure.
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Article 37
Disciplinary and Adverse Actions
Section 1: The Agency and the Union recognize that the public interest requires the
maintenance of high standards of conduct. The Parties collectively agree that the purpose of any
disciplinary action is to correct or improve employee behavior and to maintain discipline within
the workforce. All disciplinary actions will be taken only for just and sufficient cause.
Suspension for more than fourteen (14) days, removals, reductions in grade or pay, and furloughs
of thirty (30) days or less will be taken for such cause as will promote the efficiency of the
service.
A. Where applicable, the Parties agree to the philosophy of progressive discipline.
B. Whenever possible, disciplinary actions will be conducted privately and in such a
manner as to avoid embarrassing the employee.
C. Disciplinary and adverse actions will be initiated as timely as possible after the offense
is committed or Management becomes aware of the offense.
Section 2: Definitions.
A. An informal action is non-punitive in nature and includes closer supervision, oral
admonishment or a letter/memorandum of warning.
B. An adverse action is a formal disciplinary action consisting of a suspension of more
than fourteen (14) calendar days, a reduction in grade or pay (as defined in 5 C.F.R.
752.402), a furlough of thirty (30) calendar days or less, and removal.
C. A formal disciplinary action is a suspension of fourteen (14) calendar days or less and
letters of reprimand.
D. Performance-based actions and RIF actions are neither disciplinary nor adverse
actions.
E. Where there are calendar based deadlines for action by the Agency, the Union, or
individual bargaining unit employees, and the last day falls on a day which the official
duty station is closed (weekends, holidays, emergency closures, etc.) the deadline shall be
the next business day in which the official duty station is open.
Section 3: Informal Actions.
A. The supervisor or appropriate management official shall advise the employee of the
specific infraction or breach of conduct, and give the employee the opportunity to explain
his/her side of the matter and, if warranted, an oral admonishment will outline what steps
are necessary to preclude a recurrence. The employee will be provided reasonable time
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to seek union representation if requested. It is understood that it is the employee's
obligation to make such a request.
B. Letter/memorandum of Warning consists of a description of the misconduct, an
outline of positive corrective steps, and state what penalty might result if the actions
continue.
C. Since this section deals with informal actions which are not disciplinary in nature, the
Agency will not cite any records regarding such an informal action beyond eighteen (18)
months in any subsequent disciplinary action which might occur. The only exception is
where, in the interim period, an action for a like offense has been issued.
Section 4: Disciplinary Actions.
A. Before issuing a letter of reprimand, the supervisor or appropriate management
official must fully discuss the incident in question, with the employee to permit the
employee to present his/her side of the situation. If after the employee presents his/her
views, the supervisor or appropriate management official considers a reprimand to be
warranted it will be issued to the employee in writing by the immediate supervisor or
appropriate management official not less than two (2) work days after the discussion.
The letter will state the employee's right to be represented by an attorney or other
representative, including the Union. The employee will be given five (5) business days to
provide a written response to the reprimand. The employee shall be authorized a
reasonable amount of official time to prepare a response. This response will be included
in the employee's file with the reprimand if so requested. Letters of reprimand will be
maintained in an employee's Official Personnel Folder for up to two (2) years.
B. Any suspension of fourteen (14) days or less must be preceded by a written proposal
notice at least fourteen (14) calendar days before the discipline is to be effected. The
employee will be given ten (10) calendar days in which to provide the deciding official a
response either orally, in writing, or both. Advance notices will specify the deciding
official to whom the employee should provide any reply. The notice will state the
employee's right to be represented by an attorney or other representative, including the
Union. The employee shall be authorized a reasonable amount of official time to prepare
a response.
C. The employee shall be provided with an additional copy of all disciplinary actions
marked "COPY for EMPLOYEE'S REPRESENTATIVE".
Section 5: Adverse Actions. All adverse actions with the exception of C and D below, must be
preceded by written notice at least thirty (30) calendar days before the intended effective date.
Employees will receive at least fifteen (15) calendar days to provide the deciding official a
response, either orally, in writing or both and to furnish affidavits or other evidence in support of
the answer. Employees shall be granted a reasonable amount of official time to prepare the
response. The notice will state the employee's right to be represented by an attorney, or other
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representative, including the Union. The deciding official or designee will consider requests for
extensions of time, and may grant them where he/she believes the request reasonable.
A. The advance notice shall inform the employee of the right to review the material
management is relying upon to propose the action.
(1) If supervisory notes are kept on employees, the notes will be maintained in a
secure fashion and disclosed only to those officials with a need to know.
Supervisory notes, or the applicable portion thereof, used to support a disciplinary
or adverse action are to be made available to the employee upon request, as soon
as practicable.
(2) The Agency may redact any material reviewed or supplied to the
employee/representative, consistent with legal or regulatory requirements. If
management is relying upon witness statements, the Agency will provide the
identity of the witness(es), and any witness statements.
B. The notice of proposal will specify the Agency official who will hear the employee's
answer and make a decision on the proposal. The official will normally be the next
higher level official in the proposing official's chain of command, unless the proposing
official is the Deputy Administrator, or Administrator of the Agency. If the employee
chooses to make an oral reply, the reply will be made at the deciding official's work
location, unless agreed otherwise. In cases where the employee and deciding official
work at different locations, but within the same commuting area, the employee will travel
to the deciding official's work location, unless agreed otherwise. When the two are in
different commuting areas, the oral reply will be made by video or telephone conference,
unless agreed otherwise. The deciding official or his/her designee, will summarize the
oral reply, if any, and include it in the case file. If the employee chooses he/she may
provide a summary to be included in the case file.
C. In cases of proposed adverse action when the Agency has reasonable cause to believe
that the employee has committed a crime for which a sentence of imprisonment may be
imposed, and the Agency determines it to be in its best interest, no advance notice is
required.
D. An advance written notice and opportunities to respond are not necessary for furlough
without pay due to unforeseeable circumstances, such as acts of God, or sudden
emergencies requiring immediate curtailing of activities. Management agrees that such
furloughs will be an act of last resort. When Management has the authority to do so,
excused absence may be granted, as appropriate.
E. The employee shall be provided with an additional copy of disciplinary actions
marked "COPY for EMPLOYEE'S REPRESENTATIVE."
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Section 6: Decisions. The decision will be provided in writing to the employee and will specify
the charges sustained and the penalty imposed. The decision will include the rights of appeal
available to the employee and will notify him/her of the right to designate a representative,
including the Union.
The Agency will consider the following factors when making a final determination on the
appropriateness of a penalty in an adverse action case. The proposing and deciding official must
review each case individually and apply those factors that are relevant. The factors may or may
not weigh in the employee's favor:
A. The nature and seriousness of the offense, and its relation to the employee's duties,
position, and responsibilities, including whether the offense was intentional, technical or
inadvertent, or was committed maliciously or for gain, or was frequently repeated;
B. The employee's job level and type of employment, including any fiduciary role,
contact with the public, and/or prominence of the position;
C. The employee's past disciplinary record;
D. The employee's past work record, including length of service, job performance,
ability to get along with fellow workers, and dependability;
E. Any effect of the offense upon the employee's ability to perform at a fully successful
level and its effect upon the supervisor's confidence in the employee's ability to perform
assigned duties;
F. Consistency of the penalty with those imposed upon other employees for the same or
similar offenses;
G. Consistency of the penalty with the penalties in the Agency's conduct and discipline
order;
H. The notoriety of the offense or its impact upon the reputation of the Agency;
I. The clarity with which the employee was on notice of any rules that were violated in
committing the offense, or had been warned about the conduct in question;
J. Potential for the employee's rehabilitation;
K. Aggravating or mitigating factors surround the offense, such as unusual job tensions,
personality problems, mental impairment, harassment, or bad faith, malice, or
provocation on the part of others involved in the matter; and
L. The adequacy and effectiveness of alternative sanctions to deter such conduct in the
future by the employee or others.
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Section 7: Removal from the work place pending a decision.
Under ordinary circumstances, an employee whose removal has been proposed will remain in a
duty status in the position of record during the advance notice period. In circumstances in which
the Agency reasonably believes that the employee's continued presence in the work space during
the reply period poses a threat to persons or property, or otherwise jeopardize Government
interests, the Agency will consider the following alternatives prior to placing the employee in a
paid, non-duty status:
(1) Assigning the employee to duties where the perceived threat no longer exists;
(2) Placing the employee on leave, with his/her consent; or
(3) Carrying the employee in the appropriate status if he/she is absent for reasons not
originating with the Agency.
(4) If none of these alternatives are selected, the Agency may place the employee in a
paid, non-duty status during all or part of the advance notice period, as consistent with
law or regulation.
Section 8: Employees may only grieve a disciplinary action through the Negotiated Grievance
Procedure (NGP). Employees may appeal adverse actions to the Merit Systems Protection Board
(MSPB), or file a grievance under the NGP, but may not do both. Once an employee has elected
to file an MSPB appeal or a written grievance under the NGP, the employee may not change
subsequently to the other procedure.
Section 9: In lieu of rendering a decision on a proposed action a deciding official may choose to
offer an employee a settlement agreement, or access to ADR if locally established pursuant to
Article 38 of this Agreement. Any settlement agreement may not conflict with the terms of this
agreement. Any settlement talks which constitute "formal discussions" under 5 U.S.C. Chapter
71, may be attended by a Union representative pursuant to Article 5, Section 8 of this
Agreement.
Section 10: This Article will be administered as required by law and in accordance with MSPB
regulations. Where an employee appeals an adverse action through the negotiated grievance
procedure and the Union proceeds to arbitration, the arbitrator is bound by the same rules
governing the burden of proof and standards of proof that govern adverse actions before the
Merit Systems Protection Board.
Section 11: The Parties recognize that the age of any evidence offered by any Party may be a
factor detracting from its credibility and that as such, such evidence may lose its probative value.
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Article 38
Negotiated Grievance Procedure
Section 1: The Parties agree that this Article establishes the sole and exclusive procedure
available to bargaining unit employees and the Parties for processing and settlement of
grievances that fall within its coverage, including questions of grievability and arbitrability. The
Parties recognize and endorse the importance of bringing to light and resolving grievances in a
prompt manner. The Parties agree that the expeditious resolution of grievances is in the public
interest. Inasmuch as dissatisfactions and disagreements arise occasionally among people in any
work situation, the filing of a grievance shall not be construed as reflecting unfavorably on an
employee's good standing, performance, loyalty, or desirability.
Section 2: A grievance means any complaint:
A. By any bargaining unit employee concerning any matter relating to the employment
of the employee;
B. By the Union concerning any matter relating to the employment of a bargaining unit
employee; or
C. By the Union or the Agency concerning:
(1) The effect or interpretation, or claim of breach of this Agreement, Supplemental
Agreements or Memoranda of Understanding; or
(2) Any claimed violation, misinterpretation, or misapplication of law, rule, or
regulation affecting conditions of employment.
Section 3: In addition to any other exclusions contained in this Agreement, the grievance
procedure will not apply to:
A. Any claimed violation of Subchapter III of Chapter 73 of Title 5, U.S.C. (relating to
prohibited political activities);
B. Retirement (5 C.F.R. 831), life insurance (5 C.F.R. 870, 871, 872 and 873) or health
insurance (5 C.F.R. 890);
C. Any examination or certification (5 C.F.R. 332 and 337), or appointment, e.g., the
separation of an employee during a probationary period (5 C.F.R. 2, 3, and 8);
D. A suspension or removal under Section 7532 of Title 5 U.S.C. (Relating to national
security matters);
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E. The classification of any position which does not result in a reduction in grade or pay
of an employee (5 C.F.R. 511);
F. A management decision to make or terminate a temporary promotion, detail, or
reassignment;
G. The adoption or non-adoption of a suggestion or the receipt or non-receipt of an
honorary or cash award in accordance with the terms of this agreement;
H. The mere non-renewal or extension of a temporary employee, termination of a
temporary appointment due to reduction in force, and any other termination of the
appointment of a temporary employee in accordance with applicable policy, law and this
Agreement;
I. Separation of a term, trial or excepted service employee in accordance with applicable
policy, regulation, law, or this Agreement.
Section 4: Other Applicable Procedures
A. The following actions may be filed either under the appropriate statutory procedure or
under the procedure outlined in this Article, but not both:
(1) Actions based on unsatisfactory performance (5 U.S.C. 4303);
(2) Adverse Actions (5 U.S.C. 7512);
(3) Prohibited Personnel Practices (5 U.S.C. 2302 (b) (1));
(4) A formal EEO complaint (29 C.F.R. 1614).
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B. Nothing in this Agreement shall constitute a waiver of any further appeal or
review rights permissible under 5 U.S.C. Chapter 71.
C. An employee shall be deemed to have exercised his/her option under this
section when he/she timely initiates an action under the applicable statutory
procedure or files a timely grievance in writing under the negotiated grievance
procedure in this Article, whichever occurs first.
D. Employees who have sought informal EEO complaint counseling may still file
a grievance, provided that such grievance is initiated within forty-five (45) days
of the event or non-event which caused the grievance to be filed, and no formal
EEO complaint has been filed. Per 29 C.F.R. Part 1614, initiating one formal
process precludes the use of the other.
Section 5: Only the employee or a representative designated by the Union may be the
representative in a grievance under this procedure.
A. If an employee chooses to represent him/herself, the Agency will: (1) provide
the Union with a copy of the grievance within one workday of receiving the
grievance; (2) provide the Union with advance notice of each meeting between
the grievant and the Agency; (3) afford the Union the right to be present at all
stages of the process; and (4) provide the Union with copies of Agency written
grievance responses and/or settlement agreements/written resolution. Any
resolution of the grievance must comply with the terms and conditions of this
Agreement, including any applicable supplements, amendments, or Memoranda
of Understanding.
B. If the Union is the grievant's designated representative, the employee will so
state in writing at the initial filing of the grievance. Communications under this
procedure shall be directed to the representative designated by the Union. Any
changes to that designation also will be in writing. Each Party shall have a
representative available to meet referenced grievance filing time frames.
Extensions may be granted by mutual agreement of the Parties.
Section 6:
A. A grievance must be filed initially within thirty (30) days of the date of the
matter, incident or issue out of which the grievance arose or thirty (30) days after
the date the grieving party or person should have been aware of the matter,
incident or issue. The use of the word "day(s)" will be interpreted as calendar
days. A step of the grievance procedure can be waived by mutual agreement of
the Parties.
B. Requests for extensions to the time limits for filing must be submitted, in
writing, to the other Party prior to the expiration of the applicable time limit.
Requests for extensions of time limits shall be considered upon receipt of a
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written request and justification. A written decision will be provided to the
requesting Party. If the Agency fails to comply with the time limits at any step of
the grievance process, the grievance may be advanced to the next step of the
process.
C. The Agency will provide timely and appropriate responses to information
requests from the Union consistent with 5 U.S.C. Section 7114.
Section 7: A reasonable amount of official time during work hours will be allowed for
employees and Union representatives to discuss, prepare for, and present grievances
including attendance at meetings with Agency officials concerning the grievance.
Section 8: Employee Grievance Procedure
Informal Grievance:
The Parties recognize that grievances may arise from misunderstandings or disputes that
can be resolved promptly and satisfactorily on an informal basis.
At the election of the employee or his/her representative, an employee complaint may be
brought to the supervisor or appropriate management official with authority to resolve the
matter in an attempt to resolve the matter informally. The supervisor or appropriate
Agency official will provide a written response within five (5) work days of the matter
being brought to their attention under this Section. If a matter is not resolved in this
manner, the employee or his/her representative, may file a grievance in accordance with
the procedures set forth herein. At the election of the employee or his/her representative,
this informal process may be bypassed. An election to pursue resolution informally does
not toll the required time frames for filing a formal grievance. However, an extension
may be granted by mutual agreement of the Parties.
If the dispute cannot be resolved informally or the employee or his/her representative
chooses to forego the informal meeting described above, the following formal process
must be used:
Formal Step 1
A. An employee will present his/her grievance in writing to the immediate
supervisor, unless the immediate supervisor does not have the authority over the
matter grieved. In that case, the employee will present his/her grievance to the
Agency official at the level having the necessary authority.
B. The employee must state specifically that he/she is presenting a grievance; the
personal relief sought; the name, organizational unit and location of the
aggrieved; a statement of the items, regulations or agreement alleged to have been
violated, citing specific paragraphs or articles; designation by name of the Union
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representative or statement of self-representation. The grievance must be signed
and dated.
C. Within fifteen (15) calendar days after receipt of the grievance, the step 1
deciding official will issue a written decision. If the grievance is denied, the
response will include the name of the Step 2 Agency official who has the
authority to resolve the matter. The Agency's failure to respond to the grievance
within the specified time frames, or as mutually agreed to by the Parties, will
automatically advance the grievance to the next step.
Step 2
A. If the matter is not satisfactorily settled following Step 1, the aggrieved
employee and/or his/her representative, if any, may, within fifteen (15) calendar
days of notification of denial or the date that a response should have been
received, present the matter in writing to the Step 2 Agency official identified in
the Step 1 decision. The grievance will contain the information submitted in Step
1 plus the Agency response at Step 1.
B. The Step 2 Agency official shall issue a written decision on the grievance
within thirty (30) calendar days of receipt of the grievance. If the grievance is not
satisfactorily settled, the Union may refer the matter to arbitration in accordance
with the procedures set forth in the Arbitration Article.
C. If at any time during the processing of a grievance a settlement agreement is
accepted by the employee or his/her designated representative, the agreement
shall be in writing and the grievance shall be withdrawn in its entirety upon
execution of the settlement agreement.
Section 9: Grievance of the Parties
A. Should either Party have a grievance concerning institutional rights granted by
law, regulation or this Agreement, it shall inform the designated representative of
the other Party of the specific nature of the complaint in writing, as well as any
provision of law, rule, or regulation allegedly violated, and the relief sought,
within thirty (30) days of the date of the matter, incident or issue being grieved, or
the date the Party reasonably should have been aware of the matter, incident or
issue. The grieving Party will file the grievance with the designated representative
of the other party at the level of recognition.
(1) A local matter will be filed with the designated local representative of
the other Party; or
(2) A national matter will be filed with the designated national level
representative.
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B. Within thirty (30) calendar days after receipt of the written grievance, the
receiving party will send a written response stating its position regarding the
grievance. If the matter is not resolved, the grieving party may refer it to
arbitration in accordance with Article 44.
Section 10: Alternative Dispute Resolution (ADR)
A. Alternative Dispute Resolution (ADR) may be used to promote principles and
practices that will contribute to an improved working relationship either before or
during the processing of a grievance. The ADR process demonstrates a
commitment to a positive approach and joint ownership of concerns and solutions.
It is intended to resolve disputes quickly and informally.
B. The ADR program will be guided by the following principles: (1) The
employee grievant or his/her representative may opt to use the ADR process at any time
during the grievance procedure prior to the Step 2 decision.
(2) Any request for ADR must be filed to the Agency's designated
representative in writing prior to the expiration of any controlling time
frame in the grievance process.
(3) If a matter is not resolved through ADR, the grievance will continue
through the grievance process, beginning at the step where the Party first
made a request for ADR. (If the grievant already filed a step 2 grievance
and was waiting a reply, the process resumes where it left off.)
(4) This process does not take away statutory rights.
(5) ADR is purely voluntary on the part of the Employee. Participation is
open to all aggrieved Parties, i.e., employees, Union and Agency.
(6) ADR is confidential. The Parties to the ADR process will be advised
that the contents of the mediation discussion are confidential. All notes
will be destroyed at the close of mediation.
(7) All ADR Settlement Agreements signed by the Parties to the ADR are
binding on the Parties and will be recorded. Each Party will be provided a
copy of the ADR Settlement Agreement. Copies of agreement with
original signatures will be maintained by both Parties.
(8) Any issue subject to the grievance procedure may be considered for
ADR.
(9) The Parties agree to educate employees on the ADR process.
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(10) If ADR is requested, time frames of the grievance process are tolled
until the ADR process is completed.
(11) The ADR process will be completed within 30 (thirty) days.
C. ADR procedures, expenses, and choice of mediators, shall be subjects for local
level negotiations.
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Article 39
Arbitration
Section 1: Only the Union or the Agency may refer to arbitration any grievance that
remains unresolved after the final step under the negotiated grievance procedure. A
notice to invoke arbitration shall be made in writing, by hard-copy or by electronic mail,
to the opposite Party within thirty (30) calendar days of receipt of the written decision
rendered in the final step of the grievance procedure.
Section 2: The Party desiring to submit the grievance to arbitration shall request the
Federal Mediation and Conciliation Service (FMCS) to provide a list of seven (7)
impartial qualified persons to act as arbitrators. The Parties shall meet within five (5)
days after receipt by both Parties of the list of Arbitrators. If they cannot mutually agree
upon one of the listed arbitrators, the Parties will each strike three (3) names, and the
remaining person will be the duly selected arbitrator. The flipping of the coin or other
mutual agreeable means will be used to determine which Party will strike the first three
(3) names. The initiating Party will pay the FMCS fee. If either Party refuses to
participate in the selection of an arbitrator then the other Party may select the arbitrator.
A. Once a final name is selected the Parties will sign the FMCS arbitration form
letter and mail, fax or email it back to FMCS within ten (10) workdays. If
electronic filing is used, the requesting Party shall submit the selection form to
FMCS and provide a copy to the other Party. The parties will ensure that the
listed names, addresses and phone numbers of the applicable Union and
Management representatives and the arbitration issue are correct.
B. The hearing with the arbitrator will normally be within sixty (60) days of the
written notification to avoid arbitrating "stale" facts, dependant upon the
arbitrator's availability.
C. Upon selection of an arbitrator, the representatives for the Parties will jointly
communicate with the arbitrator and each other to select a mutually agreeable date
for the hearing.
Section 3: Any extensions of the time limits in this Article must be mutually agreed
upon by the Parties. Any request for an extension(s) must be in writing, specifically
identifying which time frame in this Article the requested extension is for and the reason.
A denial or agreement from the opposite Party must be in writing. These requests
become part of the grievance file.
Section 4:
A. The cost of the arbitrator's fees and expenses will be shared equally by the
Parties.
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B. If the Party invoking arbitration should withdraw anytime prior to a decision
being rendered by an arbitrator, the invoking Party shall bear the full cost of any
charges and expenses imposed by the selected arbitrator.
C. If a settlement agreement is reached prior to the hearing the Parties agree to
notify the arbitrator that the matter has been settled as soon as possible in order to
minimize the costs.
Section 5: Issues and charges raised before the arbitrator shall only be those raised at the
last
stage of the applicable grievance procedure. The arbitrator shall have no authority to
alter in any way the terms and conditions of this Agreement, any supplemental agreement
or any other condition of employment or issue not properly before him/her.
Section 6: No later than five (5) work days prior to the arbitration, the Parties will make
available all evidence and proposed witnesses then within its knowledge to the other
party. On the last work day prior to the arbitration the parties will meet to exchange all
evidence and proposed witnesses which they intend to enter into the proceeding. If
evidence or information becomes available to a Party prior to the start of the proceeding
which has not been made available to-the other Party and it is intended to enter that
evidence or information in the arbitration, the other Party will be provided that evidence
or information immediately. If the information or evidence is substantial, at its
discretion, the other Party may obtain a postponement of the arbitration for one (1) work
day, or until the arbitrator's next available date, whichever is less.
The parties will attempt to reach agreement on joint exhibits. By mutual agreement the
parties may conduct the above exchanges via email rather than in person.
Section 7: Prior to the hearing, the Parties will attempt to stipulate the issue(s) to be
arbitrated and any factual matters which would expedite the arbitration. In the event no
questions of fact exist, the Parties may, by mutual agreement, forego a formal hearing
and present the grievance directly to the arbitrator by written submission. The arbitrator
is empowered to make a finding and award based on those submissions. If the Parties are
unable to agree on a joint stipulation of the issues, each Party shall submit its statement of
the issue(s) to the arbitrator. The arbitrator shall determine the issue(s) to be heard.
Section 8: It is the Agency's responsibility to ensure all management witnesses approved
by the arbitrator and who are currently employed by the Agency are informed of the
arbitration hearing date and location.
Section 9:
A. Arbitration hearings will normally be held on the Agency's premises, when
practicable, or at a mutually agreeable site which will minimize the costs of the
hearing for both Parties. The hearing will be held during the regularly scheduled
workweek. Employees (e.g., witnesses, technical representatives, representatives)
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in a duty status will be excused from duty for the time necessary to participate in
the arbitration proceedings (in the case of union representatives and the grievant,
this will be recorded as official time for representational activity).
B. The Union and the Agency shall each be allowed up to two (2) representatives
to present its case; additional representatives may be permitted on an equal basis
only, by mutual agreement of the Parties.
C. In arbitration hearings involving a single named grievant or multiple named
grievants from a single duty station, if the hearing is not held at the grievant(s)
official duty station, the Agency shall pay travel expenses and per diem, as
authorized by law and regulations, for:
a. The single named grievant, or
b. Multiple named grievants from a single duty station, and
c. One union representative employed at the same official duty station as
(a) or (b) immediately above.
The Agency shall not be required to pay these costs if the Agency agreed in
writing to conduct the hearing at the official duty station.
D. The Parties shall determine the location of hearings on national Grievances of
the Parties filed by Council 238 on a case by case basis by mutual agreement. In
the event the parties cannot agree on a location, location disputes shall be resolved
by an arbitrator. The arbitrator shall be selected on an alternating basis from a
Washington D.C. area FMCS list and a list from the official duty station of the
President of Council 238. The arbitrator's decision shall not be decided based on
personal appearance, but using an alternative method as specified by the arbitrator
(e.g. paper submission, telephone /video conference). The Arbitrator shall make
his/her decision on how he/she would like to have the issue of location presented
based on position statements submitted separately by the Parties. Position
statements to the Arbitrator on the issue of how the Parties should present the case
to the Arbitrator shall be mailed to the Arbitrator and to the other Party within
thirty (30) calendar days of the selection of the Arbitrator.
Section 10: The Agency will make its presentation first in disciplinary and adverse
action cases. In all other issues, the Party requesting the arbitration will make its
presentation first in the hearing.
Section 11: The arbitrator will be requested to render his/her decision as quickly as
possible,
but in any event not later than thirty (30) days after the conclusion of the hearing or
closing of the hearing record, including submission of briefs, unless the Parties agree to
extend the time limit.
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Section 12: When the Parties mutually agree to an expedited arbitration, the arbitrator
may render a decision at the close of the proceedings. Such bench decisions will have no
precedential value with regard to future grievances or arbitrations.
Section 13: Arbitration hearings may be bifurcated (separated into two parts) only by
mutual
agreement of the Parties.
Section 14: The arbitrator's award shall be binding on the Parties; however, either Party
may file an exception with the Federal Labor Relations Authority under regulations
prescribed by the Authority. The filing of an exception to the Authority will serve to
automatically stay the implementation of the award until the exception is disposed of
under the terms of this section.
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Article 40
Supplemental Agreements and Other Negotiations During the Life and Term of
This Agreement and Designated Representatives of the Parties
Section 1: The Parties agree that the circumstances under which negotiations are
appropriate during the life and term of this Agreement are included and described below:
A. At the Union's option, when the Agency, at any level, proposes a change in
the substance of an otherwise negotiable personnel policy, practice or working
condition not part of this Agreement;
B. At the Union's option, when the Agency, at any level, exercises a management
right and the impact of that decision creates adverse impact on bargaining unit
employees;
C. At either option, local level negotiations on matters delegated to the local level
by this Agreement;
D. By mutual consent, a reopening of this Agreement; and
E. At a local level, a single supplemental agreement; on matters not set forth in
(A) through (D) above by mutual consent of the Parties at that local level.
Section 2: In situations (A) and (B) described in Section 1, the Agency will notify the
authorized agent of the Union in advance in writing of the proposed change or
management decision and its impact. (It is understood that the Agency is not required to
negotiate its decisions which do not adversely affect the bargaining unit.) The Agency
will notify the authorized agent of its decision and date of implementation. When
negotiation is desired, the authorized agent will indicate his/her desire to enter into
negotiations by advising the authorized Agency representative in writing within ten (10)
days from receipt followed by written proposals within fourteen (14) days from receipt.
Upon request, the Agency will explain the proposed change or management decision and
its impact to the designated union representative.
Section 3: In situations (C) and (D), the party desiring negotiations will so indicate by
presenting written proposals to the authorized representative of the other party.
Section 4: In situation (E) the party desiring to negotiate will present its proposals in
their entirety to the other party. Within fifteen (15) working days, the other party will
present any proposals on subjects not covered by the initiating party's proposals. Within
ten (10) working days after presentation of those proposals each party will indicate in
writing whether it desires to enter into negotiations. If both parties agree, a written
signed document to that effect will be sent to the respective national level representatives
and negotiations may proceed. Supplemental Agreements must conform to the
provisions of Section 5 of the Duration Article.
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Section 5: The parties agree to recognize each others duly authorized representatives.
At each location, the parties shall designate an authorized agent. At the Agency and
national levels, the parties shall designate an authorized representative. All dealings
between the parties shall take place between the appropriate authorized representatives
unless an authorized representative designates another individual to act in his or her
place. Understandings reached by unauthorized individuals will have no force and effect
unless approved by the authorized representative of the parties. The parties will advise
each other of their respective authorized representatives at the local levels at least
annually. The parties will notify each other of their authorized Agency or national level
representative in writing and such authorization will remain in effect until revoked.
Section 6: Nothing in this Agreement precludes the Agency, at its explicit election, from
negotiating on the numbers, types, and grades of employees or positions assigned to any
organizational subdivision, work project, or tour of duty, or on the technology, methods,
and means of performing work.
Section 7: Where appropriate, the parties will negotiate ground rules for bargaining of
issues arising from the operation of this Article which are at the national level. Where an
employee/union representative's travel would be in the primary interest of the
Government, the payment of those travel expenses may be negotiated by the parties in
ground rules bargaining.
Section 8: In all preparations, negotiations and other activities arising under this
Agreement, the parties will be aware of their obligation to the public to conduct such
activities in the most cost efficient and cost effective manner.
Section 9: Existing conditions of employment not in conflict with law or provision of
this Agreement will remain in effect.
Section 10: An equal number of union representatives as management representatives
shall be authorized official time while engaged in local negotiations.
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Article 41
Duration
Section 1: This Agreement shall remain in full force and effect for three (3) years from
the date of approval by the Agency Head or designee and may be extended in one (1)
year increments thereafter.
Section 2: Either Party may reopen this Agreement after eighteen (18) months from
approval by the Agency Head or designee. The Party desiring to reopen this Agreement
will notify the other Party in writing not less than sixty (60) days, but not more than
ninety (90) days in advance by presenting written proposals. The reopening will be
limited to six (6) articles in this Agreement by each Party [a total of twelve (12) articles].
Section 3: If either Party desires to renegotiate this Agreement upon termination, it will
notify the other Party in writing no less than sixty (60) days but not more than ninety (90)
days prior to the expiration date of the Agreement (or anniversary date if the Agreement
has been extended). In the event neither Party requests negotiations, the Agreement will
be automatically extended for one (1) year.
Section 4: The Agency will provide a copy of this Agreement to all bargaining unit
employees. Employees entering on duty after the initial distribution will be informed of
the Union's exclusive recognition and provided a copy of this Agreement.
Section 5: It is understood that any local level supplemental agreement, understanding,
or condition of employment must comply with the terms and conditions of this
Agreement and may not conflict with this Agreement except by the express, written,
consent of the Parties to this Agreement. Local level supplemental agreements,
understandings or conditions of employment will have the same duration of this
Agreement and will expire on the expiration date of the Agreement unless this
Agreement is extended under the provisions of this Article.
Section 6: The Union will be provided copies of the Agreement as follows: ten (10)
copies to the National Office; one hundred (100) copies to the National Level
Representatives; and fifty (50) copies to each Local. The Union will provide the Agency
with the names and mailing address of the individuals authorized to receive the copies.
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Formal Signature Page to be Included upon completion of Agency Head Review
Process
For purposes of Agency Head Review: In witness, the representatives of the respective
parties have affixed their signatures to this Agreement.
For Environmental Protection
Agency
Signed \12\21\06
For American Federation of
Government Employees, Council 238
signed \12\19\06
Arron E. Helm
Charles Orzehoskie
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The following constitutes a Memorandum of Understanding between
the United States EPA (the Agency) and AFGE Council 238 (the Union)
(collectively known as tine "Parties") regarding the implementation of the Master Collective
Bargaining Agreement (MCBA) negotiated by the Parties and submitted to Agency Read
Review on April 11,2Q07.
A. In order to effectively and efficiently implement the new MCBA the Parties agree that the
MCBA, upon the approval of the Agency Head designee, shall not go into effect for AFGU
Council 238 bargaining units until August 1,2007.
B. On August 1,2007, the new MCBA shall go into effect nationwide for all AFGE covered
units and employees and shall supersede all provisions of the current MCBA.
C. Only by mutual agreement of the Parties' designated representatives may the date of
implementation be modified.
D. Any -written grievance initialed (by the filing of the formal step 1 grievance or grievance of
the parties) before August 1,2007, shall be processed under the ourrent grievance (Article 43) /
arbitration procedures (Article 44)
E. The MCBA provisions (other than Articles 43 end 44 addressed in D above) applicable to
any grievance shall be those of the MCBA in effect on the date(s) of the alleged breach(es).
For the Agency: ^ ^ T
Arron Helm "
Chief Negotiator
Dated: May /P. 2007
Charles Orzehoincie
Chief Negotiator
Dated: May Z2-, 2007
TOTAi. F.OOl
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For purposes of Agency Head Review: In witness, the representatives of the respective
parties have affixed their signatures to this Agreement.
For Environmental Protection
Agency
- AA&
Arron E. Helm
Dated: ///
For American Federation of
Government Employees, Council 238
Charles Orzehoskie / \
V>
Dated: /£// ?/c?u-,
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U.S. EPA-AFGE Master Collective Bargaining Agreement
ARTICLE 34
EMPLOYEE PERFORMANCE EVALUATION
This Agreement is entered into, by and between the United States Environmental
Protection Agency (U.S. EPA) ("U.S. EPA" or "employer") and the American Federation
of Government Employees (APGE) National Council of EPA Locals #238 (the "Union"
or "AFGE"). This Article sets forth the parties agreement with respect to the procedures
and appropriate arrangements for the implementation of the Performance Appraisal and
Recognition System (PARS). In the event (present or future) that any provision of this
Agreement is found to be contrary to any requirement of the Master Collective
Bargaining Agreement ("MCBA") applicable to Employee Performance Evaluation, the
MCBA will supersede this Agreement for that specific requirement(s) only.
PREAMBLE
Both parties to this agreement endorse these principles:
1. In its entirety and application, the Performance Appraisal and Recognition System
(PARS) must be fair, equitable, and solely related to job performance.
2. The parties agree that management will establish and communicate to employees
performance elements, critical elements, non-critical elements, and performance
standards subject to law and regulations, and this Article. Employee participation or
input into the establishment of performance standards will be made in collaborative
manner.
3. Performance elements, critical elements, non-critical elements, and performance
standards that assess an employee's performance must be job-related, documented
and measurable. There must be a nexus between the expected manner of performance
and the expected job results.
4. Supervisors have the responsibility for helping employees maximize their
performance, which can best be accomplished through constructive and positive
performance management. Performance management is an inherent and significant
element of supervision.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 1 of 28
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TABLE OF CONTENTS
Section No. Description Page
Preamble 1
Table of Contents 2
1. Introduction 3
2. Coverage 3
3. Authorities 3
4. Definitions 4
5. Advisory Board 6
6. Appraisal Period 7
7. Minimum Period of Performance 7
S. Summary Level Ratings 7
9. Performance Evaluation Responsibilities 8
10. Developing Performance Standards 8
11. Assumptions 11
12. Content of Performance Plan 11
13. Format of Performance Plan 12
14. Communicating Performance Plans 12
15. Assessing Employee Performance 14
16. Reduction in Force (REF) 16
17. Appraising Disabled Veterans 16
18. Appraising Employees Called to 16
Active Duty/Volunteering for Emergency Work
19. Protected Union Activities 16
20. Sources of Appraisal Input 17
21. Rating An Element 17
22. Annual PARS Information 17
23. Annual Rating of Record 17
24. Documenting the Rating is
25. Communicating the Rating 19
26. Record Keeping 19
27. Employee Development 20
28. Performance Assistance Plan (PAP) 20
29. Performance Improvement Plan (PIP) 21
30. Performance-Based Actions 25
31. Employee Objections to Plans or 26
Recognition Decisions
32. Employee Objection to Rating of Record 26
33. Employee Recognition 26
34. Reopener 26
35. Duration 27
36. Effective Date 27
37. Signature 28
Appendix A Performance Plan Coversheet
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 2 of 28
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SECTION 1. INTRODUCTION
The Agency-wide performance management system is PARS; Performance Appraisal
and Recognition System. This employee performance evaluation program will
emphasize:
1. Linking employee performance elements and standards directly to the Agency's
mission, strategic goals, programs and policy objectives, and/or annual
performance plans and budget priorities.
2. Providing employees with a clear understanding of what is expected of them in a
result-oriented performance plan which is applied to their respective areas of
responsibility and stated in terms of observable, measurable, and demonstrable
performance.
3. Creating a framework for managers and employees to have an ongoing dialogue
about the employee's job performance and developmental needs.
4. Differentiating between levels of performance to provide an equitable basis for
personnel actions.
5. Providing managers with the mechanisms to recognize and reward excellent
performers.
6. Providing a process to assist employees to improve and enhance their
performance; and correct less than fully successful performance.
7. Providing a process for employee input into improving organizational
effectiveness.
PARS supersedes the current performance management system set forth in EPA Order
3151.1 and the Master Agreement.
SECTION 2. COVERAGE
This performance management program will cover all EPA bargaining unit employees
represented by AFGE.
SECTION 3. AUTHORITIES
In the administration of all matters covered by this Article, the parties agree that Article
3, "Governing Laws and Regulations" of the Master Collective Bargaining Agreement
("MCBA") will be controlling.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 3 of 28
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SECTION 4. DEFINITIONS
A. Fully Successful Level of Performance: The performance of an employee is at the
"fully successful" level which warrants advancement of the employee's rate of basic pay
to the next higher step of the grade in accordance with 5 CFR Part 531. Successful
Performance is also defined as performance that substantially meets an employee's
performance requirement(s) or standard(s) at a level of performance above the
"Minimally Satisfactory" and "Unacceptable" levels; also known as "Acceptable Level of
Competence."
B. Appraisal Period: The established period of time for which performance will be
reviewed and for which a rating of record will be prepared.
C. Assumptions: Known factors over which an employee has little, if any, control, but
which might exert a significant impact on the employee's performance or ability to
achieve an objective. It is understood that employees cannot be held accountable on
critical elements for factors outside their control.
D. CFR: Code of Federal Regulations
E. Critical Element; A work assignment or responsibility of such importance that
unacceptable performance on the element would result in a determination that an
employee's overall performance is unacceptable.
F. Levels of Performance; There are five levels of performance: Outstanding (O);
Exceeds Expectations (EE); Fully Successful (FS); Minimally Satisfactory (MS); and
Unacceptable (U).
G. Within Grade Increase: A periodic increase in an employee's rate of basic pay from
one step of the grade of her or his position to the next higher step of that grade.
H. Interim Ratine; A written rating prepared as input to the rating of record by the
former supervisor when a change of supervisor occurs during the appraisal period. An
employee must have completed the minimum period of performance to receive an interim
rating.
I. Management: The Employer or U.S. EPA
J. MCBA: Master Collective Bargaining Agreement.
K. Measurement SourcefsV. Identification of sources that may establish reliable and
supportable basis for a rating and may be used to determine if standards are met or not
met, such as but not limited to: personal observations, employee written products, or
feedback from team leaders.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 4 of 28
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L. Minimum Period of Performance: The minimum amount of time (90 days) that must
be completed before a rating of record may be given.
M. Non-Critical Element: A dimension or aspect of individual, team, or organizational
performance, exclusive of a critical element. Such elements may include, but are not
limited to, objectives, goals, program plans, work plans, and other means of expressing
expected performance. Non-critical elements are not used in assigning a summary level.
N. PARS: Performance Appraisal and Recognition System.
O. Performance: Accomplishment or failure to accomplish work assignments or
responsibilities.
P. Performance Agreement: See Performance Plan.
Q. Performance Plan: All of the written, or otherwise recorded, performance elements,
critical elements, non-critical elements, and performance standards that set forth expected
performance. A plan must include all critical (and additional elements, if applicable) and
their performance standards. This is commonly known as the performance agreement. To
the extent any portion of the plan is contrary to the requirements of this Article 34, the
plan will not be considered to be a valid plan. To the extent that the plan includes
requirements or provisions that are contrary to any other requirement or agreement in the
MCB A, the MCB A takes precedence over the contents of the plan.
R. Performance Assistance Plan (PAP): A written plan that is developed
collaboratively between the immediate supervisor, the employee, and the Union (upon
request of the employee and agreement by the supervisor) for the purpose of providing
assistance to the employee to improve performance to the Fully Successful level.
S. Performance Improvement Plan (PIP): A written document from the immediate
supervisor that is developed collaboratively between the immediate supervisor, the
employee, and the Union (if requested by the employee) to help an employee improve
performance that is Unacceptable to the Fully Successful level.
T. Performance Standard: The management-approved expression of the performance
requirement(s) or expectation(s) that must be met to be appraised at a particular level of
performance. A performance standard may include, but is not limited to, quality,
quantity, timeliness, cost effectiveness, and manner of performance. Each Critical
Element must have a Fully Successful performance standard.
U. Progress Review: A review with the employee about performance progress in critical
or additional elements. The progress review is required, but not limited to, at least one per
performance cycle. The review also includes assessing the need for adjusting the
Performance Plan; developing a plan of action for improving performance, where
appropriate; and to discuss individual development.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 5 of 28
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V. Rating: The written appraisal of performance compared to the performance
standard(s) for each critical element on which there has been an opportunity to perform
for the minimum period.
W. Rating of Record: The performance rating prepared at the end of the appraisal period
for performance over the entire period and the assignment of a summary level. This
constitutes the official rating of record as defined in 5 CFR Part 430.
X. Unacceptable Performance: Performance that fails to meet established performance
standards in one or more of an employee's critical job elements.
Y. U.S.C.: United States Code.
SECTION 5. ADVISORY BOARD
A. Union Management Advisory Board:
1. The parties agree that the Agency will form a joint Union Management Advisory
Board ("Advisory Board") to review, evaluate and make recommendations for
changes in the development and operation of PARS, including but not limited to
training programs to address areas of concerns (e.g., consideration of problems
identified in grievances), surveys and work studies, and implementation issues for
PARS. The Union representatives shall serve as participating members of the
Advisory Board.
2. The Advisory Board will be comprised of up to ten (10) members, with an equal
number of labor and management representatives.
3. The recommendation(s) of this Advisory Board will be submitted to the Assistant
Administrator or her or his designee, of the Office of Administration and
Resource Management, or its successor should the Agency change its
organizational structure, who will seriously consider the recommendations.
4. The parties to this Agreement understand that the Advisory Board is not the
forum for the negotiations of any proposed changes to PARS.
5. The Advisory Board will meet at least annually.
B. Annual Evaluation of PARS:
1. Because the program set forth in this Article is intended to be innovative and
evolutionary in nature, and because its fairness and effectiveness is critical to the
Agency achieving its mission, the Advisory Board will jointly evaluate the
fairness and effectiveness of this multi-level performance management system
annually.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 6 of 28
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2. A written report summarizing the findings and recommendations for the PARS
system will be authored by the Advisory Board and will be submitted to the
Assistant Administrator of the Office of Administration and Resource
Management or its successor should the Agency change its organizational
structure.
3. When labor and management cannot reach consensus on findings and
recommendations, they may issue separate documents.
4. The Unions represented on the Board shall have the right to conduct independent
SECTION 6. APPRAISAL PERIOD
For the calendar year 2007, the performance evaluation year will begin on January 1st and
end on December 31st. For calendar year 2008, the performance appraisal period will
begin on January 1,2008, and end on September 30,2008. For Federal fiscal year 2009
and thereafter, the performance appraisal period will begin on October 1st and end on
September 30th
Performance during the previous rating period or extended rating period will not be taken
in to consideration in the subsequent rating period.
SECTION 7. MINIMUM PERIOD OF PERFORMANCE
Only those employees who have completed a minimum 90-day appraisal period under an
approved performance plan will be evaluated at the end of the performance cycle. The
appraisal period begins when the employee signs (or chooses not to sign) the
performance plan. If the minimum 90-day period cannot be met before the end of the
performance cycle (calendar year), the appraisal period must be extended until the 90
days are met.
SECTION 8: SUMMARY-LEVEL RATINGS
A. There are five summary rating levels for critical job elements only. Each critical element
must have an element rating of (O) Outstanding, (E) Exceeds Expectations, (FS) Fully
Successful, (MS) Minimally Satisfactory and (U) Unacceptable.
B. No further distinctions may be documented or recorded.
C. Non-critical elements and other performance standards that are not critical elements are
not evaluated.
studies.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
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SECTION 9: PERFORMANCE EVALUATION RESPONSIBILITIES
Supervisors, by position, are responsible for preparing and reviewing performance plans,
performance ratings, award nominations, and performance related personnel actions. A
supervisor is an individual employed by the agency having authority in the interest of
agency to hire, direct, assign, promote, reward, transfer, furlough, layoff, recall, suspend,
discipline, or remove employees, to adjust their grievances, or to effectively recommend
such action if the exercise of the authority is not merely routine or clerical in nature but
requires the consistent exercise of independent judgment, except that, with respect to any
unit which includes firefighters or nurses, the term supervisor includes only those
individuals who devote a preponderance of their employment time to exercising such
authority. The Agency acknowledges its responsibilities and obligations under 5 CFR
Part 410 and 5 CFR 430.
SECTION 10: DEVELOPING PERFORMANCE PLANS
A. General Requirements
1. Each employee will be given a copy of her or his draft Performance Plan for their
position, no more than thirty (30) days after the beginning of the appraisal period. In
order to facilitate collaboration, a meeting shall be scheduled at least one week in
advance of finalization of the Performance Plan, in order to allow the employee to
provide input on their performance plan.
2. Supervisors, in collaboration with the employee, are responsible for writing
performance measures for each critical element, non-critical element and performance
measure in a way which will permit, to the maximum extent feasible, the accurate
evaluation of job performance on the basis of objective criteria.
3. To the maximum extent feasible, performance measures will include expectations of
quantity, quality, and/or timeliness, and expectations concerning the manner of
performance, where manner of performance is actually related to job duties and
responsibilities. For example, manner of performance is related to the actual duties of
an employee who regularly provides information to the public through direct contact.
4. Employees are encouraged to be responsible for taking action, to the extent possible, to
remove barriers that impede their work and for informing their supervisors of those barriers.
5. Barring exigent circumstances, the phrase "other duties as assigned," or its
equivalent, shall not be used in Performance Plans to regularly assign work for a
preponderance of duty hours. This does not preclude the employer from detailing
employees to other assignments in accordance with applicable laws. Management
will assign "other duties" in a manner consistent with safe and lawful work practices. a
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 8 of 28
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B. Grade Controlling Factors
Supervisors shall give due consideration to an employee's grade level when developing
Critical Elements, including measures for the evaluation of performance.
C. Collaborative Development of Critical and Non-Critical Elements and Performance
Measures
1. Critical elements, non-critical elements and performance measures will be established by the
supervisor in collaboration with the employee.
2. Employees are entitled to an explanation of the rationale for their critical elements, non-
critical elements and performance measures placed in their performance plan. Furthermore,
the immediate supervisor and employee will discuss, face-to-face, if practicable, what is
expected of the employee, methods and resources to achieve the critical elements, non-
critical elements and performance measures, and any concerns the employee may have.
3. Each supervisor will, after meeting and conferring with each employee, identify in writing
those critical elements, non-critical elements and performance measures for each employee
under her or his supervision. Critical elements, non-critical elements and performance
measures so identified must be consistent with the duties and responsibilities contained in the
employee's properly classified position description, and applied in a fair, consistent, and
reasonable manner.
D. Steps to Writing a Performance Plan
The steps to writing a performance plan include:
1. Identify two to five critical elements, taking into account the organizational strategic
goals, functions, responsibilities, priorities, and the employee's Position Description.
Non-critical elements are optional. The plan must use the Agency Benchmark
Standards including any measures for e&ch element and if appropriate, document
assumptions. Identify two to five critical elements which can be rated O, EE, FS, MS,
or U. Critical elements are for individual performance only and affect the employee's
summary rating. Non-critical elements may be used for group performance and do
not affect an employee's summary rating.
2. Supervisors must ensure that feedback relates to the employee's elements and
standards, and that it establishes a reliable and supportable basis for issuing a rating.
The supervisor is responsible for informing the employee of all feedback the
supervisor was provided including feedback the supervisor did not use when
assessing the employee's performance. To the extent one or more measurement
sources were not factored into the supervisor's assessment, the supervisor must
explain why it was not included and the efforts made to obtain the information. The
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 9 of 28 ^
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employee must be allowed an opportunity to independently obtain the missing or
unavailable information.
3. It is understood that employees cannot be held accountable on Critical Elements for
factors outside their control.
4. The measures, metrics and critical elements in the plan must be consistent with the
employee's Position Description (PD). Critical elements and standards that are
outside of the employees PD are inappropriate. To the extent that, during the
appraisal period, it becomes clear that the employee's performance plan is being
interpreted to require work outside of the employees PD, it is the responsibility of the
supervisor to initiate a revision to the employee's PD, in accordance with applicable
law and the MCBA, or to change the employees standards and/or assignments to
bring them into line with the employee's PD.
5. No job function can be designated a Critical Element unless unacceptable
performance on the Critical Element would result in a determination that an
employee's overall performance is unacceptable (5 CFR 430.203).
6. In establishing Critical Elements, non-critical elements, and performance measures,
due consideration will be given to:
1. The resources available and the authority delegated necessary to meet the identified
critical elements, non-critical elements, and performance measures;
2. Employee input; and
3. Performance Measures for comparable positions at the same grade.
E. Unresolved Differences
When there are unresolved differences between the immediate supervisor and the employee
regarding Critical elements, non-critical elements and performance measures, the employee may
add written comments for consideration and final determination by the second-level supervisor.
The title of the second-level supervisor must be on the cover sheet of the Performance Plan.
F. Supervisor Responsibilities
1. Critical elements, non-critical elements and performance measures must be
achievable and clear. Performance will be assessed against the Agency Benchmark
Standards and any measures.
2. Supervisors are encouraged to respond to barrier issues raised by employees in the
performance of their duties.
3. Supervisors are responsible for using appropriate means to keep performance agreements
current and accurate and to obtain the performance data required to accurately assess the
employee's performance.
Final Agreement - Article 34; 02-16-2006 Page 10 of 28
Revised: 07-14-2006; 08-28-2006; 02-14-2007
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SECTION 11: ASSUMPTIONS
A. Standards of performance will make allowances for factors over which an
employee has little, if any, control, but which might exert a significant impact on the
employee's performance or ability to achieve an objective. It is understood that
employees cannot be held accountable on critical elements for factors outside their
control.
B. The supervisor shall work collaboratively with the employee to identify all
assumptions relevant to that employee's Performance Plan. The supervisor shall then
make the determination of the applicable assumptions and list them in the standard. The
employee may attach her or his comments on assumptions to the Performance Plan.
Assumptions may include, but are not limited to, travel and training funds, availability of
"high visibility" assignments, and budget constraints. Care should be taken that overtime
is not a pre-requisite for a rating of "Fully Successful."
SECTION 12. CONTENT OF PERFORMANCE PLAN
Performance elements, Critical Elements, non-critical elements, and performance
standards must be in writing and given to employees at the beginning of the appraisal
year. To the extent the Critical Element is solely dependent on an assumption that is not
met, the Critical Element will not be rated and the supervisor will note the fact on the
Performance Plan.
The plan must contain the following objective components:
A. Title. "Performance Plan."
B. Element. Name and/or description of the performance elements, critical elements,
non-critical elements, and performance standards element type.
C. Element Type (Critical or Additional). A performance plan shall contain a
minimum of two critical elements and maximum of five critical elements. Non-critical
elements are optional.
D. Standard. The performance requirement(s) or expectation^) for appraisal at
a particular level of performance. A standard includes such factors as quality, quantity,
timeliness, cost effectiveness, and manner of performance, as applicable. See Appendix
A for the Agency's Benchmark Standards.
E. Measurement Source(s). Identification of sources that may establish reliable and
supportable basis for a rating and may be used to determine if standards are met or not
met, such as but not limited to: personal observations, employee written products, or
feedback from team leaders that assign work.
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
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F. Critical Element Rating. Each critical element must have an element rating of
(O) Outstanding, (E) Exceeds Expectations, (FS) Fully Successful, (MS) Minimally
Satisfactory or (U) Unacceptable.
Assumptions. Known factors over which an employee has little, if any, control, but
which might exert a significant impact on the employee's performance or ability to
achieve an objective.
G. Employee Signature/Date. The employee's acknowledgment of the performance
plan and the date.
H. Supervisor(s)'s Signature/Date. Identification of the supervisors), her or his
approval of the performance plan, and the date of the approval.
SECTION 13. FORMAT OF PERFORMANCE PLAN (SEE APPENDIX A)
SECTION 14. COMMUNICATING PERFORMANCE PLANS
A. Communication and counseling during the work planning and the appraisal period
will help ensure that work activity will be consistent with organizational goals. The
supervisor will assure that the employee has an up-to-date position description, up-to-date
copy of the Agency's mission and goals and, if applicable, the career ladder plan. The
supervisor will initiate a dialogue with the employee to discuss the employee's duties and
responsibilities in relation to the organizational unit's goals and the Employer's mission.
B. Discussions should be candid, forthright dialogues between the supervisor and
employee(s) aimed at improving the work product. Discussions will provide the
opportunity to assess accomplishments and progress and identify and resolve any
problems in the employee's or work team's work product. Where indicated, the
supervisor should provide additional guidance aimed at developing the employee(s) and
improving the work product or outcome. Discussions will provide the employee the
opportunity to seek further guidance and understanding of her or his work performance.
C. It is the supervisor's responsibility to communicate the written performance
expectations to employees within thirty (30) days from the start of the appraisal period, or
within 30 days of the employee's arrival in a new position. This will be accomplished by
an oral discussion between the supervisor and the employee to explain, clarify, and
communicate the employee's job responsibilities as articulated in the employee's position
description and/or performance plan and how those duties relate to the organizational
unit's goals and the Employer's mission.
D. The individual employee and supervisor should discuss the plan and make any
changes that are needed. The supervisor and employee may signify joint agreement with
the plan by both signing and dating the plan. However, if the parties cannot agree, the
plan is established. The date the employee signs the plan, or refuses to sign, is the
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beginning date of the minimum period of performance. If the employee refuses to sign
the plan, then the supervisor annotates the disagreement and date in the employee
signature block
E. If the employee disagrees with the plan, the employee may attach her or his
statement of concern to the performance plan and that statement of concern becomes a
part of the plan which must be considered by the supervisor of record at all times when
interim and final ratings are prepared. The supervisor keeps the original plan, including
any attachments submitted by the employee, and the employee receives a copy within
three (3) working days of the signature date.
F. Employer cannot take a performance-based adverse action against an employee
who does not have a valid Performance Plan issued by the supervisor.
G. Subsequent discussions on the contents of the Performance Plan shall occur when
there is a change in the work situation, including, but not limited to the following:
1. A change in the supervisor of record;
2. When the employee is detailed;
3. A change in the work unit's goals or objectives;
4. A change in assignments;
5. A change in the work processes of the unit; or
6. When an employee returns from an extended absence of ninety (90) calendar days or
more.
H. Upon request, electronic or hard copies of performance plans shall be provided to
the Union.
Progress Reviews
I. In addition to the annual performance appraisal, an employee shall have one
formal feedback discussion (a "mid-year progress review") with the supervisor, six
months into the appraisal year. This review will include a discussion on any proposed
training (which may be on-the-job training) and development of the employee. At this
time, employees in career ladder positions may ask their supervisors to advise them of
their progress towards promotion to the next grade level. However, frequent informal
reviews of performance throughout the appraisal period are required and may be
requested by the employee or supervisor at any time.
For calendar year 2008, the performance appraisal period will be from January 1,2008,
through September 30,2008. The mid-year progress review during this performance
period (2008) will occur during the month of May. For Federal fiscal year 2009 and
thereafter, the performance appraisal period will begin on October 1st, and end on
September 30l. The mid-year performance review will occur during the month of April.
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J. The Progress Review(s) should be open, candid, and aimed at improving work products,
and will provide an opportunity for feedback regarding accomplishments and individual
development.
K. Progress reviews shall be scheduled at least one week or more in advance in order to
allow the employee to provide advance input at the option of the employee. If, during or after a
progress review, an employee is in disagreement with the review or feels the supervisor has
failed to note accomplishments, the employee may request a follow-up progress review and
request that the supervisor correct or amend the original progress review.
L. Progress reviews shall be conducted in a manner that protects the privacy and dignity of
the employee. With the supervisor's permission, the employee may request that a Union
representative be present at a progress review.
SECTION 15. ASSESSING EMPLOYEE PERFORMANCE
Interim Ratings
A. Interim ratings must be prepared for employees who have been under a performance plan
for the minimum period of performance, when the employee completes a detail of ninety (90)
days or more is reassigned to another EPA organization, transfers to another agency, or when the
employee's supervisor departs from that supervisory position.
B. In preparing the rating of record, interim ratings must be given consideration proportional
to the amount of the appraisal period the employee and departing supervisor occupied each
position. If the appraisal period is less than the minimum period of performance, only
performance highlights will be provided.
C. The supervisor must indicate all measurement sources and any individual's input
that were considered in preparing the interim rating.
D. Employees whose primary language is not English, or whose supervisor's primary
language is not English, or who have disabilities with respect to hearing or speaking, will not be
disadvantaged in their performance appraisal by their less frequent use of direct verbal contact.
Timing of the Appraisal
E. Performance appraisals (ratings of record) are scheduled to be done annually
within one month after the close of the appraisal period. Under special circumstances
described below, appraisals may deviate from that schedule:
1. If the employee has not completed the minimum period of performance by the end of
the performance cycle, then the rating of record is given at the end of the minimum J
period. ^mf
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2. Whenever the employee has a change of supervisor, either by the employee leaving
the organization or by the supervisor's departure, the supervisor prepares an interim
appraisal, which will be input to the employee's annual appraisal. (This would not
occur if the employee has not completed the minimum period of performance or if the
employee leaves EPA. For periods less than the 90 days, the supervisor should
provide narrative performance highlights only).
3. Whenever the employee concludes a detail of 90 davs or more to another position or a
temporary promotion of 90 days or more, the supervisor for the detail prepares an
interim appraisal which the supervisor for the employee's permanent position factors
into the employee's annual appraisal. (This would not occur if the employee has not
completed the minimum period of performance. For periods less than the 90 days, the
supervisor should provide narrative performance highlights only.)
F. When there is a PAP or a PIP issued to an employee, the employee's performance period
for that year is extended through the end of that PAP or PIP. The subsequent performance period
begins the day after the PAP or PIP ends.
Assessing Employee Performance
G. The rating process requires the supervisor to assess the employee's actual performance
accomplishments against the standards contained in the approved Performance Plan. The
supervisor will review the standard(s) established for each performance element to determine
whether or not the employee met the standard(s).
H. To the extent that an employee was assigned no work or very little work, or the employee
was not given a chance to demonstrate her or his performance under a particular Critical Job
Element, the supervisor shall not find that'the employee's work was unsuccessful. For a Critical
Job Element for which the employee has not had a legitimate opportunity to perform assigned
work under a performance element or very little work was assigned, that Critical Job Element
shall not be considered when preparing a summary level rating.
I. In the application of standards to individual employees, the Employer will consider
assumptions listed in the Performance Plan.
J. The use of properly requested and approved leave shall not be a negative factor in an
employee's performance rating.
K. The performance appraisal system is used as the basis for Within-Grade Increases.
An employee who is deemed to be "Fully Successful" and has achieved an "acceptable
level of competency" will be entitled to an appropriate within-grade increase.
L. Eligibility for a Quality Step Increase (QSI) is predicated upon receipt of an
"Outstanding" rating, but does not guarantee a Quality Step Increase.
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Rating of Record Grievable
M. If an employee does not agree with the action taken as a result of a Performance
Appraisal, including but not limited to: a demotion; within grade increase; or removal;
he or she may grieve or appeal that action in accordance with the MCBA. An
employee's rating of record is grievable under the MCBA.
SECTION 16. REDUCTION IN FORCE (RIF)
A. In the event of a Reduction-In-Force (RIF), employees in the competitive area affected by
the RIF who received rating of "satisfactory" under PERFORMS shall have their ratings
evaluated for retention credit purposes.
B. For the purposes of RIFs, union representatives on 100% official time will be
accorded a rating of record of Fully Successful for years they were not rated because of
full time Union work.
SECTION 17: APPRAISING DISABLED VETERANS
A supervisor's appraisal of an employee who is a disabled veteran, shall not be adversely
impacted or affected in any way, due to the employee's absence from work to seek or
receive medical treatment or assistance.
SECTION 18: APPRAISING EMPLOYEES CALLED TO ACTIVE
DUTY/VOLUNTEERING FOR EMERGENCY WORK
A. A supervisor's appraisal of the performance of an employee in the Armed Forces
Reserve or National Guard who is called to active duty, shall not be adversely impacted
due to the employee's absence from work.
B. A supervisor's appraisal of the performance of an employee who has volunteered
to assist in an emergency declared by a local, state or federal governmental agency,
department or entity, and sanctioned by the Federal government or U.S. EPA, shall not be
impacted due to the employee's absence from work.
SECTION 19. PROTECTED UNION ACTIVITIES
A. Union activities by an employee will not be a factor in the evaluation or appraisal
of an employee's performance.
B. Supervisors shall make every reasonable effort to accommodate Union
representatives in the exercise of their official union duties. Should mission critical work
preclude the Union representative's immediate release, the supervisor will advise the /!
Union representative of when he or she will be released from duties. /[ j
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C. A supervisor may, at the Union representative's request, reassign that Union
representative's work (without prejudice to the Union representative's Performance
Evaluation), to other qualified employees if the employer determines that the work
cannot be timely performed due to the Union Officer's, Representative's or Steward's
representational duties.
SECTION 20. SOURCES OF APPRAISAL INPUT
A. Written performance standards and sources of appraisal input will be applied in a
consistent manner in determining the rating of each assigned element. The supervisor will
ensure that feedback (input) used in the appraisal process are related to the employee's
assigned elements and standards. The feedback used will be factual and relevant.
B. If the information may adversely affect the employee's rating, the employee will
be made aware of the information in order to facilitate her or his ability to respond and to
correct inaccurate information. The sources of such information will be annotated in the
performance evaluation.
C. Supervisors will not withhold pertinent and objective information necessary to the
appraisal of the employee's performance. In the interest of full and fair communication,
supervisors will communicate areas of improvement, performance issues and other
potential negative feedback as soon as practicable.
SECTION 21. RATING AN ELEMENT
Employees are encouraged to provide their supervisor with a written self-assessment
(e.g., list of accomplishments completed) at the end of the appraisal period and/or at other
times throughout the year. After considering the employee's self-assessment and other
appraisal input against the assigned standards, the supervisor will assign a rating to each
performance element.
SECTION 22: ANNUAL PARS INFORMATION
By no later than 120 calendar days from the close of the performance appraisal period,
management shall make available to the AFGE Council 238, summary information
concerning the ratings of record issued to the bargaining unit represented by AFGE
Council 238. The following information shall be provided and made available in Excel
format, without personal identifiers: organization code (ORG CODE); organization
description (e.g., Immediate Office, Regional Administrator, etc.); Pay Plan/Series/Grade
(PP-SERS-GRD); geographical location (GEOLOC); bargaining unit code; PARS rating;
and a key for the data fields.
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SECTION 23. ANNUAL RATING OF RECORD
A. Employees will be appraised at least once a year and given a rating of record. The due
date of the employee's annual rating of record will be specified on the cover sheet of the
Performance Plan. The rating must be completed no later than 30 days after the due date.
B. It is understood that employees will only be evaluated on work which they have been
C. Raters must provide a narrative description when the element is rated "Outstanding,"
"Minimally Satisfactory" or "Unacceptable".
Assigning the Summary Level
D. Once all of the performance elements (except for those where little or no work has
been assigned as explained above) have been rated, the supervisor will assign the
summary level (rating) as follows:
1. Outstanding: One-half or more Critical Elements are rated Outstanding, none
lower than Exceeds Expectations.
2. Exceeds Expectations: One-half or more Critical Elements are rated Exceeds
Expectations or higher, none lower than Fully Successful.
3. Fully Successful: One-half or more Critical Elements are rated Fully Successful
or higher, none rated Minimally Satisfactory or lower.
4. Minimally Satisfactory: One or more Critical Element is rated Minimally
Satisfactory.
5. Unacceptable: One or more Critical Element is rated Unacceptable.
Approving the Rating of Record:
E. If the summary level is Outstanding, Exceeds Expectations, Fully Successful, the
supervisor must sign and date the form to approve the rating of record.
F. Summary ratings of Minimally Satisfactory and Unacceptable require a higher
level management review and approval.
SECTION 24. DOCUMENTING THE RATING
Official documentation of the rating of record consists of the completed Performance ,
Plan, which shows the rating of each assigned element, and the completed Appraisal ^~Jj
Cover, signatures, any performance highlights, supervisor's comments, and employee ( J\
comments. Additional pages may be used if needed. The Performance Plan and the ( / J.
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Appraisal Cover Sheet are combined to form one annual appraisal document (package).
See Appendix A.
SECTION 25. COMMUNICATING THE RATING
A. Upon approval of the rating of record, the supervisor meets with the employee to
conduct a formal appraisal discussion. During the appraisal discussion, he or she
communicates to the employee:
1. How each performance element was rated, and the measurement sources and
measurements used in preparing the rating;
2. The rating of record;
3. If appropriate, areas that may need to be changed in the next year's performance
plan; and
4. The supervisor and the employee will hold the appraisal discussion in private.
B. The supervisor will discuss the rating of record with the employee to avoid
misunderstandings and possible inaccuracies. The discussion will be face-to-face to the
extent practicable, but may be by telephone. Any rating which has a summary rating of
Minimally Satisfactory or Unacceptable must be approved by the second level supervisor
before the proposed rating of record is discussed with the employee. There is no
requirement for a second level supervisor to approve a summary rating of Outstanding,
Exceeds Expectations or Fully Successful.
C. At the conclusion of the appraisal discussion, the employee may sign the
Appraisal Cover Sheet signifying that the appraisal discussion was held, not necessarily
that the employee agrees with the rating of record. The date the employee signs or
refuses to sign the appraisal cover sheet will be considered the date the rating of record
was communicated to the employee. However, the employee is entitled to attach her or
his disagreement or concerns to the rating of record. The employee is not required to
prepare her or his written disagreement or concerns with the rating of record at the actual
discussion.
D. The employee will ordinarily receive her or his copy of the rating during the
appraisal discussion, but in any case no later than three (3) work days from the appraisal
discussion.
SECTION 26. RECORD KEEPING
A. The supervisor must submit the completed, original annual Performance
Standards and completed evaluation, along with any other applicable attached documents
including but not limited to the employee's self-evaluation, and response to the
supervisor's evaluation, to the appropriate Human Resources Office. The Agency will
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maintain this submitted material in the employee's Employee Performance File (EPF) in
accordance with the General Records Schedules issued by the Archivist of the United
States under the authority of 44 U.S.C 3303a(d), and U.S. EPA Special Schedules.
B. Performance related notes, records and written observations will be applicable
only to that performance year, and will be expunged from the employee's and
supervisor's files upon entering a new appraisal cycle. Any notes, records and written
observations retained beyond the performance year will be those related to ongoing
arbitrations, grievances, PAPs, PIPs, unfair labor practice charges, etc.
SECTION 27. EMPLOYEE DEVELOPMENT
The supervisor shall have at least one formal discussion concerning career goals and
individual development needs with her or his employees per year and utilize
opportunities for employee development. The Individual Development Plan (IDP)
identifies developmental needs and career objectives and is a useful tool for career
development that benefits both the employee and the organization. The IDP is required if
requested by the employee. The IDP process may include conducting a self-assessment;
obtaining assessments from peers, superiors and customers; and identifying opportunities
and other options for career growth. If a supervisor identifies required training, he or she
will notify the employee and, if applicable, annotate the IDP.
SECTION 28. PERFORMANCE ASSISTANCE PLAN (PAP)
A. Continuous, informal feedback between the supervisor and the employee is
essential to ensure an atmosphere that maintains successful performance.
B. However, if at any time during the appraisal year, the supervisor identifies a
significant performance-related problem with an employee, or the employee's
performance has fallen to Minimally Satisfactory in one or more CE, he or she will meet
with the employee in an informal meeting to identify the specific performance
requirement that is not being met, to work with the employee to identify the cause of the
problem, and to work collaboratively to develop a plan to correct the problem.
C. At this point, with the employee's and supervisor's approval, the union will be
notified of this meeting and allowed to be present to participate in part or all of the
collaborative process to develop a plan to correct the problem. The employee, at her or
his own volition, may also contact and work with the union outside the PAP meeting.
D. This counseling session will be documented in writing detailing the exact nature
of the performance requirements not being met, and a copy provided to the employee.
E. When there is a PAP or a PIP issued to an employee, the employee's performance period
for that year is extended through the end of that PAP or PIP. The subsequer*
begins the day after the PAP or PIP ends.
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F. The PAP that is developed should include the following:
1. The plan will afford the employee an opportunity of at least 45 days to resolve the
identified performance-related problem.
2. The plan will be tailored to the specific needs of the employee and may include
formal training, on the job training, counseling, assignment of a journeyman
mentor, or other assistance as appropriate.
3. The purpose of the period of assistance is to help the employee improve her or his
performance.
4. At any time during the assistance period the supervisor may conclude that
assistance is no longer necessary. The supervisor will notify the employee of this
determination, which will be in writing.
5. If at any time during the performance assistance period, the employee's
performance is determined to be Unacceptable in one or more CEs, a formal
opportunity to demonstrate Fully Successful performance (i.e., a Performance
Improvement Plan or PEP) will be initiated in accordance with Section 29.
6. Notwithstanding the existence of an ongoing PAP, an employee may request a
transfer to another position as a means of resolving the performance issue. An
employee shall not be forced to successfully complete the PAP before moving on
to another position.
Part-Time Employees
G. The Supervisor will give due consideration to the achievability of a PAP for a
part-time employee. Assignments and deliverables should be commensurate with a part-
time schedule.
SECTION 29. PERFORMANCE IMPROVEMENT PLAN (PIP)
If the supervisor determines under Section 28 that the employee is performing her or his
assigned job duties the unacceptable level, the supervisor shall develop in consultation
with the employee and, if requested, her or his union representative, a written
Performance Improvement Plan or PIP. The goal of this PIP is to return the employee to
Fully Successful performance as soon as possible.
Purpose of a PIP
A PIP is a document intended to identify an employee's performance deficiencies, the
actions that must be taken by the employee to improve performance, along with
provisions for counseling, training, or other assistance to bring performance up to Fully
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Successful. Placement on a PIP for unacceptable performance triggers a formal
opportunity period as required by 5 U.S.C. 4302(b) (6).
B. Timing of a PIP
a. The employee's performance rating must be based on at least 90 days under the
assigned critical elements (CE). A PIP must be presented to the employee within
15 working days after the employee is formally informed in writing of
performance that is unacceptable.
b. It is in the party's best interest to address performance issues as soon as they are
discovered. Therefore, although an employee may be immediately placed on a
PIP, corrective action should be taken as soon as performance is seen to drop
below the Fully Successful level. Ordinarily, this should result in a PAP being
issued to the employee before the issuance of a PIP.
C. Format of a PIP
A PIP should be in the form of a memorandum from the immediate supervisor to the
employee. A specified beginning and ending date should designate the length of time the
PIP will be in effect (not less than a 60-calendar-day period). However, the length of the
period will depend on the nature of the position, the performance deficiencies involved,
and how long it will take to demonstrate Fully Successful performance.
D. Content of a PIP
Each PIP should be geared to the needs and circumstances of the situation. The PIP will
be factual, constructive, reasonable and attainable. The following information should be
included:
1. The employee's name, position title, series, grade, and organization location;
2. The basis for the PIP, e.g., a specific description of the CEs that were not met;
3. Restatement of the assigned Critical Element(s) the employee is failing to perform
acceptably and a description of how performance was determined to be deficient
in relation to performance standards;
4. References to previous counseling sessions during the appraisal period;
5. A specific description of the requirements that must be met, in terms of quality,
quantity, timeliness, cost effectiveness or manner of performance, for work to be
judged Fully Successful. Numerical criteria or bench marks in the Performance
Plan that were used by the supervisor to interpret the performance standard must
also be stated and clearly explained;
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6. A similar explanation of what will be considered Fully Successful performance;
7. Examples of ways the employee can improve performance and a description of
the assistance the employee will receive from the supervisor;
8. A schedule of periodic performance reviews that will be held during the
performance improvement period;
9. A list of assignments with due dates, or completion dates, if appropriate;
10. A statement that the employee is expected to maintain Fully Successful
performance on the remainder of the CEs; and
11. Notification that failure to improve performance to Fully Successful may result in
a change to a lower grade, reassignment, or removal.
12. With the employee's approval, the union will be notified of the PIP meeting and
allowed to be present to participate in part or all of the collaborative process to
develop a plan to correct the problem. The employee, at her or his own volition,
may also contact and work with the Union outside the PIP meeting.
E. Implementation of a PIP
1. The supervisor signs and dates the PIP.
2. The employee's supervisor will meet and discuss the approved PIP with the
employee. The employee may invite the Union representative to be present at the
PIP meeting.
3. The employee may sign the PIP and is given a copy. The employee's signature on
the PIP indicates that he or she received a copy, and does not signify concurrence.
If the employee refuses to sign, the supervisor will annotate the PIP and date the
annotation.
4. The supervisor sends a copy of the PIP to the servicing Human Resources Office
along with the original performance agreement and rating package. The PIP will
be filed in the Employee Performance File (EPF), and will be removed if the
employee's performance improves to Fully Successful and remains at that level
for one year from the beginning of an opportunity to demonstrate Fully Successful
performance in accordance with 5 CFR 432.107(b), then destroyed (e.g.,
shredded).
F. Terminating or Extending a PIP
A PIP may be terminated or extended in situations such as those described below. In each
case, the action will be documented by a memorandum to the employee or the
employee's representative (designated in writing) and a copy sent to the servicing Human
Resources Office for inclusion in the EPF. If the PIP is terminated because of
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demonstrated Fully Successful performance, the PIP and memorandum will be removed
from the EPF and destroyed after the employee's performance has continued to be Fully
Successful for one year.
1. A PIP will be terminated if the employee moves to a different position at the same
or different grade. The PIP is not continued in effect in the new position.
2. A PIP may be terminated if the employee's performance improves to Fully
Successful prior to the expiration of the PIP.
3. A PIP will be removed from the employee's EPF if the employee leaves the
Agency.
4. A PIP may be extended at any time by the supervisor with notice to the bargaining
unit employee and her or his designated representative.
5. Notwithstanding the existence of an ongoing PIP, an employee may request a
transfer to another position as a means of resolving the performance issue. An
employee shall not be forced to successfully complete the PIP before moving on
to another position.
G. Expiration of a PIP
If a PIP is not extended or terminated by the designated expiration date, the supervisor
must notify the employee and her or his designated representative in writing of the status
of her or his performance. If the employee's performance has improved to Fully
Successful, the supervisor must prepare a new rating of record if the opportunity period
was triggered by an annual performance rating of Unacceptable. The new rating will be
sent to the appropriate Human Resources Office. The supervisor and the employee each
keep a copy. The servicing Human Resources Office will substitute the new appraisal for
the previous rating of record. Once the employee has been deemed to be performing at
the Fully Successful Level, all performance-related personnel actions will be made
effective.
When there is a PAP or a PIP issued to an employee, the employee's performance period for that
year is extended through the end of that PAP or PIP. The subsequent performance period begins
the day after the PAP or PIP ends.
H. Change of Supervisors while on a PIP
In the event that the employee's supervisor leaves the unit either temporarily or
permanently, the PIP shall not be extended because of the departure of the supervisor.
The employee and new supervisor, along with the employee's designated representative,
shall meet within 15 days of the new supervisor's arrival to discuss the PIP and the
employee's progress in meeting the PlP's requirements.
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I. Part-Time Employees
The Supervisor will give due consideration to the achievability of a PEP for a part-time
employee. Assignments and deliverables should be commensurate with a part-time
schedule.
SECTION 30. PERFORMANCE-BASED ACTIONS
A. Should an employee's performance continue to be Unacceptable and the
employee's performance is determined to be Unacceptable after the reasonable
opportunity to improve said performance to an acceptable level through a PIP, the
supervisor will consider the following possible personnel actions:
1. Deny the employee's within grade increase in accordance with 5 CFR 531;
2. When the employee is capable of performing in a different position of the same
grade, the supervisor may propose to reassign the employee to such a position in
accordance with 5 CFR 430;
3. When the employee is not capable of performing in a position at the same grade
but is capable of performing in a position at a lower grade, the supervisor may
propose a demotion to a position at a lower grade in accordance with 5 CFR 432;
4. The supervisor may propose to remove the employee from Federal Service in
accordance with 5 CFR 432. The supervisor must consult with the Human
Resources Office before taking any action based on Unacceptable performance.
B. An employee whose reduction-in-grade or removal is proposed for such
performance is entitled to:
1. A 30-day advance notice of the proposed action that identifies both the specific
instances of Unacceptable performance by the employee on which the proposed
action is based and the critical elements) of the employee's position involved in
each instance of that performance;
2. A representative. The employee may file a written statement with the deciding
official indicating the name, title (if any) and address of her or his
representative(s);
3. A reasonable time, but not less than 20 calendar days, to answer orally and/or in
writing;
4. Use a reasonable amount of administrative time to prepare an answer;
5. A written decision which specifies the instances of Unacceptable performance on
which the reduction in grade or removal is based. The decision shall be within 30
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calendar days after expiration of the advance notice period. Unless proposed by
the head of the Agency, the deciding official shall be at a higher level than the
proposing official. The written decision shall be issued to the employee at or
before the time the action will be effective. The decision shall inform the
employee of any applicable appeal and/or grievance rights.
C. The employee and her or his designated representative have a right to material
relied upon in formulating the proposed adverse action (5 CFR Part 432).
SECTION 31. EMPLOYEE OBJECTIONS TO PERFORMANCE PLANS
OR RECOGNITION DECISIONS
The final determination of an employee's critical elements and standards are not grievable
under the negotiated grievance procedure. If an employee believes that a decision or other
action taken or not taken under this performance management program resulted from a
prohibited personnel practice as defined in 5 U.S.C. 2302 or an act of discrimination, the
employee may: (1) file a grievance under the negotiated grievance procedure or file a
charge of discrimination with the Equal Employment Opportunity Commission and/or (2)
file a complaint with the Office of Special Counsel.
SECTION 32. EMPLOYEE OBJECTION TO RATING OF RECORD
A. An employee who disagrees with her or his final rating of record may file a
grievance under the provisions of the negotiated grievance process,
B. A rating of record may not be appealed to the Merit Systems Protection Board.
C. However, an employee may file an allegation with the Office of Special Counsel
if the employee believes the rating decision or other action taken or not taken based on
the rating of record, constitutes a prohibited personnel practice as defined in 5 U.S.C.
2302 or file an equal employment opportunity (EEO) complaint.
SECTION 33. RECOGNITION
A performance based award is a method for recognizing employees' accomplishments.
Excellence in performance will be the basis for cash award determinations and quality
step increase pay decisions. The parties recognize that the use of both monetary and non-
monetary awards have a significant impact on employees' morale, motivation, and
performance of assigned duties. It is agreed that recognition for employee contributions
will be handled in accordance with the Awards article in the MCBA.
SECTION 34. REOPENER
A. The Parties agree that the Agency has the right to modify the substance of the
Performance Evaluation plan in accordance with 5 USC 7106. Should that occur, the
Final Agreement - Article 34; 02-16-2006 Page 26 of 2,
Revised; 07-14-2006; 08-28-2006; 02-14-2007
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Union will have the right to negotiate Impact and Implementation issues attendant to such
changes.
B. The Parties agree that issues identified by the Advisory Board may trigger a
reopener of this agreement and additional Impact and Implementation bargaining.
C. Any changes to this Article to address problems identified by the Advisory Board
will be made by mutual consent of the parties, in accordance with Article 45 or its
equivalent in the Master Collective Bargaining Agreement, regarding Supplemental
Agreements and Other Negotiations during the Life and Term of the MCBA.
D. Nothing in this Article shall serve to waive either party's rights under the law or
MCBA.
SECTION 35. DURATION
A. During any subsequent negotiations over this Article (or its equivalent or
successor agreements in a new MCBA), the procedures and appropriate arrangements
portions of this agreement shall remain in full-force and effect until such time that a new
agreement is signed and has become effective. For example, procedures for PAPs, PIPs,
etc., would remain unchanged.
B. With respect to negotiable procedures and appropriate arrangements, both parties
agree to abide by the status quo as required by the Statute (5 U.S.C. Chapter 71) in any
subsequent negotiations of the Employee Performance Evaluation Article or its successor
article(s) in any new or subsequent MCBA.
SECTION 36. EFFECTIVE DATE
A. This agreement will be effective on the date it is signed, subject to Agency Head
Review.
B. However, if, as a result of Agency Head Review, a proposal or section of a
proposal is disapproved, the parties will exchange proposals and negotiate the affected
proposal or section of this Article within thirty (30) calendar days of the Agency's
notification.
C. An item returned by Agency-head review shall permit the parties, at the request of
either party, to renegotiate that item and all related items and provisions that are directly
affected, to the extent negotiations of that item are permitted by law. These may include
those items, sections, paragraphs or provisions that, in whole or in part have been
negotiated at the table in exchange for, or in consideration of the returned item.
Final Agreement-Article 34,' 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 27 of
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SECTION 37. SIGNATURE/DATE
The parties agree to the Supplement as written above.
FOR Management:
FOR AFGE Council 238
tfyoS/D
Chief Negotiator,
AFGE Council 238
ChiefNegotiator,
U.S. EPA
Final Agreement - Article 34; 02-16-2006
Revised: 07-14-2006; 08-28-2006; 02-14-2007
Page 28 of 28
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APPENDIX A
Article 34 Employee Performance Evaluation
Master Collective Bargaining Agreement
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EPA Performance Appraisal and Recognition System
-Q- \ Performance Plan Coversheet
nMIm
r*L PROt^
AFGE Bargaining Unit
Employee Name
Title, Series, Grade
Performance Period
Organizational Location
PRIVACY ACT STATEMENT
The maintenance of this information is governed by Privacy Act system of records
OPM/GOVT-2. The authority for the maintenance of this system is 5 U.S.C. 1104, 3321,
4305, and 5405, and Executive Order 12107. This information is required. Not providing
this information may hinder the Agency's ability to process personnel actions concerning
you. This information is used to define the critical elements, performance standards, and
performance measures directly related to your job. It will be used to document your mid-
year review, any other reviews, and your end of year rating. The information may also be
used in connection with selection for and publication of cash and honor awards; other
personnel actions based on performance such as training and development decisions; the
hiring or retention of an individual or the issuance of other benefits; relevant judicial or
administrative proceedings; law enforcement purposes; personnel research or survey
purposes; and negotiated grievance procedures. Disclosure may also be made to the
MSPB, the EEOC, and other Federal agencies for purposes authorized by law; to a
Congressional office at your request; and to officials of labor organizations when relevant
and necessary to their duties as exclusive representatives of Federal employees. This is a
summary of the routine uses for these records. For a full description of this system notice,
including routine uses, see 65 FR 24737 (Apr. 27, 2000).
Oo Not Remove this Coversheet until the Entire Form Is Placed in the Employee
Performance File in the Servicing Human Resources Office.
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EPA Performance Appraisal and Recognition System
Performance Plan Coversheet
AFGE Bargaining Unit
*1 pr cfC*-
Employee Name
Title, Series, Grade
Performance Period
Organizational Location
SECTION 1. DETERMINING CRITICAL ELEMENTS AND SETTING STANDARDS
My supervisor and I have discussed the critical elements that I will be rated upon during the course of this rating period.
Employee's Signature and Date
Supervisor's Signature and Date
Individual being rated is a: ~ Supervisor
~ Manager
Q Team Leader
~ Employee
Linking CEs: It is important that critical elements (CE's) be linked to the Agency Strategic Plan, or to a Regional Strategic Plan,
as appropriate. The Plan contains five long-term, results-based environmental goals. It also describes seven Cross-Goal
Strategies. If you link a CE to a Goal, then use the relevant objective(s) to more specifically define the linkage. If your duties include
the performance of cross-Agency or cross-media work (including administrative, financial or legal support functions, or information
management) then it may be more appropriate to link each CE to a Strategy, rather than to an environmental Goal. For
management and support functions not captured by the seven Cross-Goal Strategies, use the alternative linkage statement: This
work is an enabling and support function that supports, the outcomes of all five of the Agency's strategic goals.
Indicate which Strategic Plan Goal(s) la/are linked to the Critical Elements for this position:
SECTION 2. PROGRESS REVIEW(S)
Mid Year Review (Required) ^
"Other" Review (Optional)
"Other" Review (Optional)
Supervisor's Initials
and Date
My supervisor and I have discussed my performance for this period in relation to my performance standards and measures.
Employee's Initials
and Date
Employee Commenta
0 attached ~ not attached
SECTION 3. END OF YEAR RATING
Summary Rating Levels*
~ Outstanding ~ Minimally Satisfactory
~ Exceeds Expectations ~ Unacceptable
~ Fully Successful
* See next page for definitions and additional guidance
Learning and Development
My supervisor and I have discussed my training needs
for the year and an Individual Development Plan (IDP).
~ is attached ~ is not attached
My supervisor and I have discussed my performance for the calendar year in relation to my performance standards and measures. My
supervisor has informed me of my rating of record.
Supervisor's Signature and Date
Employee'e Signature and Date
Employee Comment*
Q attached ~ not attached
Higher Level Supervisor's Signsture and Date
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.^0STA\
i j£!L r| EPA Performance Appraisal and Recognition System
VSBfc-jr Performance Plan Coversheet
AFGE Bargaining Unit
Definitions of Summary Rating Levels
Outstanding
'Consistently proposes new, creative approaches and practical ideas that are accepted by fellow
workers and incorporated into day-to-day work operations to improve efficiency and effectiveness of
the work.
•Coworkers are motivated and energized by employee's actions and the employee is often sought
for advice concerning complex, controversial, and difficult issues prior to implementation.
'Employee is consistently proactive, demonstrates initiative, and uses exceptional judgment.
•Understands the political realities of situations, keeps supervisor and/or Team Leader informed of
issues and problems and uses discretion in keeping sensitive matters confidential.
•Employee most often resolves problems independently and effectively eliminates problems from
happening without supervisory intervention or assistance.
•Employee makes significant contributions to the mission and priorities of the unit, office, region and
constituencies on a regular basis.
Exceeds
Expectations
This level signifies that the results achieved are clearly beyond what could be reasonably expected
for Fully Successful performance.
Fully
Successful
This level signifies the employee's performance results achieved are those that can be reasonably
expected of any employee on the job in order to fully and adequately achieve assigned
responsibilities.
Minimally
Satisfactory
This level signifies that there is a performance-related problem(s) although the performance has not
reached "Unacceptable" in any Critical Element. The employee demonstrates limited ability in
producing work of acceptable volume and/or quality within established timeframes; or exhibits
limited sense of personal responsibility and accountability in work assignments; or experiences
difficulty in addressing new or unusual work situations under normal pressure; or requires frequent
guidance and assistance from supervisor or others. When performance is rated at this level,
informal assistance in the form of a Performance Assistance Plan (PAP) must be provided to the
employee to help improve his/her performance to "Fully Successful."
Unacceptable
This level signifies the performance of the employee consistently fails to meet the established
performance standards in one or more critical elements of the employee's position. When
performance is rated at this level, a performance Improvement Plan (PIP) must be implemented to
help the employee improve his/her performance to "Fully Successful."
Determining Summary Performance Ratings
Apply the following process to determine the summary performance rating level for the year:
Outstanding
For a summary performance rating of Outstanding, the one half or more of the Critical Elements are rated
Outstanding and none of the Critical Elements are rated lower than Exceeds Expectations.
Exceeds
Expectations
For a summary performance rating of Exceeds Expectations, the one half or more of the Critical Elements are
rated Exceeds Expectations and none of the Critical Elements are rated lower than Fully Successful.
Fully
Successful
For a summary performance rating of Fully Successful, the majority of the Critical Elements are rated Fully
Successful, and none of the Critical Elements are rated lower than Fully Successful.
Minimally
Satisfactory
For a summary rating of Minimally Satisfactory, one or more Critical Elements are rated Minimally Satisfactory
and none of the Critical Elements are rated Unacceptable.
Unacceptable
For a summary rating of Unacceptable, one or more Critical Elements are rate<^upacceptable (Unacceptable).
^Wul pase4°f 8
JilSD-
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^DSTX
xSh \ EPA Performance Appraisal and Recognition System
¦ Performance Plan and Summary Appraisal Package
Agency Benchmark Standards
AFGE Bargaining Unit
Instructions for Applying Standards; Ratings at all levels must be evaluated in the context of the grade level and
Outstanding
Delivers products or services that, to an extraordinary degree, support the Agency's strategic plan, programs, policies,
organizational annual performance plans, or budget priorities. Products or services are of exceptional quality and provide
exemplary models for addressing the most difficult and complex work challenges and demonstrate the highest levels of
creativity, skill, and knowledge of subject area. Products are consistently produced ahead of the expected timeframes and
reliably comply with applicable statutes, regulations, and established policies and procedures. Adjusts with exceptional
quickness and ease to changing priorities, consistently taking the lead. Products or services demonstrate exceptional
research and analysis. Exhibits exceptional skills in independently planning, organizing, and prioritizing multiple
assignments. Consistently develops and offers suggestions for organizational and work process improvements that
substantially increase results, efficiency, or effectiveness. Communicates verbally and in writing with exertional clarity
and effectiveness, often on topics or issues that are emerging and without precedent. Written materials are always well
received and easily understood by a range of individuals and groups and significantly promote the Agency's programs and
mission. Provides exceptional leadership in promoting teamwork and collaboration across organizations. Measures and
metrics mav be included.
Exceeds
Expectations
Delivers products or services that, to a degree beyond what can reasonably be expected, support the Agency's strategic plan,
programs, policies, organizational annual performance plans, or budget priorities. Products or services are of superior
quality and provide excellent models foT addressing the most difficult and complex work challenges and demonstrate high
levels of creativity, skill, and knowledge of subject area. Products or services are frequently produced ahead of the
expected timeframes and reliably comply with applicable statutes, regulations, and established policies and procedures.
Adjusts quickly to changing priorities, often taking the lead. Products or services demonstrate high quality research and
analysis. Exhibits excellent skills in independently planning, organizing, and prioritizing multiple assignments. Frequently
develops and offers suggestions for organizational and work process improvements that increase results, efficiency, or
effectiveness, Communicates verbally and in writing with excellent clarity and effectiveness, often on topics or issues that
are emerging and without precedent. Written materials are consistently well received and easily understood by a range of
individuals and groups, significantly promoting the Agency's programs and mission. Provides high quality leadership in
promoting teamwork and collaboration across organizations. Measures and metrics mav be included.
Fully Successful
Delivers products or services that support the Agency's strategic plan, programs, policies, organizational annual
performance plans, or budget priorities. Products or services are of a good quality and provide good models for addressing
work challenges and require high levels of creativity, skill, and knowledge of subject area. Products are produced within
the expected timeframes and reliably comply with applicable statutes, regulations, and established policies and procedures.
Adjusts to changing priorities. Products or services demonstrate thorough research and analysis. Exhibits effective skills
in independently planning, organizing, and prioritizing multiple assignments. Develops and offers suggestions for
organizational and work process improvements that increase results, efficiency, or effectiveness. Effectively communicates
verbally and in writing. Written materials are well received and easily understood by a range of individuals and groups,
promoting the Agency's programs and mission. Promotes teamwork and collaboration across organizations. Measures and
metrics mm be Included.
Minimally
Satisfactory
Delivers products or services that marginally support the Agency's strategic plan, programs, policies, organizational annual
performance plans, or budget priorities. Products or services demonstrate occasional deficiencies in creativity, skill, and
knowledge of subject area. Products or services are occasionally produced in an untimely manner or do not comply with
applicable statutes, regulations, and established policies and procedures. Has some difficulty adjusting to changing
priorities. Products or services sometimes lack adequate research and analysis. Occasionally demonstrates difficulty with
independently planning, organizing, and prioritizing multiple assignments. Infrequently offers suggestions for
organizational and work process improvements that increase results, efficiency or effectiveness. Verbal and written
communications lack clarity. Written materials are generally not well received or understood by a range of individuals and
groups. Infrequently promotes teamwork and collaboration across organizations. Measures and metrics map be Included.
Unacceptable
Often delivers products or services that do not support the Agency's strategic plan, programs, policies, organizational
annual performance plans, or budget priorities. Products or services demonstrate frequent deficiencies in creativity, skill,
and knowledge of subject area. Products are not produced in a timely maimer and do not comply with applicable statutes,
regulations, and established policies and procedures. Often has difficulty adjusting to changing priorities. Products or
services often lack adequate research and analysis. Often demonstrates difficulty with independently planning, organizing,
and prioritizing multiple assignments. Rarely offers suggestions for organizational and work process improvements that
increase results, efficiency or effectiveness. Verbal and written communications often lack clarity. Written materials are
frequently not well received or understood by a range of individuals and groups. Does not promote teamwork and
collaboration across organizations. Measures and nutria may b* included. /]
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£%, \ EPA Performance Appraisal and Recognition System
Performance Plan Coversheet
2EZ
J AFGE Bargaining Unit
r*t
Employee Name
Organizational Location
CE1:
Strategic Plan elements supported by this CE:
Assumptions:
Employee Performance Must be Evaluated against the Agency Benchmark Standards.
Measures and Metrics:
Supervisor's Notes: *
Written highlight* are required to support an element rating of Outstanding, Minimally Satisfactory, or Unacceptable.
Rating: ~ Outstanding ~ Exceeds Expectations ~ Fully Successful ~ Minimally Satisfactory ~ Unacceptable
Page 6 of 8
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EPA Performance Appraisal and Recognition System
Performance Plan Coversheet
AFGE Bargaining Unit
Organizational Location
Employee Name
CE 2:
Assumptions:
Employee Performance Must be Evaluated against the Agency Benchmark Standards.
Measures and Metrics:
Supervisor's Notes:
Written highlights are required to support an element rating of Outstanding, Minimally Satisfactory, or Unacceptable.
Rating: ~ Outstanding ~ Exceeds Expectations ~ Fully Successful ~ Minimally Satisfactory ~ Unacceptable
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Employee Name
Organizational Location
CE 3:
Strategic Plan elements supported by this CE:
Assumptions'.
Employee Performance Must be Evaluated against the Agency Benchmark Standards.
i \ EPA Performance Appraisal and Recognition System
* sfe I Performance Plan Coversheet
AFGE Bargaining Unit
Measures and Metrics:
Supervisor's Notes: *
' Written highlights are required to support an element rating of Outstanding, Minimally Satisfactory, or Unacceptable.
Rating: O Outstanding 0 Exceeds Expectations Q Fully Successful CD Minimally Satisfactory D Unacceptable
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