F E D E RAL LABOR RELATIONS AUTHORITY

OFFICE OF THE GENERAL COUNSEL

REPRESENTATION PROCEEDINGS

CASE HANDLING MANUAL

Foreword

The Representation Proceedings Case Handling Manual (REP Manual) provides

information on the processing of representation petitions filed under the Federal

Service Labor-Management Relations Statute (the Statute). The REP Manual has

been prepared by the Federal Labor Relations Authority (FLRA), Office of the

General Counsel (OGC) pursuant to section 7104(f) of the Statute. The REP

Manual is intended to provide a resource tool for Regional Office employees when

processing representation petitions. The REP Manual is divided into two binders.

Binder One contains representation case processing information and Binder Two

contains reference materials, forms and figures. For more information on

substantive representation case law and related issues, see the Representation

Case Law Guide. For more information on preparing for and conducting hearings in

representation cases, see the Hearing Officer’s Guide.

The REP Manual is published in a handbook style format to make it user friendly. 

The REP Manual will be updated annually. Since party understanding of the

representation process and regulatory requirements is critical to the timely and

effective processing of representation petitions by the Regional Offices, the REP

Manual is available to all parties and individuals who are involved in filing and

processing representation petitions. The REP Manual may be accessed from the

FLRA web site, www.FLRA.gov, and is available for purchase from the Government

Printing Office.

The REP Manual provides guidance for the FLRA, OGC staff when processing

representation petitions filed under the Statute. The REP Manual is not intended to

be a condensed version of all substantive law, nor it is intended to be a substitute

for knowledge of the law. The REP Manual is not a ruling or directive, nor is it

binding upon the FLRA General Counsel or the FLRA. Although the Regional Office

staff refers to the REP Manual when processing cases, the REP Manual does not

encompass all situations that may be encountered in processing representation

petitions. Thus, responsible, professional judgment and experience are required in

applying and utilizing these guidelines.

August 2000
OTHER OFFICE OF THE GENERAL COUNSEL

 RESOURCE MANUALS

The Hearing Officer’s Guide (HOG) describes techniques for conducting hearings

in FLRA representation proceedings. The first part provides instructions and

guidance on preparing for and conducting hearings. It includes a sample script and

discusses specific procedural issues, some commonplace, others novel, that arise

during hearings. The second part discusses a variety of evidentiary representation

issues and employee categories. Each topic is defined and includes an outline of

issues and questions to assist the Hearing Officer and the parties to develop a

complete record.

The Representation Case Law Guide (RCL) presents a variety of relevant

substantive issues that arise when processing representation petitions and unfair

labor practice cases that raise representation issues. The RCL defines each topic,

discusses relevant case law and sets forth an analytical framework for deciding

each case consistently and properly.

The Unfair Labor Practice Case Handling Manual (ULPCHM) provides

procedural and operational guidance to the General Counsel’s staff when

processing unfair labor practice charges filed pursuant to Subpart A Party 2423 of

the FLRA’s regulations. It is divided into 5 Parts that address various topics/issues

that arise during distinct phases of the ULP process-from pre-charge through pre

and post investigation. It also codifies the OGC’s policies with respect to:

Facilitation, Intervention, Training, and Education; Quality of Investigators; Scope of

Investigations; Injunctions; Prosecutorial Discretion; Settlements; and Appeals. As

appropriate, the ULPCHM references relevant case law and provides for uniformity

and best practices; criteria and principles governing Regional discretion and

judgment; and model and sample forms and letters.

The Litigation Manual (LM) provides comprehensive guidance to regional Trial

Attorneys in prosecuting ULP cases. The Manual covers each aspect of the trial

process-from the issuance of a complaint and notice of hearing to the Authority’s

decision and order. Where appropriate, it refers to OGC Policy and relevant case

law, and contains many examples of litigation techniques, both in the body of the

Manual (Binder I) which concerns substantive litigation guidelines, and in the

Attachments section of the Manual (Binder II) which contains a compilation of forms,

policies, OGC Guidances, or models relating to the subject matter covered in Binder

I.

HOW TO USE 

THE REPRESENTATION 

CASE HANDLING MANUAL

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ii Representation Case Handling Manual
The Representation Case Handling Manual (or CHM) is formatted to help Regional

Office personnel identify and resolve representation issues raised by a petition. 

The subject matter is developed much in the same manner as a petition is

processed in a Regional Office: from providing prefiling assistance to filing a

petition, from identifying procedural and substantive issues to investigating and

resolving the underlying representation matters, and to issuing a certification or

taking other final action. The CHM tracks, for the most part, the subject matter

format in the representation regulations. 

I. CHM ORGANIZATION: To help the user of this manual, the CHM

consists of two parts. 

A. Part One contains the following: 

1. The Foreword

2. How to Use the Representation Case Handling Manual

3. A Table of Contents, located directly in front of CHM 1. The

Table of Contents reflects the chapter heading and its

corresponding page number. Page numbers reflect the chapter

and page in that chapter on which the topic appears.

4. CHM 1 through CHM 65

Within the text are “notes.” A “NOTE” refers to a Statutory

requirement, or a pertinent section of the CHM, Representation

Case Law Guide (RCL) or the Hearing Officer’s Guide (HOG). A

“NOTE” may also highlight an Office of the General Counsel

(OGC) policy statement set forth in another section of the CHM. 

Significant text within the manual is also bolded. “Bullets” call

attention to “examples” used to explain particular passages or

peculiarities in applying the section. 

5. An Index and Table of Authorities. 

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Representation Case Handling Manual iii
B. CHM 1 through CHM 65 are organized as follows:

1. CHM 1 includes a general policy statement - citing the Regional

Offices’ responsibility to take a proactive role in processing

representation cases and helping the parties to identify and

resolve issues raised by the petition. This section also: (i)

describes the quality standards that all Regional Offices will follow

when processing representation cases; and (ii) provides an

overview of basic representation procedures.

2. CHM 2 through CHM 13 discuss initial procedures. These

sections provide important information about the regulatory

requirements and policies for processing a petition. This

guidance is applied in later sections that discuss how to process a

petition. Included are prefiling assistance, purposes and types of

petitions, filing and service requirements, information on defective

petitions and amending petitions.

3. CHM 14 through CHM 17 discuss initial communications with the

parties. Included are notification to parties, posting and

intervention requirements.

4. CHM 18 and CHM 19 discuss showing of interest requirements,

challenges to the validity of the showing of interest and challenges

to the status of a labor organization.

5. CHM 20 through CHM 27 describe investigating and taking

action on cases. These sections contain instructions,

guidelines, outlines, and checklists for reviewing the

sufficiency of petitions and identifying substantive and

procedural issues. While many other sections of the CHM

help define issues, these sections outline how the cases are

processed and what actions a Regional Director may take

according to the regulations.

6. CHM 28 discusses election agreements and directed elections.

7. CHM 29 through CHM 31 discuss issuing a Notice of Hearing,

incorporate by reference the HOG, and summarize posthearing

procedures.

8. CHM 32 through CHM 48 discuss election procedures.

9. CHM 49 through CHM 52 discuss objections and determinative

challenged ballots.

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iv Representation Case Handling Manual
10. CHM 53 through CHM 55 discuss Regional Director Decisions

and Orders and subsequent actions.

11. CHM 56 discusses Certifications, Clarifications, Amendments, 

Revocations and other final actions pursuant to § 2422.32.

12. CHM 57 outlines procedures for processing petitions filed

according to Part 2426 of the regulations.

13. CHM 58 discusses advice matters. 

14. CHM 59 through CHM 65 contain general policy matters.

The CHM is used with the RCL and the HOG. The Representation Case

Law Guide (RCL) presents a variety of substantive topics that are relevant

to employees of the Office of the General Counsel (OGC) who are required

to process representation petitions and unfair labor practice cases that

raise representation issues. The RCL defines each topic, discusses

relevant case law and sets forth an analytical framework to apply the case

law consistently and properly. The Hearing Officer’s Guide (HOG)

describes techniques for conducting hearings in FLRA representation

proceedings and contains sections on evidentiary representation matters

that can be useful in defining, narrowing, and resolving issues raised by the

petition at any stage of a representation proceeding.

References to sections discussed in this Manual are noted as CHM

followed by the section number (example: CHM 3 refers to Section 3,

Purposes and Types of Petitions). The RCL and the HOG are cross

referenced throughout the CHM. References to sections discussed in the

RCL or the HOG are noted as RCL or HOG followed by the pertinent

section number.

C. Part Two consists of a Cross Reference Table, Flow Charts,

Appendices, FLRA Forms and Documents, and sample Figures. 

II. COMPUTER ACCESS:

A. OGC Access: Part One of the CHM is available on each

Region’s servers. Part Two is currently broken into separate

subdirectories on the n:\drive. The Cross Reference Table and

Flow Charts are located in n:\repref; FLRA forms and documents

are located in n:\forms; figures are in n:\figures and each 

appendix has its own file on the n:\drive. 

The Table of Contents, Index, Table of Authorities and any

referenced forms, documents and figures are “hypertexted” to the

places marked in CHM text. Hypertext is a computer term that

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Representation Case Handling Manual v
refers to a document’s ability to immediately and automatically

display nonsequential text when requested. The Hypertext

feature allows the user to link, or connect, one section of a

document to other sections of the same document or to sections

of a different document. To use this feature, click on “View,” then

Toolbars, then click on in the box next to the Hyperlink toolbar. A

hyperlink feature bar appears beneath the toolbar. Using the

hyperlink bar allows you to use the hypertext feature and toggle

back and forth between the original point of reference and the

document or topic you seek to review. Double-clicking on the 

highlighted page number in the Table of Contents, Index, or Table

of Authorities immediately connects you to the section, topic, or

citation sought. If you wish to return to the point where the cursor

was located before you performed a hypertext jump, click on the

“back” button. 

Sections of the HOG, forms, documents and figures referenced

within the CHM are also hyperlinked to the HOG (n:\homanual),

forms and documents (n:\forms) and figures (n:\figures). Forms

and Figures are hyperlinked in the CHM to the forms and figures

only where they are first referenced for use. The hypertext link is

highlighted in color. 

B. Public Access: Members of the public may obtain a copy of the 

manual through the Government Printing Office on a subscription

basis. The manual is also on the FLRA’s Web Site at

www.flra.gov. The Representation Case Handling Manual (REP

CHM) will be updated annually. 

Office of the General Counsel

vi Representation Case Handling Manual
TABLE OF CONTENTS

Page numbers reflect the chapter and the page within the chapter (Chapter)-(Page).

POLICY AND OBJECTIVES - CHM 1

1 GENERAL POLICY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1

1.1 Quality standards in representation case processing. . . . . . . 1-2

1.2 Overview of basic representation procedures and glossary. . 1-5

INITIAL PROCEDURES 

CHM 2 through CHM 13

2 PREPETITION ASSISTANCE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1

2.1 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1

2.2 Prefiling correspondence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1

2.3 Prefiling assistance to a single party. . . . . . . . . . . . . . . . . . . . 2-1

2.4 Prefiling assistance pursuant to § 2422.13(a). . . . . . . . . . . . . 2-2

2.5 Technical assistance as compared with advice. . . . . . . . . . . . 2-2

2.6 Assistance in preparation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-2

3 PURPOSES AND TYPES OF PETITIONS. . . . . . . . . . . . . . . . . . . . . . 3-1

3.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

3.2 To request. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

3.3 To clarify and/or amend, pursuant to 5 U.S.C. 7111(b)(2). . . . 3-1

3.3.1 A recognition or certification then in effect.. . . . . . . . 3-1

3.3.2 Any other matter relating to representation. . . . . . . . 3-1

3.4 To consolidate pursuant to 5 U.S.C. 7112(d), two or more units,

with or without an election, in an agency and for which a labor

organization is the exclusive representative [see § 2422.1(c)]..3-2

3.5 To grant. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

3.5.1 National consultation rights. . . . . . . . . . . . . . . . . . . . 3-2

3.5.2 Consultation rights.. . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

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3.6 Petitions raising claims pursuant to 5 U.S.C. 7111(f)(1). . . . . 3-2

3.7 Petitions with multiple purposes or that affect more than 

one unit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3

4 STANDING TO FILE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

4.1 Definition of petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

4.2 Petitions requiring a showing of interest. . . . . . . . . . . . . . . . . 4-2

4.3 Petitions seeking to clarify or amend a recognition or certification

or a matter relating to representation.. . . . . . . . . . . . . . . . . . . 4-2

4.4 Petitions raising claims pursuant to 5 U.S.C. 7111(f)(1). . . . . 4-3

4.5 Petitions to consolidate existing units. . . . . . . . . . . . . . . . . . . 4-3

4.6 Petitions seeking a determination of eligibility for national

consultation rights or consultation rights. . . . . . . . . . . . . . . . . 4-3

4.7 Standing to file a petition involving a nationwide exclusive

bargaining unit or an agency-level consolidated unit. . . . . . . . 4-3

4.7.1 Parties listed on the petition. . . . . . . . . . . . . . . . . . . 4-3

4.7.2 Filing a petition involving a nationwide exclusive

bargaining unit or an agency-level consolidated unit. 4-4

4.8 The impact of trusteeships on petitions. . . . . . . . . . . . . . . . . . 4-5

4.9 Standing to file petitions involving units affected by a

reorganization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

5 CONTENTS OF A PETITION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1

5.1 What to file.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1

5.2 Basic information required on FLRA Form 21. . . . . . . . . . . . . 5-1

5.3 Contents of petitions seeking a representation election. . . . . 5-4

5.4 Contents of petitions seeking a determination of eligibility for dues

allotment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4

5.5 Contents of petitions seeking an election to decertify the

incumbent exclusive representative.. . . . . . . . . . . . . . . . . . . . 5-5

5.6 Contents of petitions to clarify, and/or amend (1) a certification in

effect; and/or (2) any matter relating to representation.. . . . . 5-5

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2 Representation Case Handling Manual
5.7 Contents of petitions to consolidate existing units. . . . . . . . . . 5-6

5.8 Information requested on FLRA Form 24, National Consultation

Rights, and FLRA Form 26, Consultation Rights on GovernmentWide Rules and Regulations. . . . . . . . . . . . . . . . . . . . . . . . . . 5-7

5.9 Letters seeking to disclaim interest. . . . . . . . . . . . . . . . . . . . . 5-7

5.10 Contents of petitions seeking to decertify an incumbent labor

organization based on claims that the labor organization is subject

to corrupt influences pursuant to 5 U.S.C. 7111(f)(1). . . . . . . 5-7

6 PARTIES’ GENERAL SERVICE REQUIREMENTS. . . . . . . . . . . . . . . 6-1

6.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

6.2 Relation to Section 2422.6.. . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

6.3 Service after a party designates a representative. . . . . . . . . . 6-1

7 SERVICE OF THE PETITION BY THE PETITIONER. . . . . . . . . . . . . . 7-1

8 WHERE TO FILE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1

8.1 Application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1

8.2 Communication with other regions.. . . . . . . . . . . . . . . . . . . . . 8-1

8.2.1 Notifying other Regional Directors. . . . . . . . . . . . . . . . . . . . . . 8-1

8.2.2 Responding to e-mails. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1

8.2.3 Discussion and consensus. . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1

9 NUMBER OF COPIES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1

10 DATE OF FILING.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1

11 TIMELINESS OF PETITIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1

11.1 General overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1

11.2 Election Bar. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1

11.3 Certification Bar. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-2

11.4 Contract Bars.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-2

11.5 Bar during 5 U.S.C. 7114(c) review. . . . . . . . . . . . . . . . . . . . 11-4

11.6 Unusual circumstances. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-4

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11.7 Premature extension. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

11.8 Contract requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

11.9 Withdrawal or dismissal of petition. . . . . . . . . . . . . . . . . . . . 11-6

11.9.1 Withdrawal/dismissal less than sixty (60) days before

contract expiration or anytime after the expiration of the

agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-6

11.9.2 Withdrawal by petitioner. . . . . . . . . . . . . . . . . . . . . 11-6

11.9.3 Withdrawal by incumbent. . . . . . . . . . . . . . . . . . . . 11-6

11.10 Timeliness of petitions while other petitions requesting to

consolidate existing units are pending. . . . . . . . . . . . . . . . . . 11-7

11.10.1 Prior petitions seeking an election or resolution of a

matter relating to representation due to changes in the

character and scope of the unit. . . . . . . . . . . . . . . . 11-7

11.10.2 Subsequent petitions seeking an election. . . . . . . . 11-7

12 DEFECTIVE PETITIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1

12.1 General policy requirements. . . . . . . . . . . . . . . . . . . . . . . . . 12-1

12.2 What is a defective petition. . . . . . . . . . . . . . . . . . . . . . . . . . 12-1

12.2.1 Defects which prevent a case from being opened.. 12-1

12.2.2 Defects which may prevent the Regional Director from

taking action on the case.. . . . . . . . . . . . . . . . . . . . 12-1

12.3 Examples of defective petitions that may not be opened and delay

initial communications with the parties.. . . . . . . . . . . . . . . . . 12-2

12.4 Examples of defective petitions that may be opened and do not

delay initial communications with the parties.. . . . . . . . . . . . 12-3

12.5 What happens to defective petitions. . . . . . . . . . . . . . . . . . . 12-4

13 AMENDING A PETITION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1

13.1 General requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1

13.2 Purposes of amending a petition. . . . . . . . . . . . . . . . . . . . . . 13-1

13.3 How to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1

13.4 Who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

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13.5 Service and filing requirements. . . . . . . . . . . . . . . . . . . . . . . 13-2

13.6 When to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

13.7 Regional Office assistance provided in amending petitions.. 13-2

13.7.1 Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

13.7.2 Assisting the petitioner. . . . . . . . . . . . . . . . . . . . . . 13-2

13.7.3 Ethical considerations. . . . . . . . . . . . . . . . . . . . . . . 13-2

13.8 Guidance on determining whether to require an amended 

petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

13.8.1 Defective petitions that prevent a petition from being

opened.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

13.8.2 Defective petitions that may prevent the Regional

Director from taking action on a case. . . . . . . . . . . 13-3

13.9 Amendments to change the identity of the unit. . . . . . . . . . . 13-3

13.9.1 Exceptions to requirement to amend petition. . . . . 13-4

13.10 Amendments to change the purpose(s) of the petition. . . . . 13-4

13.11 Effect of amended petitions on parties, timeliness, posting,

showing of interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5

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INITIAL COMMUNICATIONS 

CHM 14 through CHM 17

14 GENERAL REQUIREMENTS FOR COMMUNICATING WITH THE 

PARTIES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1

14.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1

14.2 Designation of representative. . . . . . . . . . . . . . . . . . . . . . . . 14-1

14.3 Service of documents on designated representatives. . . . . . 14-2

14.4 Notification of change in assignment. . . . . . . . . . . . . . . . . . . 14-2

15 IDENTIFYING AND NOTIFYING POTENTIAL PARTIES ABOUT

PETITION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-1

15.1 Correlation between petitioner responsibility to serve and

Regional Office responsibility to notify.. . . . . . . . . . . . . . . . . 15-1

15.2 Contents of notification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-1

15.3 Requirements for notification. . . . . . . . . . . . . . . . . . . . . . . . . 15-1

15.4 Notification to petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-2

15.5 Identifying labor organizations, agencies or activities affected by

issues raised by the petition.. . . . . . . . . . . . . . . . . . . . . . . . . 15-2

15.5.1 Party as used in § 2422.6(a). . . . . . . . . . . . . . . . . . 15-2

15.5.2 Definition of “affected by issues raised”.. . . . . . . . . 15-2

15.5.3 Checklist for identifying labor organizations, agencies or

activities affected by issues raised by a petition. . . 15-4

15.6 Blanket requests for notice of “all” petitions.. . . . . . . . . . . . . 15-6

15.7 Exceptions to blanket requests for all petitions. . . . . . . . . . . 15-6

15.7.1 Petitions affecting nationwide exclusive or agency-level

consolidated bargaining units. . . . . . . . . . . . . . . . . 15-6

15.7.2 Petitions involving local labor organizations that have

been placed in trusteeship.. . . . . . . . . . . . . . . . . . . 15-6

15.8 Opening notification letters. . . . . . . . . . . . . . . . . . . . . . . . . . 15-6

15.9 Notification of employing agency or activity and incumbents in

petitions seeking elections or a determination of eligibility for dues

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allotment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-9

15.9.1 Employing agency notification. . . . . . . . . . . . . . . . . 15-9

15.9.2 Incumbent notification. . . . . . . . . . . . . . . . . . . . . . 15-10

15.9.3 Written confirmation and notification. . . . . . . . . . . 15-10

15.10 Parties that may be affected by issues raised but may not qualify

under § 2422.8 to intervene. . . . . . . . . . . . . . . . . . . . . . . . . 15-10

15.11 Effect of amended petitions. . . . . . . . . . . . . . . . . . . . . . . . . 15-10

15.12 Regional Director’s responsibility after notification. . . . . . . 15-11

15.12.1 Incumbent labor organizations and employing

agencies/activities . . . . . . . . . . . . . . . . . . . . . . .. . . 15-11

15.12.2 Potential parties that are required to intervene. . . 15-11

16 NOTICE OF PETITION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1

16.1 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1

16.2 When posting occurs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1

16.3 Contents of notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2

16.4 Duration and location of posting. . . . . . . . . . . . . . . . . . . . . . 16-3

16.5 Certification of posting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3

16.6 What happens if the agency refuses to post. . . . . . . . . . . . . 16-3

16.7 Status of petition during posting period. . . . . . . . . . . . . . . . . 16-3

16.8 Effect of amending a petition. . . . . . . . . . . . . . . . . . . . . . . . . 16-3

17 INTERVENTION AND CROSS-PETITIONS. . . . . . . . . . . . . . . . . . . . 17-1

17.1 Distinctions between cross-petitions and interventions. . . . . 17-1

17.1.1 Cross-petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.1.1 Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.1.2 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.2 Requests to intervene. . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.2.1 Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.2.2 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1

17.1.3 Policy on filing cross-petitions versus requests to

intervene. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-2

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17.2 Who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4

17.3 What and when to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4

17.3.1 Application of the phrase “unless good cause is shown

for granting an extension”. . . . . . . . . . . . . . . . . . . . 17-5

17.3.1.1 Considerations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-5

17.3.1.2 Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-5

17.3.1.3 Cross-petitions raising claims pursuant to section

7111(f)(1) of the Statute.. . . . . . . . . . . . . . . . . . . . . 17-6

17.3.2 Interventions and cross-petitions received too late for the

region to process prior to the opening of the 

hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-6

17.3.2.1 Interventions and cross-petitions received after the

hearing opens. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-7

17.3.3 Interventions and cross-petitions filed at the election

agreement meeting or prior to the Regional Director’s

approval of the Election Agreement or Direction of

Election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-7

17.4 Correlation between “notification” and “intervention”. . . . . . . 17-7

17.5 Limitations on Regional Director’s duty to notify. . . . . . . . . . 17-8

17.6 Processing cross-petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . 17-9

17.6.1 Filing requirements. . . . . . . . . . . . . . . . . . . . . . . . . 17-9

17.6.2 Timeliness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-9

17.6.3 Procedures for processing.. . . . . . . . . . . . . . . . . . 17-10

17.6.4 Notification of cross-petition. . . . . . . . . . . . . . . . . 17-10

17.6.5 Status of parties.. . . . . . . . . . . . . . . . . . . . . . . . . . 17-10

17.7 Processing intervention requests.. . . . . . . . . . . . . . . . . . . . 17-11

17.7.1 Filing requirements. . . . . . . . . . . . . . . . . . . . . . . . 17-11

17.7.2 Labor organization intervention requests.. . . . . . . 17-11

17.7.3 Incumbent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

17.7.4 Unusual situations where a labor organization claims

status as an incumbent and an intervenor.. . . . . . 17-12

17.7.5 Employing agency. . . . . . . . . . . . . . . . . . . . . . . . . 17-12

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17.7.6 Agency or activity intervention. . . . . . . . . . . . . . . . 17-13

17.8 Failure by a labor organization to submit evidence in support of a

request to intervene or cross-petition.. . . . . . . . . . . . . . . . . 17-13

17.9 Failure to submit showing of interest. . . . . . . . . . . . . . . . . . 17-13

17.9.1 Exception. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-14

17.9.2 Determining adequacy of showing of interest. . . . 17-15

17.10 Investigating requests to intervene. . . . . . . . . . . . 17-15

17.10.1 Request supported by a collective bargaining 

agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-15

17.10.2 Request supported by evidence that a labor organization

represents or an agency employs

affected employees. . . . . . . . . . . . . . . . . . . . . . . . 17-15

17.11 Actions on request for intervention. . . . . . . . . . . . . . . . . . . 17-16

17.12 Soliciting withdrawal of a request for intervention. . . . . . . . 17-16

17.13 Unusual requests to intervene that are based on § 2421.21. 17-16

17.13.1 Examples.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

17.13.2 Policy on handling requests to intervene based on 

§ 2421.21.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

17.14 Decision and Order denying request for intervention.. . . . . 17-18

17.15 Granting of application of review. . . . . . . . . . . . . . . . . . . . . 17-18

17.16 Action pending review of a Decision and Order denying

intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-18

17.17 Action upon remand.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-18

SHOWING OF INTEREST, 

VALIDITY AND STATUS CHALLENGES

CHM 18 and CHM 19

18 SHOWING OF INTEREST. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-1

18.1 When a showing of interest is required. . . . . . . . . . . . . . . . . 18-1

18.2 Why a showing of interest is required. . . . . . . . . . . . . . . . . . 18-2

18.3 Definition of “adequacy of showing of interest”. . . . . . . . . . . 18-2

18.4 Basis of adequacy determinations.. . . . . . . . . . . . . . . . . . . . 18-2

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18.5 What constitutes an adequate showing. . . . . . . . . . . . . . . . . 18-3

18.5.1 Petitioner’s interest in a request for a representation

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-3

18.5.2 Petitioner’s interest in a request for a decertification

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-3

18.5.3 Petitioner’s interest in requests for a determination of

eligibility for dues allotment. . . . . . . . . . . . . . . . . . . 18-3

18.5.4 Cross-petitioner’s interest in a request for a

representation election. . . . . . . . . . . . . . . . . . . . . . 18-4

18.5.5 Labor organization seeking to intervene based on a

numerical showing of interest. . . . . . . . . . . . . . . . . 18-4

18.5.6 Labor organization that seeks to intervene based on

other than a numerical showing of interest. . . . . . . 18-4

18.5.7 Employee request for an election on the issue of a

proposed consolidation. . . . . . . . . . . . . . . . . . . . . . 18-4

18.6 Definition of a showing of interest. . . . . . . . . . . . . . . . . . . . . 18-5

18.6.1 Types of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . 18-5

18.6.2 Photocopies.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-5

18.7 Requirements for acceptable evidence of interest.. . . . . . . . 18-6

18.7.1 Membership in a labor organization.. . . . . . . . . . . . 18-6

18.7.2 Authorization cards. . . . . . . . . . . . . . . . . . . . . . . . . 18-6

18.7.3 Authorization petitions. . . . . . . . . . . . . . . . . . . . . . . 18-6

18.7.4 Decertification showing. . . . . . . . . . . . . . . . . . . . . . 18-7

18.7.5 Validity of designations. . . . . . . . . . . . . . . . . . . . . . 18-7

18.8 Timeliness of submission of a showing of interest.. . . . . . . . 18-9

18.8.1 Petitioner's interest. . . . . . . . . . . . . . . . . . . . . . . . . 18-9

18.8.2 Intervenor's interest. . . . . . . . . . . . . . . . . . . . . . . . 18-10

18.9 General procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-10

18.9.1 Failure to submit alphabetized list with petitioner's or

intervenor's showing of interest. . . . . . . . . . . . . . . 18-10

18.9.2 Failure to submit adequate showing of interest. . . 18-11

18.9.2.1 By petitioner.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-11

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18.9.2.2 By intervenor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-11

18.9.3 Procedures in notifying petitioner and intervenor 

when showing is inadequate. . . . . . . . . . . . . . . . . 18-11

18.9.4 Request for extension of time. . . . . . . . . . . . . . . . 18-12

18.9.5 Deferring the petition. . . . . . . . . . . . . . . . . . . . . . . 18-12

18.9.5.1 Failure to submit showing of interest. . . . . . . . . . . 18-12

18.9.5.2 Failure to estimate the number of employees in the

proposed unit.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-12

18.9.6 Notification when evidence of interest is adequate. 18-13

18.10 Prima facie check of interest. . . . . . . . . . . . . . . . . . . . . . . . 18-13

18.10.1 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-13

18.10.2 Petitioner's prima facie showing of interest in election

cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-13

18.10.2.1 Requirement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-13

18.10.2.2 Preliminary determination. . . . . . . . . . . . . . . . . . . 18-14

18.10.2.3 Basis for making determination. . . . . . . . . . . . . . . 18-14

18.10.2.4 Counting acceptable evidence. . . . . . . . . . . . . . . 18-14

18.10.2.5 How to mark the prima facie showing of interest.. 18-14

18.10.2.6 Completing FLRA Form 52. . . . . . . . . . . . . . . . . . 18-14

18.10.2.7 Notifying petitioner of insufficient showing of 

interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-15

18.10.2.8 Additional showing of interest. . . . . . . . . . . . . . . . 18-15

18.11 Intervenor's prima facie showing of interest.. . . . . . . . . . . . 18-15

18.12 Petitioner’s showing of interest in petitions requesting a

determination of eligibility for dues allotment.. . . . . . . . . . . 18-15

18.13 Final determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-16

18.13.1 Request for payroll list. . . . . . . . . . . . . . . . . . . . . . 18-16

18.13.2 Delay in submission of list. . . . . . . . . . . . . . . . . . . 18-16

18.13.3 Complete check vs. random sample. . . . . . . . . . . 18-16

18.13.4 How to make a record of the final check. . . . . . . . 18-16

18.13.5 Separate checks for each unit involved.. . . . . . . . 18-17

18.13.6 Amending the unit at a hearing. . . . . . . . . . . . . . . 18-17

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18.13.7 Considerations when reviewing a showing of interest

accompanying requests to intervene or a cross-petition

received too late for the region to process prior to the

opening of the hearing. . . . . . . . . . . . . . . . . . . . . . 18-18

18.13.8 Interventions, cross-petitions and challenges filed 

at the election agreement meeting or prior to the

Regional Director’s approval of the Agreement or

Direction of Election.. . . . . . . . . . . . . . . . . . . . . . . 18-19

18.14 Disputed size of unit.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-20

18.14.1 Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-20

18.14.2 Effect of a determination by the Regional Director that a

hearing is necessary. . . . . . . . . . . . . . . . . . . . . . . 18-21

18.14.3 Effect of finding an enlarged unit appropriate. . . . 18-21

18.15 Report on investigation of showing of interest. . . . . . . . . . . 18-23

18.15.1 Preparing FLRA Form 52 . . . . . . . . . . . . . . . . . . . 18-23

18.16 Regional determination on showing of interest. . . . . . . . . . 18-24

18.17 Ultimate disposition of evidence of interest. . . . . . . . . . . . . 18-24

18.18 Challenge to the adequacy of a showing of interest. . . . . . 18-24

18.18.1 Limitation on application of review.. . . . . . . . . . . . 18-24

18.18.2 Collateral attack.. . . . . . . . . . . . . . . . . . . . . . . . . . 18-24

18.19 Challenge to the validity of a showing of interest.. . . . . . . . 18-25

18.19.1 What is a challenge to the validity of a showing of

interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

18.19.2 Who may file a challenge to the validity of a showing 

of interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

18.19.3 When and where validity challenges may be filed. 18-25

18.19.4 Filing validity challenges received too late in the 

region to process prior to the opening of 

the hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

18.19.4.1 Attempt to litigate validity of the showing of interest 

at a hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

18.19.5 Filing validity challenges at the election agreement

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12 Representation Case Handling Manual
meeting or prior to the Regional Director’s approval of

the Election Agreement or Direction of Election. . 18-25

18.19.6 Contents of validity challenges. . . . . . . . . . . . . . . 18-26

18.19.7 Evidence supporting validity challenges. . . . . . . . 18-26

18.19.8 Service of validity challenges.. . . . . . . . . . . . . . . . 18-26

18.19.9 Basis of validity challenges. . . . . . . . . . . . . . . . . . 18-26

18.19.10Investigating validity challenges.. . . . . . . . . . . . . . . . . . . . . 18-26

18.19.11Report of investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26

18.19.12Form and content of final investigative report. . . . . . . . . . . 18-26

18.19.13Investigating unfair labor practice charges and challenges to the

validity of the showing of interest simultaneously. . . . . . . . 18-27

18.19.14Scope of investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-28

18.19.15Standard to be applied in determining the effect of improper

agency conduct on an election petition. . . . . . . . . . . . . . . . 18-28

18.19.15.1 Investigating allegations of improper agency

conduct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-29

18.19.15.2 Submitting the case for advice. . . . . . . . . . . . . . . 18-31

18.19.16 Guidelines when contacting the petitioner or intervenor

whose showing of interest is being challenged. . . 18-31

18.19.17 Action when there is no valid issue. . . . . . . . . . . . 18-31

18.19.18 Action when a valid issue is raised. . . . . . . . . . . . 18-32

18.19.19 Limitation on right of review.. . . . . . . . . . . . . . . . . 18-33

18.19.20 Record keeping. . . . . . . . . . . . . . . . . . . . . . . . . . . 18-33

18.19.21 Duration of listing.. . . . . . . . . . . . . . . . . . . . . . . . . 18-34

19 CHALLENGE TO THE STATUS OF A LABOR ORGANIZATION. . . 19-1

19.1 Basis for filing a challenge to the status of a labor 

organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

19.2 Definition of labor organization. . . . . . . . . . . . . . . . . . . . . . . 19-1

19.3 Who may file a challenge to the status of a labor organization.19-2

19.4 When and where validity challenges may be filed. . . . . . . . . 19-2

19.5 Challenge to the status of a labor organization received too late

for the region to investigate prior to the opening of the 

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hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-2

19.5.1 Timely receipt of challenge immediately prior to the

opening of the hearing. . . . . . . . . . . . . . . . . . . . . . . 19-2

19.5.2 Attempt to litigate challenge to status of a labor

organization at a hearing. . . . . . . . . . . . . . . . . . . . . 19-3

19.6 Filing status challenge at the election agreement meeting or prior

to the Regional Director’s approval of the Election Agreement or

Direction of Election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-3

19.7 Contents of status challenge. . . . . . . . . . . . . . . . . . . . . . . . . 19-4

19.8 Evidence supporting challenge to the status of a labor

organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

19.9 Service of challenge to the status of a labor organization. . . 19-4

19.10 Scope of investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

19.10.1 When the challenge strictly concerns compliance with 

5 U.S.C. 7103(a)(4). . . . . . . . . . . . . . . . . . . . . . . . . 19-4

19.10.2 Attempt to litigate noncompliance with 

5 U.S.C. 7111(f).. . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

19.10.3 Attempt to litigate noncompliance with 

5 U.S.C. 7111(e). . . . . . . . . . . . . . . . . . . . . . . . . . . 19-5

19.10.4 Attempt to litigate noncompliance with 

5 U.S.C. 7120. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-5

19.11 Contact with the labor organization whose status is being

challenged. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-6

19.12 Report of investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-6

19.13 Form and content of final investigative report. . . . . . . . . . . . 19-6

19.14 Action on challenge to status of a labor organization. . . . . . 19-7

19.15 Right of review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-7

19.16 Action pending review of a Decision and Order on a status

challenge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-7

REGIONAL INVESTIGATIONS AND ACTIONS

CHM 20 through CHM 28

20 PRELIMINARY INVESTIGATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-1

20.1 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-1

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14 Representation Case Handling Manual
20.1.1 General checklist for determining sufficiency of a petition. 20-1

20.1.2 Supplemental checklist for petitions seeking a

representation election. . . . . . . . . . . . . . . . . . . . . . 20-5

20.1.3 Supplemental checklist for petitions seeking a

determination of eligibility for dues allotment.. . . . . 20-6

20.1.4 Supplemental checklist for petitions seeking an election

to determine if employees in a unit no longer wish to be

represented for the purpose of collective bargaining by

an exclusive representative. . . . . . . . . . . . . . . . . . . 20-6

20.1.5 Supplemental checklist for petitions to clarify and/or

amend (1) a certification in effect; and/or (2) any matter

relating to representation.. . . . . . . . . . . . . . . . . . . . 20-7

20.1.6 Supplemental checklist for petitions to consolidate two or

more units in an agency and for which a labor

organization is the exclusive representative. . . . . . 20-9

20.1.7 Supplemental requirements for petitions that seek to

disclaim interest.. . . . . . . . . . . . . . . . . . . . . . . . . . 20-11

20.1.8 Supplemental checklist for petitions filed pursuant to 5

U.S.C. 7111 (f)(1) seeking to decertify an incumbent

labor organizations based on allegations that the labor

organization is subject to corrupt influences or influences

opposed to democratic principles. . . . . . . . . . . . . 20-11

20.2 Preliminary contact with petitioner in all cases. . . . . . . . . . 20-13

20.3 Identifying parties that may be affected by issues raised by the

petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-14

20.4 Preliminary contact with potential parties prior to opening the c20-14 ase.

20.4.1 Preliminary contact when the case cannot be 

opened.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-15

20.4.2 Preliminary contact with the employing activity/agency, 

if other than the petitioner, when the case can be opened. 20-15

20.4.3 Preliminary contact with labor organizations, agencies

and activities that may be affected by issues raised by

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Representation Case Handling Manual 15
the petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-16

20.5 Written notification of potential and automatic parties after

preliminary review of petition. . . . . . . . . . . . . . . . . . . . . . . . 20-16

20.5.1 Automatic parties.. . . . . . . . . . . . . . . . . . . . . . . . . 20-17

20.5.2 Potential parties.. . . . . . . . . . . . . . . . . . . . . . . . . . 20-17

20.6 Action after notification letters are sent. . . . . . . . . . . . . . . . 20-17

20.6.1 Outlining issues raised by the petition. . . . . . . . . . 20-17

20.6.2 Investigating the petition. . . . . . . . . . . . . . . . . . . . 20-18

20.7 Follow-up with petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . 20-18

20.8 Regional Director’s responsibility after notification. . . . . . . 20-18

20.9 Disclaimer of interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-19

20.9.1 Processing petitions where a labor organization 

files a disclaimer. . . . . . . . . . . . . . . . . . . . . . . . . . 20-20

20.9.2 Effect of disclaimer on petitions seeking an election 

in a unit currently represented by an incumbent. . 20-21

20.9.3 Effect of disclaimer on petitions that seek to clarify or

amend a matter relating to representation.. . . . . . 20-22

21 DUTY TO FURNISH INFORMATION.. . . . . . . . . . . . . . . . . . . . . . . . . 21-1

21.1 Agency’s or activity’s duty to provide a list of inclusions and

exclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21-1

21.2 Using subpoenas to obtain information. . . . . . . . . . . . . . . . . 21-1

22 COOPERATION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1

23 ISSUE IDENTIFICATION AND INVESTIGATIVE TECHNIQUES. . . . 23-1

23.1 Responsibility of Regional Director:. . . . . . . . . . . . . . . . . . . . 23-1

23.2 Identifying issues and developing a checklist for additional

information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-1

23.3 Basic requirements for resolving representation issues. . . . 23-1

23.4 Investigative procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

23.4.1 General policy:.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

23.5 Evidentiary considerations.. . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

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16 Representation Case Handling Manual
23.5.1 Choosing between documentary and testimonial

evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

23.5.2 Assessing the relevance and weight of evidence. . 23-5

23.5.3 Subpoenas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-6

23.6 Issues that may develop in petitions seeking an election, a

determination of eligibility for dues allotment, certain petitions that

seek to clarify or amend a matter relating to representation and

any petition seeking to consolidate existing units. . . . . . . . . 23-8

23.7 Unique issues in petitions seeking an election. . . . . . . . . . . 23-9

23.8 Unique issues in petitions requesting a determination of eligibility

for dues allotment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-10

23.9 Unique issues in petitions to clarify, and/or amend. . . . . . . 23-10

23.9.1 A certification in effect. . . . . . . . . . . . . . . . . . . . . . 23-10

23.9.2 Or any matter relating to representation. . . . . . . . 23-11

23.9.3 Petitions seeking to decertify the incumbent exclusive

representative pursuant to section 7111(f)(1). . . . 23-12

23.9.3.1 Basis for filing. . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-12

23.9.3.2 Processing guidelines. . . . . . . . . . . . . . . . . . . . . . 23-12

23.9.3.3 Office of the General Counsel clearance.. . . . . . . 23-16

23.9.3.4 Making a determination on the merits. . . . . . . . . . 23-16

23.10 Unique considerations in petitions to consolidate two or more

units in an agency and for which a labor organization is the

exclusive representative. . . . . . . . . . . . . . . . . . . . . . . . . . . 23-16

23.10.1 Bars. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-17

23.10.2 Disputes regarding authority to file unit consolidation

petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-18

23.10.3 Investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-18

23.10.4 Automatic parties.. . . . . . . . . . . . . . . . . . . . . . . . . 23-18

23.11 Requirement for an election in consolidation petitions. . . . 23-19

23.11.1 Employee request. . . . . . . . . . . . . . . . . . . . . . . . . 23-19

23.11.2 Agency or labor organization request. . . . . . . . . . 23-19

23.11.3 Professionals vote on consolidation. . . . . . . . . . . 23-19

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24 ISSUE ANALYSIS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-1

25 MEETINGS TO NARROW AND RESOLVE REPRESENTATION 

ISSUES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1

25.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1

25.2 Prefiling assistance pursuant to § 2422.13(a). . . . . . . . . . . . 25-1

25.3 Postfiling policy and requirements. . . . . . . . . . . . . . . . . . . . . 25-2

25.4 Meetings held pursuant to § 2422.13(b). . . . . . . . . . . . . . . . 25-2

25.4.1 When meetings are held. . . . . . . . . . . . . . . . . . . . . 25-2

25.4.2 Who may request a meeting. . . . . . . . . . . . . . . . . . 25-2

25.5 Primary objective of the meeting. . . . . . . . . . . . . . . . . . . . . . 25-2

25.6 Purpose of the meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-3

25.7 Matters that are not generally conducive to meetings conducted

pursuant to § 2422.13(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-3

25.8 Matters that are generally conducive to meetings conducted

pursuant to § 2422.13(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-4

25.9 Preparing and conducting the meeting. . . . . . . . . . . . . . . . . 25-5

25.9.1 Preparing for the meeting. . . . . . . . . . . . . . . . . . . . 25-5

25.9.2 Agenda for conducting the meeting.. . . . . . . . . . . . 25-6

25.10 Attendance.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-7

25.10.1 Attendance by Authority personnel. . . . . . . . . . . . . 25-7

25.10.2 Attendance by the parties. . . . . . . . . . . . . . . . . . . . 25-7

25.10.3 Failure to attend or cooperate. . . . . . . . . . . . . . . . . 25-7

25.11 Decorum issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-7

25.11.1 Agent’s demeanor towards parties. . . . . . . . . . . . . 25-7

25.11.2 Parties and witnesses. . . . . . . . . . . . . . . . . . . . . . . 25-8

25.12 If the agent is uncertain how to proceed. . . . . . . . . . . . . . . . 25-8

25.13 Caution.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-8

25.13.1 Deals versus solutions.. . . . . . . . . . . . . . . . . . . . . . 25-8

25.13.2 Communications with the parties.. . . . . . . . . . . . . . 25-9

25.13.3 Ex parte communications. . . . . . . . . . . . . . . . . . . . 25-9

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18 Representation Case Handling Manual
26 PREPARING AND PRESENTING A CASE FOR THE REGIONAL

DIRECTOR’S CONSIDERATION AND DECISION. . . . . . . . . . . . . . . 26-1

26.1 Checklist for determining whether a case is ready for 

decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-1

26.2 Case file documentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-5

26.2.1 Minimum requirements for case files.. . . . . . . . . . . 26-5

26.2.2 Specific requirements. . . . . . . . . . . . . . . . . . . . . . . 26-6

26.3 Predecisional investigative report. . . . . . . . . . . . . . . . . . . . . 26-7

26.4 Requirements for agenda meeting:. . . . . . . . . . . . . . . . . . . . 26-9

26.4.1 Requirements for agenda minutes. . . . . . . . . . . . . 26-9

26.4.2 Contents of an agenda minute. . . . . . . . . . . . . . . . 26-9

27 REGIONAL DIRECTOR DETERMINATION AND ACTIONS. . . . . . . 27-1

27.1 General policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

27.2 Responsibility fixed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

27.3 General determinations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

27.4 Regional Director actions That Do Not Require a Hearing. . 27-2

27.4.1 Approve. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-2

27.4.2 Issue a certification, clarification, amendment or

revocation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-2

27.4.3 Deny a challenge to the validity of a showing of 

interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-3

27.4.4 Establish election procedures. . . . . . . . . . . . . . . . . 27-3

27.4.5 Issue a Decision and Order. . . . . . . . . . . . . . . . . . . 27-3

27.4.6 Approve a request to withdraw the petition or intervention

request.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-4

27.4.6.1 Solicited withdrawal. . . . . . . . . . . . . . . . . . . . . . . . . 27-4

27.4.6.2 Unsolicited withdrawal. . . . . . . . . . . . . . . . . . . . . . . 27-4

27.4.6.3 Notification to parties. . . . . . . . . . . . . . . . . . . . . . . . 27-4

27.4.6.4 Withdrawal with prejudice. . . . . . . . . . . . . . . . . . . . 27-5

27.5 Notice of Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-5

27.5.1 Section 2422.16(c) requirement. . . . . . . . . . . . . . . 27-5

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27.5.2 Section 2422.30(b) requirement. . . . . . . . . . . . . . . 27-5

27.5.3 Background. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-5

27.6 Policy considerations that may warrant a hearing. . . . . . . . . 27-6

27.7 Stipulations in lieu of hearings. . . . . . . . . . . . . . . . . . . . . . . . 27-6

27.7.1 Waiving hearings by entering into election 

agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-6

27.7.2 Waiving hearings by entering into a 

stipulation of facts. . . . . . . . . . . . . . . . . . . . . . . . . . 27-7

28 ELECTION AGREEMENTS OR DIRECTED ELECTIONS. . . . . . . . . 28-1

28.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1

28.2 Election agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-2

28.3 Priority. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-2

28.4 Purpose of election agreements. . . . . . . . . . . . . . . . . . . . . . 28-3

28.5 Forms.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

28.6 Responsibility and role of the Regional Office. . . . . . . . . . . . 28-3

28.6.1 Role. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

28.6.2 Responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

28.7 Participating in and scheduling of election conference. . . . . 28-5

28.8 Decision to supervise or conduct the election. . . . . . . . . . . . 28-5

28.9 Preparation for the meeting. . . . . . . . . . . . . . . . . . . . . . . . . . 28-7

28.9.1 Appropriate unit considerations. . . . . . . . . . . . . . . . 28-7

28.9.2 Eligibility matters. . . . . . . . . . . . . . . . . . . . . . . . . . . 28-7

28.9.3 Work schedules of employees. . . . . . . . . . . . . . . . 28-8

28.9.4 Service of information. . . . . . . . . . . . . . . . . . . . . . . 28-8

28.10 Refusal by a party to participate in the election agreement

conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-9

28.11 Section 2422.16 requirements.. . . . . . . . . . . . . . . . . . . . . . . 28-9

28.11.1 Section 2422.16(b). . . . . . . . . . . . . . . . . . . . . . . . . 28-9

28.11.2 Section 2422.16(c). . . . . . . . . . . . . . . . . . . . . . . . 28-11

28.11.3 Policy on providing an opportunity for a hearing. . 28-13

28.11.3.1 Stipulations in lieu of hearings.. . . . . . . . . . . . . . . 28-13

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28.11.3.2 Waiving a hearing in order to proceed to an 

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-14

28.11.3.3 Procedures for resolving eligibility issues without hearing. 28-14

28.12 Direction of Election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-19

28.12.1 Unit found appropriate by the Regional Director. . 28-19

28.12.2 Direction of Election on § 2422.16(b) procedural 

matters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-19

28.12.3 Direction of Election on § 2422.16(c)(2): other than

procedural matters.. . . . . . . . . . . . . . . . . . . . . . . . 28-19

28.12.4 Challenges or objections to a directed election. . . 28-20

28.13 Basic requirements for unit descriptions in election 

agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-20

28.13.1 Appropriate unit criteria. . . . . . . . . . . . . . . . . . . . . 28-20

28.13.2 Required exclusions. . . . . . . . . . . . . . . . . . . . . . . 28-21

28.13.3 Formats for stating the standard statutory

exclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-22

28.14 Describing the unit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-23

28.14.1 Differences in the caption and the unit description 

on the certification.. . . . . . . . . . . . . . . . . . . . . . . . . 28-23

28.14.2 Level of recognition. . . . . . . . . . . . . . . . . . . . . . . . 28-23

28.14.2.1 Agent’s responsibility. . . . . . . . . . . . . . . . . . . . . . . 28-24

28.14.2.2 Ramifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-24

28.14.2.3 Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-24

28.14.3 Carefully drawn unit descriptions. .. . . . . . . . . . . . 28-25

28.14.4 Use of current classifications and effect of drafting 

unit description too broadly or narrowly.. . . . . . . . 28-25

28.14.5 Use of names of employees. . . . . . . . . . . . . . . . . 28-26

28.14.6 Use of vague or unclear phrases.. . . . . . . . . . . . . 28-26

28.15 Details on special voting procedures for self-determination

elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-26

28.15.1 Considerations when establishing units involving

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professional employees.. . . . . . . . . . . . . . . . . . . . 28-27

28.15.1.1 Unique situations involving professional employees in

petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-29

28.15.2 Inclusion of unrepresented professional employees in an

existing unit of nonprofessional employees.. . . . . 28-30

28.15.3 Inclusion of residual nonprofessional employees in an

existing unit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-31

28.15.4 Residual elections involving two groups and two 

unions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-32

28.15.5 Other types of self-determination elections. . . . . . 28-32

28.15.6 Severance elections. . . . . . . . . . . . . . . . . . . . . . . 28-33

28.16 Add-on elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-33

28.16.1 Policy considerations in add-ons to consolidated 

units. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-34

28.16.1.1 Local union files a petition. . . . . . . . . . . . . . . . . . . 28-34

28.16.1.2 Petition filed to add professionals to a consolidated 

unit of professionals and nonprofessionals. . . . . . 28-34

28.16.2 Appendix to Election Agreement. . . . . . . . . . . . . . 28-34

28.16.3 Certifications for inclusion in existing unit. . . . . . . 28-34

28.17 Elections to consolidate existing units. . . . . . . . . . . . . . . . . 28-34

28.17.1 Parties do not agree on election procedures:. . . . 28-35

28.17.2 Limitations on employee participation.. . . . . . . . . 28-35 

28.17.3 Election procedures.. . . . . . . . . . . . . . . . . . . . . . . 28-35

28.17.4 Requiring elections when consolidating professional

employees into mixed units. . . . . . . . . . . . . . . . . . 28-35

28.17.5 Types of consolidation elections. . . . . . . . . . . . . . 28-36

28.18 Details of the election agreement form. . . . . . . . . . . . . . . . 28-37

28.18.1 Names of parties. . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

28.18.2 Positions on the ballot. . . . . . . . . . . . . . . . . . . . . . 28-38

28.18.3 Eligibility period for participating in the election and

preparation of voting list. . . . . . . . . . . . . . . . . . . . 28-39

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22 Representation Case Handling Manual
28.18.3.1 Eligibility.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-39

28.18.3.2 Employment during the designated payroll period. 28-40

28.18.3.3 Posting of eligibility list.. . . . . . . . . . . . . . . . . . . . . 28-40

28.18.3.4 Reviewing the eligibility list at the election agreement

meeting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-40

28.18.3.5 Impact of the parties agreement on the eligibility list on

future eligibility issues. . . . . . . . . . . . . . . . . . . . . . 28-41

28.18.3.6 Contents of eligibility list. . . . . . . . . . . . . . . . . . . . 28-42

28.18.3.7 Updating the list before the election. . . . . . . . . . . 28-43

28.19 Considerations in deciding the type of election. . . . . . . . . . 28-43

28.20 Manual ballot procedures.. . . . . . . . . . . . . . . . . . . . . . . . . . 28-43

28.20.1 Date of manual ballot election. . . . . . . . . . . . . . . . 28-43

28.20.2 Date of election following Decision and Order and

Direction of Election.. . . . . . . . . . . . . . . . . . . . . . . 28-43

28.20.3 Selection of hours. . . . . . . . . . . . . . . . . . . . . . . . . 28-44

28.20.3.1 Multiple voting periods.. . . . . . . . . . . . . . . . . . . . . 28-44

28.20.3.2 Scheduling election when polling hours cannot 

be set.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-45

28.21 Selection of place to hold election. . . . . . . . . . . . . . . . . . . . 28-45

28.21.1 Multiple polling places. . . . . . . . . . . . . . . . . . . . . . 28-45

28.22 Policy on voter identification. . . . . . . . . . . . . . . . . . . . . . . . 28-46

28.23 Mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-47

28.23.1 Eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-47

28.23.2 Eligibility statement and signature. . . . . . . . . . . . . 28-48

28.23.3 Use of key numbers.. . . . . . . . . . . . . . . . . . . . . . . 28-48

28.23.4 Material accompanying the mail ballot.. . . . . . . . . 28-49

28.23.5 Alerting regional staff.. . . . . . . . . . . . . . . . . . . . . . 28-49

28.24 Mixed manual and mail ballot election. . . . . . . . . . . . . . . . . 28-49

28.25 Absentee ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-50

28.26 Custody of ballots between voting sessions. . . . . . . . . . . . 28-51

28.27 Tally of ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

28.28 Service of the tally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

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28.29 Processing elections during appeal period or while appeal is

pending. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

28.29.1 Authority action after an application for review is

filed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

28.29.2 If the Authority denies a request for a stay. . . . . . 28-52

28.29.3 Regional Directors are not authorized to impound ballots

on their own initiative. . . . . . . . . . . . . . . . . . . . . . . 28-52

28.30 Waiver of right to file an application for review. . . . . . . . . . 28-52

28.31 Side agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-53

28.32 Election Agreement obtained immediately preceding or 

during a hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-53

28.33 Election agreements obtained after the close of a hearing. 28-53

28.34 Interventions, cross-petitions and challenges filed at the 

election agreement meeting or prior to the Regional Director’s

approval of the Agreement or Direction of Election. . . . . . . 28-53

28.34.1 Interventions or cross-petitions. . . . . . . . . . . . . . . 28-53

28.34.2 Validity challenges.. . . . . . . . . . . . . . . . . . . . . . . . 28-54

28.34.3 Status challenges. . . . . . . . . . . . . . . . . . . . . . . . . 28-54

28.35 Forwarding the Election Agreement to the Regional Director 

for approval. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-56

28.35.1 Action by Regional Director. . . . . . . . . . . . . . . . . . 28-56

28.35.2 Action upon approval of Agreement and/or Issuance 

of Direction of Election.. . . . . . . . . . . . . . . . . . . . . 28-56

28.35.3 Regional Director may revoke approval of Election

Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-57

28.36 Pre-election rulings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-57

28.37 Withdrawal from election agreements. . . . . . . . . . . . . . . . . 28-57

28.37.1 Effect on timeliness of refiling. . . . . . . . . . . . . . . . 28-57

28.37.1.1 Withdrawal by petitioner. . . . . . . . . . . . . . . . . . . . 28-57

28.37.1.2 Withdrawal by incumbent. . . . . . . . . . . . . . . . . . . 28-57

28.37.2 Effect on processing. . . . . . . . . . . . . . . . . . . . . . . 28-58

28.37.2.1 Intervenor withdrawal from ballot.. . . . . . . . . . . . . 28-58

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28.37.2.2 Incumbent withdrawal from ballot in an election to

decertify an incumbent representative.. . . . . . . . . 28-58

28.37.2.3 Petitioner withdraws from ballot in an election.. . . 28-58

HEARINGS

CHM 29 through CHM 31

29 NOTICE OF REPRESENTATION HEARING.. . . . . . . . . . . . . . . . . . . 29-1

29.1 Purpose of notice of representation hearing. . . . . . . . . . . . . 29-1

29.2 Contents.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-1

29.2.1 FLRA Form 46. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-1

29.3 Materials to accompany notice of hearing. . . . . . . . . . . . . . . 29-2

29.4 Assigning the Hearing Officer. . . . . . . . . . . . . . . . . . . . . . . . 29-3

29.5 Hearing logistics.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-3

29.5.1 Obtaining a court reporter. . . . . . . . . . . . . . . . . . . . 29-3

29.5.2 Arranging for the hearing room. . . . . . . . . . . . . . . . 29-3

29.6 Serving the notice of hearing. . . . . . . . . . . . . . . . . . . . . . . . . 29-4

29.7 Scheduling and conducting hearings on § 2422.16(c) matters

unrelated to unit appropriateness. . . . . . . . . . . . . . . . . . . . . 29-4

29.7.1 Issuing the Notice of Representation Hearing. . . . . 29-4

29.7.2 Issuing the Direction of Election. . . . . . . . . . . . . . . 29-4

29.8 Prehearing procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-4

29.8.1 Amending the notice of hearing.. . . . . . . . . . . . . . . 29-4

29.8.2 Petition amended subsequent to notice of hearing. 29-5

29.8.3 Order setting time or location of hearing. . . . . . . . . 29-5

29.8.4 Prehearing motions to postpone. . . . . . . . . . . . . . . 29-5

29.8.5 Consolidation of cases within a region. . . . . . . . . . 29-6

29.8.6 Transfer and consolidation of cases in different 

regions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-6

29.8.7 Severance of cases. . . . . . . . . . . . . . . . . . . . . . . . . 29-6

29.9 Prehearing conference.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-6

29.10 Withdrawal of notice of hearing. . . . . . . . . . . . . . . . . . . . . . . 29-6

29.10.1 Request to withdraw petition. . . . . . . . . . . . . . . . . . 29-6

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29.10.2 Withdrawal upon motion of Regional Director. . . . . 29-7

29.10.3 Withdrawal prior to dismissal of petition. . . . . . . . . 29-8

29.10.4 Approval of an election agreement. . . . . . . . . . . . . 29-8

29.11 Notice of hearing on remand. . . . . . . . . . . . . . . . . . . . . . . . . 29-8

30 HEARING PROCEDURES.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30-1

31 POSTHEARING MATTERS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-1

31.1 Contents of the record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-1

31.2 Regional agenda meeting. . . . . . . . . . . . . . . . . . . . . . . . . . . 31-1

31.3 Requests for additional time to file briefs.. . . . . . . . . . . . . . . 31-1

31.4 Assignment of personnel to draft the Decision and Order. . . 31-2

31.5 Post hearing motions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-2

31.6 Correcting the transcript.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-2

31.7 Election agreements obtained after the close of a hearing. . 31-3

31.8 Regional Director’s Decision and Order after the close of the

hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-3

31.9 Regional Director’s Decision and Order in § 2422.16(c)(1) matters 31-3.

ELECTION PROCEDURES

CHM 32 through CHM 48

32 STATUTORY BASIS FOR ELECTIONS. . . . . . . . . . . . . . . . . . . . . . . 32-1

32.1 Policy to conduct elections.. . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

32.2 Secret ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

32.3 Requirements.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

33 NOTICE OF ELECTION.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-1

33.1 Preparation and distribution of the notice of election.. . . . . . 33-1

33.2 Contents of the notice of election.. . . . . . . . . . . . . . . . . . . . . 33-1

33.3 Responsibility for printing notices. . . . . . . . . . . . . . . . . . . . . 33-3

33.4 Distribution of the notice of election.. . . . . . . . . . . . . . . . . . . 33-3

33.4.1 Number of notices. . . . . . . . . . . . . . . . . . . . . . . . . . 33-3

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33.4.2 Distribution of notices other than by posting. . . . . . 33-3

33.5 Posting period. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-3

33.5.1 Manual ballot elections. . . . . . . . . . . . . . . . . . . . . . 33-3

33.5.2 Mail ballot or mixed mail/manual ballot elections.. . 33-3

33.6 Defaced Notices.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

33.7 Foreign languages. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

33.8 Separate notices of election in self-determination elections. 33-4

33.9 Service of notice of election of all parties.. . . . . . . . . . . . . . . 33-4

33.10 Posting eligibility lists. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

33.11 Investigating the posting. . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-5

33.12 Sample ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-5

34 BALLOT PREPARATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

34.1 Question(s) on the ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

34.2 Shortened name request. . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

34.3 Places on the ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

34.4 Ballot formats.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-2

34.5 Color of the ballot.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-3

35 PREPARATION AND CHECKING OF ELIGIBILITY LIST. . . . . . . . . 35-1

35.1 Discussion at election agreement meeting or teleconference. 35-1

35.2 Preparation of the list for the election:. . . . . . . . . . . . . . . . . . 35-1

35.3 Providing a copy of the updated eligibility list. . . . . . . . . . . . 35-2

35.4 Agent’s responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35-2

35.4.1 Resolution of eligibility issues. . . . . . . . . . . . . . . . . 35-2

35.5 Last minute update. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35-3

36 AUTHORITY PERSONNEL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

36.1 Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

36.2 Role. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

36.3 Determining the number of Authority personnel. . . . . . . . . . 36-2

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37 OBSERVERS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

37.1 Function. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

37.2 Number. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

37.3 Request for observers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-2

37.4 Eligibility to act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-2

37.5 Military personnel on active duty. . . . . . . . . . . . . . . . . . . . . . 37-3

37.6 Head observer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

37.7 Waiver of right to have an observer.. . . . . . . . . . . . . . . . . . . 37-3

37.8 Mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

37.9 Instructing the observers. . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

38 EQUIPMENT AND POLLING PLACE. . . . . . . . . . . . . . . . . . . . . . . . . 38-1

38.1 Election kit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-1

38.2 Equipment maintained in the Regional Office. . . . . . . . . . . . 38-1

38.3 Voting booths.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

38.4 Equipment for a specific election. . . . . . . . . . . . . . . . . . . . . . 38-2

38.5 Size and arrangement of polling place.. . . . . . . . . . . . . . . . . 38-3

38.6 Ballot box. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-3

39 PREOPENING PROCEDURES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

39.1 Checking the voting site.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

39.2 Checking the equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

39.3 Posting Voting Place signs. . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

39.4 Checking the Notice of Election.. . . . . . . . . . . . . . . . . . . . . . 39-1

39.5 Distribution of badges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

39.6 Reviewing the eligibility list and last minute updates. . . . . . . 39-2

39.7 Instructions to Observers.. . . . . . . . . . . . . . . . . . . . . . . . . . . 39-2

39.8 Outside representatives.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-4

39.9 Constructing the ballot box. . . . . . . . . . . . . . . . . . . . . . . . . . 39-4

39.10 Voters who arrive before opening of the polls. . . . . . . . . . . . 39-5

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40 CONDUCTING THE ELECTION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.1 Opening the polls.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.2 Announcements on intercom or e-mail. . . . . . . . . . . . . . . . . 40-1

40.3 Releasing employees to vote.. . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.4 Entering the polling area. . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.5 Procedure at check-in table. . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.5.1 Voter identification. . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

40.5.2 Marking the list.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-2

40.6 Releasing the ballot to the voter. . . . . . . . . . . . . . . . . . . . . . 40-2

40.6.1 Instructing the voter. . . . . . . . . . . . . . . . . . . . . . . . . 40-2

40.6.2 Spoiled ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3

40.7 Proceeding to the voting booth. . . . . . . . . . . . . . . . . . . . . . . 40-3

40.8 Depositing the ballot into the ballot box. . . . . . . . . . . . . . . . . 40-3

40.9 Assisting handicapped voters. . . . . . . . . . . . . . . . . . . . . . . . 40-3

40.10 Safeguarding the ballot box. . . . . . . . . . . . . . . . . . . . . . . . . . 40-4

40.10.1 Ballot box(es).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-4

40.10.2 Sealing the ballot box. . . . . . . . . . . . . . . . . . . . . . . 40-4

40.10.3 Custody between voting periods. . . . . . . . . . . . . . . 40-4

40.11 Closing the polls.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-5

40.12 Sealing the ballot box and the unused ballots. . . . . . . . . . . . 40-5

40.13 Certification of conduct of election.. . . . . . . . . . . . . . . . . . . . 40-5

40.14 Securing other election supplies. . . . . . . . . . . . . . . . . . . . . . 40-6

40.15 Transferring ballots from ballot box. . . . . . . . . . . . . . . . . . . . 40-6

41 MULTIPLE VOTING SITE ELECTIONS. . . . . . . . . . . . . . . . . . . . . . . 41-1

41.1 Fixed sites. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41-1

41.2 Traveling elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41-1

42 SPLIT SESSION ELECTIONS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42-1

43 CONDUCTING MAIL BALLOT ELECTIONS.. . . . . . . . . . . . . . . . . . . 43-1

43.1 Materials required for the mail-out. . . . . . . . . . . . . . . . . . . . . 43-1

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43.1.1 Notice of Election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-1

43.1.2 Instructions to Eligible Employees Voting by U.S. Mail,

FLRA Doc. 1013. . . . . . . . . . . . . . . . . . . . . . . . . . . 43-1

43.1.3 Official secret ballot. . . . . . . . . . . . . . . . . . . . . . . . . 43-1

43.1.4 Secret ballot envelope. . . . . . . . . . . . . . . . . . . . . . . 43-1

43.1.5 Return business reply envelope with signature statement

and return address. . . . . . . . . . . . . . . . . . . . . . . . . 43-1

43.1.6 Envelope to mail election package to the voter. . . . 43-2

43.2 Eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

43.3 Conducting the mail-out. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

43.4 Certification of conduct of election.. . . . . . . . . . . . . . . . . . . . 43-3

43.5 Depositing the mail ballot packages in the U.S. Mail. . . . . . . 43-3

43.6 Posting the Notice of Election. . . . . . . . . . . . . . . . . . . . . . . . 43-3

43.7 Mixed mail/manual ballot elections. . . . . . . . . . . . . . . . . . . . 43-3

43.8 Ballots returned by the post office as “undeliverable”. . . . . . 43-3

43.9 Securing returned mail ballots before the count. . . . . . . . . . 43-4

43.10 Counting mail ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-4

44 CHALLENGED BALLOT PROCEDURE. . . . . . . . . . . . . . . . . . . . . . . 44-1

44.1 Purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-1

44.2 Filing challenges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-1

44.3 Basis for challenge.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-1

44.4 Who may challenge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-2

44.4.1 Manual ballot election. . . . . . . . . . . . . . . . . . . . . . . 44-2

44.4.2 Mail ballot election. . . . . . . . . . . . . . . . . . . . . . . . . . 44-2

44.5 When to challenge at a manual election. . . . . . . . . . . . . . . . 44-3

44.6 Challenge ballot procedure. . . . . . . . . . . . . . . . . . . . . . . . . . 44-3

44.6.1 Marking the eligibility list. . . . . . . . . . . . . . . . . . . . . 44-3

44.6.2 Completing the challenged ballot envelope.. . . . . . 44-4

44.6.3 Instructing the voter. . . . . . . . . . . . . . . . . . . . . . . . . 44-4

44.7 Voter's name found already marked. . . . . . . . . . . . . . . . . . . 44-4

44.8 Notation of potential challenges.. . . . . . . . . . . . . . . . . . . . . . 44-5

44.9 Merit of challenge or eligibility may not be argued. . . . . . . . . 44-5

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44.10 Mail ballot voting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-5

44.11 Mixed mail/manual ballot election. . . . . . . . . . . . . . . . . . . . . 44-5

44.12 Resolving challenged ballots. . . . . . . . . . . . . . . . . . . . . . . . . 44-5

45 HANDLING CHALLENGING SITUATIONS.. . . . . . . . . . . . . . . . . . . . 45-1

46 ELECTIONEERING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

46.1 Agency’s role and pre-election campaign side agreements. 46-1

46.1.1 Agency’s role. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

46.1.2 Pre-election campaign side agreements. . . . . . . . . 46-1

46.2 Observer rules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

46.2.1 Insignia. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

46.2.2 Electioneering by observers. . . . . . . . . . . . . . . . . . 46-1

46.3 Voters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-2

46.4 Area around polling place. . . . . . . . . . . . . . . . . . . . . . . . . . . 46-2

46.5 Distribution of literature and sound trucks. . . . . . . . . . . . . . . 46-2

47 TALLY OF BALLOTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1

47.1 Valid ballots cast. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1

47.2 Designating the time and place for the tally.. . . . . . . . . . . . . 47-1

47.3 Arranging the layout.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-2

47.4 Persons present in the room. . . . . . . . . . . . . . . . . . . . . . . . . 47-2

47.5 Who conducts the tally.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-2

47.6 Pre-tally resolution of challenged ballots. . . . . . . . . . . . . . . . 47-2

47.6.1 Role of agent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-3

47.6.2 Consequences of the parties’ agreement. . . . . . . . 47-3

47.7 Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-4

47.7.1 Opening the ballot boxes.. . . . . . . . . . . . . . . . . . . . 47-4

47.7.2 Separating the challenged ballots by voting groups. 47-4

47.7.3 Conferring about the challenged ballots. . . . . . . . . 47-5

47.7.4 Disposition of challenged ballot materials. . . . . . . . 47-7

47.8 Tallying the ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-8

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47.8.1 Removal of ballots from ballot box.. . . . . . . . . . . . . 47-8

47.8.2 Mechanics of tallying. . . . . . . . . . . . . . . . . . . . . . . . 47-8

47.8.2.1 Preliminary announcements and instructions. . . . . 47-8

47.8.3 Informal method.. . . . . . . . . . . . . . . . . . . . . . . . . . . 47-9

47.8.4 Formal method. . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-9

47.8.5 Verifying the tally. . . . . . . . . . . . . . . . . . . . . . . . . . . 47-9

47.9 Tallying mail ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-10

47.9.1 Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-10

47.9.2 Timely receipt of mail ballots. . . . . . . . . . . . . . . . . 47-10

47.9.3 Counting ballots in an all-mail ballot election.. . . . 47-11

47.9.4 Counting ballots in a mixed mail/manual ballot 

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-11

47.10 Construing ballot markings. . . . . . . . . . . . . . . . . . . . . . . . . 47-12

47.11 Professional-nonprofessional elections. . . . . . . . . . . . . . . . 47-13

47.12 Other types of self-determination elections where votes are

pooled. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-13

47.13 Inclusion of unrepresented professional employees in existing unit

of nonprofessional employees. . . . . . . . . . . . . . . . . . . . . . . 47-14

47.14 Inclusion of nonprofessional employees in existing unit of

nonprofessional employees. . . . . . . . . . . . . . . . . . . . . . . . . 47-15

47.15 Severance elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-15

47.16 Issuing the tally of ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . 47-15

47.16.1 Completing the tally form.. . . . . . . . . . . . . . . . . . . 47-15

47.16.2 Signing the tally. . . . . . . . . . . . . . . . . . . . . . . . . . . 47-16

47.16.3 Service of the Tally. . . . . . . . . . . . . . . . . . . . . . . . 47-16

47.16.4 Refusal to accept service of the Tally. . . . . . . . . . 47-17

47.17 Indeterminate results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-17

47.17.1 Determinative challenged ballots.. . . . . . . . . . . . . 47-17

47.17.2 Determinative challenged ballots in self-determination

elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-19

47.17.3 Indeterminate results requiring a runoff election. . 47-20

47.17.4 Indeterminate results due to an inconclusive 

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-20

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47.18 Post-tally party resolution.. . . . . . . . . . . . . . . . . . . . . . . . . . . 47-21

47.18.1 Role of agent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-21

47.18.2 The effect of the parties’ agreement. . . . . . . . . . . . 47-22

47.18.3 Post-tally resolution of determinative challenged 

ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-22

47.19 Procedures for securing determinative challenged ballots. . 47-23

48 CONDUCTING RUNOFF AND RERUN ELECTIONS. . . . . . . . . . . . . . 48-1

48.1 Runoff elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

48.1.1 What is a runoff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

48.1.2 Examples of a runoff election. . . . . . . . . . . . . . . . . . 48-1

48.1.3 What happens in a runoff. . . . . . . . . . . . . . . . . . . . . 48-1

48.1.4 Eligibility to vote in a runoff. . . . . . . . . . . . . . . . . . . . 48-1

48.1.5 Eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

48.1.6 Election Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

48.1.7 Notice of runoff election.. . . . . . . . . . . . . . . . . . . . . . 48-2

48.1.8 Ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

48.1.9 When a runoff is held. . . . . . . . . . . . . . . . . . . . . . . . 48-2

48.1.10 Conducting the runoff election.. . . . . . . . . . . . . . . . . 48-3

48.1.11 Results.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-3

48.1.12 Objection period for runoff election. . . . . . . . . . . . . . 48-3

48.1.13 Period of time for filing objections to a runoff. . . . . . 48-3

48.2 Rerun elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-4

48.2.1 What is an inconclusive election. . . . . . . . . . . . . . . . 48-4

48.2.2 Examples of an inconclusive election. . . . . . . . . . . . 48-4

48.2.3 What happens when there is an inconclusive 

election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-5

48.2.4 Inconclusive elections based on § 2422.29(a)(4). . . 48-5

48.2.5 Investigating and taking action on significant 

procedural irregularities. . . . . . . . . . . . . . . . . . . . . . . 48-5

48.2.6 What happens when the Regional Director determines

that there have been significant procedural irregularities

and objections are filed. . . . . . . . . . . . . . . . . . . . . . . 48-6

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48.2.7 Eligibility to vote in a rerun election. . . . . . . . . . . . . . 48-6

48.2.8 Eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-6

48.2.9 Election Agreement. . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.9.1 Inconclusive election. . . . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.9.2 Rerun based on sustained objections to the election. 48-7

48.2.10 Ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.11 Notice of rerun election. . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.12 When a rerun is held. . . . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.12.1 Inconclusive election. . . . . . . . . . . . . . . . . . . . . . . . . 48-7

48.2.12.2 Rerun based on valid objections. . . . . . . . . . . . . . . . 48-7

48.2.13 Conducting the rerun. . . . . . . . . . . . . . . . . . . . . . . . . 48-8

48.2.14 Results.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-8

48.2.15 Further elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-8

48.2.15.1 Inconclusive results. . . . . . . . . . . . . . . . . . . . . . . . . . 48-8

48.2.15.2 Rerun based on sustained objections. . . . . . . . . . . . 48-8

OBJECTIONS AND DETERMINATIVE CHALLENGED BALLOTS

CHM 49 through CHM 52

49 INVESTIGATION AND DISPOSITION OF DETERMINATIVE

CHALLENGED BALLOTS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-1

49.1 Basis for investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-1

49.2 Nature and scope of investigation. . . . . . . . . . . . . . . . . . . . . . 49-1

49.3 Investigation procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-1

49.4 Authority to conduct a hearing. . . . . . . . . . . . . . . . . . . . . . . . . 49-2

49.5 Resolution by agreement and stipulation.. . . . . . . . . . . . . . . . 49-3

49.6 Regional Director Decision and Order. . . . . . . . . . . . . . . . . . . 49-3

49.7 Waiver of right to file an application for review. . . . . . . . . . . . 49-4

49.8 Procedures for handling determinative challenged ballots after

Regional Director’s decision. . . . . . . . . . . . . . . . . . . . . . . . . . 49-4

49.9 Revised tally of ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-4

50 OBJECTIONS TO THE ELECTION.. . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1

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34 Representation Case Handling Manual
50.1 Filing objections to the election. . . . . . . . . . . . . . . . . . . . . . . . 50-1

50.2 Action where no objections are filed but the Regional Director

believes that significant procedural irregularities exist.. . . . . . 50-1

50.2.1 Action on objections when the Regional Director

determines that there have been significant procedural

irregularities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1

50.3 Timeliness of objections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1

50.4 Supporting evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

50.5 Service requirements.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

50.6 Letter to other parties.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

50.7 Burden of proof. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

50.8 Who may file objections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

50.8.1 Issues concerning standing to file objections. . . . . . 50-3

50.8.2 Action.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-3

50.9 Standard for determining whether conduct is of an objectionable

nature.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-4

50.9.1 Period of time when conduct may be the basis for an

objection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-4

50.9.2 Runoff elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-4

50.10 Scope of investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-5

50.10.1 Limitations on the scope of the objecting party's

evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-5

50.10.2 Investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-5

50.11 Authority to conduct a hearing. . . . . . . . . . . . . . . . . . . . . . . . . 50-6

50.12 Withdrawal of objections or agreement to rerun election.. . . . 50-6

50.13 Regional Director Decision and Order on Objections. . . . . . . 50-7

50.14 The Regional Director decides all objections.. . . . . . . . . . . . . 50-7

50.15 Waiver of right to file an application for review. . . . . . . . . . . . 50-7

50.16 Investigation of and Decision and Order on objections and

determinative challenged ballots. . . . . . . . . . . . . . . . . . . . . . . 50-7

51 HEARINGS ON OBJECTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1

51.1 General. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1

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51.2 Notice of hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1

51.3 Conducting the hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1

51.4 Hearing Officer’s Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1

51.5 Consolidated hearing on objections and/or determinative

challenged ballots and an unfair labor practice complaint. . . . 51-2

52 HEARINGS ON DETERMINATIVE CHALLENGED BALLOTS. . . . . . 52-1

52.1 Duties of the Hearing Officer. . . . . . . . . . . . . . . . . . . . . . . . . . 52-1

52.2 Stipulations on the record. . . . . . . . . . . . . . . . . . . . . . . . . . . . 52-1

52.3 Outlining the issues on the record. . . . . . . . . . . . . . . . . . . . . . 52-1

52.4 Obtaining the record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52-2

52.5 Hearing Officer’s Report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52-2

REGIONAL DIRECTOR DECISIONS AND ORDERS, 

APPLICATIONS FOR REVIEW, POSTDECISIONAL ACTIONS

CHM 53 through CHM 55

53 REGIONAL DIRECTOR DECISIONS AND ORDERS. . . . . . . . . . . . . . 53-1

53.1 General guidelines.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-1

53.2 Purposes of a Decision and Order.. . . . . . . . . . . . . . . . . . . . . 53-1

53.3 Contents of a Decision and Order. . . . . . . . . . . . . . . . . . . . . . 53-4

53.4 Basic outline of a Decision and Order. . . . . . . . . . . . . . . . . . . 53-4

53.5 Decision and Order and Direction of Election. . . . . . . . . . . . . 53-7

53.6 Decision and Order on Objections.. . . . . . . . . . . . . . . . . . . . . 53-8

53.7 Decision and Order on Determinative Challenged Ballots.. . . 53-9

53.8 Decision and Order on Objections and Determinative 

Challenged Ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-9

53.9 Service of a Decision and Order. . . . . . . . . . . . . . . . . . . . . . . 53-9

53.10 Waiver of right to file application for review. . . . . . . . . . . . . . . 53-9

54 APPLICATION FOR REVIEW OF A REGIONAL DIRECTOR DECISION

AND ORDER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-1

54.1 Contents of the record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-1

54.2 Filing an application for review.. . . . . . . . . . . . . . . . . . . . . . . . 54-2

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36 Representation Case Handling Manual
54.3 Contents of applications for review. . . . . . . . . . . . . . . . . . . . . 54-2

54.4 Grounds for review.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-2

54.5 Amicus briefs to the Authority. . . . . . . . . . . . . . . . . . . . . . . . . 54-2

54.6 Opposition to application for review. . . . . . . . . . . . . . . . . . . . . 54-3

54.7 Regional Director Decision and Order becomes the Authority's

action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-3

55 REGIONAL ACTION SUBSEQUENT TO THE REGIONAL DIRECTOR’S

DECISION AND ORDER. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-1

55.1 Considerations when scheduling elections or taking other action

during the sixty day appeal period. . . . . . . . . . . . . . . . . . . . . . 55-1

55.1.1 Actions that constitute final actions by the Authority and

are deferred. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-1

55.1.2 Elections are not deferred. . . . . . . . . . . . . . . . . . . . . 55-1

55.1.3 Processing elections. . . . . . . . . . . . . . . . . . . . . . . . . 55-1

55.2 Stays of Election and Procedures for Impounding Ballots.. . . 55-2

55.2.1 Procedures for impounding ballots. . . . . . . . . . . . . . . . . . . . . 55-3

55.2.2 Safeguarding impounded ballots. . . . . . . . . . . . . . . . . . . . . . . 55-3

CERTIFICATIONS AND REVOCATIONS - CHM 56

56 CERTIFICATIONS AND REVOCATIONS. . . . . . . . . . . . . . . . . . . . . . . 56-1

56.1 Requirements for certifications. . . . . . . . . . . . . . . . . . . . . . . . 56-1

56.2 Types of certifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-1

56.2.1 Certification of Representative.. . . . . . . . . . . . . . . . . 56-1

56.2.1.1 Names appearing on the caption of the certification. 56-2

56.2.1.2 Unit description. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-2

56.2.1.3 Maintaining a record of the unresolved challenged 

ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-2

56.2.2 Certification of Results.. . . . . . . . . . . . . . . . . . . . . . . 56-3

56.2.3 Certification for Inclusion in Existing Unit.. . . . . . . . . 56-3

56.2.3.1 Certification bar limitations. . . . . . . . . . . . . . . . . . . . 56-4

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56.2.4 Certification of Consolidation of Existing Units. . . . . 56-4

56.3 Conditions precedent to issuance of certification after 

election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

56.4 Clarifications of Units and Amendments of Recognitions and

Certifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

56.5 Determination of Eligibility for Dues Allotment. . . . . . . . . . . . . 56-6

56.6 Revocations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-6

56.6.1 Revocations issued upon a disclaimer by an incumbent

exclusive representative. . . . . . . . . . . . . . . . . . . . . . 56-6

56.6.2 Revocations issued when the unit is no longer appropriate

due to a substantial change in the character and scope of

the unit and an election is not 

warranted.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

56.7 Correcting a Certification or Revocation. . . . . . . . . . . . . . . . . 56-8

56.8 Permanent copy of certification. . . . . . . . . . . . . . . . . . . . . . . . 56-8

56.9 Certification database. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

56.10 Copies to Other Regional Offices. . . . . . . . . . . . . . . . . . . . . . 56-8

NATIONAL CONSULTATION RIGHTS AND CONSULTATION RIGHTS 

FOR GOVERNMENT-WIDE RULES AND REGULATIONS

CHM 57

57 NATIONAL CONSULTATION RIGHTS AND CONSULTATION RIGHTS

FOR GOVERNMENT-WIDE RULES AND REGULATIONS. . . . . . . . . 57-1

57.1 Statutory basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

57.1.1 National Consultation Rights. . . . . . . . . . . . . . . . . . . 57-1

57.1.2 Consultation rights on Government-wide rules and

regulations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

57.2 Relevant regulations for processing NCR and CR petitions. . 57-1

57.3 Standing to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

57.4 Requirements for filing an NCR petition.. . . . . . . . . . . . . . . . . 57-2

57.5 Requirements for filing CR petition. . . . . . . . . . . . . . . . . . . . . 57-2

57.6 When to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-3

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38 Representation Case Handling Manual
57.7 What to file -- NCR petition. . . . . . . . . . . . . . . . . . . . . . . . . . . 57-3

57.8 What to file -- CR petition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-4

57.9 Material to accompany petition. . . . . . . . . . . . . . . . . . . . . . . . 57-5

57.10 Where to file.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-5

57.11 Service of petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-5

57.12 Docketing NCR petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-6

57.13 Adequacy of Showing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-6

57.13.1 Basis upon which NCR claimed.. . . . . . . . . . . . . . . . 57-6

57.13.2 Basis upon which a CR petition is claimed. . . . . . . . 57-6

57.13.3 Adequacy of showing of exclusive recognition. . . . . 57-6

57.14 Material accompanying petition. . . . . . . . . . . . . . . . . . . . . . . . 57-7

57.15 Notifying the parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-7

57.16 Posting requirements.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-8

57.17 Notifying labor organizations where the unit(s) is (are) in 

dispute. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-8

57.18 Final investigative report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-8

57.18.1 No burden of proof.. . . . . . . . . . . . . . . . . . . . . . . . . . 57-8

57.18.2 Final investigative report. . . . . . . . . . . . . . . . . . . . . . 57-9

57.18.3 Decision and Order by Regional Director. . . . . . . . . 57-9

57.18.3.1 Hearing on substantial issue of fact.. . . . . . . . . . . . . 57-9

57.18.3.2 No application for review of issuance of notice 

of hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-9

57.18.3.3 Hearings before Hearing Officers. . . . . . . . . . . . . . 57-10

57.19 Order Granting National Consultation Rights and Consultation

Rights on Government-wide Rules and Regulations. . . . . . . 57-10

Office of the General Counsel

Representation Case Handling Manual 39
CONSULTATION, ADVICE AND CLEARANCE

CHM 58

58 CONSULTATION, ADVICE, AND CLEARANCE.. . . . . . . . . . . . . . . . . 58-1

58.1 Consultation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-1

58.2 Submission for advice or clearance.. . . . . . . . . . . . . . . . . . . . 58-3

58.3 Advice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-3

58.4 Clearance.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-5

GENERAL POLICY MATTERS

CHM 59 through CHM 65

59 MOTIONS AND ORDERS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.1 Motions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.1.1 Purpose of a motion. . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.1.2 Service of motion.. . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.1.3 Specific rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.2 Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

59.2.1 Examples of Orders that respond to motions include. 59-1

59.2.2 Examples of Orders issued by the Regional Director

without a party motion:.. . . . . . . . . . . . . . . . . . . . . . . 59-2

59.3 Minimum requirements for Orders. . . . . . . . . . . . . . . . . . . . . . 59-2

60 CONCURRENT REPRESENTATION AND UNFAIR LABOR PRACTICE 

CASES.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

60.1 General Policy and Procedures. . . . . . . . . . . . . . . . . . . . . . . . 60-1

60.2 Priority of blocking unfair labor practice charges. . . . . . . . . . . 60-1

60.3 Closure of the unfair labor practice charge unblocks the

representation case. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

60.4 Conducting elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

60.5 Situations where an unfair labor practice charge does not block the

representation proceeding. . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

60.6 Processing representation issues in unfair labor practice 

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40 Representation Case Handling Manual
charges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

61 RELIEF OBTAINABLE UNDER PART 2423.. . . . . . . . . . . . . . . . . . . . 61-1

62 RIGHTS AND OBLIGATIONS DURING THE PENDENCY OF

REPRESENTATION PROCEEDINGS. . . . . . . . . . . . . . . . . . . . . . . . . . 62-1

62.1 Substantive Rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62-1

62.2 Unit status actions during the processing of a representation

petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62-1

62.3 Maintain existing recognitions, adhere to the terms and conditions

of existing collective bargaining agreements and fulfill all other

representational responsibilities under the statute during the

processing of a representation petition. . . . . . . . . . . . . . . . . . 62-2

62.4 The right to make changes and the duty to bargain during the

processing of a representation petition. . . . . . . . . . . . . . . . . . 62-3

62.5 Interim agreements while a representation petition is pending. 62-4

63 CASE MATERIALS AND CASE REPORTING. . . . . . . . . . . . . . . . . . . 63-1

63.1 Prepetition correspondence.. . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.2 Docketing a petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.2.1 Date stamping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.2.2 Assigning a case number. . . . . . . . . . . . . . . . . . . . . 63-1

63.2.2.1 FLRA Form 21. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.2.2.2 FLRA Form 24. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.2.2.3 FLRA Form 26. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

63.3 Petition filed in the wrong office. . . . . . . . . . . . . . . . . . . . . . . . 63-2

63.4 Transfer, service and consolidation policies between regions. 63-2

63.4.1 Duty to provide copies of petitions to other regions.. 63-2

63.4.2 Consolidation of cases within a region. . . . . . . . . . . 63-3

63.4.3 Transfer and consolidation of cases in different 

regions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-3

63.4.4 Transferring cases.. . . . . . . . . . . . . . . . . . . . . . . . . . 63-3

63.5 Case file contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-3

63.6 Submission of documents to the Office of the General 

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Representation Case Handling Manual 41
Counsel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-3

64 PRIORITY OF CASES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64-1

65 IMPACT OF AFL-CIO NO-RAIDING CLAUSES ON REPRESENTATION

PROCEEDINGS.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65-1

65.1 Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65-1

65.2 AFL-CIO no-raiding procedure.. . . . . . . . . . . . . . . . . . . . . . . . 65-1

65.3 Procedures in representation cases involving allegations

of raiding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65-1

INDEX. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1

TABLE OF AUTHORITIES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TOA-1

Office of the General Counsel

42 Representation Case Handling Manual
POLICY AND OBJECTIVES

CHM 1

1 GENERAL POLICY: The 1996 revisions to Part 2422 of the Authority’s Rules

and Regulations introduce one universal petition to process all representation

matters arising under sections 7111, 7112 and 7115 of the Statute. Formerly,

seven separate petitions were required. This single petition, FLRA Form 21,

streamlines the handling of representation matters and eliminates many

problems associated with processing seven separate petitions. The single

petition:

a. permits the resolution of all issues raised concerning the

representation of employees by labor organization(s); 

b. simplifies the filing requirements; 

c. avoids the procedural issues that formerly arose when the petitioner

filed the wrong petition; and

d. provides a more flexible approach to resolving complicated

representational matters.

The 1996 regulations also contain a substantive rule in § 2422.34 to guide the

parties’ conduct while the petition is processed. 

These changes require Regional Directors to take a proactive role in

identifying and resolving issues raised by the petition. Under the

revised regulations, issues are not only defined by the results the

petitioner seeks, but also by the facts and circumstances that caused

the petition to be filed. The new regulations require petitioners to provide

on the new petition form: 1) a clear and concise statement of the issues

raised by the petition and 2) the results the parties seek. They do not

require the petitioner to take a particular position or to limit the scope

of the petition to one unit. Significantly, the Regions are responsible for

identifying and notifying all parties affected by issues raised by the petition. 

The regulations also encourage the parties, before filing the petition, and

when appropriate, require the parties, after filing the petition, to meet with

representatives of the Regional Office to narrow and resolve issues raised in

the petition. It is the General Counsel’s policy that Regional Directors also

take a proactive role when processing petitions filed under Part 2426 of the

regulations.

To carry out their responsibilities, Regional Office personnel are prepared to:

1) identify representation issues, 2) discuss applicable case law and 3)

process these cases expeditiously. Any assistance rendered by Regional

Office personnel to narrow and resolve issues is consistent with the Statutory

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Representation Case Handling Manual 1-1
Policy and Objectives

requirements for appropriate units and unit eligibility. The Representation

Case Handling Manual (CHM), Representation Case Law Guide (RCL) and

the Hearing Officer’s Guide (HOG) provide the framework for processing

representation cases filed underthe Statute. The CHMoffers operational and

procedural guidance to ensure consistency and uniformity among the

Regional Offices, but does not substitute for professional judgement and

experience. As mandated by the 1996 revisions to the regulations, the

emphasis is “an appropriate resolution” of representation matters.

1.1 Quality standards in representation case processing: Every participant

in the processing of a representation petition has the right to expect that case

processing procedures will meet basic standards of quality. Petitions may

have different purposes, seek different results and be processed differently,

but every participant has the right to expect consistent standards of quality,

regardless of which Regional Office is processing the case. This subsection

describes the standards to be followed by all Regional Offices when

processing representation petitions. 

1.1.1 Each region is responsible for developing and implementing procedures to:

a. Ensure that representation petitions are processed in a timely and

efficient manner; 

b. Enable all Regional Office employees to understand the importance

of maintaining a high level of quality in processing representation

petitions and to understand the standards for quality in the Office of

the General Counsel; 

c. Identify any assistance (such as additional training) that Office of

the General Counsel employees may require to meet these quality

standards;

d. Assess the quality of the processing of every petition in a

representation case; 

e. Ensure that applicable quality standards have been met before

taking any dispositive action; and

f. Provide that high levels of quality are maintained in the processing

of all representation cases.

1.1.2 Essential quality standards required in every representation case include:

a. The purpose of the petition is properlyidentified and the region

assists the petitioner to ensure that the petition is filed

consistent with the Statute and the regulations. The region

takes a proactive role in assisting parties in ensuring representation

petitions are properly filed. The purpose of the petition is discussed

with the petitioner and identified prior to beginning the investigation. 

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Policy and Objectives

When appropriate, the region is also available to meet with a

petitioner prior to filing a petition to provide technical assistance. All

parties that may be affected by or have an interest in a petition are

also encouraged to meet with the region prior to filing a petition to

narrow and resolve issues. 

b. The region identifies all issues including those defined bywhat

the petitioner seeks and those defined by the facts and

circumstances giving rise to the petition. Issues are not only

defined by the results that the petitioner seeks, but also by the facts

and circumstances that caused the petition to be filed. The region

assists the parties in exploring the totality of the facts to better

understand the range of issues raised by the situation.

c. The investigation obtains the best possible relevant evidence.

The region notifies any labor organization and agency it identifies

that may be affected by issues raised in the petition and provides an

opportunity for that labor organization and agency to participate in

the process. All evidence, whether documentary or testimonial, may

be relevant. The region obtains evidentiary information relevant to

the issues raised by the petition in a manner that expedites the

processing of the case. Such evidence is in the form of affidavits,

documentation, position statements and/or legal arguments. The

region obtains this evidence through either an investigation or a factfinding hearing. The region informs the parties of the investigative

process and its appropriateness. 

d. The case file contains all relevant evidence and information

obtained during the investigation that provides a basis for the

Regional Director’s decision. The case file contains all relevant

documentary and testimonial evidence discovered and submitted

during the investigation. The file also reflects the region’s decisional

process.

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Representation Case Handling Manual 1-3
Policy and Objectives

e. All parties are treated fairly and equitably and the

representation case handling process is explained to the

parties. The representation process is the cornerstone for

establishing the collective bargaining relationship between agencies

and labor organizations. The representation proceeding is a

nonadversarial process. It is critical that the parties view the

Regional Office as neutral and impartial and have confidence that

any decision will be consistent with the requirements of the Statute.

The manner in which the case is processed is as important as the

evidence it obtains. To achieve this standard, all Regional Office

employees:

< conduct meetings to define, narrow and resolve issues;

< clarify, whenever appropriate, the purposes and

procedures of the investigation or hearing;

< provide fair, appropriate and impartial technical assistance

to all parties, as necessary;

< encourage and assist the parties in entering into

resolutions that resolve the issues raised by the parties

and are consistent with the Statute; and 

< conform to appropriate ethical standards of behavior at all

times.

f. Representation elections are conducted in a fair and impartial

manner, so that each eligible voter has an opportunity to cast

a secret, uncoerced ballot. All representation elections, whether

conducted on-site or by mail, are conducted in a fair and neutral

basis. The sanctity of the ballot is protected at all times and the

region takes steps in preparing for and conducting the election to

ensure that each eligible voter is afforded an opportunity to cast a

secret, uncoerced ballot. The election process is clearly explained

to the parties.

g. Hearings are conducted in a fair and impartial manner and

create a complete factual record upon which the Regional

Director can make a well reasoned and supportable decision.

Representation hearings are fairly and expeditiously conducted, and

all Hearing Officer rulings are impartial. As a nonadversarial

process, the Hearing Officer ensures that all evidence relevant to

the issues raised by the petition is contained in the official record of

the hearing. 

h. Representation petitions are processed as expeditiously as

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1-4 Representation Case Handling Manual
Policy and Objectives

possible. Representation cases are processed as expeditiously as

possible, taking into consideration the resources available to the

Regional Office and the number of pending cases.

1.2 Overview of basic representation procedures and glossary: Although

techniques used in processing representation cases do not lend themselves

to fixed rules, every Regional Office process representation petitions utilizing

certain specified steps. By outlining the sequence of events common to

processing representation petitions, this subsection defines terms and

phrases used routinely throughout the CHM. 

a. When a petition is received by the Regional Office, it is docketed. 

Docketing includes date-stamping the petition and assigning it a

case number(for docketing and case tracking procedures, see CHM

63; for filing and service requirements, see CHM 5 through 10).

b. Once docketed, a petition is checked for sufficiency with the filing

requirements set forth in the regulations [see CHM 12 (defective

petitions), 13 (requirements for amendments), 18 (showing of

interest requirements) and 20 (preliminary investigative

procedures)].

c. A petition/case is opened when the Regional Director takes action

to notify the parties of the filing of the petition in accordance with

§ 2422.6 and § 2422.7 (see CHM 15 - opening procedures including

identifying and notifying parties).

d. After a case is opened, it is formally investigated (see CHM 18

through 28). Investigating a petition includes:

(i) identifying additional parties affected by issues raised by

the petition; 

(ii) outlining the issues presented by the petition and identified

by Regional Director following his analysis (reading) of the

petition;

(iii) gathering evidence and information that is crucial to

resolving the representation matters underlying the

petition;

(iv) meeting with the parties as necessary to narrow and

resolve issues;

(v) conducting a hearing; and/or

(vi) making other determination(s) to assist the Regional

Director in reaching a decision or taking appropriate action

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Representation Case Handling Manual 1-5
Policy and Objectives

(see § 2422.30).

e. Regional Director takes actions after the investigation and/or

hearing. A hearing may be required following the Region’s

investigation. By taking an “action,” the Regional Director resolves

the matter in dispute and, when appropriate, directs an election or

approves an election agreement, or issues a Decision and Order

(see § 2422.30).

f. Subsequent activity in representation cases may include conducting

elections, clarifying or amending units, investigating challenged

ballots or objections to elections, issuing a certification or

revocation, or taking any other action necessary to resolve the

case. 

Office of the General Counsel

1-6 Representation Case Handling Manual
Prepetition Assistance

INITIAL PROCEDURES

CHM 2 through 13

2 PREPETITION ASSISTANCE:

2.1 General: No action with respect to any investigation concerning a

representation matter may be undertaken unless an appropriate petition has

been docketed in the Regional Office.

2.2 Prefiling correspondence: If no petition has been filed, all incoming and

outgoing correspondence relating to representation matters including

memoranda and notes concerning potential petitions, are retained in a file

designated as “prepetition correspondence.” When a case is opened, related

prepetition correspondence is removed from the prepetition file and placed in

the open case file.

2.3 Prefiling assistance to a single party: When approached by a person

seeking guidance and information, the Authority agent (hereinafter agent)

determines initially whether, based on the facts proffered, the matter is one

covered by the Statute. If the matter appears to be covered by the

representation provisions of the Statute, the individual is advised of the right

to file a petition and the procedures for filing under the regulations. 

If a labor organization seeks information about filing a petition for an election,

the region discusses the basic petition-filing requirements. The agent may

suggest that the labor organization may consider requesting a list of

employees that the agency/activity believes are eligible for inclusion in an

appropriate unit as it may be helpful to the labor organization in determining

the size of the proposed unit and any required showing of interest. However,

the region cannot request this information in the absence of a petition for the

labor organization nor can the region force the agency or activity to provide

such a list before a petition is filed. The region provides consistent advice if

contacted by an agency or activity. 

NOTE: There is no distinction in the type of prefiling assistance given

when there is an incumbent labor organization.

The conversation or meeting is documented in a memorandum to the file. If

the person requests additional assistance prior to the filing of the petition, see

CHM 2.4 through 2.6 for guidance.

If the matter is clearly not covered by the Statute, or is clearly untimely

pursuant to 5 U.S.C. 7111, the agent informs the individual immediately.

However, the individual is informed that s/he has the right to file a petition.

2.4 Prefiling assistance pursuant to § 2422.13(a): Section 2422.13(a) of the

regulations encourages parties affected by the representation issues thatmay

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Representation Case Handling Manual 2-1
Prepetition Assistance

be raised in a petition to meet prior to the filing of a petition to discuss their

interests and narrow the issues. If requested by all parties, a representative

of the appropriate Regional Office will participate in these meetings. See

also CHM 25 - meetings to narrow and resolve issues.

When meeting with the parties for the purposes of discussing, defining, and

narrowing their interests, agents avoid rendering advisory opinions and legal

advice regarding the problem or issues raised. All responses to prepetition

inquiries reflect clearly that the information being provided does not obligate

the Regional Director, the General Counsel or the Authority to pursue any

particular action or to order any particular result. The ultimate result will

depend on various factual and legal considerations raised during the

investigation/hearing.

2.5 Technical assistance as compared with advice: General information

regarding policy and procedure for processing specific petitions may be given

to an individual or party seeking assistance under this section. This includes

providing citations or copies of Authority cases that may be relevant and

copies of subject matter outlines that appear in the HOG.

2.6 Assistance in preparation: Assistance may be given to the petitioner to the

extent of furnishing appropriate forms and reasonable technical assistance in

completing forms, as well as providing the wording on the petition form itself. 

The petitioner is informed of the regulation’s service requirements. See

§ 2422.4.

Office of the General Counsel

2-2 Representation Case Handling Manual
Purposes and Types of Petitions

3 PURPOSES AND TYPES OF PETITIONS:

3.1 Overview: Representation cases are initiated by the filing of a petition under

appropriate sections of the Statute. Petitions serve a variety of purposes:

3.2 To request:

a. An election pursuant to 5 U.S.C. 7111(b)(1)(A), to determine if

employees in an appropriate unit wish to be represented for the

purpose of collective bargaining by an exclusive representative [see

§ 2422.1(a)(1)(i)]; and/or

b. A determination of eligibility for dues allotment pursuant to 5 U.S.C.

7115(c), in an appropriate unit without an exclusive representative

[see § 2422.1(a)(1)(ii)]); or

c. An election, pursuant to 5 U.S.C. 7111(b)(1)(B), to determine if

employees in a unit no longer wish to be represented for the

purpose of collective bargaining by an exclusive representative [see

§ 2422.1(a)(2)].

NOTE: The Statute requires that petitions described in CHM 3.2 are

accompanied by an appropriate showing of interest.

3.3 To clarify and/or amend, pursuant to 5 U.S.C. 7111(b)(2):

3.3.1 A recognition or certification then in effect: After a labor organization has

been recognized or certified as the exclusive representative in an appropriate

unit, a petition may be filed requesting, for example: 1) clarification of the

bargaining unit status of certain employees/positions; and/or 2) amendment

of the recognition or certification to conform to technical or nominal changes

which have occurred that affected the original designation or identity of either

party (such as a change in the name of the exclusive representative, a

change in the name or location of the agency or activity, or a change in the

title of the employees); [see § 2422.1(b)(1)] and/or

3.3.2 Any other matter relating to representation: Examples include: 

a. questions relating to the continued appropriateness of an existing

unit(s) due to a substantial change in the character and scope of the

unit(s), (i.e. changes in operations due to a reorganization,

realignment or merger); or

b. questions relating to the majority status of the currently recognized

or certified labor organization. [see § 2422.1(b)(2)]

3.4 To consolidate pursuant to 5 U.S.C. 7112(d), two or more units, with or

without an election, in an agency and for which a labor organization is the

exclusive representative [see § 2422.1(c)].

3.5 To grant: 

Office of the General Counsel

Representation Case Handling Manual 3-1
Purposes and Types of Petitions

3.5.1 National consultation rights, pursuant to 5 U.S.C. 7113(a), to a labor

organization which is the exclusive representative of a substantial number of

employees of the agency (see §2426.1); or

3.5.2 Consultation rights, pursuant to 5 U.S.C. 7117(d), to a labor organization

which is the exclusive representative of a substantial number of employees

with respect to any government-wide rule or regulation issued by the agency

effecting any substantive change in any condition of employment (see

§ 2426.11).

NOTE: Section 57 of this manual concerns petitions seeking national

consultation rights and consultation rights on government-wide rules

and regulations filed under Part 2426 of the regulations.

3.6 Petitions raising claims pursuant to 5 U.S.C. 7111(f)(1): Petitions raising

claims pursuant to 5 U.S.C. 7111(f)(1) may be filed and addressed by the

Authority even though the regulations do not provide for such a petition. 

Section 7111(f)(1) states that: 

(f) Exclusive recognition shall not be accorded to a labor

organization–

(1) if the Authority determines that the labor organization is

subject to corrupt influences or influences opposed to

democratic principles;

Such petitions seek to revoke the certification of an incumbent exclusive

representative or claim that a labor organization should not be accorded

exclusive recognition in an election proceeding. See New York National

Guard (NYNG), 53 FLRA 111 (1997) and U.S. Information Agency (USIA),

Washington, DC, 53 FLRA 999 (1997). These petitions are based on two

tenets: 1) only the Authority has jurisdiction to decide issues relating to the

granting of exclusive recognition to labor organizations representing

employees in the Federal sector; and 2) freedom from corrupt and antidemocratic influences is a requirement that is be met before the Authority can

certify a labor organization as an exclusive representative.

3.7 Petitions with multiple purposes or that affect more than one unit: Note

that in accordance with § 2422.1, a petition may serve more than one purpose

or affect more than one unit. Regional Offices review petitions carefullyto

ensure that the issues raised in the petition are consistent with the

Statute. 

3.7.1 An example of a petition with multiple purposes that is filed consistent with the

Statute:

< a petition may be filed for an election to determine the exclusive

representative in an appropriate unit as well as for a determination of eligibility

for dues allotment, provided it meets all of the criteria established in the

Statute (for instance, the unit does not have an exclusive representative). 

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3-2 Representation Case Handling Manual
Purposes and Types of Petitions

3.7.2 Reorganizations may create more difficult questions. When parties have an

established bargaining relationship, they have a stake in what happens to the

employees they represent when the employees are affected by an agency

reorganization or realignment of operations. These parties may file a petition:

1) to clarify or amend a certification in effect or 2) to clarify a matter relating

to the representation of employees who comprise any unit(s) that is (are)

affected by a reorganization. Some of the employees remain at the agency;

while others are transferred to another agency(ies). Normally, petitions to

clarify or amend existing recognitions or certifications focus on the status of

employees who remain with the existing employer or who are transferred to

a single employer. However, a labor organization could file a single petition

to resolve questions relating to the status of all its unit members, whether they

remained with the employing agency or were acquired by another

agency(ies). When the regions assist parties involved in major

reorganizations in the filing of petitions, regions may suggest, but cannot

require, that the parties confine the issues to a single employer. In that way,

the petitions do not involve wholesale clarifications or amendments involving

multiple employers. 

Examples of petitions with multiple purposes:

< As a result of an agency-wide reorganization, a petition is filed by a newly

created or established agency seeking to clarify a matter relating to the

representation of any units affected by the reorganization; i.e., any unit

transferred to or created by the new entity. This single petition raises a variety

of issues relating to representation, including defining a new unit(s), finding

successorship, or accretion.Although the appropriateness of the units and the

certifications are unclear with respect to each unit transferred to the new

entity, the distinguishing factor is that there is a single employer. See Naval

Facilities Engineering Service Center, Port Hueneme, California, 50 FLRA

363 (1995) and Navy Public Works Center, 6 A/SLMR 142 (1976). Note that

in the scenario described above, the newly established agency or activity and

the labor organizations that represented employees who were transferred to

the new entity could file this petition jointly. See CHM 4.2.

< At the same agency, a labor organization represents several units that were

affected by a transfer of certain employees from those units to a new

entity(ies). This labor organization could file separate petitions for each unit

to show the status of the employees who remain at the predecessor activity. 

Or, the labor organization could also file a single petition to clarify the status

of all of the units that remain at that one activity. Note that the units are

related to each other because they have a common employer. Any of these

petitions could be filed jointly by the labor organization and the

agency/activity.

< A cumbersome, but not inappropriate, petition is one involving multiple

employers, labor organizations and units. Using the example above, a

petition is filed by multiple employers and labor organizations to clarify the

status of the employees they acquired from a former agency. This petition

raises multiple issues regarding the status of employees who remain at the

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Representation Case Handling Manual 3-3
Purposes and Types of Petitions

predecessor, the status of employees who transferred to several different

entities and the status of the labor organization that represented these

employees in one unit. One petition involving questions relating to employees

who transferred to different agencies can be difficult to process because it

involves multiple employers. In this situation, the region may suggest, but

cannot require, that the parties file separate petitions to clarify the status of

employees for each agency that acquired employees from previously

represented units.

Questions regarding the appropriateness of any petition filed for multiple

purposes are treated as issues and are processed as part of the case in

accordance with CHM 20 and 23. The regions contact the Office of the

General Counsel whenever questions arise concerning the

appropriateness of petitions with multiple purposes.

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Standing to File

4 STANDING TO FILE: The Statute allows a petition to be filed by any

“person.” “Person” is defined in 5 U.S.C. 7103(a)(1) as “an individual, labor

organization, or agency.” An “agency” is defined in 7103(a)(3) as: 

“agency” means an Executive agency (including

a nonappropriated fund instrumentality described

in section 2105(c) of this title and the Veteran’s

Canteen Service, Department of Veterans

Affairs), the Library of Congress, and the

Government Printing Office, but does not include-

-

(A) the General Accounting Office;

(B) the Federal Bureau of Investigation;

(C) the Central Intelligence Agency;

(D) the National Security Agency;

(E) the Tennessee Valley Authority;

(F) the Federal Labor Relations

Authority;

(G) the Federal Service Impasses

Panel; or 

(H) the Central Imagery Office.

. A “labor organization” is defined in 5 U.S.C. 7103(a)(4). Its definition is set

forth in CHM 19 - challenge to the status of a labor organization, at CHM 19.2

and will not be repeated in this section. An “individual” is not defined in the

Statute, but see 5 U.S.C. 7103(a) (2), the definition of “employee”. 

There are distinctions between the right to file a petition, as opposed to

standing to have a petition processed. The regulations at § 2422.2 clarify

a party’s standing to have a petition processed. The Ninth Circuit’s decision

in Eisinger v. FLRA, No. 98-70866 (9th Cir. July 17, 2000) (Eisinger) that

reviewed and reversed the Authority’s decision in Small Business

Administration, 54 FLRA 562 (1998) raised issues concerning the Authority’s

continued interpretation and application of § 2422.2. Contact the Office of the

General Counsel whenever questions arise concerning a party’s standing to

have a petition processed. Outlined below are the general guidelines that are

described in the regulations pertaining to standing to file petitions. In several

cases issued prior to the Eisinger case, the Authority clarified some of these

rules as discussed below.

4.1 Definition of petitioner: A “petitioner means the party filing a petition under

Part 2422 of the regulations” (see § 2421.18).

4.2 Petitions requiring a showing of interest: 

4.2.1 A petition requesting an election to determine if employees in an appropriate

unit wish to be represented for the purpose of collective bargaining by an

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exclusive representative may be filed by a labor organization or by two or

more labor organizations acting as joint-petitioners. [Regs. § 2422.2(a)]

4.2.2 A petition requesting a determination of eligibility for dues allotment in an

appropriate unit without an exclusive representative may be filed by a labor

organization or by two or more labor organizations acting as joint-petitioners. 

[Regs. § 2422.2(a)]

4.2.3 A petition requesting an election to determine if employees in a unit no longer

wish to be represented for the purpose of collective bargaining by an

exclusive representative may be filed by any employee or group of employees

or an individual acting on behalf of any employees. [Regs. § 2422.2(b)]

4.3 Petitions seeking to clarify or amend a recognition or certification or a

matter relating to representation may be filed by a labor organization; two

or more labor organizations acting as a joint petitioner; an activity or an

agency; or any combination of the above. [Regs. § 2422.2(c)]

4.3.1 In U.S. Army Reserve Command, 88th Regional Support Command, Fort

Snelling, Minnesota, (Fort Snelling), 53 FLRA 1174 (1998), the Authority

dismissed a petition requesting an amendment of certification following a

reaffiliation vote, where the new union, rather than the certified union, filed the

petition. Petitions to amend a certification or recognition based on a

reaffiliation or merger (a Montrose case - see RCL 7 and HOG 43) are filed

by the certified or recognized incumbent labor organization, not the gaining

labor organization. However, in U.S. Department of the Interior, Bureau of

Land Management (BLM), 56 FLRA 202 (2000), the Authority allowed the

gaining union, AFGE, to file the application for review because the Petitioner,

NFFE Local 376, had designated AFGE to act as its representative.

Therefore, the Authority found that AFGE had authority to act on all matters

in the case for NFFE Local 376. 

4.3.2 In Eisinger v. FLRA, No. 98-70866 (9th Cir. July 17, 2000) the court reversed

and remanded the Authority’s decision in Small Business Administration, 54

FLRA 562 (1998), which held that individuals did not have standing to file

petitions seeking amendments to, or clarifications of, a certification. 

4.3.3 The Authority ruled on the court’s remand in the Eisinger case in Small

Business Administration, 56 FLRA ___, 56 FLRA No. 153 (2000) and stated: 

 

Applying the court’s decision to this case, we

vacate our decision in 54 FLRA 562, and remand

the matter to the Regional Director for further

proceedings consistent with this decision.

If the regions receive any cases filed by an individual that are filed

inconsistent with the current regulations at § 2422.2, the regions contact the

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Standing to File

Office of the General Counsel. CHM 58.1.2.2

4.4 Petitions raising claims pursuant to 5 U.S.C. 7111(f)(1) may be filed by an

individual; a labor organization; two or more labor organizations acting as a

joint petitioner; an activity or an agency; or any combination of the above. 

See NYNG, 53 FLRA 111 (1997) and USIA, 53 FLRA 999 (1997). If

questions arise about a party’s standing to file a petition pursuant to 5 U.S.C.

7111(f)(1), contact the Office of the General Counsel.

4.5 Petitions to consolidate existing units may be filed by a labor organization,

or by an activity or agency, or by a labor organization and an activity or

agency jointly who are parties to an existing recognition or certification. [Regs.

§ 2422.2(c)]

4.6 Petitions seeking a determination of eligibility for national consultation

rights or consultation rights may be filed by a labor organization. [Regs.

§ 2426.2(b)(1) or § 2426.12(b)(1)]

4.7 Standing to file a petition involving a nationwide exclusive bargaining

unit or an agency-level consolidated unit:

4.7.1 Parties listed on the petition: Petitions filed on a matter relating to the

representation of employees who are already part of a nationwide exclusive

bargaining unit or an agency-level consolidated unit name the parties to the

certification on the petition. Specifically, the petitioner (item #5) is either the

certified labor organization or the agency with whom the union holds exclusive

recognition or both, if jointly filed. If a labor organization files the petition, the

name of the agency in item #6 reflects the name of the agency on the

certification, i.e., the agency at the level of recognition. 

Examples include:

< Item #5 of the petition, “Name of Petitioner,” lists a local labor organization or

activity, but the unit and the purpose of the petition reflect that the unit is part

of an agency-level consolidated unit or nationwide unit. 

< Item #5 of the petition, “Name of Petitioner,” lists the proper name of the labor

organization that is the certified representative of a nationwide or agency-level

consolidated unit, but Item #6 lists a local activity rather than the agency. 

The petitions in these examples are defective and cannot be processed

without being amended to reflect the proper parties to the petition, i.e., the

agency and labor organization listed on the certification. If the petition is not

amended to reflect the proper parties to the certification, the petition is

dismissed. (see CHM 12.3 for defective petitions and CHM 20.1.1 for

processing).

4.7.2 Filing a petition involving a nationwide exclusive bargaining unit or an

agency-level consolidated unit: While a petition involving a nationwide

exclusive bargaining unit or an agency-level consolidated unit may be

completed properly, the party signing it may not always appear to be an

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Standing to File

authorized representative of the parties to the exclusive bargaining

relationship. Any local or regional activity or labor organization or other entity

that files a petition on a matter relating to the representation of employees

who are part of a nationwide exclusive bargaining unit or an agency-level

consolidated unit must be authorized as a representative of the appropriate

party to the recognition/certification. For example, 

< Item #5 of the petition, “Name of Petitioner” and Item #6, Activity/Agency, list

the proper names of a parties to a nationwide or agency-level consolidated

unit, but Item #9 reflects that the representative is a local labor organization

or activity, or Regional Vice-President. 

The petition in this example is not defective because the proper names on the

certification are listed on the petition. The issue is whether the party signing

the petition form has been authorized to file the petition on behalf of the

parties to the certification. The petition is sufficient if it reflects that the

employee signing the petition is authorized to act on behalf of the national

party. For example, the signatory line includes “..., President, Local X for ...,

President of (national union),” or a designation of representative is attached

to the petition. If it is not clear that the party signing the petition form is

authorized to act for the national party, the region confirms with the petitioner

or the national office that the signatory is authorized to file the petition. Once

the designation has been confirmed, the parties to the national certification

are served with copies of any correspondence relating to the processing of

the petition (CHM 14.2). If the party is not authorized to file the petition, the

region issues an Order to Show Cause (see CHM 20.1.1c). 

4.8 The impact of trusteeships on petitions: Standing to file issues may arise

when a local union has been placed under trusteeship. Issues may arise

regarding the local union officer’s standing to file a petition. These issues

may concern: 1) when the local union was placed under trusteeship and 2)

the provisions in the national constitution relating to the imposition of the

trusteeship on the local union. If the local union was placed under trusteeship

after the petition was filed, it has standing to file the petition. If the local union

was placed in trusteeship before the local officers filed the petition, the local’s

standing to file the petition may become an issue. Contact the Office of the

General Counsel if any issues arise concerning a local union’s standing to file

a petition after it has been placed under trusteeship. 

If a region learns that a local labor organization has been placed in

trusteeship prior to the filing of the petition, the trustee is served with a copy

of the petition (see CHM 6, 15.7 and 15.8 for service and notification

requirements). 

4.9 Standing to file petitions involving units affected by a reorganization:

The Statute in section 7111(b) states that a petition may be filed with the

Authority by any “person”.... . The regulations at Regs. § 2422.2 clarify which

entities have standing to file representation petitions. The Regs. § 2422.2(c)

provides that only an agency or a labor organization may file a petition

pursuant to Regs. §§ 2422.1(b) or (c). Regs. § 2422.1(b) pertains to petitions

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seeking to clarify matters relating to representation, including petitions filed

to resolve the effects of a reorganization on an existing unit or a newly created

unit. Neither the Statute nor the regulations clearly require that only the

agency or activity that is a party to an exclusive bargaining relationship may

file petitions to resolve matters relating to representation. However, the

Authority in Fort Snelling, 53 FLRA 1174 (1998) dismissed a petition

requesting an amendment of certification following a reaffiliation vote where

the gaining union, rather than the certified union, filed the petition. It is

unclear how the Authority would decide a similar issue involving an agencyfiled petition where the agency is not a party to the certification filed a petition. 

 

Normally, the parties to a certification file their own petitions to clarify or

amend a matter relating to the representation of the employees in their

bargaining unit. Therefore, if the Activity is still operational, the Activity has

standing to file the petition and it is appropriate to name the Activity that is a

party to the certification as the petitioner. In such cases, the Personnel Office

may be designated to act on behalf of the petitioner. 

The regions apply these rules flexibly. For instance, if the Activity was the

subject of a base closure, or there are other extenuating circumstances, it is

inappropriate to construe the regulation and the decision in Fort Snelling too

narrowly without more guidance from the Authority. Thus, in base closure

situations: (1) where no party raises the issue, or (2) after the initial

processing of the petition, a party later challenges the authority of the

personnel office to file these petitions, it would not effectuate the purposes of

the Statute to dismiss these petitions on the ground that the petitioner did not

have standing to file the petitions. The regulations were revised in 1996 “to

streamline the regulations and make them more flexible in addressing the

representational concerns of agencies, labor organizations, and individuals.” 

In these types of base closure situations, where a party other than a party to

the certification files a petition pursuant to § 2422.1(b), that party plays the

role of the petitioner/activity. It is not named as the employer. The employer

is named on the caption of the case: employer/activity. 

If there are any questions about opening these cases, see CHM 12 for

handling defective petitions that can be opened or call the OGC to consult

about the case. 

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Contents of Petition

5 CONTENTS OF A PETITION: Section 2422.3 sets forth the contents of

petitions. This section outlines general information that is required to be

submitted with every petition and gives guidance on specific information that

the petitioner also submits with petitions filed for different purposes. CHM 20

includes guidance on opening procedures and general and specific checklists

for determining the sufficiency of a petition.

5.1 What to file: A petition is submitted on a form prescribed by the Authority

and contains an original signature.

a. Petitions filed pursuant to § 2422.1(a), (b) and (c) that seek:

(i) an election for exclusive recognition; and/or 

(ii) a determination of eligibility for dues allotment; or 

(iii) an election to decertify an exclusive representative; or 

(iv) a clarification of, and/or amendment to, a recognition or

certification in effect or any other matter relating to

representation; or 

(v) a consolidation of existing units

are filed on FLRA Form 21. 

b. Petitions filed pursuant to 5 U.S.C. 7111(f)(1) are also filed on FLRA

Form 21.

The contents of the petition reflect what the petitioner is seeking and dictate

its requirements. See CHM 5.3 through 5.6.

c. Petitions filed pursuant to § 2426.1 for national consultation rights

are filed on FLRA Form 24.

d. Petitions filed pursuant to § 2426.11 for consultation rights on

government-wide rules or regulations are filed on FLRA Form 26.

5.2 Basic information required on FLRAForm 21:In accordance with § 2422.3

there is certain information that is common to all types of petitions that is

provided on the petition form. This information includes: 

a. The name and mailing address, including street number, city, state

and zip code, for each activity or agency affected by issues raised

in the petition. If the activity or agency is affiliated with an executive

department, the name of the executive department is provided.

§2422.3(a)(1)

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NOTE: Section 2421.21 defines the phrase “affected by issues raised”

as follows:

The phrase “affected by issues raised,”

as used in Part 2422, should be

construed broadly to include parties and

other labor organizations, or agencies or

activities, that have a connection to

employees affected by, or questions

presented in, a proceeding. 

b. The name, mailing address and work telephone number of the

contact person for each activity or agency affected by issues raised

in the petition. § 2422.3(a)(2)

c. The name and mailing address, including street number, city, state

and zip code, for each labor organization affected by issues raised

in the petition. If a labor organization is affiliated with a national

organization, the local designation and the national affiliation are

both included. If the labor organization is the exclusive

representative of any of the employees affected by the issues raised

in the petition, item #8A of the petition form includes the date of the

recognition or certification, and item #8B includes the date that any

collective bargaining agreement covering the unit will expire, or the

date that the most recent agreement did expire, if known. 

§ 2422.3(a)(3)

d. The name, mailing address and work telephone number of the

contact person for each labor organization affected by issues raised

in the petition. § 2422.3(a)(4)

e. The name and mailing address, including street number, city, state

and zip code, for the petitioner. If a labor organization is the

petitioner and is affiliated with a national organization, the local

designation and the national affiliation are both included. 

§ 2422.3(a)(5)

f. A description of the unit(s) affected by issues raised in the petition. 

The description reflects the geographic locations and the

classifications of the employees sought to be included in, and 

sought to be excluded from, the unit(s). § 2422.3(a)(6)

“Unit affected by issues raised” usually applies to the currently

certified or recognized unit. This is particularly relevant in petitions

seeking an election in a unit for which a labor organization already

holds exclusive recognition. However, petitioners that seek an

election in an unrepresented unit or a clarification or amendment

[§ 2422.1(b)] may interpret this provision to require a description of

the proposed unit. Either way is acceptable as long as the unit

description complies with § 2422.3(a)(6). 

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g. The approximate number of employees in the unit(s) which is

affected by issues raised in the petition. § 2422.3(a)(7)

h. A clear and concise statement of the issues raised by the petition

and the results which the petitioner seeks. § 2422.3(a)(8)

i. A declaration by the person signing the petition, under the penalties

of the Criminal Code (18 U.S.C. § 1001), that the contents of the

petition are true and correct to the best of the person's knowledge

and belief. § 2422.3(a)(9)

j. The signature, title, mailing address and telephone number of the

person filing the petition. § 2422.3(a)(10)

< The petition requests the person signing the petition to name the party filing

the petition also. As required in CHM 5.2(e) the petition must distinguish the

party filing it from the representative who signs it, as required in 5.2(j) (even

though the person signing the petition may be the party filing the petition). 

< By signing the petition form, a labor organization/petitioner seeking exclusive

recognition certifies that it has complied with 5 U.S.C. 7111(e) by submitting

to the agency or activity and to the Department of Labor: 1) a roster of its

officers and representatives, 2) a copy of its constitution and bylaws, and 3)

a statement of its objectives.[See § 2422.3(b)] 

< By signing the petition form, a labor/organization/petitioner also certifies that

it has served a copy of the petition on all parties known to be affected by

issues raised in the petition (See § 2422.4).

NOTE: The requirement in § 2422.3(a)(8) to include a clear and concise

statement of the issues raised by the petition and the results which a petitioner

seeks dictate the purpose of the petition and thus, any other information that

may be required. CHM 5.3 through 5.6 clarify additional information that is

required for the particular petition being filed. These sections, which are

repeated in CHM20 expedite processingthe petition. However, failure to provide

this information does not prevent opening the petition, if the information that is

provided reasonably complies with § 2422.3. See CHM 12 for “defective

petitions” and CHM 20 and 23 for “investigating petitions.”

5.3 Contents of petitions seeking a representation election: These petitions

seek an election to determine if employees in an appropriate unit wish to be

represented for the purpose of collective bargaining by an exclusive

representative: 

a. As stated in CHM 5.2(f), the petitioner describes the unit claimed to

be appropriate for the purposes of exclusive recognition. The unit

description reflects generally the geographic locations and the

classifications sought to be included and those to be excluded. See

CHM 28.13 for sample unit descriptions.

 

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Contents of Petition

b. The petition is accompanied by a showing of interest of not less than

thirty percent (30%) of the employees in the unit claimed to be

appropriate and estimate the number of employees in the unit. 

c. The showing of interest and an alphabetical list are attached to the

petition.

See also CHM 20.1.2 for a supplemental checklist.

5.4 Contents of petitions seeking a determination of eligibility for dues

allotment: These petitions are filed for a determination of dues allotment in

an appropriate unit without an exclusive representative.

a. As stated CHM 5.2(f), the petitioner describes the unit claimed to be

appropriate. The unit description reflects generally the geographic

locations and the classifications sought to be included and those to

be excluded. See CHM 28.13 for sample unit descriptions. 

b. The petition is accompanied by a showing of membership of not less

than ten percent (10%) of the employees in the unit claimed to be

appropriate and estimate the number of employees in the unit.

c. The showing of membership and an alphabetical list are attached to

the petition.

See also CHM 20.1.3 for a supplemental checklist.

5.5 Contents of petitions seeking an election to decertify the incumbent

exclusive representative: These petitions seek an election to determine if

employees in a unit no longer wish to be represented for the purpose of

collective bargaining by an exclusive representative. 

a. As stated in CHM 5.2(f), the petitioner describes the current unit. 

b. The petition is accompanied by a showing of interest of not less than

thirty percent (30%) of the employees in the unit reflecting that the

employees no longer desire to be represented for the purposes of

collective bargaining by the currently recognized or certified labor

organization and estimate the number of employees in the unit.

c. The showing of interest and alphabetical list are attached to the

petition. 

See also CHM 20.1.4 for a supplemental checklist.

5.6 Contents of petitions to clarify, and/or amend (1) a certification in effect;

and/or (2) any matter relating to representation: As described in CHM

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Contents of Petition

3.3.2, these petitions serve a variety of purposes.

a. As stated in CHM 5.2(f), the petitioner describes the currently

certified unit(s) affected by issues raised by the petition. 

b. The petitioner identifies all parties affected by issues raised by the

petition, including all parties to any exclusive bargaining

relationship(s) so that the affected parties receive proper notification

of the petition. 

c. Section 2422.3(a)(8), as outlined in CHM 5.2(h) requires that the

petition include a clear and concise statement of the issues raised

by the petition and the results the petitioner seeks. Typical

information includes, but is not restricted to, the following: 

(1) Petitions requesting to clarify the bargaining unit status of

certain employees/positions contains a description of the

present unit and the date of recognition or certification; the

proposed clarification; the title of the position(s) sought to

be clarified, and the name(s) of the incumbent(s) currently

occupying the positions. The petitioner provides a detailed

explanation of the reasons supporting the request. There

are certain exceptions to the rule that only positions which

are occupied can be clarified. For additional information,

see RCL 15 and HOG 51.

(2) Petitions requesting to amend a recognition or certification

in effect also contain a description of the present unit(s)

and the date(s) of recognition or certification (including the

case number if known); the proposed amendment; and a

statement of reasons in support of the proposed

amendment. 

(3) Petitions requesting to clarify or amend any matter relating

to representation attach:

(i) a description(s) of the present unit(s) for which

the petitioner seeks clarification; 

(ii) a detailed explanation of the reasons to support

the party's(ies') questions relating to the

continued appropriateness of an existing unit(s); 

(iii) a statement outlining the issues raised, if known; 

(iv) the proposed results, if known. If the petition is

filed jointly, the parties may not agree on the

proposed results. In this scenario, the petition 

reflects the parties’ various positions.

See also CHM 20.1.5 for a supplemental checklist.

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Contents of Petition

5.7 Contents of petitions to consolidate existing units: These petitions seek

to consolidate two or more units, with or without an election, in an agency and

for which a labor organization is the exclusive representative.

a. As stated in CHM5.2(f), petitioner(s) seeking to consolidate existing

units describe the unit claimed appropriate for exclusive

representation and estimate the number of employees in the

proposed consolidated unit;

b. An attachment includes a description of each existing exclusively

recognized unit encompassed by the petition, the dates of

recognition or certification (including case number if known), the

name(s) and address(es) of the exclusively recognized labor

organization(s)involved, and the approximate number of employees

in each unit;

See also CHM 20.1.6 for a supplemental checklist.

5.8 Information requested on FLRA Form 24, National Consultation Rights,

andFLRAForm 26, Consultation Rights on Government-Wide Rules and

Regulations: As noted at CHM 3.5.2 of this manual, CHM 57 has been set

aside exclusively for a discussion of processing these petitions in accordance

with Part 2426 of the regulations.

5.9 Letters seeking to disclaim interest: Regional Offices may receive letters

from labor organizations that seek to disclaim interest in representing

employees in a unit for which they hold exclusive recognition. These letters

are, in effect, a request by the exclusive representative to clarify an existing

unit to reflect that it no longer represents the employees in a unit for which it

was granted exclusive recognition. The Regional Office maynot docket these

letters as a case. The region contacts the labor organization seeking to

disclaim representational interest and provides prefiling assistance as

discussed in CHM 2.3, including assisting in drafting the petition.

In the event a disclaimer is filed properly on a petition form, see CHM 20.1.7

for a supplemental checklist. 

5.10 Contents of petitions seeking to decertify an incumbent labor

organization based on claims that the labor organization is subject to

corrupt influences pursuant to 5 U.S.C. 7111(f)(1): The regulations do not

expressly provide for this type of a petition. However, as the Authority’s

decision in NYNG, 53 FLRA 111 (1997) makes clear, the filing of a section

7111(f) petition requesting decertification is consistent with the Statute. In 

USIA, 53 FLRA 999 (1997), the Authority held that a bargaining unit

member’s petition for decertification pursuant to section 7111(f), unlike a

decertification petition filed pursuant to section 7111(b)(1)(B), will be

considered to have been properly filed without the need for a showing of

interest. In all other respects, such a petition is processed according to the

regulations concerning petitions which do not require an election. (USIA at

1004).

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Contents of Petition

Follow CHM 5.6 for contents of petitions seeking to decertify an incumbent

exclusive representative pursuant to 5 U.S.C. 7111(f)(1). In addition to the

information required on the petition form, the petitioner includes evidence that

it has obtained an initial third party determination that establishes a

reasonable cause to find corrupt and anti-democratic influences. See CHM

20.1.8, 23.9.3, RCL 10B and HOG 46B.

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General Service Requirements

6 PARTIES’ GENERAL SERVICE REQUIREMENTS

6.1 Overview: The regulations require that every petition, motion, brief, request,

challenge, written objection, or application for review shall be served on all

parties affected by issues raised in the filing. The service shall include all

documentation in support thereof, with the exception of a showing of interest,

evidence supporting challenges to the validity of a showing of interest, and

evidence supporting objections to an election. The filer submits a written

statement of service to the Regional Director. (See § 2422.4) (Note that the

petition form includes a certification of service - see CHM 7). All documents

filed with the Authority, General Counsel or the Regional Director shall be in

accordance with § 2429.24 through § 2429.27 unless directed otherwise in

this manual. 

Specific requirements are outlined throughout this manual as appropriate. 

NOTE: The service requirements in § 2422.4 are construed to exclude

from serving parties with supporting evidence that may identify

employees who voted in an election or how they voted; the names of

voters or attendees at a Montrose election or any other type of evidence

that may reveal the identity of an employee who was engaged in any

election proceeding. 

6.2 Relation to Section 2422.6: Section 2422.6 also requires the Regional

Director to notify all affected parties when a petition has been filed. See CHM

15 for detailed guidance on this section of the regulations. 

6.3 Service after a party designates a representative: Once the parties have

been notified and the parties designate a representative, copies of all

documents and written communications issued thereafter are served on the

designated representative, in addition to the party. The designated

representative is served copies of all correspondence by the Regional Office

in accordance with § 2429.12. Designations of representative remain valid in

each case until a written revocation is filed. If a case is no longer within the

jurisdiction of the RegionalOffice where such a designation or revocation was

filed, the Regional Office immediately notifies the appropriate Regional Office

of the designation or revocation.

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Service by Petitioner

7 SERVICE OF THE PETITION BY THE PETITIONER: Upon filing a petition,

the petitioner is responsible for the timely service of a copy of the petition,

together with any attachments, on parties known to be affected by issues

raised by the petition. Any showing of interest or showing of membership

submitted with a petition, however, may not be furnished to any other party. 

While the regulations require that a written statement of such service be filed

with the Regional Director; note that the petition form contains a statement by

the petitioner verifying service of the petition on all parties known to be

affected by issues raised in the petition. If the petitioner fails to actually serve

copies of the petition on affected parties, the petition is defective and could

be dismissed if the defect is not cured (see CHM 12, 12.4 and 13.8). See

also U.S. Department of the Army, Headquarters, Sixth United States Army,

Presidio of San Francisco, California (Presidio), 34 FLRA 1032 (1990)

(awareness of parties of filing of an application for review not sufficientdocuments must be served).

NOTE: The service requirements in § 2422.4 are construed to exclude

from serving parties with supporting evidence that may identify

employees who voted in an election or how they voted; the names of

voters or attendees at a Montrose election or any other type of evidence

that may reveal the identity of an employee who was engaged in any

election proceeding.

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Service by Petitioner

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Where to File

8 WHERE TO FILE: Petitions are filed with the Regional Director for the region

in which the unit or employee(s) affected by issues raised in the petition are

located. If the unit or employees are located in two or more regions, the

petitions are filed with the Regional Director for the region in which the

headquarters of the agency or activity is located [§ 2422.5(a)]. 

8.1 Application: This regulation applies to cases that involve: 

a. Nationwide units involving issues that are national in scope;

b. Nationwide units that raise issues that appear to be the result of a

local change; or

c. Units that raise issues that extend beyond the region’s jurisdiction. 

8.2 Communicationwithotherregions: Regional Directors are responsible for: 

a) notifying other regions about these cases; b) verifying whether or not

such cases are pending in their region; and c) reaching a consensus about

how and where such cases will be processed. 

8.2.1 Notifying other Regional Directors: Whenever a region receives a case

involving a nationwide unit in which issues are raised: 1) that may be

nationwide in scope, or 2) that may cross regional jurisdictional lines,

Regional Directors are required to send an e-mail to the other Directors

inquiring about similar cases. 

8.2.2 Responding to e-mails: All Regional Directors are required to respond to

any e-mails inquiring about a case. The lack of a response is not interpreted

as a negative response. 

8.2.3 Discussion and consensus: If any case involves issues that cross regional

jurisdictional boundaries or raise issues that are nationwide in scope (e.g.,

impact beyond the region’s jurisdiction; result from a nationwide

reorganization versus a local change), the affected Regional Director(s)

contacts the Regional Director where the Headquarters for the agency is

located. Together, the Regional Directors discuss, coordinate and decide

where the case(s) will be processed. If the issues appear to affect the entire

unit, the case may be transferred to the region where the headquarters is

located. If the issues appear to be local in scope, the Regional Directors

reach agreement on where the petitions will be processed. If the Regional

Directors cannot determine whether to transfer the case(s), contact theOffice

of the General Counsel for assistance.

In addition, in accordance with the guidelines set forth in OGC Management

Memoranda 99-1 and 99-2, the regions may agree to transfer other

representation case(s) to other region(s) after they are filed for processing. 

See CHM 63.4 for transfer and consolidation policies. 

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Representation Case Handling Manual 8-1
Number of Copies

9 NUMBER OF COPIES: An original and two (2) copies of the petition and the

accompanying material are filed with the Regional Director. [§ 2422.5(b)]

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Number of Copies

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Date of Filing

10 DATE OF FILING: A petition is filed when it is received by the appropriate

Regional Director [see § 2422.5(c)]. A petition may be properly filed in

person, by mail (in accordance with § 2429.24) or by handing it to an agent

who is away from the Regional Office. In such circumstances, the date of

receipt is inserted in the appropriate space on the face of the petition and also

noted on the reverse side of the petition together with the Agent’s name.

If a petition is filed in an incorrect Regional Office, the petition is “received by

the appropriate Regional Director” in accordance with the regulations when

the correct Regional Office is contacted and a case number is obtained

(preferably over the phone and on the day of receipt in the wrong office). A

copy of the petition is faxed to the appropriate Regional Office and the original

is mailed. A copy of the petition is also retained in the incorrect Regional

Office*s correspondence file. Upon receipt of the petition, the proper

Regional Office may proceed with processing the case.

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Representation Case Handling Manual 10-1
Date of Filing

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Timeliness of Petitions

11 TIMELINESS OF PETITIONS: 

11.1 General overview: Timeliness requirements for petitions are prescribed in

the Statute at 5 U.S.C. 7111 and implemented at § 2422.12 of the regulations. 

The Statute’s timeliness requirements apply only to petitions seeking an

election, whether filed by labor organizations, by individuals seeking an

election to decertify an exclusive representative or by agencies. Petitions filed

for the following purposes are subject to the timeliness requirements set forth

in § 2422.12:

a. To request an election to determine if employees in an appropriate

unit wish to be represented for the purpose of collective bargaining

by an exclusive representative;

b. To request an election to determine if employees in a unit no longer

wish to be represented for the purpose of collective bargaining by an

exclusive representative;

c. To clarify any matter relating to representation when a party raises

issues relating to the majority status of the currently recognized or

certified labor organization (see CHM 3.3.2).

This section contains an overview of timeliness requirements. For a detailed

discussion of substantive case law on the timeliness of election

petitions, see RCL 12. Exceptions to the timeliness requirements may be

warranted in unusual circumstances [§ 2422.12(f) and CHM 11.6].

< Certain timeliness requirements may apply to the filing of amended petitions

(see CHM 13.6 and RCL 12) and the adequacy of a petitioner's showing of

interest.

< Additional bars described in § 2422.14 apply to the filing of petitions seeking

elections after the withdrawal or dismissal of a petition or after the filing of a

disclaimer of interest by an exclusive representative (see CHM 11.9). 

< There are also bars related to the processing of election petitions during the

pendency of unit consolidation petitions (see CHM 11.10).

11.2 Election Bar: 5 U.S.C. 7111(b) precludes conducting an election in “any

appropriate unit or subdivision thereof within which, in the preceding 12

calendar months, a valid election under this subsection has been held”

[§ 2422.12(a)]. 

The election bar rule is applicable to units where there is no incumbent

exclusive representative. Thus, if a valid election is conducted, and no union

is certified, no election may be held in that unit or a subdivision of that unit

within twelve months of the date the election is held. In the private sector, the

election is considered to have been held on the date the balloting is

completed, rather than the date of issuance of the certification of results of

election. See Mallinckrodt Chemical Works, 84 NLRB 291 (1949). The

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Timeliness of Petitions

Authority has not had the opportunity to issue a decision on this point. The

election bar rule does not apply to a petition seeking an election in a broader

unit, which includes the unit in which the election was conducted. See

Federal Aviation Administration, 2 A/SLMR 340 (1972). The election bar rule

also does not apply to petitions to consolidate existing units filed under

5 U.S.C. 7112(d).

11.3 Certification Bar: 5 U.S.C. 7111(f) prohibits according exclusive recognition

to a labor organization:

(4) if the Authority has, within the

previous 12 calendar months, conducted a secret

ballot election for the unit described in any

petition under this section and in such election a

majority of the employees voting chose a labor

organization for certification as the unit’s

exclusive representative.

The certification bar applies during the first year following the issuance of a

certification of representative, so long as no collective bargaining agreement

has been executed [§ 2422.12(b)]. This includes issuance of a certification

of consolidation of units. Once an agreement is executed, the contract bar

rule applies to the unit. An exclusive representative voluntarily waives the

certification bar when it files a petition for a broader appropriate unit which

includes the unit for which the certification was issued. See U.S. Army Corps

of Engineers, Mobile District, 2 A/SLMR 486 (1972).

11.4 Contract Bars: 5 U.S.C. 7111(f) prohibits according exclusive recognition to

a labor organization: 

(3) if there is then in effect a lawful

written agreement between the agency involved

and an exclusive representative (other than the

labor organization seeking exclusive recognition)

covering any employees included in the unit

specified in the petition, unless --

(A) the collective bargaining agreement

has been in effect for more than 3 years; or

(B) the petition for exclusive recognition

is filed not more than 105 days and not less than

60 days before the expiration date of the

collective bargaining agreement. . . 

Absent unusual circumstances, the Authority will dismiss an election petition

filed for a bargaining unit at a time when the unit is covered by a lawful written

collective bargaining agreement, unless the agreement has been in effect for

more than three years or the petition is filed during the 45-day “window period”

set out in 5 U.S.C. 7111(f)(3)(B). 

There are two basic issues in contract bar cases: (1) whether the agreement

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Timeliness of Petitions

asserted to bar a petition is a lawful written collective bargaining agreement

and (2) whether the agreement is free from ambiguity regarding its effective

date, so that it constitutes a bar to an election petition. An in-depth

discussion of these issues and other issues that arise in contract bar

cases can be found in RCL 12.

Thus, when a collective bargaining agreement covering a claimed unit has

been signed and dated by the activity and the incumbent exclusive

representative, a petition seeking an election or seeking to clarify a matter

relating to representation based on a challenge to the recognized or certified

labor organization’s majority status is considered timely when it is filed as

follows: 

a. Not more than one hundred and five (105) days and not less than

sixty (60) days prior to the expiration date of an agreement having

a term of three (3) years or less from the date it became effective

[§ 2422.12(d)];

b. Not more than one hundred and five (105) days nor less than sixty

(60) days prior to the expiration of the initial three (3) year period of

an agreement having a term of more than three (3) years from the

date it became effective [§ 2422.12(e)]; or

c . Any time when unusual circumstances exist which substantially

affect the unit or the majority representation [§ 2422.12(f) and also

CHM 11.6].

See Appendix B, Petition Timeliness Guide, for assistance in determining the

timeliness of petitions filed during the open period of a contract.

NOTE: In Department of the Army, III Corps and Fort Hood, Fort Hood,

Texas (Fort Hood), 51 FLRA 934, 941 (1996), the Authority decided that

where a petition is filed on the same day that an agreement is executed,

and all that remains is agency-head review pursuant to 5 U.S.C. 7114(c),

the agreement does not act as a bar. The Authority established certain

requirements that must be met at the time of execution. The notice to

the agency:

 

must be in writing and convey that the petitioning

union has taken all steps necessary to file a

petition with the Authority. The notice must be

served on a person having authority over agency

negotiations, which could extend to and include

the head of the agency, and must be received on

the same day that the petition is filed but prior to

the point at which the collective bargaining

agreement is executed. Receipt of the notice

must be verifiable through documentary

evidence. (footnotes omitted)

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Timeliness of Petitions

The region decides whether the petitioner followed these requirements. Once

it has been established that the petition is timely and met the prima facie

showing of interest requirements, it is given equivalent status. U.S.

Department of Defense Dependents School, Panama Region, 44 FLRA 419

(1992).

11.5 Bar during 5 U.S.C. 7114(c) review: A petition seeking an election is not

considered timely if filed during the period of agency head review under 5

U.S.C. 7114(c). This bar expires upon either the passage of thirty (30) days,

absent agency head action, or upon the date of any timely agency head

action [§ 2422.12(c)].

The Statute at 5 U.S.C. 7114(c) provides for agency head approval of

collective bargaining agreements. If the agency head does not approve or

disapprove the agreement within 30 days of the date it was executed, the

agreement takes effect and is binding on the parties. Section 2422.12(d)

imposes a bar on the filing of an election petition during the agency-head

review period. See also Federal Aviation Administration, 2 A/SLMR 340

(1972); Federal Aviation Administration, CaseNo. 22-3711(RO), 1 Rulings on

Requests for Review 258 (1973).

11.6 Unusual circumstances: A petition seeking an election or a determination

relating to representation matters may be filed at any time when unusual

circumstances exist that substantially affect the unit ormajority representation

[§ 2422.12(f)]. 

Petitions seeking resolution of matters related to representation (e.g.,

petitions that question the appropriateness of an established unit due to a

substantial change in the character and scope of the unit) are usually filed at

the time of the organizational changes. These events do not necessarily

coincide with contractual window periods. The filing of such a petition during

the term of a contract is taken as an assertion that unusual circumstances

exist, whether or not the petitioner actually uses this term of art. See

Department ofState,Bureau of Consular Affairs, Passport Services, 35 FLRA

1163 (1990); U.S. Department of the Interior, Indian Health Service, Gallup

Indian Health Center, Gallup, New Mexico, 48 FLRA 890 (1993). 

For detailed discussion of specific situations involving unusual circumstances,

see RCL 12, Timeliness.

11.7 Premature extension: Where a collective bargaining agreement with a term

of three (3) years or less has been extended and signed more than sixty (60)

days before its expiration date, the extension will not serve as a basis for

dismissal of a petition seeking an election filed in accordance with this section

[§ 2422.12(g)].

An agreement executed by the parties more than sixty days before the

expiration of the current agreement is considered premature for contract bar

purposes. Such agreements modify or extinguish the 45-day “windowperiod”

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Timeliness of Petitions

established by 5 U.S.C. 7111(f)(3)(B). Accordingly, the Authority will not

recognize a premature extension of an agreement as a bar to an election

petition. See Department of Health and Human Services, Boston Regional

Office, Region 1, 12 FLRA 475 (1983) (DHHS). The premature extension

analysis applies solely to the extension of agreements having a term of three

years or less. If an agreement has a term of more than three years, it serves

as a bar to an election petition only during its initial three year period

[§ 2422.12(e) and CHM 11.4].

11.8 Contract requirements: Section 2422.12(h) describes requirements.

Collective bargaining agreements, including

agreements that go into effect under 5 U.S.C.

7114(c) and those that automatically renew

without further action by the parties, do not

constitute a bar to a petition seeking an election

under this section unless a clear and

unambiguous effective date, renewal date where

applicable, duration, and termination date are

ascertainable from the agreement and relevant

accompanying documentation. 

This provision tracks existing case law and places in one section all

requirements concerning a contract as a bar to a petition seeking an election.

See U.S. Department of the Interior, Redwood National Park, Crescent City,

California, 48 FLRA 666 (1993); U.S. Department of Health and Human

Services, Social Security Administration, 44 FLRA 230 (1992); Florida (Air)

National Guard, St. Augustine, Florida, 43 FLRA 1475 (1992); U.S.

Department of Housing and Urban Development, NewarkOffice, Newark, New

Jersey, 37 FLRA 1122 (1990); Department of the Army, U.S. Army Concord

District Recruiting Command, Concord, New Hampshire, 14 FLRA 73 (1984).

11.9 Withdrawal or dismissal of petition: Section 2422.14 describes the

consequences of a withdrawal or dismissal of a petition seeking an election.

11.9.1 Withdrawal/dismissal less than sixty(60) days before contract expiration

or anytime after the expiration of the agreement: When a timely filed

petition seeking an election is withdrawn or dismissed by the Regional Director

less than 60 days before the expiration of a contract covering the employees

affected, or anytime after the expiration of the agreement, another petition

seeking an election is not considered timely if filed within a ninety (90) day

period from either:

a. the date the withdrawal is approved; or

b. the date the petition is dismissed by the Regional Director when no

application for review is filed with the Authority; or

c. the date the Authority rules on an application for review. 

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Representation Case Handling Manual 11-5
Timeliness of Petitions

The section applies to all contracts, not just those having a term of 3 years or

less. Other pending petitions that have been timely filed concerning any

portion of the incumbent’s unit, will continue to be processed [see

§ 2422.14(a)].

11.9.2 Withdrawal bypetitioner: A petitioner who submits a withdrawal request for

a petition seeking an election that is received by the Regional Director after the

notice of hearing issues or after approval of an election agreement, whichever

occurs first, is barred from filing another petition seeking an election for the

same unit or any subdivision of the unit for six (6) months from the date of the

approval of the withdrawal by the Regional Director [§ 2422.14(b)].

11.9.3 Withdrawal by incumbent: When an election is not held because the

incumbent disclaims any representation interest in a unit, a petition by the

incumbent seeking an election involving the same unit or a subdivision of the

same unit is not considered timely if filed within six (6) months of cancellation

of the election.[§ 2422.14(c)].

11.10 Timeliness of petitions while other petitions requesting to consolidate

existing units are pending: Petitions affected by the filing of a petition

seeking to consolidate existing units are processed as follows:

11.10.1 Prior petitions seeking an election or resolution of a matter relating to

representation due to changes in the character and scope of the unit:

If a petition seeking an election or seeking to resolve a matter relating to 

representation due to changes in the character and scope of the unit is filed

prior to the filing of a related petition to consolidate units, this petition is

resolved before the affected unit may be included in the proposed

consolidated unit. See Department of Transportation, Federal Aviation

Administration, 4 FLRA 722 (1980), that provides background information on

these provisions.

11.10.2 Subsequent petitions seeking an election: Any petition that seeks an

election in any existing exclusively recognized unit covered by a pending

petition to consolidate existing exclusively recognized units is required to be

filed in a timely manner and satisfy the election, certification and agreement

bars. Petitions filed after the related unit consolidation petition (is filed) are

held in abeyance pending the processing of the petition to consolidate. Upon

the issuance of a certification on consolidation of units, the petitioner is given

thirty (30) days from the issuance of the certification to submit a sufficient

showing of interest in the consolidated unit. If the petitioner obtains a sufficient

showing of interest, the petition is processed and an appropriate certification

is issued.

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Representation Case Handling Manual 11-7
Defective Petitions

12 DEFECTIVE PETITIONS: This section presents an overview of defective

petitions. Defective petitions either prevent the case from being opened

immediately or prevent the Regional Director from taking action on the case

pursuant to § 2422.30(c). The nature of the defect determines whether the

petition can be opened and its ultimate disposition. A basic understanding of

defective petitions is required before processing any petition. This section

distinguishes between defective petitions that prevent a case from being

opened and those which prevent the Regional Director from taking action on

the petition. 

12.1 General policy requirements: All petitions are docketed even though a

petition may be defective. It is imperative that the Regional Director review all

incoming petitions immediately to identify any defects. Delays in identifying

and acting upon defects could eventually affect the processing of a petition. 

For instance, when a petition seeking an election is filed during the open

period of a contract, the Regional Office quickly establishes whether the

petitioner has submitted an adequate prima facie showing of interest. If the

showing is inadequate, the Region’s failure to make a timely determination

could deny the petitioner an opportunity to submit additional showing of

interest timely (see CHM 18). 

12.2 What is a defective petition: A petition is defective if it does not comply with

the filing requirements set forth in § 2422.3 at the time it is filed. A defective

petition differs from one in which it does not appear that it can be processed

(for example, when a petition is clearly untimely). See CHM 15.8. 

12.2.1 Defects which prevent a case from being opened: In certain cases, the

petition is docketed, but it cannot be opened because the petitioner has not

complied sufficiently with the regulations to warrant further processing of the

case. Usually, the petition form is missing crucial information or the showing

of interest in election or dues allotment cases is not attached. The Regional

Director determines whether a petition is defective and cannot be opened

(CHM 12.3). 

12.2.2 Defects which may prevent the Regional Director from taking action on

the case: Some petitions do not comply fully with the filing requirements, but

the procedural defects do not warrant delaying opening the case. These

petitions are defective, but may be opened (CHM 12.4). However, the

petitioner corrects the procedural defect before the Regional Director can take

action on the case pursuant to § 2422.30.

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Defective Petitions

12.3 Examples of defective petitions that may not be opened and delay initial

communications with the parties: Such petitions cannot be opened and

can only be cured by an amended petition. See CHM 13 for guidance on

amending petitions:

a. The petitioner did not sign the petition form;

b. The petition was not filed on the correct form or a reasonable

facsimile of the correct form (FLRA Form 21);

c. The petitioner did not explain the purpose of the petition or the stated

purpose is so unclear given the other information provided with the

petition that it raises questions about what the petitioner is seeking;

d. The unit description is not provided;

e. In a petition seeking an election, the showing of interest is not

provided or in a petition seeking a determination of eligibility for dues

allotment, the showing of membership is not provided;

f. The preliminary showing of interest in an election petition cannot be

checked because crucial information is missing on the petition form; 

g. The petitioner does not identify any parties affected by issues raised

by the petition; or

h. A local activity or labor organization files a petition on a matter

relating to the representation of employees who are part of a

nationwide exclusive bargaining unit or an agency-level consolidated

unit. The names of the petitioner and agency affected by issues

raised do not reflect the parties to the certification. Additionally, the

local activity or local labor organization does not appear to be

authorized to represent the party to the recognition/certification. (see

CHM 4.7, 14.2 and 20.1.1 for handling procedures).

If a petition is defective as described in this subsection, the region notifies the

petitioner telephonically (CHM 20.2) and the Regional Director sends a

confirming letter as set forth in Figure 12.3 (with the exception of showing of

interest defects - see below). The letter will advise the petitioner of the defect

and state that absent an amended petition that corrects the defect, the petition

will be dismissed. 

NOTE: If the petition is defective because the petitioner seeking an

election failed to submit a showing of interest or to complete Item #3, the 

agent contacts the petitioner immediately since Authority case law

requires that any showing of interest must be received not later than the

last day on which the petition may be filed timely. Similarly, the showing

must be adequate. CHM 18.9 establishes unique time limitations for

perfecting an inadequate showing of interest. 

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Defective Petitions

12.4 Examples of defective petitions that may be opened and do not delay

initial communications with the parties:

a. The unit description is unclear or inaccurate; 

b. The purpose of the petition and the results the petitioner seeks are

unclear, but reasonably comply with §§ 2422.3(a)(8) and 2422.1, or

provide sufficient information to warrant opening the case (see also

NOTE at CHM 5.2);

c. The petitioner did not serve a copy of the petition on all parties

known to the petitioner to be affected by issues raised by the petition;

d. The petitioner did not submit an alphabetized list of names

constituting the showing of interest although the showing was

attached;

e. Information pertaining to potential parties affected by issues raised

appears inadequate. 

The petitioner is notified of these defects telephonically which is confirmed by

letter signed by the Regional Director as shown in Figure 12.4. See also CHM

20.2. The petitioner is provided with specific guidance on the information

needed to correct the defect. For instance, if a petitioner fails to serve a copy

of the petition on any party that the petitioner knows to be affected by issues

raised by the petition, the petitioner is instructed to serve a copy of the petition

on all known parties. The case, however, can be opened because the parties

can be identified and the petition is clear in other respects. If the petitioner

subsequently fails or refuses to comply with the regulations, the petition could

be subject to dismissal. 

NOTE: An amended petition may not be necessary to cure the defective

petition described in CHM 12.4. The Regional Director has discretion in

such instances to decide when an amended petition is required (CHM

13.8.2d). 

12.5 What happens to defective petitions: A petition will be dismissed if a

petitioner does not comply with the Regional Director’s request to

correct a defective petition either by amending the petition or otherwise

complying with the regulations. Regional personnel are available to

assist the petitioner in amending the petition. Specific guidelines for

processing defective petitions are found in CHM13 (amending a petition)

and CHM 20 (reviewing the sufficiency of petitions and processing

defective petitions). 

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Defective Petitions

NOTE: Ultimately, the Regional Director decides whether to require an

amended petition; however, the petitioner decides whether to amend a

petition. 

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Amending a Petition

13 AMENDING A PETITION: The petitioner on his/her own initiative may add or

delete from the original or last amended petition, irrespective of the

developments of the pending investigation. This section provides guidance on

determining when to require an amended petition and on assisting petitioners

in filing an amended petition. 

13.1 General requirements: No change or correction can be made in a petition

after it has been filed and docketed unless an amended petition is filed. An

amended petition is required when:

a. The petition is defective and cannot be opened as filed;

b. The petitioner changes the identity or size of the unit; or 

c. The petitioner significantly changes the purpose(s) of the petition,

issues raised by the petition, and/or the results sought by the petition. 

13.2 Purposes of amending a petition: There are three (3) basic purposes in

amending a petition with respect to the unit:

a. to correct defects due to omissions or ambiguities;

b. to change the identity or size of the unit; and/or

c. to change the purpose(s) of the petition. 

13.3 How to file: A petition is amended only by completing the appropriate new

form. Thus, except as noted below, a petition cannot be amended by oral or

written request. An amended petition is designated by inserting “AMENDED”,

“FIRST AMENDED” or “SECOND AMENDED” etc. before the word “petition.” 

Since an amended petition replaces the original petition, all items in the

original petition which are not changed by the amended petition are restated

in the amended petition. For example, when filing an amended petition to

correct the name of the activity or agency, all remaining entries contained in

the original petition are restated, unaltered, in the amended petition. Any

change, however slight, from the original petition, constitutes an

amendment with respect to that item.

An exception to the rule that a petition is amended by submitting a new form

occurs when the petitioner seeks to amend its petition during a hearing (see

HOG 18.7).

13.4 Who may file: An amended petition may be filed only by the petitioner or the

petitioner's designated representative.

13.5 Service and filing requirements: The service and filing requirements

discussed in CHM 7 through 10 apply to amended petitions.

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Amending a Petition

13.6 When to file: The regions contact the Office of the General Counsel

whenever questions arise concerning any timeliness issues raised by the filing

of an amended petition. See RCL 12.

13.7 Regional Office assistance provided in amending petitions:

13.7.1 Policy: A single petition permits a flexible approach to resolving issues

concerning the representation of employees by labor organizations covered

by the Statute. Regional Office personnel may render assistance to the

petitioner, including soliciting amended petitions when such amendments

clarify the purpose for which the petition was originally filed or assist the

affected parties in narrowing or resolving the issues raised by the petition.

Regional Office personnel exercise the same care and judgement in

discussing amending a petition as in any other phase of case processing.

13.7.2 Assisting the petitioner: Regional Office personnel may provide assistance

to the petitioner, as appropriate, by talking to or meeting separately with the

petitioner or jointly with all parties known to be affected by issues raised in the

petition. Regional Office personnel may provide reasonable technical

assistance by furnishing appropriate forms or suggesting wording on the

petition form itself. Regional Office personnel may also assist the petitioner

in defining issues consistent with § 2422.13. To the extent the Regional Office

personnel utilize alternative dispute resolution techniques to discuss, narrow

and if possible, resolve issues, Regional Office personnel are cognizant at all

times of the requirement to be consistent with the Statutory requirements for

appropriate units and unit eligibility (see also CHM 1 and 25, and HOG 2.3).

13.7.3 Ethical considerations: Regional Office personnel ensure that their actions

do not lead to an appearance of undue assistance to a party. Regional Office

personnel are the Authority's representative, and that all parties expect

objective consideration of their interests and positions.

13.8 Guidance on determining whether to require an amended petition:

13.8.1 Defective petitions that prevent a petition from being opened: Any

omissions from the petition form, or the failure to submit a showing of interest,

preclude the case from being opened. As discussed in CHM 12.3, such

defects are corrected by amending the petition before a case can be opened.

13.8.2 Defective petitions that may prevent the Regional Director from taking

action on a case: Certain defects as discussed in CHM 12.4 may be

corrected during the initial stages of processing without filing an amended

petition. The Regional Director has discretion in these circumstances to

require an amended petition. Listed below are some examples of petitions

defective because of omissions or ambiguities, and guidance on determining

whether to require an amendment. 

a. Editing the unit description in an election petition to reflect statutory

exclusions does not require an amended petition, but can be

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accomplished in the agreement for election and subsequent Notice

of Election.

b. Providing proof of service does not require an amended petition (if a

party alleges it was not served), but rather a letter certifying that

service was effectuated; however, the failure to actually effect

service of copies of petitions could be the basis for dismissal of

petition (see CHM 7 and Presidio, 34 FLRA at 1034).

c. Clarifying a poorly worded unit description or statement of the

purpose of petition may not necessarily require an amended petition

if in the Director’s view the intent is clear and/or the existing

certification is accessible and reflects substantially the same unit.

d. The regulations require the petitioner to submit an alphabetized list

constituting the showing of interest with the actual showing of

interest(CHM 18.2 and 18.9). The Regional Director has discretion

to require an amended petition if the petitioner fails to submit an

alphabetized list of names. The Regional Director may also exercise

discretion in requiring the alphabetized list in cases where the unit is

very small. Otherwise, this list is obtained during the investigation.

13.9 Amendments to change the identity of the unit: A petition is usually

amended when the identity of the unit is changed: 

a. A unit changes its identity when there is a change in the scope of a

unit. For example:

< an entirely different classification of employees is added to a

proposed unit or the geographical boundaries of a proposed unit are

expanded, thus changing the scope, i.e., the identity of a unit. 

b. A unit may change its identity if the size of the unit changes. 

Employees may be added to a proposed unit without involving the

inclusion of any new job categories. For example: 

< a unit of General Schedule employees may be amended to include

regular part-time employees each of whom is classified as a General

Schedule employee. In this instance, the petition is amended

because of a change in the size of the unit. Regional Directors have

discretion to decide if changes in the size of a unit affect the identity

of a unit and thus, require an amended petition.

Absent an amended petition, parties that may be affected by issues raised in

the petition cannot be identified and notified of the petition and be giv en the

opportunity to intervene. Parties already named also have no opportunity to

respond to changes in the petition if an amendment is not filed. 

13.9.1 Exceptions to requirement to amend petition: A labor organization files a

petition for a unit of employees and during the course of the investigation,

issues are raised with respect to the eligibility of certain employees in the unit

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Amending a Petition

pursuant to 5 U.S.C. 7112(b). In these cases, the region has discretion to

require the union to amend the petition to exclude the disputed employees if

it indicates that it may be willing to proceed to an election on the employees

who are found to be eligible. See National Mediation Board, 54 FLRA 1474

(1998), where the Authority stated the petitioner was not required to amend its

petition when it did not intend to change the unit description. An amendment

is not required to exclude positions based on the statutory exclusions if the unit

description otherwise remains valid. 

Another exception is during a hearing. An amended petition is not required

when the Hearing Officer requests the petitioner at a hearing whether it is

willing to go to an election on a unit different than what was petitioned for in the

event the Regional Director finds an alternative unit appropriate. See HOG

32.12 and 35.8. 

13.10 Amendments to change the purpose(s) of the petition: A petitioner is

required to amend the petition when the petitioner changes the purposes for

which the petition was initially filed. Examples include:

< A petition is filed to clarify a matter relating to a reorganization

following a reorganization. During the processing of the petition, the

petitioner realizes the extent of the reorganization and seeks to

amend the purpose of the petition to reflect the impact of the

reorganization on other units, parties, etc. 

< A labor organization files a petition seeking an election to represent

a unit of employees without an exclusive representative. While the

petition is being processed, the petitioner concludes that it might not

have the showing of interest to support its petition, but would have

the showing of membership to support a petition for dues allotment.

NOTE: An amended petition is not required when the petitioner decides

to add a proposed unit to an existing unit. The purpose of the petition

has not changed nor have the showing of interest requirements

regardless of the petitioner’s intent to represent the employees in a

separate appropriate unit or as part of an existing unit. 

13.11 Effect of amended petitions on parties, timeliness, posting, showing of

interest: Amended petitions may change the scope or purpose of the petition,

and the parties who may be affected by issues raised in the petition. Amended

petitions that change the scope of the petition may also change the showing

of interest requirements. See applicable sections of this manual for a

discussion of the effects of an amended petition on:

a. notification of parties affected by issues raised by an amended

petition - CHM 15.11;

b. posting requirements - CHM 16.8;

c. effect on showing of interest - the showing of interest is re-evaluated

whenever there is a change in the size of the unit, due either to an

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amendment on the petitioner’s own motion or to the Regional

Director’s or Authority’s decision on eligibility or unit issues - CHM18;

NOTE: a petitioner is required to submit the requisite showing

of interest at the time the amended petition is filed [see U.S.

Department of the Interior, National Park Service, Washington, DC,

55 FLRA 311, 315 (1999)] and CHM 18.1 and CHM 18.13.6; and

d. timeliness - RCL 12, HOG 48 and CHM 11.

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Amending a Petition

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General Communications

 INITIAL COMMUNICATIONS 

CHM 14 through 17

14 GENERAL REQUIREMENTS FOR COMMUNICATINGWITH THEPARTIES:

14.1 Overview: Immediately after docketing a petition, the Regional Director

acknowledges receipt of the petition by sending an appropriate letter to the

petitioner and/or any labor organization, agency or activity affected by issues

raised by the petition. The contents of opening letters are dependent on the

purpose and sufficiency of the petition (CHM 15 - information about

notification). Normally, a petitioner is not sent a letter acknowledging receipt

of the petition unless the petition is defective (CHM 15.4). A petition is opened

when the region sends letters to affected parties notifying them of the petition

(CHM 15.8). The petitioner receives copies of these letters (CHM 15.4.3). At

a minimum, initial correspondence to the parties includes a copy of the petition

and a request for a designation of representative (FLRA Form 75). The cover

letter also designates the name and telephone number of the agent to whom

the case is assigned (CHM Figures 15.8A & B, 15.9).

Once the petition is opened and the affected parties are designated, the

Regional Director is required to serve copies of every amended or cross

petition and any documents emanating from the region on all affected parties. 

14.2 Designation of representative: As set forth in CHM 14.1, a designation of

representative, is sent to all parties. FLRA Form 75, Notice of Designation of

Representative, is for the convenience of the parties and notifies the Regional

Office of the name and address of their counsel or other representative.

However, any written designation, signed by a person in an official capacity

with authority to bind a party, is sufficient. If an FLRA Form 75 or other written

statement of designation is not submitted by a party, the petition is processed

utilizing the name and address stated on the petition for that party.

NOTE: A petition filed by a local activity or labor organization on a

matter relating to the representation of employees who are part of a

nationwide exclusive bargaining unit or an agency-level consolidated

unit is not defective if: (see CHM 4.7 for details and CHM 12.3)

 

1) the parties to the certification appear on the caption of

the petition (Items #3 and #4);

2) the petition reflects that the parties to the certification

are the parties that are filing the petition; and 

3) the local activity or labor organization that is filing the

petition on behalf of the certified representatives

confirms it has been designated as the petitioner’(s)

representative. 

14.3 Service of documents on designated representatives: After a party

designates a representative, copies of all documents and subsequent written

communications are served on the designated representative and a copy is

sent to the party in accordance with § 2429.12 (service by the Authority and

Regional Directors) and § 2429.27 (service by the parties) (see CHM 6.3). 

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General Communications

Such designation remains valid until a written revocation is filed. If a case is

no longer within the jurisdiction of the Regional Office where such a

designation or revocation was filed, the Regional Office immediately notifies

the appropriate Regional Office of the designation or revocation.

14.4 Notification of change in assignment: In the event that a change is made

in the agent assigned to the case, the Regional Office promptly notifies the

parties by letter (see Figure 14.4).

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Opening Procedures: Identifying and Notifying Potential Parties

15 IDENTIFYING AND NOTIFYING POTENTIAL PARTIES ABOUT PETITION:

This section discusses requirements and procedures for identifying and

notifying parties that may be affected by issues raised by the petition. These

procedures “begin the opening process.”

15.1 Correlation between petitioner responsibility to serve and Regional

Office responsibility to notify: The regulations require the petitioner to

serve a copy of the petition on all parties known to be affected by issues raised

by the petition. Section 2422.6(a) places additional responsibilities on the

Regional Director to notify any labor organization, agency or activity that the

petitioner has named as being affected by issues raised by the petition and to

make reasonable efforts to identify and notify any other labor

organization, agency or activity affected by issues raised by the petition

(initially discussed in CHM 6.2). 

15.2 Contents of notification: Section 2422.6(b) requires Regional Directors to

notify any labor organization, agency or activity affected by issues raised by

the petition of:

a. the name of the petitioner;

b. the description of the unit or employees affected by issues raised in

the petition; and

c. a request that all affected parties advise the Regional Director in

writing of their interest in the issues raised in the petition.

Sample letters are discussed in CHM 15.8 and 15.9.

15.3 Requirements for notification: The region takes the following actions prior

to notifying any labor organization, agency or activity identified as affected by

issues raised in the petition: 

a. Review the petition carefully for sufficiency and clarity. The agent

reviews the petition for compliance with the filing requirements and

verifies that the petition is otherwise sufficient. Any labor

organization, agency or activity notified of the petition by the region

is entitled to understand from the attached petition what the petitioner

is seeking. The purpose of the petition, description of unit affected by

issues raised and the results the petitioner seeks have to “make

sense.” CHM 15.4 and CHM 20.1.

b. Identify any labor organization, agency or activity that is affected by

issues raised by the petition. Only after the petition is examined for

sufficiency and clarity can the region properly identify parties that

may be affected by issues raised by the petition (CHM 15.5). 

c. Prepare the letters (CHM 15.8 and 15.9). These steps are described

more fully below.

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Opening Procedures: Identifying and Notifying Potential Parties

15.4 Notification to petitioner: The first step determines whether the petition is

sufficient and can be opened. For a checklist on reviewing the sufficiency of

petitions, see CHM 5 and 20.

15.4.1 If the petition is defective and cannot be opened as described in CHM 12.3,

the region notifies the petitioner and sends a confirming letter in Figure 12.3

or an Order to Show Cause, as appropriate.

15.4.2 If the petition is defective, but can be opened as described in CHM 12.4, the

region notifies the petitioner of the defects and sends a confirming letter as

shown in Figure 12.4. Since the petition can be opened, the region proceeds

with steps “b” and “c” as outlined in CHM 15.3.

15.4.3 If the petition is not defective, the region is not required to send the petitioner

a separate acknowledgment of the filing. A copy of the region's notification

letter(s) to the other parties is sufficient notification that the petition has been

docketed and opened. 

15.5 Identifying labor organizations, agencies or activities affected by issues

raised by the petition: 

15.5.1 Party as used in § 2422.6(a): “Party” as used in § 2422.6(a) applies to any

labor organization, agency or activity identified by the parties as being affected

by issues raised by the petition and any other labor organization, agency or

activity that the Regional Director has identified and notified as affected by

issues raised by the petition. (See also § 2421.11 for a general definition of

party.)

15.5.2 Definition of “affected by issues raised”: The phrase “affected by issues

raised,” as used in Part 2422, includes labor organizations, agencies, or

activities having a connection to employees affected by, or questions

presented in, a proceeding (See § 2421.21 for a general definition).

Examples of labor organizations, agencies or activities that may have a

connection to employees affected by, or questions presented in a proceeding

include:

a. petitioners in related cases;

b. agencies or activities whose employees are the subject of the

petition;

c. agencies or activities whose employees may be affected by issues

raised in the petition, such as agencies whose employees were

affected by a reorganization;

d. an incumbent labor organization (any labor organization that is the

currently recognized or certified exclusive representative);

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e. a labor organization that has shown that it has an interest in

representing employees in the unit involved, either:

(i) named in the petition; 

(ii) designated by the agency or activity as having a possible

interest in any of the employees in the unit;

(iii) named previously in a case closed within the past two (2)

years involving the same employees;

f. a labor organization that has shown that it has represented

employees involved in the subject petition. 

g. national unions whose local unions are seeking to re-affiliate (see

New Mexico Army and Air National Guard, 56 FLRA 145 (2000)). 

h. agencies at the departmental or command level when a

reorganization emanates from the higher level organization and the

reorganization may affect more than the unit that is the subject of the

petition.

NOTE: Based on recent Authority case law there are potentially three

types of parties subject to this provision: 1) A labor organization, agency

or activity identified as “affected by issues raised” and is automatically

permitted to participate in the petition as an incumbent labor

organization or employing agency; 2) a labor organization, agency or

activity that is required to intervene in the petition in accordance with

§2422.8; and 3) parties that are “affected by issues raised” by the

petition but who do not qualify as automatic parties or intervenors

pursuant to § 2422.8. These parties are considered “interested parties”

and are required to request to participate in the petition. See CHM 17 for

specific guidance on this issue and Utah Army National Guard, U.S.

Department of the Army, Draper, Utah (Utah ARNG), an unnumbered

Authority Decision denying an application for review in Case No. DE-RP80021, (1999) and Long Beach Veterans Administration Medical Center,

Long Beach, California, 7 FLRA 434 (1981). 

15.5.3 Checklist for identifying labor organizations, agencies or activities

affected by issues raised by a petition: What follows is a checklist to aid

Regional Office personnel in identifying labor organizations, agencies or

activities affected by issues raised by a petition:

a. Review the petition for procedural compliance with filing requirements

(see CHM 5 and 20). If the petition appears to be filed in

accordance with the regulations, make a list of the parties identified

by the petitioner. 

b. Review the petitioner's statement of the issues raised by the petition

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Opening Procedures: Identifying and Notifying Potential Parties

and the results the petitioner seeks. Does the statement provided

generally explain whether the petition is for one or more of the

following purposes (CHM 3):

(i) an election to determine if employees in an appropriate unit

wish to be represented for the purpose of collective

bargaining by an exclusive representative [§ 2422.1(a)(1)(i)

and CHM 3.2.1a]; and/or

(ii) a determination of eligibility for dues allotment in an

appropriate unit without an exclusive representative

[§ 2422.1(a)(1)(ii) and CHM 3.2.1b]; or

(iii) an election to determine if employees in a unit no longer

wish to be represented for the purpose of collective

bargaining by an exclusive representative [§ 2422.1(a)(2)

and CHM 3.2.2].

(iv) to clarify, and/or amend [§ 2422.1(b)]:

- a recognition or certification then in effect (CHM

3.3.1); and/or

- any other matter relating to representation (CHM

3.3.2);

(v) to consolidate two or more units, with or without an election,

in an agency and for which a labor organization is the

exclusive representative [§ 2422.1(c) and CHM 3.4].

(vi) to decertify the exclusive representative pursuant to

5 U.S.C. 7111(f)(1) (CHM 3.6);

c. Once the purpose is identified, review the petition and outline the

unit: 

(i) Does the petition describe the unit affected by issues raised

in the petition; name the agency or activity involved; clearly

define the geographic locations and classifications of the

employees included (or sought to be included) in, and

excluded (or sought to be excluded) from, the unit?

(ii) Does the petition reflect that the unit was previously

certified? 

d. Check the certification database and other case records in the

Regional Office for information about parties and an up-to-date

description of the unit. Do these records reflect that there were other

parties involved in previously filed cases? For instance, if the unit

was recently certified, were there any intervenors in the original

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representation case? Are there other labor organizations at the

agency/activity who participated as intervenors? 

e. Use the OPM reference, “Union Recognition in the Federal

Government”if necessary, to check unit recognitions or certifications. 

f. Contact the petitioner and the employing agency/activity in

accordance with the guidelines in CHM 20. Discuss the petition with

both parties (see CHM 20.2 - petitioner contact, CHM 20.4 - party

contact) and ask whether either party knows of any other labor

organization or agency/activity that could be affected by issues raised

by the petition.

g. Document the case file concerning the region’s efforts to identify

labor organizations, agencies or activities affected by issues raised

by the petition, the region’s determination/decision with respect to

naming affected parties and an explanation of any adverse

determination concerning potential parties (see also CHM 15.12 and

CHM 26.2).

 

The Regional Director determines whether a defective petition and/or a

petitioner's failure to adequately identify affected parties delays processing the

case (CHM 12). 

If a labor organization, agency or activity is not identified at the outset, it is

notified of the petition, in the form and manner indicated below, as soon as its

interest becomes apparent. For purposes of initial communications, it is

preferable to err on the side of notifying a potential party rather than on the

side of ignoring it. 

15.6 Blanket requests for notice of “all” petitions: Blanket requests for notice

of “all” petitions are not honored. Similarly, blanket requests from National

Level Agencies and Labor Organizations to be considered as a “party” in all

representation proceedings are denied. There are two exceptions, noted

below, pertaining to petitions affecting nationwide exclusive or agency-level

consolidated bargaining units or petitions filed by a local labor organization

placed in trusteeship.

15.7 Exceptions to blanket requests for all petitions:

15.7.1 Petitions affecting nationwide exclusive or agency-level consolidated

bargaining units: Appendix C is a listing of all agencies and labor

organizations which have nationwide exclusive recognition or a certification of

consolidation of units at an agency level. Whenever a region receives a

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Opening Procedures: Identifying and Notifying Potential Parties

petition involving employees who are part of either a nationwide exclusive unit

or an agency-level consolidated unit, the parties to the respective certifications

are notified of the petition and thereafter, served with copies of all

correspondence. As discussed in CHM 4.7 and 14.2, such petitions are

defective and amended if: 1) the parties to the certification are not on the

caption of the petition and named as the petitioner(s); and 2) the party filing

the petition is not authorized to represent the certified agency or labor

organization. Regardless of the status of the petition, the parties to the

certification are notified of the filing of the petition.

15.7.2 Petitions involving local labor organizations that have been placed in

trusteeship: Once a region learns that a local labor organization has been

placed in trusteeship, the trustee is served with a copy of the petition (see

CHM 4.8, CHM 6 and 15.8). If the trustee seeks to intervene, s/he is permitted

to do so with the right to file an application for review with the Authority (CHM

17). 

NOTE: Consistent with the policy set forth in CHM 15.5.2, whenever a 

petition is filed to amend a recognition or certification to reflect a

reaffiliation from one labor organization to another, Regional Offices

notify the national union initially of the filing of the petition under

§ 2422.6. See CHM 17.13.1 for a discussion on party status. 

15.8 Opening notification letters: The letter notifying parties identified as

being affected by issues raised by the petition serves to open the case.

This letter notifies parties about the petition, provides information about

participating in processing the petition and seeks specific information

necessary for processing the case. The best practice is when the region

contacts parties and potential parties telephonically before the region sends

out these letters (CHM 20.4). 

NOTE: There may be circumstances where it is not appropriate to send

out opening letters even though the petition may not be defective. 

These cases do not appear as if they can be processed for substantive

reasons and it is not be efficient to open them using the standard

opening letters unless the petitioner can show why the petition should

be processed. For instance:

a. If it does not appear that the petition is timely filed, an Order to

Show Cause requests the petitioner to explain why the case

should be processed is more appropriate than sending out

opening letters. All parties are offered an opportunity to file a

position. 

b. An Order to Show Cause is an appropriate procedure to use 

when the petitioner has not established a question of

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Opening Procedures: Identifying and Notifying Potential Parties

representation in an election petition (i.e., petitioner seeks to

sever a group of employees from an existing unit). The Order

requests the petitioner to show cause why the current unit is

inappropriate (CHM 59). All parties are offered an opportunity

to file a position. 

In these cases, the Order to Show Cause is the act that “opens” the

case. If the response to the Order to Show Cause raises issues that

warrant processing the case further, the Regional Director issues the

standard opening letters and the notice to employees. If not, the

Regional Director issues a Decision and Order that includes sufficient

facts and analysis to support the Regional Director’s legal

conclusion(s) and dismisses the petition.

15.8.1 There are three types of notification letters:

a. a joint letter to the employing agency and/or incumbent labor

organization in election or dues allotment cases filed pursuant to

§ 2422.1(a) (CHM 3.2), (letter discussed in CHM 15.9 and Figure

15.9);

b. a joint letter to the employing agency and/or incumbent labor

organization in cases filed pursuant to §§ 2422.1(b) and (c) (CHM

3.3 and 3.4) (letter discussed in CHM 15.8.2 and 15.8.3 and Figure

15.8A); and

Note: an incumbent labor organization and an employing

agency or activity are automatic parties to any petition

[§§ 2422.8(d) and (e)]. See also CHM 17.7. In a unit

consolidation petition that seeks to consolidate units on an

agency level or organizational level that is higher than where

the current certifications lie, the agency or activity and the

union which will be named on a Certification of Consolidation

of Units are automatic parties. In addition, the local activities

and unions named on the certifications which the petitioner

seeks to consolidate are also automatic parties since they are

the actual parties to the certification and “hold the cert.”

These parties are notified of the petition (send a Figure 15.8A

letter, but no posting). See also CHM 20.1.6 and 20.4.3.

c. a joint letter to other labor organizations, agencies or activities

identified by the petitioner or the Regional Director as being affected

by issues raised in the petition (letter discussed in CHM 15.8.2 and

15.8.3 and Figure 15.8B). This letter is used for notifying potential

parties in petitions filed for any purpose. 

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Opening Procedures: Identifying and Notifying Potential Parties

Note: these potential parties are requiredto intervene pursuant

to §§ 2422.8(c) and (f). See also CHM 17.7.

15.8.2 Figures 15.8A, 15.8B and 15.9 are sample notification letters that can be

modified if necessary, for any petition or combination of petitions,

and/or potential party. Note that any of these letters may be combined

for petitions consolidated for processing. If the region modifies a

sample letter, the region ensures that the letter includes the following,

as required by § 2422.6(b):

a. the name of the petitioner;

b. the description of the unit or employees affected by issues raised in

the petition; and

c. a request that all affected parties advise the Regional Director in

writing of their interest in the issues raised in the petition.

In addition, the letters: 

d. designate whether the addressee is an automatic party to the

petition or is a labor organization, agency or activity that may be

affected by the issues raised in the petition.

e. provide information that clarifies the processing of and participation

in representation proceedings. This includes describing

requirements for intervention. For instance, the letter in Figure

15.8B emphasizes that no party may participate in any proceedings

unless it requests to intervene in accordance with § 2422.8 (see

CHM 17). 

f. outline the parties' duty to furnish information (see § 2422.15 and

CHM 21). 

g. request a copyof allrelevant correspondence concerning the issues

raised in the petition and a copy of any existing or recently expired

collective bargaining agreement(s) covering any of the employees

affected by the issues raised in the petition. 

h. request names, mailing addresses and telephone numbers of all

labor organizations, agencies or activities known to be affected by

the issues raised in the petition. The letter notes that failure to

disclose the existence of another party affected by issues raised in

the petition may affect the processing of the petition. 

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Opening Procedures: Identifying and Notifying Potential Parties

i. emphasize the time limits for filing intervention requests or crosspetitions.

j. direct parties to complete and return FLRA Form 75, Designation of

Representative, as appropriate.

15.8.3 Figure 15.8A is used for an employing agency or activity, and/or an

incumbent labor organization in petitions filed pursuant to

§§ 2422.1(b) and (c). A cross-petitioner is also sent Figure 15.8A. Figure

15.8B is used for any petition involving other affected labor organizations or

agencies/activities. In keeping with the intent of the 1996 revisions to the

regulations, these notification letters were intended to be prepared and

mailed quickly and easily. One letter is used for all addressees whose

potential status is similar; letters to each party are not required. These

letters, like the “generic” petition and the notice of petition discussed in CHM

16 are all part of expedited opening procedures.

15.9 Notification of employing agencyor activityandincumbents in petitions

seeking elections or a determination of eligibility for dues allotment:

 

15.9.1 Employing agencynotification: After the region dockets a petition seeking

an election or a determination of eligibility for dues allotment (see CHM 3.2)

and checks the petitioner*s prima facie showing of interest, the region

telephonically informs the activity about the petition (see CHM 20.4.2). The

region confirms the conversation by a letter that provides the information

described in CHM 15.8, and instructs the activity to furnish the following

information to the Regional Director and all affected parties:

a. names and address of any parties that may be affected by issues

raised by the petition; 

b. a current alphabetized list of employeeswith their job classifications

included in or excluded from the existing unit or claimed unit

affected by issues raised in the petition [see § 2422.15(b)]; the letter

requests that the list be current as of the payroll period ending

immediately preceding the date that the petition was filed; 

c. a completed FLRA Form 75, Designation of Representative. 

If appropriate, the region also directs the activity to post copies of a notice to

all employees. Posting procedures are described in CHM 16.2 (see

§ 2422.7). 

15.9.2 Incumbent notification: If there is an incumbent labor organization, the

region informs the representative named on the petition form about the

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Opening Procedures: Identifying and Notifying Potential Parties

petition. An incumbent is an automatic party to the proceeding unless it files

a disclaimer of interest. See CHM 17.7.3. 

15.9.3 Written confirmation and notification: Figure 15.9 is a sample letter to an

agency/activity and if appropriate, the incumbent labor organization involved

in a petition seeking an election or dues allotment (both parties are automatic

parties in the proceeding and are not required to “intervene”). CHM 20.5.

Note that if the petition is seeking an election in a unit that is currently

represented by an exclusive representative, the letter includes a statement

that the Regional Director has determined that there was a prima facie

showing of interest and that the petitioner has achieved “equivalent status”

with the incumbent. U.S. Department of Defense Dependents School,

Panama Region, 44 FLRA 419 (1992).

15.10 Parties that may be affected by issues raised but may not qualify under

§ 2422.8 to intervene: Parties that may be affected by issues raised but

may not qualify under § 2422.8 to intervene may only be served an opening

letter under the circumstances described in CHM 15.5.2g. In order to

participate in the case, these parties are required to request status as

interested parties. See CHM 17.13 for detailed information about “interested

parties.” 

 

15.11 Effect of amended petitions: Amending a petition could change the parties

who are affected by issues raised by the petition. Whenever a petition is

amended, the region re-examines the potential parties that may be affected

by issues raised by the amended petition. 

15.12 Regional Director’s responsibility after notification: The 1996 revisions

to the regulations streamline and make more flexible the rules addressing the

representational concerns of agencies, labor organizations and individuals.

15.12.1 Incumbent labor organizations and employing agencies/activities: If a

labor organization, agency or activity has been identified as an incumbent or

the employing agency, the party is automatically a party to the case. In such

instances, the Regional Director confirms whether or not the party(ies) will

participate in the case. See e.g., U.S. Department of the Interior, National

Park Service, 55 FLRA 466 (1999) where the Regional Director incorrectly

identified two labor organizations that represented employees affected by a

reorganization as potential intervenors rather than incumbents. 

15.12.2 Potential parties that are required to intervene: The provision that the

Regional Director notify a labor organization, agency or activity that it may be

affected by issues raised by the petition does not require the region to

confirm a potential party’s participation in a petition. To do so could delay

processing the case and places a burden on the Regional Director that

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15-10 Representation Case Handling Manual
Opening Procedures: Identifying and Notifying Potential Parties

exceeds the intent of the regulation. See CHM 20.4 which requires the agent

assigned to handle the petition to telephonically contact parties that may be

affected by issues raised in a petition as soon as possible, usually prior to

sending the opening letters.

Any labor organization, agency or activity notified by the Regional Director

that it may be affected by issues raised by a petition is permitted a

reasonable opportunity to become a party to the case. For example: 

a. if a labor organization, agency or activity has been identified and

notified of a petition and contacts the Regional Office for

information, the region advises it of the status of the case. If the

labor organization, agency or activity states it intends to intervene

pursuant to § 2422.8, the agent reviews the requirements for

intervention with that party. 

b. If, during processing of the case, the Regional Director identifies a

substantive issue that affects parties who have not been previously

identified as potential parties or that changes the status of a party

identified, the Regional Director notifies these parties of the

changes in the issues before him/her. See U.S. Department of the

Interior, National Park Service, 55 FLRA 466 (1999). 

c. Any labor organization that has been identified that it is the

incumbent of the employees in the unit (see CHM 17.7.3 for a

definition of “incumbent”) or any employing agency or activity that

has been identified as an employing agency pursuant to § 2422.8(e)

are automatic parties and the region confirms their participation

before taking action pursuant to § 2422.30. (i.e, a disclaimer by the

incumbent).

 

NOTE: Thus, before taking action pursuant to § 2422.30, the Regional

Director has discretion to, and in some cases, is required to follow up

with any labor organization, agency or activity that may be affected by

issues raised in the petition. See also CHM 17.5 and 20.8.

Office of the General Counsel

Representation Case Handling Manual 15-11
Notice of Petition

16 NOTICE OF PETITION: 

16.1 Purpose: The purpose of a notice of petition is to inform employees about

the petition (see § 2422.7). A notice of petition has no other purpose. The

1996 revisions to the regulations significantly diminished the purpose and

effect of the posting requirement. The posting of the notice no longer

establishes the time period for filing intervention requests, challenges to the

showing of interest or other challenges to the proceeding. 

16.2 When posting occurs: The regulations provide that the Regional Director

will direct an agency or activity to post a notice of petition “when appropriate.”

The Office of the General Counsel interprets this provision to require a

posting only when the petition is opened (see CHM 1.2 and CHM 12). 

Thus, a posting cannot be sent until a petition is amended and the defect is

cured. The region mails the notice of petition to the agency/activity when the

purpose of the petition is clear and/or the petition appears to merit

investigation. If a petition is unclear, i.e., the region is unable to inform the

employees adequately about the petition, the notice is not forwarded until the

petition is amended. If the petition appears to lack merit, a notice may never

be appropriate. 

Examples of petitions that never require postings include:

< A petition that is not accompanied by a timely submitted prima facie showing

of interest.

< A petition that is clearly untimely because it is filed outside the open period

of an agreement covering a claimed unit. In such cases, the Regional

Director issues an Order to Show Cause to the petitioner requesting its

position on the timeliness issue (see CHM 20.1). Copies of the Order to

Show Cause is served on all parties. In these circumstances, the Regional

Director does not ask the agency/activity to post the notice of petition. 

< A petition seeking an election among a group of employees that are part of

a consolidated unit is filed by a petitioner who is unaware that the proposed

unit is already part of a consolidated unit. In this example the petitioner is not

seeking to sever the unit from the consolidated unit. 

Regional Offices err on the side of posting a notice of election if there is any

question about whether such posting is appropriate.

16.3 Contents of notice: The regulations require only that the notice of petition

advise affected employees about the petition. FLRA Form 30 is used for all

notices of petitions filed under Part 2422 of the regulations. The notice

identifies:

Office of the General Counsel

Representation Case Handling Manual 16-1
Notice of Petition

a. the name of the agency/activity that employs employees affected by

issues raised in the petition;

b. the name of the petitioner; and 

c. the purpose of the petition. 

Since no action or right flows from the posting, the Office of the

General Counsel standardized the language that the regions use to

describe the purpose of the petition. The regions select one of the

following statements to reflect the purpose of the petition (the italics

indicate when the region may add clarifying information). When the

petition has more than one purpose, the notice includes all appropriate

statements.

 

1. an election to determine the exclusive representative of certain

employees at the agency (the region may describe briefly the name

and location of the activity); 

2. a determination of eligibility for dues allotment in an appropriate unit

without an exclusive representative;

3. an election to determine if employees no longer wish to be

represented for the purpose of collective bargaining by the exclusive

representative (the region may describe briefly the name of the

labor organization involved);

4. to clarify, and/or amend:

(i) a recognition or certification (then) in effect (the region

may add “for employees at (and name the activity)”);

and/or

(ii) any other matterrelating to representation (the region may

state that the petitioner wishes to disclaim interest for the

unit at the “named” activity);

5. to consolidate two or more units, with or without an election, in an

agency (the region may name the agency involved) and for which

a labor organization (the region may name the labor organization

involved) is the exclusive representative. Thirty percent (30%) or

more of the employees in the proposed consolidated unit may

request an election on the proposed consolidation prior to the

Regional Director taking action on the case pursuant to § 2422.30

of the regulations. 

16.4 Duration and location of posting: The regulations require that the Regional

Director direct the agency/activity to post the notice conspicuously for ten (10)

days in places where notices are normally posted for the employees affected

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Notice of Petition

by issues raised in the petition and/or distribute copies of the notice in a

manner by which notices are normally distributed. Notices can not be

altered, defaced or covered by other material.

The requirement to post the notice in places where notices are normally

posted or in a manner by which notices are normally distributed includes

faxing notices or forwarding the notices via electronic mail, if other notices to

employees are normally distributed in that manner. During the agent’s first

contact with the agency or activity, the agent discusses how notices are

normally delivered to agency personnel. The agent also offers guidance to

the agency representative on posting the notice. 

If notices are normally distributed to employees by fax or e-mail, the agency

is only required to notify the employees once. If notifying by fax, the agency

certifies to the Regional Office that it faxed a copy of the notice to all

employees and send a copy of it to the Regional Office. If notice is sent via

e-mail, the agency certifies to the Regional Office that the e-mail was sent to

the employees. A copy of the e-mail is attached to the certification.

16.5 Certification of posting: The agency/activity is not required to provide the

Regional Director with a certification of posting.

16.6 What happens if the agency refuses to post: Contact the Office of the

General Counsel for guidance if an agency refuses to post the notice of

petition. 

16.7 Status of petition during posting period: Regional Offices do not delay

processing the petition during the posting period.

16.8 Effect of amending a petition: Regional Directors are required to send an

amended notice of petition to the activities whenever an amended petition

changing the scope and character of the unit or the purpose of the petition is

filed (CHM 13.9 and 13.10). The “generic” language set forth in CHM 16.3

is used. The posting of an amended notice of petition does not delay

processing the petition. 

Office of the General Counsel

Representation Case Handling Manual 16-3
Intervention and Cross-Petitions

17 INTERVENTION AND CROSS-PETITIONS: This section discusses the

requirements for filing requests for cross-petitions and intervention. 5 U.S.C.

7111(c) provides that a labor organization may intervene in any petition filed

pursuant to 5 U.S.C. 7111(b). The regulations provide procedures for

requesting intervention by labor organizations and agencies or activities that

are affected by issues raised by the petition (see § 2422.8). A party whose

intervention has been permitted or directed by the Authority, its agents or

representatives in a proceeding is called an intervenor (§ 2421.12).

17.1 Distinctions between cross-petitions and interventions: There are two

methods for a union and/or an agency to become a party to a case: filing a

cross-petition and filing a request to participate in a pending case. The latter

is called a request for intervention. 

17.1.1 Cross-petitions: A cross-petition is a petition that involves any employees

in a unit covered by a pending representation petition [§ 2422.8(a)]. 

17.1.1.1 Procedures: A cross-petition is docketed as a new case and is subject to

the same standards for review and sufficiency as any petition. In all respects,

a cross-petition is treated as any other petition and is processed in the same

manner. The only difference is that in order for a petition to be treated as a

cross-petition, it must: 1) involve employees covered by a pending

representation petition and 2) be filed according to the timeliness

requirements for filing requests to intervene. See CHM 17.6 for a discussion

concerning the requirements for filing a cross-petition.

17.1.1.2 Purpose: A cross-petition 1) seeks to resolve a question of representation

in a different unit involving any employees covered by the pending petition;

or 2) concerns the same employees in the pending petition, but is filed for a

different purpose than the initial petition.

17.1.2 Requests to intervene: An intervention request is filed by a party seeking

to participate in a pending case.

17.1.2.1 Procedures: A party that is granted intervention has a different status than

a cross-petitioner and is subject to different filing requirements. See CHM

17.7 for a discussion concerning the requirements for filing intervention

requests.

17.1.2.2 Purpose: A labor organization request to intervene in a pending petition

seeks to participate in an election for the proposed unit, claims to represent

certain employees in the proposed bargaining unit, or claims to be affected

by issues raised in the pending petition. The labor organization requesting

intervention may seek a different result than that proposed by the petitioner. 

An agency seeks to intervene in a petition if it believes that it is affected by

issues raised in the petition. 

17.1.3 Policy on filing cross-petitions versus requests to intervene: CrossOffice of the General Counsel

Representation Case Handling Manual 17-1
Intervention and Cross-Petitions

petitions and intervention requests are filed for different reasons. 

a. A labor organization may intervene in any representation

proceeding if it claims to represent any employees in a unit covered

by the pending representation petition. A labor organization may

intervene pursuant to §§ 2422.8(c)(2) or (3) depending on the

circumstances (CHM 17.7).

b. A labor organization is an automatic intervenor if it is the incumbent

labor organization pursuant to § 2422.8(d) (CHM 17.7.3). 

c. A labor organization may intervene in a petition seeking an election

or seeking to resolve a matter of representation when it claims to

represent the subject employees or seeks the same unit as

proposed by the petitioner (CHM 17.7). A cross-petition is required

when the labor organization does not claim to represent any of the

subject employees and seeks to represent these employees in a

different unit than that proposed by the petitioner (CHM 17.6). 

Examples include:

< A labor organization files a petition seeking an election to represent

an unrepresented group of employees. Another labor organization

seeks to represent the employees in a different unit. The second

labor organization does not claim to represent any of the employees

in the pending petition. The second labor organization files a crosspetition with a thirty percent showing of interest rather than

intervene with a ten percent showing of interest. A cross-petition

with a thirty (30) percent showing of interest in the proposed unit is

required to establish that a genuine question of representation

exists.

< A labor organization files a petition seeking an election to represent

an unrepresented group of employees. Another labor organization

seeks to represent the employees in the same unit, but proposes to

add these disputed employees to its consolidated unit. The second

labor organization requests to intervene in the first petition and

submits a ten (10) percent showing of interest. Both parties are

seeking the same unit. 

< A labor organization files a petition seeking a determination that an

agency is a successor employer for certain employees who the

agency acquired. A labor organization that has never represented

the subject employees files a cross-petition with a thirty (30) percent

showing of interest as it seeks an election to represent the

employees who are the subject of the “successorship” petition.

< If the incumbent in a decertification election petition or a petition

filed by a labor organization to “raid” the incumbent and thereafter

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Intervention and Cross-Petitions

contests the appropriateness of the unit for which it holds the

certification, it must file a cross-petition with a thirty (30) percent

showing of interest for the unit it claims is appropriate.

 

d. A party (labor organization or agency) claiming to represent or

employ employees who are affected by a pending petition may

properly intervene or cross-petition. In the following scenarios, the

party claims to represent the subject employees currently or claims

it represented the subject employees prior to the reorganization.

This party, as an intervenor or cross-petitioner, may seek a different

result than the petitioner. 

< A labor organization files a petition seeking an election to represent

an unrepresented group of employees. Another labor organization

claims that due to a reorganization it already represents the

employees at the agency and that the agency is a successor

employer for the unit. The second labor organization may request

to intervene pursuant to § 2422.8(c)(3). That labor organization

could also claim to be an automatic party as an incumbent based on

its prior representation of “all of the employees in the unit sought by

a petition” pursuant to § 2422.8(d) (see CHM 17.7.2 or 17.7.3 and

cases cited therein). The “incumbent” could also file a crosspetition. 

< A labor organization files a petition to represent certain employees

at an agency or activity. The purpose of the petition could be to

seek an election or claim successorship due to a reorganization. 

A second labor organization claims that the subject employees

accreted to its unit. The second labor organization did not

previously represent the subject employees. The second labor

organization could file a cross-petition or a request to intervene,

based on § 2422.8(c)(3). 

< A labor organization files a petition to represent certain employees

at a newly established agency or activity. The petitioner claims

successorship due to a reorganization. Another agency requests to

intervene claiming that the employees who are the subject of the

petition are still employed by its agency and have not yet transferred

to the new agency. The investigation focuses on whether the

second agency that claims to continue to employ the employees is

an automatic party pursuant to § 2422.8(e) or an intervenor

pursuant to § 2422.8(f). 

< An agency files a petition seeking to clarify a matter relating to the

representation of employees pursuant to § 2422.1(b)(2). The

agency claims that it has a good faith doubt that the incumbent

labor organization continues to represent a majority of the

employees in the unit. (See RCL 4). A second labor organization

may file a ten (10) percent showing of interest to intervene in this

Office of the General Counsel

Representation Case Handling Manual 17-3
Intervention and Cross-Petitions

petition. 

Questions relating to the application of this policy are referred to the Office

of the General Counsel. See also CHM 17.6.1, 17.7.1 and 17.10.

17.2 Who may file: Only a labor organization, agency or activity may

intervene in a representation proceeding[§ 2421.11(b)(2)]. An employing

agency or activity or an incumbent labor organization are considered

automatic parties to the proceeding [§2421.11(b)(1)(iii)]. In unit consolidation

petitions, the parties to the certifications are considered incumbents even 

though the national union or agency is filing the petition at the national level. 

See CHM 15.8.1b at the “Note” and CHM 20.1.6. 

The regions contact the Office of the General Counsel whenever questions

arise concerning a party’s status. 

17.3 What and when to file: Section 2422.8(b) states that a request to intervene

or a cross-petition, accompanied by any necessary showing of interest, must

be submitted in writing and filed with either the Regional Director or the

Hearing Officer before the hearing opens, unless good cause is shown for

granting an extension. If no hearing is held, a request to intervene and a

cross-petition must be filed prior to action being taken pursuant to § 2422.30.

Section 2422.30(c) states that: 

After investigation and/or hearing, when a hearing has

been ordered, the Regional Director will resolve the matter

in dispute and, when appropriate, direct an election or

approve an election agreement, or issue a Decision and

Order.

Thus, any labor organization or agency may intervene or cross-petition prior

to the opening of a hearing, or absent a hearing, prior to a direction of

election or approval of an election agreement or issuance of a Decision and

Order, unless good cause is shown for granting an extension.

17.3.1 Application of the phrase “unless good cause is shown for granting an

extension”: Regional Directors may exercise discretion in accepting an

otherwise untimely intervention or cross-petition only in rare and exceptional

cases. 

17.3.1.1 Considerations:

a. whether the region or the petitioner identified the party as being

affected by issues raised and properly notified the party of the

petition;

b. whether the region knew of a party’s existence but did not identify

it as being affected by issues raised;

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Intervention and Cross-Petitions

c. whether the party requesting intervention or filing a cross-petition

knew, should have known or could have known about the petition;

d. whether therewere intervening circumstances that precluded proper

identification and notification of the party (such as a last minute

amendment or a reorganization occurred that changed the scope of

the petition); or 

e. other unusual circumstances. See e.g., U.S. Department of the

Interior, National Park Service, Washington, DC, 55 FLRA 466

(1999). 

17.3.1.2 Procedures: If a region receives an intervention request or cross-petition

that is filed after a hearing is opened, or after approval of an Election

Agreement or issuance of a Direction of Election or Decision and Order, the

Regional Director acknowledges receipt of the request or cross-petition and

informs the filer that the request appears untimely. The Regional Director

thereafter issues an Order to Show Cause to the party and requests an

explanation why the intervention request or cross-petition should be

accepted. The region serves copies of this Order on all parties. The party

is given no more than ten days to respond. See Figure 17.3 for a sample

Show Cause Order. CHM59.2 also discusses Orders issued by the Regional

Director.

At the conclusion of the time period given for the parties’ positions, the

Regional Director considers the positions of the parties and the reasons

supporting the labor organization, agency or activity’s untimely request to

intervene or cross-petition. If the Regional Director determines to grant the

intervention request, the letter in Figure 17.11 is sent. The Director’s

decision to grant the intervention request does not preclude other parties

from challenging the intervention at a subsequent hearing or election

agreement meeting (CHM 28.11.2.2). 

If the Director decides to deny the request after receiving the response to the

Order to Show Cause, the region follows the procedures in CHM 17.12 and

solicits withdrawal of the request to intervene. If the party refuses to withdraw

its intervention request, the region follows the procedures outlined in CHM

17.14. In situations where the cross-petition is received untimelywith respect

to the lead petition, there maybe circumstances where the cross-petition may

be processed separately from the lead petition if it is otherwise considered

timely filed. In these situations, the cross-petition is not dismissed until the

Regional Director decides that the lead petition is valid and the cross-petition

does not raise any issue that can be processed separately from the first

petition (see CHM 17.6.2). 

17.3.1.3 Cross-petitions raising claims pursuant to section 7111(f)(1) of the

Statute: petitions raising claims pursuant to section 7111(f)(1) of the Statute

allege that a labor organization that is participating in the other petition (as a

petitioner orintervenor) is subject to corrupt influences or influences opposed

Office of the General Counsel

Representation Case Handling Manual 17-5
Intervention and Cross-Petitions

to democratic principles and may be filed at any time. See CHM 20.1.8 and

RCL 10B for processing guidelines.

17.3.2 Interventions and cross-petitions received too late for the region to

process prior to the opening of the hearing: 

a. A motion to intervene or cross petition filed immediately prior to

opening the hearing is reviewed by the Hearing Officer to determine

whether it complies with § 2422.8. If necessary, the Hearing Officer

delays opening the hearing to review the request to intervene. The

intervention request or cross-petition must be accompanied by

evidence of interest as described in § 2422.8(c) unless the

intervenor claims to be the incumbent [§ 2422.8(d)]. When the

petition seeks to clarify or amend a matter relating to representation,

a party is required to proffer other appropriate evidence of interest

to support its intervention request. If no evidence is submitted to

support the intervention request, the request is referred to the

Regional Director for action. The party requesting intervention is

not permitted to participate in the hearing. See also HOG 17.4.2

through 17.4.4 for processing procedures and exceptions.

b. If an intervention request is complicated or there is an issue of

timeliness, the Regional Director may give permission to the

Hearing Officer to grant “conditional intervention” under the limited

circumstances discussed in HOG 17.4. Alternatively, the Regional

Director may instruct the Hearing Officer to refer the intervention

request to him/her for consideration. If the Regional Director grants

the party “conditional” intervention, the Hearing Officer announces

the Regional Director’s decision and follows the procedures in HOG

17.4.4.

17.3.2.1 Interventions and cross-petitions received after the hearing opens: A

motion to intervene made during the hearing is untimely. The Hearing Officer

asks the party requesting intervention for the grounds for the request and the

reasons for the delay in filing. The Hearing Officer then goes off the record

and contacts the Regional Director to discuss the intervention request. HOG 

18.4. A cross-petition received during the hearing is referred to the Regional

Director for action. HOG 23.3.

17.3.3 Interventions and cross-petitions filed at the election agreement

meeting or prior to the Regional Director’s approval of the Election

Agreement or Direction of Election: An intervention request or crosspetition filed at the election agreement meeting or prior to the Regional

Director’s approval of the Election Agreement or Direction of Election is a

threshold issue that is resolved before the Regional Director can approve the

Election Agreement or issue the Direction of Election. If the requests are

made during the election agreement meeting and cannot be decided quickly,

the meeting is adjourned. 

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Intervention and Cross-Petitions

The procedures outlined in this section are followed in processing

intervention requests or cross-petitions. If the intervention is granted or the

cross-petition is consolidated with the petition pending action, the election

agreement meeting is reconvened with the intervenor or cross-petitioner as

a party to the proceeding (see CHM 28 for a discussion on election

agreements or directed elections). 

17.4 Correlation between “notification” and “intervention”: It is important to

distinguish between labor organizations and agencies/activities that are

automatically entitled to participate in representation proceedings from labor

organizations or agencies/activities who are required to intervene to

participate. Any labor organization or agency/activity that may be affected by

issues raised by a petition is notified of the filing of a petition (§ 2422.6). But

not every labor organization or agency/activity notified pursuant to § 2422.6

by the Regional Director that it may be affected by issues raised by the

petition is automatically entitled to participate in the petition. A crosspetitioner, employing agency/activity and/or incumbent labor organization are

automatically parties to a representation proceeding and are designated as

such in the initial letter notifying them of the petition (see Figure 15.8A or

15.9). Any other agency/activity or labor organization that may be affected

by issues raised by the petition is required to request to intervene or crosspetition according to the requirements set forth in § 2422.8 and § 2421.21 in

order to participate in the petition (see Figure 15.8B).

17.5 Limitations on Regional Director’s duty to notify: The regulations were

revised to streamline the representation process and make the rules more

flexible.To achieve these objectives, Regional Directors take a proactive role

in identifying and notifying parties that may be affected by issues raised by

the petition and to ensure that cases are processed expeditiously. This

provision does not require the region to routinely confirm a party’s

participation in a petition. To do so could delay processing the case and

places a burden on the Regional Director that exceeds the intent of the

regulation. CHM 20.4 requires the agent assigned to handle the petition to

telephonically contact parties that may be affected by issues raised in a

petition as soon as possible, usually prior to sending the opening letters.

Any labor organization, agency or activity notified by the Regional Director

that it may be affected by issues raised by a petition is permitted a

reasonable opportunity to become a party to the case. For example: 

a. If a labor organization, agency or activity has been identified and

notified of a petition and contacts the Regional Office for

information, the region advises it of the status of the case. If the

labor organization, agency or activity states it intends to intervene

pursuant to § 2422.8 or § 2421.21, the agent reviews the

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Representation Case Handling Manual 17-7
Intervention and Cross-Petitions

requirements for intervention with the party. 

b. If a labor organization, agency or activity has been identified as an

incumbent or the employing agency, the party is automatically a

party to the case. In such instances, the Regional Director confirms

whether or not the party will participate in the case before taking

action pursuant to § 2422.30. 

c. If, during processing of the case, the Regional Director identifies a

substantive issue that affects parties who have not been previously

identified as potential parties or that changes the status of a party

identified, the Regional Director notifies these parties of the

changes in the issues before him/her. See U.S. Department of the

Interior, National Park Service, 55 FLRA 466 (1999). 

Thus, before taking action pursuant to § 2422.30, the Regional Director has

discretion to, and in some cases is required, to follow up with any labor

organization, agency or activity that may be affected by issues raised in the

petition. 

See CHM 15.12 and 20.8.

If there is a substantial change in the unit or petition that requires an

amendment, the Regional Director follows the procedures in CHM 15 to

identify any other affected labor organization or agency or activity. The

region notifies any potential parties in accordance with CHM 15.11 that an

amended petition has been filed.

17.6 Processing cross-petitions: A cross-petition is a petition which involves

any employees in a unit covered by a pending representation petition

[§ 2422.8(a)].

17.6.1 Filing requirements: A cross-petition must be filed on a FLRA Form 21 and

in accordance with the requirements set forth in CHM 4 through 10,

concerning procedures for filing. A cross-petition is filed whenever a party

seeks a different unit involving any employees in the unit covered by the

pending representation petition [§ 2422.8(a)].

17.6.2 Timeliness: Section 2422.8(b) requires that a cross-petition must be filed

before a hearing opens, or absent a hearing, prior to action being taken

pursuant to § 2422.30. A cross-petition is not subject to the timeliness

requirements set forth in § 2422.12; it is dependent on the lead petition. If

the lead petition is withdrawn or dismissed, the cross-petition is also be

withdrawn or dismissed, unless the cross-petition is otherwise filed timely. 

It is important to understand the phrase: “otherwise filed timely.” A crossOffice of the General Counsel

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Intervention and Cross-Petitions

petition that is filed timely in accordance with § 2422.12 and § 2422.8 is not

subject to dismissal or withdrawal if the lead petition is dismissed or

withdrawn. Examples include:

< A petition is filed during the open-period of a contract. A cross-petition

seeking an election in a unit different from the one petitioned-for does not

have to be filed during the open period of a contract, but has to be filed

before a hearing opens, or, if no hearing is held, prior to action being taken

pursuant to § 2422.30. If the lead petition is withdrawn or dismissed so is the

cross-petition as it is nothing more than an intervention for a different unit.

< A petition is filed seeking an election for a unit of employees during the open

period of a contract. A cross-petition is filed alleging that certain employees

in the lead petition have been transferred to another unit. The crosspetitioner is not seeking an election, but rather a determination of the status

of the transferred employees. The cross-petition is timely filed until such time

as a determination is made that the affected employees have or have not

been transferred from the unit. If the employees have not been transferred

from the unit, the petition is dismissed as untimely. If the employees have

been transferred from the unit, the petition is timely and decided on its

merits. 

< A petition is filed seeking an election for a unit of employees. There is no

contract. A cross-petition is filed seeking an election for a different unit that

includes employees from the lead petition. The lead petition is withdrawn. 

The cross-petition is still valid since it was filed timely, irrespective of the lead

case.

17.6.3 Procedures for processing: A cross-petition is processed with a lead

petition until such time as the Regional Director decides the cross-petition

does not involve any employees in the unit covered by the lead petition. If

the cases are related, they are consolidated for action pursuant to § 2422.30. 

If they are not related, the Regional Director notifies the parties that the

petitions will be processed separately. 

17.6.4 Notification of cross-petition: Any party to the lead petition and parties that

may be affected by issues raised by the cross-petition are notified of the

cross-petition in accordance with CHM 15 and given an opportunity to

intervene.

17.6.5 Status of parties: Questions may arise concerning the status of the various

parties in cross-petitions. If the cross-petition is filed timely, the crosspetitioner is an automatic party in the lead petition. The lead petitioner and

the employing agency/activityare automatically party(ies) to the cross-petition

(CHM 17.4) and are notified of their status in a letter opening the crossOffice of the General Counsel

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petition. A letter is sent to other parties affected by issues raised in the

cross-petition, regardless of their status in the lead case, and given the

opportunity to intervene (CHM 15.8). 

See CHM 17.3.2 and HOG 23 for processing cross-petitions received in

the region too late to process prior to the opening of the hearing. See

CHM 17.3.3 and CHM 28.34 for processing cross-petitions received at

the election agreement meeting or prior to the Regional Director’s

approval of the Election Agreement or Direction of Election.

17.7 Processing intervention requests: A party requests to participate in a

representation proceeding by filing a request to intervene. 

17.7.1 Filing requirements: A request to intervene must be in writing and

accompanied by evidence of interest to support its request (§ 2422.8). An

intervention request may be filed when a party believes it is affected by the

issues raised by the petition. For policy guidance on the difference between

filing an intervention request or a cross-petition, see CHM 17.1.3. Specific

requirements for intervention are repeated in the following sections. 

Note: A labor organization seeking to intervene must present all

contentions and arguments to the Regional Director. This was

confirmed by the Authority in several cases: “[a] labor organization

seeking to intervene must present all contentions and arguments

concerning its request, not to the Authority in an application for

review.” United States Department of the Interior, Bureau of Indian

Affairs, Navajo Area Office, Gallup, New Mexico (BIA), 34 FLRA 413

(1990) and cited in National Park Service, Golden Gate National

Recreation Area, San Francisco, CA , 41 FLRA 791 (1991) and U.S.

Department of Transportation, U.S. Coast Guard Finance Center,

Chesapeake, Virginia (Coast Guard), 34 FLRA 946 (1990). 

17.7.2 Labor organization intervention requests: Except for incumbent

intervenors, § 2422.8(c) provides that a labor organization seeking to

intervene shall submit a statement that it has complied with 5 U.S.C. 7111(e)

and one of the following: 

a. a showing of interest of ten percent (10%) or more of the employees

in the unit covered by a petition seeking an election, with an

alphabetical list of the names of the employees constituting the

showing of interest [§ 2422.8(c)(1)]; or

b. a current or recently expired collective bargaining agreement

covering any of the employees in the unit affected by issues raised

in the petition [§ 2422.8(c)(2)]; or

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c. evidence that it is or was, prior to a reorganization, the recognized

or certified exclusive representative of any of the employees

affected by issues raised in the petition [§ 2422.8(c)(3)].

17.7.3 Incumbent: An incumbent exclusive representative, without regard to the

requirements of § 2422.8(c) is considered a party in any representation

proceeding raising issues that affect employees the incumbent represents,

unless it serves the Regional Director with a written disclaimer of any

representation interest in the claimed unit [§ 2422.8(d)].

The Authority has stated that a labor organization may not qualify as an

“incumbent” based on representation of some of the petitioned-for

employees. Rather, “a union qualifies as an ‘incumbent’ only when it is the

exclusive representative of all the employees in the unit sought by a petition,

either in the unit covered by the petition or as part of a larger unit, only a

portion of which is involved in the proceeding.” Defense Commissary

Agency, Defense Commissary Store, Fort Drum, New York (Fort Drum), 50

FLRA 249 (1995). When the labor organization formerly represented only

some of the employees in the petitioned-for unit, that labor organization must

intervene in accordance with § 2422.8(c) of the regulations. See CHM

17.7.2.

If an incumbent labor organization declines to participate in a representation

proceeding, it must submit a disclaimer of interest (see CHM 28.10).

17.7.4 Unusual situations where a labor organization claims status as an

incumbent and an intervenor: In unusual situations, a labor organization

may claim status as both an incumbent [§ 2422.8(d)] and a qualified

intervenor [§ 2422.8(c)]. The labor organization must submit evidence in

support of its alternative claims at the time it files its requests. Thereafter, the

region offers guidance in the form of advising the party of the applicable case

law, the regulations and its options. If the labor organization does not elect

its status, its status becomes an issue for the Regional Director to decide in

a Decision and Order. In such cases, the labor organization must be

prepared to present all evidence and arguments to support its alternative

theories. See United States Department of the Interior, Bureau of Indian

Affairs, Navajo Area Office, Gallup, New Mexico (BIA), 34 FLRA 413 (1990). 

This situation occurs most often in cases involving the effects of a

reorganization on an existing unit where the labor organization claims status

as an incumbent and an intervenor under § 2422.8(c)(3) and there is a

question of successorship.

17.7.5 Employing agency: An agency or activity is considered an automatic party

if any of its employees are affected by issues raised in the petition

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[§ 2422.8(e)].

This provision accords automatic status to an agency or activity that employs

any employees who are affected by issues raised in the petition. An

employing agency cannot decline to participate in the proceedings (see

§ 2422.15 and CHM 21). 

17.7.6 Agency or activity intervention: An agency or activity seeking to intervene

in any representation proceeding must submit evidence that one or more

employees of the agency or activity may be affected by issues raised in the

petition [§ 2422.8(f)]. An agency entitled to intervene pursuant to § 2422.8(f)

is usually one that is affected by a reorganization. 

17.8 Failure by a labor organization to submit evidence in support of a

request to intervene or cross-petition: If the request for intervention does

not include: 

a. a statement of service as required in § 2422.4; and

b. a statement of compliance with 5 U.S.C. 7111(e); and

c. evidence of interest, either 

(i) a showing of interest of ten (10) percent or more of the

employees in the unit covered by the petition, with an

alphabetical list of employees of the names constituting

the showing of interest as required in § 2422.8(c)(1); or

(ii) copy of the current or recently expired collective

bargaining agreement as required in § 2422.8(c)(2); or

(iii) other supporting evidence § 2422.8(c)(3),

the Regional Director is required to send a letter immediately that notifies the

party of its failure to comply with the filing requirements (Figure 17.8). The

Regional Director cannot take action on requests for intervention without

ensuring the party requesting intervention has complied with the regulations. 

Cross-petitions submitted without appropriate documentation are processed

according to the guidelines outlined in CHM 12 and 13.

17.9 Failure to submit showing of interest: Any showing of interest as defined

in § 2421.16 to support an intervention request or cross-petition filed in a

petition is submitted when the request to intervene is made. The Regional

Director has discretion to grant an additional three working days to submit

additional showing of interest in an election case if in the Director’s view, the

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additional time will not delay the proceedings and the showing of interest is

otherwise timely filed. See CHM 18.9 for processing. 

NOTE: The terms “showing of interest” and “evidence of interest” are

interchangeable. The “common usage” of “showing of interest” refers

to authorization cards or petitions to support an election petition; other

types of interest are usually referred to as “evidence of interest.” See

CHM 18.6.1.

In any petition, an intervenor or cross-petitioner are reminded that if it fails

to submit an adequate showing or other evidence of interest, it may always

withdraw its request and refile prior to the opening of the hearing or, if no

hearing is held, prior to action being taken pursuant to § 2422.30. As long as

the request and showing are otherwise timely filed, an intervenor or crosspetitioner may withdraw and refile. 

17.9.1 Exception: A request to intervene or cross-petition that is submitted

immediately prior to the opening of a hearing or at an election agreement

conference must be accompanied by an adequate showing of interest or

other acceptable evidence of interest. The party attempting to intervene or

cross-petition is not given additional time to obtain a sufficient showing of

interest. If the party requesting to intervene or cross-petition fails to submit

an adequate showing of interest immediately prior to the opening of a hearing

or at an election agreement conference, the party may not participate in

either proceeding. 

< Hearings: If a party fails to submit a showing of interest with a cross-petition

or intervention request filed immediately prior to the opening of a hearing, the

party is not permitted to participate in the hearing, and the petition and

request for intervention is processed separately. 

< Election agreement conference: If the party requesting to intervene or crosspetition fails to submit an adequate showing of interest at an election

agreement conference, it may resubmit its request to cross-petition or

intervene with supporting evidence of interest prior to the Regional Director’s

approval of the agreement. 

See CHM 18.13.7 for guidance on checking the showing of interest

accompanying interventions/cross-petitions received too late for the region

to process prior to opening the hearing; HOG 17.4 for a discussion relating

to processing an intervention request prior to or at the hearing; and CHM

28.34 that discusses processing a request forintervention/cross-petition and

checking the showing of interest at election agreement meetings.

17.9.2 Determining adequacy of showing of interest: Where the request for

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intervention is supported by evidence of interest among the employees in the

unit; i.e., signed authorization cards, etc. the determination that the showing

of interest is adequate is based upon the activity's payroll list that was used

to check the petitioner’s showing of interest, unless good cause is shown for

using a different list.

The procedures for determining the intervenor*s prima facie showing of

interest and for making the final check against the payroll list are the same

as for determining the showing of interest for a petitioner (see CHM 18). A

report of the intervenor's showing of interest is completed on FLRA Form 52. 

See CHM 18.15.

17.10 Investigating requests to intervene: The purpose of a petition may not be

readily apparent and thus the requirements for intervention may also vary. 

Because of the generic nature of a petition, Regional Office personnel review

all requests for intervention carefully to ensure that the requests are

consistent with the purpose of the petition. Issues that arise in intervention

requests may become issues in the case (CHM 17.1.3). As a result, the

region may find it necessary to direct the parties to meet to discuss and

narrow the issues before the Regional Director can rule upon a request to

intervene or cross-petition (see CHM 25). 

17.10.1 Request supported by a collective bargaining agreement: If a request

for intervention is supported by a current or recently expired agreement as

described in § 2422.8(c)(2), Regional Office personnel decide whether the

agreement covers any of the employees in the unit involved in the petition.

This determination is usually based on the description of the bargaining unit

which sets forth the categories or classifications of employees represented.

If the agreement is ambiguous or silent as to the scope of the unit, the region

requests the intervenor and the activity to submit their positions and

supporting documentarymaterial regarding the composition of the bargaining

unit represented by the intervenor. The certification database is also a

resource for checking unit descriptions.

17.10.2 Request supported by evidence that a labor organization represents or

an agency employs affected employees: A request for intervention that

is based on a statement that, prior to a reorganization, a labor organization

was the recognized or certified exclusive representative of any employees

affected by issues raised by the petition, must be supported by evidence of

the labor organization’s previous status [§ 2422.8(c)(3)]. An agency/activity’s

request for intervention based on a statement that an agency has employees

that may be affected by issues raised by the petition must also be supported

by evidence. Examples include a copy of the certification or recognition

showing the employees’ recognized or certified exclusive representative,

orders transferring affected bargaining unit employees to the new employer

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etc.. 

17.11 Actions on request for intervention: When the Regional Director

determines that the requirements forintervention have been met, the Director

sends a written confirmation to the parties involved. See Figure 17.11. If

possible, the Regional Director informs all parties simultaneously that s/he is

granting one or more request(s) for intervention in a given case. When

granting an intervention, Regional Office personnel ensure that the party and

the party's designated representative are named properly. Copies of the

letter(s) granting intervention are served on all other parties (see CHM 14).

17.12 Soliciting withdrawal of a request for intervention: If the Regional

Director determines that intervention is not appropriate, the Director solicits

withdrawal of the request for intervention in accordance with CHM 27.4.6

(discussing withdrawal of intervention requests and petitions). If the

requesting party does not agree to withdraw its request for intervention over

the phone, the Regional Director sends the letter shown in Figure 17.12. The

letter includes a modified version of FLRA Form 43. The phrase “intervention

in,” is inserted after the word “of” so as to read, “This is to request withdrawal

of intervention in the above-named case.” Copies of the withdrawal

solicitation are not served on the other parties.

17.13 Unusual requests to intervene that are based on § 2421.21: As discussed

at CHM 15.5.2, the phrase “affected by issues raised,” as used in Part 2422, 

should be construed broadly to include labor organizations, agencies, or

activities having a connection to employees affected by, or questions

presented in, a proceeding.” Certain parties that fit this definition are an

incumbent labor organization or an employing agency or activity who are

considered automatic parties. A second type of party that may be affected

by issues raised is a labor organization or activity that requests to intervene

pursuant to §§ 2422.8(c) and (f). A third type of party is one that may have

a “connection” to employees affected by, or questions presented in, a

proceeding, but are not incumbents, employers or parties that can qualify as

intervenors pursuant to § 2422.8. These parties are known as “interested

parties.”

17.13.1 Examples: 

a. National unions in Montrose cases: Regional Offices notify the

national union initially when a petition is filed by a local union that

seeks reaffiliation (see CHM 15.5.2). Although the case law on

trusteeships and Montrose issues continues to be unsettled, a

national labor organization that does not have exclusive recognition

at the level of recognition involved in the petition is considered to be

affected by the issues raised in the petition (see CHM 15.6 and

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15.7). Regions grant national unions “interested party” status in

Montrose cases whether or not the local has been placed in

trusteeship. See New Mexico Army and Air National Guard, 56

FLRA 145 (2000) at n. 10. 

b. Labor organizations that have participated in Montrose proceedings: 

The Authority’s decision in U.S. Army Reserve Command, 88th

Regional Support Command, Fort Snelling, Minnesota (Fort

Snelling), 53 FLRA 1174 (1998), stated that only the certified

exclusive representative may file a petition to amend its certification

following a Montrose vote to change its affiliation. Therefore, the

gaining union in a Montrose proceeding or any other union that

participated in the election, does not meet the requirements to

intervene in these petitions. However, these parties may be

permitted to participate as an “interested party” since they were

affected by issues raised in the proceeding. See CHM 17.13.2 and

CHM 4.3.1.

17.13.2 Policy on handling requests to intervene based on § 2421.21: In Utah

Army National Guard, U.S. Department of the Army, Draper, Utah (Utah

ARNG), an unnumbered decision dated April 16, 1999, the Authority denied

an application for review that was filed by a third party on the Montrose ballot,

and the Authority in a footnote, noted that the Regional Director granted both

parties on the ballot, LIUNA and ACT “interested party” status. Neither the

regulations nor the Statute provide for “interested party” status and the

Authority did not differentiate between “interested parties” and intervenors in

the footnote. 

Until theAuthority provides further clarification on the application of §2421.21,

the regions construe § 2421.21 broadly and grant parties that request to

intervene on the basis that they believe they are affected by issues raised,

but cannot qualify as intervenors or incumbents under § 2422.8, “conditional

intervenor” status and process the request pursuant to CHM 15.8.1 and

15.8.2. Thereafter, the Regional Directors will decide whether or not the

party qualifies as an intervenor, or an interested party in the Decision and

Order. See also Long Beach Veterans Administration Medical Center, Long

Beach, California, 7 FLRA 434 (1981). See also CHM 15.10 and 20.5.2.

17.14 Decision and Order denying request for intervention: If a party fails or

refuses to withdraw its request for intervention, the Regional Director issues

a Decision and Order. (CHM 53 discusses Regional Director Decisions and

Orders). As indicated in Figure 53.A, supporting reasons are given for the

decision, as appropriate. For example, a statement that the intervention was

not supported by an adequate showing of interest is self-explanatory and

sufficient. A statement that the intervention was not timely filed requires an

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explanation. 

17.15 Granting of application of review: In the event that a timely application of

review is filed with the Authority, the Regional Office may not transmit the

case file, or any other documents, to the Authority unless specifically

requested by the Authority, as discussed in CHM 54.

17.16 Action pending review of a Decision and Order denying intervention:

The Decision and Order denying intervention, and/or the filing or granting an

application for review will not stay processing of the petition unless

specifically ordered by the Regional Director or the Authority (see CHM55 for

guidance on actions following the Regional Director’s Decision and Order). 

The Regional Director is required to receive clearance from the Office of the

General Counsel before deferring a petition pending an appeal of a Decision

and Order denying intervention (CHM 58).

17.17 Action upon remand: A party whose request to intervene or cross-petition

is denied by the Regional Director may appeal to have its status reversed. 

If, pursuant to an application for review, the Authority undertakes review and

remands a case based on a finding that the Regional Director improperly

denied a party status as an intervenor or cross-petitioner, the party may be

entitled to participate fully in the petition. If applicable, the procedures set

forth in CHM 29.11 discuss procedures for reopening hearings upon remand

of a case by the Authority. CHM 55.1.3 discusses the effects of a reversal

in an election proceeding.

 

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SHOWING OF INTEREST, VALIDITY AND STATUS CHALLENGES

CHM 18 and 19

18 SHOWING OF INTEREST: CHM 18 concerns petitions and requests for

interventions that are supported by numerical evidence described in

§§ 2422.3(c) and (d) and 2422.8(c)(1). CHM 18.6 provides a complete

definition of a showing of interest, but this section is limited to “numerical”

showing of interest. 

18.1 When a showing of interest is required: The Statute requires that a

showing of interest be submitted with certain petitions that seek elections or

a determination of eligibility for dues allotment [5 U.S.C. 7111(b)(1), 7112(d)

and 7115(c)]. If a labor organization submits an amended petition that seeks

an election in a unit that differs from the original petition, the amended

petition must be accompanied by a showing of interest. U.S. Department of

the Interior, National Park Service, Washington, DC, 55 FLRA 311, 315

(1999). See also CHM 13.11 and 18.13.6.

18.1.1 Petitions that request: (1)(i) an election to determine if employees in an

appropriate unit wish to be represented for the purpose of collective

bargaining by an exclusive representative, and/or (ii) a determination of

eligibility for dues allotment in an appropriate unit without an exclusive

representative; or (2) an election to determine if employees in a unit no longer

wish to be represented for the purpose of collective bargaining by an

exclusive representative must be accompanied by an appropriate showing of

interest. [§ 2422.1(a)]

18.1.2 A showing of interest is also required if employees in units in an agency and

for which a labor organization is the exclusive representative seek an election

on the issue of a proposed consolidation. 5 U.S.C. 7112(d) provides that two

or more units in an agency and for which a labor organization is the exclusive

representative may be consolidated with or without an election. Therefore,

although a labor organization, agency or both parties jointly may file a petition

to consolidate existing units for which the labor organization has exclusive

recognition, the employees may submit a 30 percent showing of interest in

the proposed consolidated unit and require and election on the issue of

consolidation. Providing employees with an opportunity to gather and submit

a showing of interest, while not required by the Statute, is consistent with the

intent of the Statute to ensure secret ballot elections under all circumstances

prior to imposing a bargaining obligation on any agency. (CHM 23.8.3 and

28.17).

18.2 Why a showing of interest is required: The requirement that a showing

of interest be made “serves an administrative purpose in helping to avoid

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unnecessary expenditure of time and funds where there is no reasonable

assurance that a genuine representation question exists and prevents the

parties from abusing the Authority’s processes.” North Carolina Army

National Guard, Raleigh, North Carolina (North Carolina Army National

Guard), 34 FLRA 377, 383 (1990). The question of union support is

conclusively decided by the actual secret ballot election. Coast Guard, 34

FLRA at 949 citing NLRB v. Metro-Truck Body, Inc., 613 F.2d 746, 750 (9th

Cir. 1979).

18.3 Definition of “adequacyof showing of interest”: Section 2422.9(a) states

that adequacy of a showing of interest refers to the percentage of employees

in the unit involved as required by §§ 2422.3(c) and (d) and 2422.8(c)(1). 

18.3.1 The Regional Director’s determination that a showing of interest is adequate

is administrative in nature and not subject to collateral attack at a unit or

representation hearing or appeal to the Authority (see also HOG 33.1). The

Regional Director’s determination that a showing of interest is inadequate

may be appealed by the petitioner or intervenor if the petitioner/intervenor

refuses to withdraw the petition/intervention request and the Regional

Director issues a Decision and Order dismissing the petition/intervention

request. A challenge to the adequacy of a showing of interest is authorized

only under limited circumstances. See § 2422.9(b) and North Carolina Army

National Guard, 34 FLRA 377 and Coast Guard, 34 FLRA 946, 949. 

18.4 Basisof adequacydeterminations: 5 U.S.C. 7111(f)(2) provides in relevant

part that exclusive recognition shall not be accorded to a labor organization

“if there is not credible evidence that at least 30 percent of the employees in

the unit specified in the petition wish to be represented for the purpose of

collective bargaining by the labor organization seeking exclusive

recognition[.]”(emphasis added). See also Office of Hearings and Appeals,

Social Security Administration (OHA),16 FLRA 1175 (1984). Thus, a

determination of the adequacy of the showing of interest is based on the

number of employees in Item #3 on the petition form. Examples include:

a. A petitioner is required to submit a showing of interest for thirty (30)

percent of the entire unit petitioned-for. Thus, in a mixed unit of

professional and nonprofessional employees, the petitioner is not

required to submit a showing of interest consisting of thirty (30)

percent of the professional employees and thirty (30) percent of the

nonprofessional employees. The showing consists of thirty (30)

percent of the entire unit. 

b. In cases where an activity’s staffing fluctuates due to the seasonal

nature of the work or where a unit is expanding, a showing of

interest is required only among those employees employed at the

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time the petition is filed. Coast Guard, 34 FLRA at 950.

NOTE: In the latter case of an expanding unit, this rule does

not resolve whether the petition is premature and can be

processed as the proposed unit must meet the substantial and

representative complement test. (See RCL 2 and Coast Guard,

34 FLRA at 954)

c. When a petitioner seeks to sever a group of employees from an

existing unit, the petition must be accompanied by a thirty (30)

percent showing of interest among the employees in the unit sought

in the petition. OHA, 16 FLRA 1175. 

18.5 What constitutes an adequate showing:

18.5.1 Petitioner’s interest in a request for a representation election: A petition

seeking an election to determine the exclusive representation of employees

in an appropriate unit must be accompanied by a showing of interest of not

less than thirty (30) percent of the employees in the unit claimed to be

appropriate. The petitioner is also required to submit an alphabetical list of

names constituting the showing of interest with the petition.

18.5.2 Petitioner’s interest in a request for a decertification election: A petition

seeking an election to determine whether employees in an existing unit no

longer wish to be represented by an exclusive representative must be

accompanied by a showing of interest of not less than thirty (30) percent of

the employees in the existing unit. The showing of interest must reflect that

the employees no longer desire to be represented for purposes of exclusive

recognition by the currently recognized or certified labor organization. The

petitioner is also required to submit an alphabetical list of names constituting

the showing of interest with the petition.

18.5.3 Petitioner’s interest in requests for a determination of eligibility for

dues allotment: A petition requesting a determination of eligibility for dues

allotment must be accompanied by evidence of membership of not less

than ten (10) percent of the employees in the unit claimed to be appropriate.

The petitioner is required to submit an alphabetical list of names constituting

the evidence of membership with the petition.

18.5.4 Cross-petitioner’s interest in a request for a representation election: A

petitioner seeking an election in a different unit from that claimed appropriate

by another petitioner must be supported by a showing of interest of not less

than thirty (30) percent of the employees in the unit claimed to be appropriate

in the cross-petition. The petitioner is required to submit with the petition an

alphabetical list of names constituting such showing of interest.

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18.5.5 Labor organization seeking to intervene based on a numerical showing

of interest: A labor organization seeking to intervene on the basis of a

showing of interest must submit a showing of interest of ten (10) percent or

more of the employees in the unit covered by a petition seeking an election,

with an alphabetized list of the names of the employees constituting the

showing of interest [see 5 U.S.C. 7111(c) and § 2422.8(c)(1)].

18.5.6 Labor organization that seeks to intervene based on other than a

numerical showing of interest: Some intervention requests are supported

by evidence of interest other than a numerical “showing of interest” as

discussed herein. Section 2422.8(c) provides that in addition to a numerical

showing of interest, other acceptable evidence includes: 

a. a current or recently expired collective bargaining agreement

covering any of the employees in the unit affected by issues raised

by the petition; or 

b. evidence that a labor organization is or was, prior to a

reorganization, the recognized or certified exclusive representative

of any of the affected employees. 

See also CHM 17.7.

18.5.7 Employee request for an election on the issue of a proposed

consolidation: A request by employees (in units in an agency) for which a

labor organization is the exclusive representative for an election on the issue

of a proposed consolidation must be accompanied by a showing of interest

of thirty (30) percent or more of the employees in the proposed consolidated

unit (CHM 20.1.6 discusses processing petitions to consolidate units).

18.6 Definition of a showing of interest: CHM 18 concerns petitions and

intervention requests that are supported by numerical evidence described in

§§ 2422.3(c) and (d) and 2422.8(c)(1); however, § 2421.16 provides a

general definition of showing of interest.

18.6.1 Types of evidence: Types of evidence of interest described § 2421.16

include:

a. Evidence of membership in a labor organization;

b. Employees* signed and dated authorization cards or petitions

authorizing a labor-organization to represent them for purposes of

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exclusive recognition;

c. Allotment of dues forms executed by the employee and the labor

organization*s authorized official;

d. Current dues records;

e. An existing or recently expired agreement;

f. Current exclusive recognition or certification;

g. Employees* signed and dated petitions or cards indicating that they

no longer desire to be represented for the purposes of exclusive

recognition by the currently recognized or certified labor

organization;

h. Employees signed and dated petitions or cards indicating a desire

that an election be held on a proposed consolidation of units; or

i. Other evidence approved by the Authority.

18.6.2 Photocopies: The Regional Director may accept photocopies of evidence

of interest in place of originals. If necessary, the Regional Director may

require the original showing of interest when: (1) there are a significant

number of unsigned or undated authorization cards and the region is required

to mark “unsigned” or “undated” on the original card (CHM 18.7.5c); or (2) 

anytime there is a challenge to the validity of the showing of interest alleging

fraudulent or forged signatures (CHM 18.19). 

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18.7 Requirements for acceptable evidence of interest: 

18.7.1 Membership in a labor organization: Evidence of membership in a labor

organization is required to support a dues allotment petition. It is also

submitted to support petitions seeking an election for exclusive

representation or intervention requests. Evidence of membership consists of

a list of current members signed by an authorized representative or official of

the particular labor organization that bears a certification that the named

individuals are members in good standing. If the region or a party questions

the validity of the certified list, the region may require the labor organization

to bring the original membership records to the Regional Office for

examination.

18.7.2 Authorization cards: An authorization card must be signed and dated by

the employee. A card may not be counted as part of the interest showing if

it contains only the printed name of the employee. 

18.7.3 Authorization petitions: Authorization petitions must contain a heading or

preamble setting forth the purpose of the petition; i.e., that the employees

signing the petition authorize the named labor organization to represent them

for the purposes of exclusive representation. The absence of a statement

authorizing the named labor organization to represent the employees signing

the petition does not, however, necessarily constitute a basis for finding a

showing of interest inadequate. The Authority has found that a showing of

interest that petitioned only for an election to be adequate. In its Decision on

Request for Review in Veterans Administration, Veterans Administration

Medical Center, Coatesville, Pennsylvania, Case No. 2-RO-19 (1980), the

Authority stated:

In view of the fact that the sole purpose of “showing of

interest” under the Federal Service Labor Management

Relations Statute is to obtain a representational election,

the Authority finds an interpretation of “showing of interest”

which permits the use of cards executed solely for the

purpose of an election would effectuate the purposes and

intent of the Statute. 

The technique of obtaining signatures on dual purpose documents is

inherently confusing and the resultant procedures are, therefore, unreliable

and unacceptable as evidence of interest. See Sacramento Army Depot,

Sacramento, California, 49 FLRA 1648 (1994) adopting U.S. Army

Electronics Command, Ft. Monmouth, New Jersey, Case No. 32-2565(RO),

1 Rulings on Requests for Review 233 (1972), and Report on Ruling Number

52, 2 A/SLMR 641 (1972). Dual purpose forms are authorization petitions

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forms that bear two or more unrelated headings such as: (1) acknowledging

receipt of a publication and (2) authorizing a labor organization to represent

employees for purposes of exclusive representation.

18.7.4 Decertification showing: Petitions or cards requesting a decertification

election must contain a statement that the signatory employee(s) no longer

wishes to be represented for the purpose of collective bargaining by the

currently recognized or certified labor organization.

18.7.5 Validityof designations: The showing of interest is checked against the list

of employees furnished by the agency/activity in each proposed appropriate

unit to see whether the requirements in § 2422.9 are met. Although

authorization cards are examined on their face (to check, for example,

against signatures in the same handwriting), their validity is presumed unless

challenged by the presentation of objective considerations. See CHM 18.9

for procedures for checking the showing of interest. This subsection

highlights some, but not all, of the basic requirements for acceptable

evidence of interest:

a. The authorization must run to the party submitting it in support of its

interest. This requirement is construed liberally. For example,

authorizations designating the “AFL” are accepted as being on

behalf of the “AFL-CIO.” Similarly, authorizations running to a

parent or international organization are accepted as evidence of

interest in support of a petition filed by a local of that organization,

and vice versa. Designations in blank are not acceptable. The card

is not counted if the petitioning labor organization has changed its

affiliation from that shown on the authorization card. In addition,

petitions filed by a council or by joint-petitioners may be supported

by authorization cards signed on behalf of any of the affiliates of the

council or on behalf of either joint-petitioner.

b. Dating the authorizations: Each employee must sign his/her name

and insert the date at the time of signing the petition. Generally, the

date is placed opposite each name. No independent proof of the

date of signing is solicited or accepted. A petition-sheet containing

a list of signatories and bearing a single date purporting to be the

date on which the entire sheet was signed, however, may be

accepted by the Regional Director.

c. Undated or unsigned authorization cards may be returned only upon

written request by the party that originally submitted the cards as

part of its showing of interest. Such cards are not valid if

subsequently dated and/or signed and resubmitted. During the

initial examination of a party*s showing of interest, the Regional

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Office marks or stamps “undated” or “unsigned” on any

authorization card that does not bear either a date or a signature in

the space designated or across the face of the card. Such action

precludes an undated or unsigned card from being counted in the

event that it is resubmitted. See CHM 18.6.2.

d. Current vs. stale interest: The date on authorization cards, petitions

and interest showing support of election petitions must be current. 

Evidence of interest is considered current if it bears a date that is

not more than one year prior to the date of filing of an election

petition involving a unit of not more than 10,000 employees. If the

unit involved is in excess of 10,000 employees, the showing of

interest covering a period of not more than two years prior to the

filing of the election petition is normally considered current. Thus,

any showing of interest bearing a date in excess of such 12-month

or 24-month period, as appropriate, is stale and is not counted.

e. Refiling after prejudice period: Where a petition has been withdrawn

with prejudice in accordance with § 2422.14, and the same

petitioner seeks to refile for the same unit or any subdivision of the

unit, the petitioner must support such petition with a current showing

of interest. The region contacts the Office of the General Counsel

if the petitioner attempts to use the same showing that was

submitted with the original petition. 

f. Dual signatures: It is not uncommon for the same employee to sign

authorization cards or petitions on behalf of different labor

organizations in the same election proceeding. Similarly, an

employee may sign evidence of interest in support of a

decertification petition while continuing to maintain membership in

the currently recognized or certified labor organization that is

involved in the decertification petition. While the employee has

executed seemingly conflicting evidence of interest on behalf of

parties to the same or consolidated representation proceeding(s),

the particular authorization or other evidence of interest is counted

towards the various parties* respective showing of interest

requirements if otherwise valid.

g. Revocation of authorization: An employee attempting to revoke

his/her signature on an authorization card or petition does not serve

to negate the original designation of a showing of interest since the

effective test for ascertaining the real intent of the signer lies in the

election process.

h. Effect of supervisory involvement: If the Regional Director finds that

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agency management participated in the solicitation of interest, the

Regional Director determines an appropriate course of action. See 

United States Army Air Defense Artillery Center and Fort Bliss, Fort

Bliss, Texas (Fort Bliss), 55 FLRA 940 (1999) and U.S. Department

of Health and HumanServices, Public Health Service, Indian Health

Service, Gallup Indian Medical Center, Gallup, New Mexico

(Gallup), 46 FLRA 1421 (1993), where the Regional Director

dismissed a petition on the basis of agency management's

involvement in the solicitation of the showing of interest. Compare,

Veterans Administration Hospital, Brecksville, Ohio, 1 FLRC 302

(1971) in which the Federal Labor Relations Council found that a

showing of interest may be selectively invalidated where supervisory

involvement is isolated, minimal or mitigated. (CHM18.19 discusses

investigating challenges to the validity of the showing of interest). 

18.8 Timeliness of submission of a showing of interest: 

18.8.1 Petitioner's interest: A showing of interest must be submitted by the

petitioner no later than the last day a petition might timely be filed. Thus, if

a showing of interest is not submitted with the petition, or if a prima facie

showing of interest is inadequate, the petitioner must be notified immediately.

Application of this rule was discussed in North Carolina Army National Guard,

34 FLRA 377 (1990). In that case, the Authority affirmed that a petition for

certification of representative must be received by the appropriate Regional

Director during the open period of a contract. The Authority also found that

the petitioner must submit with the petition evidence of a prima facie showing

of interest based on the approximate number of employees in the unit

claimed to be appropriate. However, the Authority found that in the

circumstances of that case, where the petitioner miscalculated the number

of employees in the claimed unit, the Regional Director allows the petitioner

a reasonable period of time after notice of the deficiency to submit any

additional showing of interest it has in its possession. The Authority noted

that the showing of interest must be dated and signed before the expiration

of the open period, but could be submitted after the contract expired. 

Exception: If a cross-petitioner fails to submit an adequate showing of

interest filed immediately prior to the opening of a hearing, the crosspetitioner is not permitted to participate in the hearing and the petition is

processed separately (CHM 17.9.1 and HOG 23).

18.8.2 Intervenor's interest: The showing of interest must be submitted by the

intervenor no later than the last day the intervention might timely be filed. The

procedures in CHM 18.8.1 are applied in assessing the timeliness of an

intervenor’s showing of interest. Thus, if a request for intervention is filed

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timely, but without a showing of interest, the intervenor may be given

sufficient time to submit the showing, as long as the showing is otherwise 

timely filed. If the intervention request is supported by a showing of interest

that is based on the intervenor’s estimate of the number of employees in the

claimed unit and the showing is later found to be inadequate, the region

allows the intervenor a reasonable period of time after notice ofthe deficiency

to submit any additional showing of interest as long as the showing is

otherwise timely filed. An exception is when the request to intervene is filed

immediately prior to the opening of the hearing or at the election agreement

meeting. A request to intervene petition that is submitted immediately prior

to the opening of a hearing must be accompanied by an adequate showing

of interest. A request to intervene that is filed at an election agreement

meeting must be accompanied by a showing of interest or the requestor is

not permitted to participate in the meeting. See CHM 17.9 and 18.9 for

procedures for processing an intervenor’s showing of interest and HOG 17.4

for processing intervention requests that are received too late for the region

to process prior to the opening of the hearing.

18.9 General procedures: This section discusses procedures for notifying the

petitioner or intervenor concerning the adequacy of the showing of interest. 

See CHM 18.10 and 18.11 for requirements for checking the prima facie

showing of interest and CHM 18.12 for requirements for checking the final

showing of interest.

18.9.1 Failure to submit alphabetized list with petitioner's or intervenor's

showing of interest: As discussed in CHM 12, a petition is defective if it is

not accompanied by an alphabetized list constituting the showing of interest. 

The failure to submit an alphabetized list does not prevent the petition from

being opened or an intervention request from being investigated (see CHM

12.4). It does not, more significantly, prevent completion of the prima facie

check. A letter as set forth in Figure 12.4 is sent without delay if the petitioner

fails to submit the alphabetized list. Failure to furnish the material in response

to a written request by the Regional Director prevents the Director from taking

action pursuant to § 2422.30 and may result in dismissal of the petition. 

18.9.2 Failure to submit adequate showing of interest:

18.9.2.1 Bypetitioner: If no showing of interest is submitted, the petitioner is notified

immediately (See CHM 12.3) that the petition is defective and cannot be

opened (CHM 18.9.5). As noted in CHM 18.8, the petitioner is notified

promptly since any showing of interest in support of the thirty percent (30%)

requirement must be received by the regional office not later than the last day

on which any petition may be filed timely. 

If the prima facie showing of interest is inadequate, the petitioner is also

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notified immediately. Any additional showing of interest must also be received

not later than the last day on which any petition may be filed timely, except

in the circumstances cited in North Carolina Army National Guard, 34 FLRA

377 (1990) and CHM 18.8. See CHM 18.9.3 for notification procedures.

18.9.2.2 By intervenor: If the written request for intervention is not accompanied by

a showing of interest, the intervenor is notified immediately (CHM 17.8). The

procedure discussed in CHM 18.9.3 is followed: the initial contact is made

by telephone, if possible, and is confirmed by fax or telegram. Any additional

showing of interest must also be received not later than the last day on which

any intervention may be filed timely. 

Note the exceptions to granting additional time to submit a showing of

interest discussed in CHM 18.8.

18.9.3 Procedures in notifying petitioner and intervenor when showing is

inadequate: If possible, the agent contacts the petitioner/intervenor by

telephone to advise the party that the showing of interest is insufficient. 

Except in those instances in which there are less than three (3) days in which

to make a timely submission, the agent informs the petitioner/intervenor that

the showing of interest must be received not later than three (3) working

days from the date of the telephone conversation. The agent also states that

absent such receipt, the Regional Director will issue a Decision and Order

dismissing the petition or denying the intervention. The agent confirms the

conversation by fax immediately (or telegram, if a fax is not available) as

shown in Figure 18.9A. (See also CHM 17.9 for intervention.) 

If circumstances preclude notifying the petitioner/intervenor by telephone, the

Regional Director sends the fax or telegram set forth in Figure 18.9B. The

Regional Office confirms receipt of the fax or telegram.

When discussing the submission of additional showing of interest with

petitioner*s/intervenor’s representative, the agent is not authorized to grant

more than the three (3) day period.

The region does not send copies of the fax's or telegrams set forth in Figures

18.9A or B to any of the other parties or advise any party regarding the

status of the petitioner*s/intervenor’s showing of interest. Other parties

receive appropriate notification of the adequacy of the showing of interest at

such time as dismissal may be warranted due to insufficient showing of

interest (see CHM 27 and 53 regarding dismissal of petition).

18.9.4 Request for extension of time: Other than the initial three days discussed

in CHM 18.9.3, no extensions of time are granted to a petitioner or intervenor

to submit a showing of interest or any additional showing of interest. Figure

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18.9C is a sample fax denying a request for additional time. 

18.9.5 Deferring the petition:

18.9.5.1 Failure to submit showing of interest: If the showing of interest is not

submitted with the petition, the region cannot open an election petition

or a dues allotment petition. A thirty (30) percent showing of interest is a

prerequisite to proceeding with a representation or decertification petition and

a ten (10) percent showing of interest (evidence of membership) is a

prerequisite to proceeding with a dues allotment petition. Thus, a petition is

defective and is not opened prior to receipt of an amended petition and the

appropriate showing of interest (see CHM 18.8 for timeliness requirements). 

Accordingly, the Regional Director does not send the opening/notification

letters discussed in CHM 15 (see also CHM 12.3 which discusses defective

petitions which delay opening the case). 

Upon receipt of the evidence of interest, further processing of the

petition, if any, depends upon whether a prima facie showing of interest

is made.

NOTE: Generally, an intervenor’s failure to provide an adequate

showing of interest does not delay processing the case.

18.9.5.2 Failure to estimate the number of employees in the proposed unit: If the

petitioner omits the estimated number of employees from Item #3 on

the petition form, the petition is defective. The region cannot open an

election petition or a dues allotment petition. The prima facie showing of

interest cannot be determined if there is no estimate of the number of

employees upon which to base a thirty percent (30%) or ten percent (10% -

dues allotment petitions) computation (see CHM12.3-defective petitions and

13.8-amending a petition). An amended petition is served on the otherparties

(see CHM 7 and 13.5). See also CHM 18.8 for timeliness requirements.

If the petitioner miscalculates the number of employees in the claimed unit,

the petition is not defective, but the showing of interest may be inadequate. 

In such cases, the Regional Director follows the procedures discussed in

CHM 18.9.3. See also North Carolina National Guard, 34 FLRA 377 (1990). 

 

18.9.6 Notification when evidence of interest is adequate: The Regional Director

is not required to send a separate letter to notify the petitioner or intervenor

when the region determines that the petitioner or intervenor’s showing of

interest is sufficient. The letter shown in Figure 15.9 that is sent to the

employing agency/activity and the incumbent is sufficient notification as

copies of that letter are served on the petitioner. 

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18.10 Prima facie check of interest:

18.10.1 General: A prima facie showing of interest is checked promptly for the

following reasons:

a. To determine whether a genuine representation question exists

(CHM 18.2);

b. To avoid any delay in processing the case that could prejudice the

petitioner; see North Carolina Army National Guard; and 

c. To determine whether the petitioning union acquires equivalent

status for the purposes of 5 U.S.C. 7116(a)(3) and to protect the

rights of the incumbent union by assuring that a petitioning union

does not have access to an agency’s facilities and services for

campaign purposes based on a facially invalid petition or showing

of interest. See U.S. Department of Defense Dependents School,

Panama Region, 44 FLRA 419 (1992) and CHM 15.9.

18.10.2 Petitioner's prima facie showing of interest in election cases:

18.10.2.1 Requirement: A petitioner must submit with the petition evidence

of a prima facie showing of interest based on the approximate

number of employees in the unit claimed to be appropriate. North

Carolina Army National Guard.

18.10.2.2 Preliminary determination: Upon the filing of an election petition,

the Regional Office makes a preliminary determination of the

sufficiency of the showing of interest. The determination of a prima

facie showing of interest is made without regard to any payroll list

since the prima facie check is made before the opening letter is sent

to the activity. 

18.10.2.3 Basis for making determination: When checking the evidence of

interest for prima facie sufficiency, the estimated number of

employees shown in Item #3, FLRA Form 21, is used as the total

number comprising the unit. Similarly, each signer of the

authorization material is considered to be employed within the unit

involved. All authorization material is checked completely to

determine the existence of a prima facie showing of interest.

Neither a random sample nor a spot check is used in making

the count. 

18.10.2.4 Counting acceptable evidence: In examining the evidence of

interest, the region exercises particular care and counts only those

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authorization cards and petitions that are signed and dated. Other

types of acceptable evidence of interest are listed in CHM 18.6 and

18.7.

18.10.2.5 How to mark the prima facie showing of interest: The showing

of interest and the alphabetized list are marked so that, between

them there is a permanent record of the check. Normally the actual

showing is not “marked” unless the card is undated or unsigned

(see CHM 18.7.5c). A check mark is placed next to each name on

the alphabetized list as the name is found on the showing of

interest. This mark is usually made with a pen with a distinctive

color. If no alphabetized list is submitted at the time the prima facie

showing is checked, a visual count of the actual showing is

recorded on FLRA Form 52. 

18.10.2.6 Completing FLRA Form 52: Upon completion of the check of the

petitioner's evidence of interest for prima facie sufficiency, Part I of

FLRA Form 52, Report of Investigation of Showing of Interest, is

prepared and retained as part of the case file.

NOTE: When a final determination of the showing of interest

is made, based upon a check against a payroll list submitted

by the activity, Part II of FLRA Form 52 is completed.

18.10.2.7 Notifying petitioner of insufficient showing of interest: If the

examination results in a finding that the showing of interest is less

than the required thirty percent (30%) [or ten percent (10%) in dues

allotment petitions] of the estimated number of employees in the

unit specified on the petition, the petitioner is notified promptly.

Follow the procedures in CHM 18.9.3.

18.10.2.8 Additional showing of interest: The fax or telegraphic notification

initially establishes a due date for the submission of any showing of

interest that the petitioner has in its possession at that time. Any

additional showing of interest that is submitted to make up the

deficiency is acceptable if received by the due date, provided that

in cases where an agreement exists, the showing is signed and

dated before the expiration of the open period. See North Carolina

Army National Guard, 34 FLRA at 382.

18.11 Intervenor's prima facie showing of interest: When a request for

intervention is supported by evidence of interest among the employees in the

unit; i.e., signed authorization cards, etc., the initial determination of the

showing of interest is based upon a prima facie sufficiency of ten (10) percent

or more of the employees. The procedures for determining the intervenor*s

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prima facie showing of interest are the same as for determining the prima

facie showing of interest for a petitioner. A FLRA Form 52 is completed for

each intervention request in the same manner as the form is completed for

the petitioner’s showing of interest.

18.12 Petitioner’s showing of interest in petitions requesting a determination

of eligibility for dues allotment: A petitioner must submit evidence of

membership with a petition requesting a determination for eligibility for dues

allotment. The requirements for evidence of membership are set forth in

CHM 18.5.3 and 18.7.1. The procedures for determining the petitioner’s

prima facie showing of interest are the same as for determining the

petitioner’s prima facie showing of interest in election cases. 

18.13 Final determination: The procedures for making the final determination of

the adequacy of any petitioner's or intervenor's showing of interest are the

same.

18.13.1 Request for payroll list:Afinal determination of a petitioner*s orintervenor's

showing of interest is made on the basis of a current list of employees in the

unit sought (as of the payroll period payroll period immediately preceding the

date the petition was filed). The list is requested pursuant to § 2422.15(b) by

the Regional Director in his/her initial letter to the activity (see CHM 15.9 and

Figure 15.9). 

18.13.2 Delay in submission of list: If the activity does not submit the payroll list

by the date requested in the letter, the agent contacts the activity. If

necessary, the agent advises the activity if the list is unduly delayed or not

submitted at all, the final determination of the showing of interest is based

upon the petitioner*s estimate of the number of employees in the unit; i.e., the

test for prima facie showing of interest.

18.13.3 Complete check vs. random sample: If the number of names on the payroll

submitted by the activity is less than one thousand (1000), the region makes

a complete check of the showing of interest. If the payroll list contains more

than 1000 names, the region has the option of conducting a random sample

(spot check). This involves checking less than every name submitted by the

labor organization; e.g., every 3rd, 5th or 10th name, against the list.

However, the sample is large enough to ensure validity. At least thirty percent

(30%) of the names on the showing of interest are checked against the

payroll list and in no event shall the ratio of the random sample be less than

1 out of 10 among the evidence of interest. A complete check is conducted

in “raid” petitions.

18.13.4 How to make a record of the final check: The payroll list and the

alphabetized list of the showing of interest submitted by the

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petitioner/intervenor are marked so that, between them, there is a permanent

record of the check. A mark is placed against each name on the payroll list

as the name is found on the alphabetized list. If the alphabetized list was

used to check the prima facie showing, it is used and checked against the

payroll list. In this situation, the alphabetized list submitted by the labor

organization is also marked to reflect the names found on the payroll list.

(NOTE: if the alphabetized list was not submitted when the prima facie

showing of interest was checked, the payroll list is checked against the

actual showing of interest. The alphabetized list is used only if it was

checked by the agent against the actual showing.) A pen having a

different color than the pen used to make the prima facie marking is used to

mark the payroll list and the alphabetized list. 

The final count is determined by the number of checks that appear on the

payroll list. The total number of “checks” is equal to or greater than thirty (30)

percent of the total names on the payroll list. If the showing of interest is

inadequate based on the payroll list, before contacting the petitioner, the

agent reviews CHM 18.14 for a discussion concerning disputed size of unit.

 

No marking is made on the actual evidence of interest to denote whether the

particular name was found on the payroll list. This restriction does not apply

to marking or stamping “undated,” where necessary, or “no signature” on the

signature line, as appropriate on any authorization card, etc. which is

defective for not being dated or signed. 

18.13.5 Separate checks for each unit involved: A check is made for each claimed

bargaining unit involved. Subsequent rechecks are made if unit positions or

the parties' positions change or if the petition is amended.

18.13.6 Amending the unit at a hearing: A Hearing Officer rules on a motion to

amend the unit at a hearing, like any other motion, after the other parties are

asked whether they have any objections to the motion. Before granting a

motion to amend the unit, the Hearing Officer takes the following actions (see

also HOG 18.6):

a. goes off the record and assesses whether the amendment has

substantially affected the identity of the unit. Changes in

terminology are distinguishable from changes affecting the identity

and content of the unit (see CHM 13.9, 13.10, and 13.11).

b. checks the showing of interest to determine if it is sufficient to

support the proposed amendment. In any instance where additional

showing of interest is required, it must be submitted with the

amendment. NOTE: as discussed in CHM13, the petitioner may

amend its petition at any time; however, in election cases, it

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must be accompanied by the appropriate showing of interest

at the time the amendment is filed. See U.S. Department of the

Interior, National Park Service, 55 FLRA 311, 315 (1999) and CHM

18.1.

c. determines whether there are timeliness issues (only in unusual

circumstances) (RCL 12).

d. calls the Regional Director if it appears that the amendment has

changed the identity of the unit. If the Regional Director concludes

that the amendment has a substantial effect upon the unit and 

identifies additional parties that may be affected by issues raised,

the Hearing Officer goes back on the record and states: “Upon

authorization by the Regional Director, the hearing is adjourned

indefinitely pending a review of the amended petition and

notification, if necessary of other potential interested parties.” (see

HOG script 35.4) Where the Regional Director concludes that the

amendment does not substantially effect the unit, the Hearing

Officer continues the hearing. 

18.13.7 Considerations when reviewing a showing of interest accompanying

requests to intervene or a cross-petition received too late for the region

to process prior to the opening of the hearing: 

a. The showing of interest must accompany any intervention request

or cross-petition that is filed immediately prior to the opening of the

hearing. If no evidence is proffered, the intervening party or crosspetitioner can not participate and the hearing is not delayed (CHM

18.8). 

b. Where a request to intervene or cross-petition is based on evidence

of interest received too late for the region to process prior to the

opening of the hearing, the showing of interest is not examined by

any other party to the proceeding and is not introduced or received

into the record. Argument on the adequacy of interest is

inappropriate and the Regional Director’s eventual ruling on the

request is based on the investigation of interest made by the

Hearing Officer. The parties are reminded that adequacy of a

showing of interest is an administrative matter made by the

Regional Director and is not subject to collateral attack by the

parties [see § 2422.9(b)]. 

c. Where requests to intervene or cross-petition are received

immediately prior to the opening of a hearing, any accompanying

showing of interest is checked on the spot unless the showing is

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voluminous and the Hearing Officer decides that it would unduly

delay the hearing (see CHM 18.13.6). If it appears sufficient on its

face, the Regional Director instructs the Hearing Officer to grant the

motion to intervene, “subject to a subsequent check of the

sufficiency of interest” (see HOG 17.4.4 - guidelines relating to

granting “conditional intervention”). The check is normally made

between sessions using the activity/agency list furnished in

response to the opening letter. The Hearing Officer is authorized to

announce the Regional Director’s ruling on the intervention/crosspetition. If the hearing record closes before the Hearing Officer has

an opportunity to check the showing of interest, the Hearing Officer

[see HOG 34.4(c)] reports the results in the Hearing Officer's Report

and an amended showing of interest report, FLRA Form 52 (see

CHM 18.15). 

d. If the Hearing Officer’s check of the showing of interest reflects that

the showing is inadequate and the scope and size of the unit is not

an issue in the proceeding, the Hearing Officer refers the request to

intervene or cross-petition to the Regional Director. The party

attempting to intervene or cross-petition is not given additional time

to obtain sufficient showing of interest. The hearing is not delayed

and the party requesting status as an intervenor or cross-petitioner

does not participate in the hearing.

e. If the identity or size of the unit is an issue at the hearing and the

decision could affect the intervenor’s or cross-petitioner’s request,

the Regional Director may decide to allow the intervenor or crosspetitioner to “conditionally intervene” and participate in the

proceedings. See HOG 17.4.4. NOTE: As discussed in CHM

18.14, if the intervenor’s showing of interest is later found to

be inadequate based on the Regional Director’s Decision, the

intervenor is not given time to submit additional showing of

interest. 

See also HOG 23 for a discussion of cross-petitions made immediately

prior to the opening of the hearing.

18.13.8 Interventions, cross-petitions and challenges filed at the election

agreement meeting or prior to the Regional Director’s approval of the

Agreement or Direction of Election: These are threshold issues that are

resolved by the Regional Director before s/he approving the Election

Agreement or issue a Direction of Election. See CHM 28.34.

18.14 Disputed size of unit: 

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18.14.1 Procedures: A final check of the showing of interest is always conducted

notwithstanding a dispute in the size of the unit. Where the number of

employees on the payroll list exceeds the estimated number of employees in

the unit shown in Item #3 of the petition, the region decides the adequacy of

the petitioner’s submission. If the check reveals less than a thirty (30)

percent showing for the larger number, the petitioner is contacted for its

position regarding the payroll list--a copy of which it received from the activity. 

18.14.1.1 If the petitioner agrees that the showing of interest in less than thirty

(30) percent of the unit, the region gives the petitioner an

opportunity to submit additional showing of interest, providing such

additional interest would be considered timely (See CHM 18.9.3). 

18.14.1.2 If the petitioner disagrees that the payroll list conforms to the unit

petitioned-for on the basis of eligibility or appropriate unit issues, the

region follows procedures outlined below:

a. The region asks the petitioner to identify specific employees on the

list whom it contends are ineligible for the unit as submitted by the

activity and to provide its position regarding the activity’s proposed

unit description; 

b. The region contacts the activity for its position regarding the

eligibility or unit issues;

c. If the status of the disputed employees cannot be readily resolved

by the parties, the determination of the showing of interest is based

on the total number of employees whom the petitioner asserts

comprise the unit: 

< If the dispute concerns only eligibility issues, the region subtracts

those employees whose eligibility the petitioner disputes from the

payroll list. If the showing of interest is still insufficient, the region

notifies the petitioner of the inadequacy (see CHM 18.9.3). The

petitioneris given the opportunity to submit the necessary additional

showing of interest providing such additional interest would be

considered timely. If the subsequent submissions still results in an

insufficient showing, the petition is dismissed, absent withdrawal. 

< If the showing of interest is contingent on resolution of eligibility or

unit issues, the region notifies the petitioner of:

(i) the inadequacy;

(ii) the reasons for the inadequacy;

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(iii) the advisability of supplementing its showing of interest; 

(iv) the possibility of a hearing to resolve the eligibility or unit

issues; and

(v) the effect of potential findings on the showing of interest

and the petition.

18.14.2 Effect of a determination by the Regional Director that a hearing is

necessary: When the region informs the petitioner that a hearing may be

necessary to resolve the eligibility or unit issues, the region also advises the

petitioner of the consequences of the Regional Director’s or Authority’s

findings. If it is determined that the unit is different than proposed or

estimated by the petitioner, the petition could be dismissed following a

reevaluation of the showing of interest. 

Note that these procedures apply to “composition issues” (eligibility of

certain inclusions or exclusions) and to “unit appropriateness” issues

(scope of unit). These procedures apply to intervenors as well as

petitioners.

If, during the hearing, the petitioner seeks to amend the petition to conform

to a larger unit, the petitioner or intervenor must submit additional evidence

of interest to support alternative eligibility or unit positions. See HOG 25 for

a discussion on processing an amended petition that changes the identity of

the unit.

18.14.3 Effect of finding an enlarged unit appropriate: When the Regional

Director or the Authority directs an election in a unit larger or different in

scope than that requested by the petitioner, the direction of election is often

conditioned on a reevaluation of the petitioner’s/intervenor’s showing of

interest. This evaluation is based on the showing of interest that was

submitted prior to the close of the hearing. If the petitioner/intervenor’s

showing of interest is insufficient, the petition is dismissed or the request for

intervention denied, absent withdrawal. The petitioner/intervenor is not

given additional time to procure additional interest. The following three

examples illustrate how an eligibility or unit determination by the Regional

Director or the Authority might affect a showing of interest:

< Inclusion of a category sought to be excluded by the petitioner:

Assume that the petitioner seeks a unit of one hundred (100)

nonprofessional employees and submits a showing of interest of

thirty-three (33) cards. The activity contends that twenty (20)

analysts are eligible for inclusion in the unit, while the petitioner

maintains that they are ineligible because they are professional

employees. The Authority finds that all employees in this category

are nonprofessional employees and includes them in the

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nonprofessional unit found to be appropriate. The unit now totals

one hundred twenty (120) employees, requiring a showing of

interest of thirty-six (36) employees, whereas petitioner has a

showing of interest of thirty-three (33). The petition is dismissed.

< Exclusion of category sought to be included by the petitioner:

Assume that the petitioner seeks a unit of one hundred twenty (120)

Wage Board employees, of whom twenty (20) are casual

employees. The activity contends that this group of employees do

not have a community of interest with the remaining employees

involved. Petitioner*s showing of interest, totaling forty (40)

authorization cards, includes twelve (12) cards signed by casual

employees. The Authorityexcludes the casual employees, resulting

in the unit being reduced to one hundred (100) employees. The

petitioner*s showing of interest also is reduced by 12 cards to a total

of twenty-eight (28) cards. Inasmuch as a minimum showing of

interest of thirty (30) employees is required, the petition is

dismissed.

< Activity contends that the petitioned for unit is not appropriate:

Assume a labor organization filed a petition seeking an election at

a small field activity and the Agency proposes that the unit include

all field activities nationwide. A hearing is held and the Regional

Director determines that the small field unit is inappropriate. The

Regional Director does not rule on the appropriateness of the larger

unit since the petitioner stated it was not willing to proceed to an

election in the larger unit. The petition is dismissed. 

See Department of Transportation, National Highway Traffic Safety

Administration, 2 A/SLMR 433 (1972) and Federal Aviation Administration

and Federal Aviation Administration Eastern Region, 5 A/SLMR 777 (1975).

18.15 Report on investigation of showing of interest: A separate FLRA Form

52 is completed for every election or dues allotment petition. Where two or

more petitions are filed involving the same activity, whether for the same or

different units, a separate FLRA Form 52 is prepared stating the appropriate

case number of the petition involved. The showing of interest of any

intervenor(s) in a unit covered by a petition is also entered on an appropriate

FLRA Form 52. 

When more than one report is prepared [such as one reporting the results

of the investigation or hearing regarding the impact of eligibility and/or unit

disputes on the showing of interest made by the petitioner and any

intervenor(s)], the subsequent reports are labeled “amended” or “second

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amended” as appropriate. 

In every instance in which a hearing is held and completed involving a dispute

as to the eligibility of any job categories and/or the appropriateness of the

unit(s), a copy of both the original and a supplemental FLRA Form 52

are forwarded to the Authority.

18.15.1 Preparing FLRA Form 52 after final check of agency’s list: The following

items are noted:

a. Name of agency/activity involved, case number and petitioner or

intervenor is provided. Note that a different FLRA Form 52 is

completed whenever the petitioner amends the petition and

changes the identity of the unit. If more than one intervenor is

involved, additional forms are completed.

b. Part I: This section provides information about the prima facie

showing of interest. The abbreviated designation of the petitioner

is entered in this space.

c. Part II: Designation and payroll information: The procedure used

in checking the names on the payroll list is reflected by underlining

either “complete” or “spot” (random) where requested. If no payroll

list has been submitted, the entry in the blank space following the

words, “for the period ending” reads, “No payroll list submitted”.

d. Part II also provides information about the final determination of the

adequacy of the showing of interest based on the agency’s/activity’s

payroll list. 

e. Part III provides information about the intervenor’s showing of

interest.

18.16 Regional determination on showing of interest: The Regional Director's

ultimate determination that a petitioner's showing of interest does not support

the unit claimed or found to be appropriate results in dismissal of the petition

or denial of intervention, absent withdrawal. Decisions and Orders dismissing

petitioner for insufficient showing of interest or denying requests for

intervention are discussed at CHM 53.

18.17 Ultimate disposition of evidence of interest: All evidence of interest which

is submitted in support of a petition or request for intervention is retained in

the case file until the case has been closed. During the processing of the

case the only evidence of interest which may be returned to the submitting

party are those cards that are undated and/or unsigned and have been

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marked or stamped as such before being returned. A request by a party for

the return, of any portion of its evidence of interest is denied irrespective of

the reasons offered. However, a party is permitted to examine its own

evidence of interest at the Regional Office for the purpose of copying names

and addresses. Upon closing of the case, at the party’s request, the

evidence of interest may be returned to the appropriate party by certified mail.

If a party prefers to pick up the material at the Regional Office, regional

personnel obtain a receipt before releasing the evidence of interest.

18.18 Challenge to the adequacy of a showing of interest: As discussed at

CHM 18.3, no challenge to the adequacy of showing of interest is permitted

under § 2422.9(b).

18.18.1 Limitation on application of review: An application for review may be filed

with the Authority only when the determination of adequacy by the Regional

Director results in issuance of a Decision and Order dismissing a petition or

denying intervention. Hence, a determination that an adequate showing of

interest has been submitted in support of a petition or request for intervention

is not subject to the filing of an application for review with the Authority. 

18.18.2 Collateral attack: No collateral attack of a determination that the showing

of interest is adequate can be raised at a representation hearing.

18.19 Challenge to the validity of a showing of interest: 

18.19.1 What is a challenge to the validity of a showing of interest: Section

2422.10(a) states that validity questions are raised by challenges to a

showing of interest on grounds other than adequacy. The showing of interest

of either a petitioner or an intervenor can be challenged.

18.19.2 Who may file a challenge to the validity of a showing of interest: The

Regional Director or any party may challenge the validity of a showing of

interest (validity challenges).

18.19.3 When and where validity challenges may be filed: Challenges to the

validity of a showing of interest must be in writing and submitted to the

Regional Director or the Hearing Officer before the hearing opens, unless

good cause is shown for granting an extension. If no hearing is held,

challenges to the validity of a showing of interest must be filed prior to action

being taken pursuant to § 2422.30.

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Showing of Interest and Challenges to Adequacy and Validity

18.19.4 Filing validitychallenges received too late in the region to process prior

to the opening of the hearing: Challenges to the validity of the showing

of interest are never referred to the Hearing Officer, but are handled

administratively. Challenges to the validity of the showing of interest that are

filed with the Hearing Officer are referred to the Regional Director (see CHM

26.1g. and HOG 17.3, 24, 33.2). 

18.19.4.1 Attempt to litigate validity of the showing of interest at a

hearing: If a party attempts to raise an issue regarding the validity

of the showing of interest by the petitioner or intervenor at a

hearing, the Hearing Officer denies the challenge or forwards it to

the Regional Director for consideration (HOG 33.2). 

18.19.5 Filing validity challenges at the election agreement meeting or prior to

the Regional Director’s approval of the Election Agreement or Direction

of Election: Validity challenges raise a threshold issue that are investigated

and decided before the Regional Director can approve the Election

Agreement or issue a Direction of Election. If the challenge is made during

the election agreement meeting, the meeting is adjourned so that the

challenge can be investigated and decided. All evidence must be submitted

at the time the challenge is filed.

OVERVIEW

18.19.6 Contents of validity challenges: Section 2422.10(d) requires that

challenges to the validity of a showing of interest must be supported with

evidence. 

18.19.7 Evidence supporting validity challenges: Evidence in support of a

challenge to the validity of a showing of interest is an absolute requirement

before any investigation is undertaken. Evidence must be submitted with the

challenge. Such evidence consists of signed statements of employees or

other written evidence. If no evidence is filed, the challenge is denied

administratively (see CHM 18.19.15). Of course, the challenger may always

refile the validity challenge with supporting evidence if the challenge is

otherwise timely filed.

18.19.8 Service of validitychallenges: A copy of a validity challenge is served upon

all parties. However, evidence supporting challenges to the validity of the

showing of interest is not served on any party (§ 2422.4). 

18.19.9 Basis of validity challenges: A validity challenge is concerned with the

authenticity of the signatures and/or the circumstances under which the

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authorization cards were obtained; i.e., fraud, forgery or supervisory

involvement. Thus, the fact that an authorization card is not dated or contains

the printed name of the employee rather than his/her signature does not

involve a question of authenticity of the card. In such circumstances, the

authorization card is not counted because of the omission of a date or

signature rather than the commission of an act of fraud or forgery.

18.19.10Investigating validity challenges: Investigation of a validity challenge is

undertaken promptly. Processing of the petition is held in abeyance until the

investigation is completed unless the challenge is filed immediately prior to

the hearing. See HOG 24.2 and 33.2 for guidance in handling challenges

filed immediately prior to or during the hearing. 

18.19.11Report of investigation: Upon completion of the investigation of a validity

challenge and, generally, before the challenged union is contacted, a written

final investigative report (FIR) is submitted to the Regional Director.

18.19.12Form and content of final investigative report: A FIR is clear, concise and

comprehensive. It is marked as an intra-agency and confidential document. 

The facts as set forth in the FIR is supported by evidence in the case file that

is specifically identified in the FIR. The FIR is a self-contained document to

the extent that it is not necessary to refer to file documents for a thorough

understanding of the facts and issues in the case. Opinions or conclusions of

the parties are not facts and are not reported as such in the FIR. Conflicting

statements and disputed facts are noted.

A FIR includes, but is not necessarily limited to:

a. a statement setting forth the challenge(s) to validity and the

evidence submitted in support of the allegation(s);

b. the identification of individuals interviewed and of the major characters involved;

c. a statement of the issues raised by the challenges;

d. a discussion of all facts relevant to each challenge;

e. an analysis of each allegation or issue, including discussion of

supporting case law or legal theories and, where applicable, a

discussion of defenses raised; 

f. recommendations as to the disposition of each allegation; and if

appropriate, a recommendation regarding enlarging the scope of the

investigation.

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18.19.13Investigating unfair labor practice charges and challenges to the validity

of the showing of interest simultaneously: If an unfair labor practice

charge is filed alleging improper assistance by the agency or improper

conduct by the labor organization involving the same conduct that gave rise

to the challenge, the ULP and the challenge are investigated simultaneously. 

Disposition on the merits of the ULP charge also resolves the challenge filed

in the REP case to the extent described below:

a. if the investigation results in a finding of no merit, the Regional

Director dismisses the ULP charge, absent withdrawal and issues a

letter to the party filing the challenge denying the challenge (see

CHM 18.19.15);

b. if the parties settle the ULP, the settlement includes a request to

withdraw the challenge to the validity of the showing of interest;

c. if the Regional Director decides the ULP has merit, the Regional

Director issues a complaint and further processing of the

representation case is blocked. CHM 60. 

SCOPE, STANDARDS AND INVESTIGATIVE TECHNIQUES

18.19.14Scope of “challenge” investigation: Initially, the investigation is limited to

specific evidence of interest alleged to be invalid. The investigation is based

on the evidence submitted and how the evidence was obtained. See CHM

23.4 and 23.5 for a discussion on investigative techniques. For example,

assume that the challenging party has alleged that 30 of the 100 cards

submitted by the petitioner are invalid because of forgery and presents written

statements from each of the thirty (30) employees involved. In such instance,

the investigation is limited to the thirty (30) authorization cards involved.

If the allegations are substantiated by the investigation, the Regional

Director refers the question of whether the investigation is expanded to

the Office of the General Counsel. In this example, this issue is

whether to expand the investigation to include the remaining seventy

(70) cards.

The investigation includes, but is not limited to:

a. attempts to obtain affidavits from the individual(s) responsible for

procuring and submitting the signatures (more than one individual

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could be involved).

b. making a signature comparison on the authorization cards against

reliable records, such as W4 forms held by the agency or activity.

The identity of the employees is not be revealed to the agency. 

c. questioning the individuals whose names appear on the

authorization cards as signatories and taking affidavits, if possible,

concerning the authenticity of their signatures.

18.19.15Standard to be applied in determining the effect of improper agency

conduct on an election petition: In United States Army Air Defense

Artillery Center and Fort Bliss, Fort Bliss, Texas (Fort Bliss), 55 FLRA 940

(1999) the Authority stated that a showing of interest should be disallowed

only where necessary to prevent abuse of the election process and to protect

the fundamental right of employees to choose their own representative [citing

5 U.S.C. 7102(2)]. Further, the Authority concluded “that a determination to

dismiss a petition because of agency misconduct must be based on specific

findings concerning both the particular conduct at issue and the effect of that

misconduct on the particular petition.” 

The Authority summarized the standard by stating that: 

In sum, in order to dismiss a representation petition

supported by a showing of interest, we will require that any

improper conduct on the part of the agency actually have

affected the validity of the petition. ... if after disallowing the

signatures gathered as a result of the Agency’s improper

grant of access to the organizer, the showing of interest is

valid, the petition should not be dismissed. Fort Bliss at

943. 

18.19.15.1 Investigating allegations of improper agency conduct: Fort

Bliss, 55 FLRA 940, requires the region to focus the investigation

not only on the actions of the agency, but also on the resulting effect

on employees and the petition. As a result of the investigation, there

may be circumstances where the misconduct involves such active

involvement or support of the union by agency officials that the

misconduct pervades the signature collection process, leading to the

conclusion that the petition is dismissed. Where agency misconduct

is limited or other reasons mitigate its significance, only those

aspects of the petition directly affected by the violation may be

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invalid. Fort Bliss, 55 FLRA 940 and Veterans Administration

Hospital, Brecksville, Ohio, 1 FLRC 302 (1971). 

The Authority did not set forth specific evidence that may be relevant

to determining whether an agency’s improper grant of access to a

rival union affected the free choice of its employees within the

meaning of 5 U.S.C. 7102. However, listed below is the type of

evidence that the region obtains when investigating these

challenges. 

a. Whether the activityhas knowledge of an outside organizer

soliciting a showing of interest on its premises.

1. If the activity is not aware of such conduct, the

inquiry ends since there is no basis for concluding

that any cards were tainted based on improper

conduct by the activity. An activity cannot be

held accountable for controlling an outside

organizer’s conduct when there is no evidence

the activity was, or should have been, aware of

the outside organizer’s presence.

2. If the investigation discloses that the activity was,

or should have been, aware of the improper

conduct, the inquiry continues and the second

step applies.

b. If the activity was aware of such conduct, the extent of the

activity’s participation or appearance of participation in the

union’s organizational activities is assessed. A number of

factors are evaluated to determine whether the entire

showing of interest or a portion of the showing is tainted. 

These include:

1. The existence of any legitimate reason for the

outside organizer to be present on the activity’s

premises;

2. The presence of another labor organization as

the certified representative of the employees

being solicited or as a rival labor organization;

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3. The extent of any policing by the activity on the

outside organizers and any restrictions placed by

management on the outside organizers;

4. The period of time outside organizers were on the

activity’s premises and involved in soliciting or

collecting employee signatures;

5. The number of authorization cards solicited

during the period of time the outside organizers

were on the activity’s premises in relation to the

size of the bargaining unit; and

 

6. When and where the authorization cards were

solicited (work area or non-work area, work-time

or breaks), and/or the presence of any

supervisors or managers during the period of

solicitation.

c. Once the evidence has been obtained, it is analyzed to

determine the impact of the activity’s improper conduct on

the right of employees to be “free to choose or reject union

representation without coercion and while agency

management maintains a posture of neutrality.” Gallup, 46

FLRA 1421, 1424. If the activity’s conduct is sufficiently

pervasive it may reasonably be inferred, as was the case

in Gallup, that the entire showing of interest was tainted. 

On the other hand, if mitigating circumstances exist,

consistent with the approach adopted in Fort Bliss, 55

FLRA 940, the facts may warrant the conclusion that either

none or only a portion of the petitioning union’s showing of

interest was tainted.

18.19.15.2 Submitting the case for advice: Following the region’s

investigation and analysis, any case that:

a. involves supervisory conduct and 

b. the Regional Director believes may be meritorious, 

is submitted for advice. CHM 58.3.15

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18.19.16Guidelines when contacting the petitioner or intervenorwhose showing

of interest is being challenged on the basis that the signatures were

fraudulent or were obtained coercively: The challenged party is not

contacted until after the Regional Director makes a preliminary decision on

the merits of the challenge. If the Regional Director determines the challenge

has no merit, there is no need to contact the challenged party (CHM

18.19.17). If the Regional Director determines that the challenge appears

meritorious, the Director contacts the challenged party in accordance with the

guidelines set forth in CHM 18.19.18. This is both a sensible and fair

approach, balancing the challenged union’s right to respond to the evidence

and the need to protect the employee witnesses’ privacy. 

ACTION

18.19.17Action when there is no valid issue: When the Regional Director decides

that no valid issue has been raised by the challenge to the validity of the

showing of interest, the Regional Director sends a letter, as set forth in Figure

18.19A, to the party filing the challenge, absent an unsolicited withdrawal by

the party of the challenge. A copy is served on all other parties. A withdrawal

request is not solicited in such instances. The Regional Director*s denial of

the challenge to validity is final and not subject to review [§ 2422.10(e)]. Upon

issuance of the letter to the challenging party, the region resumes processing

the petition.

18.19.18Action when a valid issue is raised: If the investigation establishes that

reasonable grounds exist for believing that any part of the showing is

fraudulent or was obtained coercively, the Regional Director contacts the

challenged party and provides that party with an opportunity to discuss and

respond to the evidence. 

In situations involving the authenticity of signatures, the region initially sends

a letter to the challenged union (with a copy to the international, if the

petitioner is a local): 1) advising it of the question as to the authenticity of the

authorization cards (without specifics); 2) offering the challenged union an

opportunity to meet and review the results of the investigation; and 3) setting

forth the provisions of section 1001, Title 18 of the U.S. Code. (see Figure

18.19B). 

If the challenged union requests a meeting, the region will meet with the union

and verbally provide the challenged union with a general outline of the

evidence submitted and the results of the investigation. It is not permissible

to provide the challenged union with copies of the affidavits secured from the

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signatories who provided evidence in support of the challenge. However, if

necessary, the Regional Office may make a copy of the petitioner/intervenor’s

alphabetized list and sanitize it to delete the invalid names. The union is

permitted to respond to the challenge. 

If the Regional Director determines that a valid issue has been raised by the

challenge, s/he has discretion to determine what action to take. 

a. The Regional Director may strike from the showing of interest the

names of the individuals whose signatures are invalid. If the

remaining valid showing falls below the required amount (30% or

10%), the petition or intervention based on the showing is dismissed

or denied, absent withdrawal. The stated ground is that the

evidence of interest submitted “was of questionable authenticity.” 

See, Fort Bliss, 55 FLRA 940 (1999) and VA, Brecksville, Ohio, 1

FLRC 302 (1971) (a showing of interest may be selectively

invalidated where supervisory involvement is isolated, minimal or

mitigated. CHM 18.19.15.

b. If the remaining valid showing satisfies the interest requirement, but

an officer or agent of the union was responsible for or had

knowledge of and condoned submission of the fraudulent cards, the

region requests clearance concerning the appropriate disposition of

the petition or request for intervention. CHM 58.4.3.

c. If, in the Regional Director's view, the entire showing of interest is

tainted because of the extent of the fraud or the method of

solicitation, the Director may dismiss the petition or deny the request

for intervention, absent withdrawal. Advice is obtained from the

Office of the General Counsel (See CHM 58.3.15 and CHM

18.7.5h). 

d. If a labor organization has not submitted a withdrawal request within

the time limit set by the Regional Director, the Director issues a

Decision and Order dismissing the petition and/or denying the

request for intervention. The Decision and Order specifies the

general grounds for such dismissal or denial without providing

specific details of the results of the investigation; i.e., that the

showing of interest is of questionable authenticity or that certain of

the evidence of interest is of questionable authenticity, the remaining

showing of interest being insufficient to meet the requirements of the

regulations (See Figure 53.B and CHM 53 which discusses

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Decisions and Orders).

If the Regional Director determines that further action may be

warranted by a law enforcement agency, s/he contacts the Office of

the General Counsel for clearance before forwarding the case to the

appropriate authorities. 

18.19.19Limitation on right of review: The only action by the Regional Director to

which an application for review may be filed is issuance of a Decision and

Order dismissing a petition or denying a request for intervention

[§ 2422.10(e)]. The grounds for such dismissal or denial as discussed in CHM

18.19.18 are set forth in a Decision and Order and served on all parties. 

18.19.20Record keeping: Where a union has submitted evidence of interest of

questionable authenticity in prior cases, the agent assigned to the case shall

investigate fully the authenticity of the evidence of interest submitted in

support on the petition or request for intervention. Such investigation consists

of making a comparison check of the signatures against the records of the

activity. If it appears on the basis of the examination, that questionable cards

or other evidence of interest may be involved, the procedure set forth in this

subsection is followed.

18.19.21Duration of listing: The labor organization*s name is retained on the list until

such time as the Regional Director is satisfied that the organization has not

submitted any invalid showing of interest in at least three (3) consecutive

proceedings.

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Challenge to the Status of a Labor Organization

19 CHALLENGE TO THE STATUS OF A LABOR ORGANIZATION: 

19.1 Basis for filing a challenge to the status of a labor organization: Section

2422.11 provides that the only basis on which a challenge to the status of a

labor organization may be made is compliance with 5 U.S.C. 7103(a)(4). 

The Authority has also construed § 2422.11 to include challenges that a labor

organization should not be accorded exclusive recognition under the Statute

because the organization is subject to corrupt influences or influences

opposed to democratic principles [5 U.S.C. 7111(f)(1)]. Division of Military

and Naval Affairs (New York National Guard), Latham, New York and

National Federation of Civilian Technicians (NYNG), 53 FLRA 111 (1997). In

this regard, such challenges, like petitions seeking to revoke the certification

of an incumbent labor organization filed pursuant to 5 U.S.C. 7111(f)(1), are

based on two tenets: 1) only the Authority has jurisdiction to decide issues

relating to the granting of exclusive recognition to labor organizations

representing employees in the Federal sector; 2) freedom from corrupt and

anti-democratic influences is a requirement that must be met before the

Authority can certify a labor organization as an exclusive representative. See

also CHM 3.6 and 5.10.

19.2 Definition of labor organization: A labor organization is defined in

5 U.S.C. 7103(a)(4) as: 

“labor organization” means an organization

composed in whole or in part of employees, in

which employees participate and pay dues, and

which has as a purpose the dealing with an

agency concerning grievances and conditions of

employment, but does not include--

(A) an organization which, by

its constitution, bylaws, tacit agreement

among its members, or otherwise,

denies membership because of race,

color, creed, national origin, sex, age,

preferential or nonpreferential civil

service status, political affiliation, marital

status, or handicapping condition;

(B) an organization which

advocates the overthrow of the

constitutional form of government of the

United States;

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(C) an organization sponsored

by an agency; or

(D) an organization which

participates in the conduct of a strike

against the Government or any agency

thereof or imposes a duty or obligation

to conduct, assist, or participate in such

a strike.

19.3 Who may file a challenge to the status of a labor organization: The

Regional Director or any party may challenge the status of a labor

organization.

19.4 When and where validity challenges may be filed: 

19.4.1 Party challenges to the status of a labor organization based on 5 U.S.C.

7103 (a)(4) must be in writing and submitted to the Regional Director or the

Hearing Officer before the hearing opens, unless good cause is shown for

granting an extension. If no hearing is held, status challenges must be filed

prior to action being taken pursuant to § 2422.30.

19.4.2 Challenges alleging that the labor organization should not be accorded

exclusive recognition because it is subject to corrupt influences or influences

opposed to democratic principles [5 U.S.C. 7111(f)(1)] may be filed at any

time either as a petition or as a challenge.

19.5 Challenge to the status of a labor organization filed pursuant to 5 USC

7103 (a)(4) received too late for the region to investigate prior to the

opening of the hearing: Challenges to the status of a labor organization are

normally processed in the Regional Office. If the challenge is filed too late for

the Regional Director to investigate and decide prior to the hearing, it is

referred to the Hearing Officer. Status challenges may also be filed with the

Hearing Officer prior to the opening of the hearing. See CHM 19.7 for

requirements to submit supporting evidence. 

19.5.1 Timely receipt of challenge immediately prior to the opening of the

hearing: When received immediately prior to the opening of the hearing,

challenges to the status of a labor organization are treated as a threshold

issue when the Hearing Officer goes on the record. Evidence on this issue

is taken before proceeding with the remainder of the hearing. The Hearing

Officer discusses the issues and handling the status challenge with the

Regional Director prior to opening the hearing. If the Regional Director gives

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the Hearing Officer permission to make a recommendation on the record

regarding the challenge, the Hearing Officer goes on the record, receives

evidence, and makes his/herrecommendation in accordance with HOG 35.13

before proceeding with the rest of the hearing. If the Regional Director does

not give permission to the Hearing Officer to make a recommendation, the

Hearing Officer takes evidence on the status challenge and then proceeds

with the other issues. In either situation, the investigation conducted on the

record is the same as discussed in CHM 19.9 and the Regional Director

decides the status issue as part of his/her Decision and Order. HOG 24.3.1

and 33.3.

19.5.2 Attempt to litigate challenge to status of a labor organization at a

hearing: Status challenges that are filed after the hearing opens are untimely

unless the challenging party can establish good cause for granting an

extension. See CHM 17.3.1.3 (cross-petitions raising claims pursuant to

section 7111(f)(1)). HOG 24.3.2 provides complete guidance for considering

status challenges filed during the hearing (see also HOG 33.3).

19.6 Filing status challenge at the election agreement meeting or prior to the

Regional Director’s approval of the Election Agreement or Direction of

Election: Status challenges raise a threshold issue that are investigated

before the Regional Director approves an election agreement or issues a

Direction of Election. If the challenge is made during the election agreement

meeting and is not resolved or withdrawn, the Regional Director provides an

opportunity for a hearing on other than procedural matters [§ 2422.16(c)]. A

challenge to the status of a labor organization is considered an “other than

procedural matter.” Absent a stipulation and a waiver of the parties’ right to

a hearing, the Regional Director issues a notice of hearing on the issues

raised by the status challenge. Thereafter, if there are no questions regarding

unit appropriateness, the Regional Director may issue a Direction of Election

without a Decision and Order [§ 2422.16(c)(2)]. 

By issuing the Direction of Election, the Regional Director is stating, in effect,

that the status challenge does not interfere with the conduct of the election. 

Although the status challenge is not technically “resolved” prior to the election,

the Direction of Election is issued without prejudice to the right of a party to

file a challenge to the eligibility of any person participating in the election

and/or objections to the election. CHM 28.11 and 28.12 provide more

information on § 2422.16. If objections are subsequently filed after the

election concerning the status of the labor organization, the Regional Director

has a record that forms the basis of the objections investigation (See CHM

50). 

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NOTE: The Regional Director has discretion to issue either a Direction

of Election or a Decision and Order in this situation. Considerations

include the relevance and weight of the evidence to support the

challenge. 

19.7 Contents of status challenge: A challenge to the status of a labor

organization contains a clear and concise statement of the challenge and the

reasons for the challenge. 

19.8 Evidence supporting challenge to the status of a labor organization: An

investigation is not undertaken without evidence. If no evidence is filed, the

challenge is denied in a Decision and Order (CHM 19.14). The challenger

may always refile the status challenge with supporting evidence if such

challenge is otherwise timely filed. See CHM 19.10 for scope of investigation

and evidence required to support the challenge.

19.9 Service of challenge to the status of a labor organization: A copy of the

status challenge, including all supporting evidence, is served upon all parties.

19.10 Scope of investigation: The 1996 revisions to the regulations stated that

the only basis on which a challenge to the status of a labor organization may

be made is compliance with 5 U.S.C. 7103(a)(4). However, the Authority

decisions in NYNG, 53 FLRA 111 (1997) expanded the application of this

section to include claims made pursuant to 5 U.S.C. 7111(f)(1). The facts and

circumstances of each case are examined to determine whether a petitioner

or intervenor is a labor organization within the meaning of 5 U.S.C. 7103(a)(4)

or is subject to corrupt influences pursuant to 5 U.S.C. 7111(f)(1). 

19.10.1 When the challenge strictly concerns compliance with 5 U.S.C.

7103(a)(4): See HOG 46A and RCL 10A for types of evidence needed if the

challenge strictly concerns compliance with 5 U.S.C. 7103(a)(4). 

Representation hearings on status challenges are very rare; but not

prohibited. The issue, of course, is whether the petitioning or intervening

labor organization is a “labor organization” within 5 U.S.C. 7103(a)(4). See 

CHM 23.4 and 23.5 for a discussion on investigative techniques. 

19.10.2 Attempt to litigate noncompliance with 5 U.S.C. 7111(f): Timely

challenges alleging that a labor organization is subject to corrupt or antidemocratic influences pursuant to 5 U.S.C. 7111(f) are treated as a challenge

to the status of a labor organization. See NYNG, 53 FLRA 111 (1997). Since

these challenges can also be raised in a petition filed by an individual

bargaining unit member (or a labor organization or agency) seeking to

decertify an incumbent, without an election, the challenge is investigated in

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the same manner as a petition raising these issues is investigated [USIA, 53

FLRA 999 (1997)]. See CHM 20.1.8 for evidentiary requirements and RCL

10B for substantive guidelines. See also CHM 23.4, 23.5, and 23.9.3 for a

discussion on investigative requirements. 

19.10.3 Attempt to litigate noncompliance with 5 U.S.C. 7111(e): In a section

7111(f)(1) proceeding, the presumption in section 7120(a) (that a labor

organization is free from corrupt influences or influences opposed to 

democratic principles) attaches if the labor organization is subject to the

governing requirements set out in section 7120(a)(1) through (4). This may

be demonstrated by the submission of a constitution and bylaws that meet the

criteria set forth in section 7120(a). 

Section 7111(e) provides that a labor organization seeking exclusive

recognition must submit to the Authority (the OGC has interpreted this to

apply to submissions to the Department of Labor) and to the activity/agency

a roster of its officers and representatives, a copy of its constitution and

bylaws, and a statement of its objectives. Thus, when the region determines

that a petitioner has complied with § 2422.3(b), the region is making a finding

that the petitioner is not subject to corrupt or anti-democratic influences. 

Compliance with 5 U.S.C. 7111(e) is an administrative matter determined by

the Regional Director and not subject to collateral attack at a representation

hearing. See U.S. Department of Transportation, U.S. Coast Guard Finance

Center, Chesapeake, Virginia, 34 FLRA 946 at 949 (1990). HOG 33.4.

Allegations that the petitioning or intervening labor organization is subject to

corrupt influences or to influences opposed to democratic principles should

be filed as a challenge to the status of a labor organization or a petition under

section 7111(f)(1). 

19.10.4 Attempt to litigate noncompliance with 5 U.S.C. 7120: 5 U.S.C. 7120

establishes the internal union standards of conduct applicable to labor

organizations that are the exclusive representative under the Statute or seek

that status. 5 U.S.C. 7120(d) commits standards of conduct issues to the

exclusive jurisdiction to the Assistant Secretary of Labor, unless they are

raised as part of a claim that a labor organization is subject to corrupt 

influences within the meaning of 5 U.S.C. 7111(f)(1). The challenging party

must provide evidence that the Department of Labor or other third party has

found a violation of standards of conduct such that there is reasonable cause

to believe that the challenged labor organization: 1) was suspended or

expelled from, or was otherwise sanctioned by, a parent organization, or

federation of organizations with which it had been affiliated, based on its

demonstrated unwillingness or inability to comply with the governing

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procedures set out in section 7120(a)(1) through (4); or 2) is in fact subject

to corrupt or anti-democratic influences. If evidence is filed, follow the

procedures discussed in CHM 19.10.2. 

If the challenging party is only alleging a violation of the Standards of Conduct

described in 5 U.S.C. 7120, the Regional Director issues a letter to the

challenging party referring that party to the Department of Labor with an

explanation of the procedures and time limits for filing a claim that the union

is subject to corrupt practices pursuant to 5 U.S.C. 7111(f)(1). See HOG for

procedures to follow when handling these allegations at hearing. HOG 33.5.

19.11 Contact with the labor organization whose status is being challenged:

Upon receipt of the challenge by the Regional Office, the Regional Director

immediately requests the challenged union’s position. A copy of the Director’s

letter and the challenged union’s response thereto are served on all parties. 

In addition to the evidence supporting the challenge, the Regional Director

may request specific information from the challenging party and the union

being challenged. See HOG 46A (also RCL 10A) for information relating to 5

U.S.C. 7103(a)(4) challenges and CHM20.1.8 and 23.9.3andHOG46B(also

RCL 10B) for challenges in which the challenging party claims the labor

organization is subject to corrupt or anti-democratic influences under 5 U.S.C.

7111(f)(1). If the challenge is made pursuant to section 7111(f)(1) of the

Statute and the challenging party evidences that it has filed a complaint with

the appropriate third party, the case will be held in abeyance pending the third

party’s action. See CHM 23.9.3.3. The Regional Director may also contact

any other party that the Director decides has relevant information.

19.12 Report of investigation: Upon completion of the investigation of a challenge

to validity of interest, a written final investigative report (FIR) is prepared for

the Regional Director. Such FIR’s may take the form of a draft Decision and

Order (see also CHM 26.3).

19.13 Form and content of final investigative report: A FIR is clear, concise and

comprehensive. It is marked intra-agency and confidential. The facts set forth

in the FIR are supported by evidence in the case file and specifically identified

in the FIR. The FIR is a self-contained document to the extent that it is not

necessary to refer to file documents for a thorough understanding of the facts

and issues in the case. Opinions or conclusions of the parties are not facts

and is not reported as such in the FIR.

A FIR includes, but is not limited to:

a. a statement setting forth the challenge(s) to validity and the

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evidence submitted in support of the allegation(s);

b. a statement of the issues raised by the challenges;

c. a discussion of all facts relevant to each challenge;

d. an analysis of each allegation or issue, including discussion of

supporting case law or legal theories and, where applicable, a

discussion of defenses raised; 

e. recommendations as to the disposition of each allegation; and if

appropriate a recommendation regarding enlarging the scope of the

investigation.

19.14 Action on challenge to status of a labor organization: Upon completion

of the investigation, the Regional Director issues a Decision and Order or a

Direction of Election (see CHM 19.6) sustaining or denying the challenge. 

The parties are afforded an opportunity to appeal the Regional Director’s

Decision and Order to the Authority. The Decision sets forth the Regional

Director’s finding that the challenged party, i.e., the petitioning or intervening

labor organization is or is not a labor organization under 5 U.S.C. 7103(a)(4)

or is or is not subject to corrupt influences or influences opposed to

democratic principles pursuant to 5 U.S.C. 7111(f)(1). See CHM 53 for a

discussion on Decisions and Orders. A Direction of Election is not appealable

to the Authority but is issued without prejudice to the right of the party to file

an objection to the election [§ 2422.16(d)].

19.15 Right of review: A party may appeal the Regional Director’s Decision and

Order in accordance with § 2422.31. See CHM 54. 

19.16 Action pending review of a Decision and Order on a status challenge:

A Decision and Order that: 

a. denies a status challenge in the case of a petitioning or intervening

labor organization, or

b. grants the challenge in the case of the intervening labor organization

does not stay processing the petition. If the Decision and Order is appealed

to the Authority, the filing or granting of an application for review also does not

stay processing the petition unless specifically ordered by the Authority. 

The regions contact the Office of the General Counsel whenever questions

arise concerning deferring a petition pending an appeal of a decision based

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on a challenge to the status of a labor organization. See also CHM 55.

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Preliminary Investigation

REGIONAL INVESTIGATIONS AND ACTIONS

CHM 20 through 28

20 PRELIMINARY INVESTIGATION: Section 2422.30(a) provides that the

“Regional Director will make such investigation of the petition and any other

matter as the Regional Director deems necessary.” A regional investigation

is the nonadversarial process that occurs after the petition is opened. 

This section offers guidance for reviewing petitions for sufficiency and

initial processing procedures. CHM 23 discusses issue identification

and investigating techniques. CHM 24 covers issue analysis.

20.1 Purpose: The purpose of the preliminary investigation is to:

a. determine whether the case can be opened; 

b. identify related cases; 

c. outline the purposes of the petition and obtain information

concerning the results the petitioner is seeking;

d. discuss the preliminary telephonic contact with the petitioner and

other preliminary investigative procedures. 

The preliminary investigation also helps the region:

a. identify any party that may be affected by issues raised by the

petition;

b. discuss procedures for contacting potential parties prior to opening

the case. 

20.1.1 General checklist for determining sufficiency of a petition: After a case

is assigned, the agent reviews the petition and any accompanying papers. 

Use the checklist below and refer to CHM5.2 (basic requirements for petitions

regardless of their stated purpose). 

NOTE: CHM 20.1.2 through 20.1.7 describe in detail requirements for

filing and processing petitions having distinct purposes discussed in

§ 2422.1. CHM 20.1.8 describes the requirements for filing a petition

pursuant to 5 U.S.C. 7111(f)(1) that seeks to decertify the incumbent

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labor organization based on an allegation that the labor organization is

subject to corrupt influences or influences opposed to democratic

principles. If required information is not attached to the petition when it is

initially filed, the petition may be defective as discussed in CHM 12. Other

information may be obtained by the agent during the investigation. CHM 20.2

through 20.9 discuss initial procedures after reviewing a petition for

sufficiency. 

a. Was the petition filed on the proper form as required by § 2422.3(a)? 

(CHM 5.1) If not, the region dockets the petition, but cannot open it. 

The region contacts the petitioner immediately via telephone or fax

followed by a confirming letter. An amended petition is required

(CHM 13).

b. What is the stated purpose of the petition (CHM 3)? Is the

petitioner’s statement of the issues raised by the petition and the

results the petitioner seeks sufficient to warrant opening the case? 

If the purpose of the petition appears to be inconsistent with the

purposes of the Statute, the region contacts the petitioner at once.

CHM 20.2. The agent asks the petitioner what it is that the petitioner

is seeking and why. The agent may assist the petitioner in clarifying

the purpose of the petition (see CHM 3) and amending the petition

as required in CHM 13 (noted particularly in CHM 13.7). A

confirming letter is sent as appropriate. If, after talking to the

petitioner, the purpose of the petition still appears to be inconsistent

with the Statute, the Regional Director issues an Order to Show

Cause why the petition should be processed (see Figure 20.1A).

Copies are served on all parties. 

c. Who filed the petition? (CHM 4) Does the petitioner have standing

to file the petition as set forth in CHM 4? If the person does not

appear to have standing to file the petition, the agent contacts the

petitionerto discuss the petition and the petitioner’s reasons for filing

the petition. The agent suggests alternatives if necessary, and

appropriate to do so (CHM 13.7). If, after discussing the petition, the

petitioner clearly has no standing to file the petition, the agent

discusses the matter with the Regional Director. Thereafter, the

Regional Director issues an Order to Show Cause asking why the

petition should be processed (see Figure 20.1A). The Regional

Director serves copies of this Order on all parties who are otherwise

notified of the petition. If it is not clear whether the petitioner has

standing to file, the petition is opened and the Regional Director

requests the parties’ positions.

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If the issue does not appear to be the petitioner’s standing to file the

petition, but rather a question of its authorization to file the petition,

the petitioner may need a designation of representative (see CHM

4.7 - policy and examples). There may be a jurisdiction question

and/or the petition may be defective and cannot be opened. The

agent contacts the petitioner to confirm it has been designated to act

on behalf of the parties to the certification. If the petitioner is unable

to obtain the designation, the Regional Director contacts the certified

exclusive representative to confirm the designation. Absent such

confirmation, it may be necessary to dismiss the petition for lack of

standing. 

All conversations concerning the authorization to file are confirmed

in writing to the petitioner. 

d. Is all information provided as required by § 2422.3? (CHM 5) If not,

the agent, with the concurrence of the Regional Director, decides if

the petition is defective and defines the requirements for correcting

the defect. See CHM 12 and 13 for guidance on identifying

defective petitions and amending petitions.

e. Was the petition served? (CHM 6) The statement of service on the

petition form is sufficient evidence that the petitioner served the

petition on all parties named on the form. If any of the parties

contact the region to advise that they did not receive the petition, the

region sends a letter to the petitioner advising it to serve copies of

the petition on all parties. (Modify Figure 12.4). 

f. Make a list of the party(ies) that the petitioner identifies as affected

by issues raised by the petition and note why the petitioner lists

them. Check for related or current cases to identify commonality of

parties and issues, and for related cases to identify parties that may

be affected by issues raised by the petition. CHM 15.5 provides

guidance and a checklist for identifying affected parties.

g. Was the petition filed in the proper office? If the petition involves a

nationwide unit or a portion of an agency-level consolidated unit, see

CHM 8 for guidance. If necessary, the Regional Director will obtain

clearance from the Office of the General Counsel to process such

cases.

h. Copies of the petition are forwarded to other Regional Offices when

they:

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(i) involve nationwide or agency-level consolidated units and

appear to involve matters having national impact (CHM 8);

or

(ii) request to consolidate existing units that extend beyond

the region’s jurisdiction to other Regional Offices 

Regional Directors notify other Regional Directors of the petition by

sending them an e-mail. See CHM 8 and 63 for general policies

regarding transfer, service, consolidation andseverance. Cases may

be pending in the other regions that could affect processing the

petitions and vice versa. It is imperative that all Regional Directors

respond to e-mails requesting information about related cases. For

example:

< a reorganization of an SSA Branch Office in El Paso could be part

of a nationwide reorganization; the Regional Director e-mails

information about the petition to other Regional Directors to ensure

consistent processing of the case and to determine whether to

consolidate the cases for processing (see CHM 8);

< a petition to consolidate existing units is filed in the Washington

Region; shortly thereafter, another petition seeking an election in

one of the units covered by the pending petition is filed in another

region. The representation petition is blocked pending processing

the consolidation petition (CHM 11.11.2). However, the second

region has no way of knowing about the consolidation petition if it is

not been notified of the petition pending in the Washington Region.

i. How many copies of the petition were filed? The petitioner is

required to file an original and two copies of the petition and

accompanying material with the Regional Office (CHM 9). Failure

to serve the prerequisite copies is not a defect that requires any

written notification. This type of “defect” does not normally become

an issue. The Regional Office simply contacts the petitioner,

reviews the filing requirements and cautions the petitioner about

filing the appropriate number in the future.

j. Is the petition timely filed? See CHM 11 and RCL 12 for guidance

on identifying timeliness issues. If timeliness appears to be an

issue, the agent discusses this during his/her initial contact with the

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petitioner. If necessary, an Order to Show Cause is sent to the

petitioner and copies are served on all known parties (see Figure

20.1B). A timeliness issue could become an issue for a hearing. 

20.1.2 Supplemental checklist for petitions seeking a representation election:

Petitions filed by a labor organization, or labor organizations acting as joint

petitioners, for an election to determine if employees in an appropriate unit

wish to be represented for the purpose of collective bargaining by an

exclusive representative require additional information (see also CHM 5.3):

a. Is the petition accompanied by a showing of interest and an

alphabetized list? Failure to submit a showing of interest is a defect

that prevents the petition from being opened and could also affect

the timeliness of the petition. An amended petition is required. 

Failure to submit an alphabetized list of the names constituting the

showing of interest is also a defect, but may not prevent the petition

from being opened. CHM 12, 13 and 18.9. In a situation where the

agency’s operations are expanding or fluctuating due to the

seasonal nature of the work, the showing of interest is required only

among employees employed at the time the petition is filed. See

Coast Guard, 34 FLRA 946, 950 (1990) and CHM 18.4.b.

b. Does the petition state that the petition is accompanied by a showing

of interest of not less than thirty (30) percent of the employees in the

unit claimed to be appropriate and estimate the number of

employees in the unit specified on the petition? If the information is

not provided, the petition is defective and cannot be opened (CHM

12.3). It must be amended if the petitioner fails to estimate the

number of employees in the unit in Item #3 of the form. CHM 18.4

and 18.9.5. 

c. Does the petition describe a unit claimed to be appropriate for the

purposes of exclusive recognition? Does the unit reflect generally

the geographic locations and the classifications sought to be

included and those to be excluded? If the petitioner does not

describe the unit claimed to be appropriate, the petition cannot be

opened. The agent contacts the petitioner immediately to discuss

the defect. The agent may assist the petitioner in describing the

unit, clarifying the purpose of the petition (see CHM 3) and 

amending the petition as required in CHM 13.7. A confirming letter

is sent. Suggested unit language is discussed in CHM 28.13.

d. Is the prima facie showing of interest adequate? See CHM 18.10 for

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instructions.

e. Identify potential substantive, procedural or eligibility issues. See

CHM 23.

20.1.3 Supplemental checklist for petitions seeking a determination of

eligibilityfor dues allotment: Dues allotment petitions are reviewed in much

the same manner as election petitions. Their requirements are described in

CHM 5.4. 

a. Does the information requested on the petition form describe the

unit claimed to be appropriate? Does the unit description reflect

generally the geographic locations and the classifications sought to

be included and those to be excluded? 

b. Does the petition reflect that the petition is accompanied by

evidence of membership of not less than ten (10) percent of the

employees in the unit claimed to be appropriate and provide an

estimate of the number of employees in the unit claimed to be

appropriate? 

c. Are the evidence of membership and alphabetical list attached to the

petition?

d. Is the prima facie showing of membership adequate? See CHM

18.12.

e. Identify potential substantive, procedural or eligibility issues. See

CHM 23.

Follow the guidelines set forth in CHM20.1.2 if the supplementary information

described above is not submitted with the petition. 

20.1.4 Supplemental checklist for petitions seeking an election to determine

if employees in a unit no longer wish to be represented for the purpose

of collective bargaining by an exclusive representative: See CHM 5.5 for

requirements.

a. Does the petition describe the current unit? 

b. Does the petition reflect that the petition is accompanied by a

showing of interest of not less than thirty (30) percent of the

employees in the unit stating that the employees no longer desire to

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be represented for the purposes of exclusive recognition by the

currently recognized or certified labor organization? Is the

petitioner’s estimate of the number of employees specified on the

petition form?

c. Are the showing of interest and alphabetical list attached to the

petition? 

d. Is the prima facie showing of interest adequate? See CHM 18.10.

e. Identify any potential substantive, procedural or eligibility issues.

See CHM 23.

Follow the guidelines set forth in CHM20.1.2 if the supplementary information

described above is not submitted with the petition. 

20.1.5 Supplemental checklist for petitions to clarify and/or amend (1) a

certification in effect; and/or (2) any matter relating to representation:

As noted in CHM 3.3, such petitions serve a variety of purposes and the

requirements may appear at first somewhat unclear (see CHM 5.6) or are

guided by case law. The agent assists the petitioner within the guidelines of

CHM 1, 2 and 13.7. These cases are also a good example of when it may be

helpful to provide case citations to the petitioner to assist the petitioner in

gathering information and complying with the filing requirements. 

If the information discussed in CHM 5.6 is not included with the petition, use

the outline below as a guide in conversations with the petitioner(s) or when

preparing a letter requesting additional information. It may also help identify

issues and the results the petitioner(s) seeks and provide guidance when

amending the petition. Failure to submit the information in CHM 20.1.5 may

delay opening and/or processing the petition, but see CHM 12 for guidance

in identifying defects and CHM 13.7 for guidance on assisting the parties

when amending the petition. The agent confirms any conversation with the

petitioner(s) in writing. This letter assists the petitioner(s) in compiling the

information, confirms the agent’s and the petitioner(s)’ understanding of the

requirements, and ultimately expedites processing the case. 

 a. Does the petition describe the unit(s) affected by issues raised by

the petition? The regulations require the petitioner to describe the

unit affected by issues raised in the petition. This may be

interpreted two ways, by: 1) describing the currently certified or

recognized unit; or 2) describing the proposed unit. As long as the

unit description complies with § 2422.3(a)(6), the petition may be

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processed. The region may assist the parties when describing the

proposed unit (CHM 2) and obtain copies of the certification or

recognition during the investigation (CHM 15). If the parties are

unable to agree on a proposed unit description, it becomes an issue

that the Regional Director decides as part of his/her decision. 

b. Does the petition identify parties affected by issues raised by the

petition, including all parties to any exclusive bargaining

relationships affected by the petition identified by the petitioner(s)?

c. Does the petition include a clear and concise statement of the

issues raised by the petition and the results the petitioner(s) seeks? 

Typical information includes, but is not restricted to, the following

noted below. 

(1) Petitions requesting a clarification of the bargaining unit

status of certain employees/positions describe the present

unit and the date of recognition or certification; the

proposed clarification; the title(s) of the position(s) to be

clarified, and the name of the incumbent(s) currently

occupying the positions. The petition explains the reasons

supporting the request. There are certain exceptions to the

rule that only positions which are occupied can be clarified.

For additional information, see RCL 15 and HOG 51.

(2) Petitions to amend a recognition or certification in effect

also describes the present unit and the date of recognition

or certification; the proposed amendment; and a statement

of reasons in support of the proposed amendment. As

noted, some of the requirements in these cases are not

specifically spelled out in the regulations, but rather

described in case law. When necessary, refer to the

substantive sections of the HOG for assistance. Examples

include technical name changes in the agency or activity,

union designation, reaffiliations or mergers (Montrose RCL

7B and HOG 43)and certain successorship situations

where the entire unit is transferred to a gaining employer

(RCL 3B and HOG 39). 

(3) Petitions requesting clarification of or an amendment to a

matter relating to representation include: 

(i) a description(s) of the present unit(s) for which

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the petitioner(s) seeks clarification; NOTE: the

region is responsible for obtaining copies of

appropriate certifications, amendments and

clarifications from its files if the parties do not

furnish them with the petition; 

(ii) a detailed explanation of the reasons to support

the question relating to the continued

appropriateness of an existing unit(s); 

(iii) a statement outlining the issues raised,

if known; 

(iv) the proposed results if known; if the petition is

filed jointly, the petitioners may not agree on the

proposed results and the petition must reflect the

petitioners’ various positions.

Examples of these kinds of petitions includes resolving issues

related to the effect of a reorganization on an existing unit (RCL 3 )

or when the agency asserts a good faith doubt of continued majority

status based on the extent of the union activity and representation

(RCL 4). If the purpose of the petition is unclear, a meeting with all

potential parties pursuant to § 2422.13(b) may be instructive. In

such situations, the standard opening and notification procedures

may be modified or delayed (see CHM 25.7).

d. Identify potential substantive, procedural or eligibility issues. See

CHM 23.

20.1.6 Supplemental checklist for petitions to consolidate two or more units

in an agency and for which a labor organization is the exclusive

representative: See CHM 5.7.

a. Does the petition to consolidate existing units contain a description

of the proposed consolidated unit claimed to be appropriate for the

purpose of exclusive representation? 

b. Are copies of the original recognitions or certifications attached? 

If so, are the descriptions changed in some manner from the original

certifications? 

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Do the descriptions reflect generally the geographic locations and

the classifications of employees sought to be included and those

sought to be excluded and the approximate number of employees

in the consolidated unit claimed to be appropriate for the purpose of

exclusive recognition?

c. Do the attachments include the name(s) and address(es) of the

exclusively recognized labor organization(s) involved in each unit

sought to be consolidated, the name and address of the activity

representative and the approximate number and types of employees

in each unit sought to be included? Each of the parties to the

certifications are affected by issues raised in the petition and are

automatic parties to the petition CHM 17.2. They receive a letter

described in CHM 15.8.1.

The agent also requests the information outlined below and explains that it

will expedite case processing: 

d. Do the attachments contain a statement, as appropriate:

(1) that the labor organization(s), activity(ies) or agency was

contacted prior to the filing of the petition and agrees to

consolidate existing exclusively recognized units;

(2) that the labor organization(s), activity(ies) or agency was

not contacted prior to the filing of the petition?

e. If a certification were issued, are the name(s) of the labor

organization(s), activity(ies) and agency as they are to appear on the

certification on consolidation of units reflected in an attachment?

f. Identify potential substantive, or procedural issues. See CHM 23.

Failure to submit this information with the petition does not delay opening the

petition, but the agent is responsible for obtaining this information prior to the

Regional Director taking action pursuant to § 2422.30.

Note: As noted in CHM 23.10, the regulations do not include a provision

that permits an agency or a labor organization to request an election to

decide the consolidation issue. If, after the Regional Director issues a

Decision and Order, either the agency or labor organization requests an

election, contact the Office of the General Counsel. See CHM 28.17 for

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election procedures involving unit consolidations.

20.1.7 Supplemental requirements for petitions that seek to disclaim interest:

These petitions normally include the following information: 

 a. A description of the unit(s) for which the labor organization holds

exclusive recognition and seeks to disclaim interest. The description

reflects the name of the activity or agency affected, the geographic

locations and classifications of the employees included in the current

certification. A copy of the recognition or Certification of

Representative is attached if available. 

b. There is no special form for a disclaimer. In general, a letter is

attached to the petition stating that the disclaiming union “waives

and disclaims any right to represent ... (describe unit of employees)”

or “employees for which (name of union) was certified as the

exclusive representative in Case No. ....” See CHM 20.9 for specific

processing guidelines and information about disclaimers.

c. The name and mailing address for each activity or agency for which

the labor organization holds exclusive recognition and seeks to

disclaim interest, including street number, city, state and zip code.

d. The name and mailing address of the labor organization which holds

exclusive recognition, including street number, city, state, and zip

code.

e. The name, mailing address and work telephone number of the

contact person for the labor organization which is recognized or

certified for the unit being disclaimed, if other than the party filing the

request to disclaim.

f. The signature, title, mailing address and telephone number of the

person filing the letter of disclaimer. See also CHM 20.9 for

processing guidelines.

20.1.8 Supplemental checklist for petitions filed pursuant to 5 U.S.C. 7111 (f)(1)

seeking to decertify an incumbent labor organizations based on

allegations that the labor organization is subject to corrupt influences

or influences opposed to democratic principles: 

a. Does the petition describe the unit(s) affected by issues raised by

the petition? The regulations require the petitioner to describe the

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unit affected by issues raised in the petition. The current unit

description is described in petitions claiming that the incumbent

labor organization should be decertified based on allegations that

the labor organization is subject to corrupt practices or influences

opposed to democratic principles. The region may assist the

petitioner in obtaining a copy(ies) of the certification or recognition

during the investigation (CHM 15). 

b. Does the petition identify parties affected by issues raised by the

petition, including all parties to any exclusive bargaining

relationships affected by the petition identified by the petitioner(s)?

c. Does the petition include a clear and concise statement of the

issues raised by the petition and the results the petitioner(s) seeks? 

Typical information normally includes, but is not restricted to, the

following noted below. 

(1) If there has been, or is currently pending, a proceeding

before a third party that is based on the same or

substantially similar allegations that support the section

7111(f)(1) claim, the petition should include all documents

filed with the third party, evidence submitted and any

decisions rendered in that proceeding. 

The party must establish why the allegations in that

proceeding are the same or substantially similar to the

allegations that support the section 7111(f) claim. The

party must further establish that a finding of a violation in

that proceeding requires a determination under the Statute

that the challenged labor organization is subject to corrupt

or anti-democratic influences. 

(2) The petition should reflect the third party’s decision if it 

found no violation based on the same or substantially

similar conduct, and provide evidence why the challenge

or petition should not be dismissed, absent withdrawal. 

The petition should include all documents filed, evidence

submitted and decisions rendered in that proceeding. 

(3) The petition should reflect if a third party has found a

violation based on the same or substantially similar

conduct and include an explanation why that violation

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establishes under the Statute that a labor organization is

subject to corrupt or anti-democratic influences requiring

the denial or revocation of certification. 

The petition should include all documents filed, evidence

submitted and decisions rendered in that proceeding. 

(4) The petition should reflect whether a third party proceeding

is pending and provide a rationale, assuming the

allegations before the third party are true, why they

establish under the Statute that a labor organization is

subject to corrupt or anti-democratic influences requiring

the denial or revocation of certification. 

The petition should include all documents filed, evidence

submitted and ruling issued in that proceeding.

(5) If the petitioner has not filed a proceeding before a third

party and none is pending at the time the petition is filed,

the petitioner should include an explanation why the

challenge or petition should not be dismissed, absent

withdrawal. The petition should include all evidence to

support the challenge. 

If necessary, the Regional Director issues an Order to Show Cause

ordering the petitioner to establish why that evidence requires a

determination under the Statute that the challenged labor

organization is subject to corrupt or anti-democratic influences. 

d. If any of the information discussed above is missing, the Regional

Director issues an Order to Show Cause when a Challenge or

Petition is filed. See CHM 23.9.3.2.

e. See CHM 23.9.3 for investigation requirements, when stays are

appropriate and obtaining clearance when processing these cases. 

See also CHM 19.

20.2 Preliminary contact with petitioner in all cases: After the petition is

reviewed for sufficiency, the agent contacts the petitioner(s) via telephone to

discuss the case, any defects in the petition, and explains processing

procedures as noted below. A telephone contact usually sets the tone for

processing the case and provides useful information to both parties: the agent

and the petitioner. If the agent is unable to contact the petitioner by telephone

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and the petition is defective, a letter setting forth the defect is sent

immediately (CHM 12.3). If the petition alleges that the incumbent labor

organization is subject to corrupt influences or influences opposed to

democratic principles pursuant to section 7111(f)(1) and does not include the

information required in CHM 20.1.8, the petitioner is not sent a letter

described in CHM 12.3. Rather the petitioner is sent an Order to Show Cause

as discussed in CHM 15.8 and CHM 23.9.3.2.

The agent makes the first telephone calls regarding the petition as soon as

possible after the petition is filed. Remember any delay by the Regional

Office could adversely affect the petitioner or other parties.(see CHM 18). 

a. The agent advises the petitioner of the regulations and basic case

processing procedures. Next, the agent reviews the petition and

confirms the contents of the petition, its purpose and the results the

petitioner seeks. 

b. The agent also confirms the names of the parties listed on the

petition form and asks if there are any parties not listed. 

c. The agent is prepared to discuss any issues gleaned from the

preliminary examination of the petition with the petitioner.

d. The agent also advises the petitioner(s) of any defects and their

effect on case processing. If an amendment is required to cure the

defect or to clarify the petition, the agent provides necessary

assistance as appropriate (CHM 13.7). 

CHM 15.4 discusses notifying the petitioner of the receipt of the petition and

procedures when the petition is defective, and provides sample letters. 

20.3 Identifying parties that maybe affected by issues raised by the petition:

The guidelines and checklists set forth in CHM15.5 are followed to ensure the

Regional Director complies with § 2422.6. 

20.4 Preliminary contact with potential parties prior to opening the case:

Potential parties are contacted and notified in writing as soon as possible

after the region dockets the case, i.e., checks the petition for sufficiency,

obtains any required amendments and identifies affected parties (CHM 15).

The Regional Office also contacts all potential parties telephonically

prior to opening the case (sending written notification of the petition)

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with the exception of parties to local certifications when a national

union is seeking to consolidate all of its units nationwide. While it may

not be possible to contact all potential parties prior to sending written

notification of the petition, every potential party is normally contacted

telephonically in the early stages of case processing. This section suggests

guidelines to follow during the initial telephone call with the parties. 

20.4.1 Preliminary contact when the case cannot be opened: If the petition is

defective and cannot be opened until the petition is amended but the Regional

Director believes the defects will be cured, the Regional Director has

discretion to begin exploring issues with the parties. S/he may send a letter

to the parties named by the petitioner to inform them that a petition has been

filed. Ultimately, the Regional Director has discretion to open the case. 

20.4.2 Preliminary contact with the employing activity/agency, if other than the

petitioner, when the case can be opened: If possible, a non-petitioning

activity or agency is contacted first and by telephone if possible. Contact by

telephone to discuss the petition and preliminary issues may save time and

identify any procedural issues that could be resolved without resort to formal

procedures. Discussion with the activity representative includes:

a. The agent introduces him/herself and states the reason for the call. 

The agent confirms that the name and position of the person is the

appropriate activity/agency contact.

b. The agent describes the petition and asks if the activity/agency has

received a copy of it. 

c. The agent describes general case processing procedures, the

apparent purpose of the petition as filed, and the parties involved. 

The agent also asks if the activity has any knowledge of any other

party that may be affected by issues raised. If the petition involves

a reorganization, the agent asks about the reorganization: how it

came about, who was affected, etc. 

d. The agent informs the activity that the Regional Director will send a

letter asking for specific information related to the case and

requesting the activity to post a notice to employees informing them

of the petition. The agent also outlines the basic procedures and

requirements for processing the particular petition that has been filed

and answers any questions about case processing procedures.

20.4.3 Preliminary contact with labor organizations, agencies and activities

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that may be affected by issues raised by the petition: The agent contacts

other labor organizations, agencies or activities named by the petitioner or

determined by the Regional Director to be affected by issues raised by the

petition. Often, such contact sets the tone for the proceedings and defines

and resolves issues in the preliminary stages of handling the petitions. 

Contact with these potential parties includes:

a. The agent introduces him/herself and states the reason for the call. 

The agent states that a petition has been filed, describes its purpose

and that the labor organization, agency or activity, as appropriate,

may be affected by issues raised by the petition.

b. The agent explains applicable representation case handling

procedures including procedures for and timeliness of

intervention/cross-petition. 

c. The agent explains whether the labor organization, agency or

activity is automatically entitled to participate in the case pursuant to

§§ 2422.8(d) or (e), or whether it is entitled to request intervention

pursuant to §§ 2422.8(c)(1),(2)(3) or (f), or § 2421.21.

d. The agent confirms the name, address and telephone number of the

potential party and its representative. The agent states that the

Regional Director will notify it of the petition via letter in accordance

with § 2422.6 (CHM 15.8). 

20.5 Written notification of potential and automatic parties after preliminary

review of petition: All telephone conversations with potential parties prior to

opening the case are confirmed by letter(s) described in CHM 15.8 and 15.9.

The letters in Figures 15.8A, 15.8B and 15.9 are modified if necessary (see

CHM 15.8.2 and CHM 20.5). 

Regardless of any telephone contacts, the Regional Director is required to

make reasonable efforts to notify any labor organization, agency or activity

identified by the parties or the Regional Director as being affected by issues

raised by the petition (§ 2422.6). The guidelines set forth in CHM 15 are used

for identifying and contacting any parties that may be affected by issues

raised by the petition. If appropriate, the Notice to Employees accompanies

the letter to the employing activity/agency as set forth in CHM 16.

20.5.1 Automatic parties: Parties that qualify as automatic parties pursuant to

§§ 2422.8(d) and (e) receive either Figure 15.8A or 15.9, depending on the

purpose of the petition. 

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Note that in petitions seeking to consolidate existing units, the parties to the

certifications are automatic parties to the proceeding even though the national

union may have filed the petition on the local’s behalf. The local parties to the

certification are served with the appropriate letters. See CHM 15.8.1.

20.5.2 Potential parties: Parties that may be affected by issues raised by the

petition are notified of the petition and given an opportunity to request

intervention. These parties are described in §§ 2422.8(c) and (f) and receive

Figure 15.8B, regardless of the purpose of the petition. Note that these

preliminary actions takeplace simultaneously and within days of receipt

of the petition in the Regional Office. There are some exceptions to this

practice including notifying “interested parties” - parties that may not qualify

as intervenors, but claim they are affected by issues raised by the petition

pursuant to § 2421.21. These parties are not invited to intervene and may not

be copied with opening letters to the employing agency. See CHM 15.10 and

CHM 17.13 for case processing guidelines. 

20.6 Action after notification letters are sent:After sending the initial notification

letters, the agent continues to process the petition. As set forth in CHM

15.12, Regional Director’s are not generally required to confirm a party’s

participation in a proceeding after notification of the petition has been sent. 

However, see CHM 20.8, 15.12 and 17.5 for policy guidance.

20.6.1 Outlining issues raised by the petition: After the region forwards the

notification letters to the parties, the agent assigned to the case continues to

develop and outline the issues raised by the petition. This section

summarizes the preliminary procedures that the agent takes while waiting to

hear from the parties and as information is received. CHM 23 - issue

identification and investigative techniques - discusses specific investigative

procedures for each petition.

a. Define the issues and outline the facts needed to resolve the issues.

b. Review information as it is received to: (i) assess whether there are

new issues and/or additional information is required; (ii) ensure that

all potential parties have been identified. CHM 15.5.3.

c. After the region receives the activity’s payroll list in an election

petition, complete the final check of the showing of interest. CHM

18.13.

d. After the activity’s payroll list is received in a petition seeking a

determination of eligibility for dues allotment, confirm that the names

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on the petitioner’s certified showing of membership are actually

employees of the activity. CHM 18.13. 

e. If the petition requests clarification of or an amendment of a

recognition or certification or to a matter relating to representation,

compile information/evidence to support the petition. Specific

information is discussed in CHM 23 generally and 23.5 and 23.8. 

f. Check on related cases in the Regional Office and if appropriate,

pending in other Regional Offices (see CHM 20.1.1).

20.6.2 Investigating the petition: The agent is also expected to obtain evidentiary

information relevant to the issues raised by the petition in a manner that

minimizes disruption to the affected parties and expedites the processing of

the case. Such evidence may be in the form of affidavits, documentation,

position statements and legal arguments. The region may obtain this

evidence by an investigation or a fact-finding hearing (see CHM 23.4 for

investigative techniques and CHM 30 and the HOG for guidance in

conducting a hearing). The region informs the parties of the investigative

process and its appropriateness.

20.7 Follow-up with petitioner: The agent ensures that the petitioner complies

with any request to submit an amended petition or secures additional

information to correct defects.

20.8 Regional Director’s responsibility after notification: This subsection is

taken from CHM 15.12 and 17.5 that discuss the Regional Director’s

responsibilities after sending affected parties the notification letter. Note also

the discussion in CHM 17.4 discussing the correlation between notification

and intervention. Generally, keep in mind that:

a. Any labor organization, agency or activity that may be affected by

issues raised by a petition is notified of the filing of a petition

(§ 2422.6). But, not every labor organization, agency or activity that

is notified by Regional Directors pursuant to § 2422.6 that it may be

affected by issues raised by the petition is automatically entitled to

participate in the petition. A cross-petitioner, employing

agency/activity and/or incumbent labor organization are automatic

parties in a representation proceeding and are designated as such

in the initial letter notifying them of the petition (see Figures 15.8A

or 15.9). Any other agency/activity or labor organization that may be

affected by issues raised by the petition must request to intervene

or cross-petition according to the requirements set forth in § 2422.8

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in order to participate in the petition (see Figure 15.8B). CHM 17.4.

b. After the potential parties are notified of the petition by letter, the

Regional Director is not required to follow up and confirm a labor

organization, agency or activity’s participation in a proceeding. 

However, the region balances its responsibility to notify potential

parties that may be affected by issues raised by the petition with the

right of any affected labor organization, agency or activity to have a

reasonable opportunity to intervene in the proceeding. CHM 15.12.

c. The time limits for intervention, cross-petitions and challenges are

not dependent on the posting of the notice to employees (which has

a fixed duration) but rather on actions being taken according to

§ 2422.30. Any labor organization, agency or activity notified that it

may be affected by issues raised by a petition has a reasonable

opportunity to participate in the case. For instance, if a potential

party has been identified and notified of a petition and contacts the

Regional Office for information, it is advised of the status of the

case. If the labor organization, agency or activity states it intends to

intervene pursuant to § 2422.8, the agent reminds it of the

requirements for intervention. Before taking action pursuant to

§ 2422.30, the Regional Director has discretion to, and is required 

(where a labor organization incumbent or employing agency are

automatic parties) to follow up with any labor organization, agency

or activity that has telephonically inquired about a case. 

20.9 Disclaimer of interest: Any labor organization holding exclusive recognition

for a unit of employees may disclaim any representational interest in those

employees at any time. Disclaimers of interest may be filed by the recognized

or certified exclusive representative in the following situations:

a. as a “petitioner,” a labor organization may file a petition seeking to

disclaim any representational interest in a unit for which it is the

exclusive representative (CHM 5.9). 

b. as an incumbent union named in a petition that requests an election

or seeks to clarify a matter relating to representation;

c. as an intervenor in a petition that seeks to clarify a matter related to

the representation of employees it represented prior to a

reorganization or realignment of agency operations. 

To be effective, a disclaimer must be made in good faith, be clear and

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unequivocal, and leave no doubt that a matter relating to the incumbent’s

representation does not exist with respect to the bargaining unit. Department

of Defense, Department of the Navy, Portsmouth Naval Shipyard,

Portsmouth, New Hampshire, 14 FLRA 76 (1984). A union’s bare statement

is not sufficient to establish that it has abandoned its claim to representation

if the surrounding circumstances justify an inference to the contrary. Its

conduct, judged in its entirety, must not be inconsistent with its alleged

disclaimer. A disclaimer filed under questionable circumstances is submitted

for case handling advice.

20.9.1 Processing petitions where a labor organization files a disclaimer:

When the region receives a petition from a labor organization that seeks to

disclaim representational interest, or as part of processing a petition, receives

a letter from the incumbent seeking to disclaim representational interest, the

region: 

a. confirms that the party filing the disclaimer is the recognized or

certified exclusive representative of the employees in the unit. A

significant requirement is the letter of recognition or the Certification

of Representative. If the union seeking to disclaim does not submit

a copy of the recognition or certification, the region obtains a copy

from the certification database, the activity or if possible, the

international union; 

and

b. confirms that the only purpose of the petition or letter is to disclaim

representational interest in the unit. 

If the certification was issued to a local union and the international attempts

to challenge the disclaimer, the region contact the Office of the General

Counsel. 

If an incumbent files a petition to disclaim representational interest and the

disclaimer appears to have been properly filed, the region issues a Decision

and Order approving the disclaimer. The region also tries to obtain from the

petitioner a waiver of its right to appeal the Decision and Order. However, if

no waiver is submitted, when the Decision and Order becomes the final action

of the Authority under § 2422.31(e), the Regional Director issues a

Revocation of Recognition or Certification (see CHM 56.6.1 - revocation

issued upon a disclaimer by an incumbent exclusive representative). 

If an incumbent files a disclaimer in a petition filed by another party, the region

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takes appropriate action consistent with the purpose of the petition. 

a. In a base closure situation, the incumbent may agree that the base

closure resulted in the termination of the unit and file a disclaimer. 

b. In a petition filed by an employing agency that contends that it has

a good faith doubt that the incumbent represents a majority of the

employees in the unit, the disclaimer obviates the need for a

determination on the merits, i.e., whether or not the incumbent

continues to represent a majority of employees in the unit. In such

cases, the Regional Director issues a Decision and Order stating

his/her intent to issue a Revocation of Recognition or Certification. 

c. In a raiding situation, a disclaimer by the incumbent results in the

election without the incumbent on the ballot [note however,

§ 2422.14(c)]. 

d. In a decertification proceeding, a disclaimer by the incumbent

obviates the need for an election unless there is an intervenor. See

§ 2422.23(f) and CHM 28.37.

20.9.2 Effect of disclaimer on petitions seeking an election in a unit currently

represented by an incumbent: 

a. If a labor organization properly disclaims interest in the unit for which

another labor organization has filed a timely petition seeking an

election, the incumbent is not regarded as a party. 

b. If a labor organization properly disclaims interest in the unit which is

the subject of a decertification petition, the election is not held

[unless another labor organization has intervened -§ 2422.23(f) and

CHM 28.37]. In cases where there is no intervenor, the Regional

Director dismisses the petition on the basis of the disclaimer, stating

that no question of representation exists (absent a withdrawal), and

issues a Revocation of Recognition or Certification at the time the

petitioner’s withdrawal is approved or the case is dismissed (see

CHM 53 for Decisions and Orders). 

When an election is not held because the incumbent has filed a disclaimer of

interest, § 2422.14(c) imposes a six month bar on the incumbent from filing

a petition seeking an election involving the same unit or a subdivision thereof. 

See also CHM 11.10. 

20.9.3 Effect of disclaimer on petitions that seek to clarify or amend a matter

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relating to representation: A disclaimer by a labor organization named as

an incumbent or an intervenor in a representation petition based on its current

or prior representation of employees affected by a reorganization may affect

the issues raised by the petition. In this situation, the region is not required to

issue a separate Decision and Order as a result of the incumbent’s

disclaimer. During the processing of the petition, the incumbent labor

organization is simply not a party and the affected employees are not

represented. If, however, the issues reflect that the unit remains appropriate,

the Regional Director goes back to the incumbent to confirm in writing that it

still seeks to disclaim interest. If the incumbent continues to disclaim, the

Regional Director issues a Decision and Order that includes a statement that

the incumbent disclaimed interest in representing the employees in the unit

and states his/her intent in issuing a Revocation of Recognition or

Certification. Thereafter, the Regional Director issues a Revocation of

Recognition or Certification to reflect that the exclusive representative has

disclaimed interest for an appropriate unit of employees (see CHM 56.6.1 -

revocation issued upon a disclaimer by an incumbent exclusive

representative). 

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Duty to Furnish Information

21 DUTY TO FURNISH INFORMATION: Section 2422.15(a) states:

After a petition is filed, all parties must, upon

request of the Regional Director, furnish the

Regional Director and serve all parties affected

by issues raised in the petition with information

concerning parties, issues, and agreements

raised in or affected by the petition.

The Regional Director’s letter notifying affected parties of a petition includes

a reminder of the parties’ duty to furnish information under this section (CHM

15.8). 

21.1 Agency’s or activity’s duty to provide a list of inclusions and

exclusions: After a petition seeking an election is filed, the Regional Director

may direct the agency or activity to furnish the Regional Director and all

parties affected by issues raised in the petition with a current alphabetized list

of employees and job classifications included in and/or excluded from the

existing or claimed unit affected by issues raised in the petition [§ 2422.15(b)]. 

The employing agency is requested to provide this information in the initial

letter notifying it that a petition has been filed. See CHM 15.9 for a discussion

about opening letters and CHM 18.13 for a discussion on the effects of the

activity’s failure or refusal to provide an eligibility list.

21.2 Using subpoenas to obtain information: Investigatory subpoenas are

rarely used in representation proceedings but there may be situations that

require the use of an investigative subpoena. See CHM 23.5.3 for guidance

and instructions. 

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Cooperation

22 COOPERATION:All parties are expected to cooperate in every respect of the

representation process. This obligation includes cooperating fully with the

Regional Director, submitting all required and requested information, and

participating in prehearing conferences and hearings. The failure to

cooperate in the representation process may result in the Regional Director

taking appropriate action, including dismissal of the petition or denial of

intervention [§ 2422.15(c)]. Other potential outcomes include: 

a. Failure of the petitioner to make available necessary facts that are

in his/her possession may result in prompt dismissal. 

b. Failure of other parties to furnish the “best evidence” available on an

issue or particular matter may result in the acceptance of other

information available on that point.

c. Failure of the intervenor or incumbent to sign an election agreement

because of a disagreement on the matters contained in § 2422.16(b)

or because the incumbent simply refuses to cooperate may result in

a Direction of Election or denial of status as a party. 

d. Failure of the intervenor or the incumbent to appear at the hearing

held pursuant to § 2422.17, does not result in denial of its status as

a party. The hearing simply proceeds without the party; but the

record reflects that the party failed to make an appearance.

NOTE: The Authority has not had an opportunity to rule on issues that

arise from a party’s failure to comply with § 2422.15(a), Duty to Furnish

Information or § 2422.15(c), Duty to Cooperate. The regions contact the

Office of the General Counsel whenever questions arise concerning a

party’s compliance with § 2422.15. 

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23 ISSUE IDENTIFICATION AND INVESTIGATIVETECHNIQUES:This section

discusses basic investigative procedures and techniques. It also includes

guidelines on investigating specific types of cases. CHM 24 discusses issue

analysis and CHM26 discusses preparing the case for the Regional Director’s

decision.

23.1 Responsibility of Regional Director: The regulations streamline the case

handling process and make the rules flexible in addressing the representation

concerns of agencies, activities, labor organizations and individuals. The

Regional Director takes a proactive role and ensures that the procedures

followed result in an appropriate resolution of the representation issues (CHM

1). The Regional Director is responsible for defining and resolving all

underlying issues presented by the filing of the representation petition

whether or not identified by the petitioner. Issues are not only defined by

the results the petitioner seeks, but also by the facts and circumstances that

caused the petition to be filed. 

The Regional Director acts to resolve the issues and the underlying

representation matter in a manner consistent with the Statutory requirements

for appropriate units and unit eligibility. For instance, the Statute and the

regulations require that when the Regional Director has reasonable cause to

believe a question exists regarding unit appropriateness, the Regional

Director provides the parties with an opportunity for a hearing and issue a

Decision andOrder on the unit issues, absent an election agreement. Certain

significant eligibility issues may also require a hearing while other

representation issues may not. Thus, defining issues ensures proper

application of the regulations, uniform case handling practices among the

regions and decisions that are consistent with the Statute.

23.2 Identifying issues and developing a checklist for additional information:

Once the region identifies the parties, the agent can begin defining and

outlining the issues for resolution. See also CHM 20.6.1.

23.3 Basic requirements for resolving representation issues: Issues arise in

nearly every representation case, including those involving elections,

amendments and clarifications, dues allotment, consolidation and other

matters relating to representation. The agent is prepared to identify these

issues, investigate and gather sufficient facts to enable the Regional Director

to decide an appropriate course of action. It is possible that the Regional

Director may identify issues that are crucial to resolution of the petition that

the parties do not consider relevant.

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Analyzing issues in a representation case is an evolving process with new

issues becoming apparent as facts are gathered. Simply identifying the

issues from the face of the petition and collecting evidence is not adequate.

Assembling the facts is as important as identifying the issues. A suggested

guideline follows:

a. Review the petition to identify issues that surface from the petition;

(i) outline the procedural issues;

(ii) outline the potential substantive ones;

b. Begin gathering the relevant facts. Developing a complete picture

of the facts and applying them is crucial to analyzing issues; 

c. Attempt to resolve the procedural issues as quickly as possible:

(i) will an amended petition or supplemental information

resolve the procedural issue?

(ii) are the positions of the other parties required? (For

example, timeliness at first may appear to be a procedural

matter; showing of interest issues are often resolved simply

by discussing the eligibility list with the concerned parties.)

(iii) is an informal meeting pursuant to § 2422.13

advantageous at this point?

d. Decide whether a procedural issue is a potential issue for hearing;

if so, begin conducting research and preparing for a meeting

pursuant to § 2422.13 (CHM 25);

e. Identify all affected parties and categorize them as automatic parties

versus potential intervenors; consider whether any of the affected

parties may raise issues in addition to those presented by the

petition; anticipate the issues, procedural or substantive; and outline

possible appropriate solutions based on existing policy andAuthority

case law;

f. Outline and research the substantive issues identified from the

petition or raised by the parties; consider whether the issues are

related (in a reorganization, the petitioner could file a petition

seeking an election, but another party could claim successorship

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and yet another party that represents other employees at the activity

could claim accretion);

g. Review the substantive section discussions in the RCL; the outlines

and questions in the HOG; and develop an outline for processing the

petition including the standards and facts required to resolve the

issues raised by the petition; 

Note: An outline is crucial to the identification of the issues and the

development of the case. (CHM 23.4 and 23.5). The outline:

 

(i) enables the agent to become well acquainted with

appropriate unit criteria and the factors considered in

making such determinations; 

(ii) assists the parties when they compile information that

is necessary for the Regional Director’s decision; 

(iii) is required when a notice of hearing is issued; 

(iv) helps the Hearing Officer narrow and resolve issues

during the prehearing conference; and 

(v) ensures a complete record at the hearing.

h. Review the facts that have been gathered during the investigation

and apply them to the standards/factors necessary for resolution of

the issues; secure any additional facts required;

i. Consider whether a meeting to discuss and define the issues is

appropriate and useful to resolve any of the issues (CHM 25); 

j. Consider the issues and determine whether a hearing is required

under the Statute and the regulations; [see § 2422.30(b) and CHM

28.11.2.2 or eligibility issues];

k. “Look at the big picture” when reviewing the issues and the facts; do

the issues affect a larger unit or affect more employees than those

covered by the petition?

l. Continually reassess the issues and apply the standards to the facts

obtained during the investigation; what appeared to be an issue may

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disappear, similarly a new issue may appear as new facts unfold;

and

m. Begin preparing the case to present to the Regional Director for

decision and action. See CHM 26 for guidelines and requirements.

23.4 Investigative procedures: 

23.4.1 General policy: The region will notify any labor organization and agency it

identifies as being affected by issues raised in the petition and provide an

opportunity for that labor reorganization and agency to participate in the case. 

All evidence, whether documentary or testimonial, must be relevant. The

region will obtain evidentiary information relevant to the issues raised by the

petition in a manner that minimizes disruption to the affected parties and

expedites the processing of the case. Such evidence may be in the form of

affidavits, documentation, position statements and legal arguments. The

region may obtain this evidence through either an investigation or a factfinding hearing. The region will inform the parties of the investigative process

and its appropriateness.

23.5 Evidentiary considerations:

23.5.1 Choosing between documentary and testimonial evidence: 

23.5.1.1 Documentary evidence is evidence which has been reduced to writing prior

to the investigation for purposes unrelated to the investigation itself. This type

of evidence, when available, is almost always preferable to testimonial

evidence on the same point. In a fact-finding hearing, it is used to support

testimony from a qualified witness. The agent always determines whether

relevant documentary evidence exists and emphasizes to the parties who

have access to that evidence its importance. When it is clear that the parties

are unable to produce documents which are known to exist, the agent

attempts to reproduce that evidence through testimony. In some cases,

documentary evidence may be so critical that no decision on the merits can

be made without it, regardless of testimony. For example, in an election case

where a contract is alleged to bar the petition, the issue cannot be decided

without the contract. 

23.5.1.2 Sworn testimony is taken from a witness in a formal fact-finding hearing to

authenticate documentary evidence or provide additional relevant evidence

that does not exist in documents. A region may also obtain affidavits or

interrogatories as part of an investigation in lieu of a hearing. Affidavits are

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frequently taken during a region’s investigation of certain objections to an

election, challenges to the validity of a showing of interest, challenged ballots

and petitions raising unit eligibility issues. 

23.5.1.3 Unsworn informationnot supported by documentary evidence can be useful

in processing a petition when the agent is identifying issues and the parties’

positions. Unsworn information usually provides leads in determining a

direction for processing a case. If the information will be used in the

decisional process, i.e., as a basis for the Regional Director’s decision, the

agent confirms any relevant substantive information received about the case

in a letter to the party who provided it. Confirming letters state clearly the

information received from the party or witness, explain that information may

be considered by the Regional Director in deciding the representation petition,

and give the party or witness a reasonable period of time to advise the agent

of any inaccuracies or changes in the information.

23.5.1.4 Evidence obtained from the employing agency is crucial to processing any

representation petition. As discussed in CHM 15, the agency is the party that

provides most of the documentary information in petitions involving questions

of unit appropriateness. The employing agency must be contacted in

every case that is opened and requested to cooperate in the

investigation. Information obtained from the employing agency often

determines how the case will be resolved, i.e., hearing, election agreement

or Decision and Order without hearing.

23.5.2 Assessing the relevance and weight of evidence: The purpose of an

investigation in a representation petition is to define and narrow issues, 

ascertain and inquire into the respective positions of the parties, and obtain

sufficient facts regarding all matters at issue so the Regional Director can

make a well-reasoned and appropriate decision. 

The Regional Directorrelies onlyonrelevant evidence, whether documentary

or testimonial, in his/her decision. Evidence is relevant if it can reasonably be

expected to assist the Regional Director in reaching a proper disposition of

the case. The agent or Hearing Officer insists that the parties produce

witnesses or evidence that is probative. However, significant hearsay

statements are sometimes accepted during the investigation or during a

hearing even though their use is limited. The agent has no obligation to

accept evidence that clearly makes no independent contribution to an

understanding of the case or its resolution. Evidence of this sort includes not

only obviously irrelevant material but material that merely duplicates evidence

already obtained. Although the agent, not the parties, is responsible for

deciding during the investigation whether proffered evidence is relevant, any

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doubts are resolved by accepting the documents.

The weight of the evidence is ultimately a matter for the Regional Director to

decide. Therefore, agents ensure that any investigation or fact-finding

hearing obtains a complete record which the Regional Director can consider

while analyzing applicable case law. The agent’s responsibility is to develop

all factual evidence that assists the Regional Director in assessing the weight

of the evidence. This means, among other things, that the agent inquires into

the source of all evidence whenever that source is not otherwise apparent. 

In the case of documentary evidence, for example, the agent establishes the

purpose for which the documents were originally prepared and the

circumstances of their preparation. In the case of testimonial evidence, the

agent establishes the competence of the witness and the witness’s interests,

if any, in the case. The agent's neutrality while taking evidence is critical

to maintain the integrity of the decision making process. 

NOTE: HOG 12 through 21 discusses evidentiary and procedural

matters that may be relevant in an investigation or at a fact-finding

hearing. 

23.5.3 Subpoenas: Investigatory subpoenas are rarely used in representation

proceedings but there may be situations that require the use of an

investigative subpoena. 

Subpoenas issued in preparation for a hearing are dis cussed at HOG 27.

Subpoenas may also be issued during an investigation prior to issuing a

notice of hearing. A Regional Director who is unable to secure information,

documentary or testimonial, that s/he deems necessary to a case

investigation before a notice of hearing can be issued or an election

agreement can be approved may consider issuing a subpoena for the

information. For example, a region that is unable to obtain an employee

eligibility listing for an election, may consider issuing an investigative

subpoena. When investigating a challenge to the validity of a showing of

interest, a union representative who is accused of soliciting a showing of

interest on work time and in work locations who refuses to provide a

statement may be subpoenaed. 

23.5.3.1 Statutorybasis of issuing subpoenas: The General Counsel and Regional

Directors have authority under section 7132(a) of the Statute to issue an

investigative subpoena and under 7132(b) to enforce an investigatory

subpoena in an appropriate United States district court. Section 2429.7 of the

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regulations addresses the issuance and enforcement of investigatory

subpoenas. 

23.5.3.2 When subpoenas are appropriate during an investigation: The Unfair

Labor Practice Case Handling Manual at Part 3, Section K outlines criteria for

Regional Director’s to apply in deciding whether to request permission to

issue an investigatory subpoena. Many of these criteria are applicable to

representation proceedings. A Regional Director obtains advice about issuing

an investigatory subpoena when the employing agency or other party to the

representation proceeding fails orrefuses to cooperate during an investigation

and a notice of hearing or an election agreement signed cannot be issued

without the required information.

a. NOTE: an investigative subpoena is not necessary if the

agency refuses to turn over an eligibility list that is needed

solely to check the showing of interest as compared to the

eligibility list used to conduct an election. CHM 18.13.2

provides that if the agency’s payroll list is not submitted, the

final determination may be based upon the petitioner’s

estimate of the number of employees in the unit. 

b. An investigative subpoena is not necessary if the Regional Director

can issue a notice of hearing and subpoena the information in a

formal proceeding pursuant to HOG 27.

c, An investigatory subpoena is not necessary when the petitioner fails

or refuses to furnish requested material as the petition can be

dismissed for lack of cooperation [§ 2422.15(c)]. 

23.5.3.3 Procedures for issuing an investigatory subpoena: The process for

obtaining an investigatory subpoena in a representation proceeding is the

same as in an unfair labor practice proceeding. See the Unfair Labor Practice

Case Handling Manual at Part 3, Section K for detailed procedures.

a. The Regional Office drafts a memorandum to the Deputy General

Counsel requesting advice on issuing an investigatory subpoena. 

The memorandum states the purpose of the petition, the

circumstances surrounding the party’s failure to provide the

necessary information and the reasons why an investigatory

subpoena is required. 

b. If the Office of the General Counsel gives clearance to the Regional

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Director to issue the investigatory subpoena, the Regional Director

follows the procedures in HOG 27, although the Regional Director

is the party issuing and serving the subpoena, not the General

Counsel.

23.6 Issues that may develop in petitions seeking an election, a

determination of eligibilityfor dues allotment, certain petitions that seek

to clarify or amend a matter relating to representation and any petition

seeking to consolidate existing units: 

The RCL provides significant guidance on the substantive issues listed below. 

Subject matter areas are presented in the RCL in a distinct format. The

concept is described and includes: (1) its definition and the statutory basis, if

applicable; (2) the standards or criteria on which a decision is based; and (3)

the factors and relevant information required for decision. Potential outcomes

are also discussed in many instances. The HOG may also be useful as it

includes a brief identification of the topic and the outline or relevant questions

required to ensure a complete record.

a. RCL 1 and HOG 37 - Appropriate unit determinations

Appropriate unit questions arise in nearly every representation case. 

Appropriate unit(s) are defined before resolving any other

representational issue raised in a petition. Since many petitions

involve unit determination questions, an outline is a mandatory tool

for processing petitions properly. Sample investigative outline

formats are contained in Figures 37.1 through 37.3. Figure 37.1 is

the most thorough and is the outline to be forwarded to the parties

in the event an appropriate unit determination is required.

b. RCL 2 and HOG 38 - Scope of unit (including residual units, addons, expanding and contracting units). 

Investigation of these issues is conducted similarly to the

investigation of appropriate unit issues.

c. RCL 3 and HOG 39 - Effect of changes in the character and scope

of a unit due to a reorganization or realignment in agency

operations.

These issues usually result from reorganizations and are allinclusive in that reorganization-related issues concern appropriate

unit questions, accretion and successorship issues. RCL 3 provides

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a discussion of the potential scenarios and issues that may result

from agency reorganizations. When investigating and analyzing

questions resulting from agency reorganizations, the agent refers to

this section and RCL 1. The cases cited in RCL 1 also provide an

outline of issue and evidence requirements for resolution of

reorganization related issues.

 

d. RCL 3C and HOG 39C - Accretion

e. RCL 8 and HOG 44 - Schism

f. RCL 9 and HOG 45 - Severance

g. RCL 10 and HOG 46 - Status of a labor organization (see also CHM

19 and CHM 23. 9.3 for procedures for processing)

h. RCL 3B and HOG 39 -Successorship

i. RCL 14 and HOG 50 - Units including supervisors

j. Procedural issues: Procedural issues such as proper service,

timeliness, and inadequate showing of interest are often corrected

without resort to formal litigation; they are however, be resolved. 

Many of these issues are resolved by amending the petition, or as

a result of discussions with the parties pursuant to § 2422.13. Refer

to appropriate sections of the CHM or HOGfor discussions on these

issues. 

k. Issues relating to identifying parties that may be affected by issues

raised by the petition: The failure to identify a labor organization,

agency or activity that may be affected by issues raised by a petition

could nullify a certification or other action taken on a case. Follow

the checklist outlined in CHM 15.5 and be sure to document the

file on these matters. 

23.7 Unique issues in petitions seeking an election: In addition to those issues

discussed in CHM 23.5, the following issues are unique to petitions seeking

an election.

a. RCL 12 and HOG 48 - Timeliness of election petitions, amendments

etc.

b. CHM 18 - Showing of interest

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c. Challenges to the validity of the showing of interest or the status of

a labor organization may be filed prior to the opening of the hearing,

or if there is no hearing, prior to issuance of the Regional Director’s

Decision and Order. See CHM 18.19 and CHM 19 for procedures

for investigating and processing these challenges. 

d. Status of a party that believes it is affected by issues raised in the

petition (CHM 15.5.2 at “NOTE”).

e. Is the unit is the process of being expanded or does it include

employees who are seasonal, thus raising election timing issues? 

See CHM 20.1.2.

23.8 Unique issues in petitions requesting a determination of eligibility for

dues allotment: Petitions for dues allotment are governed by 5 U.S.C.

7115(c) and § 2422.1(a)(ii). See also RCL 6 - dues allotment. The three

requirements include:

a. the petition must be for a unit for which there is no exclusive

representative;

b. the claimed unit must be appropriate for exclusive recognition; and

c. the petitioner must provide a showing of membership of not less

than 10 percent in the unit claimed to be appropriate. 

During the region’s investigation, the agent ensures that none of the

employees in the proposed unit are already part of an existing certified unit. 

The agent checks the certification files, certification database, and OPM’s

“Union Recognition in the Federal Government” for any evidence that the unit

was previously certified. Once the agent receives the agency’s statement, if

there are no intervenors or a dispute about unit or eligibility issues, the agent 

prepares a stipulation for use by the Regional Director in preparing the

Decision and Order (see HOG 26 for stipulations). 

23.9 Unique issues in petitions to clarify, and/or amend:

23.9.1 A certification in effect: Such cases usually include petitions to:

a. clarify the bargaining unit status of certain employees/positions after

a labor organization has been recognized or certified as the

exclusive representative in an appropriate unit; and/or

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b. amend the originalrecognition or certification to conform to technical

or nominal changes which have occurred affecting the original

designation or identity of either party ( such as a change in the name

of the exclusive representative, a change in the name or location of

the agency or activity, or a change in the title of the employees). 

Clarifying the bargaining unit status of certain employees involves eligibility

issues. RCL 15 through 28 includes an extensive discussion of employees

categories, including definitions, coverage, an analysis of relevant cases and

references. For hearing, HOG 51 through 64 includes a short discussion of

the definition of the employee categories and information required for a

decision. When there are eligibility issues, the agent makes a list of the

disputed positions and prepare outlines or checklists of significant cases to

share with the parties. Eventually, the agent will be required to make a

recommendation to the Regional Director concerning whether to hold a

hearing (see CHM 26 and 28).

 

Changing the designation or identity of either party to the recognition or

certification usually involves verifying, in the case of the activity, that the

change in the name was technical and the unit or the representation of the

unit was not affected in any way. Changing the name of the exclusive

representative may be purely technical or more complicated if the union

merged or affiliated with another labor organization. In the latter situation, the

Montrose factors are applied. For a discussion of technical changes vs. the

Montrose requirements, see RCL 7.

NOTE: In a Montrose case, see also CHM 17.13.1 re “Interested Parties”

and CHM 7 for limitations on the service requirements.

23.9.2 Or anymatter relating to representation: Examples of these cases include:

a. questions relating to the continued appropriateness of an existing

unit(s).

Questions arising in this context usually concern the effects of a

reorganization or realignment of agency operations on established

units. As noted in CHM 23.5, appropriate unit issues, accretion and

successorship issues usually factor into the determination of these

cases. See RCL 3. These cases may also include the effects of

base closures on existing units or disclaimers of representational

interest submitted by the incumbent. Start by asking the parties

what happened, what units were affected and how. Once it is

determined what happened, the issues are usually identified. 

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b. questions relating to the majority status of the currently recognized

or certified labor organization.

These petitions are usually filed by the agency or activity that is a

party to the existing bargaining relationship. The agency states that

it has a good faith doubt based on objective considerations that the

certified labor organization represents a majorityof employees in the

existing unit. The agency petitions the Authority for an election

among employees in the unit. These cases are subject to the

timeliness consideration that apply to other petitions seeking an

election. See RCL 4 for a detailed discussion of these cases and

HOG 40 relevant information that is necessary for making a

determination of the merits of the case. 

NOTE: Regional Directors are required to issue a notice of

hearing whenever a majority status petition is filed by an

agency, activity or labor organization that is not a party to the

exclusive bargaining relationship. The issue in this situation

is the standing of the petitioner to file such a petition. 

23.9.3 Petitions seeking to decertify the incumbent exclusive representative

pursuant to section 7111(f)(1):

23.9.3.1 Basis for filing: In USIA, 53 FLRA 999, 1004 (1997) the Authority stated that

the filing of a section 7111(f) petition requesting decertification is consistent

with the Statute. Further, the Authority held that a bargaining unit member’s

petition for decertification pursuant to section 7111(f), unlike a decertification

petition filed pursuant to section 7111(b)(1)(B), will be considered to have

been properly filed without the need for a showing of interest. “In all other

respects, such a petition should be processed according to the regulations

concerning petitions which do not require an election.” USIA, 53 FLRA at

1004. Therefore, petitions filed pursuant to section 7111(f) are processed

similarly to petitions filed pursuant to section 7111(b)(2) of the Statute or

§ 2422.1(b) of the regulations.

23.9.3.2 Processing guidelines: The issue of freedom from corrupt or antidemocratic influences can arise in every representation case. The issue can

arise when a party in a pending representation proceeding files a timely

challenge alleging corrupt or anti-democratic influences against a union party

in the same proceeding, as in NYNG, 53 FLRA 111 (see CHM 19.10.2). In

addition, based on USIA, any bargaining unit member may at any time file a

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petition seeking decertification of the incumbent union based on an allegation

of corrupt or anti-democratic influences. Regardless of the method utilized to

raise the challenge, the legal analysis remains the same. 

a. Violations of Standards of Conduct Do Not Automatically Establish

Corrupt Influences Warranting Revocation or Denial of Certification.

It is significant to note the difference between the traditional

remedies ordered in standards of conduct cases and the remedy

which the Authority is required to order if it finds that a union is

subject to corrupt or anti-democratic influences. For example, the 

Department of Labor may order a respondent to cease and desist

from violative conduct and may require a respondent to take such

affirmative action as is deemed appropriate to effectuate the policies

of the Statute. Under the Statute, however, a labor organization that

is found to be subject to corrupt or anti-democratic influences may

not be recognized under the Statute as an exclusive representative

and thus, either loses its existing recognition for any bargaining unit

it may represent or is precluded from being recognized as the

representative for any new bargaining unit. 

If a third party with jurisdiction over conduct alleged to constitute

reasonable cause to believe that a labor organization is subject to

corrupt or anti-democratic influences find a violation, that finding

establishes only reasonable cause to believe that the presumption

of freedom from corrupt or anti-democratic influences has been

rebutted. That finding does not establish that, in fact, the union is

subject to corrupt and anti-democratic influences. Rather, that is the

Authority’s sole province. Thus, even though certain conduct may

be found to be violations of standards of conduct requiring an

affirmative remedy, that same conduct may or may not establish that

a union is subject to corrupt or anti-democratic influences requiring

the denial or revocation of certification. Moreover, if a union is found

to be subject to corrupt or anti-democratic influences, it is unclear

whether any revocation of certification extends to all bargaining units

represented by that union under the Statute. For example, some

locals and nationals represent more than one bargaining unit. See

RCL 10B and HOG 46B.

b. As discussed in CHM 20.1.8, petitions seeking to decertify the

incumbent labor organization are accompanied by specific

information. If the information is not included with the petition,

the Regional Director issues an Order to Show Cause as it is

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the most effective manner of processing challenges and

petitions alleging that a labor organization is subject to corrupt

or anti-democratic influences warranting the denial or

revocation of certification. There are no Authority decisions on

when a labor organization is, in fact, subject to corrupt or antidemocratic influences. Further, there is no guidance in the

legislative history on this issue. The Authority has recognized “the

damage to representation rights that can be caused by delay in

processing a representation petition.” NYNG, 53 FLRA 111, 124 at

n. 14. Moreover, the Authority has found that an order to show

cause is a proper procedure in a representation proceeding. (U.S.

Army Corps of Engineers, Seattle, Washington and United Power

Trades Organization and NFFE Local 8, unnumbered application of

review denied (March 12, 1998) finding that an Order to Show

Cause is a proper procedure where petition sought to sever a group

of employees from a bargaining unit: “We have reviewed the record

and find nothing improper in the RD’s use of the Order to Show

Cause.” 

Using an order to show cause process will screen out any

challenges which do not present a sufficient basis to rebut the

presumption that a labor organization, which is subject to governing

requirements that meet the specified standards in section 7120(a)(1)

through (4) of the Statute, is free from corrupt and anti-democratic

influences. 

The order to show cause requires the party filing the corrupt

influences challenge to establish a basis upon which to conclude

that the challenged labor organization is subject to corrupt or antidemocratic influences. The order requires the challenging party to

submit the following information, documents and argument:

1. Whether there has been, or is currently pending, a

proceeding before a third party that is based on the

same or substantially similar allegations that support

the section 7111(f) claim. 

The party is ordered to submit all documents filed, evidence

submitted and rulings issued in that proceeding. The party is

ordered to establish why the allegations in that proceeding are the

same or substantially similar to the allegations that support the

section 7111(f) claim. The party is ordered to establish that a finding

of a violation in that proceeding requires a determination under the

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Statute that the challenged labor organization is subject to corrupt

or anti-democratic influences. 

2. If a third party has found no violation based on the

same or substantially similar conduct, why the

challenge or petition should not be dismissed, absent

withdrawal. 

The party is ordered to submit all documents filed, evidence

submitted and decisions rendered in that proceeding. The party is

ordered to establish why the finding of no violation in that proceeding

should not result in the dismissal, absent withdrawal, of the

challenge filed under the Statute of corrupt or anti-democratic

influences. 

3. If a third party has found a violation based on the

same or substantially similar conduct, why that

violation establishes under the Statute that a labor

organization is subject to corrupt or anti-democratic

influences requiring the denial or revocation of

certification. 

The party is ordered to submit all documents filed, evidence

submitted and decisions rendered in that proceeding. The party is

ordered to establish why the allegations in that proceeding are the

same or substantially similar to the allegations that support the

section 7111(f) claim. The party is ordered to establish why a

finding of a violation in that proceeding requires a determination

under the Statute that the challenged labor organization is subject

to corrupt or anti-democratic influences. 

4. If a third party proceeding is pending, assuming the

allegations before the third party are true, why they

establish under the Statute that a labor organization is

subject to corrupt or anti-democratic influences

requiring the denial or revocation of certification. 

The party is ordered to submit all documents filed, evidence

submitted and ruling issued in that proceeding. The party is ordered

to establish why the allegations in that proceeding are the same or

substantially similar to the allegations that support the section

7111(f) claim. The party is also ordered to establish why a finding

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of a violation in that proceeding requires a determination under the

Statute that the challenged labor organization is subject to corrupt

or anti-democratic influences. 

5. If there has been no proceeding before a third party

and none is currently pending based on the same or

substantially similar conduct, why the challenge or

petition should not be dismissed, absent withdrawal.

The party is ordered to submit all evidence to support the challenge. 

The party is ordered to establish why that evidence requires a

determination under the Statute that the challenged labor

organization is subject to corrupt or anti-democratic influences. 

23.9.3.3 Office of the General Counsel clearance:

Normally, if the allegation has been properly filed before a third party, based

on the Authority’s decisions in NYNG, 53 FLRA 111, 123-124 and USIA, 53

FLRA 999, 1004, the region stays processing a petition which was filed to

decertify the incumbent labor organization pursuant to section 7111(f)(1) or

in which a challenge to the status of the labor organization is raised.

However, the Authority cited certain exceptions to this “rule” in its decisions. 

Therefore, based on the Authority’s desire to avoid “unwarranted delay in the

processing of representation cases,” the Regions obtain clearance from the

Office of the General Counsel prior to staying any pending representation

proceeding because of a challenge raising corrupt or anti-democratic issues. 

Similarly, in view of the small number of cases raising this issue and the

absence of Authority decisions and legislative history, the Regions obtain

clearance from the Office of the General Counsel prior to taking action on any

challenge or petition raising the corrupt or anti-democratic influences issue

after receipt of response to an order to show cause. CHM 58.3.3

23.9.3.4 Making a determination on the merits: See RCL 10B for substantive

issues and guidance on making a decision on the merits of the case.

23.10 Unique considerations in petitions to consolidate two or more units in

an agency and for which a labor organization is the exclusive

representative: RCL 13 describes unit consolidations processed pursuant to

5 U.S.C. 7112(d), the statutory basis for the procedure, and factors

considered in determining whether a consolidation is appropriate. HOG 49 is

a shorter version used at hearings. Other considerations include:

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23.10.1 Bars: The election, certification and agreement “bars” with respect to any of

the units proposed for consolidation do not act as a bar to the filing of a

petition to consolidate existing units (CHM 11, RCL 13B and HOG 49).

23.10.1.1 Subsequent petitions seeking an election or clarification of a matter

relating to representation in any existing exclusively recognized unit

covered by a pending petition to consolidate existing exclusively

recognized units must be filed in a timely manner and satisfy the

election, certification and agreement bars. Petitions for an election

filed after the filing of the related unit consolidated petition are held

in abeyance pending the processing of the petition to consolidate. 

Upon the issuance of a certification on consolidation of units, the

petitioner is given thirty (30) days from the issuance of the

certification to submit an adequate showing of interest for the

consolidated unit. If an adequate showing is filed, the petition will be

processed and an appropriate certification will issue (CHM11.10.2).

23.10.1.2 Petitions seeking an election or clarification of a matter relating to

representation in any existing exclusively recognized unit, due to a

substantial change in the character and scope of the unit, that is

covered by a subsequently filed unit consolidation petition are

resolved before the affected unit may be included in the proposed

consolidated unit (CHM 11.10.2).

23.10.1.3 A valid election on a proposed consolidation that does not result in

the issuance of a certification on consolidation of units acts as a bar

for a twelve (12) month period with respect to any petition for

consolidation of the same unit or any subdivision thereof (CHM

11.2).

23.10.1.4 A certification on consolidation of units acts as a bar to a petition

seeking an election for the same unit or any subdivision thereof for

a twelve (12) month period after the certification on consolidation of

units has been issued. However, after an agreement has been

signed and dated for the claimed consolidated unit, the agreement

bar provisions discussed in CHM 11 and § 2422.12(b) apply.

23.10.2 Disputes regarding authority to file unit consolidation petitions: The

Office of the General Counsel is contacted whenever an issue develops

involving a dispute regarding the authority of a party to file a petition to

consolidate existing units. Examples include:

a. When a local holds exclusive recognition for a unit that the national

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Issue Identification and Investigative Techniques

office of a labor organization seeks to consolidate into an agencylevel consolidated unit. See Internal Revenue Service, 7 A/SLMR

357 (1977) and U.S. Customs, 8 A/SLMR 220 at 224 (1978) (when

disputes arise the region may be required to review the constitution

and bylaws).

b. When an agency or activity seeks to consolidate two or more units

represented by different locals of the same national union.

23.10.3 Investigation: In addition to issues discussed at CHM 23.6, investigation of

the issues raised by the petition is generally confined to:

a. ensuring all units for which the union holds exclusive recognition are

included in the proposed consolidation; if not, a statement from the

petitioner explaining why all of the units are not included [see Air

Force Materiel Command, 55 FLRA No. 58 (1999) where the

Authority stated that the purpose of a proposed consolidation is not

to eliminate fragmentation, thus the fact that one unit was not

included in the proposed consolidation does not establish that the

proposed unit does not reduce fragmentation]. 

b. an attempt to clarify areas of disagreement, if any, such as the

nature of a bilateral agreement, and the position of the parties with

respect to the appropriateness of the proposed consolidated unit

including scope and eligibility questions.

c. a determination of the appropriateness of the proposed consolidated

unit.

23.10.4 Automatic parties: As discussed in CHM 15.7.1 and 15.8.1, when a

national labor organization seeks to consolidate all of the units for which its

constituent locals hold exclusive recognition in an agency, the local unions

and the activities that are on the certification are automatic parties to the

proceeding pursuant to § 2422.8(d).

23.11 Requirement for an election in consolidation petitions:

23.11.1 Employee request: In unit consolidation proceedings, the employees are

given the opportunity to submit in writing a thirty (30) percent showing of

interest to the Regional Director, stating that the employees desire an election

on the issue of the proposed consolidation (see also CHM 18.1 and 18.5.7). 

No special notice other than the notice set forth in CHM 16 is required. The

notice includes instructions that the showing of interest must be timely, i.e.,

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prior to opening a hearing, if one is held, or prior to the Regional Director

taking action on the case, pursuant to § 2422.30.

If employees submit a showing of interest, they do not become a party to the

case. No individual may seek to represent the employees’ interest regarding

election arrangements, participate in a hearing, have observers at the

election, challenge ballots, or file objections to any election. If the agent

receives a call from any employees in the unit proposed for consolidation, the

agent apprises the employees of this right and the procedures for submitting

the showing of interest. Note that the showing of interest must constitute

thirty (30) percent of the proposed consolidated unit.

23.11.2 Agency or labor organization request: The current regulations do not

have a provision that permits an agency or a labor organization in

consolidation petitions to request an election. [Provisions in the former

regulations at § 2422.2(h)(ii) were deleted.] If the parties agree on the

appropriateness of the consolidated unit and/or if the Regional Director finds

in a Decision and Order that the proposed consolidated unit is appropriate,

neither party may request an election. Contact the Office of the General

Counsel if the region receives a request from an agency or labor organization

to conduct an election.

23.11.3 Professionals vote on consolidation: An election is required when the

parties propose to consolidate professional employees with nonprofessional

employees if:

a. the professionals have never had the opportunity to vote on the

issue of being included in a unit with nonprofessionals; or 

b. the professionals previously voted to be in a separate unit and the

parties propose a mixed consolidated unit of professionals and

nonprofessionals. 

See CHM 28.17 for details on elections to consolidate existing units.

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Issue Analysis

24 ISSUE ANALYSIS: Once the agent gathers all of the facts, obtains the

positions of the parties, outlines the issues and the relevant facts needed to

decide the representation matters, the agent is ready to analyze the case. 

This analysis becomes the basis for the agent’s recommendation (CHM 26). 

Agents also analyze the case as part of his/her preparation for any meeting

held pursuant to § 2422.13 to identify, narrow and resolve issues prior to the

Regional Director’s decision, or as part of the prehearing process (CHM 25). 

The same process is used when writing the Decision and Order (CHM 53).

Although there is no set formula for issue analysis, having a complete picture

of the facts and a thorough understanding of the issue(s), standards and

factors makes it possible to apply the facts and resolve the representation

matter. This subsection offers guidance on analyzing issues that arise in

representation matters. Refer to CHM 23 for a discussion on identifying

issues. 

a. Ensure the facts are complete.

b. Ensure that all affected parties have been notified of the petition;

obtain positions from those parties who have responded to the

notification letters. Confirm whether incumbent labor organizations,

employing agencies or other potential automatic parties are

participating in the case.

NOTE: if an automatic party or employing agency fails or

refuses to respond to the Region’s efforts to secure a position

or participate, contact the Office of the General Counsel. CHM

58.3.5.

c. Identify all issues presented by the petition and identified by the

region during its investigation.

NOTE: at this point, nearly all procedural issues, such as

curing defective petitions, are resolved. Any procedural issues

that are not resolved, such as timeliness, standing to file,

become threshold issues of the case analysis. 

d. Conduct appropriate research; the primary source are Authority

decisions. The Assistant Secretary Decisions are a secondary

source and decisions of the National Labor Relations Board are a

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Issue Analysis

third resource. The RCL provides background and an overview of

the issues and relevant cases for substantive and certain procedural

issues. The HOG is used at hearings after the preliminary work is

completed and the agent has a complete grasp of all of the issues.

(i) Read all cases relating to the specific issue. Cross

reference and “shepardize” cases to ascertain whether the

Authority has changed its standards. See e.g. Naval

Facilities Engineering Service Center, Port Hueneme,

California, 50 FLRA 363 (1995); compare with Department

of Energy, Western Area Power Administration, 3 FLRA 77

(1980).

(ii) Read a variety of related cases to obtain a perspective of

the factors considered by the Authority when making

specific findings on a case.

NOTE: If there are no Authority decisions on the issues,

remember that 5 U.S.C. 7135(b) provides that policies,

regulations and procedures established under prior Executive

Orders remain in full force and effect until revised or revoked

by the President or unless superceded by the provisions of the

Statute, regulations or decisions issued by the Authority. See

CHM 53.4f for further discussion.

e. Use the outline prepared for the investigation (CHM23.3), noting the

Authority-established issues and standards required for decision

(CHM 23.6). Determine which facts are relevant, weigh and apply

them to the standards (CHM 23.5). Note when the factors are

applicable and when they are not, based on the facts presented.

f. Consider whether a meeting pursuant to § 2422.13(b) would help

the parties narrow and resolve the issues. If not appropriate,

prepare the case for the Regional Director’s determination. CHM

26.

g. If a § 2422.13(b) meeting is held and does not result in an election

agreement or stipulation, the agent prepares the case to present to

the Regional Director in accordance with the quality standards

outlined in CHM 1.1, the region’s practice and CHM 26.

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Meetings to Narrow and Resolve REP Issues

25 MEETINGS TO NARROW AND RESOLVE REPRESENTATION ISSUES:

Section 2422.13 of the regulations codifies the use of alternate methods for

resolving representation matters to minimize procedural issues and assist the

parties in defining and resolving substantive issues. This section highlights:

a. the importance of discussions among the parties to narrow and

resolve issues raised in a representational matter; and 

b. the role of Regional Office personnel in assisting parties in these

discussions, both before and after the filing of a petition.

25.1 Overview: Section 2422.13 of the regulations is titled “Resolution of issues

raised by a petition” and states:

(a) Meetings prior to filing a representation

petition. All parties affected by the representation issues

that may be raised in a petition are encouraged to meet

prior to the filing of the petition to discuss their interests

and narrow and resolve the issues. If requested by all

parties a representative of the appropriate Regional Office

will participate in these meetings.

(b) Meetings to narrow and resolve the issues

after the petition is filed. After a petition is filed, the

Regional Director may require all affected parties to meet

to narrow and resolve the issues raised in the petition.

25.2 Prefiling assistance pursuant to § 2422.13(a): Section 2422.13(a)

encourages parties affected by representation issues that may be raised in

a petition to meet prior to the filing of a petition to discuss their interests and

narrow the issues. If requested by all parties, a representative of the

appropriate Regional Office will participate in these meetings (see CHM 2).

These meetings are usually instructive, rather than investigatory. Parties

attend to discuss matters that affect exclusive bargaining relationships. 

The role of the agent is to assist the parties in: 

a. sharing relevant information; 

b. defining issues; 

c. understanding their interests; 

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d. learning about the standards that are applied; and 

e. exploring options available to the parties for resolving representation

matters. 

The agent ensures that the discussion does not bind nor give the appearance

of binding the Regional Director to a course of action or a decision, or

advocate a particular position (see CHM 25.11.2). 

25.3 Postfiling policy and requirements: After a petition is filed, § 2422.13(b)

provides that the Regional Director may require all affected parties to meet to

narrow and resolve the issues raised in the petition. In appropriate cases, the

agent makes every effort to actively pursue resolution of the issues raised by

the petition through the use of one or more meetings with the parties pursuant

to § 2422.13(b). 

Whenever the agent utilizes alternative dispute resolution techniques to

discuss, narrow and if possible, resolve these issues, the agent’s

recommendations or actions are consistent with the Statutory requirements

for appropriate units and unit eligibility.

25.4 Meetings held pursuant to § 2422.13(b): 

25.4.1 When meetings are held: After the petition is filed, a meeting may be held

at any time. Frequently, they occur prior to the Regional Director taking action

pursuant to § 2422.30(c) or issuing a notice of hearing.

25.4.2 Who may request a meeting: Meetings held to discuss, narrow and resolve

issues raised by the petition are held at any party’s request or at the direction

of the Regional Director. 

25.5 Primary objective of the meeting: The primary objective of a meeting held

pursuant to § 2422.13(b) is to:

a. identify representation issues; 

b. discuss interests, options and bargaining obligations during the

pendency of representation proceedings; and 

c. endeavor to resolve the underlying representation issues without

resort to formal litigation. 

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The role of the agent at these meetings is similar to § 2422.13(a) meetings

except that the petition has been filed and its purpose identified. The

Regional Director is now responsible for processing the petition. While the

filing of the petition initially sets the parameters for the meeting, the facts,

issues and parties’ interests that are discussed during the meeting may affect

the issues and purposes of the petition. 

25.6 Purpose of the meetings: These meetings may resolve many procedural

issues, narrow and/or resolve the substantive issues or identify new issues. 

Many procedural matters are resolved simply by explaining the issue and the

requirements for correcting any perceived problem (such as service or

information to be submitted). More significant procedural matters, such as

timeliness or intervention requirements, often result when the parties are

unaware of the regulations. Once the agent explains the regulations, the

parties are likely to comply with the procedural requirements or, if necessary,

withdraw the petition or the request for intervention. 

Where there are substantive issues, these meetings allow the parties to

review the facts, define and narrow the issues and discuss options for

resolution. These meetings also afford the agent and the parties the

opportunity to review applicable case law and the factors considered by the

Regional Director and the Authority in reaching a decision. This often results

in a stipulation in lieu of a hearing or a better hearing record that includes

relevant, rather than extraneous or superfluous information. 

25.7 Matters that are not generally conducive to meetings conducted

pursuant to § 2422.13(b): Meetings to discuss: 1) the petitioner’s or

intervenor’s showing of interest; 2) challenges to the validity of the showing

of interest; or 3) the status of a labor organization are not appropriate under

this section. The agent conducts these meetings privately with the

appropriate party whose showing of interest or labor organization status is an

issue. 

Meetings to discuss objections to an election are not generally appropriate

under this section. Since the objecting party bears the burden of proof in

objections cases, the Regional Director does not schedule a meeting unless

s/he determines that the objections have merit or unless the meeting is

scheduled as:

a. a prehearing conference; or

b. as part of a discussion concerning procedural irregularities

discovered by the Regional Director pursuant to § 2422.29(a)(4) and

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Meetings to Narrow and Resolve REP Issues

a rerun election appears appropriate. 

25.8 Matters that are generally conducive to meetings conducted pursuant

to § 2422.13(b): Meetings contemplated under § 2422.13(b) take a variety

of forms, serving several purposes: instructive, investigatory and/or

exploratory as an alternative method to resolve the underlying representation

issues. All meetings incorporate interest-based techniques for defining,

discussing and narrowing the issues. Examples include: 

a. Those that focus on clarifying the purpose of the petition and the

parties who may be affected by the petition. These meetings occur

very early in processing the case. They are useful to get the parties

together and organize the proceedings. These meetings are usually

more instructive than investigatory in nature. If the case involves the

effects of a reorganization, the parties can articulate the facts

surrounding the reorganization. These parties, however, are not

usually ready to define issues or take a position.

b. The new regulations allow the parties to file a single petition having

multiple purposes. This revision permits a variety of options when

considering representation matters involving unit(s) affected by a

reorganization. Meetings contemplated under § 2422.13(b) are

essential in helping the parties sort out the issues and focus the

parties on the facts and their interests. See CHM 3.6.

c. Another type of meeting occurs when the region is about ready to

issue a notice of hearing or take other appropriate action pursuant

to § 2422.30. These meetings are generally investigatory and focus

on the substantive issues, the parties’ interests and the appropriate

procedures for resolution. 

To prepare for the meeting the agent prepares an outline, as

discussed in CHM 23, to serve as a guide or checklist for the

meeting. The agent shares this outline with the parties at the

meeting. At this stage, the issues may still not be clear because the

parties do not yet have all of the facts. 

These meetings provide the parties with the opportunity to review

the facts and narrow the issues together. These meetings may lead

to resolution of all issues oridentify other appropriate alternatives for

resolving the representation issues. Or, if the parties are unable to

resolve all issues, they may explore using stipulations, develop joint

exhibits, etc. 

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In the event the issues are not resolved at the meeting, the agent

updates the outline and provides a copy of it to the parties if a notice

of hearing is issued.

d. A prehearing conference that is required in § 2422.17(c) lends itself

to the type of meeting contemplated under § 2422.13(b). These

conferences are “combination” meetings, serving to instruct,

investigate and explore options of resolution. See HOG 8.1 for more

detail on prehearing conferences. 

25.9 Preparing and conducting the meeting: The following is a guide to assist

the agent when preparing for a meeting held pursuant to § 2422.13(b). The

agent also reviews CHM 23 and applicable sections of the RCL and HOG

when drafting the substantive outlines.

25.9.1 Preparing for the meeting: The agent:

a. Compiles copies of the petition, certifications and other documents

that are considered “formal documents” in the event a hearing were

conducted on the representation issues; 

b. Prepares a preliminary list of issues and an agenda for the meeting; 

c. Makes copies of applicable substantive chapters from the RCL;

outlines from the HOG and copies of relevant Authority or A/SLMR

cases (when there are no applicable Authority cases) to distribute to

the attendees;

d. Asks the agency, activity or labor organization to prepare and

forward documents related to the issues identified for discussion. 

This may take the form of a briefing book. Examples include: 

i) in petitions seeking to resolve matters related to

representation following a reorganization, the activity

submits documentation to show the origin of the

reorganization or realignment, the bargaining units affected

and the number of employees affected. 

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ii) in meetings to discuss eligibility questions, the agency

brings personnel who are qualified to discuss the disputed

positions and copies of the position descriptions. Copies

of these documents are served on all parties. 

25.9.2 Agenda for conducting the meeting:

a. The meeting usually begins with the agent stating the purpose of the

meeting and asking the petitioner to review the petition and its

purpose. The agent reviews the agenda for the meeting.

b. The agent briefly reviews the regulations and general case

processing procedures. For participants not familiar with the

regulations, the agent is prepared to discuss the pertinent

provisions. In meetings that are mostly instructive, the agent may

spend more time on this discussion than any other matter.

c. All parties need to have a common understanding of the facts before

the issues and interests can be discussed. Since the parties are in

the best position to know the facts, they normally lead the

discussion. Agents exercise caution when summarizing facts before

obtaining a complete picture from the parties. In a reorganization,

for example, the agency discusses the background and events that

lead to a reorganization. This is normally followed by a description

of the bargaining unit(s) affected. The agent asks the agency to

distribute copies of all documentation relied upon in the discussion. 

d. After the agency’s briefing and any comments by the parties, the

agent and the parties define the representation issues. As part of

this discussion, the agent briefs the parties on the representation

process, inherentrepresentation issues (appropriate unit questions,

accretions, successorships, etc.,) and potential outcomes (for

example, options/scenarios/ramifications of the reorganization on

existing units).

e. Using an interest-based approach, the agent leads the parties in a

discussion of their interests and options. The agent is also prepared

to discuss the parties’ bargaining obligations pre- and postimplementation (§ 2422.34). Finally, the parties discuss alternatives

to standard case handling procedures utilizing an interest-based

approach. 

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25.10 Attendance:

25.10.1 Attendance by Authority personnel: If the meeting is held during the

investigation and prior to action by the Regional Director pursuant to

§ 2422.30, the agent assigned to the case attends the meeting. If the

meeting is held after the notice of hearing is issued, the Hearing Officer who

will hear the case attends the meeting. When appropriate, the Regional

Director has discretion to attend meetings held pursuant to § 2422.13(b),

particularly when the meetings are strictly instructive or investigatory. 

Examples: the region has a number of related cases involving a significant or

novel issue. 

If the cases concern issues or matters that are nationwide in scope, a

representative of the Office of the General Counsel may also attend these

meetings if requested by the Regional Director or directed by the Office of the

General Counsel (see CHM 63 - consolidation and transfer policies).

25.10.2 Attendance bythe parties: Designated representatives of all affected parties

are required to attend meetings held pursuant to § 2422.13(b). If a person

appears at the meeting purporting to represent an activity or labor

organization that has not been named as a party or potential intervenor, that

party must provide the agent evidence of its status as an intervenor

(§ 2422.8) or as an “interested party” (CHM 17.13). 

25.10.3 Failure to attend or cooperate: If the petitioner or intervenor refuses to

participate in a § 2422.13(b) meeting, the petition may be dismissed or the

intervention denied [see § 2422.15(c) and CHM 22]. When a party other than

the petitioner or intervenor refuses or fails to attend a § 2422.13(b) meeting,

and their participation is crucial to the proceedings, the region has the option

of issuing an investigatory subpoena in accordance with CHM23.5.3, a notice

of hearing and if necessary, a subpoena(s) to obtain documentary or

testimonial evidence. 

25.11 Decorum issues: 

25.11.1 Agent’s demeanor towards parties: The meeting is a formal proceeding

and the agent conducts this meeting as if s/he were conducting a

representation hearing. The agent’s demeanor sets the tone for the

remainder of the case. By dressing and conducting himself/herself in a

manner consistent with the formality of the proceeding, the agent lends

credibility to the Authority’s processes. The parties’ representatives are

treated with courtesy and respect. They are addressed in the same manner

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at all times. For example, if one party is addressed by his/her surname, they

are all addressed by his/her surname.

25.11.2 Parties and witnesses: Parties are expected to conduct themselves

appropriately at all times and to cooperate with the agent. If necessary, the

agent instructs any individual(s), who is offensive or uncooperative, that

his/her behavior will not be tolerated. If the misconduct or lack of cooperation

continues, the agent contacts his/her supervisor. 

25.12 If the agent is uncertain how to proceed: If at any point during the

meeting, the agent is uncertain on how to proceed, he or she recesses the

meeting and contact the Regional Director. It is never wrong to “call home.” 

25.13 Caution: 

25.13.1 Deals versus solutions: Discussions among the parties to narrow and

resolve issues raised in a representation matter are important and beneficial.

There are several significant points to remember when conducting these

meetings:

a. All parties are required to attend a meeting conducted pursuant to

§ 2422.13(b); if a labor organization, agency or activity’s status has

not yet been decided because of procedural or substantive issues,

it is invited to attend on the conditional basis that the meeting may

resolve its status. 

b. Any resolution obtained during these meetings is required to be

consistent with the Statutory requirements for appropriate units and

unit eligibility. For example, only in rare and exceptional

circumstances would the Authority permit severance of one unit from

a consolidated unit and allow an accretion of that severed unit to

another consolidated unit. While the parties may agree to the

proposal, the Regional Director is required to find a statutory basis

for the action. 

c. Before any resolution is reached, the agent makes sure that the

“resolution” resolves all outstanding issues and that the interests of

all parties affected by issues raised by the petition or related

petitions are considered. For example, the parties in one petition

reach an agreement for an election and the unit appears

appropriate. However, before approving the agreement, the

Regional Director also considers the impact of the resolution on any

related cases. 

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d. If the parties are inclined to enter into an agreement and, in effect,

withdraw the petition, the agent explains the difference between a

“deal” and a “solution.” “Deals” are not enforceable since the parties

simply withdraw a case. “Solutions” resolve representation issues

in a manner that effectuates the purposes and policies of the Statute

and are enforceable. An example includes a representation

proceeding involving the eligibility of disputed positions. If the parties

agree informally on the status of each position and seek to withdraw

the petition or the eligibility issue, their “deal” is not enforceable or

binding. The agent explains that a stipulation and Decision and

Order provides a written binding document that resolves the

underlying representation issues and satisfies the parties’ interests

to avoid a hearing. The region cannot prevent the parties from

making a deal and withdrawing the case; however, the agent

ensures the parties are aware that a “deal” and a withdrawal

are not binding on the FLRA or either party. 

25.13.2 Communications with the parties: The agent ensures that his/her actions

do not lead to an appearance of undue assistance to any party. The agent

is the Authority's representative and that the parties expect objective

consideration of their interests and positions. The services of the agent are

equally available to all parties to the proceeding in the development of the

evidence. Thus, an agent is extremely cautious, when assisting the parties

in resolving their dispute prior to the Regional Director’s decision on the

merits, about maintaining his/her neutrality and convey to the parties that,

absent an appropriate resolution of the representation matter, the Regional

Director will render a decision on the merits of the petition. 

25.13.3 Ex parte communications: During the investigation, the agent may engage

in separate discussions with the parties regarding the status of the case

including issues, evidence, relevant law, and general evidentiary procedures. 

At all times, the agent avoids the appearance that s/he is advocating a

particular position, favoring a party or assisting a party in developing its

position for the case. 

After a hearing opens, the agent refrains from engaging in separate

discussions. To do so could lead to the improper appearance of undue

assistance to a party. Generally, any discussion about any facet of the

proceeding at this stage is held in the presence of all parties.

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Preparing Case for Regional Determination

26 PREPARING AND PRESENTING A CASE FOR THE REGIONAL

DIRECTOR’S CONSIDERATION AND DECISION: Each region will ensure

that the quality standards set forth in CHM 1.1 have been met before taking

any dispositive action. 

26.1 Checklist for determining whether a case is ready for decision: The

agent reviews the actions it has taken to determine whether all procedural

requirements, such as checking the showing of interest, ruling on challenges

to the validity of the showing of interest, etc., have been completed. The

following is a checklist to assist the agent in deciding whether s/he is prepared

to present the case to the Regional Director. These guidelines also help the

Regional Director consider whether a meeting as contemplated in §

2422.13(b) will assist the parties in narrowing and resolving any issues raised

in the petition.

a. Has the petition been amended and/or defect(s) corrected? Before

the Regional Director can take action pursuant to § 2422.30, the

petition is cured of any defects (see CHM 12, 13 and 20). As noted

in prior sections, some petitions cannot be opened without an

amended petition. Agents review the file to ensure that there are no

uncorrected filing procedural defects. 

b. Has the agency or activity provided the payroll list in election cases

and/or other pertinent material? The agency/activity’s information

is critical to moving the case to decision. Frequently, the

agency/activity responds with some of the information, but neglects

to provide all of the necessary information. 

(i) If the agency fails or refuses to furnish the eligibility list, the

final showing of interest may be decided by the petitioner’s

estimate. See CHM 18.13.2.

(ii) If the agency or activity is slow or dilatory in responding to

the region’s request for information, the agent explores

options with the Regional Director such as requiring a

meeting pursuant to § 2422.13(b), issuing an investigatory

subpoena (CHM 23.5.3), preparing a notice of hearing and

subpoenas as appropriate. See CHM15.8 (initial contact),

CHM 20 (preliminary investigation) and (CHM 23 - issue

identification and investigative techniques).

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c. Have all potential affected parties been identified and notified of the

petition? Do amendments to the petition require a review and

reconsideration of any additional parties that may be affected by new

issues? CHM 15 and 20.

d. Have all requests for intervention, or any cross-petitions been acted

on? If not, is there a substantive issue related to a request for

intervention? 

(i) CHM 17 discusses interventions and cross-petitions, the

requirements and procedures for processing. There are

potentially four types of intervenors:

< Cross-petitioners: A cross-petitioner is a party that files a

petition which involves any employees in a unit covered by

a pending representation petition [§ 2422.8(a)].

 

< Labor organizations and agencies or activities that are

automatic parties because:

- the labor organization is an incumbent

[§ 2422.8(d)];

- the agency or activity employs any employees

who are affected by issues raised by the petition

[§ 2422.8(e)];

< Labor organizations and agencies or activities that are

required to file a request to intervene in order to participate

in the case [§§ 2422.8(c) and (f)].

< Labor organizations and agencies or activities that are

affected by issues raised pursuant to § 2421.21 but have 

no basis to intervene under § 2422.8. Such parties are

considered “interested parties.”

(ii) Ruling on requests to intervene: Ruling on specific

requests to intervene as required in § 2422.8(c) is

discussed in CHM 17. As a request is received, the

Regional Director makes a specific finding regarding the

intervenor’s status. If the intervention is dependent on

checking the showing of interest, the activity is contacted

to determine the status of the list - see CHM 18.13.2. If the

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intervention is based on other evidence of interest, the

agent decides whether the evidence supports the request

to intervene. Note that the Authority requires a labor

organization seeking to intervene in a representation

proceeding to present all contentions and arguments

concerning its request to the Regional Director. BIA, 34

FLRA 413 (1990). See also CHM 17.7.4. Thus, a party

desiring to intervene may amend its request to intervene

and change the basis for the intervention if the intervention

is otherwise timely filed [see § 2422.8(b)]. 

(iii) Parties that are designated automatic parties: If a labor

organization or agency/activity is considered an

automatic party to the proceeding, the agent confirms

the party’s involvement. See § 2422.8(d) and (e). See

CHM 17.5 on limitations following initial notification. If the

incumbent refuses to participate in the petition seeking an

election, the agent requests a disclaimer of interest. If the

incumbent refuses to provide the disclaimer, the Regional

Director obtains case handling advice (CHM 22 -

cooperation, CHM 58.3.4 - advice).

(iv) Cross-petitions are discussed in CHM 17.6: If the

Regional Director decides a petition fulfills the filing

requirements and designates the petition as a crosspetition, the parties to both cases are notified. Note that

new issues may be raised. The cases may be

consolidated prior to taking action pursuant to § 2422.30(c)

or combined with the action taken pursuant to § 2422.30. 

(v) Notifying the parties: The Regional Director responds to all

cross-petitions or parties’ requests for intervention. The

region is responsible for making the parties fully aware of

the status and the identity of all parties participating in a

representation proceeding.

NOTE: Provisions in CHM17.13 for parties that request

interested party status pursuant to § 2421.21.

e. Can any procedural issues be resolved without hearing? For

example, issues relating to proper service of the petition. A meeting

held pursuant to § 2422.13(b) may expedite resolution of these or

other issues. Other procedural issues in election cases may be

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resolved pursuant to § 2422.16(c). See CHM 28.11.2.

f. In petitions seeking an election, has the showing of interest been

checked for adequacy (prima facie showing requires a full check and

the final check is dependent on the size of the unit)? If the showing

of interest is inadequate, describe the reasons for the inadequacy

and outline any outstanding issues to resolve (CHM 18.14).

g. Has any party filed a challenge to the validity of the showing of

interest or filed a challenge to the status of a labor organization? If

so, what is the status?

In accordance with the procedures set forth in CHM 18.19, the

region investigates all validity challenges and takes appropriate

action as soon as possible. Validity challenges raise threshold

issues that are resolved before the Regional Director takes action on

a petition. If the challenges are received too late for the region to

process prior to the opening of the hearing, the challenge is

forwarded to the Regional Director for investigation. A decision on

a challenge to the validity of a showing of interest is made before

any other issue can be decided. If the hearing involves complicated

issues, the Regional Director has discretion to postpone it

depending on the seriousness and supporting evidence to the

challenges and in consideration of the best use of the Region’s

resources. Otherwise, the hearing can proceed simultaneously with

the investigation of challenge to the validity of the showing of

interest. In such cases, the validity challenge is decided first. See

CHM 18.19.4 for processing validity challenges received too late for

the region to process prior to the opening of the hearing, or

immediately prior to or after the opening of a hearing (also HOG

17.3 and HOG 33.2). 

Status challenges require an investigation and may be considered

as a threshold issue in a hearing. See CHM 19.5 for processing

challenges to the status of a labor organization received immediately

prior to or after the opening of a hearing (also HOG 17.3 and HOG

33.3). Section 2422.16(c) provides for special procedures when

status challenges are raised as an issue at election agreement

meetings (CHM 19.6 and CHM 28.11). 

h. Are the issues defined; have any subsequent amendments changed

the purpose or any issues of the petition? If so, was a new posting

required and completed? Do the parties understand the purpose of

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the petition?

i. Did the parties’ submissions identify other issues not previously

considered by the agent or the Regional Director? Has the Regional

Director identified any issues not raised by the parties, but are

defined by the facts and circumstances of the case?

j. Has the agent prepared an outline of the issues presented by the

petition?

k. Has the agent considered the merits of directing a meeting pursuant

to § 2422.13(b)?

l. If a meeting was conducted, did it assist in identifying, narrowing and

resolving the issues? How? Would additional meetings be

advantageous?

m. Did the region obtain the best possible relevant evidence necessary

for a determination? (See CHM 1.1 - policy and CHM 23.4 -

investigative techniques)

26.2 Case file documentation: Proper case file documentation is a quality

standard. See CHM 1.1.2d. 

26.2.1 Minimum requirements for case files: The case file contains all relevant

documentary evidence discovered and submitted during the investigation; i.e., 

sufficient documentation to permit the Regional Director to make a wellreasoned decision. 

The file reflects the Region’s decisional process. The case file is organized

in a manner that reflects an understanding of the purpose of the petition,

issues and standards/factors required for decision. The file reflects the

region’s decisional process including: 

a. identifying novel or precedential decisions requiring advice or

clearance; 

b. explaining the Director’s decision and rationale at each milestone,

including precedent for it; and 

c. noting action to be taken.

26.2.2 Specific requirements: Files are organized so that specific material may be

easily found. The originals of all correspondence are maintained in the file,

including all related pre-petition correspondence, all other documents

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received or obtained during the investigation and copies of all correspondence

and documents issued by the region. The original set of formal papers used

in a hearing are also maintained in the case file (HOG 4.1). 

In addition to formal papers and the relevant documentary evidence obtained

from the parties, each case file contains at least the following items:

a. A case log recording the essential elements of each substantive

discussion about the case between anyone in the region and any of

the parties and/or their representatives. The case log lists, in

chronological order, the dates of all substantive contacts, the name

of each person contacted, and either a brief description of each

discussion or a reference to a separate file memorandum. 

(Evidence or substantive information bearing on the petition does

not appear in the case log, but is documented elsewhere in the file.)

The case log also contains notations on any case processing

decisions made by the region during the processing of the case;

such as references to documentation supporting the region' s efforts

to identify parties affected by issues raised by the petition (CHM

15.5.3). 

b. Sufficient documentation to provide a history of the case and any

other relevant documentary evidence to assist the Regional Director

in making a proper decision. Testimonial evidence is required in

cases not proceeding solely on documentary evidence or those that

require a hearing. Examples include petitions involving eligibility

issues, or a challenge to the validity of the showing of interest. In 

cases where the region conducts an investigation rather than a

hearing, the agent often obtains evidence in the form of affidavits. 

In addition, if objections or challenges are filed with sufficient

evidence to warrant a regional investigation, the region may require 

the objecting party to provide an affidavit or answer an interrogatory. 

If the file does not contain a signed statement, affidavit or

interrogatory from a party when one is called for, it contains an

explanation of the region's decision to proceed without one (see also

CHM 23.4 and 23.5). The file also documents steps the region has

taken to obtain evidence or information from the parties. This is

particularly significant when information appears to be missing from

the file.

c. Except in cases whose disposition (usually on technical grounds) is

unmistakable, a written predecisional investigative report by the

agent and/or a written postdecisional report (or agenda minute) for

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every action taken by the Regional Director pursuant to

§ 2422.30(c). Either report, whether it precedes or follows the

region’s decision, addresses procedural and substantive issues

raised by the filing of the petition (see CHM 26.3 for sample

information). If the Regional Director’s decision differs from the

agent’s predecisional recommendation and/or following a hearing,

an agenda minute is also required. (CHM 26.4). 

These items are the minimum requirements for each case file. The regions

include in their case files any other internal documents they consider material

to the disposition of the case. 

26.3 Predecisional investigative report: CHM 26.2.2c states that the Regional

Director has discretion to require either a predecisional (FIR) or a

postdecisional report (agenda minute). Any written report and analysis in

representation cases is brief, but pointed. A predecisional report (FIR) is

submitted in any representation case where the Regional Director’s decision

is based on an investigation, rather than a hearing. Often, such reports take

the form of draft Decisions and Orders. The facts as set forth in the FIR are

supported by evidence in the case file that is specifically identified and

referenced in the FIR. The FIR is a self-contained document to the extent

that it is not necessary to refer to file documents for a thorough understanding

of the facts, issues and analysis. Opinions or conclusions of the parties are

not facts and are not be reported as such in the FIR. Conflicting statements

and disputed facts are noted.

A FIR is an intra-agency document and is not discloseable to any party. It

generally includes, but is not limited to:

a. Compliance with filing requirements;

b. Petitioner's purpose of the petition;

c. Evidence to support the petition;

d. In election or dues allotment cases, a report on the showing of

interest (attach the FLRA Form 52);

e. A list of all parties named by the petitioner as affected by issues

raised by the petition and a list of any other parties identified by the

Regional Director as affected by issues raised by the petition;

f. A summary of efforts to identify parties affected by the petition;

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g. A status report of any requests to intervene, etc.

h. A discussion of the unit, including the petitioner's and any affected

parties' positions on the petition;

i. Related cases;

j. Pertinent facts surrounding the representation question (such as the

agency/activity’s mission, organization, etc., see HOG outlines);

k. Bargaining history;

l. Issues presented by the petition and those that surfaced during the

investigation (see CHM 23); 

m. A discussion of efforts to narrow and resolve issues, including

whether a meeting was conducted pursuant to § 2422.13(b) and the

results obtained from those meetings; if a meeting was not

conducted, a recommendation on the viability of such a meeting;

n. A discussion of the applicable case law or absence thereof; 

o. An analysis of the facts as applied to the issues and standards for

deciding the representation matters (see RCL for guidance on

analyzing the issues); 

p. A recommendation concerning the status of any labor organization,

agency or activity whose intervention has not been approved; and

q. A recommendation on the issues. As necessary, note statutory and

regulatory requirements concerning when it is appropriate to 

provide an opportunity for a hearing versus when it is appropriate to

issue a notice of hearing § 2422.30(b) and CHM 27.

See CHM 53.4 for a basic outline for draft Decisions and Orders.

26.4 Requirements for agenda meeting: An agenda meeting is held when: 

a. the Regional Director disagrees with the agent’s predecisional

recommendation;

b. a predecisional report is not submitted; 

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c. after a hearing; or

d. the Regional Director decides to require such a meeting. 

26.4.1 Requirements for agenda minutes: An agenda minute is required to record

the Regional Director’s decision whenever there is an agenda meeting. Its

purpose is to confirm that the Regional Director understood the purpose of the

petition, the facts, issues and the file documentation. If no agenda meeting

is held, an agenda minute is required if the Regional Director’s decision and

the decisional process is not otherwise clear from the file.

26.4.2 Contents of an agenda minute: The agenda minute summarizes the

Regional Director's decision on issues raised by the filing of the petition. 

Every agenda minute documents the Regional Director's decision, and, if the

Director decides to issue a notice of hearing, the agenda minute includes an

outline of the issues the Director establishes for the hearing. If an agenda

meeting is held in lieu of an FIR, the agenda minute confirms that the

Regional Director was fully informed of the facts, issues and results of the

investigation. It identifies and analyzes the issues presented to the Regional

Director for decision and fully documents the briefing. If an FIR is prepared,

the agenda minute can be less detailed as long as it documents the Regional

Director’s decision. 

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RD Determinations and Actions

27 REGIONAL DIRECTOR DETERMINATION AND ACTIONS: This section

describes the process of making a regional determination and provides an

overview of the actions the Regional Director may take following investigation. 

27.1 General policy: Two purposes of the regulations are to: (1) streamline the

representation regulations, and (2) make the rules more flexible in addressing

the representational concerns of the parties. To achieve those objectives,

Regional Directors act on representation cases quickly and consistently with

the Statutory requirements for appropriate units and unit eligibility.

27.2 Responsibility fixed: The agents engage in initial dealings and propose

appropriate case disposition to the parties and the Regional Director, but the

ultimate responsibility for any action taken is the Regional Director's.

27.3 General determinations: The Regional Director may:

a. Request additional information;

b. Approve a withdrawal request (CHM 27.4.6);

c. Approve an election agreement or issue a Direction of Election

(CHM 28);

d. Contact the Office of the General Counsel to discuss a novel issue

or obtain clearance on processing issues (CHM 58.1 or 58.4 -

provides examples and cross references to specific CHM sections);

e. Submit the case to the Office of the General Counsel for advice

(CHM 58.3 - provides examples and cross references to specific

CHM sections);

f. Recommend that the case be held in abeyance pending action on

a blocking ULP (CHM 60) or action by the AFL-CIO in a raiding case

(CHM 65);

g. Issue a letter denying a challenge to the validity of the showing of

interest (CHM 18.19); 

h. Issue a Decision and Order to dismiss a petition, deny an

intervention request, decide a challenge to the status of a labor

organization or resolve any other representation matter (CHM 53); 

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i. Issue an appropriate certification orrevocation as appropriate (CHM

56); and/or

j. Issue a notice of hearing (CHM 29).

27.4 Regional Director actions THAT DO NOT REQUIRE A NOTICE OF

HEARING:

27.4.1 Approve:

a. a request to intervene (see CHM 17 and 20) or grant conditional

intervention;

b. an election agreement if the unit meets the appropriate unit criteria

set forth in 5 U.S.C. 7112(a)(1) (see CHM 28); 

27.4.2 Issue a certification, clarification, amendment or revocation: 

a. Section 2422.32(a) provides that the Regional Director will issue an

appropriate certification when:

(1) after an election, runoff, or rerun,

(i) no objections are filed and/or challenged ballots

are not determinative,

or

(ii) objections and determinative challenged ballots

are decided and resolved; or

(2) the Regional Director issues a Decision and Order

requiring a certification and the Decision and Order

becomes the action of the Authority under § 2422.31(e) or

the Authority otherwise directs the issuance of a

certification.

b. Section 2422.32(b) states that, without prejudice to any rights and

obligations which may exist under the Statute, the Regional Director

will revoke a recognition or certification, as appropriate, and provide

a written statement of reasons when:

(1) an incumbent exclusive representative files, during a

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representation proceeding, a disclaimer of any

representational interest in the unit; 

or

(2) due to a substantial change in the character and scope of

the unit, the unit is no longer appropriate and an election is

not warranted.

Before issuing a Revocation of Recognition or Certification under

this provision, the Regional Director will issue a Decision and Order

(CHM 27.4.5). See also CHM 56 for guidance on issuing

certifications, clarifications, amendments and revocations.

27.4.3 Deny a challenge to the validity of a showing of interest: see CHM

18.19.

27.4.4 Establish election procedures: If the parties are unable to agree on

procedural matters, specifically, the eligibility period, method of election,

dates, hours or locations of the election, the Regional Director can decide

election procedures and issue a Direction of Election without prejudice to the

rights of a party to file objections to the procedural conduct of the election

[§ 2422.16(b)]. See CHM 28.11 and 28.12 for guidance.

27.4.5 Issue a Decision and Order: The Regional Director may issue a Decision

and Order without a hearing when there are no material issues of fact and/or

there no unresolved questions regarding unit appropriateness. Examples

include a Decision and Order that:

a. Dismisses a petition or denies a request for intervention based on

inadequate showing of interest or other procedural defect; (see

CHM 27.4.6 - before the Regional Director dismisses a petition or

denies an intervention request, the petitioner or intervenor is given

the opportunity to withdraw.)

b. Decides matters such as objections to an election, determinative

challenged ballots, allegations of an agency's good faith doubt

based on majority status; etc.;

c. Resolves a challenge to the status of a labor organization; 

d. Clarifies or amends a recognition or a certification in effect if there

is no question of unit appropriateness;

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e. Determines that a labor organization is eligible for dues allotment;

existing units are appropriate for consolidation if there is no question

of unit appropriateness; etc..

Note: See CHM 53 for case handling guidance on issuing Regional

Director Decisions and Orders.

27.4.6 Approve a request to withdraw the petition or intervention request:

27.4.6.1 Solicited withdrawal: If the Regional Director determines that the petition

or intervention request does not warrant further processing, the petitioner or

intervenor is given an opportunity to withdraw the petition voluntarily prior to

dismissing the petition. If necessary, the petitioner or intervenor is advised in

writing of the reasons for soliciting the withdrawal. The petitioner or intervenor

is permitted to withdraw the petition verbally. If the party declines to withdraw

verbally, the petitioner or intervenor is advised that the withdrawal request

must be received promptly. Absent such a request, the Regional Director

issues a Decision and Order stating the reasons for dismissal. A copy of the

Decision and Order is served on all parties (CHM 53. 9).

A copy of FLRA Form 43, Withdrawal Request, is enclosed with any letter

soliciting withdrawal. Copies of this letter are not served on any other party. 

Any written expression, in addition to the FLRA Form 43, indicating an

unqualified withdrawal of the petition is acceptable as a withdrawal request.

27.4.6.2 Unsolicited withdrawal: The petitioner may voluntarily request to withdraw

the petition without being requested to do so by the Regional Director.

27.4.6.3 Notification to parties: If a withdrawal request is received pursuant to the

Regional Office's solicitation, the other parties are not informed of the

Regional Director’s decision to dismiss the petition or deny the intervention

request. 

Following approval of a solicited or unsolicited withdrawal request, the

Regional Director notifies all parties of the approved withdrawal request;

however, no reasons for the withdrawal or approval are given in the

notification. A letter as set forth in Figure 27.4A is sent to the petitioner. A

copy of this letter is also served on all other parties and serves as their

notification that the matter is closed. Regs. § 2422.14 and CHM 27.4.6.4

discuss the effects of a withdrawal with prejudice. 

27.4.6.4 Withdrawal with prejudice: CHM 11.9 discusses the effects of withdrawing

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a petition for an election less than sixty (60) days before a contract expires or

anytime after the expiration of the agreement [§ 2422.14(a)]; or after notice

of hearing is issued in a petition seeking an election or approval of an election

agreement [§ 2422.14(b)]. Figures 27.4B and C are sample letters approving

withdrawal of petitions in such cases.

27.5 NOTICE OF HEARING: 

27.5.1 Section 2422.16(c) requirement: When discussing arrangements for an

election, if the parties are unable to agree on “other than procedural matters,”

the Regional Director “shall provide an opportunity for a hearing”

[§ 2422.16(c) and CHM 28.11.2 - guidance in applying this section of the

regulations].

27.5.2 Section 2422.30(b) requirement: Section 2422.30(b) requires that a

“Regional Director will issue a notice of hearing to inquire into any matter

about which a material issue of fact exists, and any time there is reasonable

cause to believe a question exists regarding unit appropriateness.” 

27.5.3 Background: 5 U.S.C. 7111(b)(2) requires that the Authority “shall” provide

an opportunity for a hearing whenever it has reasonable cause to believe that

a question of representation exists. As interpreted in the regulations, the

Regional Director provides for a hearing: 

a. when the parties fail to agree on other than procedural matters at an

election agreement meeting [§ 2422.16(c)]; 

b. any time there is a question regarding unit appropriateness

[§ 2422.30(b)];

c. whenever there is a material issue of fact [§ 2422.30(b)].

NOTE: Before providing the parties with an opportunity for a hearing,

the Regional Director makes a determination that:

1) s/he has a reasonable cause to believe that a question of

representation exists; See, e.g., Office of Hearings and Appeals,

Social Security Administration, 16 FLRA 1175 (1984), a case in

which the petitioner sought to sever a unit of attorneys who were

part of an existing consolidated bargaining unit. In that case, the

Authority stated that the petitioner failed to establish that the existing

unit was no longer appropriate, thus giving rise to a question of

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representation. The Authority found that the petitioner failed to

establish a reasonable cause to believe that a question of

representation existed to warrant a notice of hearing. Questions

concerning the application of the regulations to similar cases are

referred to the Office of the General Counsel.

2) or that a material issue of fact exists that warrants a hearing.

See Federal Mediation and Conciliation Service, 52 FLRA 1509 

(1997). Federal Deposit Insurance Corporation, Washington, D.C.,

38 FLRA 952, 963-64 (1990). The Authority stated that a hearing is

not required in all cases in which questions of fact are raised. 

Rather, the Regional Director may determine, on the basis of the

investigation or by stipulation of the parties, that "there are sufficient

facts not in dispute to form the basis for a decision or that, even

where some facts are in dispute, the record contains sufficient

evidence on which to base a decision." U.S. Department of

Agriculture, Forest Service, Apache-Sitgreaves National Forest,

Springerville, Arizona, 47 FLRA 945, 952 (1993). See also Federal

Deposit InsuranceCorporation, 40 FLRA 775 (1991), enf’d sub nom.

FLRA v. Federal Deposit Insurance Corporation, No. 91-1207 (D.C.

Cir. Sept. 1, 1992). 

27.6 Policyconsiderations that maywarrant a hearing: Some petitions present

novel or unique issues for which there is no Authority precedent. While the

Statute or the regulations may not require a hearing as the petition does not

raise a question of representation, the issues are such that guidance is

necessary to process the case. Normally, such cases are submitted for case

handling advice before the notice of hearing is issued (see CHM 58 for a

discussion of matters to be submitted for case handling advice). 

27.7 STIPULATIONS IN LIEU OF HEARINGS: Stipulations in lieu of hearings are

permissible and encouraged in most representation matters. Section

2422.30(b) states that when the Regional Director has reasonable cause to

believe a question exists regarding unit appropriateness, the Regional

Director “will issue a notice of hearing.” This section does not preclude the

parties from entering into a stipulation in appropriate circumstances. See also

HOG 26.1.

27.7.1 Waiving hearings by entering into election agreements: In accordance

with 5 U.S.C. 7111(g), the parties may waive a hearing by entering into a

stipulation for the purpose of a consent election, i.e., enter into an election

agreement. However, 5 U.S.C. 7111(g) is balanced against 5 U.S.C.

7112(a)(1) which requires that the Authority determine the appropriateness

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of any unit. 

Thus, in cases involving questions regarding unit appropriateness, a

hearing may be waived by the parties upon their agreement to an

election; however, the Regional Director may approve such agreement

only if the unit meets the appropriate unit criteria set forth in 5 U.S.C.

7112(a)(1). See United States Army Safeguard Logistics, Command,

Huntsville, Alabama, 2 A/SLMR 582 (1972); Department of Transportation,

National Highway Traffic Safety Administration, 2 A/SLMR 433 (1972); citing

Army and Air Force Exchange Service, White Sands Missile RangeExchange

White Sands Missile Range, New Mexico, 1 A/SLMR 147 (1971). 

27.7.2 Waiving hearings by entering into a stipulation of facts: It is the policy

of the OGC that the parties may enter into a stipulation addressing all

appropriate unit issues in lieu of a hearing if the stipulation includes a

waiver of the parties’ right to a hearing. See also HOG 9 and CHM

28.11.3.1. An example of a stipulation that was attached to a Decision and

Order can be found in USA DARCOM Materiel Readiness Support Activity

(MRSA), Lexington, Kentucky, 1 FLRA 430 (1979).

NOTE: See CHM 29, Issuing the Notice of Hearing, CHM 30 and the HOG

for guidance in conducting hearings. 

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Election Agreements or Directed Elections

28 ELECTION AGREEMENTS OR DIRECTED ELECTIONS: CHM 28

addresses election agreements and directed elections. This section provides

general requirements for agreements, and offers guidance in drafting election

agreements and direction when the parties refuse to sign agreements. 

28.1 Overview: 5 U.S.C. 7111(a) of the Statute provides that “an agency shall

accord exclusive recognition to a labor organization if the organization has

been selected as the representative, in a secret ballot election, by a majority

of the employees in the appropriate unit who cast valid ballots in the election.” 

A “secret ballot” is defined at § 2421.15:

Secret ballot means the expression by ballot, voting

machine or otherwise, but in no event by proxy, of a choice

with respect to any election or vote taken upon any matter,

which is cast in such a manner that the person expressing

such choice cannot be identified with the choice

expressed, except in that instance in which any

determinative challenged ballot is opened.

The representation process is the foundation for all bargaining relationships

in the Federal sector. Presidential policies governing relationships between

employee organizations and agency management in the executive branch

were first established by Executive Order 10988 in January 1962. That

Executive Order permitted agencies to “recognize” labor organizations as the

exclusive bargaining representative for certain units of employees without an

election. Executive Order 11491 abolished informal and formal recognition

and required that exclusive recognition be determined by secret ballot

election. Labor organizations were “certified” as the exclusive representative

for purposes of collective bargaining following an election among eligible

employees who cast valid ballots. The Statute continues the policies initiated

under Executive Order 11491. (For additional background information, see

the “Reports and Recommendations of the Federal Labor Relations Council,”

1971)

5 U.S.C. 7111(d) provides that: 

[t]he Authority shall determine who is eligible to vote in any

election under this section and shall establish rules

governing any such election, which shall include rules

allowing employees eligible to vote the opportunity to

choose–

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(1) from labor organizations on the

ballot, that labor organization which the

employees wish to have represent

them; or

(2) not to be represented by a labor

organization.

In any election in which no choice on the ballot receives a

majority of the votes cast, a runoff election shall be

conducted between the two choices receiving the highest

number of votes. A labor organization which receives the

majority of the votes cast in an election shall be certified by

the Authority as the exclusive representative.

There is no requirement that a specific percentage or number of eligible

voters cast ballots in order for the election to be valid. See U.S. Department

of the Interior, Bureau of Indian Affairs, Rosebud, South Dakota, 34 FLRA 67

(1989) and CHM 47.1. 

28.2 Election agreements: Section 2421.20 defines an election agreement as an

agreement signed by all parties, and approved by the Regional Director,

concerning the details and procedures of a representation election in an

appropriate unit. Section 2422.16(a) encourages parties to enter into

voluntary election agreements. When the parties are unable to agree to

certainprocedural matters, the Regional Director decides election procedures

and issues a Direction of Election [§§ 2422.16(b) and (c)].

28.3 Priority: Efforts to assist the parties in obtaining an election agreement

begin at the outset of the investigation. The opening letters to the parties

encourage the parties to meet as soon as possible to discuss and resolve any

issues. During the agent’s first contacts with the parties, the agent reviews

the election agreement procedures as part of the discussion of general

representation procedures. It is usually during this discussion that the agent

learns whether there may be problems in obtaining an agreement or whether

there are issues for consideration by the Regional Director pursuant to

§§ 2422.30(b) and (c). Representation petitions seeking elections are given

priority as they raise questions concerning representation that, if left

unresolved, may cause considerable disruption to the affected employees and

agency operations (CHM 64 discusses priority of representation cases). 

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28.4 Purpose of election agreements: All parties desiring to participate in an

election conducted pursuant to §§ 2422.16 or 2422.30, including parties that

have met the requirement for intervention pursuant to § 2422.8, must sign an

agreement providing for an election on a form prescribed by the Authority.

28.5 Forms: 

28.5.1 FLRA Form 33 is used for petitions that seek:

a. an election for exclusive recognition;

b. an election to decertify an exclusive representative;

c. an election resulting from a significant change in the character and

scope of the unit and the Regional Director decides an election is

appropriate to resolve questions relating to the representative status

of the affected employees; or

d. an election to determine whether the incumbent labor organization

continues to represent a majority of the employees in the existing

unit.

28.5.2 FLRA Form 34 is used when an election is held to determine whether

employees in existing units wish to be consolidated for the purposes of

exclusive recognition. See CHM 20.1.6 and CHM 23.10 for discussions

concerning when elections are conducted in petitions to consolidate existing

units. 

28.6 Responsibility and role of the Regional Office: 

28.6.1 Role: The 1996 revisions to the regulations require Regional Offices to take

a proactive role in facilitating early and appropriate resolutions of

representation questions. The Regional Office's role in assisting the parties

is explained by the agent during the initial contacts with the parties as having

two purposes: (1) to facilitate an election agreement and ensure that it

conforms with the policies and practices of the Authorityand the requirements

of the Statute; and (2) to assist the parties prepare for an election agreement

meeting and the election. 

28.6.2 Responsibility: Election agreements are required to: a) provide all eligible

voters with an opportunity to cast a free and secret ballot during working

hours; b)establish voting procedures that assure the individual voter of the

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secrecy of his/her ballot; and c) protect the ballots and ballot box at all times. 

All employees and all parties must be satisfied that the true sentiments of the

employees have been demonstrated at the election. It is not enough that the

election was fair and honest. The arrangements, procedures, and safeguards

must convince the parties and employees of this fact. Subject matters to

discuss at election agreement conferences include:

a. purpose of election (CHM 28.1);

b. description of the unit and the effect of the vote (CHM 28.13 and

14); the eligibility list and its potential binding effects (CHM 28.18.3); 

use of the challenged ballot procedure(CHM 28.11.3.3);

c. use of manual, mail and/or absentee ballot procedure (CHM 28.19);

d. payroll period for eligibility (CHM 28.18.3);

e. date of election (CHM 28.20 - manual ballot, CHM 28.23 - mail

ballot);

f. hours of election (CHM 28.20);

g. place of election (CHM 28.20);

h. type, names and positions on the ballot (CHM 28.18);

i. requirements for voter identification (CHM 28.22); 

j. service of the tally of ballots (CHM 28.28);

k. provision for observers (CHM 37);

l. notice of election and period for posting (CHM 33);

m. updating and checking of eligibility list (CHM 35); 

n. custody of the ballots and ballot box (CHM 40);

o. electioneering (CHM 46); and the 

p. challenge ballot procedure (CHM 44).

NOTE: Figure 28.6 is a checklist that may be used in conjunction with

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this CHM when preparing for and conducting an election agreement

meeting. See also CHM 28.18 through 28.31 which cover matters

discussed at election agreement meetings.

28.7 Participating in and scheduling of election conference: An election

conference is held with the parties as soon as possible after the region

notifies the parties of the petition, allows sufficient time for their response or

intervention, receives the information requested from the activity and

completes the final check of the petitioner's and/or intervenor's showing of

interest. It is not necessary to wait for the expiration of the posting period. 

The agent participates in the conference whether it is held onsite or via

teleconference. The agent's duties include:

a. establishing the purpose and goals of the meeting;

b. preparing an agenda checklist prior to the meeting or teleconference

to ensure all election procedures are discussed;

c. providing instructions and information about election agreements,

elections, and election procedures;

d. offering suggestions to resolve any differences in procedural

matters; 

e. discussing issues related to eligibility and unit disputes; 

f. narrowing and resolving all underlying representation issues; and,

if possible

g. consummating an election agreement. 

The agent explains the requirements in § 2422.16 if the parties fail to reach

agreement and the procedures for resolving such disputes (see CHM 28.11). 

28.8 Decision to supervise or conduct the election: In 1981, the Authority

issued a memorandum to the General Counsel stating its views on conducting

multi-union elections:

.... on the matter of multi-union elections, we believe that

it will best effectuate the purposes and policies of the

Statute to modify in certain respects the existing

procedures in such elections. More specifically, it is our

view that in multi-union situations, Authority-conducted

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ratherthan agency-conducted elections, and manualrather

than mail ballots, would provide the most effective means

for assuring the sanctity of the ballot; for obtaining the

fullest participation of eligible voters; and for generally

fostering the democratic processes whereby employees

have the opportunity to select their bargaining

representatives.

The nominal costs involved of conducting these elections

by Authority personnel under the foregoing procedures will

be offset by the benefits to be gained and will be in

conformance with our current austerity program.

Therefore, effective immediately, all multi-union elections

should, to the extent possible, be conducted by Authority

personnel and shall provide for the casting of ballots on a

manual basis, unless the parties agree to a mail ballot

procedure and the Regional Director approves such

agreement.

In our judgement, these changes in our election

procedures will constitute a substantial experimental step

which will enable us to evaluate the entire spectrum of

election processes. Based on this experience, and

depending on the circumstances then existing, it may be

advisable and feasible to extend these procedures to other

representation elections conducted by the Authority. 

Federal Register, Volume 46, Number 27, page 11655 (February 10, 1981).

The 1996 revisions to the regulations stating in § 2422.16(b) that the Regional

Director can decide procedural matters, including the method of election, do

not supersede this policy regarding conducting versus supervising elections. 

It is still the policy of the Office of the General Counsel that, unless there are

unusual circumstances, regions shall conduct rather than supervise all

representation elections irrespective of the number of labor organizations

on the ballot. Regions are required to obtain clearance from the Office of the

General Counsel for approval to supervise, rather than conduct, any election

[§ 2422.23(a) - describes the difference between conducting and supervising

an election].

The decision to supervise or conduct the election is made prior to the election

agreement conference so that the parties know before the meeting who will

conduct the election and secure the ballots. 

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NOTE: See also CHM 28.19, policy considerations for conducting

manual ballot elections.

28.9 Preparation for the meeting: Prior to any meeting, and irrespective of the

parties' agreement on the unit, the agent requests that the activity and/or the

petitioner prepare the essential facts regarding the activity*s organizational

structure, functions and operations, personnel policies and practices, etc. and

make them available to the agent and the parties prior to the meeting. This

information provides the basis upon which the Regional Director can evaluate

the appropriateness of the unit when considering whether to approve the

Election Agreement. The information also helps expedite the meeting or

teleconference call. At a minimum, the activity must furnish information

relating to, and be prepared to discuss the following:

28.9.1 Appropriate unit considerations: RCL 1 discusses appropriate unit factors,

including:

a. activity/agency mission and organization;

b. the proposed unit structure as compared to the overall activity

structure; explore whether there is a community of interest separate

and distinct from other employees at the activity; 

c. working conditions of the employees and other information involving

the employees’ day to day operations; and

d. geographic location of the employees in the unit claimed to be

appropriate; explore whether the employees are geographically

distinct from other similarly situated employees; Defense Logistics

Agency, Defense Contract Management Command, Defense

Contract Management District, North Central, Defense Plant

Representative Office-Thiokol, Brigham City, Utah, 41 FLRA 316

(1991).

28.9.2 Eligibility matters: The agent asks the activity to provide an updated

proposed eligibility list of the employees in the unit claimed to be appropriate. 

If the activity is unable to provide an updated list before the meeting, the list

submitted to check the showing of interest is used. The parties will review the

list at the meeting and discuss any eligibility issues. The agent is prepared

to discuss the effect of the parties’ agreement on the list and cite appropriate

case law. If the agent knows in advance that there are significant eligibility

issues, the agent prepares the parties to discuss the disputed positions in

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accordance with CHM28.11.(see also CHM28.18.3 - eligibility matters; CHM

35.1- discussion of eligibility list at pre-election conference). 

The agent also asks questions about the overall employee complement of the

activity. For instance, if the petitioner seeks a unit of all employees, does the

activity employ temporary employees and did the parties consider this

category of employees. Do not assume that the petitioned-for unit covers all

employees at the activity that are eligible for the unit. See Figure 28.6 for

assistance. 

28.9.3 Work schedules of employees: The activity is also required to provide

information regarding the work schedules of the employees in the unit claimed

to be appropriate so that the agent can be prepared to discuss election

details: manual versus mail ballot, absentee ballot etc. Information includes:

a. whether the employees work a seven day, multiple shift operation;

b. whether employees go on travel status (regularly or infrequently, and

the purpose of the travel); if employees travel, can the dates of the

travel be anticipated or is the travel required on short notice?

c. information concerning where the employees work; what is the

proximity of the voters to one another? Are the employees scattered

over an activity or large geographic area, thus making multiple

polling sites necessary? Can the election be scheduled on one day;

if not, is a mail or mixed mail/manual ballot preferable and/or

appropriate? If it appears that the election will include a manual

ballot with multiple polls, the agent asks the activity prepare in

advance of the election agreement meeting, a list of buildings where

employees are assigned, showing the number of eligible employees

at each location, breakdown of hours and days of work and potential

room designations for each polling site. From this information, the

agent/parties are prepared to discuss polling sites and polling hours. 

(CHM 28.21). 

28.9.4 Service of information: Prior to the meeting, the activity is required to serve

copies of any information furnished to the agent on the other parties. The

agent confirms that the parties received the information, ascertains whether

there are any issues to discuss, and explores the parties’ interests relating to

the election procedures. 

28.10 Refusal by a party to participate in the election agreement conference:

If a party does not participate in an election agreement meeting, the region

contacts the Office of the General Counsel for advice (CHM 58.3.4).

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28.11 Section 2422.16 requirements: To prepare for the election agreement

meeting, the agent reviews § 2422.16. The agent is responsible for

explaining how it is applied. While § 2422.16(a) encourages the parties to

enter into election agreements, §§ 2422.16(b) and (c) provide procedures that

apply when the parties are unable to agree voluntarily to certain matters

contained in an election agreement or when the Regional Director is unable

to approve an election agreement because of questions relating to unit

appropriateness. 

This subsection gives an overview of §§ 2422.16(b) and (c). CHM 28.12

discusses drafting Directions of Election when the parties are unable to enter

into an election agreement pursuant to §§ 2422.16(b) and (c).

28.11.1 Section 2422.16(b): This section states that “If the parties are unable to

agree on procedural matters: specifically, the eligibility period, method of

election, dates, hours, or locations of the election, the Regional Director will

decide election procedures and issue a Direction of Election, without prejudice

to the rights of a party to file objections to the procedural conduct of the

election.”

This provision applies to disagreements over the date, time, place, hours,

eligibility period, and method of election (mail versus manual ballots) that are

set forth in Items #9, #10, and #13 of the election agreement form, FLRA

Form 33 and Items #7, #8, and #11 of the unit consolidation election

agreement form, FLRA Form 34. 

If the agent is unable to obtain an election agreement because the parties

cannot agree on procedural matters, the agent has the parties initial the

sections of the agreement on which they agree. These include the appropriate

unit section, eligibility issues, and other non-procedural matters. If the

conference is not onsite, but conducted via teleconference, the agreement is

faxed to all parties. The parties also note the disputed procedural issues on

the agreement form. The parties sign the agreement before returning it. 

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Following or during the meeting or teleconference, the agent sends a letter to

or confirms with the parties the issues about which the parties disagree. In

the letter or during the meeting, the agent requests the parties to state their

position in writing on each unresolved matter, and asks for reasons to support

their position. The agent also asks the parties for acceptable alternative

procedures and whether there are any other unresolved issues. The letter or

the agent verbally sets a deadline for the parties' submissions. After the

parties’ positions are received, the agent assesses the responses to see

whether there is any common ground. If it appears that there is “common

ground,” i.e., the parties could agree on alternative procedures, the agent

discusses with the Regional Director rescheduling the meeting or

teleconference.

If the parties are unable to agree to alternative election procedures, the

Regional Director considers the following criteria when issuing a Direction of

Election on procedural matters pursuant to § 2422.16(b):

a. the best interests of the employees affected by the election; for

example,

< the parties involved in a representation petition seeking an election

are opposed to a mail ballot election. They want a manual ballot

election even though a significant number of employees are on

travel status at any given time. The parties are willing to waive filing

objections over not providing a voting procedure for these

employees. The Regional Director decides that a significant number

of employees would be disenfranchised and, irrespective of the

parties' agreement and waiver, it would not effectuate the purposes

and policies of the Statute to deny these eligible employees the right

to vote. Absent the parties’ agreement, the Regional Director directs

a mail ballot election for all of the employees, or an manual ballot

with an absentee ballot or mail ballot procedure for the employees

on travel status. See CHM 28.19 for policy guidance on conducting

manual versus mail ballot elections.

b. positions of the parties; for example,

< a petition is filed seeking to represent a unit of seasonal employees

who work on tugboats. Most of the employees have no permanent

address which makes a mail ballot election difficult, but since the

tugboats are usually at sea, there is little opportunity to conduct a

manual ballot election all at one time. The activity proposes that the

election be conducted at the docks over a period of several days so

that the agent can meet the tugboats when they dock. This is costly

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and time consuming for the region, but the region acquiesces

acknowledging that the manual procedure will ensure that all eligible

voters have an opportunity to receive a ballot. The parties enter into

an election agreement.

c. resources of the region; for example,

< the petition seeks an election among firefighters who work in the

Yellowstone National Park. These employees are on multiple shifts

and based in stations throughout the park. There are thirty eligible

voters. The parties want a manual ballot election. The region

directs a mail ballot because of the costs and time associated with

requiring one agent to run a multiple site election over a period of

several days, particularly, when a fire could call all voters away from

the station for an indefinite period of time.

d. policy considerations: There may be policy considerations when

directing procedures in a significant election thatwarrant considering

a novel approach to conducting the election; for example, 

< in a worldwide mail ballot election involving employees who have

temporary addresses, it may be appropriate to mail the ballot to the

employee's place of employment.

See CHM 28.12.2 for guidance on drafting Directions of Elections on

§ 2422.16(b) matters.

28.11.2 Section 2422.16(c): This section states: “before directing an election, the

Regional Director shall provide affected parties an opportunity for a hearing

on other than procedural matters, and thereafter may: 

(1) Issue a Decision and Order; or

(2) If there are no questions regarding unit appropriateness, issue

a Direction of Election without a Decision and Order.”

This section is applicable when the parties are unable to enter into an election

agreement or the Regional Director will not approve the agreement because

s/he has reasonable cause to believe a question of representation exists

(CHM 27.5.3). Section 2422.16(c) raises two issues: 

a. when a hearing is required; and

b. when a Decision and Order is required.

The phrase, “on other than procedural matters” pertains to appropriate unit

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questions, eligibility questions, timeliness issues, challenges to the status of

a labor organization (CHM 19.6) and any other matter not considered

“procedural.” It does not include challenges to the validity of the showing of

interest which are resolved prior to any action taken on a case (CHM 18.19.5

and 28.34.2).

28.11.2.1 Where there are questions regarding unit appropriateness, the

Regional Director “shall provide the parties with anopportunity

for a hearing” and thereafter, issue a Decision and Order.

§ 2422.16(c)(1). A party may file an application for review of the

Regional Director’s Decision and Order (§ 2422.31). See CHM

28.29 and CHM 55 for guidance on processing cases while the

appeal is pending before the Authority.

In cases involving questions regarding unit appropriateness, the

agent terminates the election agreement conference and continues

to process the case according to CHM 26 and 27. If the Regional

Director issues a notice of hearing, the agent processes the case

according to CHM 29.

28.11.2.2 Where there are no questions regarding unit appropriateness

and absent an election agreement, the Regional Director shall

provide the parties with an opportunity for a hearing on other

than procedural matters. 

a. “Other than procedural matters” in this context applies to

situations where the parties are unable to agree on voter

eligibility, timeliness of the petition, challenges to the status

of the labor organization or other nonprocedural or non-unit

related matters. This section of the regulation does not

pertain to situations where the parties refuse or fail to

cooperate in the election agreement proceedings (See

CHM 22, 28.10 and 58.3.4). 

b. Before concluding the election agreement meeting and

prior to issuing a notice of hearing pursuant to

§ 2422.16(c), the agent has the parties complete and

initial those portions of the agreement on which they agree. 

If conducted by teleconference, the agreement is faxed to

all parties. These items include the unit description, effect

of the vote and the procedural matters. If the parties

refuse to complete those portions of the agreement, the

agent asks the parties for their objections and proceeds

according to CHM 28.11.1 or CHM 28.11.2.1. 

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c. Section 2422.16(c) provides that the Regional Director

shall provide an opportunity for a hearing. Following the

hearing, however, the Regional Director has discretion to

issue a Direction of Election rather than a Decision

and Order when there are no unit appropriateness

issues. While there is no appeal of a Direction of Election;

the Direction of Election provides that the election is

directed without prejudice to the right of a party to file a

challenge to the eligibility of any person participating in the

election and/or objections to the election [see § 2422.16(d)

and CHM 28.12.4]. 

d. Hearings on “other than procedural matters” are conducted

as soon as possible after the parties’ refusal to enter into

an election agreement. Thereafter, the Direction of

Election are issued timely and consistent with strategic

plan goals. See CHM 28.12 for guidance on issuing

Directions of Election and CHM 29 for guidance on

scheduling hearing conducted pursuant to § 2422.16(c)(2).

28.11.3 Policy on providing an opportunity for a hearing: Notices of hearing are

issued according to the guidelines set forth in CHM 27 and 29. When a

Direction of Election is contemplated, the Hearing Officer does not make

recommendations on the record. The Regional Director has the discretion

to issue the notice of hearing immediately or explore alternatives to the

hearing, as discussed below. The regulations provide an opportunity for

a hearing, they do not require a hearing.

28.11.3.1 Stipulations in lieu of hearings: Stipulations in lieu of hearing are

encouraged and permissible. (see CHM 27.7):

In cases involving questions regarding unit appropriateness,

a hearing may be waived by the parties upon their agreement

to an election; however, the Regional Director may approve

such agreement only if the unit meets the appropriate unit

criteria set forth in 5 U.S.C. 7112(a)(1). See United States Army

Safeguard Logistics, Command, Huntsville,Alabama, 2A/SLMR582

(1972); Department of Transportation, National Highway Traffic

Safety Administration, 2 A/SLMR 433 (1972); citing Army and Air

Force Exchange Service, White Sands Missile Range Exchange

White Sands Missile Range, New Mexico, 1 A/SLMR 147 (1971). 

The parties may also enter into a stipulation addressing all

appropriate unit issues in lieu of a hearing if the stipulation

includes a waiver of the parties’ right to a hearing. The region

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is still required to issue a Decision and Order in such cases.

Stipulations on other than unit issues are also encouraged. See

HOG 26 for a discussion about stipulations. They are particularly

useful in deciding employee eligibility issues. Any stipulations that

are obtained in lieu of a hearing pursuant to § 2422.16(c) include a

waiver of the parties' right to a hearing (CHM 27.7.2).

28.11.3.2 Waiving a hearing in order to proceed to an election: The region

may not accept a “partial” waiver from the parties. A “partial” waiver

is one in which the parties disagree on a matter within § 2422.16(c)

but want to proceed to an election. As a result, they ask the region

to approve a waiver of their right to a hearing, but intend to raise the

matter again posthearing as an objection or challenge. The parties

may not waive their right to a hearing in order to proceed to an

election and bypass the § 2422.16(c) procedures. In other words,

the parties can only waive a hearing on a § 2422.16(c) matter by: 1)

entering into a stipulation that addresses all § 2422.16(c) issues and

includes a waiver of the parties’ right to a hearing, or 2) signing an

election agreement. An exception is discussed in CHM 28.11.3.3

below.

28.11.3.3 Procedures for resolving eligibilityissues without hearing: The

Regional Director has discretion in applying § 2422.16(c)(2) to

situations where the parties dispute the eligibility of certain

employees, normally comprising not more than fifteen percent

(15%) of the unit that the parties agree is appropriate. Before

discussing this option with the parties, the agent reviews the

eligibility list with the parties in accordance with the guidance set

forth in CHM 28.18.3 and discusses the impact of the parties’

agreement on any inclusions and exclusions. 

a. Rule: 

Eligibility issues fall within the “other than procedural issues”that are

covered by § 2422.16(c). Thus, the parties are provided with an

opportunity for a hearing if the parties cannot agree on the eligibility

of certain employees in the bargaining unit. The Regional Director

has discretion, however, to issue a Direction of Election instead of

a Decision and Order pursuant to § 2422.16(c)(2), if the number of

eligible employees in dispute is not significant and does not raise

issues concerning the appropriateness (identity, scope or size) of

the bargaining unit. 

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The Office of the General Counsel has established an alternative for

the parties to consider when there are eligibility issues and the

parties do not seek to delay the election.

b. Option:

As an alternative to a hearing to resolve eligibility issues, the agent 

discusses the use of the challenged ballot procedureand/orthe filing

of a petition to clarify the unit after the election. This option is only

available if the number of employees whose eligibility is in dispute

does not comprise more than fifteen percent of the proposed unit. 

If the parties agree to use this option, the parties “agree to disagree”

on the disputed positions and agree that the the voter's eligibility will

be challenged at the election. If the voter whose eligibility is being

challenged: 1) fails to vote; or 2) votes a challenged ballot that is not

resolved but is not determinative of the outcome of the election, the

parties can file a petition to clarify the status of the disputed

employees after the election. Any agreement to use the

challenged ballot procedure for employees whose eligibility is

in dispute and who comprise not more than fifteen percent of

the unit is memorialized in an attachment/appendix to the

Election Agreement. See Figure 28.11 for a sample

memorandum.

The attachment:

(1) gives an introduction of the regulatory basis for the

agreement; (i.e.,” in accordance with § 2422.16(c), the

parties agree to the following”)

(2) spells out exactly what the parties agree to and what

the Regional Director is approving;

(3) includes the following information:

(i) describes the unit and includes a statement that

the eligibility issues do not affect the

appropriateness of the unit (see part “c” below);

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(ii) includes the parties’ waiver of a right to a hearing;

and 

(iii) lists the names of the employees and their

positions about which the parties dispute the

eligibility; since employee names are included,

the parties must agree not to disclose or publish

the agreement.

(4) spells out the procedures for dealing with the

challenges as follows:

(i) regardless of the type of election, the ballots of

employees who are in the 15% group and named

in the appendix will be challenged automatically

by the Regional Agent, if not challenged by one of

the parties. 

(ii) in a manual ballot election, the parties agree to

specific procedures in the Appendix for

annotating the eligibility lists as described in the

options in section “c” of this part. The voter’s

eligibility becomes an issue if thevoter appears to

vote and one of the observers or the agent

challenges the voter’s ballot before the employee

votes. 

(iii) in mail ballot elections, the parties agree to

specific procedures in the Appendix for

annotating the eligibility lists as described in the

options in section “c” of this part. The region

mails the voter a ballot, annotates the list with a

“c,” but the issue is resolved only if the ballot is

returned. The ballot is automatically challenged

if it is returned. See also CHM 35.1 concerning

the eligibility list. 

When discussing this option with the parties, the agent stresses that

the delay inherent in resolving issues involving a small number of

employees by hearing automatically denies a larger number of

employees the opportunity to express their wish at the ballot box for

an extended period of time. The agent also reminds the parties

that they may not discuss, publish or reveal the names of the

positions or employees whose eligibility is in dispute.

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c. Application of the option:

Where the number of employees in dispute is less than fifteen

percent and the parties agree to utilize the challenged ballot

procedure, the voting unit is carefully set forth in the Election

Agreement. The unit description is silent as to the inclusion or

exclusion of the classification(s) in dispute. For example, if the

classification of shop chief is in dispute, the description does not

contain an express inclusion or exclusion of this classification. In

this regard, irrespective of any understanding between the parties

regarding employees in this classification being subject to challenge,

if the parties expressly include or exclude this classification in the

unit description, it becomes binding on the parties. See Federal

Trade Commission (FTC I), 15 FLRA 247 (1984) and Federal Trade

Commission (FTC II), 35 FLRA 576 (1990) where the parties agreed

to exclude a number of employees and later attempted to file a

clarification of unit petition. 

The regions have the following options for annotating the eligibility

lists with the names of the disputed employees:

(1) names of the disputed employees remain on the eligibility

list (included or excluded) where the agency put them. 

Each name on the appendix is marked on these lists with

a “c” for challenge.

(2) names of the disputed employees are all placed either on

the included or excluded list as agreed by the parties. Each

name on the appendix is marked on the list with a “c” for

challenge.

(3) the parties may agree to delete the disputed names from

the included or excluded lists and use the appendix list as

the list for challenges.

There may be other acceptable variations on the options listed

above; the objective is to ensure that employees whose eligibility

is in dispute are afforded the same opportunity to vote in manual or

mail ballot elections. The parties’ agreement on how the eligibility

list will be annotated should be included in the appendix. This is

also true when there are no disputes as to eligibility.

d. To determine whether the total number of challenged

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ballots are not more than fifteen percent (15%) of the unit

agreed to, for the purpose of resolving eligibility issues by

the challenge ballot procedure, the following ratio is used:

Total number or employees subject to challenge

Total number of employees agreed to plus number of

employees subject to challenge

Example 1: the petitioner claims that the unit consists of 100

employees, whereas the activity contends that classification X,

involving 50 employees, are also eligible for the unit. Here, the ratio

is 50/150, or approximately 33 percent. 

Example 2: the petitioner claims that the unit consists of 95

employees, but the activity asserts that the unit consists of 100

employees. The ratio is therefore 5/100, or 5 percent. 

In example #1, an election agreement may not be approved since

a significant question exists concerning employee eligibility affecting

the scope of the unit. The region issues a notice of hearing, and

holds the hearing, absent a stipulation. A Decision and Order is

required rather than a Direction of Election because the number of

challenges exceeds fifteen percent and therefore affects the scope

of the unit. 

In example #2, the number of challenged ballots is less than fifteen

(15) percent. The parties may either elect to use the challenge

ballot procedure or exercise their right to a hearing. (If the parties

elect to use the challenged ballot procedure, the agent prepares an

agreement to attach to the Election Agreement as discussed in part

“b” above). If a hearing is held, § 2422.16(c)(2) allows the region the

option of issuing a Direction of Election (CHM 28.12). The record

obtained by the region at the hearing may be used as evidence if

challenged ballots are sufficient in number to affect the results of the

election. 

NOTE: if the total number of employees whose eligibility is in

dispute exceeds 15% of the total number of employees agreed

to plus the number of employees subject to challenge, or if

parties are unwilling to execute an ElectionAgreementbecause

of eligibility issues, the region shall issue a notice of hearing.

The region cannot impose the 15% rule in lieu of a hearing. 

The parties are not precluded from challenging other voters 

after executing this Appendix to the Election Agreement. 

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However, if the region learns that other employees will be

challenged, the region checks the math to determine whether

the number of potential challenged ballots remains under 15%.

28.12 Direction of Election: There are essentially three types of Directions of

Election.

28.12.1 Unit found appropriate by the Regional Director: Following a hearing on

questions relating to unit appropriateness, the Regional Director is required

to issue a Decision and Order (see CHM 53 - guidance on issuing Decisions

and Orders). If the Regional Director finds that an election is appropriate, s/he

issues a Decision and Order and Direction of Election. Thereafter, the

parties meet to work out the details of an election agreement. The description

of the unit and the effect of the vote is described in the Agreement precisely

as found in the Decision and Order and is binding on the parties unless the

Regional Director modifies it in a Supplemental Decision and Order or it is

modified by the Authority. This requirement applies irrespective of any

changed circumstances occurring subsequent to the close of the hearing and

not considered by the Regional Director. Any party seeking to alter the unit

description after issuance by the Regional Director of a Decision and Order

and Direction of Election, files a written request with the Regional Director

with supporting reasons. Normally, execution of the ElectionAgreement is not

delayed pending the filing or disposition of such request.

28.12.2 Direction of Election on § 2422.16(b) procedural matters: When the

parties are unable to agree on procedural matters, the Regional Director

issues a Direction of Election and decides the disputed details of the

election. See CHM 28.11.1. The Direction of Election will state the purpose

of the directed election (such as “the parties were unable to agree on the

following ...”). The Direction of Election incorporates the Election Agreement

that contains the provisions upon which the parties agreed and initialed. The

Regional Director signs the Agreement noting the details decided in the

Direction of Election. Item #14 on FLRA Form 33 and Item #12 on FLRA Form

34, reflects the election details that the Regional Director decided. The

Regional Director does not state the reasons for his/her ruling, but references

§ 2422.16(d) (see CHM 28.12.4). See Figure 28.12A for a sample Direction

of Election.

28.12.3 Direction of Election on § 2422.16(c)(2): other than procedural matters:

When there are no questions regarding unit appropriateness, the Regional

Director shall provide the parties with an opportunity for a hearing. Following

the hearing, however, the Regional Director may issue a Direction of

Election, without a Decision and Order. A Direction of Election is issued as

soon as possible after the close of the hearing and within time targets that are

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consistent with strategic plan goals (CHM 29.7). Note that the Regional

Director has the option to issue a Direction of Election, rather than a Decision

and Order. If the eligibility issues or other nonprocedural issues appear to

affect unit appropriateness, the Regional Director is required to issue a

Decision and Order. 

A Direction of Election issued under this subsection reflects the nature of the

dispute, the issues presented at the hearing and a statement that the issues

raised do not interfere with conducting the election. The Direction of Election

incorporates the Election Agreement that contains the provisions upon which

the parties agreed and initialed. The Regional Director signs the Agreement

noting the details s/he decided. Item #14 on FLRA Form 33 and Item #12 on

FLRA Form 34, reflect the election details that the Regional Director decided. 

In the Direction of Election, the Regional Director is not required to decide the

procedural issues such as eligibility issues or status issues. Rather, the

Regional Director states in the Direction of Election that “these matters (or

state issues) will not be resolved at this time.” Section 2422.16(d) is also set

forth in the Direction of Election. See Figure 28.12B, CHM 19.6 and CHM

28.34.3 for a Direction of Election involving a challenge to the status of a

labor organization.

NOTE: 1. If a challenge to the status of a labor organization is filed

pursuant to section 7103(a)(4) or pursuant to section 7111(f)(1)

of the Statute alleging that the labor organization is subject to

corrupt influences or influences opposed to democratic

principles, the region investigates the challenge prior to

executing the election agreement. See CHM 19 for investigating

challenges filed pursuant section 7103(a)(4). See CHM 20.1.8 and

CHM 23.9.3 for investigating challenges based on 7111(f)(1). 

2. Remember that a challenge to the validity of the showing of

interest is not considered an “other than a procedural matter”

under § 2422.16(c) and is investigated and resolved prior to the

election agreement meeting. See CHM 18.19.5, CHM 28.11.2

and CHM 28.34.2.

28.12.4 Challenges or objections to a directed election: Section 2422.16(d)

provides that a Direction of Election issued pursuant to § 2422.16 will be

issued without prejudice to the right of a party to file a challenge to the

eligibility of any person participating in the election and/or objections to the

election. This statement appears in every Direction of Election. Section

2422.16(d) does not pertain to challenges or objections based on a Decision

and Order which may be appealed pursuant to § 2422.31.

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28.13 Basic requirements for unit descriptions in election agreements: Every

unit approved by the Regional Director in an Election Agreement constitutes

“an appropriate unit” under the criteria contained in 5 U.S.C. 7112 of the

Statute and excludes, as appropriate, the categories of employees as set

forth in 5 U.S.C. 7112(b)(1) through (7). The unit and the effect of the vote

are the first substantive matters discussed in an election agreement

conference. Item # 11 on FLRA Form 33 and Item # 9 on FLRA Form 34

describes the appropriate unit. This section also includes a statement

regarding the effect of the vote.

28.13.1 Appropriate unit criteria: An appropriate unit as defined in

5 U.S.C. 7112(a)(1) is one which will ensure a clear and identifiable

community of interest among the concerned employees and will promote

effective dealings with, and efficiency of the operations of, the agency

involved. The Authority has applied these criteria in a wide range of decisions

involving unit determinations. These criteria are applied when establishing

any unit in any election agreement; i.e., by the parties in formulating and

agreeing upon the unit, by the agent in seeking out the relevant information

and by the Regional Director in determining the appropriateness of the unit

for the purpose of approving an election agreement [see RCL 1, appropriate

unit determinations). CHM 28.15 - self-determination elections - covers

situations where the affected employees determine their own unit; and RCL

2 - scope of unit issues - discusses unusual circumstances when elections

may be held in units that do not comply with the appropriate unit criteria

(residual units)].

28.13.2 Required exclusions: 5 U.S.C. 7112(b) requires that certain categories or

classifications of employees be specifically excluded from all units, namely:

a. 5 U.S.C. 7112(b)(1): Supervisors as defined in 5 U.S.C. 7103(a)(10)

[unless covered by 5 U.S.C. 7135(a)(2)]; RCL 26 and 14.

b. 5 U.S.C. 7112(b)(1): Management officials as defined in 5 U.S.C. 

7103(a)(11) [unless covered by 5 U.S.C. 7135(a)(2)]; RCL 22.

c. 5 U.S.C. 7112(b)(2): Confidential employees as defined in 5 U.S.C.

7103 (a) (13) ; RCL 19.

d. 5 U.S.C. 7112(b)(3): Employees engaged in personnel work in other

than a purely clerical capacity; RCL 20.

e. 5 U.S.C. 7112(b)(4): Employees engaged in administering the

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provisions of the Statute; RCL 18.

f. 5 U.S.C. 7112(b)(5): Professional employees from a unit of

nonprofessional employees - unless a majority of the professional

employees vote forinclusion in a unit of nonprofessional employees; 

RCL 23.

g. 5 U.S.C. 7112(b)(6): Any employee engaged in intelligence, counterintelligence, investigative, or security work which directly affects

national security; RCL 25 or

h. 5 U.S.C. 7112(b)(7): Any employee primarily engaged in

investigation or audit functions relating to the work of individuals

employed by an agency whose duties directly affect the internal

security of the agency, but only if the functions are undertaken to

ensure that the duties are discharged honestly and with integrity. 

RCL 17.

Irrespective of any agreement among the parties, the Regional Director may

not approve an election agreement in which s/he knowingly includes in the

unit description, any employees that are required to be excluded under the

Statute. 

28.13.3 Formats for stating the inclusions and standard statutory exclusions:

The following format is used in any election agreement approved by Regional

Directors or in any Decision and Order which directs an election or finds a unit

appropriate for purposes of collective bargaining:

a. Nonprofessional unit:

Included: All .....

Excluded: All professional employees; management officials;

supervisors; and employees described in 5 U.S.C. 7112 (b)(2), (3),

(4), (6) and (7).

b. Professional unit:

Included: All professional ....

Excluded: All nonprofessional employees; management officials;

supervisors; and employees described in 5 U.S.C. 7112(b)(2), (3),

(4), (6) and (7).

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c. Mixed unit:

Included: All professional and nonprofessional .... 

or

 All employees of ....

Excluded: Management officials; supervisors; and employees

described in 5 U.S.C. 7112(b)(2), (3), (4), (6) and (7).

28.14 Describing the unit: The description of the appropriate unit expresses the

intent of the parties, both as to the level of recognition, the inclusions and the

nonmandatoryexclusions. Carefully defining the scope and composition of the

unit minimizes:

1. Problems between the parties after a certification is issued regarding

the level of recognition; and 

2. Eligibility issues. 

28.14.1 Differences in the caption and the unit description on the certification:

When a Certification is issued that reflects the results of an election by

either certifying a labor organization as the exclusive representative of an

appropriate unit of employees or certifying the results of the election if the

employees vote against representation, the caption on the case lists the

parties one way - for record keeping purposes - and the unit may reflect the

unit approved by the Regional Director another way. 

a. The caption reflects the executive agency first, followed by the

activity, and location.

b. The unit description reflects the level at which recognition is

granted. Unless the unit is nationwide in scope, the activity is

listed first, and the agency is listed second, if at all. 

28.14.2 Level of recognition: The level of recognition establishes the level at

which bargaining must take place. The level of recognition at the

agency/activity is a consideration when determining the appropriateness of

any proposed unit or when assessing the effects of a reorganization on an

existing unit. The level of recognition for the union, i.e., whether the national

or local union holds the certification has no bearing on the appropriateness

of the unit. 

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28.14.2.1 Agent’s responsibility: It is the agent’s responsibility to review the

level of recognition proposed by the petitioner to ensure that it is

appropriate given other facts and criteria used to determine the

appropriateness of any unit. The agent ensures that the parties

understand and consider the level of recognition. As a policy

matter, it is not the agent’s role to dictate to the parties where

the level of recognition lies. However, the Authority agent

makes the parties aware of potential issues and urges the

parties to draft the unit description carefully to avoid any

confusion. If the proposed level of recognition raises

questions as to the appropriateness of the unit, the agent

reports the issue to the Regional Director. A hearing on the

issue maybe appropriate. See VA Medical Center, Brooklyn, NY,

8 FLRA 289 (1982); Headquarters, 1947th Administrative Support

Group, U.S. Air Force, Washington, DC, 14 FLRA 220, 221 (1884).

28.14.2.2 Ramifications: The level of recognition is important because it:

a. establishes the level at which bargaining must take place;

b. may be a factor in a reorganization;

c. reflects who controls decision-making and governance of

the unit; 

d. affects who has standing to file certain petitions, and 

e. from the union perspective, controls who may file for

reaffiliation and merger. 

28.14.2.3 Rule: If the Agency is named first, that is an indication that the

level of bargaining is at the agency level. If the Activity is

named first, the level of recognition is at the activity level. 

Regions are consistent when drafting unit descriptions and

follow this protocol.

For example, if a unit description is written: “All employees of the

U.S. Department of the Navy, XXX Naval Shipyard,” the level of

recognition is at the Department of Navy. If the description is

written: “All employees of the XXX Naval Shipyard, U.S. Department

of the Navy,” the level of recognition is at the Shipyard. 

Authority agents explain to the parties that the level of recognition,

if not clear to the parties at the time of the election agreement

meeting, may become an issue between the parties later on. See

also CHM56 which distinguishes between captions on cases where

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the agency is always named first and the unit description.

28.14.3 Carefully drawn unit descriptions greatly facilitate the investigation of any

future petition(s) to amend or clarify a certified unit. At a minimum the unit

description includes:

a. Geographic locations of the affected employees;

b. Classifications of the employees sought to be included (if the unit

proposes to include all employees of an activity or agency, the

description is described “as all employees of ...”); and

c. The name of the agency and activity, if applicable that employs the

employees sought to be included in the unit. 

A unit description that is clear states: “All ... employees [use ‘employed by’ or

‘of’] ....” The description is drafted as follows:

“Included: ...”

“Excluded: ....”

NOTE: To ensure consistency among the regions the “one paragraph”

unit description, such as “All employees of Agency X excluding ... .” is

avoided.

28.14.4 Use of current classifications and effect of drafting unit description too

broadly or narrowly: The scope and composition of any unit is based upon

current classifications or categories of employees at the time of approval of

the consent agreement for election. A nonexistent classification is not

included in the unit even though the activity contemplates establishing such

classification in the near future. Similarly, a nonexistent classification is not

specifically excluded for the purpose of showing that if or when such a

classification were to be established, the parties agree that these employees

would be excluded from the unit. In either of these instances, the proper

vehicle to resolve the issue is a petition to clarify the unit when the particular

classification is established and employees are hired. Normally, if the unit

description is written “broadly,” i.e., “all employees of” and a classification is

added to the unit, it is automatically included in the unit unless it’s exclusion

is statutorily based. “New employees are automatically included in an existing 

bargaining unit where their positions fall within the express terms of a

bargaining certificate and where their inclusion does not render the bargaining

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unit inappropriate.” Department of the Army, Headquarters, Fort Dix, Fort

Dix, New Jersey, 53 FLRA 287 (1997). See also U.S. Department of the Air

Force, Carswell Air Force Base, Texas, 40 FLRA 221, 229-30 (1991)

(Carswell Air Force Base); U.S. Army Air Defense Artillery Center and Fort

Bliss, 31 FLRA938 (1988); U.S. Department of Commerce, National Oceanic

and Atmospheric Administration, National Marine Fisheries Service,

Northeast Region, 24 FLRA 922, 926 (1986) (NOAA).

Conversely, if a unit description is too narrowly defined, it may result in many

requests to clarify units or additional elections to add-on more employees.

The point is that the parties, with the assistance of the Authority agent,

define the unit description to minimize future questions about

inclusions and exclusions and the scope of the unit.

28.14.5 Use of names of employees: Names of employees are never used to

denote inclusion or exclusion from the unit. A unit is defined only in terms of

the one or more classifications or categories of which it is composed, as well

as the exclusions. The scope and composition of the unit must be clear and

identifiable if the unit is subsequently certified.

28.14.6 Use of vague or unclear phrases: Phrases such as “serviced by” or

“located at” to describe a unit are not permitted. Unit descriptions include the

name of the employing agency/activity and the employees eligible for

inclusion in the unit. Experience has shown that a unit described by the

servicing administrative or personnel office or the location of the employees

that does not include the name of the employer causes a variety of

representation issues, particularly if the unit is subject to a reorganization or

realignment of operations. For example a unit described as: “All employees

serviced by the Civilian Personnel Office located in Fort XXX” does not

identify the employing agency. It is impossible to distinguish employees in

this unit from a similarly described unit covering different employees. 

28.15 Details on special voting procedures for self-determination elections:

There are certain situations where the eligible voters select the unit as well as

their representative. For instance, as required in 5 U.S.C. 7112(a)(5),

professional employees determine their unit as well as their exclusive

representative. These elections are commonly called self-determination

elections because the final determination of the unit is contingent upon the

outcome of the election. As noted in CHM 28.13, election agreements

describe the appropriate unit and discuss the effect of the vote. This is

particularly important in self-determination elections. In self-determination

elections, election agreements: 1) describe the purpose of the election and

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the voting groups; 2) discuss the effect of the vote; and 3) provide a

description(s) of the potential appropriate units. 

Because of the extensive details involved, the required information is set forth

in an Appendix to the Agreement, with the following statement inserted in

paragraph 11, “The Appropriate Unit” of FLRA Form 33, or paragraph 9 in

FLRA Form 34: “See Appendix attached to and made a part of this... .” In

addition, all such information contained in the Appendix is set forth,

verbatim, in the Notice of Election and cannot be changed without

clearance from the OGC. For sample ballots used in the special elections

discussed below, see CHM 34.4 and Appendix E.

NOTE: if the self-determination election results from findings raised as

a result of a reorganization, contact the OGC for case handling advice.

See e.g., Defense Logistics Agency, Defense Supply Center Columbus,

Columbus, Ohio, 53 FLRA 1114 (1998).

28.15.1 Considerations when establishing units involving professional

employees: Professional employees have the right of unit self-determination

under 5 U.S.C. 7112(b)(5). This provision of the Statute provides that a unit

of both professional and nonprofessional employees may not be established

unless a majority of the professional employees vote for inclusion in the same

unit as the nonprofessional employees. Professionals vote on whether the

bargaining unit will consist solely of professional employees or be a combined

professional/nonprofessional unit and on whether they wish to be represented

by a union in a bargaining unit. For a discussion on the definition of a

professional employee, see 5 U.S.C. 7103(a)(15) and RCL 23.

a. Detailing special voting procedures: 5 U.S.C. 7112(b)(5)requires

that the Election Agreement set forth details concerning the election,

including a description of the unit and the effect of the vote and the

following:

(i) A description of the voting groups involved;

(ii) An explanation of the choices to be voted on by each of the

groups; and 

(iii) An explanation of the alternative effect upon the

determination of the appropriate unit(s) in the event that a

majority of the professional employees vote in favor of, or

against, inclusion in the same unit of nonprofessional

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employees.

b. Significance of self-determination by professional employees:

As previously noted, a self-determination election, such as one

involving professional and nonprofessional employees, is

fundamentally different from other elections in that the final

determination of the unit is contingent upon the outcome of the

election. Thus, the election may result in an appropriate unit

consisting of both professional and nonprofessional employees or

it may result in separate units of professional and nonprofessional

employees, depending upon whether a majority of the professional

employees vote in favor of, or against, inclusion in the same unit as

nonprofessional employees.

c. Description of voting groups: Paragraph 11 of the Appendix of the

Agreement is entitled, “Voting Groups” and not “Appropriate Unit.”

As set forth in Figure 28.15A, the professional employees are

designated as voting group (a) and the nonprofessional employees

as voting group (b). Nonprofessional employees are expressly

excluded from voting group (a) and professional employees are

expressly excluded from voting group (b).

d. Explanation of choices on respective ballots: After setting forth

the description of the two (2) voting groups, the third and fourth

paragraphs of the Appendix are devoted to an explanation of the

choices upon which the professional and nonprofessional employees

will vote in casting their respective ballots. Thus, in the example

shown, the nonprofessional employees are informed that they “. . .

will be polled whether or not they desire to be represented by the

(Union).” Similarly, professional employees are informed that they

will be asked two (2) questions, namely:

(i) Do you desire the professional employees to be included

with the (description of the nonprofessional unit) for the

purpose of exclusive recognition?; and

(ii) Do you desire to be represented for the purpose of

exclusive recognition by the (Union)?

e. Explanation of appropriate units: The remaining portion of the

Appendix explains the alternative unit determinations based upon

whether or not a majority of the professional employees vote for

inclusion in the same unit as nonprofessional employees and the

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issuance of an appropriate certification by the Regional Director. 

See Figure 28.15A. For tallying procedures, see CHM 47.11.

28.15.1.1 Unique situations involving professional employees in

petitions: Self-determination elections involving established units

consisting of professionals and nonprofessionals may be

inappropriate in certain circumstances. 

a. Petitions in which a labor organization raids an existing

mixed professional and nonprofessional unit or in which an

employee petitions to decertify the exclusive representative

in a mixed unit: The Authority has not had the opportunity

to consider whether professional employees should have

another opportunity to vote to be in a mixed unit once they

have voted to be included in units with nonprofessional

employees (mixed units), However, the case law under the

Assistant Secretary requires that the professionals be

given another opportunity to decide whether they wish to

be included with the nonprofessional employees. See

Indian Health Service Area Office, Window Rock, Arizona

and Public Health Service Indian Hospital, Fort Defiance,

Arizona, Department of Health, Education and Welfare, 7

A/SLMR 36 (1977) (a raid petition in which the A/SLMR

stated that the privilege accorded by Section 10(b)(4) to

the professional employees is not necessarily limited to a

single expression of their wishes and separate balloting for

the professionals involved herein should not be affected

because they have already enjoyed the opportunity of such

expression in the first election held in 1970). See also U.S.

Department of Commerce, National Oceanic and

Atmospheric Administration, National Weather Service,

Central Region, 7 A/SLMR 854 (1977) (three decertification

petitions in which the A/SLMR ordered that the

professionals be given the opportunity to vote for a

separate unit). Contact the Office of the General Counsel

if this issue arises. 

b. Add-on: Until the Authority rules differently, when petitions

are filed to add a unit of professional employees to a

consolidated unit of professionals and nonprofessionals,

the professionals have the opportunity to decide whether

or not they wish to be included with the nonprofessionals. 

In add-on elections, the proposed unit, in this case the

unrepresented professionals, constitute an appropriate unit

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and thus the section 7112 (b)(5) right to self-determination

applies.

c. Clarify matters relating to representation: Unique situations

involving professional employees may arise in petitions

seeking to clarify matters relating to the representation of

employees following a reorganization or realignment. It

may be appropriate to accrete, combine or find a

successorship among professional employeeswho are not

in mixed units, but who will become part of a unit that

already includes professional and nonprofessional

employees without an election. A finding of successorship

or accretion does not raise a question concerning

representation and, thus, no election is required. Contact

the Office of the General Counsel if this issue arises. 

CHM 58.3 - advice issues and CHM 28.17.4 - consolidated units. 

28.15.2 Inclusion of unrepresented professional employees in an existing unit

of nonprofessional employees: Where a labor organization currently

represents a unit of nonprofessional employees, a unit of unrepresented

professional employees may be included in the same unit of nonprofessional

employees by a self-determination election. If an incumbent labor organization

files a petition to represent professional employees and requests that the

professional employees be included in the existing represented

nonprofessional unit, the professional employees are given the opportunity to

decide whether they wish to be included in the nonprofessional unit. 

In drafting the Appendix to the agreement as set forth in Figure 28.15B,

paragraph 11 of the Appendix is designated as “Appropriate Unit” since there

is only one group of employees voting in this type of self-determination

election. Moreover, in the event the professionals vote to be included in the

nonprofessional unit, a Certification of Representative is not issued to the

petitioner. Instead, a Certification of Inclusion in Existing Unit, FLRA Form

192, is issued, as discussed in CHM 56, in which case the ballots cast for the

second question are not counted. 

In the event that the professional employees vote against inclusion on the first

question, the second question on the ballot is tallied and if a majority is cast

for the petitioner as the exclusive representative, a Certification of

Representative, FLRA Form 28, is issued in behalf of the petitioner for a

separate unit. If a majority is cast against exclusive recognition, a

Certification of Results, FLRA Form 27, is issued. See CHM 47.13 for tallying

procedures.

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If a petitioner does not seek to include a unit of professional employees in the

represented unit of nonprofessional employees, no Appendix to the Election

Agreement is prepared since no self-determination election is involved. In this

situation, the union seeks to represent the professional employees in a

separate unit. No special voting procedures are required and the employees

are asked only if they wish to be represented for the purposes of exclusive

recognition by the labor organization(s) involved. 

28.15.3 Inclusion of residual nonprofessional employees in an existing unit: If

a labor organization that currently represents a unit of nonprofessional

employees files a petition seeking to represent a unit of unrepresented

residual employees of the same activity, the incumbent, as the petitioner, has

an option of seeking to represent these employees in the currently

represented unit or as a separate unit. A residual unit is a unit of all

unrepresented employees of the type covered by the petition (or, in some

descriptions) who are not already covered in existing units. General Services

Administration, Las Vegas Fleet Management Center, Sparks Field Office,

Sparks, Nevada, 49 FLRA 1258, 1261 (1993). If a proposed unit is a residual

unit, strict application of the appropriateness criteria is not applied (see RCL

2). 

The Regional Office elicits the petitioner*s position so that the Appendix to the

Agreement is worded accordingly (Figure 28.15C for wording when the

petitioner seeks to include the residual unit in its existing unit). Paragraph “b”

in Figure 28.15C is applicable in instances in which the incumbent-petitioner

and one or more intervenors are on the ballot. If the employees vote to be

included in the existing unit, a Certification of Inclusion in Existing Unit is

issued (CHM 56).

Note, as in other self-determination elections, the Notice of Election describes

the effect of the vote. In this instance if there is no intervenor, the Notice of

Election states whether or not the selection of the petitioner will result in their

being included in the existing unit. Tallying procedures are discussed in CHM

47.14. Note there are not many Authority cases on residual units. If there are

any questions about how to handle the proposed unit or the options for selfdetermination, contact the Office of the General Counsel for case handling

advice.

28.15.4 Residual elections involving two groups and two unions: In a partially

organized activity, where the incumbent seeks only an election among a

group of unrepresented residual employees, and a second labor organization

seeks an overall unit consisting of employees in the existing unit plus a

residual group of unrepresented employees, two voting groups are

established and the votes are pooled. The following language is added to the

agreement as an Appendix:

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If a majority of valid ballots in the residual unit are cast for

the incumbent union, separate units could be appropriate

or the incumbent could elect to combine them. If a majority

of the employees in the existing unit do not select the

incumbent, then the two voting groups shall be combined

in a single overall unit and their votes shall be pooled. In

either event, the appropriate certification will be issued.

Since very few cases are filed involving the issues where votes are

“pooled,” the region contacts the Office of the General Counsel to

discuss such cases (see also CHM 28.15.5).

28.15.5 Other types of self-determination elections: Other self-determination

elections that may involve pooling of ballots include:

a. A functional or craft unit constituting a portion of a larger appropriate

unit, either of which may be an appropriate unit; i.e., petitioner (A)

seeks to represent an appropriate unit which includes the craft or

functional group and petitioner (B) seeks to represent only the

smaller craft or functional group of employees; or

b. Global type elections. See Department of Defense Dependent

Schools, 6 FLRA 297 (1981); the Authority found a worldwide unit

and six region-wide units appropriate.

Drafting the Appendix to the agreement for the election: The same procedure

as discussed in CHM 28.15.1 and 28.15.4 regarding the preparation and

attachment of an Appendix to the Election Agreement is applicable regarding

all types of self-determination elections. For example, the Appendix set forth

in Figure 28.15D is an example of the circumstances under which either of

two (2) units petitioned-for by different labor organizations may be

appropriate, requiring a self-determination election where the votes may be

pooled. This particular sample Appendix is used in conjunction with an

election agreement for self-determination elections involving functional or craft

units but is easily adapted for other similar self-determination elections. The

procedures in counting the ballots of the respective voting groups in selfdetermination elections that involve pooling ballots are discussed in CHM

47.12.

 

28.15.6 Severance elections: Where parties agree to a severance election, the

Regional Director contacts the Office of the General Counsel before

approving the Election Agreement.

28.16 Add-on elections: When a union petitions for an election to add employees

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to an existing unit, the inclusion of such employees results in an overall unit

which meets the criteria for appropriateness of unit set forth in 5 U.S.C.

7112(a)(1). If the proposed unit to be added is not a residual unit (covering

all unrepresented employees), it constitutes independently an appropriate

unit. Thus, in any case involving an add-on to an existing unit, if the unit is

not a residual unit, the three appropriate unit criteria are applied (RCL 2). 

Add-ons usually occur in one of two circumstances:

a. when a labor organization seeks to add to its existing unit a group

of unrepresented employees in an activity or agency. For example,

a labor organization has an agency-level certification for a

consolidated unit and seeks to add a group of unrepresented

employees to the consolidated unit.

b. when a labor organization seeks to add to its existing unit a group

of represented employees. For example, a labor organization holds

exclusive recognition for part of an activity (Unit A) and raids another

unit (Unit B) to add these employees to its existing unit (Unit A). 

Both units (A and B) are appropriate and a combined unit is also 

appropriate. Thus, the resultant election could be a selfdetermination election and the effect of a vote for the petitioner

could be to add Unit B to Unit A. A vote for the incumbent is a vote

to remain in Unit B. U.S. Department of Labor, Pension and Welfare

Benefits Administration, 38 FLRA 65, 73 (1990). 

28.16.1 Policy considerations in add-ons to consolidated units:

28.16.1.1 Local union files a petition: A local labor organization seeks an

election to represent employees at an agency where its national

union is certified as the exclusive representative of a single

agency/activity-level consolidated unit of employees. This filing may

raise standing to file issues as discussed in CHM 4.7 and unit

fragmentation issues. 

a Standing to file issues: Such petitions normally seek to add

the unrepresented employees to the existing consolidated

unit. The petition is defective if the local union is not

authorized by the parties to the certification to file the

petition to add the unit to the consolidated unit (see CHM

4.7 and 12.3). The parties to the nationwide consolidated

certification are notified of the petition (see CHM 14.2). 

b. Unit fragmentation issues: These situations occur when a

party other than the national labor organization holding the

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certification for a consolidated unit files the election

petition, but does not seek to add the unit to the national

consolidated unit. If the petitioner, such as a local union,

refuses to add the petitioned-for unit to the consolidated

unit for which the national union is the exclusive

representative, the region contacts the Office of the

General Counsel. This scenario does not raise standing to

file issues, but rather unit fragmentation issues as the unit,

standing alone, may not be appropriate. 

28.16.1.2 Petition filed to add professionals to a consolidated unit of

professionals and nonprofessionals: see CHM 28.15.1.1b.

28.16.2 Appendix to Election Agreement: The Election Agreement and the Notice

of Election reflects the effect of the vote in an add-on election. See Figure

28.16.

28.16.3 Certifications for inclusion in existing unit: When employees in a

representation election vote for inclusion in an existing unit, a Certification of

Inclusion in Existing Unit, FLRA Form 192, is issued. See CHM 56 for

guidance and samples.

28.17 Elections to consolidate existing units: If an election is sought by thirty

(30) percent of the affected employees (see CHM 23.10), an election is

conducted or supervised by the Regional Director.

28.17.1 Parties do not agree on election procedures: In a consolidation case, the

basis and procedures for obtaining an election agreement are identical with

those in other representation cases. When either party refuses to sign the

Election Agreement because of issues related to the appropriateness of

consolidating the existing units [§§ 2422.16(c) and 2422.30], the parties are

afforded an opportunity for a hearing and a Decision and Order is required

(CHM 28.11.2.1). If the parties refuse to sign the Election Agreement for

procedural or other issues unrelated to unit appropriateness, the procedures

discussed in CHM 28.11.1 and 28.11.2.2 are followed. 

28.17.2 Limitations on employee participation: Employees may not intervene in a

unit consolidation petition even though they have submitted a 30 percent

showing of interest and seek an election. No individual may seek to represent

the employees’ interest regarding election arrangements, participate in a

hearing, have observers at the election, challenge ballots, or file objections

to any election. (Policy carried over from Executive Order 11491.)

28.17.3 Election procedures: The consolidation procedure is the only procedure

under the Statute whereby an exclusive representative may be certified

without an election. However, certain situations require that consolidation

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elections be held. As noted earlier (CHM 23.11.1), the employees are given

the opportunity to show an interest in having an election on the issue of

consolidation. If thirty percent (30%) of the affected employees request an

election, the Regional Office secures an election agreement (FLRA Form 34,

Agreement for Unit Consolidation Election) and conducts the election, using

the procedures available for other representation elections, with the

exceptions noted below (See FLRA Form 36A and 36B, Notice of Election). 

There is no provision for runoff elections.

28.17.4 Requiring elections when consolidating professional employees into

mixed units: The status of professional employees presents some unique

problems when conducting consolidation elections. The Statute requires that

professionals be given a self-determination election when they are sought to

be included in a unit with nonprofessional employees. Therefore, professional

employees are given a self-determination election in consolidation

proceedings when:

a. the professionals are voting with nonprofessional employees on the

issue of the proposed consolidation;

b. the petition seeks to consolidate existing units of professional

employees with existing units of nonprofessional employees; 

c. some of the units included in the proposed consolidation include

professionals in mixed units, but not all of the units include

professionals. All of the professionals, including those in mixed

units, get the opportunity to vote in an election to determine their unit

(i.e., whetherthere will be a separate, professional consolidated unit

or one professional nonprofessional-professional consolidated unit). 

Such self-determination elections are required even if thirty percent

(30%) of the employees do not request an election. 

See also CHM 28.15.1.1 for a discussion on related issues.

28.17.5 Types of consolidation elections: Three types of elections are possible

under the consolidation procedure:

a. The employees in the proposed consolidated unit are all either

professionals or nonprofessionals. This election takes place when

requested by an employee showing of interest. The employees

choose whether they wish to be represented in a consolidated unit

or wish to remain in their existing units. The Sample Ballot in Figure

28.17A is utilized in this type of election. The tally of ballots for this

type of election is prepared on FLRA Form 39, Tally of Ballots, and

is modified for consolidation elections. If the employees vote for the

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consolidated unit, the Regional Director will issue, absent a timely

objection to the election or determinative challenged ballots, FLRA

Form 29, Certification on Consolidation of Units. If the employees

reject consolidation, the Regional Office issues FLRA Form 27,

Certification of Results of Election. In such cases, the employees

continue to be represented in their existing units. See CHM 56 for

guidance in preparing certifications.

b. The proposed consolidated unit includes both professional and

nonprofessional employees, but a general election of all the

employees is not sought by an employee showing of interest. In this

instance, only the professionals participate in an election. They

have one issue to decide, whether they desire to be represented in

a consolidated professional unit or a consolidated mixed unit. The

Sample Ballot in Figure 28.17B is utilized in this type of election. 

The tally of ballots for this procedure is prepared on the first section

of FLRA Form 41. If the professionals vote to be in a mixed

consolidated unit, the Regional Office will issue one certification

covering the mixed consolidated unit. If they vote for a separate

professional unit, two certifications, one for the professional

consolidated unit and one for the nonprofessional consolidated unit,

are issued by the Regional Director.

c. The proposed consolidated unit consists of both professional and

nonprofessional employees and the affected employees file a

sufficient showing of interest to warrant an election. The

professionals are given two questions on their ballot. The first

question is identical to that asked of all the employees in the

proposed unit; i.e., whether or not they wish to be represented in a

consolidated unit or remain in their existing units. The ballots of all

the employees, both professional and nonprofessional, are tallied

first with respect to this question. A modified FLRA Form 39 is used

for the tally. If a majority of all of the voting employees vote to be

represented in a consolidated unit, the ballots of the professional

employees are then tallied separately with respect to the second

question; i.e., whether they wish to be in a separate professional

consolidated unit or to be part of a mixed consolidated unit. In this

type of election, the ballot format for the nonprofessional will be

similar to the ballot in Figure 28.17A while the professional will use

the format shown in Figure 28.17C. The separate professional tally

is recorded on FLRA Form 41. If a majority of all the employees

vote against consolidation, a certification of the results of the

election is issued by the Regional Director, FLRA Form 27. If the

employees vote for consolidation and the professionals vote for a

mixed unit, one certification on consolidation is issued for the mixed

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unit. However, if the professionals choose to be represented in a

separate consolidated professional unit, separate Certifications on

Consolidation are issued by the Regional Director for both the

professional and nonprofessional units.

NOTE: Any election agreement obtained for a unit consolidation

election includes the same Appendices that describe the units, voting

groups and the effect of the vote as previously discussed in CHM 28.15.

CHM 28.18 THROUGH CHM 28.31 COVER ELECTION DETAILS 

DISCUSSED AT ELECTION AGREEMENT MEETINGS

28.18 Details of the election agreement form: Except where specifically noted,

this subsection applies to all election agreements (FLRA Forms 33 and 34). 

Election agreement meetings are held onsite or conducted telephonically. 

28.18.1 Names of parties: The correct and complete name(s) of the parties are

inserted in the Election Agreement.

a. Agency / Activity: The correct and complete name of the agency

and activity are included in the unit description in the order in which

the parties agree that will reflect the level of recognition (see CHM

28.14). The agency designation in the unit description are

reflected in the caption on the ballot. “Agency” as defined in 5

U.S.C. 7103(a)(3) means an Executive agency, the Library of

Congress, and the Government Printing Office. Exceptions are

reflected in 5 U.S.C 7103(a)(3). “Activity” as defined in § 2421.4 of

the regulations means any facility, organizational entity, or

geographical subdivision or combination thereof, of any agency. 

b. Labor organization(s): The correct and complete names of any labor

organizations are inserted in the paragraph headed “Wording on the

Ballot” in Item #8 on FLRA Form 33. If a shortened name is

requested, it is shown in addition to the full name and is placed in

parentheses. The wording on the ballot will reflect the wording

on the Certification of Representative, if one issues. Where

there is only one labor organization on the ballot, and the question

asks for a “yes” or “no” response, the name of the labor organization

is placed next to the heading “first.”

 

In unit consolidation elections, the correct and complete name of the agency

and/or activity and the labor organization(s) are inserted in the paragraph

discussing the effect of the vote. This wording is used on the ballot and will

reflect the wording on the Certification of Representative, if one issues.

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28.18.2 Positions on the ballot: 

a. Where two (2) or more labor organizations are on the same ballot,

the position of their names on the ballot is generally determined by

agreement of the labor organizations involved. The petitioning labor

organization does not enjoy any special privilege or preference in

determining position on the ballot. If the labor organizations are

unable to reach agreement, they may resort to a toss of the coin,

drawing of lots; or the Regional Director decides the matter.

b. The wording of the negative choice on the ballot depends upon the

number of labor organizations appearing on the ballot:

(i) single labor organization -- “Yes” and “No” choices; 

(ii) two labor organizations -- The name of each and a

“Neither” choice; or

(iii) three or more labor organizations -- the name of each and

a “No Union” choice.

c. The specific negative designation, “Neither” or “No Union” is used

where two or more labor organizations are involved. There is no

fixed position for either of these negative choices on the ballot, and

therefore, it is determined as part of the sequence of all choices

reading from left to right on the ballot.

28.18.3 Eligibility period for participating in the election and preparation of

voting list: Section 2421.19 defines “eligibility period” as the payroll period

during which an employee must be in an employment status with an agency

or activity to be eligible to vote in a representation election. 

28.18.3.1 Eligibility: Eligibility to vote is based upon: 1) employment in the

unit as of a specified payroll period and 2) the employment status of

the employee on the date the ballots are counted. To be eligible to

vote in an election, an employee must be eligible to vote both on the

cutoff date for eligibility established in the Election Agreement and

on the date the election is held. U.S. Army Corps of Engineers,

Headquarters, South Pacific Division, San Francisco, California, 39

FLRA 1445 (1991). 

a. In an election agreement, eligible employees are those

employees who were employed during the payroll period

that ends immediately preceding the execution of the

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agreement.

b. In a directed election, the eligibility period is fixed by the

Decision and Order and Direction of Election, or in certain

circumstances and absent the parties’ agreement, the

Direction of Election. The eligibility period for

participating in an election in the Regional Director’s

Decision and Order and Direction of Election is the

payroll period immediately preceding the date of the

decision. If the Authority directs an election, the eligibility

period is the payroll period immediately preceding the date

of the Authority’s Decision or the date set by the Authority

in its decision. See Department of Defense Dependent

Schools, 6 FLRA 297 (1981). 

In no event is the payroll period one that is after the parties have

signed the agreement. If questions arise concerning setting an

eligibility date which follows the date that the Election

Agreement is approved, e.g., due to an expansion or

contraction of the unit, the region contacts the Office of the

General Counsel.

28.18.3.2 Employment during the designated payroll period: Employees

in the unit who are employed during the designated payroll period

include: 1) those who did not work during that period because of

illness, vacation or furlough; 2) employees on military leave if they

appear at the polls; and 3) any employee who has been removed

and is appealing such adverse action may vote under challenge.

Ineligible to vote are employees who have quit or been discharged

after the designated payroll period and who are not rehired before

the date of the election. 

28.18.3.3 Posting of eligibility list: The list of employees who are eligible to

vote may not be posted with the Notice of Election or in any other

manner. The inadvertent omission of a name may discourage an

employee from appearing at the voting place where the opportunity

to vote by challenged ballot is available. The agent reminds the

parties not to distribute copies of the eligibility list.

28.18.3.4 Reviewing the eligibility list at the election agreement meeting:

The parties review the most current list prepared by the activity

during the election agreement meeting. 

Role of Agent:

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a. Make sure parties understand consequences of their

agreements. 

b. Take efforts to reduce any future inclusion/exclusion

questions. 

c. Take an active role setting out case law and help parties

apply that law, including suggesting inclusions/exclusions. 

d. Raise with the parties whether a particular position is

eligible or ineligible for the unit (regardless of the parties’

agreement) when: 

(i) the agent’s review of the list reveals that the title of the

position or the grade level raises a question of the status,

or 

(ii) the agent has independent knowledge that brings into

question the status. 

If the agent’s questions (based on face of the list or independent

knowledge) are not resolved to the satisfaction of the agent, the

agent reports to the RD who can decide to approve the parties’

agreed upon list or hold a hearing.

The list:

Usually this is the same list, or an updated list, that the activity

furnished to the region to check the showing of interest (CHM

28.9.2). It is preferable to use an updated eligibility list as of the

date of the proposed cutoff period for eligibility. The parties and the

agent review the list for inaccuracies and raise any eligibility issues

during the meeting. If the parties are unable to resolve the eligibility

issues, follow the guidelines described in CHM 28.11 and 28.12. If

the election agreement meeting is held onsite and the parties agree

to the list, the parties initial the list signifying that it is the official

eligibility list. The agent takes custody of the list and it is the official

list used during the election. An exception is when there are multiple

polls and separate voting lists of voters assigned to each polling site

are prepared (CHM 28.21.1).

If an updated list is not available at the election agreement meeting,

the activity provides an updated list to all parties immediately

following the election agreement meeting or teleconference, but in

no event later than the pre-election conference. Prior to the election,

the agent has the parties check and approve the list promptly. 

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28.18.3.5 Impact of the parties agreement on the eligibility list on future

eligibility issues: If parties agree on inclusions and exclusions,

and the Regional Director approves an election agreement, those

inclusions and exclusions are binding unless:

a. If ineligible - stay ineligible unless: 

(i) changed circumstances, see Federal Trade

Commission (FTC I), 15 FLRA 247 (1984) (the

parties can show that the duties and functions of

established positions or job classifications

covered in such agreements have undergone

meaningful changes after the unit was certified),

or 

(ii) positions were eligible in the first instance and

constitute a residual unit. See Federal Trade

Commission (FTC II), 35 FLRA 576 (1990).

b. If eligible - stay eligible unless:

(i) changed circumstances, or 

(ii) position was ineligible in the first instance under

7112(b)(1)thru (7) statutory exclusions. See U.S.

Department of the Army, U.S. Army Law

Enforcement Command Pacific, Fort Shafter,

Hawaii, 53 FLRA 1602 (1998) (the parties

improperly agreed to include positions that were

not in conformance with the Statute and were

subject to statutory exclusions).

If parties agreed under 15% rule to disagree and allow the vote, and

if not resolved as a challenge before tally or resolved as a

determinative challenge after tally - either party can file a petition to

clarify a particular position covered by the 15% agreement.

28.18.3.6 Contents of eligibility list: A typical voting list is divided into two

parts: one part lists the names of all employees who are eligible to

vote; the second part lists all employees who are not eligible to vote. 

In addition to the employee’s name, other identifying information

includes the employee’s position, title and grade, and the activity

code or shop number where the employee works. This information

assists the observers in identifying anyone not known to them. 

Identifying information is particularly important if two voters have the

same name. 

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If there are professional employees voting with nonprofessional

employees, the list is annotated to reflect the professional

employees. 

28.18.3.7 Updating the list before the election: The agent reminds the

activity in the letter transmitting the approved Election Agreement

that the activity is required to update the eligibility list prior to the

manual election or before the mail-out of the ballots. This can be

done several ways. Guidance is found at CHM 35.2 - 35.6.

28.19 Considerations in deciding the type of election: The Authority’s 1981

policy states that manual elections should, “to the extent possible,” be held in

multi-union elections unless the parties agree to a mail ballot election

approved by the Regional Director. Manual ballot elections are encouraged

in all elections, regardless of the number of labor organizations on the ballot

(see CHM 28.8). The 1996 revisions to the Representation regulations give

Regional Directors the discretion in § 2422.16(b) to decide the method of

elections. Regional Directors consider the following in deciding whether to

conduct a mail or manual ballot election:

a. location and size of the voting unit; a mail ballot election is used if

most of the employees in the unit are widely dispersed or whose

work stations are in isolated or remote locations; 

b. significance of the election to the community;

c. availability of regional resources; and

d. other factors, such as temporary addresses, summer vacations, etc.

See also Army and Air Force Exchange Service, Dallas, Texas, 55 FLRA

1239 (1999).

28.20 Manual ballot procedures:

28.20.1 Date of manual ballot election: The date selected is one that balances the

desires of the parties, operational considerations, facilitating employee

participation, and a prompt the election. Avoid dates near holidays or heavy

vacation schedules.

An election is held as soon as possible, but the region ensures there is ample

time to prepare the materials, obtain an updated eligibility list and have the

notice of election posted. The notice of election is posted at least three

working days prior to the date of the election (see CHM 33). 

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28.20.2 Date of election following Decision and Order and Direction of Election:

After issuing a Decision and Order and Direction of Election, absent a stay,

the agent, on behalf of the Regional Director, meets with the parties, and

schedules and conducts the election following procedures outlined below. 

Regions are not authorized to impound ballots. See § 2422.31(f) that

states “neither filing nor granting an application for review shall stay any

action ordered by the Regional Director unless specifically ordered by the

Authority.” See also CHM 28.29 for processing elections during the period for

filing an application for review of the Regional Director’s decision and potential

Authority action. 

NOTE: If possible, the region will provide for a potential runoff election

in the original Election Agreement. Such provisions include the date,

time and place of the election. See CHM 48.1.6.

 

28.20.3 Selection of hours: The hours of the election depend on the circumstances

of each case. The agent and the parties are responsible for scheduling every

polling session to guarantee the time of day and length of time is adequate for

all voters to cast their votes on official time. It is essential that all eligible

employees be afforded sufficient opportunity to vote. The polling hours are

based on the total number of employees eligible to vote and the nature of the

operations of the activity involved. Thus, where the operations are such as to

require that a certain number of employees be on the job at any given time or

that certain tasks be completed before an employee can leave to vote, the

duration of the voting period is adjusted accordingly. As a general rule, about

two hundred (200) employees can vote per hour per polling place, assuming

a continuous flow using one checking table and four booths.

28.20.3.1 Multiple voting periods: Where the activity operates one or more

shifts, the number of voting periods are established as follows:

a. 1-shift operation -- one voting period, usually at the

beginning of the shift;

b. 2-shift operation -- one voting period overlapping the end

of the first shift and the beginning of the second shift; or

c. 3-shift operation -- one voting period overlapping the third

and first shifts and a second voting period overlapping the

first and second shifts.

Any other combination of voting periods may be agreed upon if

deemed desirable or necessary by the parties.

28.20.3.2 Scheduling election when polling hours cannot be set: In very

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rare circumstances, it may not be possible to set the polling hours

in the Election Agreement. An example includes employees who

work on floating barges dredging rivers and the Activity cannot

predict when the barge will dock. These circumstances are detailed

carefully in the Election Agreement so that the Agreement clearly

reflects the circumstances as well as the parties’ agreement and

arrangement to vote the eligible employees.

28.21 Selection of place to hold election: The agent and the parties select a

polling place that is: a) within easy access to the employees (see CHM

28.9.3); b) is spatially and visually separated from the scene of any other

activity during the voting period; and c) has adequate space for all equipment

and all personnel. Aconvenient location facilitates greater participation in the

election. An office, conference room, shipping room etc., are examples of

appropriate places. Often, a polling site has two doors, one to use for an

entrance and one to use as an exit. This arrangement minimizes potential

objectionable conduct by voters (see also CHM 38.5). If possible, elections

are not scheduled outdoors. 

The location of the polling place is also based on such factors as freedom

from noises and interference due to nearby operating machinery, heavy traffic

of people or equipment, etc. and enough space to accommodate a steady

flow of voters.

28.21.1 Multiple polling places: In large installations, involving several thousand

employees and/or where the employees are widely dispersed, multiple polling

places are required. It is important, however, that a separate voting list be

prepared, alphabetically, for each polling place in order to preclude the

possibility of multiple voting. If the activity is unable to divide the eligibility list

or limit the accessibility of the polling sites to the voters, the agent includes

arrangements in theElectionAgreement for ensuring that multiple voting does

not occur. One alternative is to provide the voters with voting cards prior to

the election. The Agreement will reflect that the activity will ensure the cards

are distributed and that to vote unchallenged, the voter hands in the card and

show his/her identification. 

The Notice of Election reflects the locations of all of the polling places and the

parties' agreement as to the procedures for voting the employees. The Notice

of Election also states that any employee who is unable to vote at the

designated polling place or fails to receive special identification, etc., may vote

at any other location by challenge.

28.22 Policy on voter identification: Procedures for identifying voters are

included in the Election Agreement and the Notice of Election describes

the voter identification procedures. As part of the Election Agreement

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Conference, the Agent raises the issue of voter identification with the parties. 

The Regional Director has the discretion initially to determine whether

identification is necessary under the circumstances, considering such factors

as the size of the election, the number of voting locations, whether roving

polls are used, the parties’ interests, etc.

a. If the Regional Director and the parties agree that voters are not

required to show identification, the agreement reflects that

identification is not required in order to vote. This does not preclude

an observer from challenging a voter s/he believes is not eligible to

vote. The voting list includes identifying information such as the

employee’s position title and grade, the activity code or shop number

where the employee works (CHM 28.18.3.5). This information will

assist the observers in identifying anyone who they do not know. 

This is particularly important if there are two voters with the same

name.

b. If the parties agree that employees show identification in order to

vote, the agreement defines the acceptable identification. The

agreement also reflects that if a voter does not bring identification

to the polling site, the observers may require the voter to get the

identification. Additionally, the agreement may state that the voter

may be allowed to vote as long as one of the observer's knows the

voter by name and the other observers do not challenge the voter’s

eligibility. 

c. If the parties agree that some form of identification is required in a

multiple polling site election, the Election Agreement includes

identification procedures that describe the types of identification that

are acceptable to the observers. 

Procedures for identifying voters are included on the Notice of

Election.

d. When the parties can not agree on procedures for identifying voters,

voter identification will be required. The issue is treated as a

procedural matter pursuant to § 2422.16(b) and the Regional

Director issues a Direction of Election (CHM 28.11 and 28.12). For

voting procedures, see CHM 40.5. 

28.23 Mail ballot elections: Where the parties agree upon an all mail ballot

election, the details are set forth in an Appendix to the Election Agreement.

Item #10 of FLRA Form 33 and Item #8 of FLRA Form 34 state, “See

Appendix attached to and made a part of this ... .” The Appendix: 

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a. provides: 

(i) the date of mailing of the ballots and accompanying

material to the employees; 

(ii) the date by which the ballots must be received in order to

be counted; 

(iii) the date and place of the count of the mail ballots; and

(iv) procedures when an eligible employee fails to receive a

ballot. 

Generally, a period of about three to four weeks is allowed for the

forwarding and return of the mail ballots.

b. includes the return mail address for the mail ballots. The address is

usually the region’s office address or a post office box that the

region rents for mail ballot elections; 

c. describes the activity's responsibility to prepare mailing labels for

eligible voters at their home addresses and provide them to the

Regional Office by a date certain; and

d. includes any other details which are pertinent to the circumstances

of the particular mail ballot election. 

See Figure 28.23 for a sample Mail Ballot Appendix.

28.23.1 Eligibility list: The eligibility list for use in a mail ballot election is usually

prepared alphabetically, unless there are other unique organizational

concerns that warrant organizing the list another way. It contains the same

information as discussed in CHM 28.18.3. Where a dispute arises regarding

the eligibility of any employee(s) (the participating labor organization(s)

contending that the employee(s) are eligible and the activity asserting a

contrary position) the activity includes the disputed name(s) on the list in

accordance with the parties agreement (see CHM 28.11.3.2). The list is due

in the Regional Office by a date established in the Election Agreement. The

Election Agreement also sets forth the activity’s duty to furnish the region by

a date certain, the names and home addresses of all eligible employees on

mailing labels. If an activity refuses to provide the employees’ mailing

addresses, contact the Office of the General Counsel immediately. 

Provide the name and telephone number of the activity representative

who made the decision.

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NOTE: The region may not give a copy of the employees’ home

addresses to the union under any circumstances. Questions are

referred to the Office of the General Counsel. 

28.23.2 Eligibility statement and signature: An eligibility statement and space for

the voter's signature appear on the outer envelope in which the mail ballot is

returned. This envelope includes the following statement of voting eligibility

on the left side of the return envelope:

“I believe I am an eligible voter in this election. I personally voted the within

ballot.”

__________________________________________________________

(Signature of Voter)

__________________________________________________________

(Print name)

The mail ballot is void if the signature of the voter does not appear on the

return envelope when received. This requirement is included in the Appendix

to the Election Agreement. See Figure 28.23.

28.23.3 Use of key numbers: In mail ballot elections involving a substantial number

of employees, the use of key numbers as a means of facilitating identification

of the voters is encouraged. This procedure involves:

a. Each name on the eligibility list is numbered in sequence, this

number being placed immediately adjacent to the name on the list;

b. The number assigned to each employee is entered immediately

above the typed statement of voting eligibility on the return envelope

being forwarded to that employee; and

c. When checking the returned mail ballots against the eligibility list,

the signature and number appearing on the outer envelope is

compared with the name and number on the list.

28.23.4 Material accompanying the mailballot:The following items accompany the

mail ballot when forwarded to the voter*s residence:

a. Notice of Election and Instructions To Eligible Employees Voting By

United States Mail, FLRA Document 1013;

b. Copy of the Notice of Mail Ballot Election, FLRA Forms 125B , 210B

(3 blank panels) or 36B (consolidation election only) or Notice of

Election [FLRA Form 125A, 210A(3 blank panels) or 36A in mixed

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mail/manual elections] or a facsimile thereof;

c. Envelope marked “Secret Ballot” (FLRA Form 1280); and

d. Self-addressed business reply envelope that is signed by the voter

and used to return the ballot in the secret ballot envelope (FLRA

Form number by region).

The envelope used to mail the election materials to eligible voters is clearly

marked with instructions to open upon receipt.

28.23.5 Alerting regional staff: To ensure proper handling and safeguarding of the

returned mail ballots, the agent alerts the regional staff about the election

when mail ballots are sent out, placing particular emphasis on the fact that

such mail is not opened.

28.24 Mixed manual and mail ballot election: An election may be conducted

under the terms of an election agreement in which a major portion of the

employees vote manually; i.e., in person, and the remainder by mail ballot.

The mail ballot procedure in such instances is limited to those eligible

employees who will not be able to vote manually because they are absent on

official business on the day of the election, or are located in remote sites

(CHM 28.19 and 43.7). Mail ballots are not sent to any eligible employee for

any other reason such as illness, vacation or furlough that may preclude the

employee from being able to vote on the day of the election.

In the event that the parties agree to use mail ballots in conjunction with a

manually conducted election, the mail ballot procedure is set forth in an

Appendix to the agreement, as discussed in CHM 28.23. The last day for

receipt of the mail ballots is generally the day before or the day of the manual

election so both groups of ballots can be counted at the same time. Under no

circumstances are the mail ballots counted separately from the manually cast

ballots. Exceptions are cleared with the Office of the General Counsel. 

In all instances, the mail ballot is identical in all respects with the ballot used

in the manual portion of the mixed election (assuming both groups of

employees are included in the same voting unit - see CHM 34 for ballot

preparation).

NOTE: The Notice of Election used for a mixed mail/manual ballot

election is FLRA Form 125A or FLRA Form 210A (3 blank panels). The

ballots used are the same.

28.25 Absentee ballots:Absentee ballots are used when the parties anticipate that

employees will be away from the activity on official business on the day of the

manual ballot election (TDY), but are unable to predict the date of their

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departure or return. As a result, a mail ballot procedure is impractical. 

Employees who are absent for any other reason including illness, vacation,

furlough (see CHM 28.18.3.2), are not eligible for the absentee ballot

procedure.

The absentee ballot procedure is handled by representatives of the parties

designated at the time of the Election Agreement, whose names are included

in the Agreement as points of contact. An Appendix to Item #10 is prepared

similar to an Appendix describing the Mail Ballot Procedure. The Appendix

includes a description of the employees who are eligible to receive an

absentee ballot, procedures for obtaining an absentee ballot, and instructions

to the activity and labor organization(s) for conducting an absentee ballot. 

See Figure 28.25 for a sample Appendix that outlines the procedures for

handling absentee ballots. Absentee ballots are considered challenged

ballots to ensure that employees who receive absentee ballots do not also

vote in the manual ballot election (CHM 47.7.3). 

During the election agreement meeting the agent:

a. explains the purpose of the Absentee Ballot procedure to the parties;

b. obtains information on the number of employees who could be

eligible for the procedure; and

c. offers the procedure to the parties for voting eligible employees. 

The use of absentee balloting is required when there are a significant

number of employees on “TDY” who will be disenfranchised from the

election. The procedure is discretionary only if the region agrees that the

number of employees who may be on “TDY” is so insignificant that the

absentee ballot procedure is impractical. If the parties decline the Absentee

Ballot procedure in these circumstances, the Election Agreement reflects that

the parties do not wish to use the procedure and waive their right to file

objections on this matter. 

Unusual elections may provide for a manual, mail and absentee ballot

procedure. As in Mail Ballot Procedures, information about Absentee

Balloting is included in the Notice of Election. 

28.26 Custody of ballots between voting sessions: The FLRA agent assigned

to conduct the election always maintains control of the ballots, the eligibility

list and the ballot box between voting sessions. This information is recorded

in Item #12 of FLRA Form 33 and Item #10 of FLRA Form # 34.

28.27 Tally of ballots: In manual ballot elections, the count of the ballots usually

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occurs immediately after the polls are closed; or in a mail ballot election, the

day after the ballots are due to be returned or on the day the ballots are due. 

Absentee ballots are counted with other ballots. (See also CHM 28.24). The

Election Agreement includes the time and place of the count of the ballots in

Item # 13 (FLRA Form 33) and Item # 11 (FLRA Form 34). CHM 47 discusses

procedures for tallying ballots and CHM 47.16 discusses completing the

Certification of Tally.

28.28 Service of the tally: Section 2422.25(b) requires the tally to be served in

accordance with the Election Agreement or Direction of Election. Since

objections must be received within five (5) days after the tally has been

served [§ 2422.26(a)], the regions are responsible for serving the tally

consistent with the Election Agreement or Direction of Election. Item #15

(FLRA Form 33) and Item #13 (FLRA Form 34) require the parties to state

how the tally will be served. The region honors each parties’ request for

service of the tally.

28.29 Processing elections during appeal period or while appeal is pending:

After issuing a Decision and Order and Direction of Election, absent a stay,

the agent on behalf of the Regional Director, meets with the parties, and

schedules and conducts the election following procedures outlined below. 

28.29.1 Authority action after an application for review is filed: When an

application for review is filed, the party seeking review may request the

Authority to stay the election until such time as it rules on the application. The

Authority may deny a stay, grant the stay (but has not yet done so), or grant

the Regional Director discretion to stay the election on his/her own initiative. 

In cases where discretion is granted, the Authority has ordered the region, in

the event an election is conducted, to impound the ballots. See CHM 55.2 for

standards that the Authority has adopted for deciding whether to stay an

election. Department of the Army, U.S. Army Aviation Missile Command

(AMCOM I), Redstone Arsenal, Alabama, 55 FLRA 640 at 644 (1999). See

CHM 55.2.1 for procedures for impounding ballots. 

If the Authority grants the Regional Director discretion to conduct the election,

contact the OGC. CHM 58.3.12.

28.29.2 If the Authority denies a request for a stay:

a) conducts the election, 

b) counts the ballots, 

c) issues and serves the tally of ballots, 

d) investigates any determinative challenged ballots or timely

objections to preserve the evidence, 

e) contacts the Office of the General Counsel prior to issuing the

Decision and Order,

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f) if appropriate, issues and serves the tally of ballots; but 

g) delays issuing the certification until such time as the Authority rules

on any pending application for review. 

See also CHM 55.1.2 and 55.1.3 - policy considerations.

28.29.3 Regional Directors are not authorized to impound ballots on their own

initiative:Section 2422.31(f) states “neither filing nor granting an application

for review shall stay any action ordered by the Regional Director unless

specifically ordered by the Authority.” If no stay is requested, the region: 

a) conducts the election, 

b) counts the ballots, 

c) issues and serves the tally of ballots, 

d) investigates any determinative challenged ballots or timely

objections to preserve the evidence; and 

e) contacts the Office of the General Counsel prior to issuing the

Decision and Order if one is required. 

If there are no determinative challenged ballots or objections, the case is held

in abeyance. Regional Directors may not issue the certification while an

appeal is pending since issuing a certification constitutes a final action by the

Authority.

28.30 Waiver of right to file an application for review: The region informs the

parties during the election agreement meeting that, as part of the Election

Agreement, they may waive their right to file an application for review with the

Authority of the Regional Director*s Decision and Order that may issue on

objections and/or determinative challenged ballots.

28.31 Side agreements: Parties may enter into a separate side agreement setting

out the ground rules regarding various aspects of pre-election activities, such

as campaigning, distribution of election materials, etc. Under no

circumstances shall such agreement be made a part of the Election

Agreement or Direction of Election by incorporation by reference,

attachment, or otherwise. The Authority does not police such agreements. 

The regions, however, investigate any conduct constituting an objection that

allegedly improperly affected the conduct or the results of the election,

regardless of whether it is included in the party’s side agreement. Veterans

Administration Hospital, Jamaica Plain, Massachusetts, Case No. 31-3178,

1 Rulings on Requests for Review 85 (1970), Report on Ruling Number 20,

1 A/SLMR 615 (1970). Also discussed in CHM 46.1.2.

28.32 Election Agreement obtained immediately preceding or during a

hearing: Election Agreements may be obtained anytime after the notice of

hearing issues and during the hearing. Follow the guidance described in this

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section for negotiating the details of the agreement. For procedural guidance

on processing election agreements obtained immediately prior to or during a

hearing, see HOG 31. Approval of the Election Agreement constitutes

withdrawal of the Notice of Hearing (CHM 29.10). 

28.33 Election agreements obtained after the close of a hearing: When an

election agreement is reached after a hearing is closed, the Regional Director

will review the Election Agreement to ensure that any unit claimed to be

appropriate meets the appropriate unit criteria as set forth in 5 U.S.C.

7112(a)(1). Approval of the Election Agreement constitutes withdrawal of the

Notice of Hearing (CHM 31.7).

28.34 Interventions, cross-petitions and challenges filed at the election

agreement meeting or prior to the Regional Director’s approval of the

Agreement or Direction of Election: These are threshold issues that are

considered by the Regional Director before s/he can approve the Election

Agreement or issue a Direction of Election.

28.34.1 Interventions or cross-petitions: An intervention request or cross-petition

filed at the election agreement meeting or prior to the Regional Director’s

approval of the Election Agreement or Direction of Election is a threshold

issue that is resolved before the Regional Director can approve the Election

Agreement or issue the Direction of Election. If the requests are made during

the election agreement meeting, and if the intervention request or crosspetition cannot be decided quickly, the meeting is adjourned. 

The procedures outlined in CHM 17 are followed in processing intervention

requests or cross-petitions. If the intervention is granted or the cross-petition

is consolidated with the petition pending action, the election agreement

meeting is reconvened with the intervenor or cross-petitioner as a party to the

proceeding.

There are three possible scenarios when interventions or cross-petitions are

filed at the election agreement meeting:

a. The agent checks the sufficiency of the intervention request or

cross-petition and contacts the Regional Director for approval to

approve the intervention or cross-petition. In this situation, the

intervenor or cross-petitioner is permitted to participate in the

election agreement meeting as a party.

b. The agent checks the sufficiency of the intervention request or

cross-petition and determines that the intervention or cross-petition

is not supported by adequate evidence. The agent contacts the

Regional Director to discuss the evidence. The Regional Director

directs the agent to refer the intervention request or cross-petition to

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him/her for processing and disposition. In this scenario, neither the

party requesting intervention nor the cross-petitioner mayparticipate

in the election agreement conference. 

c. The agent checks the sufficiency of the intervention request or

cross-petition and cannot make a recommendation to the Regional

Director because the request or petition may raise issues that

cannot be resolved immediately. The Regional Director will instruct

the agent to postpone the election agreement meeting until s/he

decides the merits of the request to intervene or cross-petition. If

the Regional Director decides to grant intervenor or cross-petitioner

status, the election agreement meeting is reconvened. If the

Regional Directordecides to deny the intervenor or cross-petitioner

status, s/he may issue a Decision and Order denying the

intervention or dismissing the cross-petition at the same time s/he

approves the Election Agreement orissues the Direction of Election. 

28.34.2 Validitychallenges: Challenges to the validity of the showing of interestraise

a threshold issue that is resolved before the Regional Director approves an

election agreement or issues a Direction of Election. If the challenge is made

during the election agreement meeting, the meeting is adjourned so that the

challenge can be investigated and decided. All evidence is submitted at the

time the challenge is filed. A determination that the challenge does not raise

a valid issue is handled administrativelyand will not delay further proceedings. 

A decision that a valid challenge has been raised to the petitioner’s showing

of interest may result in the dismissal of the petition (see CHM 18.19.16). In

such cases, absent withdrawal, the Regional Director issues a Decision and

Order dismissing the petition. A Decision and Order finding that the 

challenge to the intervenor’s showing of interest is valid will not stay

processing the case unless specifically ordered by the Authority. 

28.34.3 Status challenges: A status challenge raises a threshold issue that the

Regional Director investigates before approving an election agreement or

issuing a Direction of Election. If a challenge to the status of a labor

organization is filed pursuant to section 7103(a)(4) or pursuant to section

7111(f)(1) of the Statute alleging that the labor organization is subject to

corrupt influences or influences opposed to democratic principles, the region 

investigates the challenge prior to executing the election agreement. See

CHM 19 for investigating challenges filed pursuant section 7103(a)(4). See

CHM 20.1.8 and CHM 23.9.3 for investigating challenges based on

7111(f)(1). Note that a status challenge filed pursuant to section 7111(f)(1)

may block the case if the challenging party shows that a complaint has been

filed properly with a third party. See CHM 23.9.3.3.

Any status challenge made prior to or during the election agreement meeting 

is treated as an “other than procedural matter” pursuant to § 2422.16(c). 

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Pursuant to § 2422.16(c) the Regional Director is required to provide the

parties an opportunity for a hearing on other than procedural matters (CHM

28.11.2.2). If there are no questions regarding unit appropriateness, the

Regional Director may issue a Direction of Election without a Decision and

Order (CHM 19.6). 

By issuing the Direction of Election, the Regional Director decides that the

status issue does not interfere with conducting the election. The Direction of

Election is issued without prejudice to a party’s right to file a challenge to the

eligibility of any person participating in the election and/or objections to the

election. If objections concerning the status of the labor organization are filed

after the election, the Regional Director has a record that forms the basis of

the objection’s investigation (CHM 50).

Neither a Decision and Order: a) denying a status challenge in the case of a

petitioning or intervening labor organization; or b) granting the challenge in the

case of the intervening labor organization; nor the filing or granting of an

application for review will stay processing the petition unless specifically

ordered by the Authority. The regions contact the Office of the General

Counsel whenever questions arise concerning deferring a petition pending an

appeal of a decision based on a challenge to the status of a labor

organization. See also CHM 55. 

28.35 Forwarding the Election Agreement to the Regional Director for

approval: The agent prepares a recommendation to the Regional Director

and submits it with the parties’ Election Agreement for approval. These

recommendations may be in the form of checklists or a report, as directed by

the Regional Director. The “recommendation” describes the matters about

which the parties agree and/or dispute. The agent references the agreement,

if any, concerning the appropriateness of the unit and any agreement

concerning the eligibility of particular classifications of employees. If the

parties disagree with the appropriateness of the unit, the agent makes a

recommendation as described in CHM 26.2 and 26.3. If the parties disagree

as to other matters, the report provides the basis for the disagreement and

analyzes the issues and appropriate requirements in § 2422.16.

28.35.1 Action byRegional Director: If the Regional Director approves the Election

Agreement, the parties are notified in writing and a copy of the Election

Agreement is attached. If the Regional Director does not approve the

Election Agreement, s/he issues a notice of hearing (CHM 28.11.2 and 27) or

takes other appropriate action. Figure 28.35 is a sample letter in which the

Regional Director disapproves an election agreement. 

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28.35.2 Action upon approval of Agreement and/or Issuance of Direction of

Election: A copy of the Election Agreement is forwarded to the parties with

a cover letter confirming the details of the election. The letter is signed by the

agent assigned to conduct the election and includes a summary of matters

discussed at the conference and the following information (see also CHM 32

through 37):

a. how the election will be conducted: 

(i) if the region conducts the election, the letter states the

information for which the region and the parties are

responsible; 

(ii) if the region supervises the election, the letter provides

specific details concerning the responsibilities of the

parties;

b. notice of election: requirements to reproduce and post, period for

posting;

c. rules for obtaining observers [cite § 2422.23(h)];

d. requirement to update eligibility list, how to do it and a reminder not

to post the eligibility list;

e. pre-election conference: time, date and place; what will be

discussed and attendance requirements; 

f. any other specific arrangements that were not provided in the

election agreement (such as arrangements for the count,

transportation to multiple site polls); and

g. reminder about campaign rules.

28.35.3 Regional Director may revoke approval of Election Agreement: The

Regional Director retains authority to revoke his/her approval, for cause, at

any time before the election. Examples that may provide a basis for revoking

approval include: 1) a reorganization occurs that appears to affect the unit or

the eligibility list; 2) the activity fails to follow though with certain election

procedures that may cause serious disruption or affect the conduct of the

election. See U.S.ArmyElectronics Command, Procurement and Production

Directorate, Fort Monmouth, Red Bank, New Jersey, 1 Rulings on Requests

for Review 166 (1971), Report on Ruling Number 42, 1 A/SLMR 627 (1971). 

28.36 Pre-election rulings: The Regional Director rules on all requests or motions

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of the parties made subsequent to approval of the Election Agreement. 

His/her rulings with respect to the Election Agreement are final, subject to the

right of the parties to file appropriate objections to the election.

28.37 Withdrawal from election agreements: 

28.37.1 Effect on timeliness of refiling:

28.37.1.1 Withdrawal by petitioner: A petitioner who submits a withdrawal

request for a petition seeking an election that is received by the

Regional Director after the notice of hearing issues or after approval

of an election agreement, whichever occurs first, will be barred from

filing another petition seeking an election for the same unit or any

subdivision of the unit for six (6) months from the date of the

approval of the withdrawal by the Regional Director.[§ 2422.14(b)].

CHM 11.9.2

28.37.1.2 Withdrawal by incumbent: When an election is not held because

the incumbent disclaims any representation interest in a unit, a

petition by the incumbent seeking an election involving the same unit

or a subdivision of the same unit will not be considered timely if filed

within six (6) months of cancellation of the election.[§ 2422.14(c)]. 

CHM 11.9.3

28.37.2 Effect on processing:

28.37.2.1 Intervenor withdrawal from ballot: When two or more labor

organizations are included as choices in an election, an intervening

labor organization may, prior to the approval of an election

agreement or before the direction of an election, file a written

request with the Regional Director to remove its name from the

ballot. If the request is not received prior to the approval of an

election agreement or before the direction of an election, unless the

parties and the Regional Director agree otherwise, the intervening

labor organization will remain on the ballot. The Regional Director's

decision on the request is final and not subject to the filing of an

application for review with the Authority. [§ 2422.23(e)]

28.37.2.2 Incumbent withdrawal from ballot in an election to decertify an

incumbent representative: When there is no intervening labor

organization, an election to decertify an incumbent exclusive

representative will not be held if the incumbent provides the

Regional Director with a written disclaimer of any representation

interest in the unit. 

When there is an intervenor, an election will be held if the

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intervening labor organization proffers a thirty percent (30%)

showing of interest within the time period established by the

Regional Director. [§ 2422.23(f)]

28.37.2.3 Petitioner withdraws from ballot in an election: When there is no

intervening labor organization, an election will not be held if the

petitioner provides the Regional Director with a written request to

withdraw the petition. 

When there is an intervenor, an election will be held if the

intervening labor organization proffers a thirty percent (30%)

showing of interest within the time period established by the

Regional Director. [§ 2422.23(g)]

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Notice of REP Hearing and Hearing Logistics

HEARINGS

CHM 29 through 31

29 NOTICE OF REPRESENTATION HEARING: As required in § 2422.30(b)

and discussed in CHM 27.5, the Regional Director will issue a notice of

representation hearing (notice of hearing) to inquire into any matter about

which a material issue of fact exists, or any time there is reasonable cause to

believe a question exists regarding unit appropriateness. 

29.1 Purpose of notice of representation hearing: The Regional Director may

issue a Notice of Representation Hearing involving any issues raised in the

petition [§ 2422.17(a)].

29.2 Contents: The regulations provide that the notice of hearing will advise

affected parties about the hearing. The Regional Director will also notify

affected parties of the issues raised in the petition and establish a date for the

prehearing conference [§ 2422.17(b)].

29.2.1 FLRA Form 46: FLRA Form 46 is the Notice of Representation Hearing and

is used when the Regional Director is prepared to issue all accompanying

material described in CHM 29.2.2 and 29.3 with the notice. This form, or

when necessary, a modified version of it includes: 

a. the name of the agency or activity, petitioner and any intervenor. 

b. the date, location and time of the hearing. There is no minimum

notice requirement for setting a date for the hearing, but a date is set

when the notice issues. The agent obtains the positions of the

parties regarding the date and location of the hearing and

prehearing conference. If the parties agree on a reasonably prompt

date, the Regional Director considers their recommendations. 

However, the fact that the parties agree on the date of the hearing

is not controlling. 

and

c. a statement of the authority and jurisdiction under which the hearing

is held.

If the information outlined in CHM 29.3 is not available when the Notice of

Hearing is issued, the region issues FLRA Form 46A, which is a different

version of the general Notice of Hearing. FLRA Form 46A notifies the parties

that documents containing the information required by the regulations and the

Manual will be sent by the region to the parties in sufficient time to allow the

parties to prepare adequately for the hearing. 

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NOTE: in either case, materials that are described in CHM 29.3 are

“attachments” to the Notice of Hearing, either FLRA Form 46 or 46A,

and are attached as part of the formal exhibits for the hearing record. 

See HOG 4.1.

29.3 Materials to accompany notice of hearing: Attached to the notice of

hearing are: 

29.3.1 A copy of the petition and any amended petition. In cases requesting a

clarification of, or an amendment to, a recognition or certification in effect, or

any other matter relating to representation, a copy of all attachments to the

petition in support of the clarification, amendment, good faith doubt,

successorship, etc., are attached to the petition. 

29.3.2 A letter signed by the Regional Director to:

a. establish the time, date and location of the prehearing conference;

b. describe known issues raised by the petition; 

c. address unusual prehearing and hearing procedures and evidentiary

requirements if not otherwise covered in the Statement of Standard

Procedures In RepresentationProceedingsBeforeHearing Officers,

FLRA Doc. 1014; 

d. request the parties to furnish the Hearing Officer and each other with

a list of prospective witnesses by a date certain, normally not less

than five (5) days prior to the start of the hearing;

e. include a copy of any stipulation reflecting the parties' agreement on

any matter on which the parties reached agreement. The substance

of the matter(s) agreed to by the parties is described with

particularity because the statement is used as:

(i) a basis for the Hearing Officer*s determination that it is

unnecessary to take evidence on the matter(s);

(ii) a formal exhibit by the Regional Director; and

(iii) a basis for acceptance of such agreement by the Regional

Director in issuing its decision in the matter.

f. include a statement that the Regional Director's determination to

issue a notice of hearing is not appealable to the Authority

[§ 2422.17(d)]. 

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See Figure 29.3 for a sample letter.

29.3.3 An outline or checklist of the information necessary 1) to address adequately

the issues raised by the petition and 2) to ensure a full and complete record

(see substantive and employee categories in HOG for assistance in preparing

this outline).

29.3.4 FLRA Doc. 1014, Statement of Standard Procedures In Representation

Proceedings Before Hearing Officers.

29.4 Assigning the Hearing Officer: Assignments are made with a view towards

the most efficient and expeditious handling of the case. If the Hearing Officer

is not the same agent who investigated the petition initially, the Regional

Director and the agent assigned to investigate the case inform the Hearing

Officer about the case as discussed in HOG 3.

29.5 Hearing logistics:

29.5.1 Obtaining a court reporter: An official reporter makes the only official

transcript of representation hearings. It is the responsibility of the Regional

Office to obtain a court reporter as soon as possible and according to

procedures established by theAdministrative Services Division. The reporting

service is notified promptly when there is a change in the date, time or place

of the hearing, or where the hearing is canceled by withdrawal of the notice

of hearing. Whenever possible, initial notification of any change is given to the

reporting service by telephone at least twenty-four (24) hours before the

hearing is scheduled to open and confirmed by fax.

29.5.2 Arranging for the hearing room: Representation hearings are usually

scheduled on the activity’s premises. The hearing is a nonadversarial

proceeding and many of the witnesses can be pulled from their work site on 

notice. If the region asks the activity to schedule a hearing room, the

region checks its acceptability with the other parties before issuing the notice

of hearing. Locations other than onsite are also acceptable.

29.6 Serving the notice of hearing: The Regional Director serves a copy of the

Notice, FLRA Form 46, together with all accompanying material on all parties

in accordance with § 2429.12. 

29.7 Scheduling and conducting hearings on § 2422.16(c) matters unrelated

to unit appropriateness: Where there are no questions regarding unit

appropriateness, but the parties are unable to agree on an election agreement

on other than procedural matters, the Regional Director shall provide the

parties with an opportunity for a hearing. Following the hearing, however, the

Regional Director may issue a Direction of Election, without a Decision and

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Order. There is no appeal of a Direction of Election and the election is

conducted without delay. The Direction of Election includes a provision that

the election is directed without prejudice to the right of a party to file a

challenge to the eligibility of any person participating in the election or

objections to the election or both [see § 2422.16(d) and CHM 28.12.4]. 

29.7.1 Issuing the Notice of Representation Hearing: When there are no unit

appropriateness questions, notices of hearing pursuant to § 2422.16(c) are

issued only because the parties are unable to agree to the election details. 

The Regional Director is required to issue the notice pursuant to § 2422.30.

These notices are issued, and the hearing held, as soon as possible

after the parties state their refusal to enter into an election agreement

on other than appropriate unit issues, or strictly procedural matters (CHM

28.11.2.2). 

29.7.2 Issuing the Direction of Election: Any Direction of Election issued following

a hearing held pursuant to § 2422.16(c)(2) is issued timely and consistent 

with the strategic plan goals (see CHM 28.12.3).

29.8 Prehearing procedures: Prehearing matters are discussed in detail in HOG

17. General information is provided in this subsection. Prior to the opening

of the hearing, the Regional Director retains authority to amend the notice of

hearing by changing the date, place(s), or hour of the hearing; or by

consolidating for hearing the instant case and any related case, whether or

not a notice has been issued thus far on that case. Authority to withdraw the

notice of hearing and, if appropriate, to dismiss the petition remains with the

Regional Director unless s/he transfers the case to the Authority. The

Regional Director may act in these respects on his/her own initiative or on

motion or request by any party. 

29.8.1 Amending the notice of hearing: A notice of hearing may be amended at

any time prior to the opening of the hearing. The purpose of amending the

notice is to correct an error in the date, time, or place of hearing established

in the original notice, and not for the purpose of rescheduling a hearing. The

word “Amended” is inserted in the title of the notice so as to read, “Amended

Notice of Representation Hearing.” If another amendment becomes

necessary, the title reads, “Second Amended Notice of Hearing,” etc. In

addition, the following language is inserted in the blank space immediately

below the title of the notice, namely, “Upon motion by the undersigned

Regional Director, the notice of hearing dated (...) is amended to read as

follows: . . .” The date, time and place of hearing is also restated, making the

appropriate correction. 

The same service requirements as discussed in CHM 29.6 are applicable to

an amended notice of hearing. However, the region is not required to attach

the material that accompanied the original notice of hearing unless the

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information in the attachments is changed.

29.8.2 Petition amended subsequent to notice of hearing: If a petition is

amended following issuance of the notice of hearing but before the opening

of the hearing, the Regional Director amends the notice accordingly, unless

the nature of the amendment calls for some other action (CHM 13.9, 13.10

and 13.11 and HOG 25).

29.8.3 Order setting time or location of hearing: Occasionally, the notice of

hearing is issued without a time or location of the hearing. Once the logistics

are confirmed, the Regional Director issues an Order Setting ... (time or

location, as appropriate). Copies are served on all parties and the Court

Reporting Service. See Figure 29.8B.

29.8.4 Prehearing motions to postpone: A motion for postponement of the

hearing is filed with the Regional Director and a copy served on each of the

other parties. The request is specific as to the reason(s) for the desired

postponement, and sets forth the suggested date(s) for rescheduling the

hearing. The moving party also ascertains in advance, and set forth in the

request, the respective positions of the parties regarding the request (see

FLRA Document 1014). 

NOTE: It is the policy of the OGC that cases set for hearing are heard

on the day set, and that postponements are granted only for good cause

shown. See HOG 17.2 for a complete discussion on prehearing motions to

postpone and procedures for granting or denying them.

FLRA Form 48 is an Order Rescheduling Hearing and Figure 29.8C is a

sample Order Rescheduling Hearing after an indefinite pos tponement.

29.8.5 Consolidation of cases within a region: Whenever it appears necessary

to effectuate the purposes of the Statute, or to avoid unnecessary costs or

delay, the Regional Director will consolidate cases for hearing within the

region. For example, the Regional Director may consolidate cases where

separate representation petitions involving the same activity have been filed

in the same region. Regional Directors are required to consolidate crosspetitions. Cases are consolidated by issuing a FLRA Form 45, Order

Consolidating Cases.

Cases may be consolidated at the same time the Regional Director issues a

notice of hearing. This is accomplished through the issuance of an Order

Consolidating Cases and Notice of Hearing (Figure 29.8A).

29.8.6 Transfer and consolidation of cases in different regions: Whenever it

appears necessary to effectuate the purposes of the Statute, or to avoid

unnecessary costs or delay, the Regional Director may transfer a case to

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another region for hearing. The region transferring the case issues an Order

Transferring the Case. When a transferred case is consolidated with another

case pending in the region, a FLRA Form 45, Order Consolidating Cases, is

issued by the region receiving the case. CHM 63.4.

29.8.7 Severance of cases: At any time prior to the close of the hearing, the

Regional Director, by issuance of an appropriate Order, may sever cases

which were previously ordered consolidated.

NOTE: see CHM 63 for a discussion of general policy considerations

relating to service, transfer, consolidation and severance of cases

between regions.

29.9 Prehearing conference: The Hearing Officer is required to conduct a

prehearing conference, either by meeting or teleconference [§ 2422.17(c)]. 

All parties are required to participate in the prehearing conference and be

prepared to fully discuss, narrow, and resolve the issues set forth in the

notification of the prehearing conference. See HOG 8.

29.10 Withdrawal of notice of hearing: A notice of hearing may be withdrawn by

the Regional Director any time after the notice issues. A notice of hearing may

be withdrawn for a variety of reasons.

29.10.1 Request to withdraw petition: If there are no intervenors, and a petitioner

files a request to withdraw a petition after the notice of hearing issues, the

Regional Director issues a Withdrawal of Notice of Hearing and Approval of

Request to Withdraw Petition, FLRA Form 49. See HOG 19 for processing

withdrawal requests submitted prior to the opening of the hearing, during the

hearing or posthearing or both.

A petitioner who submits a withdrawal request for a petition seeking an

election after a notice of hearing issues will be barred from filing another

petition seeking an election for the same unit or any subdivision of the unit for

six (6) months from the date the Regional Director approves the withdrawal

[§ 2422.14(b)]. This provision is added to the approval of the withdrawal

request. CHM 11.9.2. Note that this regulation applies only to petitions

seeking an election. 

When there is an intervenor, an election will be held if the intervening labor

organization proffers a thirty percent (30%) showing of interest within the time

period established by the Regional Director [§ 2422.23(g)]. 

29.10.2 Withdrawal upon motion of Regional Director: The Regional Director

retains authority to withdraw a notice of hearing on the Regional Director*s

own motion at any time. Withdrawal of the notice of hearing may be due to a

number of reasons, such as:

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a. Failure of the petitioner, after amending the petition, to submit an

adequate showing of interest;

b. Upon further review of the case, the Regional Director decides to

withdraw the notice of hearing due to inadequate showing of

interest, untimely filing of the petition, etc.;

c. The case is being transferred to another region; or

d. The parties enter into a stipulation approved by the Regional

Director.

Where the Regional Director decides to withdraw a notice of hearing on the

Regional Director*s own motion, the parties and the reporting service are

served with a copy of a “Withdrawal of Notice of Hearing,” as set forth in

Figure 29.10A.

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29.10.3 Withdrawal prior to dismissal ofpetition:The Regional Director follows the

procedures outlined below when dismissing a petition. 

a. If the case has been consolidated with another case, issues an

Order Severing Cases; 

b. Issues a Withdrawal of Notice of Hearing; 

c. Solicits withdrawal request as discussed in CHM 27.4.6; and

d. Absent withdrawal, issues a Decision and Order as discussed in

CHM 53.

29.10.4 Approval of an election agreement: The Regional Director’s approval of an

election agreement also constitutes a withdrawal of a notice of hearing (see

FLRA Form 33 and CHM 28.32 and 28.33).

29.11 Notice of hearing on remand: If, upon the filing of an application for review

of the Regional Director*s Decision and Order, the Authority directs that a

hearing be held or reopened, a notice of hearing on remand is issued by the

Regional Office as soon as possible. The notice of hearing on remand as set

forth in Figure 29.11 is specially prepared.

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Hearing Procedures

30 HEARING PROCEDURES: The Hearing Officer's Guide (HOG) describes

the techniques of conducting the hearing and developing a complete record. 

The HOG provides procedural and operational guidance for the period

between the time that the notice of hearing is issued until after the Hearing

Officer closes the hearing and submits the Hearing Officer's Report. It begins

by discussing the purpose of a hearing and proceeds to discuss the Hearing

Officer's responsibilities. It describes, in detail, preparing for and conducting

a hearing. The RCL is useful in preparing for the hearing, and defining,

narrowing and resolving issues raised by the petition at any stage prior to the

hearing. The substantive and employee categories of the HOG are useful at

the hearing to ensure a complete record.

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Posthearing Matters

31 POSTHEARING MATTERS: This section concerns posthearing procedures

prior to issuance of the Decision and Order. For a discussion about Decision

and Orders, see CHM 53.

31.1 Contents of the record: The hearing record considered by the Regional

Director differs from that considered by the Authority if the posthearing

Decision and Order is appealed. The record considered by the Regional

Director consists of the transcript, formal exhibits, party exhibits, including any

motions and responses thereto, and the parties' briefs and the Hearing

Officer's Report. The Court Reporting Service forwards the transcript and

exhibits directly to the Regional Director. The parties submit their briefs

directly to the Regional Director and the Hearing Officer submits his/her

Report (discussed in HOG 34) directly to the Regional Director. The

Regional Director considers the entire record and the Hearing Officer’s

report when making his/her decision on the merits of the case. 

See § 2422.30(e) and CHM 54.1.2 for contents of the record that is

transferred to the Authority upon the filing of an application for review. 

31.2 Regional agenda meeting: After the close of a hearing, and before making

a decision on issues raised in the representation hearing, the Regional

Director conducts an agenda to discuss the procedural and substantive

issues, the facts on the record, positions of the parties, motions, rulings by the

Hearing Officer, any alternative positions offered by the parties and to make

a preliminary decision on the case.

31.3 Requests for additional time to file briefs: Section 2422.20(d) requires

that an original and two copies of a brief must be filed with the Regional

Director within thirty (30) days from the close of the hearing. Requests for

additional time to file a brief must be submitted in writing and received by the

Regional Director no later than five days before the date the brief is due. The

requesting party includes the positions of the other parties in the request. 

Regional Directors have discretion in granting additional time for submitting

briefs. Considerations include:

a. complexity of the issues;

b. length of the record;

c. number of parties involved;

d. age of the case;

e. impact of any delay on the affected employees;

f. number of related unfair labor practice or other representation cases

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Posthearing Matters

pending resolution of the instant case; and

g. significance or precedential nature of the case.

31.4 Assignment of personnel to draft the Decision and Order: Regional

Directors have three options when assigning personnel to draft the Decision

and Order:

a. The Hearing Officer drafts the decision; 

b. The decision is assigned to another professional within the region;

or

c. The case is transferred to a different region for the purpose of

deciding, drafting and issuing the Decision and Order. 

31.5 Posthearing motions: Motions filed after the close of the hearing, but prior

to the issuance of the Decision and Order, are submitted to the Regional

Director. The party filing the motion states succinctly the order or relief

sought and the reasons for the motion. A copy of the motion is served on all

other parties. [see § 2422.19(d), and HOG 16.2]. The regulations require that

any response to a posthearing motion must be filed with the Regional Director

within five (5) days after service of the motion. The Regional Director may

rule on posthearing motions, either by Order or as part of the Decision and

Order.

31.6 Correcting the transcript: As stated in HOG 32.15, since the decision and

further proceedings are based on the record, it is important that the record is

accurate. The Hearing Officer listens carefully to the record and initiates

efforts to correct or clarify material errors. Corrections may be made by

stipulation or by motion inserted in the record as it is still in session. 

Following the close of the hearing, the parties may file with the Regional

Director motions to correct the transcript [§ 2422.19(d)]. Copies of motions

to correct the transcript must be served upon the other parties and proof of

such service furnished to the Regional Office. The purpose of correcting the

transcript is to correct mistakes made by the reporter in taking or transcribing

the record and not to afford the parties an opportunity to add new matter to

the record or to correct errors of omission or commission made by any of the

parties during the hearing. The Regional Director may rule on the motions

separately or as part of his/her Decision and Order.

31.7 Election agreements obtained after the close of a hearing: When an

election agreement is reached after a hearing is closed, the Regional Director

reviews the Election Agreement to ensure that any unit claimed to be

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appropriate meets the appropriate unit criteria as set forth in 5 U.S.C.

7112(a)(1). Approval of the Election Agreement constitutes withdrawal of the

Notice of Hearing (CHM 28.33). See CHM 28 for a discussion of election

agreements.

31.8 Regional Director’s Decision and Order after the close of the hearing:

Upon the close of the hearing and after receipt of any briefs that are filed, the

Regional Director issues a Decision and Order in accordance with § 2422.30. 

The Decision and Order is written in the same format as Authority decisions

for similar type cases. Every Decision and Order describes fully the parties’

rights to file an application for review with the Authority and the filing

requirements for those applications [§§ 2422.30(d) and 2422.31]. 

31.9 Regional Director’s Decision and Order in § 2422.16(c)(1) matters: A

Decision and Order involving a petition for an election is an absolute

requirement whenever there are issues regarding unit appropriateness. 

NOTE: CHM 53 describes the purposes, contents and formats of all

Decisions and Orders issued pursuant to §§ 2422.16(c)(1) and 2422.30.

 

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Statutory Basis for Elections

ELECTION PROCEDURES

CHM 32 through 48

32 STATUTORY BASIS FOR ELECTIONS: 5 U.S.C. 7111(a) states that “[a]n

agency shall accord exclusive recognition to a labor organization if the

organization has been selected as the representative, in a secret ballot

election, by a majority of the employees in an appropriate unit who cast valid

ballots in the election.”

32.1 Policy to conduct elections: Section 2422.23 of the regulations concerns

election procedures. Section 2422.23(a) provides that the Regional Director

will decide to conduct or supervise the election. As discussed in CHM 28.8,

it is the policy of the General Counsel that Regional Directors conduct all

elections. Clearance is obtained from the Office of the General Counsel for

approval to supervise, rather than to conduct, any election. 

32.2 Secret ballot: All elections will be by secret ballot [§ 2422.23(d)]. A secret

ballot is defined at § 2421.15 as “the expression by ballot, voting machine or

otherwise, but in no event by proxy, of a choice with respect to any election

or vote taken upon any matter, which is cast in such a manner that the person

expressing such choice cannot be identified with the choice expressed,

except in that instance in which any determinative challenged ballot is

opened.”

32.3 Requirements: 5 U.S.C. 7111(d) provides that: 

[t]he Authority shall determine who is eligible to vote in any

election under this section and shall establish rules

governing any such election, which shall include rules

allowing employees eligible to vote the opportunity to

choose–

(1) from labor organizations on the

ballot, that labor organization which the

employees wish to have represent

them; or

(2) not to be represented by a

labor organization.

In any election in which no choice on the ballot receives a

majority of the votes cast, a runoff election shall be

conducted between the two choices receiving the highest

number of votes. A labor organization which receives the

majority of the votes cast in an election shall be certified by

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Statutory Basis for Elections

the Authority as the exclusive representative.

There is no requirement that a specific percentage or number of eligible

voters cast ballots in order for the election to be valid. See U.S. Department 

of the Interior, Bureau of Indian Affairs, Rosebud, South Dakota, 34 FLRA 67

(1989) and CHM 47.1. 

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Notice of Election

33 NOTICE OF ELECTION: A notice of election informs eligible employees

about the election. There are six standard FLRA forms available:

a. FLRA Form 125A - Notice of Election for use in manual ballot or

mixed mail/manual ballot elections with two blank panels;

b. FLRA Form 125B - Notice of Mail Ballot Election for use in all-mail

ballot elections with two blank panels;

c. FLRA Form 210A - Notice of Election for use in manual ballot or

mixed mail/manual ballot elections with three blank panels; this

notice has the same language on the right and left panels as FLRA

Form 125A.

d. FLRA Form 210B - Notice of Mail Ballot Election for use in all-mail

ballot elections with three blank panels; this notice has the same

language on the right and left panels as FLRA Form 125B.

c. FLRA Form 36A - Notice of Election for use in manual ballot or

mixed mail/manual ballot elections to consolidate existing units; and

d. FLRA Form 36B - Notice of Mail Ballot Election for use in all-mail

ballot elections to consolidate existing units. 

33.1 Preparation and distribution of the notice of election: Section 2422.23(b)

states that prior to the election, the Regional Director will prepare a notice of

election.

33.2 Contents of the notice of election: The contents of the notice of election

are based upon, and consistent with, the terms of the Election Agreement or

Direction of Election. At a minimum, a notice of election includes:

a. The name of the agency and/or activity involved.

b. The appropriate unit including a description of the inclusions and

exclusions comprising the unit or voting groups involved. This

language is taken directly from the Election Agreement, Decision

and Order and Direction of Election, or Direction of Election.

c. A statement concerning the effect(s) of the vote. This language is

also taken directly from theElection Agreement, Decision and Order

and Direction of Election, or Direction of Election.

d. The eligibility period. The eligibility period is included in the notice

either: 1) as part of the description of those eligible to vote. For

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Notice of Election

instance, “Those eligible to vote: all .... who were employed during

the payroll period ending (date). Excluded...”; or 2) as a separate

provision. 

e. The date(s), hour(s), and location(s) of the manual election. If

multiple sites or times or both, are used, the notice sets forth in full,

the sites, times and locations. If certain employees are assigned to

vote at specified sites, the notice reflects the parties’ agreements

regarding access to polling sites. 

f. In a mail ballot election: the notice includes the date for mailing out

the ballots; the date for returning the ballots; and procedures for

eligible employees who fail to receive a ballot. The entire Appendix

that is set forth in the election agreement may be abbreviated for the

Notice as long as it includes the information described above. This

information is crucial to the voter.

g. If an absentee ballot procedure is used, a description of who is

eligible to receive an absentee ballot and the procedures for

obtaining an absentee ballot. The information in the Appendix for

Absentee Balloting in the election agreement may be abbreviated for

the Notice as long as the Notice includes sufficient information to

enable an employee to understand the requirements for, eligibility

for, and the procedures to follow to request and receive an absentee

ballot.

NOTE: If the election is a combination of mail, manual and/or

absentee balloting, all procedures are spelled out in the Notice.

h. The date, time and place where ballots will be counted. 

i. Voter identification procedures for manual ballot elections; and

j. A sample ballot, clearly marked as such, with the word “Sample”

appearing diagonally across the ballot. 

Any other information that is contained in the Election Agreement, Decision

and Order and Direction of Election, or Direction of Election that informs the

voter about the election, the effect of the vote, and the appropriate unit are

also be included in the notice.

33.3 Responsibilityfor printing notices:The ultimate responsibility forpreparing

and reproducing the notice is the region’s. If the activity has suitable

reproduction facilities, the region may request the activity to reproduce the

required number of copies to satisfy the posting requirements. The activity

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Notice of Election

uses the original notice prepared by the region. 

33.4 Distribution of the notice of election: Section 2422.23(b) requires the

activity or agency to post the notice of election in places where notices to

employees are customarily posted and/or in a manner by which notices are

normally distributed. Normally, notices to employees are posted on bulletin

boards; however, many activities or agencies also communicate with their

employees through regular or electronic mail. During the election agreement

conference, the agent discusses suitable arrangements for posting and

distributing the notice of election with the parties.

33.4.1 Number of notices:If notices are normally posted on bulletin boards, at least

one copy of the notice to employees is posted at each location in the facility

where notices to employees are customarily posted. A reasonable number

of extra copies are prepared for use at the election, to replace defaced copies

and to include in the case file.

33.4.2 Distribution of notices other than byposting: If notices to employees are

normally distributed electronically at an agency, the region prepares a copy

of the notice or a facsimile, including a sample ballot, on a diskette for the

agency. The sample ballot is secured so that it cannot be copied. If the

agency cannot secure the sample ballot on the electronic version, the region

prepares a version without a sample ballot. In these circumstances, the

agency also posts the complete notice, including the sample ballot.

33.5 Posting period: 

33.5.1 Manual ballot elections: The minimum period for posting the notice of

election in a manually conducted election (FLRA Form 125A, FLRA Form

210A or 36A) is three (3) working days prior to, but not including, the date of

the election. Note that the right and left panels of the notice of a manual

ballot election are available at n:\forms\f125a.wpd.)

33.5.2 Mail ballot or mixed mail/manual ballot elections: A notice of election in

an all-mail ballot election (FLRA Form 125B, FLRA Form 210B or FLRA Form

36B) or a mixed mail\manual ballot election (FLRA Form 125A, FLRA Form

210A or FLRA Form 36A) is posted no later than the date of the mail-out of

the ballots to eligible voters. The Notice remains posted through the date of

the count of the ballots. In addition, copies of the notice or a reasonable

facsimile of it are included with the ballot materials that are mailed to

eligible voters (CHM 28.23.4 and CHM 43.1.1). (Note that the right and

left panels of the notice of mail ballot election are available at

n:\forms\f125b.wpd or n:\forms\f125a.wpd for mixed mail and manual.)

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Notice of Election

33.6 Defaced Notices: The agent informs the activity during the election

agreement conference that if the posted notice is defaced in any way,

particularly with markings made on the sample ballot, the notice is removed

without delay and replaced [see also § 2422.23(c) about reproducing sample

ballots and CHM 33.12]. 

33.7 Foreignlanguages:When necessary, foreign-language notices are prepared

and posted. If a foreign language notice is used, the ballot is also printed in

that foreign language. 

33.8 Separate notices of election in self-determination elections: In a selfdetermination electionwhere there are separate voting groups [such as voting

groups (a) and (b)], the Regional Office prepares a notice of election that

clearly articulates each voting group, the choices on each ballot, the effect of

the vote on each voting group and the election details. This applies to

professional-nonprofessional elections and other self-determination elections. 

The region has the option of preparing separate notices of election for each

voting group or placing all of the information on one notice. Separate notices

may be the better choice, since each voting group has a different unit

description, different choices on the ballot and a different sample ballot. It is

important that every employee understand the notice, voting groups, his/her

choices on the ballot, effect of the vote, and the time, date and place of the

election.

To aid the voters, the Regional Office enters the caption “Voting Group (a)”

on the notice of election for each separate voting group.

33.9 Service of notice of election of all parties: Copies of the notice(s) of

election are served on all parties to the election. The notice furnished to the

parties is identical to the notice of election that is posted and includes a copy

of the sample ballot.

33.10 Posting eligibility lists: The publication of eligibility lists by the parties to an

election has the effect of disrupting orderly procedures. It creates confusion

in the minds of employees and thereby interferes with the conduct of the

election. Department of the Army, U.S. Army Aviation Systems Command,

St. Louis, Missouri, 3 A/SLMR 559 (1973). Therefore, during the election

conference, the agent reminds the parties that they cannot post or distribute

the voting list in any way (CHM 28.18.3.3) or any other list of employees

(CHM 28.11.3.3).

33.11 Investigating the posting: Agents are not required to investigate the

activity's posting of the notice of election unless s/he receives a complaint

from a party concerning the posting. If a complaint is filed, the agent obtains

clearance from the Regional Director and the activity before entering the

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Notice of Election

activity's premises to investigate the posting. 

33.12 Sample ballot: The parties are reminded that the reproduction of any

document purporting to be a copy of the official ballot that suggests either

directly or indirectly to employees that the Authority endorses a particular

choice in the election may constitute grounds for setting aside an election if

objections are filed under § 2422.26. See § 2422.23(c).

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Notice of Election

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Ballots

34 BALLOT PREPARATION: The ballots, in all cases, are prepared and

secured by the agent. The agent may not permit anyone to handle any ballot

except the individual who casts that ballot.

34.1 Question(s) on the ballot: The question(s) on the ballot conform to the

Election Agreement, Decision and Order and Direction of Election, or

Direction of Election. The choices on the ballot are also dictated by the

Election Agreement, Decision and Order and Direction of Election, or

Direction of Election (CHM 28). 

34.2 Shortened name request: As discussed in CHM 28.18, the correct and

complete name(s) of the labor organization(s) is (are) inserted in the

paragraph headed “Wording on the Ballot” in Item #8 on FLRA Form 33. If a

shortened name is requested, it is shown in addition to the full name and is

placed in parentheses. The wording on the ballot will reflect the wording

on the Certification of Representative, if one issues. Where there is only

one labor organization on the ballot, and the question asks for a “yes” or “no”

response, the name of the labor organization is placed next to the heading

“first” in the election agreement. 

NOTE: the name of the agency and/or activity as it appears in the unit

description also appears in the caption on the ballot (CHM 28.18.1 - also

includes a definition of “agency” and “activity”).

In a unit consolidation election, the correct and complete name of the agency

and/or activity and the labor organization(s) are inserted in the paragraph

discussing the effect of the vote. This wording is used on the ballot and will

reflect the wording on the Certification of Representative, if one issues.

 

34.3 Places on the ballot: Where two (2) or more labor organizations are on the

same ballot, the position of their names on the ballot is generally determined

by agreement of the labor organizations involved. The petitioning labor

organization does not enjoy any special privilege or preference in determining

position on the ballot. If the labor organizations are unable to reach

agreement, they may resort to a toss of the coin, drawing of lots, etc., absent

which, the matter is decided by the Regional Director.

The wording of the negative choice on the ballot depends upon the number

of labor organizations appearing on the ballot:

a. Single labor organization -- “Yes” and “No” choices; 

b. Two labor organizations -- The name of each and a “Neither” choice;

or

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Ballots

c. Three or more labor organizations -- the name of each and a “No

Union” choice.

There is no fixed position for the negative choice on a ballot when there is

more than one labor organization, and, therefore, its place is determined as

part of the sequence of choices reading from left to right on the ballot. See

also CHM 28.18.2.

34.4 Ballot formats: Examples of the variations in the ballot(s)’s format required

for different types of elections are set forth in Figures B28.17A through

B28.17C and Figures B34.2A through B34.2G. Each ballot and its use is

described below. Note the cross reference to the appropriate sections of

CHM 28 that discuss the units and the effect of the vote.

Ballot Use and Cross Reference to CHM

B28.17A Yes/No ballot for a unit consolidation election - CHM

28.17.5a

B28.17B Ballot for pros in a unit consolidation election where

nonpros are not voting - CHM 28.17.5b

B28.17C Ballot for pros in a pro/nonpro unit consolidation election -

CHM 28.17.5c

B34.2A Ballot used in a pro/nonpro elections, accompanying

Figure 28.15A- voting group (a): pros - CHM 28.15.1

B34.2B Ballot used in a pro/nonpro elections, accompanying

Figure 28.15A - voting group (b): nonpros - CHM 28.15.1

B34.2C Ballot for a self-determination election, voting group (a)

accompanying Figure 28.15D - CHM 28.15.5

B34.2D Ballot for a self-determination election, voting group (b)

accompanying Figure 28.15D - CHM 28.15.5

B34.2E Ballot for an election to include unrepresented pros in

existing pro unit, see Figure 28.15B and CHM 28.15.2

B34.2F Ballot for an election involving one labor organization; or a

residual (CHM 28.15.3 and Figure 28.15C) or add-on

election (CHM 28.16 and Figure 28.16) having no labor

organization intervenors

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B34.2G Ballot for an election involving more than one labor

organization; or a residual (CHM 28.15.3 and Figure

28.15C) or an add-on election (CHM 28.16 and Figure

28.16) having labor organization intervenors

34.5 Color of the ballot: Any color but white is used for ballots. The color of the

ballot is not disclosed to any of the parties prior to the opening of the polls. 

Different colors are used for the ballots of different voting groups or units

voting at the same time.

Also, the color(s) may not be the same as that used at the last election

involving the same employees (as in a rerun or runoff election - see CHM 48).

In “mixed” mail\manual elections, the color for the mail ballot is the same as

that used in the manual ballot. 

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Eligibility List

35 PREPARATION AND CHECKING OF ELIGIBILITY LIST:

35.1 Discussion at election agreement meeting or teleconference: At the

election agreement meeting, the parties review a current list of employees

that the activity claims are eligible to vote in the election (CHM 28.18.3.5). If

the parties agree on the eligibility list at the election agreement conference,

the agent’s copy of the list is used as the official voting list unless there is

multi-site voting (see CHM 35.2). Absent the parties’ agreement, the

procedures discussed in CHM 28.11 and 28.12 are followed. 

If the eligibility list is not current as of the payroll period ending prior to the

date of the election agreement meeting, it is updated and furnished to all

parties immediately following the meeting, but prior to the pre-election

conference. 

The list actually consists of several lists: 

a. one includes the names of all employees whom the activity claims

are eligible to vote in the election, and 

b. the other includes employees whom the activity claims are ineligible

to vote in the election. (see CHM 28.18.3.4, 28.18.3.5 and .6). 

c. ballots of employees whose eligibility is not resolved prior to the

election may be on a third list (the appendix to the Election

Agreement) or annotated on the other two lists. (CHM 28.11.3.3).

The list is prepared alphabetically, or if not feasible, by clock number

sequence, alphabetical by voting location, or other numerical system used to

identify the employees. The complete first name, rather than the first initial,

is used as a means of facilitating identification, particularly in instances of

duplicate last names. The names also contain additional information, such

as job classification, job title, etc. 

If there are professional employees voting with nonprofessional employees,

the list is annotated to reflect the professional employees.

35.2 Preparation of the list for the election: Upon approval of the Election

Agreement, or upon issuance of the Direction of Election, the activity is

required to update the eligibility list before the manual ballot election or the

mail-out. Updating the list involves annotating which employees are no longer

eligible for inclusion in the unit due to promotion, termination orretirement and

adding employees that parties agree are in the unit in accordance with the

Election Agreement (e.g., an employee is a temporary supervisor at the cutoff date, but is back in the unit on the date of the election).

The region’s copy of the list is used as the official voting list in the election

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unless the election is multi-site. If the election is held at multiple sites where

voters are assigned to vote at specific polls, the activity updates the master

list of all employees who are included and excluded and prepares separate

voting site lists. These separate lists consist only of the names of employees

who are eligible to vote at each designated polling site. 

The activity also maintains a “running” list of all employees whose

employment in the unit has been terminated (due to resignation, retirement,

permanent transfer) during the period between the end of the payroll period

for eligibility and the date of the manual election. These names are stricken

from the voting list at the pre-election conference, prior to opening the polls

at the manual election; and/or prior to counting the ballots in an all mail ballot

election (see CHM 35.5).

35.3 Providing a copy of the updated eligibility list: A copy of an updated

eligibility list or changes to the list and any voting sites lists are provided by

the activity to the parties and the Regional Office at least one week prior to

the date of the manual election or mail-out. This will enable the petitioner and

any intervenor(s) to check the list and make inquiries regarding any

employees whose eligibility may be questioned.

35.4 Agent’s responsibility:Whenever the eligibilitylist is updated, the agent

reviews it to ensure that changes do not raise issues regarding the

identity, size or scope of the unit and that any changes are consistent

with the Statute. The responsibility for the quality of the eligibility list

rests with the agent, not the parties. The region’s copy of the updated

list becomes the official voting list unless the election is multi-site. In

such cases, the activity is responsible for preparing the actual voting

list(s), and the agent is responsible for ensuring that the lists are

complete, accurate, current, and prepared in time for the election. 

35.4.1 Resolution of eligibility issues: Normally, a joint conference is not

necessary to discuss changes in the eligibility lists, except in large elections. 

Generally, the activity contacts the parties and the agent and informs them

about changes to the list. In large elections, however, especially those

involving agencies where there is a history of high turnover or personnel

changes, a joint onsite or teleconference is encouraged just before the

election to review the list and discuss any changes. Such discussions

minimize challenged ballots. As questions are resolved, the necessary

changes are made on the voting list(s) in the presence of the parties and the

agent prior to the start of the election. If there are disputes, the agent decides

whether the dispute affects the size and scope of the unit and raises an

appropriateness of the unit question or whether the challenged ballot

procedure is appropriate (CHM 28.11.3.2, 28.18.3.4 ,28.18.3.5 and 35.2).

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35.5 Last minute update: Just prior to the start of the election, the original

eligibility list is updated one more time. If present before the polls open, the

authorized representative of each of the parties sign or initial the list and/or

any changes. Initialing or signing the list before the polls open reflects only

that the list is the official voting list. It does not preclude any party from

challenging any employee whose name appears on the list at the polls or the

agent from challenging any employee whose name does not appear on the

list and seeks to vote during the election. A representative’s refusal to sign

or initial the list will not delay the election. See also CHM 39.6.

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Eligibility List

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Authority Personnel - Responsibility in Elections

36 AUTHORITY PERSONNEL:

36.1 Generally: The responsibility for the proper conduct of an election is the

Regional Director's, acting through the assigned agent(s). The agent(s) are

cognizant at all times that the representation process is one of the most

important aspects to the Authority's work. Extreme care is exercised both in

the preparation for and in the conduct of an election. 

36.2 Role: Agents are responsible for conducting elections in a fair and impartial

manner, so that each voter has a fair and equal opportunity to cast a secret,

uncoerced ballot. Duties include:

a. Ensuring the eligibility list is updated and accurate; CHM 35 and

39.6

b. Checking in with appropriate officials when arriving at the activity;

CHM 39

c. Ensuring that the Notice of Election has been properly posted and/or

distributed in a manner by which notices are normally distributed;

CHM 33 and 39.4

d. Ensuring the voting sites correspond to those established in the

Election Agreement or Direction of Election and are prepared for the

election; CHM 28, 33 and 39

e. Posting “Voting Place” or other FLRA notices in appropriate places

that remind the employees of the election; CHM 39.3

f. Preparing sufficient election supplies and equipment; CHM 38

g. Briefing the observers and instructing them on their role; this

includes not only distributing Instructions toElectionObserver, FLRA

Doc. 1013, but also actually instructing the observers on checking

in voters, directing voters to the polling booth, challenging voters,

and filling out challenged ballot envelopes; CHM 37 and 39.7

h. Constructing and sealing the ballot box before the polls open; CHM

39.9

i. Opening the polls on time; CHM 40.1

j. Conducting the election by ensuring the voters are identified

properly and the election is conducted in an orderly and formal

manner; CHM 40

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Authority Personnel - Responsibility in Elections

k. Safeguarding the ballots and the ballot box; the agent has sole

responsibility for the ballots and the ballot box. Although the

observers may offer to assist the agent if the poll gets busy, the

agent may not relinquish his/her responsibility for handling the

ballots; CHM 40.10

l. Securing spoiled or unused ballots; CHM 40.6.2

m. Ensuring that voters, whose eligibility is challenged, are given an

opportunity to vote a challenged ballot and that the challenged ballot

procedure is explained to the voter; CHM 44

n. Maintaining an orderly flow of voters including ensuring that voters

waiting in line to vote do not campaign or otherwise disrupt the

election; CHM 46

o. Sealing the ballot box at the conclusion of the voting period; sealing

the unused ballots and securing the eligibility list, spoiled ballots,

and election supplies; CHM 40.12

p. Obtaining a signed Certification of Conduct of Election from the

Observers, FLRA Form 42; if the observers refuse to sign the

certification, the agent immediately obtains affidavits and other

relevant information concerning the observers' refusal to sign the

certification; CHM 40.13

q. Conducting the count of the ballots including ensuring observers are

present, resolving challenged ballots before the count, and

otherwise ensuring the ballots are secured; CHM 47; and

r. Completing the appropriate tally forms and serving copies of the tally

in accordance with the Election Agreement. CHM 47

Details of these responsibilities are discussed more fully in referenced

chapters.

36.3 Determining the number of Authority personnel: The number of agents

involved depends, among other things, on the size, complexity, and duration

of the election. The agent in charge of the election supervises the conduct of

the election, anticipates and solves any logistical or resource problems, and

responds to any potential emergencies that may interfere with the proper

conduct of the election. 

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Authority Personnel - Responsibility in Elections

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Representation Case Handling Manual 36-3
Observers

37 OBSERVERS: All parties are entitled to representation at the polling

location(s) by observers of their own selection, subject to the approval of the

Regional Director [§ 2422.23(h)]. This regulation also applies to mail ballot

elections that a region processes in the Regional Office. 

37.1 Function: The observers represent their principals when assisting the

agent(s) in conducting the election. The observers are responsible for seeing

that the election is conducted in a fair and impartial manner so that each voter

may cast a secret ballot in a free and uncoerced atmosphere. Their principal

duties include identifying the voters; marking the eligibility list of those voting; 

challenging, for good cause, the eligibility of particular voters; observing the

voting booths; safeguarding the ballot box; and verifying the accuracy of the

counting of the ballots. Specific instructions for observers, including types of

prohibited conduct, are set forth in FLRA Document 1012, Instructions to

Election Observers (see also CHM39.7). Unless specifically authorized by the

principle representatives, observers do not have the authority to act on the

representative’s behalf in making decisions at the count, e.g., resolving

challenged ballots, deciding to void ballots, etc. (see CHM 47.7.3).

37.2 Number: The provision for observers is usually discussed during the election

agreement conference (CHM 28.6). During this conference, the agent

explains that parties are permitted to station an equal number of authorized

observers in the polling place at any given time. Alternative observers may be

used during relief periods or as replacements. (See CHM 40.13 regarding all

observers signing the Certification of Conduct of Election). Normally, one set

of observers sits at the checking table and marks off the voters on the

eligibility list. In elections exceeding 200 voters voting per hour, a second set

of observers is assigned to sit near the ballot box to assure that only one

voter at a time enters the booth and that all ballots are deposited in the ballot

box. The observers may not deposit a ballot for any voter or otherwise handle

any ballots.

The Regional Director ultimately determines the number of observers and

their entitlement to official time pursuant to 5 U.S.C. 7131(c). The party

requesting the observer(s) is responsible for payment of any travel and per

diem expenses (§ 2429.14(b)). Any questions about changing the observer’s

official working schedule or working overtime while as an observer is resolved

at the election agreement meeting. The agent does not get involved in these

discussions as the Authority cannot require the agency to change an

employee’s duty hours or to pay the employee(s) overtime.

37.3 Request for observers: Absent agreement by the parties, the parties make

their request to the Regional Director for named observers in writing not less

than fifteen (15) days prior to the election [§ 2422.23(h)(1)]. The regulations

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Observers

require the request to name and identify the observers requested. Copies are

served on the other parties and a written statement of such service is filed

with the Regional Director. The Regional Director may grant an extension of

time for filing a request for specifically named observers for good cause where

a party requests such an extension or on the Regional Director's own motion. 

Objections to a request for specific observers are filed with the Regional

Director with supporting reasons within five (5) days after service of a copy of

the request. Copies are served on the other parties and a written statement

of such service is filed with the Regional Director. 

The Regional Director's ruling on requests for, and objections to, observers

is final and binding and is not subject to the filing of an application for review

with the Authority. Absent agreement, the parties use the FLRA Form 60,

Request for Appearance of Authorized Observers when making their request.

37.4 Eligibility to act: Sections 2422.23(h)(2) and (3) of the regulations set forth

who may act as an observer.

37.4.1 An agency or activity may use as its observers any employees who are not

eligible to vote in the election, except:

a. Supervisors or management officials;

b. Employees who have any official connection with any of the labor

organizations involved (such as hold an office in the labor

organization); or

c. Non-employees of the Federal government. 

37.4.2 A labor organization may use as its observers any employees eligible to vote

in the election, except:

a. Employees on leave without pay status who are working for the labor

organization involved; or

b. Employees who hold an elected office in the union.

A party may not use as an observer any person who is not authorized

to act under the regulations even though the other parties agree to

waive their right to file an objection on the use of an unauthorized

observer.

37.5 Military personnel on active duty: Military personnel on active duty are not

considered employees of the Executive Branch of the Federal government

and are not eligible to act as observers. However, where such personnel are

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Observers

also regularly employed in a civilian capacity in the unit involved, they are

considered eligible employees and may be utilized as observers for a labor

organization in civilian attire.

37.6 Head observer: Where each party is represented by more than one

observer, one of them is designated “head observer.” This observer is

empowered by the party s/he represents to enter into binding agreements

regarding election questions that may arise during the election. In addition,

this observer serves as a communication link with the party's designated

representative, or completes other tasks as they arise (such as finding

replacement observers for the ones who fail to appear at the assigned poll). 

37.7 Waiver of right to have an observer: Parties may waive the opportunity to

be represented by observers, either expressly or by default (no observer

appearing). Agents ensure that all parties are aware of their right to have an

observer present at every stage of the election process (CHM 39 -

responsibility when observer fails to appear for election). 

37.8 Mail ballot elections: Parties are entitled to have observers present in the

Regional Office when ballots are mailed and counted pursuant to an election

agreement. The region actually prepares the mail ballot packages. If all

parties have an observer present at the mail-out, the observers check-off the

eligibility list as the mail ballot package is prepared for each eligible employee

and otherwise observe the mailing and count of the ballots. If all of the parties

are not represented by an observer, the observer’s only function is to observe

the mailing and count of ballots. Any observer present is asked to sign a

Certification of Conduct of Election (CHM 43).

37.9 Instructing the observers: Prior to the opening of the polls, the agent

instructs the observers about their duties. All observers, including alternates,

are assembled at the same time to be briefed concerning all aspects of the

election. These meetings usually occur at least 30 minutes prior to the

opening of the polls. In large elections, however, the region may schedule the

observer meeting on the day before the election is scheduled.

Observers are given a copy of the Instructions to Election Observers, FLRA

Doc. 1012. In addition to the instructions outlined in FLRA Doc. 1012,

principal areas of instruction relate to the procedure for checking off the

names of the voters as they appear to vote, the challenged ballot procedure,

assistance to handicapped voters, disposition of the marked ballots and

safeguarding the ballot box. Each of these topics is discussed in subsequent

sections in this CHM and the agent reviews them prior to instructing the

observers (CHM 39.7).

Observers are required to wear an official FLRA Observer badge. The agent 

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Observers

provides the badges before the polls are opened and collects them when the

polls close, or after the count of the ballots. No other insignia including any

type of electioneering campaign material may be worn or exhibited by

observers during their service as observers. CHM 46.2. This restriction does

not apply to Federal government identification badges which are required to

be worn at all times at certain agencies or activities. 

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Voting Equipment and Polling Place

38 EQUIPMENT AND POLLING PLACE: 

38.1 Election kit: Each agent prepares and maintain an “election kit” containing,

at a minimum, the following supplies:

a. One FLRA official agent badge;

b. At least four Observer badges and blank inserts for the badges;

c. Two voting place signs (FLRA Form 126);

d. Two blank “Time to Vote” signs (FLRA Doc. 1098);

e. A supply of Instructions to Election Observers (FLRA Doc. 1012);

f. A supply of challenged ballot envelopes (FLRA Doc. 1279);

g. A supply of secret ballot envelopes (FLRA Doc. 1280);

h. Official ballot box stickers (FLRA Doc. 1096);

i. Blank Certification of Conduct of Election forms (FLRA Form 42);

j. Blank Tally sheets (FLRA Forms 39, 40 and when necessary, 41);

k. A supply of sharpened pencils for the voting booth;

l. A supply of different colored pens for the observers to use when

checking the eligibility lists;

m. Challenged ballot sheets, including envelopes for determinative

challenged ballots (FLRA Doc. 1201) and an envelope for spoiled

ballots; and

n. A supply of note paper, scotch tape (for sealing challenged ballot

envelopes), masking tape (for sealing the ballot box) and rubber

bands.

38.2 Equipment maintained in the Regional Office: The Regional Office

maintains a supply of the items listed in CHM 38.1 and the following: 

a. Portable voting booths;

b. Portable (cardboard flattened) ballot boxes;

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Voting Equipment and Polling Place

c. Business reply mail ballot envelopes (FLRA Doc. number dependent

on the region);

d. Absentee ballot envelopes (FLRA Doc. 1470);

e. Blank notices of election (FLRA Forms 125A and B, FLRA Forms

210A and B and FLRA Forms 36A and B); and

f. Instructions to Eligible Employees Voting by U.S. Mail (FLRA Doc.

1013).

38.3 Voting booths: When one voting booth is adequate for an election, the

agent uses the region's collapsible portable booth. When more than one

booth is needed, the agency or activity may, if possible, supply facilities

affording privacy to voters for marking their ballots. Municipal or other

governmental units may loan polling booths; or booths are easily constructed

from partitions or cardboard boxes. What is required is that the

compartment or cubicle, not only provides privacy, but also

demonstrates the appearance of providing privacy.

38.4 Equipment for a specific election: In addition to the equipment and

supplies discussed above, in any given election the agent also includes in

his/her election kit, the following:

a. Case file;

b. Several notices of election that were specifically prepared for the

election;

c. Ballots;

d. Certification of conduct of election, filled out to the extent possible; 

e. Appropriate tally of ballots, filled out to the extent possible; and

f. Blank affidavit forms if the observers refuse to sign the certification

of conduct of election (CHM 36.2).

Equipment and furnishings for the election include a table to accommodate

an observer for each of the parties, chairs for the observers and agent, an

extra table for supplies, etc., and a stand upon which to place the ballot box.

38.5 Size and arrangement of polling place: The size of the polling place

depends on the nature of the election. The number of voters and the time

period established for voting are controlling. Preparations are made on the

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Voting Equipment and Polling Place

basis of a “peak load.” With a good eligibility list and cooperative voters and

observers, one checking table can process 200-400 voters per hour. In these

circumstances, each checking table requires four voting booths. With these

guides in mind, election needs are scaled up or down according to the

election. In elections involving less than 25 voters, no more than one or two

booths, and one checking table are necessary. 

The polling place is arranged so that the voters may enter, stop at the

checking table, get a ballot from the agent, proceed to a voting booth, deposit

the ballot in the ballot box and then leave the voting area without any

confusion. The agent should make sure there is sufficient space between the

entrance and checking table(s) so that the voters may form a uniform and

controlled line. In addition, the agent ensures that sufficient space is

provided in the polling area so the voters can do what is expected of them

with a minimum of conversation and supervised assistance. 

Adequate light and heat are required. A typical floor plan for a small election

is illustrated in Figure 38.5A. This sample shows an “ideal” floor plan, one

having a separate exit and entrance. A typical floor plan for a large election

is illustrated in Figure 38.5B. 

38.6 Ballot box: The ballot box is not constructed and sealed until after the

observers arrive and immediately prior to the start of the election (see CHM

39 - when observers are not present). The observers watch the agent seal

the box so that they can inspect the box to see that it is empty. The box is not

opened for any reason while the election is in progress. See CHM 39.9 for

specific instructions for constructing the ballot box.

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Voting Equipment and Polling Place

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Preopening Election Procedures

39 PREOPENING PROCEDURES: The agent and the observers assemble at

the polling place at least 15 minutes (when the observers received their

instructions previously) to 45 minutes prior to the opening of the polls

(depending on the complexity of the election). The agent ensures that all

observers are present. If an observer is not present, the party's

representative, if available, may secure a substitute. Neither the agent nor any

other party may arrange for a substitute observer for another party. If a

replacement observer does not arrive before the polls are scheduled to open,

the agent proceeds with election preparations and opens the polls on time.

39.1 Checking the voting site: The agent ensures that the polling site is the

polling site that the parties agreed to in the Election Agreement and that it

conforms to the notice of election. Under no circumstances are polling sites

changed from those cited in the Election Agreement without permission of all

parties and approval of the Regional Director. In such circumstances,

agreement to change a polling site is dependent on whether the change is

justified, whether the employees have adequate notice of the change, and

whether the change is at a site that is conducive to voter turnout. 

39.2 Checking the equipment: The agent is responsible for ensuring that all

equipment is available and in place. Often overlooked are sharpened pencils

in the voting booth.

39.3 Posting Voting Place signs: The agent is responsible for posting “Voting

Place” signs (FLRA Form 126). The agent may not use signs prepared by

any of the parties unless the parties all approve the wording and format on the

signs prior to the election.

39.4 Checking the Notice of Election: The agent confirms that notices of

election have been posted in accordance with the parties’ agreement, or

distributed in a manner consistent with the distribution of other employee

notices. If the agent identifies a problem, s/he records it for the file. After the

election, the agent obtains a copy of the posted notice from the activity for the

case file. 

NOTE: While the agent is checking the site, notice, etc., s/he may not

leave the ballots and eligibility list unattended. S/he keeps the ballots

and eligibility list with her/him at all times.

39.5 Distribution of badges: Agents wear the official FLRA Badge. Observer

badges are prepared and distributed to the observers, with instruction for their

return. Observers may not wear these badges when they are not acting as

observers. 

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39.6 Reviewing the eligibility list and last minute updates: As discussed in

CHM 35, the parties confirm any last minute changes in the eligibility list

unless there is a dispute as to the affected employee's eligibility (see CHM

28.11.3.2, 28.18.3.5 and 35.5).

39.7 Instructions to Observers: If the observers have not received instructions

previously, the agent gives each observer a copy of the Instructions to

Election Observers, FLRA Doc. 1012 at this time. CHM 36.2 and 37.9. The

observers are given the opportunity to read the instructions and ask

questions. The agent also instructs the observers as to their specific tasks

for the day. The observers are instructed on the matters summarized below. 

Complete details are described more fully in the cited CHM sections.

a. Identification procedures: The agent advises the observers that

upon entering the polling area, the voter is asked to state his/her full

name and provide identification in accordance with the parties'

agreement on voter identification requirements (see CHM 40.5). If

theElectionAgreement requires identification and the voter appears

with no identification, the voter is asked to go get his/her

identification and return, unless the Election Agreement provides

alternative procedures. The observers are instructed to remind the

voter of the voting hours. If the Election Agreement requires no

identification, and one of the observers questions the eligibility of the

voter, the observer may ask the voter for his/her job title, and job

site. (CHM 28.22 and 40.5 for voter identification procedures; see

CHM 28.18.3 for eligibility list requirements).

b. Checking the name on the eligibility list: Each observer is given a

pen of a different color (they can decide which color they want). As

a voter is identified and his/her name is found on the eligibility list,

each observer marks a “dash,” “check” or an “x” in front of the

voter's name (the marks are consistent). Every observer makes a

mark next to the name of every employee who votes. CHM 40.5.2

c. Challenged ballot procedures: See CHM 44 - challenged ballot

procedure.

(i) If an employee enters the polls to vote, and his/her name

is not on the list or is on the excluded list, the observers

inform the employee of their findings. The observers ask

the voter if s/he is a new employee and if so, provide

information about the eligibility date for voting. If the

employee's name appears on the excluded list because

s/he is a supervisor or management official, the observers

ask the employee if s/he is a supervisor or management

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official. If the employee confirms his/her status is

supervisory or managerial, the observers can tell the voter

that s/he is ineligible to vote. Normally, the supervisor or

management official leaves the voting area. If the

employee insists on voting and does not appear on the list

or otherwise appears ineligible, the voter may cast a

challenged ballot. CHM 44.6. Note: in any situation

where the employee is clearly ineligible, neither the

agent nor the observers may argue with the employee

if the employee insists on voting. The agent allows the

employee to vote by challenged ballot to expedite the

process. Arguing with an employee who is clearly

ineligible to vote could be disruptive; thus, agents are

encouraged to act quickly. See CHM 44.6 through 44.9. 

(ii) The observers may also challenge specific employees

whose names appear on the eligibility list. 

NOTE: The agent oversees these conversations particularly at

the beginning of the election. If necessary, the agent can talk

to the voter, ascertain the voter's status and desire to vote and 

instruct the observers on filling out the challenged ballot

envelope.

The only envelope observers are allowed to handle is the challenged

ballot envelope, and this occurs only when the polling area is

extremely busy. It is better to hold up the voters waiting to check in,

than to allow the polling area to get congested. After entering the

required information on the challenged ballot envelope, the

observers direct the voter to proceed to the agent for a ballot and

the secret ballot envelope. The agent instructs the voter on the

challenged ballot procedure in accordance with CHM 44.6.3.

When voting an employee by challenged ballot, the observers

annotate the list to show the voter was challenged. There are three

possible scenarios:

(i) If the voter’s name was not on the eligibility list, all of the

observers add the voter’s name to the bottom of the list

and place a small “c” next to the employee's name to

denote the vote was challenged. 

(ii) Only the observer who challenges a voter’s name that is on

the list marks a “c” next to that voter’s name. This denotes

the party filing the challenge. The other observers make a

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regular mark unless they too are challenging the voter. 

(iii) The observers all mark a “c” next to any voter's name that

appeared on the excluded list but insisted on voting.

d. Assistance to handicapped voters: Observers do not assist

handicapped voters except as they check-in to vote. Agents assist

any handicapped voter to the voting booth and inside the voting

booth when requested to do so (see CHM 40.9 for a discussion

about assisting handicapped voters).

e. Safeguarding the ballot box:The agent has primary responsibility for

safeguarding the ballot box, but observers are instructed to report

anything unusual occurring at the ballot box or to ask voters to leave

the polling area once they have voted. Observers also ensure that

all ballots are deposited in the ballot box and that no voter leaves the

polling area with their ballot. CHM 40.10

f. Chatting with co-workers: Chatting with co-workers and friends who

come to vote is discouraged. Observers are reminded that, as

observers, their primary function is to ensure that the election is

fairly and impartially conducted. 

39.8 Outside representatives: Depending on the activity's access rules, party

representatives who are not acting as observers are permitted to inspect the

polling place before the polls open. These representatives may also be

present while the ballot box is constructed and sealed. They are required 

to leave before the polls open as their presence in the polling area could

be grounds for setting aside the election. 

39.9 Constructing the ballot box: Constructing the ballot box is a formal

procedure. The agent asks all observers to watch while s/he “constructs” the

box, i.e., folds it and tapes it together. Before the box is closed and taped, the

agent asks the observers to look into it - while it is open - and to affirm that

it is empty. Then the box is closed and the sides are securely sealed with

tape. The agent places an Official Ballot Box sticker, FLRA Doc. 1096, on the

side of the ballot box. Finally, the agent informs the observers to stand clear

of the ballot box for the duration of the election (except when those observers

who are eligible to vote actually vote and deposit their ballot into the box).

39.10 Voters who arrive before opening of the polls: Voters who arrive to vote

before the polls open are not permitted to vote prior to the time scheduled. 

Those who arrive early are not sent away but rather asked to form a line and

wait for the polls to open. If an employee leaves, s/he is informed of the

voting hours.

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Conducting the Election

40 CONDUCTING THE ELECTION:

40.1 Opening the polls: The polls are opened on time. If there is a clock in the

polling area, it is used as the official timepiece. If an activity clock is not

available, the agent and the observers usually agree on an official timepiece. 

Absent agreement, the agent selects it. Failure to open at the scheduled hour

is not cured by extending the voting period beyond the closing time contained

in the Election Agreement.

If the polls open late, the agent records the time and the details, including

whether, and how many, individuals came to vote and left without voting. If

no one left, it is good practice to secure the signatures of all observers on a

statement to that effect.

40.2 Announcementsonintercom or e-mail: Arrangements for announcements

on the intercom or e-mail are discussed at the election agreement meeting. 

However, in the event that the activity offers to announce the opening of the

polls on an intercom or to send an e-mail on the computer network, the agent

drafts the language for the intercom announcement or e-mail. Although

allowing one of the parties to draft an announcement is not prohibited, it could

lead to the appearance of partiality if the message is not written properly. 

40.3 Releasing employees to vote: Unless the Election Agreement or Direction

of Election contains provisions for releasing employees to vote in staggered

shifts on duty hours, the employees are permitted to vote at any time during

the polling hours.

40.4 Entering the polling area: Upon entering the voting area, a voter proceeds

to the check-in table. In large elections, guide ropes anchored to stanchions

may be necessary. If more than one check-in table is used, information signs

reflecting where voters check-in are posted (i.e., “last names A - F vote

here”).

40.5 Procedure at check-in table: 

40.5.1 Voter identification: A voter is properly identified when the voter states

his/her full name to the observers and/or presents identification pursuant to

the arrangements set forth by the parties in the Election Agreement and on

the Notice of Election. The requirement that the voter state his/her full name

is rigidly enforced. That a voter may be recognized by, or known to, one or

more of the observers, does not relieve the employee from having to state

his/her name in full to the observers. 

In the event that the Election Agreement states that voters are not required

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to show identification and one of the observers cannot identify a voter, the

voter then states his/her job title, activity code or other identifying information

contained on the voting list. If the agreement requires voters to show

identification and the voter did not carry the identification to the polling site,

the observers may require the voter to get the identification. As an

alternative, and if contained in the agreement, the voter may be allowed to

vote as long as one of the observers knows the voter by name and the other

observers do not challenge the voter’s eligibility (CHM 28.22).

40.5.2 Marking the list: Once a voter's name has been located on the eligibility list,

all observers are satisfied as to the voter's identity, and no one questions the

voter's eligibility, each observer at the check-in table places a mark in pens

of different colors beside the name. The mark may be a dash, a check or an

“x” and may be made on either side of the name, depending upon the space

available on the list. All marks and where they are placed for each voter are

consistent. 

Observers are not permitted to maintain separate lists of those who have or

have not voted. The official eligibility list is the only record made and shows

whether a person named thereon has voted. 

For information pertaining to voter eligibility and challenged ballots, see CHM

44.

40.6 Releasing the ballot to the voter: Once a voter has been identified and

checked-off, the observers - or one of them designated by the others -informs

the agent that the voter has been identified and the list so marked. Often the

observer simply states “okay” to the agent signaling that the voter is eligible. 

The agent then hands a single ballot to the voter and when doing so, checks

the ballot for any defects.

 

40.6.1 Instructing the voter: As the agent hands the voter his/her ballot, the agent

instructs the voter to:

a. enter the voting booth;

b. mark, but do not sign the ballot;

c. fold it before leaving the booth; and 

d. deposit it into the ballot box before exiting the polls. 

The agent also instructs a voter who spoils a ballot to return it to the agent.

The agent will then provide the voter with another ballot. 

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40.6.2 Spoiled ballots: A voter who spoils his/her ballot and returns it to the agent

is given a fresh ballot. The spoiled ballot is torn or folded, marked “void,” and

placed in the “Spoiled Ballot” envelope. This envelope is preserved as part

of the election records until the case is closed. 

40.7 Proceeding to the voting booth: The voter proceeds from the check-in

table to a voting booth. The agent periodically polices the booths to ensure

there: 1) are no cross-conversations between occupants in adjacent booths;

2) is no more than one occupant per booth; and 3) is no campaign material

in the booth. 

Secrecy in the casting of a ballot requires that the booth be occupied only by

one voter. A voter who requests assistance or information regarding the

wording on the ballot leaves the booth and receives any explanation from the

agent in the presence of the observers. The only exception to this rule is

when rendering assistance to a handicapped voter who also needs assistance

in marking his/her ballot (see CHM 40.9).

40.8 Depositing the ballot into the ballot box: The voter leaves the booth and

drops the folded ballot into the ballot box. Unless the voter is handicapped,

and then, only in unusual circumstances, no one but the voter may touch the

used ballot. If the ballot does not slip through the slot, the voter is instructed

to force the ballot into the box. The voter then leaves the polling place. 

Voters are not permitted to loiter or to wait for other voters in the polling area.

Once the ballot, whether or not it is challenged, is deposited in the ballot box,

the voter loses control over its disposition. To permit the withdrawal of ballots

places, in most cases, the finality of the election in the hands of such voters. 

Moreover, allowing such practices may open elections to possible abuses

since, once the election results were known, pressures of various kinds could

be exerted upon voters to withdraw their ballots to achieve a desired election

result. Great Eastern Color Lithographic Corp., 131 NLRB 1139 (1961).

40.9 Assisting handicapped voters: Agents assist handicapped voters. The

agent offers to: 

a. accompany a blind voter into a booth; read the ballot to the voter

and place the voter’s hand holding the pencil on each box noting the

choice on the box. The agent explains all of the choices even

though the voter may state “up front” his/her choice;

b. accompany a paraplegic voter into the booth and assist the voter in

accordance with his/her request; 

c. move the booth or set up a different booth to accommodate a

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handicapped voter; and/or

d. take any other action required to assist the handicapped voter.

40.10 Safeguarding the ballot box: 

40.10.1 Ballot box(es): The ballot box(es) are under the constant surveillance of the

agent and the observers in the polling place(s) throughout the one or more

voting periods involved. As discussed in CHM 37.2, a separate set of

observers are assigned to watch the ballot box in any election involving 200

employees voting per hour. During the election, as the ballot box fills up, the

agent shakes it occasionally to compress the ballots in the box.

40.10.2 Sealing the ballot box: During the election, after a ballot box has been filled,

it is removed and sealed promptly by the observers. A strip of masking tape

is placed over the slot where the ballots were deposited. Each observer 

signs his/her name across the sealing tape, with the first name begun off the

strip and a portion of the last name ending off the strip on the opposite side. 

Transparent tape is placed over each of the signatures. The sealed box is

placed in a location where it is under constant custody and surveillance by the

agent and observers during the remainder of the voting period. A new box is

constructed as discussed in CHM 39.9.

40.10.3 Custody between voting periods: See also CHM 42 for a discussion on

split voting sessions. Item #12 of the election agreement, FLRA Form 33 and

Item #10 of the election agreement for unit consolidation elections, FLRA

Form 34, specify that the ballot box will be securely stored between voting

sessions by the agent. The unused ballots are placed in an envelope or

suitable box and sealed and signed over in the same manner as described in

CHM 40.10.2. Ballot boxes are sealed and signed over in the same manner.

In carrying out his/her responsibility to secure the ballots and ballot box

between voting sessions, the agent remains with the election materials at all

times. Locking the ballots and the ballot box in the trunk of one's car or in a

hotel room is unacceptable as it could lead to an objection pursuant to

§ 2422.29 of the regulations.

40.11 Closing the polls: The polls are closed exactly at the scheduled time as

determined by the agent, referring to the timepiece selected prior to the

opening of the polls. Those employees who are waiting in line outside the

polling area to vote when the polls close are permitted to vote without

challenge. In these circumstances, the agent notes who the last voter is in

line and seals the ballot box and the unused ballots after that voter casts

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his/her ballot. 

There may be situations where voters join the line after the polls close, but

before the ballot box is opened for the count. If the voter insists on voting, the

agent allows the voter to cast a challenged ballot and includes on the

challenged ballot envelope a statement of why the voter appeared late at the

polls. This allows an orderly investigation of the circumstances surrounding

the matter in postelection proceedings (CHM 47.6).

In situations where it appears that everyone listed on the eligibility list has

voted, the agent may not close the polls before the time established in the

Election Agreement. The names on the list are not conclusive of the eligibility

of all of the employees in the unit; e.g., omission of name(s) due to clerical

error. Thus, the full voting period is available for any employee who desires

to vote.

40.12 Sealing the ballot box and the unused ballots: Once the polls are closed,

the agent seals both the ballot box across the slot where the ballots were

deposited and the unused ballots before doing anything else. The ballot box

is sealed even if the count of the ballots is being held at the polling site

immediately following the close of the polls. The ballot box is sealed as

described in CHM 40.10.2. The unused ballots are sealed in a separate

envelope in the same manner. 

40.13 Certification of conduct of election: At the close of the election, the agent

asks the observers to sign a Certification of Conduct of Election, FLRA Form

42. Each observer notes the specific times s/he served as an observer and

the party represented. If a party has no observer, the agent writes “No

Observer” in the appropriate space. Any observer who leaves the polling

place prior to the close of the election is requested to sign the Certification

form showing the time spent at the polling place. Where multiple polling

places are used, a separate Certification of Conduct of Election is prepared

by the Regional Office for each of the locations.

If an observer refuses to sign the Certification, the agent asks the observer

to prepare a written signed statement (affidavit) setting forth the reason(s) for

such refusal. The agent is responsible for ensuring the affidavit is complete. 

This statement is retained with the Certification form signed by the remaining

observers. (CHM 36.2p).

If there are no observers at the polling site, the agent conducting the election

proceeds with the election and notes on the Certification of Conduct that the

election was conducted with no observers present. (See also CHM 43.4 for

mail-out elections.) 

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40.14 Securing other election supplies: All election materials pertaining to the

election are secured and returned to the Regional Office. This includes the

unused ballots, the voting list(s), certification(s) of conduct of election and

original tally of ballots. Spoiled ballots are also sealed in a separate

envelope. The agent also takes custody of any other challenged ballot lists

that s/he instructed the parties to maintain. The observers return their badges

to the agent even if the same observers act at the count. The agent is

responsible for cleaning up the polling area and removing all election

supplies. The secured election supplies (pens, tape, etc.), the unopened

ballot box and the voting eligibility lists are used at the count. 

40.15 Transferring ballots from ballot box: In certain rare and exceptional

circumstances, the count may not take place immediately following the close

of the polls. For example, if the ballots are impounded or the election is held

in a remote location, the parties may agree in the Election Agreement to count

the ballots elsewhere. (See CHM 55.2 for a discussion about impounding

ballots: circumstances concerning the decision to impound and procedures

for impounding.) 

In such situations, the ballots may be removed from the ballot box in front of

all observers and transferred in their folded condition to a mailing envelope

or other repository. The envelope/box is sealed and signed by all of the

observers and transparent tape is placed over each of the signatures. The

envelope/box is marked clearly to reflect the case number, date of election

and polling place. The envelope/box is also labeled to reflect that it contains

ballots and that the envelope may not be opened. If more than one envelope

is being used, each envelope is marked in sequence; e.g., “Envelope 1 of 2"

or “Envelope 2 of 2”, etc. Employees at the receiving location are alerted

regarding receipt of the material and that it cannot be opened when received.

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Multiple Voting Site Elections

41 MULTIPLE VOTING SITE ELECTIONS: 

41.1 Fixed sites: Where more than one polling place is open, either

simultaneously, at different times, or with overlapping periods, the procedures

are basically the same as those applying to a single polling place. Each

polling place is set up and run like those described in CHM 39 and 40.

Where the polls are opened simultaneously, a voter is normally required to

vote at a specific place cited in the Election Agreement or Direction of

Election and posted in the Notice of Election. The voter's name appears on

the eligibility list only at that location. If the voter wants to vote at another site,

s/he votes a challenged ballot at the site where his/her name does not appear

on the list. This challenge is resolved prior to the count to ensure the voter

only voted once. 

NOTE: The agent and the observer may request the voter go to his/her

assigned polling site to vote, but s/he cannot require it. The agent and

the observers can not say anything to the voter that could be perceived

to discourage the employee from voting. 

If the parties cannot “assign” voters to a particular site (such as truck drivers

or roving work crews), alternative identification procedures are discussed at

the election agreement meeting (CHM 28.21). Voters and observers follow

the voter-identification procedures set forth in the Election Agreement;

otherwise, the voters cast challenged ballots at any of the polls designated

and the challenges are resolved before any votes are counted. CHM 28.22

A separate certification of conduct of election is used for each polling place. 

Other closing procedures, such as sealing the ballot box, are also observed

at each polling place. At the close of the voting, the ballot boxes used at all

polls are brought together and the contents of the boxes are thoroughly mixed

before the count takes place (CHM 47).

41.2 Traveling elections: Some elections require the polls to move from place to

place. This usually occurs where there are small numbers of eligible

employees spread out over a large facility and it is not practical to set up

permanent polls at each location. In traveling elections, the entire election is

usually conducted in the back of a truck with the observers at the front and the

voting booths set up in the back. 

The election is conducted by an agent, who travels with observers

representing each party. The opening and closing of each voting period is as

formal as those involving a regular polling place. The ballot box is quickly

sealed between voting sessions and the unused ballots are also secured. 

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The only difference is that the certification of conduct is signed only once and

at the end of the day, assuming all of the same observers are present for the

traveling election.

Like other multiple polling places, the voting hours at each place are

scheduled in advance and appear on the Notice of Election. When scheduling

traveling elections, potential weather, road, and automobile problems are

considered. 

In very rare circumstances, it may not be possible to set the polling hours in

the Election Agreement. An example includes employees who work on

floating barges dredging rivers and the Activity cannot predict when the barge

docks. These circumstances are carefully described in the Election

Agreement so that the Agreement clearly reflects the circumstances as well

as the parties’ agreement and arrangement to vote the eligible employees

(CHM 28.20.3.2).

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Split Session Elections

42 SPLITSESSION ELECTIONS: Split session elections are elections involving

multiple voting sessions at a fixed site. An example is a three-shift work

operation where the polls are opened during the periods where the employees

change shifts. Each session is conducted like a separate election. The same

instructions apply to opening and closing the polls in split-session elections

as in elections generally. Polls are opened and closed in accordance with the

times designated in the Election Agreement and Notice of Election.

At the close of each voting session, observers are asked to sign the

certification of conduct of election with the added notation “session #1 of __”

and reflect when the session was opened and closed. The ballot box is

securely sealed as described in CHM 40.10. Badges are collected. As

discussed in CHM40.10, the agent is solely responsible for the custody of the

box and election supplies. This procedure is repeated for every session. 

If the same observers are returning for another session, the agent cautions

the observers about their conduct between sessions. See CHM 46.

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Conducting Mail Ballot Elections

43 CONDUCTING MAIL BALLOT ELECTIONS: When conducting mail ballot

elections, the Regional Office performs all of the functions performed at

manual ballot elections. As noted in CHM 28.23, the details of mail ballot

elections are set forth in the Election Agreement or Direction of Election. See

also Figure 28.23. The Regional Office is required to prepare all materials,

obtain the eligibility list and mailing labels of eligible employees’ home

addresses from the activity, and mail ballots to all eligible employees. 

43.1 Materials required for the mail-out:

43.1.1 Notice of Election: In an all mail ballot election, a Notice of Mail Ballot

Election, FLRA Form 125B, 210B or 36B (unit consolidation election) is used;

in a mixed mail/manual ballot election, FLRA Form 125A, 210A or 36A is

used, as appropriate. See CHM33 for contents and preparation of the notice. 

43.1.2 Instructions to Eligible Employees Voting by U.S. Mail, FLRA Doc. 1013:

This document states the purpose of the election and instructs voters on

marking their ballots and sealing them in the appropriate envelopes. The

region completes the line concerning the date ballots are due to be returned

to the Regional Office.

43.1.3 Official secret ballot: The same ballots used in manual ballot elections are

used in mail ballot elections. See CHM 34 for guidance on ballots, their

preparation and format.

43.1.4 Secret ballot envelope: The region has a supply of Secret Ballot envelopes,

FLRA Doc. 1280. The voter is instructed to seal his/her ballot in the secret

ballot envelope before placing it in the return business reply envelope. If a

ballot is not sealed in the secret ballot envelope, but rather is sealed directly

in the business reply envelope, the agent announces that the ballot will be 

counted. In Veterans Administration Regional Office, Newark, New Jersey,

1 A/SLMR 207 (1971), the Assistant Secretary concluded that the failure to

enclose the ballot in a sealed envelope is not sufficient grounds for

invalidating the eligible voter’s ballot. If a party objects to counting the ballot,

the ballot is considered a challenged ballot. See also CHM 47.7.4 and 47.10

for a discussion of similar issues.

43.1.5 Return business reply envelope with signature statement and return

address: Each region has its own supply of preprinted return business reply

envelopes that contain the statement: “I believe I am an eligible voter in this

election. I personally voted the within secret ballot.” The voter is instructed

on the FLRA Form 1013 to sign this statement and to certify that s/he voted

the within ballot.

43.1.6 Envelope to mail election package to the voter: This envelope is large

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Conducting Mail Ballot Elections

enough to hold the election materials. The envelope is marked “Personal, To

Be Opened By Addressee Only” and “Open Immediately.” It is addressed to

each eligible voter at their home address unless there are unusual

circumstances warranting a different procedure.

43.2 Eligibility list: The same procedures are used to prepare and check the

eligibility list as discussed in CHM 35. The requirement to furnish the

eligibility list with home addresses of all eligible employees on mailing labels

is included in the Election Agreement. The Election Agreement also includes

a date for submitting these materials to the Regional Office. The list is due

in the Regional Office before the date of the mail-out of the ballots. If an

activity refuses to provide the employees’ mailing addresses, contact

the Office of the General Counsel immediately. Provide the name and

telephone number of the activityrepresentative who made the decision. 

See also CHM 28.23.1.

43.3 Conducting the mail-out: Prior to the date of the mail-out, the region

prepares all supplies. If no party intends to have an observer present, the

region may also compile the packages of materials described in CHM 43.1

and place these materials in the envelope containing the voter’s name and

home address before the mail-out date. As each envelope is being prepared,

the agent assigned to the case is responsible for checking the voter’s name

against the eligibility list. If key numbers are used as a means of facilitating

identification of the voters, the agent ensures that the key number next to the

voter’s name on the eligibility list corresponds to the key number on the return

envelope. 

[Technical information on how to numberreturn envelopes for a large election: 

on WP8 do a page set-up for envelope size document, and do a footer in

order to align the numbers in the appropriate box. This task requires

changing margins, line spacing, etc. after which the case number will fit on the

designated line. Center the case number on the margin. To number the

envelopes select format, page, numbering and then select(set value)type the

number and wp8 will automatically number the envelopes consecutively.]

If the party(s) intends to have an observer present, the agent schedules a

time for the region to compile the mail ballot package before the actual date

of the mailing. All unused ballots and materials are secured by the agent in

an envelope similar to sealing ballots at a manual election. Tape is placed

across the seal and the agent signs across the tape so the signature crosses

the tape onto the envelope. Transparent tape is placed over the signatures. 

If the agent believes that additional ballots will be requested and mailed to

voters after the original mail-out date, these procedures may be relaxed as

long as the ballots, eligibility list and election materials are secured in a safe

place. See also CHM 43.9 and CHM 47.9 for securing returned mail ballots. 

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43-2 Representation Case Handling Manual
Conducting Mail Ballot Elections

 

43.4 Certification of conduct of election: After the materials are placed into the

mail-out envelopes, the eligibility list checked and envelopes sealed, the

agent and any observer(s) present sign a certification of conduct of election. 

Unlike manually conducted elections where only the observers sign the

certification, when no observers are present or where all of the parties are not

represented by observers, the agent signs the certification or prepares a

memorandum to the file certifying the conduct of the mail-out. 

43.5 Depositing the mail ballot packages in the U.S. Mail: The ballots are

deposited in the mail on the day established by the parties in the Election

Agreement. Since the regions meter their own mail, the regions ensure that

the mail is metered and picked up on the date designated for the mail-out. 

The agent notes on the certification of conduct, or in a memorandum to the

file, that the ballots were properly mailed. 

43.6 Posting the Notice of Election: A notice of election in an all-mail ballot

election (FLRA Form 125B, 210B or FLRA Form 36B) or a mixed mail\manual

ballot election (FLRA Form 125A, 210A or FLRA Form 36A) is posted no later

than the date of the mailing of the ballots. The notice remains posted through

the date of the count of the ballots.

43.7 Mixed mail/manual ballot elections:In a mixed mail/manual ballot election,

ballots are sent only to those employees who cannot vote in person because

they are absent on official business on the day of the election, their duty

station is in a remote area, and/or the parties agree that a mail ballot election

is appropriate under the circumstances (CHM 28.19). 

As noted in CHM 28.24, mail ballots are not sent to any eligible employee for

reasons such as illness, vacation, or furlough which may preclude the

employee from being able to vote on the day of the election.

43.8 Ballots returned by the post office as “undeliverable”: If the post office

returns ballots because of an incorrect address, the region verifies that the

address was the last known address maintained by the activity for the

employee. If the address originally given was incorrect, the region mails

another ballot to the correct address. If the activity verifies that the address

given was the last known address, the region records this information on the

envelope. The returned envelope is secured with the remainder of the

election supplies. 

43.9 Securing returned mail ballots before the count: Upon receipt in the

Regional Office, all envelopes are date-stamped to establish the date of

receipt. Returned mail ballots are placed in a secure location, either in

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Conducting Mail Ballot Elections

a “ballot box” that is sealed or in a locked drawer. Envelopes received

after the close of business on the return date, but prior to the time set for the

count, are kept separated from those timely received. See also CHM 47.9.2.

43.10 Counting mail ballots: see CHM 47.9.

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43-4 Representation Case Handling Manual
Challenged Ballot Procedure

44 CHALLENGED BALLOT PROCEDURE:

44.1 Purpose: Eligibility to vote in any election is based upon the voter’s

employment in the unit during a specified payroll period and at the time of the

election. The challenged ballot procedure affords an individual whose

eligibility is an issue the opportunity to vote, while preserving the ballot until

a determination is made, if necessary by the Regional Director or the

Authority. See U.S. Department of the Navy, Naval Station, Ingleside, Texas,

46 FLRA 1011, 1024 n.9 (1992).

44.2 Filing challenges: Any party through its authorized observer or the Regional

Director, or through his/her agent, may, for good cause, challenge the

eligibility of any person to participate in the election prior to the employee

voting [§ 2422.24(a)]. CHM 44.4

44.3 Basis for challenge: A party challenges the eligibility of a voter who may not

be in the unit or employed during the specified payroll period. Examples of

such challenges are based on the following grounds:

a. Supervisory or managerial status;

b. Employed in, or transferred permanently to, a classification outside

of the unit involved in the election;

c. Employed in a position not encompassed in the unit;

d. Hired into the unit after the designated payroll period;

e. Promoted out of the unit or reassigned after the designated payroll

period;

f. Employee’s name is not on the list; 

g. The employee’s name is on the eligibility list, but one party contests

the voter’s eligibility; or

h. In a mixed pro/nonpro election, the voter insists on voting a

professional ballot even though the eligibility list reflects the voter is

a nonprofessional employee. 

44.4 Who may challenge: The agent may not make challenges on behalf of the

parties, whether or not the parties have observers present at a manual or mail

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Challenged Ballot Procedure

ballot election. The agent makes it very clear to the parties that s/he does

not assume responsibility for assuring a voter’s ballot is challenged. (see

CHM 28.11.3.2). 

44.4.1 Manual ballot election:

a. Any observer at a manual election has the right to challenge a voter

for cause. 

b. The Authority agent is required to challenge any employee whose

name is not on the eligibility list, regardless of whether the observers

know the voter. The agent also challenges a voter if s/he knows, or

has reason to believe, that the voter is ineligible to vote, even if none

of the observers voices a challenge on that ground. 

44.4.2 Mail ballot election:

In a mail ballot election, a party challenges the eligibility of a voter at the

count and only if the ballot is returned (see CHM 44.10). An observer for the

party or the party representative may challenge the eligibility of a voter who

returns a mail ballot in one of two ways:

a. Be present at the count;

b. Stand by on the phone to answer questions, make challenges and

resolve them before the count. A party representative who is on the

phone during the count can challenge the eligibility of an employee

who returns a ballot in one of two ways: 

(i) The agent may be required to read the names of all

employees who returned a mail ballot so that the party

representative makes the challenge as s/he hears the

names read; or

(ii) The party representative may simply read the names of

those employees whom it seeks to challenge after the

returned envelopes are checked in and before they are

opened. 

NOTE: A party can not send a letter to the Regional Office designating

those employees whom it wishes to challenge. In essence, such a

request is tantamount to the agent filing the challenge on the party’s

behalf. It is important to discuss these procedures at the election

agreement meeting so that there is no confusion at the count. See also

CHM 44.10.

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Challenged Ballot Procedure

44.5 When to challenge at a manual election: An observer or the agent

challenge(s) a voter’s eligibility before the voter receives a ballot from the

agent. A challenge is made immediately after the voter has given his/her

name to the observers. If a party raises a challenge for the first time after the

voter receives the ballot, the challenge is not entertained. Therefore, during

the pre-election observer’s meeting, the agent instructs the observers

carefully on the challenged ballot procedure (CHM 39.7). See also U.S.

Army Advanced Ballistic Missile Defense Agency, Huntsville Office,

Huntsville,Alabama, Case No. 40-3672(RO), 1 Ruling on Request for Review

234 (1972), Report on Ruling Number 57, 4 A/SLMR 867 (1972).

44.6 Challenge ballot procedure: An individual whose eligibility to vote is in

dispute is given the opportunity to vote a challenged ballot [§ 2422.24(b)].

44.6.1 Marking the eligibilitylist:The eligibility list is marked in a particular manner

to reflect that the voter cast a challenged ballot. 

a. When an observer challenges a voter whose name appears on the

included list, the observer making the challenge marks a small “c”

beside his/her name. The other observers make their usual mark. 

b. If the agent is making the challenge or the voter’s name is on the

excluded list, the observers all mark a small “c” next to the voter’s

name. 

c. If the voter’s name does not appear on the list, it is added at the

bottom of the list or on a supplemental sheet and a “c” inserted by

all observers. 

The agent has discretion to maintain a separate list of voters challenged to

facilitate obtaining information from the activity and to expedite resolving

challenged ballots before the count. In large elections where there may be a

significant number of challenged ballots, the list of challenged voters may be

forwarded to the activity representative periodically during the election so that

the information can be retrieved and made available as soon as possible after

the close of the election.

44.6.2 Completing the challenged ballot envelope: The agent at the check-in

table (or at a large election, at a separate table) fills out the information on the

challenged ballot envelope, FLRA Form 1279. This information includes the

voter’s name, identification number, job title and reason for the challenge, the

identity of the challenger and the agent’s initials. If time permits, the agent

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Challenged Ballot Procedure

may elicit specific information surrounding the voter’s status. The voter initials

any supplementary information. 

NOTE:In busy elections, the agent has discretion to allow the observers

to fill out the challenged ballot envelope and then hand it to the agent. 

The agent ensures that the information is complete and accurate before

allowing the voter to vote.

44.6.3 Instructing the voter: The agent hands the voter the challenged ballot

envelope, a secret ballot envelope and a ballot. The following is a suggested

procedure to follow: 

The agent instructs the voter to enter the booth and:

a. Mark the ballot;

b. Fold the ballot and seal it in the secret ballot envelope;

c. Place the secret ballot envelope in the challenged ballot envelope

and return to the agent without sealing it.

When the voter emerges from the voting booth, the agent asks the voter to

confirm that the ballot was sealed in the secret ballot envelope and placed in

the challenged ballot envelope. The agent explains to the voter that by

sealing his/her ballot in the secret ballot envelope, the sanctity of the ballot is

secured while allowing the parties to resolve the voter’s eligibility status. The

agent responds to any concerns raised by the voter and then asks the

voter to seal the challenged ballot envelope and deposit it in the ballot

box. 

44.7 Voter's name found already marked: An employee may appear at the

check-in table to vote and it is found that the name of that person has already

been marked off on the eligibility list as having voted. If the employee asserts

that s/he did not previously vote, the employee is allowed to cast a challenged

ballot. The circumstances under which the name was marked off earlier can

be determined, if necessary, in a post-election investigation. The observers

add the voter’s name to the list, mark it as a challenged ballot and note that

there is a claim of duplicate voting.

44.8 Notation of potential challenges: Observers may bring lists to the election

of employees they intend to challenge. The observers may not place any

marks on these lists to denote if an employee actually voted. The agent

collects all lists when the polls close. 

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Challenged Ballot Procedure

44.9 Merit of challenge or eligibility may not be argued: Arguments on the

merits of a challenge or a voter's eligibility are not permitted (see CHM 39.7). 

The challenge steps outlined above are taken quietly and quickly, and the

agent makes every effort to ensure that the regular voting flow is not impeded. 

If an employee who is clearly ineligible insists on voting, it is easier to have

the employee vote a challenged ballot rather than engage in a debate that

could disrupt the election. See also CHM45 - handling challenging situations.

44.10 Mail ballot voting: In mail ballot elections, an employee's eligibility may be

challenged by a party when a ballot is returned. However, the challenge is

only resolved if the ballot is returned and the challenging party is available at

the count (either in person or via phone) to resolve the challenge. Thus, the

actual challenge occurs when the return envelope, containing the ballot, is

checked off against the eligibility list. 

44.11 Mixed mail/manual ballot election: In a mixed mail/manual election, if any

employee to whom a mail ballot has been sent seeks to vote in the manual

portion of the election, s/he may be permitted to do so, but only by challenged

ballot, i.e, not on the list. In resolving the latter type of challenged ballot, if

examination of the returned mail ballots reveals that the challenged voter did

not vote by mail ballot, the challenge to the manually-cast ballot is withdrawn

and the ballot counted. If a voter casts both a mail ballot and a challenged

manual ballot, the mail ballot is declared void by the agent. The mail ballot

envelope is marked “void” and the reason is noted on the envelope. The

challenged manual ballot is declared valid and opened and counted.

44.12 Resolving challenged ballots: The agent makes every effort to resolve

challenged ballots. Challenged ballots are resolved after the polls close

and when the parties gather for the tally, but before the actual count of

the ballots. See CHM 47.6 for procedures for resolving challenged ballots

before the count.

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Challenged Ballot Procedure

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44-6 Representation Case Handling Manual
Handling Challenging Situations

45 HANDLING CHALLENGING SITUATIONS: Agents recognize that the

election is a formal proceeding and that the representation election process

often sets the stage for the parties' future relationship. By dressing and

conducting him/herself in a manner consistent with the formality of the

proceeding, the agent lends credibility to the Authority's processes and

assists the parties in forging their relationship. 

In a hotly contested election, the agent handles any unforeseen situations in

a manner that maintains the dignity and formality of the process. Of

paramount importance is that the election is conducted fairly and impartially,

so that each eligible employee is given the opportunity to cast a secret,

uncoerced ballot. 

Many issues can be anticipated and avoided with careful pre-election

planning. Some cannot. Examples of issues that may arise during the

election include:

a. The activity wants to change the polling site immediately before the

polls open or during the election. The agent may not agree to

change the site at this late date except in rare and unusual

circumstances as described in CHM 39.1. If the activity

representative becomes insistent about changing the polling site, the

agent may not engage in an argument, but instead, refuses. If the

problem continues, the agent calls the Regional Director.

b. A voter has no identification and none of the observers know

him/her. The voter refuses to get the identification and insists on

voting. Vote the employee under challenge; obviously there is no

way the voter's identification can be verified and the challenge will

be resolved as ineligible. The point in this scenario is to avoid a

confrontation in the polling area.

c. A supervisor insists on entering the polling area and attempts to

disrupt the balloting. The supervisor does not dispute that s/he is

ineligible to vote. The agent asks the supervisor to leave and the

supervisor challenges the agent's authority. The agent asks for the

supervisor's name and the name of his/her supervisor. The agent

then calmly explains to the supervisor that s/he wants to make sure

that the activity knows the identity of the supervisor who caused the

rerun of the election. This usually ends the matter as the supervisor

retreats quickly.

d. The polls open late because the building is locked or the agent and

observers cannot obtain access to the polling area. Often the

observers know someone to call. In either event, the agent records

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Handling Challenging Situations

the circumstances that caused the polls to open late and whether

any voters were disenfranchised. This situation can usually be

avoided by verifying access to the building when planning the

election. 

e. The agent learns during the election that the voters are being

released in staggered shifts to vote. This was not a procedure that

was considered or made part of the Election Agreement. The agent

contacts the activity representative from a phone at the polling site

or asks one of the voters to call the activity representative and

apprise the representative of the situation. If the agent has to leave

the voting area to talk to the activity representative responsible for

this action, the agent waits for a lull in the voting. The agent and the

observers seal the ballot box and the unused ballots. The agent

takes the unused ballots and the ballot box with him/her and leave

the observers at the polling site. The observers are instructed to ask

any incoming voter to wait a few minutes. The agent goes to the

nearest phone and contacts the activity representative. 

While there are no hard and fast rules for handling these and other situations,

the scenarios described above illustrate howsome potentially tense situations

can be diffused very quickly and professionally.

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45-2 Representation Case Handling Manual
Electioneering

46 ELECTIONEERING: No electioneering is permitted at or near the polling

place during the voting hours. The polling area includes the polling place and

the line in which employees wait to vote. Agents of the parties (other than

observers) are not allowed in the polling area at all during the election hours.

46.1 Agency’s role and pre-election campaign side agreements: 

46.1.1 Agency’s role: It is the Agency’s duty to remain neutral during the election

campaign. See Department of the Air Force, Air Force Plant Representative

Office, Detachment 27, Fort Worth, Texas, 5 FLRA 492 (1981); U.S. Army

Engineer Activity, Capital Area, Fort Myer, VA, 34 FLRA 38 (1989); Fort

Campbell Dependents Schools, Fort Campbell, Kentucky, 46 FLRA 219

(1992).

46.1.2 Pre-election campaign side agreements: The parties may reach preelection campaign side agreements regarding electioneering. The Authority

does not police such agreements. The regions, however, investigate any

conduct constituting an objection that allegedly improperly affected the

conduct or the results of the election, regardless of whether it is included in

the party’s side agreement. Veterans Administration Hospital, Jamaica Plain,

Massachusetts, Case No. 31-3178, 1 Rulings on Requests for Review 85

(1970), Report on Ruling Number 20, 1 A/SLMR 615 (1970). (CHM 28.31). 

In the absence of the filing of a charge, complaints of improper electioneering

are not investigated prior to the election, unless and only to the extent that

they involve abuse of the Authority's processes. For example, defaced

notices of election are replaced, if brought to the region's attention, by the

posting of fresh copies. If the region learns that an entire group of eligible

employees was not provided with an opportunity to vote in the Election

Agreement, the Regional Director may cancel the election by issuing an Order

Canceling the Election.

The agent records all electioneering conduct that may be objectionable in a

case file memorandum.

46.2 Observer rules:

46.2.1 Insignia: Observers wear the official FLRA Observer's badge. They may not

wear any campaign insignia.

46.2.2 Electioneering by observers: Observers may not electioneer during their

hours on duty as an observer, whether at or away from the polling place. 

Observers also may not converse with incoming voters other than the normal

conversation that occurs as the voter is checking in. Finally, if an observer

takes a break, the agent cautions him/her against seeking out colleagues who

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Representation Case Handling Manual 46-1
Electioneering

have not yet voted to encourage them to vote. 

46.3 Voters: Voters may wear campaign insignia, even though it constitutes

electioneering material. A voter may not campaign or discuss his/her choice

in the polling area. If a voter carries campaign flyers or other campaign

material in his/her hand into the polling area, s/he is asked to put the material

out of sight. The observers cannot offer to take the material from the voter or

allow it to remain in the polling area. The agent checks the polling area and

voting booths periodically and removes any election literature that may have

been left by a voter. 

Voters may talk among themselves in line. The agent is not required to police

their conversations unless the talk becomes loud and/or disruptive.

46.4 Area around polling place: In some contested elections, the agent may

discuss with the parties the boundary area around the polling place in which

the parties may not electioneer during polling hours. The agent cannot agree

to set a boundary that cannot be policed. 

46.5 Distribution of literature and sound trucks: The distribution of campaign

material on election day cannot be prohibited by the Authority, even though

it takes place during polling hours, unless it occurs within the polling area. The

agent may take steps to stop a sound truck from campaigning near the polls

if the sound is heard in the polling area.

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46-2 Representation Case Handling Manual
Tally of Ballots

47 TALLY OF BALLOTS: Regulations Section 2422.25(a) provides that at the

conclusion of the election, the Regional Director will tally the ballots. The

agent in charge of the election acts on the Regional Director’s behalf. The

Regional Director does not attend the count as s/he rules on any objections

that may be filed regarding conduct occurring at the count and on any

determinative challenged ballots the parties are unable to resolve at the

count.

47.1 Valid ballots cast: Representation is determined by the majority of the valid

ballots cast [§ 2422.25(c)]. A majority is determined on the basis of the valid

votes cast and not on the basis of those eligible to vote. There is no

requirement that a specific percentage or number of eligible voters cast

ballots in order for an election to be valid. See U.S. Department of the

Interior, Bureau of Indian Affairs, Rosebud, South Dakota, 34 FLRA 67 (1989) 

CHM 28.1.

This section concerns procedures for resolving challenged ballots and tallying

ballots. The procedures are equally applicable to manual, mail or mixed

mail/manual ballot elections.

47.2 Designating the time and place for the tally: Item #13 of the election

agreement (FLRA Form 33) and Item #11 of the election agreement for unit

consolidation elections (FLRA Form 34) specifies the time and place for

tallying the ballots (CHM 28.27). In most instances, the count is conducted

in the same place and on the same date as the election is held. However, in

circumstances where the voting places are widely dispersed, the parties may

have to allow additional time for the return of the ballots by mail or by the

agent. 

The count cannot begin until all ballot boxes have been collected. If voting

hours have been long and arduous and the count is expected to be drawn out,

the parties may agree in the Election Agreement to allow a rest period

between the close of the polls and the count. Where there is an intervening

interval, the agent is responsible for safeguarding the ballot box(es) and

letting the parties know that the ballot box(es) is (are) safe.

The place for tallying the ballots is large enough to accommodate the

representatives of the parties and to provide ample working area for handling

ballot boxes and tallying the ballots. In large elections, separate tables are

set up to handle elections involving more than 1000 voters. A team of one

caller, two “unfolders” (all agents) can tally approximately 1000 ballots an

hour. 

NOTE: If the Authority orders the ballots impounded, see CHM 55.2.

47.3 Arranging the layout: All activities concerned with the handling of the ballots

are contained within an enclosed area. For example, by using a U-shaped

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Tally of Ballots

table configuration, the entire tallying procedure, from opening the box(es) to

issuing the Tally of Ballots, can be conducted inside this area and be totally

separated from spectators. The sealed ballot box(es) can also be stored

inside the area, under the continuous observation of the observers seated

around the table.

47.4 Persons present in the room: The actual participants in the count are the

agent(s) and official observers. 

Representatives of the parties may also be present but may not participate in

the process. In large or hotly contested elections, the agent may be asked to

allow the press to observe or record the count. Clearance is obtained from

the Office of the General Counsel before allowing the press into the area. 

47.5 Who conducts the tally: Agents are the only persons permitted to tally the

ballots. Observers are designated to watch the count and ensure its

accuracy.

47.6 Pre-tally resolution of challenged ballots: The agent makes every effort

to resolve challenged ballots before the ballots are tallied in accordance with

the procedures outlined in CHM 47.7. This section discusses basic policy

considerations regarding resolving challenged ballots. A challenged ballot is

considered a valid ballot cast, and the parties agree either to “resolve” the

challenge or to leave the challenge “unresolved” prior to counting the ballots

(before the tally). 

Disposition of challenged ballots requires the agreement of all of the parties

to the election. Pre-tally discussions concerning challenged ballots often set 

the tone for conduct of the tally. The agent discusses the procedures outlined

in this manual for conducting the count including: 

a. roles of the Authority agent(s), observers and party representatives;

b. why the challenged ballots are resolved first, the procedure for

“resolving” them, and the potential consequences of not resolving

them;

c. the tallying procedure and responsibilities of the agent(s), parties

and their observers;

d. spoiled ballots;

e. tallying procedures and completion of the certification of the tally;

and if necessary,

f. regulatory requirements for filing objections (citing to regulation).

 

 47.6.1 Role of agent: The agent: 

a. Explains that he/she has no authority to make any ruling as to the

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Tally of Ballots

eligibility of any voter whose ballot has been challenged. 

b. Makes sure parties understand consequences of their agreements. 

c. Takes efforts to resolve all outstanding challenges and avoid future

inclusion/exclusion questions. 

d. Takes an active role setting out case law and helps parties apply

that law, including suggesting inclusions/exclusions. Suggests that

each party discuss the reasons for making their own challenges as

each is addressed. 

e. Raises with the parties whether a particular position is eligible or

ineligible for the unit (regardless of the parties’ agreement) when the

agent has independent knowledge that brings into question the

status. 

If the agent’s questions (based on face of the list or independent

knowledge) are not resolved to the satisfaction of the agent, the

agent reports to the RD who can decide to approve the parties’

agreed upon list or hold a hearing.

The fewer the number of unresolved challenged ballots remaining at the

count, the less likely that the challenged ballots are determinative of the

outcome of the election. 

47.6.2 Consequences of the parties’ agreement: The agent is responsible for

ensuring that the parties understand the consequences of their agreement. 

The parties’ agreement on challenged ballots is binding unless:

a. If the parties agree the position is ineligible, the position stays

ineligible unless: i) there are changed circumstances, or ii) the

position(s) should have been included in the first instance and

constitutes a residual unit. FTC II, 35 FLRA 576 (1990).

b. If the parties agree that the position is eligible for inclusion in the

unit, the position remains eligible unless: i) there are changed

circumstances; or ii) the position(s) was ineligible in the first instance

based on 5 U.S.C. 7112(b)(1) through (7) statutory exclusions. See

U.S. Department of the Army, U.S. Army Law Enforcement

Command Pacific, Fort Shafter, Hawaii, 53 FLRA 1602 (1998) (the

parties improperly agreed to include positions that were not in

conformance with the Statute and were subject to statutory

exclusions). (See CHM 28.18.3.5.)

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Tally of Ballots

NOTE: 

1. The agent may raise certain questions with the parties to obtain

factual information concerning a challenged voter. If the

agent’s questions are not resolved to the agent’s satisfaction 

(based on independent knowledge), the agent checks with the

Regional Director before allowing the parties to resolve the

challenge. 

2. If the parties and the agent are unable to resolve the challenged

ballot(s) before the tally of the ballots, see CHM 47.18 for a

discussion on “post-tally party resolution” of determinative

challenged ballots. 

3. If post-tally, the parties are unable to resolve the determinative

challenges pursuant to CHM 47.18, the determinative

challenged ballots are impounded and preserved until a

determination is made, if necessary, by the Regional Director

[§ 2422.24(b)]. See CHM 49.

47.7 Procedure:

47.7.1 Opening the ballot boxes: All ballot boxes are opened at the same time by

the agent(s). Challenged ballot envelopes are removed and handed to the

agent in charge or placed in a pile by the agent opening the boxes. The other

ballots remain in the box. In large elections where the ballot boxes are filled,

it is easier to empty the contents of the box on a table so the agent can locate

the challenged ballot envelopes. See CHM 47.8 for instructions on emptying

the ballot box(es).

47.7.2 Separating the challenged ballots by voting groups: The challenged

ballot envelope reflects the reason for the challenge. In elections involving

multiple voting groups, the information on the challenged ballot envelope

usually identifies the voter’s voting group. In cases involving multiple voting

groups, the challenged ballots are separated by voting groups. This process

is used because if the challenges in the first voting group are determinative,

the ballots in the second voting group cannot be tallied until the challenged

ballots from the first voting group are resolved (CHM 47.17.2). 

47.7.3 Conferring about the challenged ballots: At a manual ballot count, an

authorized representative for each of the parties, rather than an observer,

confers with the agent about challenged ballots, unless the observer has been

designated to act for the party. If the election is conducted by mail ballot,

and the parties do not intend to be present for the count, at the election

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agreement conference the agent discusses procedures for making the parties

available by telephone at the count to afford the party an opportunity to

challenge an employee whose ballot has been returned. See also CHM44.4.

The following procedures apply to resolving challenged ballots in either a

manual or mail ballot election. These procedures apply to ballots challenged

by the parties and the agent. Note that ballots cast under the “Absentee

Ballot Procedure” are considered challenged ballots to ensure that employees

who vote by absentee do not also appear at the polls to vote.

a. Each challenge is handled separately. The agent calls out the name

of the challenged voter and states the reason for the challenge. 

Following the discussion, the challenging party may withdrawhis/her

position on the basis of discussion with the agent or other parties. 

It is important that the activity representative be prepared to discuss

the personnel records of any employees who have been challenged

based on eligibility to vote.

b. Each challenged ballot envelope is annotated to reflect whether it

was resolved or remains unresolved. A short explanation is also

written on the envelope and the party representatives sign or initial

the envelope signifying its status. 

(i) If the parties agree that the voter is eligible, the challenged

ballot envelope is marked “resolved - eligible,” with an

explanation. Each party signs or initials the envelope

signifying its resolution. The outer challenged ballot

envelope is removed and preserved. The secret ballot

envelope is not opened until all of the challenged ballots

are declared “resolved” or “unresolved” (see CHM 47.7.4). 

(ii) If the parties agree that the voter is ineligible, the

challenged ballot envelope is marked “resolved - ineligible”

and the reason noted (e.g., “resolved - ineligible -

supervisor”). Each party signs or initials the envelope

signifying its resolution. These unopened envelopes are

preserved and become part of the election records.

(iii) If the parties are unable to resolve the status of a

challenged ballot, the envelope is marked “unresolved,”

with an explanation of the unresolved issue. Each party

signs or initials the envelope, signifying that the challenge

is unresolved. Unresolved challenged ballots are

recorded on the tally of ballots on the line titled

“challenged ballots.” The Tally of Ballots reflects

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whether the unresolved challenged ballots are

determinative of the outcome of the election. Thereafter,

the region investigates each unresolved challenged ballot,

(CHM 49) and the Regional Director issues his/her

decision in a Decision and Order (CHM 53). 

c. Examples:

(i) In cases where the employee's name was not on the list,

the personnel or payroll information should reflect when the

employee was hired, promoted, the job classification, etc.,

or any other information that may clarify why the name was

not on the list. If the records reflect, and the parties agree,

that the omission of the name was inadvertent, and that the

voter in question is eligible in all respects, the challenge is

“resolved - eligible.” All parties initial the envelope and

note on the envelope that the omission was inadvertent. 

The envelope is opened and the secret ballot envelope is

set aside until all of the resolved challenged ballot

envelopes are opened. 

(ii) In cases where the employee voted at the wrong site in a

multiple poll election, the name of the voter is located on

the correct eligibility list and any other site list. If the lists

reflect that the employee voted only once, and as a

challenged ballot, the challenged is “resolved - eligible,” the

parties initial or sign the envelope, provide an explanation

and the ballot is tallied. 

(iii) In cases where a voter's name was marked off the

eligibility list and the voter claims that s/he never voted, the

parties may agree that an error was made and to tally the

ballot. In such cases, the envelope is marked “resolved -

eligible” with an explanation. The parties may also agree

that the voter is ineligible solely on the ground that the

name of the voter was marked off the list as having voted.

In such cases, the envelope is marked “resolved -

ineligible” with an explanation. Absent agreement by the

parties as to eligibility, the ballot remains “unresolved,” is

impounded and is included in the tally of ballots as an

unresolved challenged ballot.

(iv) A challenged ballot is resolved by the parties as having

been cast by an ineligible voter. The challenge is “resolved

- ineligible” and the reason is provided. NOTE: the ballot

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is not considered a “void” ballot, but a resolved

challenged ballot; and it is not entered on the tally of

ballots. 

(v) An observer challenges the ballot of an employee who was

acting as a supervisor on the day of the election. The

parties are unable to resolve the voter’s eligibility and the

challenged ballot envelope is marked “unresolved.” The

parties initial the envelope, note the reasons for their failure

to reach agreement and it is impounded. It is counted on

the tally as an “unresolved challenged ballot.” See CHM

47.7.4.

47.7.4 Disposition of challenged ballot materials: Before proceeding with the tally

of ballots, the agent ensures that all resolved and unresolved challenged

ballots are accounted for. 

a. The unresolved challenged ballot envelopes are designated as

“unresolved,” the reason is noted, and the parties initial the

envelope. The total number of unresolved challenged ballots is

recorded on the appropriate tallyform. These ballots are secured

by the agent. Regardless of the outcome of the election, they are

maintained as part of the election materials until after the Regional

Director issues an appropriate certification.

b. The “resolved - eligible” challenged ballot envelopes are opened; 

the outer envelope is secured with the other election materials, and

the secret ballot envelopes are commingled and then opened. The

ballot that is taken from the secret ballot envelope is not unfolded,

but commingled with the other folded ballots from the ballot box. 

The empty secret ballot envelopes are also retained with the election

materials. 

c. The “resolved - ineligible” challenged ballot envelopes are secured

with the other election supplies and taken back to the Regional

Office unopened.

NOTE: When opening challenged ballot envelopes, if the voter did not

seal the ballot in the secret ballot envelope, the agent states that the

ballot will be counted unless any party objects. If a party objects, the

ballot is treated as an unresolved challenged ballot (see CHM 43.1.4 for a

similar discussion regarding returned mail ballots).

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47.8 Tallying the ballots:

47.8.1 Removal of ballots from ballot box: The ballots are removed from the box

before the tally begins. If there are observers present, the ballots are

removed in their presence. Before any ballot box is opened, the observers

are shown the seal over the slot to confirm that the boxes were not tampered

with. In an election involving two or more polling places, the ballots from the

separate ballot boxes are commingled before being unfolded. After all the

ballots have been removed from the ballot box(es), the inside of the ballot

box(es) is (are) shown to the observers. Once the observers are assured that

there are no ballots remaining in the box, the box is broken down and

flattened.

47.8.2 Mechanics of tallying: There are two methods of tallying ballots. The

informal method is usually used in two-party elections, the formal method is

used in multi-party elections. The agent in charge of the election elects which

method to use, but it is suggested that the agent use the formal method when

the election is hotly contested.

47.8.2.1 Preliminary announcements and instructions: Before beginning the

count, the agent makes the following announcements:

a. A majority of the valid votes decides the election.

b. The observers' duties include: to observe the count; to ensure the

tally is accurate; and to question markings on ballots. The

observers are also told that they may not touch the ballots.

c. The party representatives may not stand or linger near the table, but

they should be available if any questions arise concerning markings

on the ballot.

d. Any ballot that clearly reflects the voter's intent is counted in

accordance with the apparent intention, even though the marking is

unorthodox - for example, the voter makes a check, rather than an

“x” or writes “yes” in a box; the mark appears within the outer box

rather than the inner box; there are erasers in the box(es); or there

are markings in more than one box. But a ballot in which the voter’s

intent is not clear is voided (see also CHM 47.10).

e. Any ballot that identifies the voter in any way is voided.

The agent also provides instructions on the tallying procedures, and,

certification upon completion of the tally and service of the tally.

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47.8.3 Informal method: After resolving the challenged ballots, the agent stands

on the inside of the table, removes all of the ballots from the ballot box and 

unfolds them. As the agent unfolds the ballots s/he places them face side up

in piles according to the preferences expressed. The observers stand on the

other side of the table. When this process is finished, the agent counts out

loud the different piles, displaying each ballot to the observers as it is being

counted. Ballots are packaged according to their preference in piles of 50

(use paper clips or rubber bands). If any observer questions the accuracy of

the tally, the pile is recounted. Each bundle is placed in separate piles in the

presence of the observers.

47.8.4 Formal method: Usually more than one agent works at a table when the

formal procedure is used. As one or more agents unfold the ballots, another

agent places them face down in piles according to their preference. Once the

ballots are unfolded and separated, they are turned over. Ballots reflecting

the same preference are tallied at the same table. The observers stand on

the other side of the table. They may maintain tally sheets. In very large

elections, an additional agent also maintains a tally sheet. The agent

responsible for actually counting the ballots starts counting the ballots out

loud, displaying each ballot to the observers as it is being tallied. A second

agent stands next to the counting agent to verify the party for whom the ballot

is cast and that the ballot does not contain any unusual markings that the

counter may have missed. Ballots are packaged according to their preference

in piles of 50 (use paper clips or rubber bands). If any observer questions the

accuracy of the tally, the pile is recounted. Each bundle is placed in separate

piles in the presence of the observers.

47.8.5 Verifying the tally: Whether a formal or informal method is used, the tally is

verified when the observers agree that each pile contains 50 ballots and the

agent notes “50” on the ballot at the top of the pile and circles the number. 

The bundle is placed in a pile with other bundled ballots reflecting that

preference. The tallying procedure is continued in this fashion until all the

ballots of that choice are counted. The final pile, which is usually other than

an even multiple of 50, is counted and the figure is placed on the top of the

first ballot and circled. 

At the conclusion of the tally of a particular choice, the agent recounts the

bundles of fifty as a final check of the accuracy of the figures. The entries on

the tally sheet are completed, showing the choice tallied: i.e., “yes,” “no,” the

name of the labor organization, “neither” or “none.” Where there is only a

sufficient number of agents to count one choice at a time, one of the agents

guards the ballots not being counted. If there is only one agent, the

uncounted ballots are sealed in a box until they are tallied. 

When all of the ballots are counted, the agent completes the tally sheet,

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noting the votes cast for the various choices and the number of void ballots. 

The number of unresolved challenged ballots was entered on the tally sheet

before the count. All of the counted ballots are secured with other election

materials and maintained until after the Regional Director issues the

appropriate certification.

47.9 Tallying mail ballots: 

47.9.1 Overview: When counting mail ballots, whether cast in an all-mail ballot or

mixed mail/manual election (CHM 43), the signature and the key number of

the voter on the mail ballot envelope is checked initially against the name and

number on the separate mail ballot eligibility list. If the envelope does not

bear a signature, the mail ballot is declared void. The signature of a voter is

presumed valid, absent a party raising an issue of forgery. Thus, the

signature is not compared against any official records as a matter of uniform

practice.

47.9.2 Timely receipt of mail ballots: Upon receipt in the Regional Office, all

envelopes are date-stamped to establish the date of receipt. Returned mail

ballots are placed in a secure location, either in a “ballot box” that is

sealed or in a locked drawer. 

Envelopes received after the close of business on the return date, but prior

to the time set for the count, are kept separated from those timely received. 

If all parties agree to waive the deadline, such ballots are opened and counted

or voided as appropriate. If the parties do not agree, the ballots are

challenged. U.S. Department of Health and Human Services, Social Security

Administration District Office, Greenville, North Carolina, 36FLRA824 (1990). 

NOTE: The count of the ballots usually occurs in the Regional Office

and is not always attended by representatives of the parties. CHM 44.4

and 47.7.3. In such cases, the agent pre-arranges with the parties

whether they will contact the region to challenge voters and resolved

issues such as late received ballots. Any agreement regarding late

received ballots must be confirmed in writing by fax. See also CHM

47.9.3.

47.9.3 Counting ballots in an all-mail ballot election: Before counting the ballots

in all-mail ballot elections, the returned ballots are checked against the

eligibility list to verify that the voter who signed the envelope is an eligible

voter in the election (see CHM 43 - mail ballot elections). As discussed in

CHM 47.9.1, if the outer envelope is not signed, it is voided. After all of the

ballots are checked against the eligibility list, the outer envelopes are removed

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at the same time. The inner secret ballot envelopes are commingled, 

opened, and the ballots removed. The ballots are tallied in the same manner

as those cast in a manual ballot election.

As discussed above, the agent normally makes arrangements at the election

agreement meeting to have a party representative to be available by phone

if s/he cannot attend the count.

47.9.4 Counting ballots in a mixed mail/manual ballot election: Returned mail

ballots in a mixed mail/manual ballot election are checked against the mail

ballot eligibility list and the manual ballot voting list before the ballot box is

opened and any challenged ballots are discussed and “resolved.” 

In mixed mail/manual ballot elections, the returned mail ballots are checked

against the separate mail ballot eligibility list to verify that the voter who

signed the envelope is an eligible voter in the election. The returned mail

ballots are also checked against the manual ballot eligibility list to verify that

voters who returned mail ballots did not also appear at the polls to vote. (The

agent ensures the parties have deleted or annotated the names of voters who

received mail ballots from the manual ballot eligibility list, but it is still a good

practice to verify that the voter did not vote twice. If a voter appears at the

polls also received a mail ballot, the agent follows the procedures discussed

in CHM 44.11. 

Once the mail ballots are checked in, the outer envelope is opened at the

same time and in the same manner as the “resolved eligible” challenged

ballots are opened. The outer return mail ballot envelope is maintained as

part of the election materials. Returned mail ballots are commingled with

ballots cast in the manual election at the same time as the “resolved eligible”

challenged ballots. 

47.10 Construing ballot markings: As discussed in CHM 47.8.2.1, when

construing a ballot marking, the test is whether the intent of the voter is readily

ascertained. If the intent is clear, despite unorthodox markings or erasures,

the ballot is construed in accordance with the voter’s intent. As a general rule,

a ballot is valid if it contains a mark in only one of the possible choices and

does not contain the voter's name or other form of identification. Conversely,

a ballot is “void” if the intent of the voter is not readily ascertained. For

example:

a. Two or both of the possible choices are marked;

b. Neither or none of the two or more possible choices is marked;

c. “No” is written in the “Yes” square or “Yes” is written in the “No”

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square; or

d. A name or other form of identification appears on the ballot.

If a ballot bears a name or other form of identification, the agent displays to

the observers only that portion of the ballot on which the name or identification

appears, taking special care not to reveal how the ballot is marked. Such

ballots (or any other type of ballot which is declared void) are marked “Void”

on the reverse side of the ballot, initialed by the parties, and retained in a

separate grouping of such ballots.

The observers have the right to object to the interpretation given by the agent

as to the manner in which a ballot is marked. If an objection is raised by one

of the parties, the observers for all of the parties are afforded the opportunity

to reach agreement in construing the voter’s intent. Disputes involving the

question of ballot validity are treated the same as a ballot challenge. The

ballot is placed in a challenge envelope and treated as an unresolved

challenged ballot and not as a void ballot. General Services Administration,

Region 5, Public Building Service, Chicago, Illinois, Case No. 50-13-31(RO),

2 Rulings on Requests for Review 469 (1976), Report on Ruling Number 59,

6 A/SLMR 747 (1976).

NOTE: If a returned mail ballot or a challenged ballot is not sealed in a

secret ballot envelope, it is not a void ballot. See CHM 43.1.4 and 47.7.4.

47.11 Professional-nonprofessional elections: In a self-determination election

involving separate voting groups for professional and nonprofessional

employees, i.e., voting groups (a) and (b) respectively, the ballots cast by the

professional employees regarding Question 1 on the professional's ballot are

counted first (see Figure B34.2A). Upon conclusion of the count, the results

are entered on FLRA Form 40, Tally of Ballots for Professional Employees

(see FLRA Form 40).

If a majority of the valid votes in voting group (a) plus challenged ballots, if

any, are cast for inclusion in the same unit as the nonprofessional employees,

the second half of FLRA Form 40, i.e., lines 10 through 18, is not completed. 

A vote for inclusion requires that the ballots of voting group (a) be combined

(pooled) with the ballots cast by the nonprofessional employees in voting

group (b). The votes cast by the professional employees under Question 2

(See Figure B34.2A) and by the nonprofessional employees for the same

labor organization are tallied as one total. Similarly, votes cast against

exclusive representation by both groups are also tallied as one total. The

results of the combined count are entered on FLRA Form 39, Tally of Ballots.

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If the Tally of Ballots for Professional Employees indicates that a majority of

the valid votes, plus challenged ballots, if any, were not cast for inclusion in

the nonprofessional unit, the ballots in voting groups (a) and (b) are counted

separately. The votes cast for or against the labor organization(s) appearing

on the professional employees ballot, Question 2, are counted and the results

entered on FLRA Form 40, lines 10 through 18. Similarly, after the count of

the ballots in the voting group (b) is completed, the results are entered on

FLRA Form 39, the title of which is modified to read, “Tally of Ballots For

Voting Group (b).”

NOTE: To cast a valid vote in an election involving professionals and

nonprofessionals, a professional employee are required to answer both

questions on the ballot. The failure to follow the instructions contained

on the ballot to answer both questions voids the ballot. Department of

Housing and Urban Development, Unit II, Boston Area Office, Boston,

Massachusetts, Case No. 31-4380 E.O, 1 Rulings on Requests for

Review 161 (1971), Report on Ruling Number 40, 1 A/SLMR 626 (1971).

47.12 Other types of self-determination elections where votes are pooled: As

discussed in CHM 28.15.4 and 28.15.5, separate ballots are used in selfdetermination elections involving different voting groups. In CHM 28.15.5,

self-determination elections were discussed using a scenario involving Union

A that seeks to represent a large unit that includes a craft or functional group

and Union B seeks to represent only the smaller craft or functional group of

employees. The craft or functional unit is referred to as voting group (a) and

the larger, overall unit is referred to as voting group (b). 

The ballots cast in voting group (a) (see Figure 28.15D) are counted first and

the results entered on FLRA Form 39, the title of which is modified to read,

“Tally of Ballots for Voting Group (a).” If line 11 of the Tally indicates that a

majority of the valid votes plus challenged ballots has been cast for Union B,

the ballots in voting group (b) are counted separately. In the latter event, a

separate Tally of Ballots is completed for voting groups (a) and (b)

respectively on separate FLRA Forms 39.

In the event that line 11 of the Tally of Ballots indicates that a majority of the

valid votes plus challenged ballots has not been cast for Union B (see Figure

47.12A which sets forth an example of FLRA Form 39), the ballots of voting

groups (a) and (b) are combined and counted. The votes cast for Union A in

both voting groups (a) and (b) are then counted in favor of Union A (see

Figure 47.12B which is a modified version of FLRA Form 39). The votes for

the “Neither” choice in voting group (a) and the “No” choice in voting group (b)

are counted as votes against exclusive recognition and entered on line 6. 

With respect to the votes cast for (Union B) in voting group (a), a special

tallying procedure providing for the pooling of votes is utilized as follows: if the

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votes are pooled, the votes for the Union B are counted as part of the total

number of valid votes cast but neither for nor against Union A which is

seeking a more comprehensive unit. All other votes are accorded their face

value. Accordingly, the votes cast for Union B in voting group (a) (taken from

Figure 47.12A) is entered on line 6a of Figure 47.12B. Line 7 is modified also

by adding “6a.” 

In the example used in Figure 47.12B, the 244 votes cast for the Union A is

based upon a pooling of the 25 votes cast for Union A in voting group (a) plus

219 votes cast in voting group (b) for Union A. Similarly, the 135 votes cast

against exclusive recognition derives from the 5 “Neither” votes cast in (a)

plus 130 “No” votes cast in (b). The total number of valid votes counted plus

challenged ballots, 397, consists of the combined votes for Union A, the

combined “neither” or “none” votes, and the number of votes cast for Union

B. There were no unresolved challenged ballots. 

47.13 Inclusion of unrepresented professional employees in existing unit of

nonprofessional employees: In an election in which the petitioner seeks to

include unrepresented professional employees in a unit of nonprofessional

employees which it currently represents, FLRA Form 40 is used to tally the

ballots. The procedure in tallying the ballots regarding Question 1 on the two

part ballot is the same as discussed in CHM 47.11. In the event that the

professionals vote forinclusion in the nonprofessional unit, tallying the second

question on the ballot is not required. The vote reflects that the professional

employees desire to be included in the existing nonprofessional unit currently

represented by the petitioner. See CHM 28.15.2 and Figure 28.15B. 

However, where a petitioner seeks to include the professional employees in

the existing unit of nonprofessional employees, the petitioner must

nevertheless represent the professional employees in a separate unit if a

majority of the professional employees do not vote for inclusion in the existing

unit. In that event, the results of the second question on the ballot are tallied

and entered on FLRA Form 40, lines 10 through 18.

47.14 Inclusion of nonprofessional employees in existing unit of

nonprofessional employees: FLRA Form 39 is used for tallying the results

of an election in which the petitioner seeks to include unrepresented

nonprofessional employees in an existing unit of nonprofessional employees

currently represented by the petitioner. Since this type of election involves the

use of the standard “Yes-No” ballot as set forth in Figure B34.2F, or one

involving the petitioner and one or more intervenors as set forth in Figure

B34.2G, FLRA Form 39 is appropriate for use as the Tally of Ballots. It is not

necessary for the Tally of Ballots to reflect whether a majority of the

nonprofessional employees voted for inclusion in the existing unit. Both the

Election Agreement and the Notice of Election contain a specific provision

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that in the event that the petitioner is selected by a majority of those voting,

their vote reflects their desire to be included in the existing unit represented

by the petitioner, or by any intervenor, if selected (see CHM 28.15.3 and

Figure 28.15C, CHM 28.16 and Figure 28.16).

47.15 Severance elections: reserved

47.16 Issuing the tally of ballots: The agent is responsible for preparing the Tally

of Ballots appropriate to the particular election involved, i.e., FLRA Form 39,

40 or 41. The entries are completed in the presence of the observers who

participated in the counting of the ballots. In large elections, the various

tallying sheets, if used, are collected, and the figures consolidated with

respect to each of the choices on the ballot. All entries are made in ink. 

47.16.1 Completing the tally form: Particular care is taken when completing the

Tally of Ballots. Service of a properly completed tally marks the beginning of

the period for filing objections to the election. If the tally is completed

improperly, a revised tally is issued and served on the parties and a new time

period begins for filing objections. Note the following on the tally forms:

a. Item #1 on all tally sheets: “Approximate number of voters” is based

on the number originally submitted by the activity with the eligibility

list;

b. Item #2: “Void ballots” is the number of ballots voided by the parties

because of irregular or inappropriate markings or the voter’s choice

is not clear; CHM 47.10

c. Complete sections pertaining to the number of ballots cast for

particular choices;

d. Challenged ballots: enter the number of unresolved challenged

ballots only; CHM 47.7.4a

e. The agent completes the questions pertaining to whether a majority

of valid ballots cast plus challenged ballots has or has not been cast

for a particular choice. If none of the choices on the ballot receives

a majority of the valid ballots cast plus challenged ballots, the word

“not” is underlined in the sentence: “A majority of valid votes counted

plus challenged ballots has not been cast for ... .” The sentence is

completed by inserting the phrase “any of the choices on the ballot.” 

The tally reflects whether the election results are indeterminate

because of determinative challenged ballots (§ 2422.27), the results

require a runoff election (§ 2422.28) or the results are inconclusive

(§ 2422.29). CHM 47.17 

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47.16.2 Signing the tally: After completing the tally, the agent dates and signs the

original on behalf of the Regional Director. Each of the observers is requested

to examine the Tally of Ballots for accuracy of entries and to read the concluding paragraph. Each observer signs the original Tally on behalf of the

party represented. If an observer refuses to sign the Tally of Ballots, the

agent takes a signed statement from the observer immediately. The

statement reflects the reasons why the observer refuses to sign the tally. If

it appears that the observer is alleging that objectionable conduct occurred,

the agent also advises the observer of its representative’s right to file

objections to the election pursuant to § 2422.26. CHM 50

47.16.3 Service of the Tally: After the Tally of Ballots has been signed by the various

observers, a copy of the tally is served immediately upon an authorized

representative of each of the parties involved in the election. The method of

service is recorded on the Tally. Service is made in accordance with the

parties’ instructions as set forth in the Election Agreement.

NOTE: Status as an observer on behalf of a party does not make that

individual an agent of the party for purposes of service unless

specifically designated by the party to receive the tally.

47.16.4 Refusal to accept service of the Tally: The five (5) day period provided for

in § 2422.26 is computed on the basis of actual rather than constructive

furnishing of the tally of ballots. However, the failure or refusal of an

authorized representative of a party to accept service of the tally of ballots in

accordance with his/her own instructions as set forth in the Election

Agreement does not operate to extend the period for filing objections.

47.17 Indeterminate results: The results of an election may not be decisive. In

such elections, the results are indeterminate. Indeterminate results occur in

the following situations:

47.17.1 Determinative challenged ballots: An election in any voting group or unit is

indeterminate if the challenged ballots are sufficient in number to affect the

results of the election. Determinative challenged ballots are challenges that

are unresolved prior to the tally and sufficient in number after the tally to affect

the results of the election (§ 2421.22). 

When the parties to an election cannot agree on the eligibility of a challenged

ballot voter, the challenged ballot is considered unresolved. The validity of

unresolved challenged ballots is not decided at the tally. In order to calculate

the number of votes needed for a majority, unresolved challenged ballots are

assumed to be valid votes. An election may have indeterminate results if

there are a sufficient number of unresolved challenged ballots.

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When tallying unresolved challenged ballots, the number of votes needed to

constitute a simple majority is determined by adding the total number of

unresolved challenged ballots to the total number of valid votes cast. If any

ballot choice receives a simple majority (50% plus 1, of the valid votes cast

plus challenged ballots), the unresolved challenges are not determinative of

the results of the election. The Tally of Ballots is issued reflecting the

election results in Item #11 of FLRA Form 39, Item #18 of FLRA Form 40 and

Item #41of FLRA Form 41. The following chart illustrates situations involving

both determinative and nondeterminative challenged ballots. An explanation

of each scenario follows.

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Examples of Determinative and Nondeterminative Challenged Ballots

A B C D E F

Not Not Not

Det. Det. Det. Det. Det. Det.

Votes cast for

Union A 5 43 30 30 38 30

Votes cast for Union B 3 51 45 50 46 35

Votes cast against

exclusive rep. 0 1 20 25 11 30

Valid votes cast 8 95 95 105 95 95

Challenged ballots 1 5 5 6 5 5

Valid votes plus challenged 

ballots 9 100 100 111 100 100

A. The total number of valid ballots cast plus challenged ballots is 9. Fifty

percent (50%) of 9 is 4.5; thus, the majority is 5. The challenged ballot,

therefore, is not determinative because Union A has obtained a majority of the

valid ballots cast plus the challenged ballot.

B. The total number of valid ballots cast plus challenged ballots is 100. The 5

challenged ballots are not determinative because Union Breceived a majority

of the valid ballots cast plus challenged ballots (100).

C. The total number of valid ballots cast plus challenged ballots is 100. No

choice received a majority of the valid ballots cast plus challenged ballots. 

The challenged ballots are not determinative of the election because

regardless of their resolution, they have no affect on the overall results. The

total number of unresolved challenged ballots is added to the valid votes cast

for each of the ballot choices and none of the resulting sums constitutes a

simple majority. In this example, there will be a runoff election between Union

A and Union B.

D. The total number of valid ballots cast plus challenged ballots is 111. No

choice received a majority of the valid ballots cast plus challenged ballots.

The challenged ballots are determinative: (1) there is no simple majority; and

(2) the sum of the total number of unresolved challenged ballots and the valid

votes cast for any of the ballot choices is equal to or greater than a simple

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majority. The challenges are resolved to determine either (1) whether Union

B received a majority of the valid votes cast or (2) whether a rerun or runoff

election is required.

E. The total number of valid ballots cast plus challenged ballots is 100. No

choice received a majority of the valid ballots cast plus challenged ballots.

The challenged ballots are determinative. They are resolved to determine

whether Union B receives a majority of the valid ballots cast plus challenged

ballots, or whether the election results in a runoff election between Union A

and Union B. See CHM 47.17.3 - indeterminate results requiring a runoff

election.

F. The total number of valid ballots cast plus challenged ballots is 100. No

choice received a majority of the valid ballots cast plus challenged ballots.

The 5 challenged ballots are determinative. Whether the election is rerun,

due to a nullity, or runoff depends upon the disposition of some or all of the

challenged ballots. If all of the challenged ballots were counted, and if they

were cast for Union A, a runoff election is required between the 2 labor

organizations. If none of the challenged ballots are opened, the election

results are inconclusive, and the election is declared a nullity. A rerun

election is required. See CHM 47.17.4 - inconclusive results requiring an

election to be rerun. 

When the tally reflects that challenges are sufficient to affect the results of the

election, see CHM 47.16.1e for completing the tally form.

NOTE: See CHM 47.18 for a discussion about post-tally resolution of

determinative challenged ballots and CHM 49 for a discussion about

investigating and resolving determinative challenged ballots in

accordance with § 2422.27 when the parties are unable to resolve them

post-tally.

47.17.2 Determinative challenged ballots in self-determination elections: In any

self-determination election involving two or more voting groups, if the

challenges are determinative in the first voting group (a), the ballots in the

other voting groups, such as (b), are not counted until the challenged ballots

are resolved. Specifically, in a professional/nonprofessional election, the

ballots cast by the nonprofessional employees in voting group (b) are not

counted when the challenges are determinative in voting group (a). The same

action is taken in a self-determination election involving a craft or functional

voting group and a larger, overall voting group.

47.17.3 Indeterminate results requiring a runoff election: A runoff election is

required in an election involving at least three (3) choices, one of which is “no

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union” or “neither,” when no choice receives a majority of the valid ballots

cast. However, a runoff election may not be held until the Regional Director

has ruled on objections to the election and determinative challenged ballots

[§ 2422.28(a)]. See CHM 48.1 for a discussion on runoff elections. Where

the original election results in a runoff; i.e., no determinative challenged

ballots and none of the 3 or more choices has received a majority of the valid

votes plus challenged ballots, if any, Item #11 of FLRA Form 39, Tally of

Ballots, (and similar lines on other appropriate forms) is modified by adding

the phrase in the blank space, “...any choice.” 

NOTE: There can be no runoff of an election in which there is only one

labor organization on the ballot and the question on the ballot asks

whether or not employees wish to be represented by the petitioning

union. A tie vote in this election results in a certification of results in that the

petitioning union did not receive a majority of the valid ballots cast

[§ 2422.25(c)]. Department of Health, Education and Welfare, Division of

Indian Health, Public Health Service, Intermountain Indiana School Health

Center, Case No. 61-1077, 1 Rulings on Requests for Review 79 (1970),

Report on Ruling Number 19, 1 A/SLMR 614 (1970). A decision of the

Assistant Secretary remains in full force and effect unless the Authority

revises or supersedes it by a decision under the Statute. U.S. Army Corps of

Engineers, Headquarters South Pacific Division, San Francisco, California,

39 FLRA 1445, 1450 (1991).

47.17.4 Indeterminate results due to an inconclusive election: An inconclusive

election is one where challenged ballots are not sufficient to affect the

outcome of the election and one of the following occurs (§ 2422.29):

a. The ballot provides for at least 3 choices, one of which is “no union”

or “neither” and the votes are equally divided; or

b. The ballot provides for at least 3 choices, the choice receiving the

highest number of votes does not receive a majority, and at least

two other choices receive the next highest and same number of

votes; or

c. When a runoff ballot provides for a choice between two labor

organizations and results in the votes being equally divided; or

d. When the Regional Director determines that there have been

significant procedural irregularities.

In inconclusive elections based on “a through c” above, the tally

reflects that the election is declared a nullity and the election is rerun

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providing for a selection from among the choices afforded on the

previous ballot. See CHM 48.2 for a discussion of rerun elections

and CHM 48.2.1 through CHM 48.2.6 for more information about

inconclusive elections. 

47.18 Post-tally party resolution: After the tally is served, the parties may

voluntarily resolve some or all of the determinative challenged ballots while

the region is investigating the determinative challenged ballots. The region

is not involved in helping the parties resolve challenges under this

procedure. The parties can meet on site after the tally has been certified and

the Authority personnel have left. The parties need not resolve all of the

determinative challenges, just enough to render the number of

remaining unresolved challenges nondeterminative.

47.18.1 Role of agent: 

a. The agent makes sure parties understand consequences of their

agreements.

b. The agent does not get involved in helping the parties resolve

challenges.

c. The agent affords parties the opportunity to resolve challenges

among themselves to eliminate determinative status of challenges. 

d. The agent informs parties that neither party can inquire as to how

an employee voted.

e. If the parties notify the agent that they may have reached agreement

on the challenged ballot, the agent raises with the parties whether

a particular position is eligible or ineligible (regardless of the parties’

agreement) when the agent has independent knowledge that brings

into question the status. 

f. If the agent’s questions (based on independent knowledge) are not

resolved to the satisfaction of the agent, the agent checks with the

region before not allowing the challenge to be withdrawn or resolved. 

47.18.2 The effect of the parties’ agreement: The parties’ agreement on

challenged ballots is binding unless:

a. If the parties agree the position is ineligible for inclusion in the unit,

the position stays ineligible unless: i) there are changed

circumstances, or ii) the position(s) were eligible in the first instance

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and constitute a residual unit. FTC II, 35 FLRA 576 (1990).

b. If the parties agree that the position is eligible for inclusion in the

unit, the position remains eligible unless: i) there are changed

circumstances; or ii) the position(s) was ineligible in the first instance

based on the section 7112(b)(1) through (7) statutory exclusions. 

47.18.3 Post-tally resolution of determinative challenged ballots: are the same

as resolving the challenges pre-tally except that the region is removed from

the process.

a. An individual party may withdraw a challenge. The Regional

Director may approve suchwithdrawal, notwithstanding the objection

of any other party.

b. In the event objections to the election are also filed, the parties may

continue to attempt to resolve the determinative challenged ballots

informally unless the nature of the objections goes to the basis of the

eligibility issues. For example, the objection alleges that the entire

eligibility list was “bad” or inaccurate. 

c. In the absence of objections or when the objections do not involve

eligibility issues, the parties may by agreement voluntarily withdraw

their challenge to determinative challenged ballots under the

following circumstances:

(i) The parties sign a written agreement acknowledging

resolution of each challenge. It is not necessary to state

the basis of the agreement, the result is sufficient. 

(ii) There can be no evidence that the parties colluded on the

eligibility of the challenged voters, or interfered with the

challenged voter in any way. 

(iii) In the agreement, the party(ies) waive theirrights under the

FLRA’s rules to a Regional Director’s Decision and Order,

to file objections, to request review and to any right to a

hearing in the matter or to a FLRA decision. The

agreement provides that upon its approval by the Regional

Director, s/he may proceed to issue a revised tally and,

when appropriate, a certification.

47.19 Procedures for securing determinative challenged ballots: After the tally

is served, determinative challenged ballots are placed in a large envelope or

box in the presence of the parties. After the envelope/box is sealed, the

agent and the parties’ representatives sign and secure the envelope/box by

signing across the tape so that their signatures extend across the tape and

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onto the envelope/box. Transparent tape is placed across each signature. 

The envelope is stored in the office safe or other secure place. The agent

completes Figure 47.18, tapes a copy to the face of the envelope/box and

places the original in the case file. When more than one envelope/box is

required, this procedure is repeated for each envelope/box used to store

unresolved determinative challenged ballots.

Determinative challenged ballots are stored in this manner even if the parties

state they intend to discuss post tally party resolution. If the Regional Director

ultimately issues a Decision and Order on Determinative Challenged Ballots

and any appeal is decided by the Authority, thereafter the region contacts

representatives of the parties and affords them the opportunity to be present

when the ballots are removed for counting (CHM 49.8 and 49.9). 

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48 CONDUCTING RUNOFF AND RERUN ELECTIONS:

48.1 Runoff elections: 

48.1.1 What is a runoff: A runoff election is required in an election involving at least

3 choices, one of which is “no union” or “neither,” when no choice receives a

majority of the valid ballots cast plus unresolved challenged ballots. However,

a runoff is not held until the Regional Director has ruled on objections to the

election and determinative challenged ballots [§ 2422.28(a)]. 

48.1.2 Examples of a runoff election: The following chart illustrates examples of

election results requiring a runoff:

Runoff Election Required

Total Eligible

Union A Union B Neither Void 

16

17

17

18

19

77

 0

 7

 8

 9

 9

 36

 8

 5

 8

 5

 9

 0

 8

 3

 1

 4

 0

 36

 --

 --

 --

 --

 --

 1

As noted in CHM 47.17.3, there can be no runoff of an original election in

which there are only two choices on the ballot. 

48.1.3 What happens in a runoff: The two choices on the ballot in the runoff

election are those receiving the largest and second largest number of votes

in the original election. 

48.1.4 Eligibility to vote in a runoff: Absent unusual circumstances, the payroll

period for eligibility in a runoff election is the same as in the original election. 

Employees who were eligible to vote in the original election and who are also

eligible to vote on the date of the runoff election may vote in the runoff

election [§ 2422.28(b)].

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48.1.5 Eligibilitylist: When the original payroll period is used for the runoff election,

a copy of the original eligibility list is used as the voting list in the runoff

election. The names of those employees whose employment in the unit or

voting group ceased between the date of the original election and the runoff

election are stricken from the list. If a new voting list is prepared by the

activity, the names of any such employees are omitted.

48.1.6 Election Agreement: If possible, the region provides for a potential runoff

election in the original Election Agreement. Such provisions include the date,

time and place of the election. If the parties agree to include provisions for a

runoff in the original Election Agreement, the region also suggests that the

parties waive their right to file an application for review of the Regional

Director's Decision and Order (which may issue on objections and/or

determinative challenged ballots) (CHM 28.30). 

If the original Election Agreement did not contain provisions for the runoff

election, the parties are required to enter into a new Election Agreement. The

time and place of the runoff election are the same as the original election; only

the date is changed. Any changes made in the procedural arrangements for

the election are limited to minor adjustments in polling areas or hours. 

 

48.1.7 Notice of runoff election: Employees are informed when a runoff election

is being held. The region inserts the caption “Runoff Election” in the upper

right-hand corner of the Notice of Election, FLRA Form 125A or 125B, as

appropriate. This caption is also inserted on the Tally of Ballots and the

Certification of Conduct of Election. However, no such reference is made on

the sample ballot or the ballots used in the election.

48.1.8 Ballot: The ballot in the runoff election provides for a selection between two

choices receiving the largest and second largest number of votes in the

election [§ 2422.28(c)].

48.1.9 When a runoff is held: The date of the runoff election may not be posted,

nor may a runoff election be held, before the expiration of the 5 day period for

filing objections to the election, or until the resolution of determinative

challenged ballots. 

a. If objections are filed to the original election, no runoff election is

held unless the objections are either withdrawn or overruled by the

Regional Director. If the Regional Director overrules the objections,

s/he normally conducts the runoff election during the period

established for filing an application for review (§ 2422.31 and CHM

55.1.3). If one or more of the objections are sustained, a rerun

election, rather than a runoff election of the prior election, is

conducted. 

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b. Any challenged ballots that are determinative of the results of the

original election are resolved to determine whether a runoff election

is required. In such situations, the choices receiving the highest and

second highest number of votes resulting from the disposition of the

challenged ballots appear on the runoff ballot (see CHM 49 through

52 for a discussion concerning determinative challenged ballots and

objections to the election).

48.1.10 Conducting the runoff election: The mechanics of conducting the runoff

election with respect to arrangement of the polling place(s), duties and

responsibilities of observers, challenge ballot procedure, counting the ballots,

etc. are the same as those used during the original election (CHM 40).

48.1.11 Results: A Tally of Ballots is issued to record the results of a runoff election. 

The period for filing objections to the conduct of a runoff election is the same

as any other election. See § 2422.26. 

There can be no runoff of a runoff. If the runoff election results in a tie

between two labor organizations, the results are inconclusive and the election

is declared a nullity [§ 2422.29(a)(3)]. If the runoff includes as one choice, a

labor organization, and the second choice is “no union,” a Certification of

Results is issued as no choice received a majority of the valid ballots cast. 

However, any objections or determinative challenged ballots are resolved

prior to issuing the Certification.

48.1.12 Objection period for runoff election: The critical period preceding a runoff

election, during which conduct of one party may be used as grounds for

setting aside the election, begins running from the date of the first election. 

Naval Air Rework Facility, Norfolk, Virginia, Case No. 22-2568, 1 Rulings on

Requests for Review 193 (1972), Report on Ruling Number 50, 2 A/SLMR

640 (1972).

48.1.13 Period of time for filing objections to a runoff: The period of time for filing

objections to a runoff is the same for any election: in accordance with

§ 2422.26(a) of the regulations, objections to the procedural conduct of the

election or to conduct that may have improperly affected the results of the

election must be filed and received within five (5) days after the tally of ballots

has been served. 

48.2 Rerun elections: A rerun election is required when:

a. the results of the original election are inconclusive (CHM 47.17.4);

or 

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b. the Regional Director or the Authority sets aside the original election

based on valid objections or procedural irregularities. 

All parties appearing on the ballot in the original election are entitled to

participate in the rerun election. 

48.2.1 What is an inconclusive election: An election is inconclusive when the

following occurs (§ 2422.29):

a. Challenged ballots are not sufficient to affect the outcome of the

election; and 

b. The ballot provides for at least 3 choices, one of which is “no union”

or “neither” and the votes are equally divided [§ 2422.29(a)(1)]; or

c. The ballot provides for at least 3 choices, the choice receiving the

highest number of votes does not receive a majority, and at least

two other choices receive the next highest and same number of

votes [§ 2422.29(a)(2)]; or

d. When a runoff ballot provides for a choice between two labor

organizations and results in the votes being equally divided

[§ 2422.29(a)(3)]; or

e. When the Regional Director determines that there have been

significant procedural irregularities [§ 2422.29(a)(4) and see CHM

48.2.4].

In these instances, the election is declared a nullity and the election is

rerun providing for a selection from among the choices afforded on the

previous ballot. 

48.2.2 Examples of an inconclusive election: The following chart illustrates

examples of inconclusive election results requiring a rerun [see § 2422.29(a) -

examples correspond to cited sections in the regulations]:

Inconclusive results

requiring a rerun

Total Union A Union B None Void

Eligible

§ 2422.29(a)(1) 16 4 4 4 0

§ 2422.29(a)(2) 40 15 10 10

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§ 2422.29(a)(3) 17 5 5 --

48.2.3 What happens when there is an inconclusive election: Whenever an

election results in a nullity, the election is rerun with all choices which

appeared on the previous ballot. 

48.2.4 Inconclusive elections based on § 2422.29(a)(4): When the Regional

Director determines that there have been significant procedural irregularities,

s/he may overturn the election results and order a rerun of the election. This

provision in the regulations allows the Regional Director to order a rerun of an

election without party objections. Examples of significant procedural

irregularities include:

a. acts or conduct taken by the Regional Office that were not in

accordance with the Election Agreement;

b. acts by the Regional Office giving the effect or appearance that the

election was unfairly conducted, thus interfering with the free choice

of the voters;

c. conduct by other parties that interfered with the procedural conduct

of the election.

 

48.2.5 Investigating and taking action on significant procedural irregularities:

If no objections are filed, the Regional Director notifies the parties as soon as

possible that, pursuant to § 2422.29(a)(4), significant procedural irregularities

may exist that warrant setting aside the election. TheRegional Director sends

a letter to the parties notifying them of the potential “procedural irregularities”

and asks for their position within 10 days of the date of the letter. Thereafter,

if no independent investigation is necessary, the Regional Director makes a

decision within time limits established by the strategic plan for processing

representation cases. 

48.2.5.1 The Regional Director conducts whatever investigation is necessary to

resolve issues related to the proper conduct of the election. If objections to

the election have also been filed, investigation of the objections and the

procedural irregularities may be combined. See CHM 50.2.

48.2.5.2 If the Regional Director concludes that the procedural irregularities are

significant and finds the election results inconclusive, the Regional

Director issues an Order Setting Aside the Election. The Order declares

the first election a nullity and orders a rerun. This Order is not subject to

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appeal. 

48.2.5.3 If the Regional Director decides that the procedural irregularities are

insignificant, the Regional Director issues a letter setting forth his decision

to take action consistent with the Tally of Ballots. 

48.2.6 What happens when the Regional Director determines that there have

been significant procedural irregularities and objections are filed: The

Regional Director does not investigate objections filed pursuant to § 2422.26

when s/he determines there are significant procedural election irregularities. 

The Regional Director sets aside the election as discussed in CHM 48.2.5.2

and CHM 50.2, based on a finding that procedural irregularities exist and the

results of the election are inconclusive. It is therefore not necessary to

investigate objections filed by a party. 

NOTE: See CHM 50 for a discussion about filing and investigating

objections to an election and handling procedural irregularities

pursuant to § 2422.29(a)(4). 

48.2.7 Eligibility to vote in a rerun election: Regs. § 2422.29(b) requires that a

current payroll period be used to determine eligibility to vote in a rerun

election. This differs from a runoff election that uses the payroll period in the

original election to determine eligibility to vote.

48.2.8 Eligibility list: The procedures for preparing the eligibility list are the same

as if the election were being conducted for the first time (CHM 28.11 and

28.13, and CHM 35) unless new eligibility issues surface. The agent and the

parties are required to reviewthe newly prepared eligibility list, discuss issues

and initial any approved list in accordance with the procedures discussed in

CHM 35.

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48.2.9 Election Agreement:

48.2.9.1 Inconclusive election: Absent disagreement by the parties on any of the

election details, the parties enter into a new election agreement. If the parties

are unable to reach agreement, the procedures in CHM 28.11 and 28.12 are

followed.

48.2.9.2 Rerun based on sustained objections to the election: When the Regional

Director issues a Decision and Order on Objections sustaining objections to

an election, the Decision and Order includes a Direction of Election. The

Decision establishes a new eligibility date and orders the parties to convene

an election conference (CHM 53.6). 

48.2.10 Ballot: The election is rerun with all choices that appeared on the original

ballot [§ 2422.29(c)].

48.2.11 Notice of rerun election: The employees are notified that the original

election is being rerun by inserting the wording “Rerun Election” in the upper

right-hand corner of the Notice of Election. This entry is also made on the

Tally of Ballots and the Certification on Conduct of Election.

48.2.12 When a rerun is held: 

48.2.12.1 Inconclusive election: The date of the rerun election may not be

posted, nor may a rerun election be held, before the expiration of the

five (5) day period for filing objections to the election, or if filed, until

the resolution of such objections. If objections are filed to the original

election, no rerun election is held unless the objections are either

withdrawn or overruled by the Regional Director. If the Regional

Director overrules the objections, s/he has the option to conduct the

rerun during the period established forfiling an application for review

(§ 2422.31 and CHM 55.1.3). 

48.2.12.2 Rerun based on valid objections: Following issuance of a

Decision and Order on Objections in which the Regional Director

sustains the objections, the Director conducts the rerun during the

period established for filing an application for review in accordance

with the procedures outlined in CHM 55.1.2 and 55.1.3.

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48.2.13 Conducting the rerun: The mechanics of conducting the rerun election with

respect to arrangement of the polling place(s), duties and responsibilities of

observers, challenge ballot procedure, counting the ballots, etc. are the same

as those used during the original election (CHM 40 and 47.).

48.2.14 Results: A Tally of Ballots is issued to record the results of a rerun election. 

See CHM 50 for procedures for filing objections.

48.2.15 Further elections:

48.2.15.1 Inconclusive results: Only one rerun of a nullity is conducted

[§ 2422.29(d)). Thus, if the rerun election results in another

inconclusive election, the Tally of Ballots reflects that a majority of

valid ballots has not been cast for any choice, and a certification of

results is issued. If necessary, a runoff may be held when the

original election is rerun.

48.2.15.2 Rerun based on sustained objections: Unlike inconclusive

elections, a rerun based on valid objections is treated as if it were

the first election. Thus, under these circumstances, a rerun could

result in a runoff or be inconclusive based on indeterminate results. 

As a result, a rerun based on sustained objections may be rerun if

the election is declared a nullity.

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OBJECTIONS AND DETERMINATIVE CHALLENGED BALLOTS

CHM 49 through 52

49 INVESTIGATION AND DISPOSITIONOF DETERMINATIVECHALLENGED

BALLOTS:

49.1 Basis for investigation: To warrant consideration as determinative

challenged ballots, the ballots are:

a. challenged before the voter deposits his/her ballot into the ballot

box;

b. unresolved by the parties prior to the tally; and

c. sufficient in number after the tally to affect the results of the election.

Section 2421.22 defines determinative challenged ballots, § 2422.27(a)

discusses investigation procedures and CHM 47.17.1 provides an overview

of determinative challenged ballots.

CHM 47.18 discusses post-tally party resolution of determinative ballots. In

the event the parties do not resolve a sufficient number of determinative

challenges to renderthe remaining challenges nondeterminative, the Regional

Director investigates the challenges and decides their eligibility.

CHM 49 concerns the Regional Director’s formal investigation of

determinative challenged ballots and procedures for resolving them. If

objections to an election are filed, they are investigated simultaneously with

the determinative challenged ballots (CHM 50).

49.2 Nature and scope of investigation: The investigation of challenged ballots

is nonadversarial, and no party bears a burden of proof [§ 2422.27(b)]. The

agent is responsible for gathering all available facts. Resolving challenged

ballots involves the same eligibility issues that may be raised during the initial

stages of the representation proceeding. All unresolved determinative

challenged ballots are investigated and resolved byDecision and Order

(CHM 49.6). 

49.3 Investigation procedure: Investigation of determinative challenged ballots

is undertaken promptly by the Regional Office. A letter is sent to all parties

to the election as soon as possible (preferably within 48 hours) after the Tally

of Ballots is issued. The letter advises the parties that challenges are

sufficient in number to affect the outcome of the election, lists the names of

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the employees whose ballots are unresolved and requests the parties’

position and supporting evidence. The parties are given ten days to submit

their positions. See Figure 49.3 for a sample letter.

The agent interviews the employees whose ballots have been challenged and,

if relevant, obtains copies of personnel records concerning the employee's

employment status. The agent also interviews other employees of the activity

if they can contribute relevant and material information about the eligibility of

the employee. For instance, if a voter is challenged based on alleged

confidentiality, the agent interviews the employee’s supervisor. Requests that

counsel or a representative be present during the interview of employees or

witnesses whose statements could bind that party are handled in accordance

with similar procedures in unfair labor practice investigations.

Once the agent gathers sufficient facts, the agent prepares the case for the

Regional Director's consideration in accordance with CHM 26.2. Any

recommendation is supported by affidavits, memoranda, and correspondence

in the file and include a legal analysis. An agenda meeting may be required

pursuant to CHM 26.3 and CHM 26.4.

49.4 Authority to conduct a hearing: The Regional Director has the authority to

issue a notice of hearing in accordance with § 2422.17 when:

a. a material issue of fact is raised regarding the eligibility of any voter

whose challenged ballot is determinative of the outcome of the

election; or 

b. the Director concludes that a hearing, rather than an investigation,

is the most expeditious and cost effective method of gathering

evidence and resolving the issues raised by the determinative

challenged ballots. 

A hearing may be held in lieu of, or in addition to, a regional investigation.

CHM 29 sets forth procedures for issuing a notice of hearing. See CHM 52

for guidance on holding hearings on determinative challenged ballots. 

Following the hearing, the agent submits a Hearing Officer's Report to the

Regional Director. The Regional Director conducts an agenda before issuing

a Decision and Order on Determinative Challenged Ballots (CHM 26.3 and

26.4).

49.5 Resolution by agreement and stipulation: If the parties cannot resolve a

sufficient number of the challenged ballots pre or post tally, the Regional

Director is responsible forinvestigating and deciding all remaining challenged

ballots. 

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A meeting held pursuant to § 2422.13(b) may be conducive to resolving

determinative challenged ballots. This may even occur prior to any regional

investigation. This meeting differs from the post-tally party resolution

discussed in CHM47.18 because it is conducted as part of the region’s formal

investigation and includes an agent of the region. Thus, the informal

resolutions discussed in CHM 47.18 are not applicable here unless they are

consistent with the procedures outlined herein. 

A § 2422.13(b) meeting brings together all of the parties to discuss the

positions in dispute and the evidence needed to resolve the eligibility

dispute(s). It is held after the tally has been issued and the parties have

submitted their positions and supporting evidence. If the election was

contested, the parties’ “hard-line” positions at the count may subside by the

time the meeting is scheduled. 

The agent's preparation and conduct of this meeting is similar to the outline

set forth in CHM 25. When conducting this meeting, the agent reminds the

parties that any resolution must be in the form of a stipulation containing

sufficient facts to support a Regional Director on the merits. Thereafter, the

Regional Director issues a Decision and Order on Determinative Challenged

Ballots that must be consistent with the Statute and existing Authority case

law on the challenged positions.

49.6 Regional Director Decision and Order: The Regional Director issues a

Decision and Order following an investigation or hearing. CHM 53 provides

guidelines for issuing a Decision and Order and specificallydiscusses at CHM

53.7, a Decision and Order on Determinative Challenged Ballots.

The Regional Director decides all determinative challenged ballots by

sustaining or overruling the challenges, or both, depending on the particular

challenged ballot. The Regional Director is not authorized to defer

decision on any challenged ballots. Although the parties may withdraw or

resolve certain challenges by stipulation, the Regional Director decides all

challenges in the Decision and Order. Such ballots are considered valid

ballots cast, and to open some, without others, suggests that the votes may

be manipulated.

49.7 Waiver of right to file an application for review: As part of the

investigation, or during the hearing, the parties may waive their right to file an

application for review of a Regional Director*s Decision and Order which may

issue on determinative challenged ballots.

49.8 Procedures forhandling determinative challenged ballots afterRegional

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Determinative Challenged Ballots

Director’s decision: Agents may not remove determinative challenged

ballots from the safe or open the sealed envelopes without express approval

of the Regional Director. 

In addition, the Regional Director gives written approval to the agent before

any determinative challenged ballots that have been counted are discarded

or destroyed. This memorandum is placed in the case file. 

The following procedures are established for securing and maintaining

determinative challenged ballots:

a. Uncounted determinative challenged ballots are maintained in a

secure place until the Regional Directorissues aDecision and Order

on Determinative Challenged Ballots or any appeal is decided by the

Authority or both (see CHM 55 for guidance on stays).

b. Counted determinative challenged ballots are maintained for a year

following issuance of the appropriate certification by the Regional

Director.

49.9 Revised tally of ballots: A Revised Tally of Ballots is issued to the parties

following the opening and counting of any determinative challenged ballots as

directed by the Regional Director. These ballots are counted and tabulated in

the presence of authorized observers for the parties if the parties choose to

have an observer present. The tally of the results of the original election is

entered in the first column, entitled, “Original Tally.” The valid ballots cast in

the original election are not recounted priorto counting the challenged ballots. 

A sample Revised Tally is shown in Figure 49.8. 

A revised tally does not establish a new objection period. In accordance

with § 2422.26, the critical period for filing objections to the procedural

conduct of the election or to conduct that may have affected the results of the

election, is the five day period after the initial tally of ballots has been served.

The challenged ballots involved are not checked off on the eligibility list. After

opening and counting the ballots, the distribution of the votes cast among the

various choices is entered in the second column. In the sample in Figure

49.8, the counting of the eight (8) challenged ballots resulted in a final tally of

51 votes cast for Union B constituting a majority of the valid ballots cast. The

third column totals the original tally with the challenged ballots counted. 

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50 OBJECTIONS TO THE ELECTION: 

50.1 Filing objections to the election: Section 2422.26 states that objections

to the procedural conduct of the election or to conduct that may have

improperly affected the results of the election may be filed by any party. The

objections must be supported by clear and concise reasons. An original and

two (2) copies of the objections must be filed with the Regional Director.

50.2 Action where no objections are filed but the Regional Director believes

that significant procedural irregularities exist: A determination by the

Regional Director that there have been significant procedural irregularities

renders the election results inconclusive [§ 2422.29(a)(4)]. Procedural

irregularities are not processed as objections unless an objection is filed by

a party alleging conduct that is also considered a procedural irregularity. If

objections to the election have also been filed, investigation of the objections

may be held in abeyance while the procedural irregularities are investigated

(see CHM 50.2.1). The Regional Director conducts whatever investigation is

necessary to resolve issues related to the proper conduct of the election. 

CHM 48.2.4 through 48.2.6 discuss rerunning election ordered by the

Regional Director pursuant to §2422.29(a)(4). 

50.2.1 Action on objections when the Regional Director determines that there

have been significant procedural irregularities: The Regional Director

does not investigate objections to an election filed pursuant to § 2422.26

when s/he finds that significant procedural election irregularities exist pursuant

to § 2422.29(a)(4). The Regional Director sets aside the election, as

discussed in CHM 48.2.5, based on a finding that significant procedural

irregularities exist and the results of the election are inconclusive. It is

therefore not necessary to investigate objections filed by a party. Compare

CHM 50.14, when there is no evidence of significant procedural irregularities,

the Regional Director is required to decide all objections. 

50.3 Timeliness of objections: Objections must be filed and received by the

Regional Director within five (5) working days after the tally of ballots

has been served [§ 2422.26(a)]. Any objections must be filed and received

timely regardless of whether the challenged ballots are sufficient in number

to affect the results of the election. Note that the Election Agreement requires

in Item #15 (Form 33) and Item #13 (Form 34) that the parties state how the

tally will be served. Compare U.S. Department of Agriculture, Forest Service,

Apache-Sitgreaves National Forest, Springerville, Arizona, 47 FLRA 945

(1993). The provisions in §§ 2429.24 do not provide for filing objections

by facsimile equipment.

50.4 Supporting evidence: The objecting party must file with the Regional Director

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evidence, including signed statements, documents, and other materials

supporting the objections within 10 days after the objections are filed

[§ 2422.26(b)]. Department of Veterans Affairs, Chattanooga National

Cemetery, Chattanooga, Tennessee, 45 FLRA 263 (1992); and U.S.

Department of Housing and Urban Development, Washington, D.C., 34 FLRA

307, 309 (1990) (the Authority held that parties dealing with the Government

are charged with knowledge of, and are bound by statutes and lawfully

promulgated regulations even if they have relied on, to their detriment, upon

incorrect information received from a Government agent or employee).

50.5 Service requirements: The objecting party is required to serve copies of

objections, without supporting evidence on all parties (§ 2422.4). Service

must be made simultaneously on the parties. See Report on Ruling Number

14, 1 A/SLMR 612 (1970) (no other citation available) and Department of the

Air Force, Electronics System Division, Case No. 31-3338, 1 Rulings on

Requests for Review 165, (1971), Report on Ruling Number 41, 1 A/SLMR

626 (1971).

50.6 Letter to other parties: Upon receipt of the objections, the Regional Director

sends a letter to the other parties. The letter notifies the parties of the

objections, the name of the objecting party and the date objections were

received in the Regional Office. The letter also requests the parties’ positions

and allows the parties 5 days from the date the objections were served by the

objecting party on them to submit their positions and any supporting evidence.

See Figure 50.6. This letter is mailed on the day the objections are

received in the Regional Office. A copy is sent to the objecting party.

50.7 Burden of proof: A party filing objections to the election bears the burden

of proof by a preponderance of the evidence concerning those objections

[§ 2422.27(b)]. See also U.S. Department of the Navy, Naval Station,

Ingleside,Texas (NavalStation Ingleside), 46 FLRA 1011 at n.7, (1992) which

stated that “the burden is clearly upon the objecting party to provide the

evidence necessary to support its allegations of improper conduct and to

demonstrate that the conduct may have improperly affected the results of the

election.” 

50.8 Who may file objections: Objections may only be filed by parties to the

election. See § 2422.26(a) and Department of Housing and Urban

Development, Region IX, San Francisco, California, 50 FLRA 334 (1995)

(DHUD, Region IX), motion for reconsideration denied in Department of

Housing and Urban Development, Region IX, San Francisco, California, 50

FLRA 575 (1995).

50.8.1 Issues concerning standing to file objections: When objections to an

election are filed, the Regions apply Authority precedent and determine if the

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filer is a party eligible to file objections under the regulations. The region

initially determines whether the objecting party is a "party" because it either

filed the petition, was named in the petition, or is an "incumbent intervenor"

because it represents all of the employees in the unit sought in the petition. 

Consistent with the holding in Fort Drum, 50 FLRA 249, 253 (1995) the region

also determines whether the objecting party should have been notified as a

party that may have been affected by issues raised under § 2422.8 of the

regulations and whether it should have been served with a copy of the

petition. If the region determines that the objecting party has no standing to

file objections and was not denied the right to intervene, the region issues a

Decision and Order dismissing the objections based on DHUD, Region IX, 50

FLRA 334 (1995). 

50.8.2 Action: Although the Authority in DHUD, Region IX stated that the region

should issue a Decision and Order allowing for an application for review to be

filed with the Authority even when a party filing objections to an election is

found not to be a party, and also provided guidance in Fort Drum, 50 FLRA

249 (1995) on the criteria to determine who is an intervenor in a

representation proceeding, the Authority has not yet addressed whether a

Regional Director is required to delay issuance of the Certification of

Representative during the application for review process.

In the absence of clear precedent on the procedure to be followed when

objections to the conduct of an election are filed by a non-party, the region 

contacts the Office of the General Counsel and requests clearance to issue

a Certification of Representative prior to expiration of the application for

review period and while any application is pending before the Authority. 

Delaying issuance of the Certification of Representative during the application

for review process is not warranted when objections are dismissed because

they are filed by a non-party. Such a delay is inconsistent with the OGC’s

policy that questions concerning representation are resolved quickly in order

to achieve the statutory objectives of fostering collective bargaining and

ensuring stability in labor-management relations. This course of action also

balances the competing interests of allowing the non-party to challenge the

region's determination while not delaying issuance of the Certification of

Representative. 

Thus, the region issues a Decision and Order dismissing the objections and

simultaneously issues a Certification of Representative. In addition to

supporting the determination that the filer is not a party to the proceeding, the

Decision and Order sets forth the above explanation why the region is issuing

the Certification while at the same time issuing a Decision and Order with a

right to file an application for review with the Authority. The region notes the

competing interests of fairness to the winner of the election and the

employees who voted for representation and the interest of due process for

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the filer of the objections to present its position to the Authority. The Decision

and Order also states that the region has taken this action to present the

Authority with an opportunity to clarify the procedure the regions should follow

when objections to the conduct of an election are filed by a non-party, and

discusses the reasons why the alternative of deferring issuance of the

Certification was rejected.

Until the Authority provides guidance on this issue, the regions will continue

to contact the Office of the General Counsel when this issues arises. 

50.9 Standard for determining whether conductisof anobjectionable nature:

The standard for determining whether conduct is of an objectionable nature

so as to require that an election be set aside is its potential for interfering with

the free choice of voters. Naval Station Ingleside, 46 FLRA 1011 (1992) citing

Marine Corps Logistics Base, Barstow, California, 9 FLRA 1046 (1982); see

also U.S. Army Engineer Activity, Capital Area, Fort Myer, Virginia, 34 FLRA

38 (1989).

50.9.1 Period of time when conduct may be the basis for an objection: The

critical period preceding the election, during which objectionable conduct of

one party may be used as grounds for setting aside the election, is generally

the period between the filing of the petition and service of the tally. See

Report on Ruling Number 58, 5 A/SLMR 789 (1975) (no other citation

available). This does not preclude the filing of a timely unfair labor practice

charge without regard to the date of the election petition. See also Colorado

Air National Guard, Case No. 61-1024(RO), 1 Rulings on Requests for

Review 76 (1970), Report on Ruling Number 12, 1 A/SLMR 611 (1970). 

50.9.2 Runoff elections: The critical period preceding a runoff election during

which conduct of one party may be used as grounds for setting aside the

election begins running from the date of the first election. See Naval Air

Rework Facility, Norfolk, Virginia, Case No. 22-2568, 1 Rulings on Requests

for Review 193 (1972), Report on Ruling Number 50, 1 A/SLMR 640 (1972)

(CHM 48.1.12).

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50.10 Scope of investigation: The Regional Director has discretion to determine

the scope of the investigation of objections. Although the investigation is

limited normally to matters raised timely by the objecting party, the Regional

Director cannot ignore evidence relevant to the conduct of the election simply

because the objecting party did not specifically raise such conduct in its

objections. Section 2422.29(a)(4) allows the Regional Director to rerun an

election when s/he “determines that there have been significant procedural

irregularities.” CHM 48.2.4. The Regional Director may set aside an election

based on conduct s/he discovers during the investigation, even though that

particular conduct was not the subject of a specific objection. For additional

information, see alsoAmericanSafetyEquipment Corporation, 234 NLRB 501

(1978).

50.10.1 Limitations on the scope of the objecting party's evidence: In Naval

Station Ingleside, 46 FLRA 1011 (1992), the Authority adopted the National

Labor Relations Board's (Board) policy that states “if ... evidence of

misconduct unrelated to the timely objections comes to the Regional

Director's attention during the investigation at the initiative of the objecting

party after the time for filing objections has expired, the new evidence should

not be considered as a basis for setting aside the election unless the

objecting party has proof that the evidence was ‘not only newly discovered,

but also previously unavailable.’” JohnW.Galbreath & Company (Galbreath),

288 NLRB 876, 878 (1988), quoting Burns Security Services, 256 NLRB 959,

960 (1981). The Authority limited its discussion in Naval Station Ingleside,

46 FLRA 1011 to additional matters raised by the objecting party and did not

discuss appropriate circumstances when the Regional Director discovers

evidence on his/her own. The region submits any case for advice that

concerns the Regional Director’s authority pursuant to § 2422.29(a)(4) when

the parties raise new objections during the investigation (CHM 58).

50.10.2 Investigation: As part of the investigation, the region requests the parties'

positions on each objection and the names of witnesses. The objecting party

is required to cooperate fully and provide whatever evidence it may have in

its possession. Its failure to produce any evidence obviates further

investigation. 

The agent interviews witnesses and obtains affidavits, if possible. If a witness

refuses to provide an affidavit, the agent writes a memorandum to the file. If

applicable, records are examined. Requests by a party that counsel or a

representative be present during the interview of employees or witnesses

whose statements could bind that party are handled in accordance with

similar procedures in unfair labor practice investigations.

Once the agent gathers sufficient facts, the agent prepares the case for the

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Regional Director's consideration in accordance with CHM 26.2. Any

recommendation is supported by affidavits, memoranda, and correspondence

in the file and includes a legal analysis. An agenda meeting may be required

pursuant to CHM 26.3 and CHM 26.4.

50.11 Authority to conduct a hearing: The Regional Director has the authority to

issue a notice of hearing pursuant to § 2422.17 of the regulations when:

a. a material issue of fact is raised; or 

b. the Director concludes that a hearing, rather than an investigation,

is the most expeditious and cost effective method of gathering

evidence and deciding the objections. 

A hearing may be held in lieu of, or in addition to, a regional inv estigation.

NOTE: The regulations provide that a Regional Director’s determination

of whether to issue a notice of hearing is not appealable to the Authority

[§ 2422.17(d)]. However, if the Regional Director decides that a hearing

on objections is not warranted, the Director affords the parties an

opportunity to make an offer of proof sufficient to raise a substantial

and material factual issue warranting a hearing. Federal Deposit

Insurance Corporation, 40 FLRA 775 at 782 - 784, (1991). 

 

CHM 29 sets forth procedures for issuing a notice of hearing. CHM 51 and

HOG 36 provides guidance on holding hearings on objections to the election. 

Following the hearing, the agent submits a Hearing Officer's Report to the

Regional Director and the Regional Director conducts an agenda before

issuing a Decision and Order on Objections (CHM 26.3 and 26.4).

 

50.12 Withdrawal of objections or agreement to rerun election: A meeting held

pursuant to § 2422.13(b) is not generally appropriate when investigating

objections to an election unless the meeting is scheduled as a prehearing

conference (CHM 25.7). 

If objections are withdrawn before the Regional Director issues a Decision

and Order on Objections, the Regional Director may approve the withdrawal

request and issue the appropriate certification. 

If the parties agree to set aside an election, the region obtains the agreement

in the form of a written stipulation. In the agreement, the parties waive: a)

their right to a hearing; b) a Decision and Order on the objections; and c) their

right to file an appeal or a request for review. The parties also stipulate that

if the Regional Director approves the stipulation, s/he may set the election

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aside and conduct a rerun election. If the Regional Director approves the

stipulation and agreement, s/he issues an Order Setting Aside the Election

and Ordering a Rerun.

 

50.13 Regional Director Decision and Order on Objections: The Regional

Director issues a Decision and Order following an investigation or hearing. 

CHM 53 provides guidelines for issuing a Decision and Order and specifically

discusses at CHM 53.6, a Decision and Order on Objections.

50.14 The Regional Director decides all objections: The Director does not have

the authority to rule on one objection and then, based on his/her decision on

the one objection, decide it is unnecessary to rule on the other objections. If

the Regional Director overrules the objections, the Director does not issue the

appropriate certification until after the appeal period expires (see CHM 55). 

If the Regional Director sustains the objections, the Decision includes a

Direction of Election setting forth the election details or stating the election will

be held “at a time and place to be determined.” 

NOTE: The Regional Director is not required to investigate objections

to an inconclusive election based on his/her decision that procedural

irregularities exist pursuant to § 2422.29(a)(4). See CHM 48.2.6 and CHM

50.2.

50.15 Waiver of right to file an application for review: As part of the

investigation, or during the hearing, the parties may waive their right to file an

application for review of a Regional Director*s Decision and Order which may

issue on objections and/or determinative challenged ballots.

50.16 Investigation of and Decision and Order on objections and

determinative challenged ballots: Where a case involves both objections

and challenged ballots, the Regional Director may issue a Decision and Order

on Objections and Challenged Ballots. In such cases, the Decision may be

based either on an investigation or a hearing. However, if the Regional

Director decides that a material issue of fact exists for one issue, then both

issues are set for hearing. In any event, except in unusual circumstances, a

hearing in both matters is the most expeditious and cost effective resolution. 

See CHM 53.8.

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51 HEARINGS ON OBJECTIONS: HOG 36 discusses Hearings on Objections

and sets forth procedures for handling credibility disputes. CHM51 discusses

issuing a notice of hearing and other procedural matters relating to the

conduct of the hearing.

51.1 General: There are significant distinctions between hearings on objections

and hearings on other representation matters:

a. The objecting party bears the burden of proof in a hearing on

objections, unless the Regional Director decides pursuant to

§ 2422.29(a)(4) to expand the scope of the hearing;

b. In cases where the objections involve the conduct of Authority

personnel, the Regional Director may assign an attorney, designated

as Counsel for the Regional Director, to appear at the hearing (HOG

36.4 and 36.7);

c. The Regional Director has discretion only to allow the Hearing

Officer to make recommendations on credibility issues, not the

objections themselves (HOG 36.6 and 36.8).

51.2 Notice of hearing: The Notice of Representation Hearing, FLRA Form 46,

is appropriate for a hearing notice on objections or determinative challenged

ballots. The letter accompanying the notice of hearing advises the parties of

the nature of the hearing and the date for the prehearing conference. In

objections cases the region attach a copy of the objections to the election,

rather than an outline of the information necessary to address the issues

raised by the objections. In the rare exception when the Regional Director

decides to issue a notice of hearing pursuant to § 2422.29(a)(4) on matters

that raise questions relating to the conduct of the election, the region informs

the parties of the issues it intends to explore. See CHM 29 for guidance on

issuing a notice of hearing.

51.3 Conducting the hearing: See HOG and HOG 36.

51.4 Hearing Officer’s Report: The Hearing Officer is required to prepare a

HearingOfficer’s Report and submit it to the Regional Director with the record. 

The report is a modified version of the Hearing Officer’s Report submitted in

other representation matters (HOG 34). Specifically, it includes:

a. Item 1(c)--Pleadings and Parties: Enter the name of each party as

stated on the record. If amended, the name is shown as amended. 

Note the date(s) of the hearing and its location.

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b. Item 2--Objection(s): Summarize the objections that were in issue at

the hearing and the pertinent evidence presented with respect to

each objection. Any objection or issue litigated, other than those

listed, is checked under the heading “Other” and discussed in Item

8.

c. Item 3 --Procedure: Discuss any unusual or significant procedural

problems affecting the proceeding and/or any rulings made about

which the Hearing Officer is in doubt.

d. Item 4--Stipulations: List the stipulations.

e. Item 5--Recommendations made on the record regarding credibility

issues: Review the Regional Director’s instructions regarding

recommendations on the record. Note the issue and the

recommendation made.

f. Item 6--Other issues or problems: Summarize relevant facts

regarding any issue(s) or problem(s) not covered under any of the

above paragraphs; e.g., status of labor organization.

g. Item 7--Briefs: State whether the parties intend to file briefs and the

due date established for filing any brief(s).

h. Item 8--Reporter’s estimate of transcript pages: Insert the number

of estimated pages.

51.5 Consolidated hearing on objections and/or determinative challenged

ballots and an unfair labor practice complaint: There may be situations

in which an unfair labor practice case is filed alleging violations of the Statute

based on conduct that could also constitute a valid objection to an election

[§ 2422.27(d)]. When such cases are filed, and there are also pending

objections and/or determinative challenged ballots, theRegional Director may

consolidate the representation case(s) and the unfair labor practice case(s)

for hearing. The Regional Director consolidates all of the objections and/or

determinative challenged ballots with the unfair labor practice case; the

Director may not bifurcate any objections and deal with them separately. The

only exception is when there is independent conduct that warrants setting

aside the election that is unrelated to the unfair labor practice case [such as

§ 2422.29(a)(4)]. 

Where a representation case has been consolidated with an unfair labor

practice case for purposes of hearing, the consolidated hearing is conducted

and decisions issued by an Administrative Law Judge in accordance with

§ 2422.27(d) of the regulations. In such circumstances, the Notice of Hearing

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discussed in CHM 29 is modified. The procedures for obtaining an Administrative Law Judge and arranging for an official reporter, described in the

Unfair Labor Practice Case Handling Manual, are followed in these

consolidated hearings. Exceptions and related submissions are filed with the

Authority, and the Authority issues a decision in accordance with Part 2423

of this chapter, except for the following:

a. Sections 2423.18 and 2423.19(j) of the regulations concerning the

burden of proof and settlement conferences are not applicable;

b. The Administrative Law Judge may recommend a decision; he may

not recommend remedial action to be taken or notices to be posted

as provided by § 2423.26(a); and,

c. References to “charge” and “complaint” in § 2423.26(b) will be

omitted.

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52 HEARINGS ON DETERMINATIVE CHALLENGED BALLOTS:

Determinative challenged ballots raise issues related to the eligibility of the

voter to cast a ballot. If the Regional Director decides to issue a notice of

hearing on determinative challenged ballots, the hearing is conducted as any

other representation hearing. The HOG describes techniques of conducting

the hearing and developing a complete record. It also includes Employee

Category Sections to assist the Hearing Officer and the parties in defining,

narrowing and resolving determinative challenged ballots related to eligibility

and employment issues. 

52.1 Duties of the Hearing Officer: A hearing on determinative challenged

ballots is nonadversarial, and no party bears a burden of proof. The Hearing

Officer is responsible for obtaining a complete factual record (HOG 2). A

complete outline of the Hearing Officer's responsibilities is listed in HOG 2.2. 

Note that, unlike objections cases, the Hearing Officer, at the discretion of the

Regional Director, may make recommendations on the record about the

eligibility of voters whose ballots are the subject of the hearing.

52.2 Stipulations on the record: During the hearing, the parties are encouraged

to enter into a stipulation(s) regarding the bargaining unit eligibility of

employees who have cast determinative challenged ballots. The Hearing

Officer recesses the hearing and contacts the Regional Director to discuss

potential stipulations and seek permission to entertain them. Acceptance of

the stipulation is a discretionary matter with the Regional Director. Veterans

Administration Medical Center, Fayetteville, North Carolina, 8 FLRA 651

(1982). HOG 26.6.2.

52.3 Outlining the issues on the record: The Hearing Officer exercises care in

outlining the issues on the record (HOG 35.7 and HOG 35.7.5 - sample

script). The Hearing Officer:

a. States the purpose of the hearing;

b. States the name of each employee whose ballot was challenged and

the title of the employee’s position; 

c. Asks the challenging party(s)to confirm the names of the employees

whose ballots were challenged;

d. States the name of the party that filed the challenge and asks the

party to provide a statement of the reason for each challenge; and

e. Describes the procedures for counting the ballots of any employees

found eligible to vote and provisions for issuing a revised tally of

ballots.

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52.4 Obtaining the record: Once the issues are outlined and explained to the

parties, the Hearing Officer proceeds with the hearing by receiving

stipulations, summarizing the parties’ positions, and proceeding with the

presentation of evidence. See HOG 32 which includes an outline of a hearing

and HOG 35 for a sample script.

52.5 Hearing Officer’s Report: The Hearing Officer is required to complete a

Hearing Officer’s Report after the hearing is closed. This report is submitted

with the record to the Regional Director (HOG 34 and Figure H34.4 for the

format for the report).

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Decisions and Orders

REGIONAL DIRECTOR DECISIONS AND ORDERS,

APPLICATIONS FOR REVIEW, POSTDECISIONAL ACTIONS

CHM 53 through 55

53 REGIONAL DIRECTOR DECISIONS AND ORDERS: Pursuant to the

provisions of section 7105(e)(1) of the Statute, the Authority delegated its

authority to process and determine representation matters to the Regional

Directors in Appendix B to 5 CFR Chapter XIV - Memorandum Describing the

Authority and Assigned Responsibilities of the General Counsel of theFederal

Labor Relations Authority (45 FR 3523, Jan. 17, 1980, as amended at 48 FR

28814, June 23, 1983; 61 FR 16043, Apr. 11, 1996). 

Section 2422.30(c) of the regulations states that:

After investigation and/or hearing, when a hearing

has been ordered, the Regional Director will

resolve the matter in dispute and, when

appropriate, direct an election or approve an

election agreement, or issue a Decision and

Order.

53.1 General guidelines: The Regional Director issues a Decision and Order:

53.1.1 Without a hearing when there are no material issues of fact and no

unresolved questions regarding unit appropriateness (CHM 27.4.5);

53.1.2 Without a hearing, when the parties enter into a stipulation that 1) addresses

all appropriate unit issues; 2) includes a waiver of the parties right to a

hearing; and 3) is approved by the Regional Director;(CHM 27.7); or 

53.1.3 After a hearing (CHM 27.5 and 27.6 discuss when hearings are required).

53.2 Purposes of a Decision and Order: This subsection discusses the

variety of issues that the Regional Director may decide in a Decision

and Order. In a single Decision and Order, the Regional Director

decides all issues raised initially by petitions, including those serving

multiple purposes. In addition, the Regional Director decides

jurisdictional and threshold issues in the same Decision and Order as

the substantive issues are decided. 

In a Decision and Order the Regional Director may:

53.2.1 Determine an appropriate unit; see RCL 1.

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53.2.2 Determine an appropriate unit and direct an election;

53.2.3 Dismiss a petition or a request to intervene; (based on timeliness, standing

to file, inadequate showing of interest, find merit in a challenge to the validity

of a showing of interest, etc.)

53.2.4 Decide a challenge to the status of a labor organization; 

Note that a status challenge is a threshold issue. The Regional Director's

decision that a challenge to the status of a labor organization petitioner is

meritorious may obviate the need for deciding any other issues present in the

case. If the Regional Director decides the status challenge lacks merit or the

party being challenged is not the petitioner, the Director may also decide the

other issues in the case. See CHM 19, 20.1.8, and 23.9.3.

53.2.5 Determine that due to a change in the character and scope of the unit(s):

a. a bargaining unit(s) is (are) no longer appropriate; and/or

b. an exclusive representative(s) of an appropriate unit(s) ceases to be

the exclusive representative of that unit.

53.2.6 Determine that in spite of a change in the character and scope of the unit(s),:

a. a bargaining unit continues to be appropriate; and

b. an exclusive representative of an appropriate unit continues to be

the exclusive representative of that unit;

53.2.7 Determine that due to a change in the character and scope of the unit, certain

employees are unrepresented; 

For a discussion on CHM 53.2.5 through 53.2.7 see RCL 3 citing Morale,

Welfare and Recreation Directorate, Marine Corps Air Station, Cherry Point,

North Carolina, 45 FLRA 281 (1992) and other cases therein. 

53.2.8 Decide whether successorship, accretion, schism and/or severance exists

and order appropriate action (RCL 3, 8 and 9);

See Naval Facilities Engineering Service Center, Port Hueneme, California,

50 FLRA 363 (1995), concerning successorship; United States Department

of the Navy, Fleet and Industrial Supply Center, Norfolk, Virginia, 52 FLRA

950 (1997) concerning competing claims of successorship and accretion; 

Department of the Army. U.S. Army Aviation Missile Command (AMCOM II),

Redstone Arsenal, Alabama, 56 FLRA 126 (2000) for issues relating to

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successorship and accretion, and National Association of Government

Employees/Service Employees International Union, Local 5000, ALF-CIOCLC and Service Employees International Union, ALF-CIO-CLC and

Department of Veterans Affairs, Washington, DC, 52 FLRA 1068 (1997)

concerning severance.

53.2.9 Decide whether a question has arisen concerning the representation of the

employees in an appropriate unit(s) and:

a. order an election; 

b. dismiss the petition; or

c. revoke the certification.

Note that such decisions could be based on two different situations: 

(i) questions related to substantial changes in the character and scope

of the unit due to a reorganization or realignment of agency

operations (see CHM 53.7, and RCL 3); or 

(ii) issues related to the majority status of the currently recognized or

certified labor organization and/or defunctness (RCL 4).

53.2.10 Decide that certain positions are included in or excluded from an appropriate

unit; See RCL 15 through 28 and HOG 51 through 64.

53.2.11 Decide whether the certification or recognition of an existing unit should be

amended;

53.2.12 Decide whether a labor organization is eligible for dues allotment under

5 U.S.C. 7115(c) (RCL 6 and HOG 42); 

53.2.13 Decide whether to grant a labor organization national consultation rights or

consultation rights under 5 U.S.C. 7113 and 7117 respectively (see CHM 57);

53.2.14 Decide whether existing units are appropriate for consolidation under

5 U.S.C. 7112(d) (RCL 13 and HOG 49); A Decision and Order is required

if: 1) the parties agree on the proposed consolidation and no election is

required; or 2) the parties disagree on the proposed consolidation. In the

latter circumstances, see CHM 29 for requirements for Hearings or

stipulations in lieu of hearings. 

NOTE: if an election is required because either thirty percent of the

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employees submitted a showing of interest, or the professionals are

required to vote on inclusion in the nonprofessional unit, a Decision

and Order is not required where the parties agree on the proposed unit. 

In such cases, the Election Agreement constitutes the Regional

Director’s finding the proposed consolidated unit appropriate.

53.2.15 Determine that an incumbent union has disclaimed representational interest

in a unit for which it is the exclusive representative (CHM 20.9);

53.2.16 Rule on objections and/or determinative challenged ballots (CHM49 and 50); 

and/or

53.2.17 Resolve any other issues before the Regional Director.

53.3 Contents of a Decision and Order: A Decision and Order contains

sufficient facts, legal authority and rationale to support the Regional Director's

decision. 

53.4 Basic outline of a Decision and Order: A Decision and Order contains the

following information:

a. Jurisdiction statement setting forth the Regional Director's authority

for processing and deciding the representation petition pursuant to

5 U.S.C. 7105(e)(1); and that the Decision and Order is issued

pursuant to § 2422.30(c) of the regulations;

b. Petitioner's stated purpose of the petition;

c. Identification of the parties; briefly name the parties setting forth

their party status and provide a short statement of their positions on

the issues;

d. Background and pertinent facts; reference and detail any stipulations

submitted by the parties. The factual portion of the Decision and

Order is detailed. Although the parties may stipulate the facts, if the

Decision and Order refers to the stipulation, it may only refer to the

stipulated facts, not the parties’ stipulated legal conclusions based

on the facts. The Regional Director’s Decision and Order is based

on facts, not the parties’ conclusions. 

Examples of facts in a Decision and Order include: 

(i) if the petition involves an appropriate unit question, the

Decision and Order describes the mission, organization,

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functions, delegations of authority, bargaining history,

personnel information, working conditions and other facts

that are considered when making unit determinations;

(official organizational charts may be attached to Decisions

and Orders to assist the reader. See Army and Air Force

Exchange Service, Dallas,Texas andAmericanFederation

of Government Employees, AFL-CIO, 5 FLRA 657 (1981). 

(ii) if the petition involves matters relating to the representation

of employees, such as a reorganization, the Decision

reflects all of the facts considered in making an appropriate

unit determination both before and afterthe reorganization,

so that the Decision reflects what has happened to the

affected employees;

(iii) if the petition involves matters relating to unit eligibility, the

Decision describes the duties and authorities of the

contested employees and their relationships with their

superiors and colleagues; 

e. Issues presented for resolution; these issues are not onlydefined

by the results the petitioner seeks, but also by the facts and

circumstances that caused the petition to be filed (CHM 23.1). 

f. Applicable case law; Authority decisions are considered first,

followed by Decisions of the Federal Labor Relations Council and

the Assistant Secretary for Labor Management Relations, and

finally, Decisions of the National Labor Relations Board. See also

CHM 24.

(i) 5 U.S.C. 7135(b) states that: 

Policies, regulations and procedures established

under Executive Orders 11491, 11616, 11787,

and 11838, or under any other Executive order,

as in effect on the effective date of this chapter,

shall remain in full force and effect until revised or

revoked by the President, or unless superceded

by specific provisions of this chapter or by

regulations or decisions issued pursuant to this

chapter.

See also Florida National Guard, St. Augustine, Florida, 25

FLRA 728 (1987) and U.S. Army Corps of Engineers,

Headquarters, South Pacific Division, San Francisco,

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California, 39 FLRA 1445, 1449 (1991) (a decision of the

Assistant Secretary remains in full force and effect unless

superceded by decisions issued pursuant to the Statute).

(ii) References to private sector precedent decided under the

National Labor Relations Act are appropriate where there

are no prior decisions, and where analogies to comparable

legal developments in the private sector may be relevant

and useful. See Turgeon v. FLRA, 677 F.2d 937, 939-940

(D.C. Cir. 1982); Library of Congress v. FLRA, 699 F.2d

1280, 1286 (D.C. Cir. 1983), enforcing American

Federation of State, County and Municipal Employees,

AFL-CIO, Local 2477 and Library of Congress,

Washington, D.C., 7 FLRA 578 (1982); and U.S.

Department of Transportation, U.S. Coast Guard Finance

Center, Chesapeake, Virginia (Coast Guard), 34 FLRA

946, (1990).

g. An analysis of the case law as applied to the facts of the case;

h. Results: the action that the Regional Director is taking to resolve the

issues presented by the petition; for example, order an election,

clarify a unit, etc.

i. The Decision and Order also states that, pursuant to Section

2422.31(e), if no application for review is filed with the Authority, or

if one is filed and denied, or if the Authority does not undertake to

grant review of the Decision and Order within sixty (60) days after

the filing of an application for review, the Decision and Order

becomes the final action of the Authority (as in dismissals when no

further action is required) or the Regional Director will: set forth

appropriate action:

(i) direct an election; and/or, if appropriate

(ii) prepare and serve on all parties an Amendment of

Recognition, Clarification of Unit, the appropriate

Certification or Revocation of Recognition or Certification

or Certification of Consolidation of existing Units (CHM56).

NOTE: If the Regional Director decides to issue a certification,

clarification, amendment or revocation in the Decision and

Order, it is not issued as part of the Decision and Order. It is

issued as a separate document. 

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j. Every Decision and Order concludes by informing the parties of their

rights to file an application for review with the Authority and the filing

requirements [§§ 2422.30(d) and 2422.31]. CHM 53.10 states that

the parties may waive their right to file an application for review. 

53.5 Decision and Order and Direction of Election: When the Regional Director

issues a Decision and Order finding a unit appropriate and directs an election,

the decision is titled: Decision and Order and Direction of Election. In

addition to the information set forth in CHM 53.4, the Decision also contains

(CHM 28.12.1):

a. a complete description of the unit(s) found appropriate; 

b. a direction of the election explaining the purpose of the election;

c. the effect of the vote;

d. general statement of eligibility;

e. the eligibility date for participating in the election - the payroll period

ending prior to the date of the Decision (CHM 28.18.3.1b); 

This information is included in the subsequent Election Agreement and on the

Notice of Election. See CHM 28.12.1. 

NOTE: In a Decision and Order involving an appropriate unit question

in an election petition, the Regional Director decides only whether the

unit petitioned for in an election case or any alternative unit the

petitioner has agreed to is appropriate. The Regional Director does not

decidewhether there is a more appropriate unit or whether the Activity’s

proposed unit is appropriate if s/he finds that the petitioner’s unit(s) is

not appropriate. Department of Transportation, Federal Aviation

Administration, New England Region (FAA), 20 FLRA 224 (1985).

53.6 Decision and Order on Objections: The introduction to a Decision and

Order on Objections to the procedural conduct of an election, or to conduct

that may have improperly affected the results of the election, includes: 1) the

tally of ballots; 2) the date the objections to the procedural conduct of the

election and/or conduct improperly affecting the results of the election were

filed; and 3) the relevant portion of each objection. The best practice is to

quote each objection, if possible. If the objection is too lengthy, it may be

paraphrased or attached to the Decision and Order.

The Decision and Order addresses each objection separately except when

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several objections involve similar or closely related matters. These objections

may be treated together. A discussion of each objection includes:

a. Allegation(s);

b. Positions of the other party or parties regarding the objection;

c. Summary and analysis of evidence;

All relevant evidence submitted during the investigation is

summarized. The analysis of the evidence includes the application

of Authority case law to the facts revealed by the investigation.

d. Findings; 

e. Conclusion, setting forth the action ordered; and

The summary and analysis is followed by the conclusion that the

particular conduct engaged in did, or did not, as alleged, interfere

with the employees* freedom of choice, and therefore the election

is or is not set aside.

f. A final paragraph informing an aggrieved party of the right to file an

application for review with the Authority [§§ 2422.30(d) and

2422.31].

See also CHM 50.

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53.7 Decision and Order on Determinative Challenged Ballots: The

introduction to a Decision and Order on Determinative Challenged Ballots

states the results of the election as set forth in the tally of ballots and provides

a complete description of the unit or voting group involved as described in the

Election Agreement or Direction of Election. For each of the individuals

whose ballots were challenged, the Decision and Order discusses:

a. The basis for the challenge and the position of the challenging party;

b. The respective position(s) of the other party(ies) regarding the

eligibility of the challenged voter;

c. A summary of the relevant evidence obtained in the investigation or

included in a stipulation if submitted by the parties, and an analysis

of such evidence, based on Authority case law;

d. Determinations of eligibility;

e. The action ordered; and

f. A final paragraph informing an aggrieved party of the right to file an

application for review with the Authority [§§ 2422.30(d) and

2422.31]. 

See also CHM 49.

53.8 Decision and Order on Objections and Determinative Challenged

Ballots: Where a case involves both objections and challenged ballots, the

Regional Director may decide the issues in the same Decision and Order. 

The Decisions discussed in CHM 53.6 and 53.7 are combined. 

53.9 Service of a Decision and Order: A Decision and Order of the Regional

Director is served on all parties according to § 2422.4. A Decision and Order

is served in accordance with § 2429.12.

53.10 Waiver of right to file application for review: The parties may, at any time,

waive the right to file an application for review. See also CHM 54.7.1.

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Application for Review

54 APPLICATION FOR REVIEW OF A REGIONAL DIRECTOR DECISION

AND ORDER: Section 2422.30(d) states that a party may file with the

Authority an application for review of a Regional Director Decision and Order. 

54.1 Contents of the record: Section 2422.30(e) sets forth the requirements for

forwarding documents to the Authority when an application for review is

filed/granted: 

When no hearing has been conducted all material

submitted to and considered by the Regional Director

during the investigation becomes a part of the record.

When a hearing has been conducted, the transcript and all

material entered into evidence, including any posthearing

briefs, become a part of the record.

NOTE: Section 2422.30(e) does not instruct the regions to forward

automatically the contents of the record to the Authority whenever an

application for review is filed of a Regional Director's Decision and

Order. Thus, when an application for review is filed with the Authority,

neither the case file nor any other documents are forwarded to the

Authority UNLESS specifically requested by the Authority.

54.1.1 When no hearing is held, the region does not wait for the Authority to request

the file. Rather, the region transmits the representation case file directly to

the Authority as follows:

a. The representation case file is forwarded directly to the Office of

Case Control by certified mail; nothing is removed from the file

except as noted in part “b”;

b. The showing of interest is not forwarded with the file; FLRA Form 52,

summarizing the report on the showing of interest, is the only record

of the showing of interest transmitted to the Authority; and

c. Regional Offices may not submit “comments,” sua sponte,

addressing issues raised in applications for review.

54.1.2 When a hearing has been held, the region waits for the Authority to request

the record. The transcript, all material entered into evidence, including formal

documents, exhibits, post hearing motions and briefs, become part of the

record. Neither the case file nor the Hearing Officer's Report is part of

the official record and are not submitted to the Authority. See HOG 4.1

and 17.1.

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54.2 Filing an application for review: Section 2422.31(a) requires that a party

must file an application for review with the Authority within sixty (60) days of

the Regional Director's Decision and Order. The sixty (60) day time limit

provided for in 5 U.S.C. 7105(f) may not be extended or waived.

54.3 Contents of applications for review: Section 2422.31(b) provides that an

application for review must be sufficient to enable the Authority to rule on the

application without recourse to the record. However, the Authority may, in its

discretion, examine the record in evaluating the application. An application

must specify the matters and rulings to which exceptions are taken, include

a summary of evidence relating to any issue raised in the application, and

make specific reference to page citations in the transcript if a hearing was

held. An application may not raise any issue or rely on any facts not timely

presented to the Hearing Officer or Regional Director.

54.4 Grounds for review: Section 2422.31(c) states the Authority may grant an

application for review only when the application demonstrates that review is

warranted on one or more of the following grounds: 

a. The decision raises an issue for which there is an absence of

precedent;

b. Established law or policy warrants reconsideration; or,

c. There is a genuine issue over whether the Regional Director has: 

(i) Failed to apply established law;

(ii) Committed a prejudicial procedural error;

(iii) Committed a clear and prejudicial error concerning a

substantial factual matter.

54.5 Amicus briefs to the Authority: Occasionally the Authority provides

interested parties, including the Office of the General Counsel, the opportunity

to file briefs as amici curiae in a pending representation proceeding. On

appropriate occasions, the Office of the General Counsel will submit a brief

to the Authority on matters of concern to the Authority (see Notice in Federal

Register dated November 22, 1994, providing interested parties with the

opportunity to file briefs as amici curiae in Naval Facilities Engineering Center,

Port Hueneme, California and the General Counsel’s subsequent brief). 

Regions may be called upon to prepare a brief to the Authority on behalf of

the Office of the General Counsel.

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54.6 Opposition to application for review: Section 2422.31(d) provides that a

party may file with the Authority an opposition to an application for review

within ten (10) days after the party is served with the application. A copy must

be served on the Regional Director and all other parties, and a statement of

service must be filed with the Authority.

54.7 Regional Director Decision and Order becomes the Authority's action:

Section 2422.31(e) states that a Decision and Order of a Regional Director

becomes the action of the Authority when:

a. No application for review is filed with the Authority within sixty (60)

days after the date of the Regional Director's Decision and Order; or

b. A timely application for review is filed with the Authority, and the

Authority does not undertake to grant review of the Regional

Director's Decision and Order within sixty (60) days of the filing of

the application; or

c. The Authority denies an application for review of the Regional

Director's Decision and Order.

For additional discussion concerning when the Regional Director's action

becomes the final action of theAuthority, see Morale, Welfare and Recreation

Directorate, Marine Corps Air Station, Cherry Point, North Carolina, 48 FLRA

686 (1993).

54.7.1 A waiver by the parties of their right to file an application for review of the

Regional Director’s Decision and Order is the equivalent of no application

being filed at all [§ 2422.31(e)(1)]. See CHM 53.10.

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55 REGIONAL ACTION SUBSEQUENT TO THE REGIONAL DIRECTOR’S

DECISION AND ORDER: Section 2422.31(f) provides that: “The Authority

may rule on the issue(s) in an application for review in its order granting the

application for review. Neither filing nor granting an application for review

shall stay any action ordered by the Regional Director unless specifically

ordered by the Authority.”

55.1 Considerationswhen scheduling elections or taking other action during

the sixty day appeal period: As discussed in CHM 53, the Regional

Director's Decision and Order may result in a direction of election or a

direction to open challenged ballots. Subsequent actions include issuing a

revised tally of ballots, scheduling a rerun or runoff election, or issuing an

appropriate certification, clarification, amendment or revocation. 

55.1.1 Actions that constitute final actions by the Authority and are deferred:

Certifications, clarifications, amendments and revocations are issued by the

Regional Director and constitute final actions by the Authority. As such, they

cannot be issued until the case is finished. Exceptions may be allowed in

unusual circumstances after obtaining clearance from the Office of the

General Counsel. See, for example, CHM 50.8.2.

55.1.2 Elections are not deferred: Absent a stay by the Authority pursuant to

§ 2422.31(f), the region conducts all elections even though the case may be

pending on appeal before the Authority. (CHM 55.2 discusses stays and

impounding ballots ordered by the Authority.) However, if the region believes

that one of the following circumstances exists, warranting deferring the

election, contact the Office of the General Counsel for clearance:

a. An election requires the expenditure of substantial financial and

human resources; 

b. A unique legal issue was raised in the representation proceeding; or

c. The issue involves the denial of intervention. (see CHM 17.16 and

58.4.2)

55.1.3 Processing elections: After issuing a Decision and Order and Direction of

Election, absent a stay, the agent, on behalf of the Regional Director, meets

with the parties, and schedules and conducts the election following the

procedures outlined below. Regions are not authorized to impound

ballots in accordance with § 2422.31(f) unless ordered by the Authority.

This section states “neither filing nor granting an application for review shall

stay any action ordered by the Regional Director unless specifically ordered

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by the Authority.”. The region: a) conducts the election, b) counts the ballots,

c) issues and serves the tally of ballots, d) investigates any determinative

challenged ballots or timely objections to preserve the evidence; and e)

contacts the Office of the General Counsel prior to issuing the Decision and

Order. 

In cases where the Regional Director issued a Decision and Order and

Direction of Election that is appealed, the parties may either: 1) fail to request

a stay when filing an appeal; or 2) request a stay which the Authority denies,

grants, or gives the region the option to conduct or stay the election. If the

region opts to conduct the election and has not been ordered to impound the

ballots and there are no determinative challenged ballots or objections filed,

the region: a) counts the ballots, b) issues and serves the tally of ballots, but

c) delays issuing the certification until such time as the Authority rules on any

pending application for review. See also CHM 28.29. 

55.2 Stays of Election and Procedures for Impounding Ballots: In an election

case, after issuing a Decision and Order and Direction of Election, if an

application for review is filed and the applicant requests a stay in the election,

the Authority may stay the election, deny the stay or give the region the option

of staying or proceeding with the election. In the latter option, the Authority

has usually ordered the ballots impounded if the region decides to proceed

with the election. See Department of the Army, Headquarters, Fort Dix, Fort

Dix, New Jersey, 53 FLRA 287 (1997) (The election ordered by the Regional

Director was held prior to the Authority’s receipt of AFGE’s application,

mooting AFGE’s request for a stay. The Authority stated that: “It is, of course,

not possible, for the Authority to act on stay motions where the request is not

filed prior to the act to be stayed.”) 

In Department of the Army, U.S. Army Aviation Missile Command (AMCOM

I), Redstone Arsenal, Alabama, 55 FLRA 640 at 644 (1999) the Authority

established standards for evaluating requests for stays of Regional Director’s

decisions. The Authority stated that it would be guided by the standards used

by appellate courts to evaluate requests to stay district court orders. The

Authority cited the standards as set out in the D.C. Circuit’s Rule 8(a)(1) as

follows:

a. The likelihood that the moving party will prevail on the merits;

b. The prospect of irreparable injury to the moving party if relief is

withheld;

c. The possibility of harm to other parties if relief is granted; and 

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d. The public interest. 

Whenever the Authority’s gives a region the option of staying an election or

conducting it, the Regional Director obtains advice from the OGC about

whether to conduct or stay the election (CHM 58.3.12). 

55.2.1 Procedures for impounding ballots:

If possible, when the Authority orders the ballots impounded, the procedures

for impounding the ballots are described in detail in the Election Agreement

or Direction of Election. 

If a Regional Director is ordered to impound the ballots after the Election

Agreement is approved, the Director will discuss with the parties how the

ballots will be impounded. All impounded ballots will be placed in a large

envelope or envelopes in the presence of the parties. The envelope/box is

sealed and signed by all of the observers and transparent tape is placed over

each of the signatures. The envelope/box is marked clearly to reflect the

case number, date of election and polling place. The envelope/box is also

labeled to reflect that it contains ballots and that the envelope may not be

opened. If more than one envelope is being used, each envelope is marked

in sequence; e.g., “Envelope 1 of 2" or “Envelope 2 of 2”, etc. The envelope(s)

is (are) stored in the office safe or other secure place that the parties agree

upon and a photocopy of the envelope face, along with a memorandum of

where the envelope(s) is (are) stored is placed in the case file. (See also

CHM 40.15.)

When the impounded ballot envelope is removed from the secured place, the

region contacts representatives of the parties and affords them the

opportunity to be present when the ballots are removed for counting. 

55.2.2 Safeguarding impounded ballots: Authority agents may not remove

impounded ballots from the safe or open the envelopes without express

approval of the Regional Director. 

In addition, the Regional Director gives written approval to the agent before

any impounded ballots that have been counted are discarded or destroyed. 

This memorandum is placed in the case file. 

The following procedures are established for safeguarding impounded ballots:

a. Uncounted impounded ballots remain in a secure place until the

Authority decides the related appeal or any blocking unfair labor

practice case is decided and action ordered by the Authority is

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remedied.

b. Counted impounded ballots are maintained for a year following

issuance of the appropriate certification by the Regional Director.

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CERTIFICATIONS AND REVOCATIONS

CHM 56

56 CERTIFICATIONS AND REVOCATIONS: Section 2422.32 concerns

certifications and revocations. 

56.1 Requirements for certifications: Section 2422.32(a) states that the

Regional Director will issue an appropriate certification when:

a. After an election, runoff, or rerun,

(i) No objections are filed, or challenged ballots are not

determinative, or

(ii) Objections and determinative challenged ballots are

decided and resolved; or

b. The Regional Director issues a Decision and Order requiring a

certification, and the Decision and Order becomes the action of the

Authority under § 2422.31(e) or the Authority otherwise directs the

issuance of a certification.

NOTE: 1) CHM 55 for policy considerations when scheduling elections

or taking other action during the sixty day appeal period. 2) The

certification, clarification, amendment or revocation is issued as a

separate document. It is not included as part of the Decision and Order

(CHM 53.4i).

56.2 Types of certifications:

56.2.1 Certification of Representative: FLRA Form 28, Certification of

Representative, is used to:

a. certify that a majority of the employees have selected the named

labor organization as exclusive representative of the employees in

the unit involved; or

b. reflect that a new agency has acquired employees who were

previously represented by a labor organization in an appropriate

unit, and the acquiring employer has satisfied the successorship

criteria (RCL 3). In this scenario: 1) the predecessor unit may be

disestablished and the region also may revoke the original

certification; or 2) the predecessor unit still exists and continues to

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be appropriate, but a new unit consisting of the portion of the

employees acquired from the old employer is also appropriate. A

Certification of Representative is issued for the new unit. 

56.2.1.1 Names appearing on the caption of the certification: This section

applies to all certifications, clarifications, amendments or revocations.

The full name of the agency, then the activity and the labor organization as

it appears on the Election Agreement or in the Decision and Order, including

the designation of the local, if any, appears in the caption of the certification

and in the unit description (CHM 28.18.1). The order of the agency and the

activity, if there is one, may differ from the order of these parties in the

unit description. The level of recognition is controlled by the unit

description (CHM28.14.2). The caption is significant for record-keeping

purposes.

NOTE: Particular care is taken to ensure that when a consolidated unit

is involved, the certification of consolidated units which issues sets

forth in full the designation of the exclusive representative of the

consolidated unit.

56.2.1.2 Unit description: The unit as agreed to by the parties in the Election

Agreement or Direction of Election or as found appropriate by the Regional

Director in the Decision and Order and Direction of Election, or the Decision

and Order in successorship cases, is the unit described in the certification.

NOTE: It is important to track the unit description in the certification as

it appeared in the election agreement or the Decision and Order. The

unit description includes the name of the agency as appropriate and

depending on the level of certification. (CHM 28.14). 

56.2.1.3 Maintaining a record of the unresolved challenged ballots: Prior to

issuing the Certification for Inclusion in Existing Unit, the Regions insure that

a list of the employees in the 15% “agree to disagree” group, whose status

was not resolved as part of reaching the certification or any other unresolved

challenged ballot of an employee whose challenge was based on unit status,

are clearly listed in the case file. This list is also maintained with the

certification in the Regional Office and added to the certification

database when the certification is entered.

56.2.2 Certification of Results: FLRA Form 27, Certification of Results of Election,

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is issued to certify that a majority of the valid ballots has not been cast for any

labor organization appearing on the ballot. Follow the instruction in CHM

56.2.1.1 and 56.2.1.2 for completing the certification. Normally, Certifications

of Results are not entered into the Certification Database.

If, in a raid situation, neither the petitioning labor organization nor the

incumbent win the election, the Regional Director issues a Certification of

Results. However, in this situation the certification of the incumbent is also

revoked. Thus, such certification of results are added to the Certification

Database to reflect that the certification origianlly issued to the incumbent is

revoked.

56.2.3 Certification for Inclusion in Existing Unit: This type of certification

(FLRA Form 192) is limited to two instances: 

a. Residual elections where a majority of the valid ballots has been

cast by residual professional or nonprofessional employees for

inclusion in the unit currently represented by the petitioner (CHM

28.15.4); or

b. Add-on elections: where a union petitions for an election to add

employees to an existing unit and the majority of valid ballots has

been cast by the employees for inclusion in the unit currently

represented by the petitioner (CHM 28.16). 

FLRA Form 192 requires a description of the unit in which the election was

held and a description of the newly defined existing unit. Note that when

completing a Certification for Inclusion in an Existing Unit for a nationwide or

agency-level consolidated unit, it is not necessary to add the unit to the

n:\drive document which holds the certifications for these documents or to

rewrite the broader unit description. The unit is described on FLRA Form 192. 

FLRA Form 192 is issued with a copy of the current nationwide or

consolidated unit description printed from the n:\drive attached to it. OGC

Headquarters will add the unit to the main document. 

Similar to the Certification of Representative, prior to issuing the Certification

for Inclusion in Existing Unit, the Regions insure that a list of the employees

in the 15% “agree to disagree” group, whose status was not resolved as part

of reaching the certification or any other unresolved challenged ballot of an

employee whose challenge was based on unit status, are clearly listed in the

case file. This list is also maintained with the certification in the

Regional Office and added to the certification database when the

certification is entered.

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56.2.3.1 Certification bar limitations: Where the unit currently represented by the

petitioner was established by a previous certification, the issuance of a

Certification for Inclusion in Existing Unit does not constitute a recertification. 

Thus, no one year certification bar arises with respect to the newly defined

unit. The timeliness requirements for filing another petition seeking the larger

unit is based upon the expiration of the current agreement covering the

employees in the overall unit. When listing components of a consolidated

unit, list the components alphabetically by state, and then alphabetically by

city within each state.

56.2.4 Certification of Consolidation of Existing Units: FLRA Form 29 is used

to issue a certification when an agency and a labor organization consolidate

units for which the union currently holds exclusive recognition. Each unit

originally certified included in the consolidation is listed in the certification

unless the parties rewrite a comprehensive unit description that is approved

by the Regional Director. When listing components of a consolidated unit, list

the components alphabetically by state, and then alphabetically by city within

each state.

56.3 Conditionsprecedenttoissuance of certification after election: Issuance

of any certification after an election does not occur until all of the following

conditions are met:

a. The five (5) day period for filing objections to an election has expired

and no objections to the election have been received by the

Regional Director from any of the parties within five days after the

tally of ballots has been served;

b. A rerun or runoff election has been conducted, when necessary, and

no objections were received timely within the five (5) day period;

c. Challenged ballots, if any, are not sufficient to affect the results of

the election; and 

d. The Authority has decided any application for review pending before

it pursuant to § 2422.31(e).

56.4 Clarifications of Units and Amendments of Recognitions and

Certifications: These documents are not “certifications” as defined in

§ 2421.13 in that they do not determine “the results of an election, or the

results of a petition to consolidate existing exclusively recognized units.” 

However, they constitute a permanent record of changes to existing

appropriate units resulting from petitions to clarify or amend a recognition or

certification then in effect and/or any other matter relating to representation. 

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They are also entered into the Certification Database. There are no

preprinted FLRA Forms for amendments or clarifications since they are

subject to modification depending on the circumstances of the case. 

There are, however, certain requirements for any Clarification or Amendment. 

These requirements are illustrated in Figure 56.C, Clarifications, and Figure

56.A, Amendments. Clarifications and Amendments include: 

a. the date and case number of the original certification of

representative or recognition and the dates and case numbers of

any certifications, clarifications or amendments that updated the

original document; 

b. a description of the existing unit before the petition was filed; and 

c. the action taken, including the revised unit description, and the

clarification and amendment ordered. For example:

< A clarification stating that the certification will “include Secretary,

GS-6” refers to the original certification, including case number and

unit description. If the unit description as clarified or amended, the

revised unit description is also reflected on the clarification. Note

that a clarification of positions includes the name of the position,

title, series and grade. Including the name of the incumbent is

avoided. Exceptions include: when the clarification is limited to one

person or several persons who are part of a major classification of

employees.

and

< Any amendment reflecting a change in affiliation references the case

number, certified representative and unit description originally

certified and the change in the designation of the unit as a result of

the reaffiliation or merger. Further, the labor organization

originally granted recognition and the new certified

representative (listed as “Interested Party”) are referenced in

the caption.

NOTE: 1. When necessary and appropriate, these forms are combined

to clarify and amend units as a result of a substantial change in the unit.

NOTE: 2. As discussed in CHM 56.2.3, when completing a Clarification

or Amendment of an existing Unit for a nationwide or agency-level

consolidated unit, it is not necessary to add the clarified or amended

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unit to the n:\drive document which holds the certifications for these

documents. The unit is described in a formal Clarification or

Amendment. This document is then issued with a copy of the current

nationwide or consolidated unit description printed from the n:\drive

attached to it. OGC Headquarters will add the unit to the main

document.

56.5 Determination of Eligibility for Dues Allotment: This certification is issued

when the Regional Director determines that a labor organization has complied

with 5 U.S.C. 7115 and is eligible for dues allotment in an appropriate unit

without an exclusive representative. There are no preprinted forms for a

certification of eligibility for dues allotment. 

56.6 Revocations: The regulations also provide at § 2422.32(b) that without

prejudice to any rights and obligations which may exist under the Statute, the

Regional Director will revoke a recognition or certification, as appropriate, and

provide a written statement of reasons when:

a. An incumbent exclusive representative files, during a representation

proceeding, a disclaimer of any representational interest in the unit;

or

b. Due to a substantial change in the character and scope of the unit,

the unit is no longer appropriate and an election is not warranted. 

56.6.1 Revocations issued upon a disclaimer by an incumbent exclusive

representative: If a labor organization files a disclaimer of any

representational interest in a unit for which it holds exclusive recognition, a

Revocation of Recognition or Certification, FLRA Form 191, is issued by the

Regional Director under the following circumstances:

a. Following investigation of a petition filed by an incumbent labor

organization seeking to disclaim representational interest, the

Regional Director issues a Decision and Order. The region

encourages the petitioner to waive its right to appeal the decision. 

If the Regional Director issues a Decision and Order finding that the

disclaimer is valid, s/he will state his/her intent to issue a Revocation

of Recognition or Certification, FLRA Form 191 (CHM 5.9 and 20.9).

b. During the processing of a representation petition, the incumbent

labor organization files a disclaimer of any representational interest

in the unit. As discussed in CHM 20.9.2, a FLRA Form 191,

Revocation of Recognition or Certification is issued when:

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(i) The incumbent labor organization disclaims interest in the

unit for which another labor organization has filed a timely

petition seeking an election. In this instance if an election

is held, a Certification of Representative or Results is

issued, as appropriate, and a Revocation is not issued. If

the election is not held, a Revocation of Recognition or

Certification is issued after the Regional Director issues a

Decision andOrder approving the disclaimer in accordance

with CHM 20.9.1.

(ii) The incumbent labor organization disclaims interest in the

unit which is the subject of a decertification petition and the

election is not held [unless another labor organization has

intervened - § 2422.23(f) and CHM 28.37.2.2]. In cases

where there is no intervenor and the the petitioner has

withdrawn the petition, the Regional Director approves the

withdrawal of the petition and issues a Revocation of the

Recognition or Certification. In cases where there is no

intervenor and the petitioner has not withdrawn the petition,

the Regional Director dismisses the petition on the basis of

the disclaimer, stating that no question of representation

exists. Following the exhaustion of the appeal procedures

[§2422.31(e)], the Regional Director issues a Revocation

of Recognition or Certification (CHM 53 Decisions and

Orders).

(iii) A disclaimer by a labor organization that is named as an

incumbent or an intervenor in a representation petition

based on its current or prior representation of employees

affected by a reorganization may have no affect on the

processing of the petition. The disclaimer may, however,

affect the issues raised by the petition. In this situation, the

region is not required to issue a Decision and Order as a

result of the incumbent’s disclaimer. The case continues

to be processed, but the incumbent labor organization is

simply not a party and the affected employees are not

represented by it. If the Regional Director finds in a

Decision and Order, however, that the reorganization did

not affect the continued appropriateness of the existing

unit, the Regional Director contacts the incumbent to

confirm that it still seeks to disclaim interest. If the

incumbent continues to disclaim, the Regional Director

issues a Decision and Order that includes a statement that

the incumbent disclaimed interest in representing the

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employees in the unit and states his/her intent in issuing a

Revocation of Recognition or Certification. Thereafter, the

Regional Director issues a Revocation of Recognition or

Certification to reflect that the exclusive representative has

disclaimed interest for an appropriate unit of employees.

CHM 20.9.3. 

56.6.2 Revocations issued when the unit is no longer appropriate due to a

substantial change in the character and scope of the unit and an

election is not warranted: Following investigation and/or hearing, the

Regional Director may issue a Decision and Order finding that due to a

substantial change in the character and scope of the unit, the unit is no longer

appropriate. If the Regional Director decides that an election is not warranted,

s/he may revoke the recognition or certification by issuing a FLRA Form 191,

Revocation of Recognition or Certification. See also CHM 20.9.3.

56.7 Correcting a Certification or Revocation: A corrected certification or

revocation is issued only to correct a typographical error. It is not used to

correct a party designation or to amend a unit description that had been

described incorrectly throughout a proceedings. Rather, any such changes

must be made by filing a new petition.

56.8 Permanent copy of certification: A copy of any certification, clarification,

amendment or revocation issued by the Regional Director is retained in a

permanent certification file by the region.

56.9 Certification database: Acopy of any certification, clarification, amendment

or revocation issued by the Regional Director is forwarded to the Office of the

General Counsel to be entered onto the Certification Database. 

56.10 Copies to Other Regional Offices: Copies of certification, clarifications,

amendments and revocations are sent to other Regional Offices when:

a. any certification involves a unit or portion of a unit which falls within

the geographic jurisdiction of a region other than the region issuing

the certification, clarification etc.;

b. any certification, clarification, amendment or revocation involves

units that are part of nationwide units for which a labor organization

holds exclusive recognition or are part of agency-level consolidated

units.

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NATIONAL CONSULTATION RIGHTS AND CONSULTATION RIGHTS 

FOR GOVERNMENT-WIDE RULES AND REGULATIONS

CHM 57

57 NATIONAL CONSULTATIONRIGHTS ANDCONSULTATIONRIGHTSFOR

GOVERNMENT-WIDE RULES AND REGULATIONS:

57.1 Statutory basis:

57.1.1 National Consultation Rights: 5 U.S.C. 7113 provides that:

(a) If, in connection with any agency, no labor

organization has been accorded exclusive

recognition on an agency basis, a labor

organization which is the exclusive representative

of a substantial number of employees of the

agency, as determined in accordance with criteria

prescribed by the Authority, shall be accorded

national consultation rights by the agency. ...

57.1.2 Consultation rights on Government-wide rules andregulations: 5 U.S.C.

7117(d)(1) provides that:

A labor organization which is the exclusive

representative of a substantial number of

employees, determined in accordance with

criteria prescribed by the Authority, shall be

granted consultation rights by an agency with

respect to any Government-wide rule or

regulation issued by the agency effecting any

substantive change in any condition of

employment. ... 

57.2 Relevant regulations for processing NCR and CR petitions: Petitions

seeking national consultation rights (NCR) and consultation rights for

government-wide rules and regulations (CR) are processed in accordance

with Part 2426 of the Authority’s regulations. 

57.3 Standing to file: Only labor organizations may file a petition for NCR or CR

according to the requirements set forth in § 2426.1 (NCR) and § 2426.11

(CR). 

57.4 Requirements for filing an NCR petition: Prior to filing a petition for

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determination of eligibility for NCR, a labor organization:

a. Must hold exclusive recognition for either:

(i) Ten percent (10%) or more of the total number of civilian

personnel employed by the agency or by the primary

national subdivision and the nonappropriated fund Federal

instrumentalities under its jurisdiction, excluding foreign

nationals; or

(ii) 3,500 or more employees of the agency or the primary

national subdivision.

and

b. Must have:

(i) Made such required showing of exclusive recognition to the

agency or primary national subdivision; and, such request

for NCR must have been rejected by the agency or primary

national subdivision or, must not have been responded to

within fifteen (15) days after being requested; or

(ii) Been notified that the agency or primary national

subdivision intends to terminate existing NCR.

57.5 Requirements for filing CR petition: Prior to filing a petition for

determination of eligibility for CR, a labor organization:

a. Must hold exclusive recognition for 3,500 or more employees and

b. Must have: 

(i) Made such required showing of exclusive recognition to the

agency; and such request for CR must have been rejected

by the agency, or must not have been responded to within

fifteen (15) days after being requested; or

(ii) Been notified by the agency that it intends to terminate

existing CR.

57.6 When to file: NCR and CR petitions shall be filed within thirty (30) days after

the service of a written notice by the agency or primary national subdivision

(NCR only) of either:

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a. Its refusal to accord NCR or CR pursuant to a request by a labor

organization; or

b. Its intent to terminate existing NCR or CR.

If the labor organization files an NCR or CR petition within thirty (30) days

prior to the intended termination date, the termination is stayed until final

disposition of the petition. If no petition is filed during this period, the agency

or primary national subdivision (NCR only) may terminate NCR and CR.

If an agency or a primary national subdivision fails to respond in writing to a

request for national consultation rights within fifteen (15) days after the date

the request is served on the agency or primary national subdivision, an NCR

or CR petition shall be filed within thirty (30) days after the expiration of such

fifteen (15) day period.

57.7 What to file -- NCR petition: A petition for determination of eligibility for

NCR is submitted on FLRA Form 24 and sets forth the following information:

a. Name and affiliation, if any, of the petitioner and its address and

telephone number;

b. A statement that the petitioner has submitted to the agency or the

primary national subdivision and to the Assistant Secretary a roster

of its officers and representatives, a copy of its constitution and

bylaws, and a statement of its objectives;

c. A declaration by the person signing the petition, under the penalties

of the Criminal Code (18 U.S.C. 1001), that its contents are true and

correct to the best of such person*s knowledge and belief;

d. The signature of the petitioner*s representative, including such

person*s title and telephone number;

e. The name, address, and telephone number of the agency or primary

national subdivision in which the petitioner seeks to obtain or retain

national consultation rights, and the persons to contact and their

titles, if known;

f. A showing that petitioner holds adequate exclusive recognition as

required by § 2426.1; and

g. A statement as appropriate: 

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(i) That such showing has been made to and rejected by the

agency or primary national subdivision, together with a

statement of the reasons for rejection offered by that

agency or primary national subdivision;

(ii) That the agency or primary national subdivision has served

notice of its intent to terminate existing national

consultation rights, together with a statement of the

reasons for termination; or

(iii) That the agency or primary national subdivision has failed

to respond in writing to a request for national consultation

rights made under § 2426.2(a) within fifteen (15) days after

the date the request is served on the agency or primary

national subdivision.

57.8 What to file -- CR petition: A petition for determination of eligibility for CR

is submitted on FLRA Form 26 and sets forth the following information:

a. Name and affiliation, if any, of the petitioner and its address and

telephone number;

b. A statement that the petitioner submitted to the agency and to the

Assistant Secretary a roster of its officers and representatives, a

copy of its constitution and bylaws, and a statement of its objectives;

c. A declaration by the person signing the petition, under the penalties

of the Criminal Code (18 U.S.C. 1001), that its contents are true and

correct to the best of such person*s knowledge and belief;

d. The signature of the petitioner*s representative, including such

person*s title and telephone number;

e. The name, address, and telephone number of the agency in which

the petitioner seeks to obtain or retain consultation rights on

Government-wide rules or regulations, and the persons to contact

and their titles, if known;

f. A showing that petitioner meets the criteria as required by §2426.11;

and

g. A statement, as appropriate:

(i) That such showing has been made to and rejected by the

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agency together with a statement of the reasons for

rejection offered by that agency;

(ii) That the agency has served notice of its intent to terminate

existing consultation rights on Government-wide rules or

regulations, together with a statement of the reasons for

termination; or

(iii) That the agency has failed to respond in writing to a

request for consultation rights on Government-wide rules

or regulations made under § 2426.12(a) within fifteen (15)

days after the date the request is served on the agency.

57.9 Material to accompany petition: An original and four copies of an NCR and

CR petition are accompanied by:

a. An original and four copies of a statement of any relevant facts not

contained in the petition and of all correspondence relating to the

matter of NCR or CR; and

b. A written statement of service of a copy of the petition and any

accompanying material upon all known interested parties. [§§

2426.2(b)(3)(ii) and (iii) and 2426.12(b)(3)(ii) and (iii)].

57.10 Where to file: NCR and CR petitions are filed with the Regional Director for

the region in which the headquarters of the agency or primary national

subdivision (refers to NCR petitions only) is located. [§§ 2426.2(b)(3)(i) and

2426.12(b)(3)(i)].

57.11 Service of petition: With the filing of NCR and CR petitions, a copy of the

petition, together with any accompanying material, are served on all known

interested parties.

57.12 Docketing NCR petition: When an NCR petition is docketed, the name of

the case is based upon the organizational level for which the petitioner seeks

NCR; i.e., agency or primary national subdivision. This is ascertained from

Item #1 of the petition which reflects either the agency or the primary national

subdivision of the agency. Because this entry is very important to the

processing of the petition, if Item #1 of the petition is not checked, an

amended petition is required (see also CHM 63 for docketing procedures).

57.13 Adequacy of Showing:

57.13.1 Basis upon which NCR claimed: After ascertaining the level of NCR

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covered by the petition; i.e., agency or primary national subdivision, Item #4

of the petition is examined to determine whether the petitioner claims to hold

exclusive recognition for:

a. Ten percent (10%) or more of the total number of civilian personnel

employed by the level covered by the petition and the

nonappropriated fundFederal instrumentalities under its jurisdiction,

excluding foreign nationals; or

b. 3,500 or more employees of the level covered by the petition.

In determining whether a labor organization meets the exclusive recognition

requirements for NCR, the following will not be counted:

a. At the agency level, employees represented by the labor

organization under nationwide exclusive recognition granted at the

agency level.

b. At the primary national subdivision level, employees represented by

the labor organization under nationwide exclusive recognition

granted at the agency level or at that primary national subdivision

level.

57.13.2 Basis upon which a CR petition is claimed: A CR petition can only be

based on the exclusive recognition of 3,500 or more employees and not on

a percentage of total civilian employment.

57.13.3 Adequacy of showing of exclusive recognition: Unlike a petition filed

under Part 2422, no list of employees constituting a showing of interest is

required to be submitted when an NCR or CR petition is filed. Rather, the

petitioning labor organization is required only to indicate in Items #4A and #3A

of Forms 24 and 26 respectively whether it meets the criteria established by

the Authority and the date on which it made its adequate showing to the

agency or primary national subdivision (NCR only).

57.14 Material accompanying petition: In the absence of any required

submission of showing, the Regional Office looks to the material accompanying the petition as the initial source of information regarding the

adequacy of showing of exclusive recognition by the petitioner. For example,

this information may be found in the exchange or correspondence between

the parties relating to a request for NCR or CR. In this correspondence, the

labor organization describes the unit(s) for which it holds exclusive

recognition, the number of employees in such unit(s) and whether such

employees constitute ten percent (10%) or more of the employment of the

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agency or primary national subdivision (NCR only) or totals 3,500 or more

employees. On the other hand, the response by the agency or primary

national subdivision (NCR only) giving reasons for denying the request for

NCR or CR will likely show the basis upon which it concluded that the criteria

for NCR or CR have been met.

Similarly, where a petition has been filed because of notice to terminate

existing NCR or CR, the statement of reasons by the agency or primary

national subdivision (NCR only) is expected to give relevant details as to why

the labor organization no longer qualifies for NCR or CR.

57.15 Notifying the parties: 

a. Initial contact with agency (NCR or CR petitions) or primary national

subdivision (NCR only): If the material accompanying the petition is

insufficient, particularly with respect to the adequacy of showing of

exclusive recognition, the Regional Office contacts either the labor

organization or agency or primary national subdivision (NCR only)

by telephone as soon as possible. The regulations require that the

agency or primary national subdivision (NCR only) shall respond

within fifteen (15) days of receipt of a copy of the petition, raising any

matter relevant to the petition. The Regional Office immediately

contacts the agency or primary national subdivision to assist it in

responding within the fifteen (15) day period. Examples of opening

letters to the parties are set forth in Figures 57.A and 57.B.

b. If the correspondence accompanying the petition establishes that

the agency or primary national subdivision (NCR only) does not

dispute the assertion that the petitioners satisfied the NCR or CR

criteria, there is no need for the Regional Office to require any

further substantiation by requesting a list of employees in the unit(s).

A request for further information is limited to the actual challenge to

the fulfillment of the NCR or CR criteria.

57.16 Posting requirements: The regulations do not require the posting of a

notice to employees of the filing of an NCR or CR petition. As compared to

petitions filed under Part 2422 of the regulations, an NCR and CR petition

covers an agency or primary national subdivision (NCR only) level and are

wholly unrelated to any question concerning representation, determination of

appropriate unit, clarification of unit, amendment of certification or recognition,

dues allotment determination or consolidation of units.

57.17 Notifying labor organizations where the unit(s) is (are) in dispute:

Where a dispute arises between the petitioner and the agency or the primary

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national subdivision (NCR only) as to whether certain job classifications or

employees are included in the unit(s) represented by the petitioner or by

another labor organization, the latter organization is notified by the Regional

Office of the filing of the NCR or CR petition. For example, the activity might

contend that certain employees whom the petitioner asserts are in the unit for

which it holds exclusive recognition are in a different unit represented by

another labor organization. According to the activity, these employees could

not be counted in computing the petitioner*s showing for eligibility under the

criteria of the Authority. In a dispute of this nature, the position of the other

labor organization is solicited in a letter as set forth in Figure 57.C.

In the event that the Regional Director determines that a hearing is necessary

to resolve issues, the other labor organization is served with a copy of the

notice of hearing.

57.18 Final investigative report: See also CHM 26.

57.18.1 No burden of proof: NCR and CR petition investigations are conducted as

nonadversary proceedings, similar to other types of representation cases.

Thus, the petitioner does not have the burden of proving that it holds

adequate exclusive recognition required by the Authority*s NCR and CR

criteria. Similarly, in giving notice of intent to terminate NCR or CR, or in

rejecting a request for NCR or CR, the agency or primary national subdivision

(NCR only) has no burden of proving that the labor organization does not

have an adequate showing of exclusive recognition.

57.18.2 Final investigative report: Upon completion of the investigation, a written

final investigative report (FIR) or draft Decision and Order is submitted to the

Regional Director. The FIR is clear, concise and comprehensive. The facts

are specifically identified in the FIRand are supported by evidence in the case

file. The FIR is a self-contained document - in that it is not necessary to refer

to file documents for a thorough understanding of the facts and issues in the

case. Opinions or conclusions of the parties are not facts and are not reported

as such in the FIR. Conflicting statements and disputed facts are noted.

The FIR includes, but not necessarily limited to:

a. Compliance with filing requirements;

b. Level of NCR sought to be (obtained) (retained);

c. Positions of the parties regarding (refusal to accord) (intent to

terminate) NCR or CR;

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d. Adequacy of showing of exclusive recognition; and

e. Recommendations for determination of eligibility for NCR or CR.

57.18.3 Decision and Order byRegional Director: The regulations provide that the

Regional Director issues and serves on the parties a Decision and Order with

respect to the determination on eligibility for NCR or CR. There are essentially

two types of Decisions and Orders: 1) those where the parties are in dispute

as to the facts; and 2) those based upon a stipulation of facts, in which the

Regional Director adopts the stipulation and makes an eligibility

determination. See CHM 53 for guidance in drafting Decisions and Orders.

57.18.3.1 Hearing on substantial issue of fact: If the Regional Director

determines that a substantial issue of fact exists, a notice of hearing

is issued accompanied by a letter setting forth the issue(s) which are

the subject of the hearing. See CHM 27 for guidance in preparing

the notice of hearing. FLRA Form 46 is not used as it is not

applicable to NCR or CR hearings.

57.18.3.2 No application for review of issuance of notice of hearing: The

regulations do not provide for an application for review of a

determination by the Regional Director to issue a notice of hearing

involving a substantial issue of fact.

57.18.3.3 Hearings before Hearing Officers: Hearings are conducted by a

Hearing Officer in accordance with section 2422.17 through 2422.21

of the 1996 regulations. The procedures outlined in the HOG are

applicable to hearings held in NCR and CR petitions. After the close

of the hearing, a Decision and Order is issued by the Regional

Director in accordance with section 2422.30 (see CHM 53 for

guidance). NOTE: Part 2426 of the 1996 regulations did not

update the references in Part 2422 regarding conducting

hearings. Sections 2426.2(b)(3)(vii) and 2426.12(b)(3)(vii)

mistakenly cite to the previous regulations. 

57.19 Order Granting National Consultation Rights and Consultation Rights

on Government-wide Rules and Regulations:The Regional Directorissues

an Order Granting NCR or CR after determining a labor organization is

eligible for NCR or CR. There are no preprinted FLRA Forms to formally

grant NCR or CR. 

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Consultation, Advice and Clearance

CONSULTATION, ADVICE, AND CLEARANCE

CHM 58

58 CONSULTATION, ADVICE, AND CLEARANCE:

58.1 Consultation: 

58.1.1 The regions are encouraged to call the Office of the General Counsel to

discuss novel issues or questions relating to the Case Handling Manual or the

Hearing Officer’s Guide. The discussions serve as a mutual exchange of

ideas.

58.1.2 Throughout the CHM certain procedural matters are discussed that raise

unique representation issues. An informal discussion between the regions

and headquarters is beneficial to determine whether there is a need for a

national policy on the issue. 

Listed below are some, but not all, of the issues that regions “run by” the

Office of the General Counsel if they arise during the processing of

representation cases.

58.1.2.1 questions concerning the appropriateness of petitions with multiple

purposes (CHM 3.7);

58.1.2.2 questions concerning a party’s standing to have a petition processed

(CHM 4);

58.1.2.3 issues concerning a local union’s standing to file a petition after it

has been placed in trusteeship (CHM 4.8);

58.1.2.4 questions about timeliness issues raised by filing an amended

petition (CHM 13.6);

58.1.2.5 questions about notifying and serving copies of opening letters on

potential “interested parties” (CHM 15.5, 15.7, and 17.13);

58.1.2.6 guidance when an agency refuses to post the notice of petition

(CHM 16.6);

58.1.2.7 questions about the policy on filing cross-petitions versus

interventions (CHM 17.1.3);

58.1.2.8 questions concerning a party’s standing to intervene or crossOffice of the General Counsel

Representation Case Handling Manual 58-1
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petition (CHM 17.2);

58.1.2.9 issues related to the petitioner’s attempts to use the same showing

that was submitted with an original petition (CHM 18.7.5);

58.1.2.10 when a national union challenges a local union’s disclaimer of

interest in representing its certified unit (CHM 20.9.1);

58.1.2.11 questions concerning deferring a petition pending an appeal of a

decision based on a challenge to the status of a labor organization

(CHM 19.6, 28.34 and 55);

58.1.2.12 questions concerning a party’s compliance with § 2422.15 (CHM

22);

58.1.2.13 when an issue develops involving a dispute regarding the authority

of a party to file a petition to consolidate existing units (such as

between a local which has exclusive recognition and the national

office of a labor organization purportedly acting on behalf of its

various exclusive representatives) (CHM 23.10.2);

58.1.2.14 when the agency or the labor organization requests an election in a

unit consolidation case (CHM 20.1.6 and 23.11.2);

58.1.2.15 guidance on pooling ballots (CHM 28.15.4);

58.1.2.16 if the petitioner, a local union, refuses to add the petitioned-for unit

to the consolidated unit for which the national union is the exclusive

representative (CHM 28.16.1);

58.1.2.17 whenever questions arise concerning setting an eligibility date that

is after the date the Election Agreement is approved, e.g., due to an

expansion or contraction of the unit (CHM 28.18.3.1);

58.1.2.18 when the region is assisting the parties in a major reorganization

(CHM 62.5); or

58.1.2.19 when the region receives an inquiry concerning AFL-CIO no-raiding,

Article XX or XXI issues (CHM 65). 

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58.2 Submission for advice or clearance: A request for case handling advice or

clearance is presented to the Office of the General Counsel by memorandum

or telephone, as the circumstances require. A request by memorandum sets

forth the issue, relevant facts, applicable law, an analysis of fact and law, and

a recommendation. 

58.3 Advice is requested by the regions when unique or novel issues arise in a

representation proceeding requiring guidance and direction from the Office of

the General Counsel. Regions are required to submit a case for advice if it

involves: 

58.3.1 novel legal questions or factual situations (CHM 27.6);

58.3.2 issues involving nationwide policy;

58.3.3 issues related to claims made pursuant to section 7111(f)(1) of the

Statute (CHM 20.1.8, 23.9.3, 28.34.3)

58.3.4 disclaimers of interest that are filed by an exclusive representative

under questionable circumstances as discussed in CHM 20.9;

58.3.5 an agency’s refusal to cooperate or an incumbent’s refusal to

cooperate (while failing to disclaim interest in representing

employees) in any representation proceeding (CHM 24b and CHM

28.10 involving election proceedings));

58.3.6 claims of accretion where the investigation establishes that the

acquired employees constitute a separate appropriate unit and also

could be included properly in the existing unit (RCL 3);

58.3.7 issues relating to professionals voting in certain elections (CHM

28.15.1.1);

58.3.8 questions about handling complicated elections involving groups of

residual employees when there is an intervenor (CHM 28.15.3 and

4);

58.3.9 self-determination elections resulting from a reorganization (CHM

28.15); 

58.3.10 issues concerning the Regional Director’s authority pursuant to

§ 2422.29(a)(4) when additional objections are raised by a party

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Representation Case Handling Manual 58-3
Consultation, Advice and Clearance

during an objections investigation (CHM 50.10.1); 

58.3.11 permission to issue a certification when a non-party files an

objection to an election (CHM 50.8); 

58.3.12 action on an Authority decision to give option to region to stay an

election and/or impound ballots (CHM 28.29.2 and CHM 55.2);

58.3.13 allegations in unfair labor practice cases or objections that any of the

parties failed to comply with § 2422.34(a) during the pendency of a

representation proceeding (CHM 62.3 and 62.4);

58.3.14 issue an investigatory subpoena (CHM 23.5.3);

58.3.15 challenges to the validity of the showing of interest (CHM

18.19.11.2c);

58.3.16 an election involving a group of residual employees when there is an

intervenor (RCL 2B);

58.3.17 questions related to a self-determination election in a reorganization,

where the acquired employees constitute an appropriate unit, but

there are competing claims for representation. Combining the

acquired employees with employees in an existing unit is also

appropriate (RCL 3C); 

58.3.18 in a reorganization involving more than two unions in which

competing claims of successorship and accretion are raised and

prong 2 of the successorship criteria is not met (RCL 3F);

58.3.19 technical or nominal changes in the name of the exclusive

representative without following the Montrose criteria (RCL 7A2);

58.3.20 Montrose cases: (RCL 7D)

a. involving an agency’s failure to recognize the incumbent

when a trusteeship is imposed after a Montrose petition is

filed.

b. raising issues of the continuation of NFFE as a labor

organization.

c. where the Region determines that a trusteeship imposed

prior to the filing of a Montrose petition is invalid,

procedurally or substantively.

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Consultation, Advice and Clearance

d. inwhich the national labor organization revokes the charter

of the local union that holds the certification during a

Montrose proceeding.

e. where a very small percentage of the employees are union

members and vote for reaffiliation, raising the possibility

that there is a question as to continued majority status that

affects the continuity of representation criteria. 

58.3.21 claims of certification bars in successorship (RCL 12A);

58.3.22 effect of a finding of successorship on contract bars (RCL 12B4);

58.3.23 effect of a contract on timeliness issues such as: (RCL 12E);

a. filing a petition untimely

b. timeliness of amending a petition in unique circumstances;

58.4 Clearance means that the Regional Director obtains approval before taking

the following actions:

58.4.1 issue a certification, clarification, amendment, or revocation while a

case is pending appeal before the Authority (CHM 53.4.1);

58.4.2 defer an election pending an appeal of a Decision and Order and the

Authority has not issued a stay (CHM 55.1.2);

58.4.3 dismiss a petition or deny a request for intervention, after

investigating a validity challenge and finding that the extent of fraud

or improper method of solicitation tainted the entire showing of

interest (CHM 18.19.16b);

58.4.4 supervise, rather than conduct, any election (CHM 28.8 and 32.1);

58.4.5 decide procedures for conducting an election when an activity

refuses to provide the employees’ mailing addresses (CHM 28.23

and 43.2);

58.4.6 set a new eligibility date in runoff elections (CHM 48);

58.4.7 enforce an investigatory subpoena (CHM 23.5.3) or a subpoena

issued during a hearing (HOG 27.9); or

58.4.8 transfer a petition that raises geographical jurisdiction issues (CHM

Office of the General Counsel

Representation Case Handling Manual 58-5
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8, 20.1.1, 63).

Office of the General Counsel

58-6 Representation Case Handling Manual
Motions and Orders

GENERAL POLICY MATTERS

CHM 59 through 65

59 MOTIONS AND ORDERS: 

59.1 Motions: 

59.1.1 Purpose of a motion: Section 2422.19(a) states: “Subsequent to the

issuance of a Notice of Hearing in a representation proceeding, a party

seeking a ruling, order, or relief must do so by filing or raising a motion stating

the order or relief sought and the grounds therefor. Challenges and other

filings referenced in other sections of this subpart may, in the discretion of the

Regional Director or Hearing Officer, be treated as a motion.”

59.1.2 Service of motion: Motions are served according to §§ 2422.4 and 2429.25. 

59.1.3 Specific rule: An original and four (4) copies of any motion must be filed with

the Regional Director or the Hearing Officer by the party filing the motion

(§ 2429.25). Copies must be served by the filing party on all other parties to

the proceeding. A statement of service must accompany the original motion. 

See HOG 16 through 19 for a discussion of motions filed prior to and during

the hearing. CHM 31.5 discusses posthearing motions. 

59.2 Orders: Orders are issued by the Regional Director to rule on a motion or to

issue a direction or instruction to the party(ies). A Hearing Officers is

authorized to issue Orders closing a hearing when the record has been held

open to except an exhibit or after an indefinite postponement. 

59.2.1 Examples of Orders that respond to motions include:

a. Order Denying a Motion to Postpone;

b. Order Denying a Motion to Dismiss;

c. Order Granting a Motion to Postpone; or

d. Order Closing a Hearing (two types: Figures 59.2 and 59.3).

Office of the General Counsel

Representation Case Handling Manual 59-1
Motions and Orders

59.2.2 Examples of Orders issued by the Regional Director without a party

motion:

a. Order Consolidating Cases (FLRA Form 45);

b. Order to Reschedule a Hearing (FLRA Form 48);

c. Order Setting Time or Location of Hearing;

d. Order to Show Cause: these Orders are sent by the Regional

Director to a particular party or all parties (if necessary and

appropriate) when an issue is raised that requires the affected

party(ies) to state a position immediately. Copies are sent to the

other parties who may respond to the Order. See Federal Mediation

and Conciliation Service, 52 FLRA 1509 (1997), in which the

Authority found that the Regional Director’s resolution of the petition,

based on an Order to Show Cause, did not constitute a prejudicial

or substantial factual error. See also U.S. Army Corps of Engineers,

Seattle, Washington, Case No. SF-RP-70066, (1998), an

unnumbered Authority Decision in which the Authority denied an

application for review stating that it found “nothing improper in the

RD’s use of the Order to Show Cause.” See also CHM 15.8 that

discusses issuing an Order to Show Cause to a Petitioner.

59.3 Minimum requirements for Orders: Orders issued by the Regional Director

include the following information:

a. Jurisdiction and purpose of the Order; 

b. The material facts and issues (see, e.g., the sample Orders to Show

Cause in Figures 20.1A and 20.1B); 

c. The region’s analysis;

d. The decision (i.e., that the hearing is rescheduled) or the

direction/instruction (i.e., that the party to whom the Order is

directed is required to furnish information or provide a position on

the issue raised in the Order); 

e. If appropriate, a date for the response to the Order.

Attached to the Order is a statement of service that the Order is being served

on all parties. See also Figures 59.2 and 59.3 for samples.

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59-2 Representation Case Handling Manual
Concurrent REP and ULP Cases

60 CONCURRENT REPRESENTATION AND UNFAIR LABOR PRACTICE

CASES: 

60.1 General Policy and Procedures: Absent the filing of a request to proceed,

an election is not held when an unfair labor practice charge is filed by a party

to the representation case and is based on conduct which has a tendency to

interfere with the free choice of the employees in the election.

60.2 Priority of blocking unfair labor practice charges: Because the speedy

resolution of representation questions is of the utmost importance, an unfair

labor practice charge that blocks a representation election petition is given the

highest priority by Regional Offices both in the investigatory and, where

necessary, the litigation phases of a case. In the latter situation, regions

request expeditious trial dates from the Office of Administrative Law Judges.

Moreover, in meritorious cases, every effort is made to obtain an early

settlement of the issues.

60.3 Closure of the unfair labor practice charge unblocks the representation

case: Disposition of a charge does not serve to “unblock” the representation

proceeding until the appeal period expires and no appeal is filed, or after an

appeal is filed, and the General Counsel decides the appeal. If the case is

remanded, the representation case continues to be blocked. If the appeal is

denied, the unfair labor practice case is closed and the representation case

is unblocked and processed. 

NOTE: The Deputy General Counsel and the Assistant General Counsel

for Appeals are notified of a pending representation case that is blocked

because of an appeal of an unfair labor practice charge. In such case,

the Officeof Appeals expedites processing the appeal. While the appeal

is pending the region has discretion to take preliminary steps in

processing the representation case, short of dispositive action. 

60.4 Conducting elections: Where unfair labor practice charges are filed too late

to permit an adequate investigation before a scheduled election, the Regional

Director: 1) conducts the election, 2) issues a tally of ballots, 3) investigates

any determinative challenged ballots or objections, and 4) contacts the Office

of the General Counsel prior to taking action on the determinative challenged

ballots or objections or issuing an appropriate certification. The region

investigates the charges after tallying the ballots. 

60.5 Situations where an unfair labor practice charge does not block the

representation proceeding: There may be some situations where

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Representation Case Handling Manual 60-1
Concurrent REP and ULP Cases

resolution of the unfair labor practice may be resolved by processing the 

representation petition first. In such cases, the Regional Director has

discretion to decide which case to block and which case to process. For

example, 

60.5.1 Unit eligibility: There may be situations where the alleged unfair labor practice

is so related to an unresolved representation matter that the processing of the

representation case will resolve significant common issues. For example, a

pending unfair labor practice case having a threshold issue of unit eligibility

may be deferred pending resolution of a petition that seeks to clarify the unit

status of the individual employee(s) who are the subject of the unfair labor

practice charge. By deferring the unfair labor practice charge, the region

provides for retention of jurisdiction over the charge while resolving the

question concerning the employee(s)' s bargaining unit status through the

appropriate representation proceedings. Figure 60 is a sample of a deferral

letter used in these cases.

60.5.2 Refusal to negotiate after a reorganization when representation of employees

is unclear. 

60.5.3 Requests to proceed: When the parties in a representation proceeding submit

a FLRA Form 44, Request to Proceed, the region has discretion to defer the

unfair labor practice charge pending resolution of the representation

proceeding. 

60.6 Processing representation issues in unfair labor practice charges: 

a. Although all representation issues are best resolved by the filing of

a representation petition, certain representation issues may arise in

an unfair labor practice charge. Examples include questions related

to unit eligibility (an employee is denied dues checkoff because the

agency states s/he is excluded from the unit) and successorship

(refusal to negotiate following a reorganization where the union

claims it continues to represent employees affected by the

reorganization). In these examples, resolving the representation

issue is a preliminary consideration necessary to determine the

outcome of the ULP proceeding. 

b. A unit certification may not be altered in an unfair labor practice

proceeding. See Department of Health and Human Services,

Washington, D.C., 16 FLRA 586, 590 (1983); Internal Revenue

Service, Seattle District, et. al.,12 FLRA 324 (1983); North Carolina

Air National Guard, Charlotte, North Carolina, 4 FLRA 348 (1980);

The Adjutant General - Georgia, Georgia National Guard,

Department of Defense, Atlanta, Georgia, 2 FLRA 712 (1980); U.S.

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Department ofEnergy,WesternAreaPowerAdministration, Golden,

Colorado and International Brotherhood of Electrical Workers, AFLCIO, Locals 640, 1245, 1759, 1959 and 2159, Case No. 7-CA-1229,

OALJ-82-119 (1982).

c. Regional Offices encourage and solicit representation petitions

whenever they receive an unfair labor practice charge that raises a

representation issue. If a representation petition is filed, the region

defers the unfair labor practice case while the representation

proceeding is pending. Section 2422.34(a) applies whenever a

petition is filed and guides the parties’ conduct during the pendency

of the petition except when the petition concerns a simple straight

forward eligibility issue. See § 2422.34(b). (CHM 62).

d. Resolving the representation issue, however, does not necessarily

resolve the unfair labor practice. Once the representation issue is

decided and resolved, the region re-evaluates the merits of the

unfair labor practice charge.

Office of the General Counsel

Representation Case Handling Manual 60-3
Concurrent REP and ULP Cases

Office of the General Counsel

60-4 Representation Case Handling Manual
Relief Obtainable Under Part 2423 - § 2422.33

61 RELIEF OBTAINABLE UNDER PART 2423: Section 2422.33 provides: 

Remedial relief that was or could have been obtained as a result of a motion,

objection, or challenge filed or raised under this subpart, may not be the basis

for similar relief if filed or raised as an unfair labor practice under Part 2423

of this Chapter: Provided, however, that related matters may be consolidated

for hearing as noted in § 2422.27(d) of this subpart. 

Office of the General Counsel

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Relief Obtainable Under Part 2423 - § 2422.33

Office of the General Counsel

61-2 Representation Case Handling Manual
Rights and Obligations During Pendency of REP - § 2422.34

62 RIGHTS AND OBLIGATIONS DURING THE PENDENCY OF

REPRESENTATION PROCEEDINGS: Section 2422.34 of the 1996

representation regulations sets forth a rule regulating the parties’ rights and

obligations while a representation petition is being processed. Portions of this

substantive rule reflect a reaffirmation of case law existing prior to March 15,

1996. Other portions of the rule change the practice under case law existing

prior to March 15, 1996. The failure to comply with this rule may constitute

an unfair labor practice and/or conduct which interferes with an election. 

62.1 Substantive Rule: The rule provides:

Section 2422.34: Rights and obligations during the

pendency of representation proceedings.

(a) Existing recognitions, agreement, and obligations under

the Statute. During the pendency of any representation

proceeding, parties are obligated to maintain existing

recognitions, adhere to the terms and conditions of existing

collective bargaining agreements, and fulfill all other

representational and bargaining responsibilities under the

Statute.

(b) Unit status of individual employees. Notwithstanding

paragraph (a) of this section and except as otherwise

prohibited by law, a party may take action based on its

position regarding the bargaining unit status of individual

employees, pursuant to 5 U.S.C 7103(a)(2), 7112(b) and

(c); Provided, however, that its actions may be challenged,

reviewed, and remedied where appropriate.

62.2 Unit status actions during the processing of a representation petition:

Paragraph (b) makes no change from the current case law. A party may

continue to act at its peril in taking actions based on its position regarding an

employee’s unit status. Thus, under this rule, an agency may refuse to

process a grievance under a negotiated grievance procedure filed by an

employee who it claims is outside the recognized bargaining unit. Although

the refusal to process the grievance is subject to challenge by the exclusive

representative of the relevant unit and may constitute an unfair labor practice,

the action of not processing the grievance is not inconsistent with this rule. 

The reference to sections 7103(a)(2) and 7112(b) and (c) of the Statute was

added to the final regulations to make it clear that the types of actions allowed

to be taken at a party’s peril involve only those based on a party’s position

that an employee is included or excluded from a bargaining unit based on the

criteria in those sections. Thus, parties may continue to act at their peril in

unit status situations.

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Rights and Obligations During Pendency of REP - § 2422.34

62.3 Maintain existing recognitions, adhere to the terms and conditions of

existing collective bargaining agreements and fulfill all other

representational responsibilities under the statute during the

processing of a representation petition:

Paragraph (a) requires that during the pendency of any representation

petition, the parties are obligated to maintain existing recognitions, adhere to

the terms and conditions of existing collective bargaining agreements, and

fulfill all other representational responsibilities. These requirements are

consistent with existing case law. 

In the supplemental information accompanying the proposed regulation, the

Authority cited two cases to illustrate that these aspects of the section reflect

existing case law requirements: 

a. U.S. Department of the Navy, Naval Air Engineering Center,

Lakehurst, New Jersey, 3 FLRA 567 (1980) where the Authority

found a violation of Executive Order 11491, as amended, when the

agency withdrew recognition and terminated an agreement,

including refusing to process grievances, while a representation

case (former RA) concerning the status of the unit was pending; 

and 

b. Department of Energy, 2 FLRA 838 (1980) where the Authority ruled

in an Executive Order case that until any issues raised by a

reorganization are decided (e.g., questions concerning

representation, unit questions, or the like), a gaining employer is

enjoined, in order to assure stability of labor relations and the wellbeing of its employees, to maintain recognition and to adhere to the

terms of the prior agreement, including dues withholding, to the

maximum extent possible. The Authority found that a gaining

employer’s failure to accept new dues withholding requests from a

union which represented the employees prior to the reorganization

between the time the new employer was created until such time as

the Assistant Secretary ruled in a representation proceeding that the

new employer was not a successor employer, was an unfair labor

practice.

 

Thus, until the issues raised by a petition are resolved, the parties continue

to deal with each other as if the petition had not been filed; i.e. continue

recognition, maintain existing terms and conditions of employment (such as

dues checkoff, access to the negotiated grievance procedure, official time)

and fulfill all other representational responsibilities (such as the right to

representation at formal discussions and investigatory examinations, and the

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62-2 Representation Case Handling Manual
Rights and Obligations During Pendency of REP - § 2422.34

duty to fairly represent employees).

The regions submit for case handling advice any case where the region

determines that during the pendency of any representation proceeding an

agency or a union has failed to maintain existing recognitions, adhere to the

terms and conditions of existing collective bargaining agreements, or fulfill any

other representational responsibilities under the Statute. The region’s

investigation includes any evidence which may explain why the obligation was

not fulfilled. The region’s submission also addresses whether, in the region’s

view, the party took all actions possible to fulfill the obligation. 

62.4 The right to make changes and the duty to bargain during the

processing of a representation petition:

Paragraph (a) also makes substantive changes in the case law existing prior

to March 15, 1996, by requiring that during the pendency of any

representation proceeding, parties also are obligated to fulfill all other

bargaining responsibilities under the Statute.

Thus, contrary to case law existing prior to March 15, 1996, an agency may

make changes in conditions of employment after fulfilling their bargaining

obligation with the incumbent representative. For example, during the

processing of a petition seeking an election, an agency may make changes

in conditions of employment by giving notice to the incumbent exclusive

representative and fulfilling its bargaining obligation under the Statute. 

Similarly, during the pendency of a representation petition, the parties may

continue negotiations for a new contract. Accordingly, the filing of a petition

does not bar an agency from making changes, but merely requires the agency

to fulfill its bargaining obligations as if there was no pending petition.

The regions similarly submit for case handling advice any case where the

region determines that during the pendency of any representation proceeding

an agency or a union has failed to fulfill any bargaining responsibilities under

the Statute. The region’s investigation includes any evidence which may

explain why the bargaining obligation was not fulfilled, and the region’s

submission addresses whether, in the region’s view, the party took all actions

possible to fulfill the bargaining obligation. 

62.5 Interim agreements while a representation petition is pending:

Section 2422.13 of the new regulations encourages the parties to meet prior

to the filing of a petition to discuss their interests and narrow and resolve

issues. The parties may request that a representative of the Regional Office

participate in these meetings. Even after a petition is filed, this section

empowers the Regional Director to require the parties to meet to narrow and

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Rights and Obligations During Pendency of REP - § 2422.34

resolve the issues raised in the petition. 

Based on our experience working with parties in reorganization situations, it

is possible that these meetings in reorganization situations may result in the

parties coming to agreement on the manner in which they will deal with each

other during the pendency of a representation petition(s) raising complicated

factual patterns and issues; such as what union, if any, continues to represent

which employees, if any, and in what unit(s), if any. The Regional Office

representative utilizes an interest based problem solving approach in assisting

the parties in coming to an interim agreement. The Regional Office

representative assists the parties in the same manner as when assisting the

parties in reaching party settlements in unfair labor practice cases

(PSIWOCs) which are not approved by the Regional Director. These interim

agreements will have the same effect as other memoranda of understandings

or PSIWOCs agreed to by the parties; repudiations of lawful agreements may

constitute an unfair labor practice under Authority case law and disputes over

their interpretation and application that do not constitute repudiations would

not rise to the level of an unfair labor practice. 

When possible, the regions encourage the parties to enter into these type of

interim agreements. These type of consensual agreements enables all

parties to have the same common understanding of their rights and

responsibilities during the pendency of the representation proceeding. These

agreements consider the particular circumstances to satisfy all of the parties’

interests during this interim period and to ensure stability in the labor

management relationship and in the workplace while the representation

proceeding is in process. Contact the Office of the General Counsel when

the region assists the parties when discussing the impact of a major

reorganization.

Office of the General Counsel

62-4 Representation Case Handling Manual
Case Materials and Case Reporting

63 CASE MATERIALS AND CASE REPORTING: 

63.1 Prepetition correspondence: All incoming and outgoing correspondence

relating to representation matters for which no petition has been filed, and

other memoranda and notes concerning potential petitions, is retained in a file

designated as “prepetition correspondence.” When a case is opened, related

prepetition correspondence is removed from the prepetition file and placed in

the open case file (CHM 2).

63.2 Docketing a petition: 

63.2.1 Date stamping: All incoming mail is date-stamped on the back of the first

page. Letters, documents, etc. of two or more pages are also date-stamped

on the back of the last page. Each incoming envelope is date stamped and

retained with the correspondence until such time as the correspondence

becomes a part of the case file and it is determined that the envelope is not

needed to resolve any timeliness issue. The date of receipt is inserted on the

top of the petition form in the space provided.

63.2.2 Assigning a case number: 

63.2.2.1 FLRA Form 21: All petitions filed on FLRA Form 21 are assigned a case

number consisting of the two letter designation of the region, followed by the

letters “RP”, followed by a five digit number. The first digit reflects the last

digit of the fiscal year in which the petition is filed and the other four digits

reflect the last sequential number for representation cases filed in the region

during the fiscal year.

63.2.2.2 FLRA Form 24: Petitions for national consultation rights are filed on FLRA

Form 24 and are assigned a case number consisting of the two letter

designation of the region, followed by the letters “NCR”, followed by a five

digit number. The first digit reflects the last digit of the fiscal year in which the

petition is filed and the other four digits reflect the last sequential number for

representation cases filed during the fiscal year in the region.

63.2.2.3 FLRA Form 26: Petitions for consultation rights for government-wide rules

and regulations are filed on FLRA Form 26 and are assigned a case number

consisting of the two letter designation of the region, followed by the letters

“CR”, followed by a five digit number. The first digit reflects the last digit of

the fiscal year in which the petition is filed and the other four digits reflect the

last sequential number for representation cases filed in the region during the

fiscal year.

For example, if four petitions were filed on the same day Fiscal Year 1996 in

the Atlanta Region, they are assigned numbers as follows:

Office of the General Counsel

Representation Case Handling Manual 63-1
Case Materials and Case Reporting

a. Petition seeking an election: AT-RP-60001;

b. Petition seeking clarification of a matter relating to representation: 

AT-RP-60002;

c. Petition seeking a determination for eligibility for dues allotment: ATRP-60003; and

d. Petition seeking national consultation rights: AT-NCR-60004.

63.3 Petition filed in the wrong office: CHM 8 and 10 discuss where to file

petitions and the date of filing. If a petition is filed in the wrong Regional

Office, that petition is “received by the appropriate Regional Director” in

accordance with the regulationswhen the correct Regional Office is contacted

and a case number is obtained (if possible, over the phone and on the day of

receipt in the wrong office). A copy of the petition is faxed to the appropriate

Regional Office and the original mailed. A copy of the petition is retained in

the incorrect Regional Office*s correspondence file. Upon receipt of the

petition, the proper Regional Office may proceed with processing the case.

63.4 Transfer, service and consolidation policies between regions:

63.4.1 Duty to provide copies of petitions to other regions: When petitions are

filed that:

a. involve nationwide or agency-level consolidated units and appear to

involve matters having national impact (CHM 8); 

b. request to consolidate existing units that extend beyond the region’s

jurisdiction to other Regional Offices (CHM 8); 

c. seek an election in a nationwide bargaining unit; or 

d. seek an election in a unit that the agency contends is inappropriate

because a nationwide unit is appropriate, 

Regional Directors send copies of these petitions to other Regional Offices. 

Cases may be pending in the other regions that could affect processing the

petitions and vice versa (see also CHM 20.1.1).

63.4.2 Consolidation of cases within a region: Whenever it appears necessary

in order to effectuate the purposes of the Statute or to avoid unnecessary

costs or delay, the Regional Director will consolidate cases within the region

(FLRA Form 45). For example, the Regional Director may consolidate cases

where separate representation petitions involving the same activity have been

Office of the General Counsel

63-2 Representation Case Handling Manual
Case Materials and Case Reporting

filed in the same region. When the Regional Director decides to consolidate

cases and issue a notice of hearing at the same time, s/he issues an Order

Consolidating Cases and Notice of Hearing (Figure 29.8A).

63.4.3 Transfer and consolidation of cases in different regions: Whenever it

appears necessary in order to effectuate the purposes of the Statute or to

avoid unnecessary costs or delay, Regional Directors may consolidate cases

within their own region or may transfer cases to any region for investigation

and/or consolidation with any proceeding pending in the other region.

§ 2429.2. See GC Management Memoranda 99-1 and 99-2 for further

guidance. See also CHM 8.

63.4.4 Transferring cases: When a region transfers a case, the region issues an

Order Transferring Case. If a transferred case is consolidated with another

case pending in the new region, a FLRA Form 45, Order Consolidating

Cases, is issued by the region receiving the case.

63.5 Case file contents: See CHM 26.2.

63.6 Submission of documents to the Office of the General Counsel: The

Regional Office is required to send copies of the following documents to the

Office of the General Counsel:

a. A copy of each petition, including attachments which explain the

purpose of the petition and the results the petitioner seeks, and any

amendments;

b. A copy of an approved Election Agreement or Direction of Election;

c. Decisions and Orders;

d. Notice of Representation Hearing and any attachments to the Notice

including the letter outlining issues for the hearing, other than FLRA

Form 1014;

e. Orders; and

f. Certifications, clarifications, amendments and revocations.

Office of the General Counsel

Representation Case Handling Manual 63-3
Priority of Cases

64 PRIORITY OF CASES: All cases are processed expeditiously; certain types

of issues are prioritized:

64.1 All petitions seeking an election. Because of the timeliness requirement and

the equivalent status concerns, these cases are reviewed for sufficiency on

the day they are received.

64.2 Challenges to the validity of the showing of interest. The Regional Director

cannot take action on a petition seeking an election without deciding validity

challenges (CHM 18.19).

64.3 A challenge to the status of a labor organization is a threshold issue that is

investigated before any action pursuant to § 2422.30(c) can be taken on a

petition (CHM 19 and related HOG 24 sections).

64.4 Scheduling and conducting hearings and issuing a Direction of Election when

the parties are unable to agree to an election agreement on nonunit matters

pursuant to § 2422.16(c)(2). See CHM 31.

64.5 Investigating and deciding blocking unfair labor practice charges (CHM 60). 

 

64.6 Investigating and deciding objections to an election; and

64.7 Scheduling runoff and rerun elections. 

Office of the General Counsel

Representation Case Handling Manual 64-1
Priority of Cases

Office of the General Counsel

64-2 Representation Case Handling Manual
AFL-CIO No-Raiding Clauses

65 IMPACT OF AFL-CIO NO-RAIDING CLAUSES ON REPRESENTATION

PROCEEDINGS:

65.1 Generally: There is a program established within the AFL-CIO for handling

disputes between affiliates of the AFL-CIO.

65.2 AFL-CIO no-raiding procedure: The program is designed to discourage an

organizational raid by one AFL-CIO affiliate on another. Known as Article XX

and XXI complaints, one AFL-CIO affiliate files charges within the AFL-CIO

when 1) one affiliate is raiding a unit for which another AFL-CIO has

recognition; or (2) one affiliate is accused of trying to represent a group of

employees for which another affiliate under AFL-CIOpolicyhas already begun

an organizing campaign. 

65.3 Procedures in representation cases involving allegations of raiding:

When the region receives a case involving two or more AFL-CIO affiliates, the

region processes it using standard procedures. If the region receives a

request from the President of the AFL-CIO to defer processing the case

pending resolution of an Article XX or XXI complaint, the region contacts the

Office of the General Counsel immediately. The General Counsel normally

grants the AFL-CIO's request to defer processing the petition for thirty days

to allow the parties to settle their dispute through the AFL-CIO's internal

dispute resolution procedures.

However, if a request to defer a case is filed after a Notice of Hearing has

been issued and the hearing is imminent or has begun, or an election

agreement has been signed and the election is imminent, the General

Counsel will not defer the hearing or the election unless there are

extraordinary circumstances that warrant the deferral. 

All correspondence with the President of the AFL-CIOis handled by the Office

of the General Counsel. If the case is deferred, the Office of the General

Counsel will request the region to contact the affected labor organizations to

ascertain the status of the dispute after the initial thirty day deferral period. 

 

Office of the General Counsel

Representation Case Handling Manual 65-1
AFL-CIO No-Raiding Clauses

Office of the General Counsel

65-2 Representation Case Handling Manual
Index

INDEX

Absentee ballot procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-50, 47-5

Accretion.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-9

Action pending appeal of Regional Direc tor Decision and Order. . . . . . . . 55-1-55-4

deferring final actions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-1

policy on conducting elections. . . . . . . . . . . . . . . . . . . . . . . . . . 28-43, 55-1

Activity

definition, general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

Advice and clearance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-1-58-5

advice, matters for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-3

clearance, matters for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-4

consultation, matters for.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-1

Affected by issues raised. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2, 15-1-15-11

application. See Notifying affected parties. . . . . . . . . . . . 15-1-15-11, 17-8

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-2, 15-2

notifying. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-10

Affidavits.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26, 23-4-23-8

AFL-CIO no-raiding clause. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65-1

Agency

automatic party.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

definition, general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

duty to cooperate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1

duty to provide information.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-9, 21-1

duty to provide names and addresses in mail 

ballot elections. . . . . . . . . . . . . . . . . . . . . 28-47, 28-48, 43-1, 58-4

employing agency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

requirement for intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-13

rights and obligations during pending REP petitions. . . . . . . . . . 62-1-62-4

Agenda requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-9

Amending petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1-13-5

effect of amending petitions. . . . . . . . . . . . . . . . . . . . . . . . 13-5, 15-10,16-3

effect on showing of interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5

exceptions to requirement to amend petition. . . . . . . . . . . . . . . . . . . . 13-4

filing requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2, 18-1

how to amend.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1

purpose of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1

regional assistance to parties.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

timeliness issues raised. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

when required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1-13-5

who may amend.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

Amendment of certification. See Certifications. . . . . . . . . . . . . . . . . . . . . . . . . 56-4

Amicus briefs to the Authority.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-2

Office of the General Counsel

Representation Case Handling Manual I-1
Index

Appeal of Regional Director decision and order. . . . . . . . . . . . . . . . . . . . . . . . . 54-1

Application for Review of Regional Director's Decision and Order.. . . . . . 54-1-54-3

contents of the record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-1

grounds for review. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-2

stay.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-52, 55-2

Appropriate unit considerations. . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8, 28-7, 28-21

Assigning case numbers. See Docketing a case. . . . . . . . . . . . . . . . . . . . . . . 63-1

Authority Agents, role and responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1, 2-2

assistance in amending petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

assistance in preparing petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1, 2-2

conducting the election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1-36-2

counting (tallying) the ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-2, 47-2

election agreements.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35-2

ethical considerations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-2

handling ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

Hearing Officer responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30-1

investigation, during. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

§2422.13 meetings.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-7, 25-8

Authorization cards. See Showing of interest. . . . . . . . . . . . . . . . . . . . . . 18-5,18-6

Authorization petitions. See Showing of interest. . . . . . . . . . . . . . . . . . . . 18-5,18-6

Ballots

color. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-3

custody.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51, 36-2, 40-2, 42-1

definition of secret ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

formats. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-2

handling. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1, 40-2, 49-4

impounding, procedures.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-2

impounding, rules.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51, 55-3

interpreting marks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-12

mail ballots not returned in secret ballot envelope. . . . . . 43-1, 47-7, 47-12

places on ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38, 34-1

placing sample ballot on Notice of election, requirements. 33-1, 33-2, 33-3

question(s) on the ballot.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

reproduction of sample ballot, rule. . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-5

requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

rerun elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

runoff elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

safeguarding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3

secret ballot election, requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

shortened name request. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

spoiled. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3

void.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3, 47-12

Blanket requests for notice of “all” petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-6

Office of the General Counsel

I-2 Representation Case Handling Manual
Index

Campaign side agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 -53,46-1

Case file requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-5, 63-3

Case numbers, assignment of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

Certification of Consolidation of Existing Units.. . . . . . . . . . . . . . . . . . . . . . . . . 56-4

Certification of Representative. See Certifications. . . . . . . . . . . . . . . . . . . . . . 56-1

Certification of Results. See Certifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-1

Certifications.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-1-56-8

amendments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

Certification of Consolidation of Existing Units.. . . . . . . . . . . . . . . . . . 56-4

Certification database. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

clarifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

conditions precedent to issuance.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

correcting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

determination for eligibility for dues allotment. . . . . . . . . . . . . . . . . . . 56-6

issuing while any application is pending. . . . . . . . . . . . . . . . . . . . . . . 50-3

procedures for maintaining.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-1-56-2

revocation. See Revocations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-6

service on other regions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

types.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-1

Challenge to adequacy.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-24

Challenge to the status of a labor organization. . . . . . . . . . . . . . . . . . . . . 19-1-19-8

action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-7

attempt to litigate at hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-3

basis for filing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

corrupt influences.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

definition of labor organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

evidence required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

filed at election agreement meeting. . . . . . . . . . . . . . . . . . . . . . 19-3, 28-55

investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4-19-6

noncompliance with 5 U.S.C. 7120. . . . . . . . . . . . . . . . . . . . . . . . . . . 19-5

received too late prior to a hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . 19-2

report of investigation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-6

scope of investigation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-4

when to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-2

who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

Challenge to the validity of a showing of interest. . . . . . . . . . . . . . . . . . 18-25-18-34

action when a valid issue is raised.. . . . . . . . . . . . . . . . . . . . . . . . . . 18-32

action when there is no valid issue. . . . . . . . . . . . . . . . . . . . . . . . . . 18-31

attempt to litigate at hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

basis of challenge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26

contacting the party whose showing is challenged. . . . . . . . . 18-31,18-32

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

Office of the General Counsel

Representation Case Handling Manual I-3
Index

evidence required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26

filed at election agreement meeting. . . . . . . . . . . . . . . . . . . . . . . . . . 28-54

filed at or immediately prior to hearing. . . . . . . . . . . . . . . . . . . . . . . . 18-25

improper agency conduct.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-28

investigating allegations of improper agency conduct. . . . . . . . . . . . 18-29

investigation, scope of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26,18-28

record keeping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-33

requirements for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

right of review.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-33

service requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-26

standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-28

when to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

Challenged ballot procedure

basis for challenge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-1

challenges at count. . . . . . . . . . . . . . . . . . . . . . . . . 43-1, 43-4, 47-7, 47-12

determinative challenged ballots, See Determinative challenged ballots

post-tally party resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-21

Pre-tally resolution of challenged ballots. . . . . . . . . . . . . . . . . . . . . . . 47-2

procedures for challenging, mail ballot elections. . . . . . . . . . . . . 44-2, 44-5

procedures for challenging, manual ballot elections. . . . . . . . . . 44-3-44-4

procedures for challenging, mixed mail/manual ballot elections. . . . . 44-5

purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-14, 44-1

resolving challenged ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-5, 47-4

when to challenge, mail ballot elections.. . . . . . . . . . . . . . . . . . . . . . . 44-2

when to challenge, manual elections. . . . . . . . . . . . . . . . . . . . . . . . . . 44-2

when parties cannot agree at election agreement meeting. . . 28-14-28-19

who may file, mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-2

who may file, manual ballot elections.. . . . . . . . . . . . . . . . . . . . . . . . . 44-2

Challenges at count

ballots received after the due date but before the count. . . . . . . . . . 47-10

mail or challenged ballots not sealed in secret ballot 

envelope. . . . . . . . . . . . . . . . . . . . . . . . . . 43-1, 47-7-47-8, 47-12

Changes in character and scope of unit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8

Clarification of Unit. See Certifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-4

Clearance. See Advice and clearance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-4

Communications between regions. . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1, 63-1-63-3

Concurrent REP and ULP cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

exceptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

policy, conducting elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

priority of blocking charges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1, 64-1

processing REP issues in ULP cases. . . . . . . . . . . . . . . . . . . . . . . . . 60-2

requests to proceed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

Conditional intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

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Consolidation of cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1, 63-3

Consultation Rights. See NCR and CR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

Consultation. See Advice and Clearance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-1

Contents of petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1-5-8, 20-1-20-13

amendment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-5, 20-7

clarification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-5, 20-7

consolidation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-6, 20-9

consultation rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-7, 57-1-57-10

corrupt influences.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-7,20-11

decertification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-5, 20-6

disclaimers of interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-7, 20-11

eligibility for dues allotment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4, 20-6

national consultation rights.. . . . . . . . . . . . . . . . . . . . . . . . . 5-7, 57-1-57-10

petitions seeking to decertify an incumbent labor organization .. . . . . . 5-7

representation election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-4, 20-5

required of all petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1, 20-1

Cooperation- general requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1

Failure to attend or cooperate § 2422.13(b) meetings. . . . . . . . . . . . . 25-7

Corrupt influences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

basis for challenge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

contents of petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-1,20-12

procedures for processing, investigation. . . . . . . . . . . . . . . . . . . . . . 23-12

Cross-petitions. See Interventions and cross-petitions. . . . . . . . . . . . . . 17-1-17-11

Decisions and Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-1-53-9

agenda requirement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-9,31-1

appeal procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-1

assignment of personnel to draft. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-2

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-4-53-9

Decision and Order on Objections. . . . . . . . . . . . . . . . . . . . . . . 50-7, 53-8

Decision and Order and Direction of Election. . . . . . . . . . . . . . . . . . . 53-7

Decision and Order on Objections and Determinative. 

Challenged Ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-7, 53-9

Decision and Order on Determinative Challenged Ballots. . . . . . 49-3, 53-9

procedures following hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-9, 31-3

purposes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-1-53-4

service. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-9

waiver of right to file application for review.. . . . . . . . . . . . . . . . . . . . . 53-9

when required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-12, 53-1

Defective petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1-12-4

action when defects are not corrected. . . . . . . . . . . . . . . . . . . . . . . . . 12-4

description of defects that prevent opening a case. . . . . . . . . . . . . . . 12-1

description of defects that prevent RD action. . . . . . . . . . . . . . . 12-1, 12-3

definition, general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1

handling defects that prevent opening a case. . . . . . . . . . . . . . . . . . . 12-2

handling defects that prevent RD action. . . . . . . . . . . . . . . . . . . . . . . 12-2

Office of the General Counsel

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Index

policy requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1

Denial of intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-18, 27-3, 53-2

Designating representatives.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1-14-2

general requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1

procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1

service of documents. See Service of documents.. . . . . . . . . . . . 6-1, 14-2

Determination of Eligibility for Dues Allotment. See Certifications. . . . . . . . . . 56-6

Determinative challenged ballots

basis for investigation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-1

Decision and Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-3, 50-7

handling after Decision and Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-4

hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52-1

investigation procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-1, 52-1

policy on resolving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-3

post-tally party resolution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-21

post-tally party resolution, standards for regional review. . . . . . . . . . 47-22

revised tally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-4

securing after election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-23

waivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49-4

Direction of Election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1-28-57

drafting requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-19-28-19

no right to appeal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-13

partial waivers to hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-14

procedures when no hearing - § 2422.16(b). . . . . . . . . . . . . . . 28-9, 28-19

procedures when opportunity for hearing required - 

§ 2422.16(c).. . . . . . . . . . . . . . . . . . . . . . . . . 28-11, 28-13, 28-19

purposes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-9

resolving eligibility issues without a hearing.. . . . . . . . . . . . . . . . . . . 28-14

right to challenge or file objections.. . . . . . . . . . . . . . . . . . . . . . . . . . 28-20

waiver of opportunity for hearing, by stipulation. . . . . . . . . . . . . . . . . 28-13

when required or permitted. . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-9, 28-13

Disclaimers of interest

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-19

effect of disclaimers by incumbent on election petition. . . . . . . 11-6, 28-58

effect of disclaimers on petitions to clarify or amend. . . . . . . . . . . . . 20-22

effect of disclaimers, by incumbent on raiding petitions.. . . . . . . . . . 20-21

processing petitions to disclaim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-20

revocation of certification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-6

Dismissal of case. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-3, 53-2

Docketing a petition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

date stamping.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

procedures for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63-1

Duty to cooperate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1

Duty to furnish information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21-1

Election agreements.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1-28-58

Office of the General Counsel

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absentee ballot elections, provisions for. . . . . . . . . . . . . . . . . . . . . . 28-50

action by Regional Director. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-56

add-on elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-33

agent responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3-28-5

consolidation petition elections, procedures. . . . . . . . . . . . . . . . . . . 28-34

cross-petitions filed at election agreement meeting. . . . . . . . . . . . . . 28-53

custody of ballots between voting sessions, provisions for. . . . . . . . 28-51

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-2

details of election agreements. . . . . . . . . . . . . . . . . . . . . . . . . 28-37-28-51

eligibility list, impact of parties agreement. . . . . . . . . . . . . . . . . . . . . 28-41

eligibility list, when parties agree to disagree (15% rule). . . . . 28-14-28-19

eligibility list, posting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-40

eligibility list, preparation for meeting. . . . . . . . . . . . . . . . . . . . . . . . . . 28-7

eligibility period for participating in election. . . . . . . . . . . . . . . . . . . . 28-39

eligibility, basis of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-39

failure to agree on other than procedural matters. . . . . . . . . . . . . . . 28-11

failure to agree on procedural matters. . . . . . . . . . . . . . . . . . . . 28-9, 28-19

format for unit description.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-21-28-26

forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

interventions filed at election agreement meeting. . . . . . . . . . . . . . . 28-53

level of recognition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-23

mail ballot elections, provisions for. . . . . . . . . . . . . . . . . . . . . . . . . . 28-47

manual ballot elections, arranging details. . . . . . . . . . . . . . . . . . . . . 28-43

manual ballot elections, date. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-43

manual ballot elections, hours. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-44

manual ballot elections, place. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-45

mixed mail/manual ballot elections, provisions for. . . . . . . . . . . . . . . 28-49

names of parties on ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

obtained after notice of hearing issues. . . . . . . . . . . . . . . . . . . . . . . 28-53

other nonprocedural matters. . . . . . . . . . . . . . . . . . . . . . . . . . 28-12, 28-19

overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1, 28-3

policy, conducting manual ballot elections.. . . . . . . . . . . . . . . . . . . . 28-43

policy, priority of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-2

policy, to conduct versus to supervise. . . . . . . . . . . . . . . . . . . . . . . . . 28-5

policy, voter identification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-46

positions on ballot. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

processing election while appeal is pending. . . . . . . . . . . . . . . . . . . 28-51

professional employees, self-determination.. . . . . . . . . . . . . . . . . . . 28-27

professional employees, unique situations involving. . . . . . . . . . . . . 28-29

purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

Regional Director responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

required exclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-21

responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-3

scheduling the conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-5

self-determination elections, generally.. . . . . . . . . . . . . . . . . . 28-26-28-32

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Index

side agreement, effect of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-53

status challenges filed at election meeting or prior to approval. 19-3, 28-55

statutory basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1

tally, provisions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

tally, service provisions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51

unit appropriateness considerations. See Appropriate 

unit issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-7, 28-12, 28-19

unit appropriateness issues. See Appropriate unit issues. . . . . . . . . 28-7

unit descriptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-21-28-27

validity challenges at election meeting or prior to approval. . . 18-25, 28-54

voluntary agreement.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-9

waiver of right to file an application for review. . . . . . . . . . . . . . . . . . 28-52

withdrawal from election agreements.. . . . . . . . . . . . . . . . . . . . . . . . 28-57

Electioneering.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

area around polling site. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-2

observer rules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

pre-election campaign side agreements. . . . . . . . . . . . . . . . . . 28-53,46-1

voter rules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-2

Elections

announcements about polling hours. . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

assisting handicapped voters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3

Authority agents at election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

Authority agents, number required.. . . . . . . . . . . . . . . . . . . . . . . . . . . 36-2

Authority agents, responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . 36-1-36-3

Authority agents, role. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36-1

badges. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

ballot box, constructing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-4

ballot box, custody. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-51, 40-4, 42-1

ballot box, requirement to maintain supply.. . . . . . . . . . . . . . . . . . . . . 38-1

ballot box, safeguarding. . . . . . . . . . . . . . . . . . . . . . . . . . . 36-2, 39-4, 40-4

ballot box, sealing the ballot box. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-4

ballots, generally. See ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

ballots, preparation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34-1

certification of conduct, mail ballot elections. . . . . . . . . . . . . . . . . . . . 43-3

certification of conduct, manual ballot elections.. . . . . . . . . . . . . 40-5, 42-1

challenged ballot procedure. See challenged ballot procedure. 44-1-44-5

challenging situations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-5, 45-1

check-in procedures.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

checking the voting site. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

closing the polls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-5

closing the polls, sealing the ballot box. . . . . . . . . . . . . . . . . . . . . . . . 40-5

closing the polls, securing election supplies. . . . . . . . . . . . . . . . . . . . 40-6

early arrivals to vote. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-5

eligibility lists. See Eligibility matters.. . . . . . . . . . . . . . . . . . . . . . . . . 35-1

identification procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-45, 40-1

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instructing the voter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-2

kit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-1

mail ballot elections. See Mail ballot elections... . . . . . . . . . . . 43-1, 47-10

marking the eligibility list, mail ballot. . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

marking the eligibility list, manual ballot. . . . . . . . . . . . . . . . . . . . . . . . 40-2

multiple site elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41-1

observer rules pertaining to electioneering . . . . . . . . . . . . . . . . . . . . . 46-1

observers. See Observers.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

opening on time. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

outside representatives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-4

policy, manual vs. mail. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-43

policy, to conduct vs. to supervise. . . . . . . . . . . . . . . . . . . . . . . . 28-5, 32-1

preopening procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

releasing employees to vote. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

requirements, statutory. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32-1

split session elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42-1

statutory basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-1, 32-1

tally procedures. See Tally of ballots.. . . . . . . . . . . . . . . . . . . . . . . . . 47-1

transferring ballots from ballot box. . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-6

voting equipment. See Equipment, voting.. . . . . . . . . . . . . . . . . . . . . 38-1

voting place signs.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

voting site. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-45, 38-3

Eligibility matters

arguing over eligibility at election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44-5

eligibility period for participating in election. . . . . . . . . . . . . . . . . . . . 28-39

eligibility, basis of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-39

eligibility issues at election agreement.. . . . . . . . . . . . . . . . . . 28-11,28-14

eligibility issues at election. See also Challenged ballot procedures.. 44-1

list, approval of. . . . . . . . . . . . . . . . . . . . . . . . . . . 28-11, 28-14, 28-39, 35-2

list, availability to parties. . . . . . . . . . . . . . . . . . . . . . . . . 28-40-28-42, 35-2

list, contents of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-42

list, impact of the parties agreement . . . . . . . . . . . . . . . . . . . . . . . . . 28-41

list, mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

list, marking. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-2

list, posting prohibition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-40, 33-4

list, preparation for election agreement meeting. . . . . . . . . . . . . . . . . 28-7

list, preparation for the election. . . . . . . . . . . . . . . . . . . . . . . . . . 35-1, 35-2

list, resolution of issues prior to opening polls. . . . . . . . . . . . . . . . . . . 35-2

list, responsibility for.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35-2

list, reviewing at election conference. . . . . . . . . . . . . . . . . . . . . . . . . 28-40

list, role of agent.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-40

list, updating prior to election. . . . . . . . . . . . . . . . . . . . . . . . . . . 28-43, 35-2

requirements for eligibility lists, general. . . . . . . . . . . . . . . . . . . 28-39, 35-1

Equipment, voting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-1-38-3, 39-1

case file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

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certification of conduct. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

checking the equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39-1

election kit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-1

notice of election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

tally of ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

voting booths. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38-2

Evidence

choosing the type of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1, 18-32

documentary evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

investigative techniques. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

obtained from the employing agency. . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

offers of proof, objections cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-6

preserving showing of interest. . . . . . . . . . . . . . . . . . . . . . . . . 18-24, 18-32

relevance of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

relevancy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

sworn testimony. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

unsworn information.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

weight.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-6

weight of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

Exceptions to requirement to amend petition. . . . . . . . . . . . . . . . . . . . . . . . . . . 13-4

Filing requirements

contents of petitions. See Contents of Petitions. . . . . 5-1-5-8, 20-1-20-13

corrupt influences.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-11

date of filing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1, 63-2

number of copies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1

service requirements. See Service of documents.. . . . . . . . . . . . . 6-1, 7-1

standing to file, generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1-4-6

standing to file, policy considerations.. . . . . . . . . . . . . . . . . . . . . . . 4-2-4-6

timeliness requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1-11-8

where to file, general requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1

Glossary

 terms for opening cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5

Handicapped voters, assistance to.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-3

Hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-5, 29-1-29-8, 30-1

amending petition subsequent to notice of hearing. . . . . . . . . . . . . . . 29-5

amending the notice of hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-4

arranging for the hearing room.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-3

assigning a hearing officer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-3

cases remanded for hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-8

consolidated hearing on objections and ULPs.. . . . . . . . . . . . . . . . . . 51-2

consolidating cases in different regions. . . . . . . . . . . . . . . . . . . . 29-6, 63-3

consolidating cases within region.. . . . . . . . . . . . . . . . . . . . . . . . 29-6, 63-3

hearing officer's report. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-1

notice of hearing, contents of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-1

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notice of hearing, materials to accompany.. . . . . . . . . . . . . . . . . . . . . 29-2

notice of hearing, purpose of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-1

obtaining a court reporter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-3

posthearing matters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31-1

prehearing procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-4, 30-1

requirements to conduct hearings. . . . . . . . . . . . . . . . . . . . . . . . 27-5-27-6

scheduling/conducting hearings - §2422.16(c)(2) issues.. . . . . . . . . . 29-4

scheduling/conducting hearings - §2422.30(b) issues.. . . . . . . . . . . . 29-4

severing cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-6

withdrawal of notice of hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-6

Impounding ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-2

procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-3

safeguarding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-2

Inconclusive elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-20

Incumbent

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

disclaimer of representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-7, 20-19

nonparticipation in election agreement. . . . . . . . . . . . . . . . . . . . . . . . 28-9

notifying. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-10

withdrawal from election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-6

Indeterminate results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-17-47-21

determinative challenged ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-17

inconclusive elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-20

runoff. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-20

Interested parties

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-2-15-3, 17-16

granting conditional intervention. . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

notifying. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-11

policy requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

Intervention and cross-petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1-17-18

action on remand from authority. . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-18

agency or activity intervention requests - §2422.8(f). . . . . . . . . . . . . 17-13

based on § 2421.21. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-16, 17-17

conditional intervenor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

correlation between notification and intervention. . . . . . . . . . . . . . . . . 17-7

cross-petitions, defined. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1-17-11

cross-petitions, processing guidelines . . . . . . . . . . . . . . . . . . . 17-9-17-11

distinctions between cross-petitions and interventions. . . . . . . . . . . . 17-1

employing agency intervention - §2422.8(e). . . . . . . . . . . . . . . . . . . 17-12

failure to submit supporting evidence and showing of interest. 17-13,17-13

filed at election agreement meeting. . . . . . . . . . . . . . . . . . . . . . 17-7, 28-53

filed during or immediately prior to hearing. . . . . . . . . . . . . . . . . . . . . 17-6

incumbent - §2422.8(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

interventions, defined. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-1, 17-11

interventions, failure to submit supporting evidence. . . . . . . . 17-13-17-15

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interventions, filing requirements. . . . . . . . . . . . . . . . . . . . . . . 17-11-17-13

interventions, investigation of requests. . . . . . . . . . . . . . . . . . 17-15-17-16

interventions, processing guidelines. . . . . . . . . . . . . . . . . . . . 17-11, 17-12

labor organization intervention requests - §2422.8(c). . . . . . . . . . . . 17-11

policy, cross-petitions vs. interventions. . . . . . . . . . . . . . . . . . . . . . . . 17-2

showing of interest, requirements for intervention. . . . . . . . . . 17-13-17-15

unusual requests to intervene. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-16

what to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4

when to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4-17-7

who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-4

Investigative techniques. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-17, 23-4, 23-5

choosing the type of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

evidentiary considerations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-17-20-19

overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-4

relevance of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

weight of evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-5

Issue analysis.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-1

Issue Identification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-17, 23-1-23-19

amendment of recognitions or certifications.. . . . . . . . . . . . . . . 23-8, 23-10

basic requirements to resolve representation issues.. . . . . . . . . 23-1-23-4

clarifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8, 23-10

common to all petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8-23-9

consolidation petitions .. . . . . . . . . . . . . . . . . . . . . . . . . . 23-8, 23-16-23-19

decertification petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8-23-10

dues allotment petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-10

election petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1, 18-1, 23-8-23-10

for analysis. See Issue analysis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24-1

general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-17, 23-1

Montrose issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-11

petitions to clarify or amend a certification in effect. . . . . . . . . . . . . . 23-10

petitions to clarify or amend matter(s) - majority status. . . . . . . . . . . 23-11

petitions to clarify or amend matter(s) relating to units. . . . . . . . . . . 23-11

Regional Director responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1, 23-1

Labor organization

challenge to status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1-19-8

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-1

duty to cooperate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1, 28-9

duty to furnish information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21-1

rights and obligations during pending REP petitions. . . . . . . . . . 62-1-62-4

Level of recognition

certifications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-2

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details of election agreements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-38

implications in unit determinations. . . . . . . . . . . . . . . . . . . . . . . . . . . 28-24

Montrose considerations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

significance and application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-23

unit consolidation petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3

Limitations on duty to notify. . . . . . . . . . . . . . . . . . . . . . . . 15-11-15-12,17-8, 20-18

Mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-47, 43-1-43-4, 47-10

arrangements for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-47

ballots returned by post office as undeliverable. . . . . . . . . . . . . . . . . . 43-3

certification of conduct, mail ballot elections. . . . . . . . . . . . . . . . . . . . 43-3

conducting the mail-out. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-1-43-4

counting ballots. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-10

eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

marking the eligibility list, mail ballot. . . . . . . . . . . . . . . . . . . . . . . . . . 43-2

materials required. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-1

posting the Notice of Election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-3

securing returned ballots in regional office.. . . . . . . . . . . . . . . . 43-4, 47-10

Meeting to narrow and resolve representation issues. . . . . . . . . . . . . . . . 25-1-25-9

attendance at §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . . . 25-7

communications with the parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-9

deals versus solutions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-8

decorum issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1, 25-7

ex parte communications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-9

objective of §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-2

outline for §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . . 25-5-25-6

policy for conducting §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . 25-2

preparation for §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . . 25-5

purpose of §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-3

requirements under §2422.13(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1

requirements under §2422.13(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1

role of agent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25-1, 25-3

when to conduct §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . . 25-4

who may request §2422.13(b) meetings. . . . . . . . . . . . . . . . . . . . . . . 25-2

Membership lists.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-6

Motions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

Names and home addresses in mail ballot elections. . . . . . . . . . . . . . . . 28-47, 43-2

National Consultation Rights (NCR) and Consultation Rights (CR). . . . . 57-1-57-10

procedures for processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1-57-10

regulations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

statutory basis for CR.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

statutory basis for NCR. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57-1

Notice of Election

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-1

defaced. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4, 39-1

distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-3

foreign language notices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

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form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-1

investigation of notice.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-5

notices for self-determination elections. . . . . . . . . . . . . . . . . . . . . . . . 33-4

posting period, mail or mixed mail/manual.. . . . . . . . . . . . . . . . 33-3, 43-3

posting period, manual ballot elections. . . . . . . . . . . . . . . . . . . . . . . . 33-3

preparing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-1

printing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-3

rerun elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

runoff elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

sample ballot rules. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-5

service of notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

Notice of hearing. See also Hearings. . . . . . . . . . . . . . . . . . . . . . . . 27-5, 29-1-29-8

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29-1-29-3

requirement to issue.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-5, 27-6

Notice of petition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1-16-3

agency refusal to post. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3

certification of posting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3

contents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-2, 16-3

duration and location. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-3

purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1

status of petition during posting period. . . . . . . . . . . . . . . . . . . . . . . . 16-3

when required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16-1, 16-3

Notifying affected parties

checklist for identifying affected parties. . . . . . . . . . . . . . . . . . . . 15-4-15-6

effect of amended petitions (see amending petitions). . . . . . . . . . . . 15-10

exceptions to rule on blanket requests.. . . . . . . . . . . . . . . . . . . . . . . . 15-6

general requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-1, 20-14

identifying potential parties.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-2-15-6

opening notification letters. . . . . . . . . . . . . . . . . . . . . . . . 15-6-15-11, 20-16

overview of procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-1-15-2

policy on blanket requests for all petitions. . . . . . . . . . . . . . . . . . . . . . 15-6

requirements: contents of notification. . . . . . . . . . . . . . . . 15-1, 15-6-15-11

responsibility after initial notification.. . . . . . . . . . 15-11-15-12, 17-8, 20-18

reviewing petition for sufficiency.. . . . . . . . . . . . . . . . . . . . 15-2, 20-1-20-13

Objections to election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1-50-7, 51-1-51-3

agreement to rerun election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-6

burden of proof. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

Decision and Order. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-7, 53-8

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1

filing requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1, 50-4

hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51-1, 51-2

policy on deciding objections. . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-1-50-4

scope of investigation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-5-50-7

service requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

standards for finding objectionable conduct.. . . . . . . . . . . . . . . . . . . . 50-4

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supporting evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

timeliness requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-3, 50-1

waiver.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-7

who may file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

withdrawal of objections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-6

Observers.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1-37-4

eligibility to act. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-2

function.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

head observer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

instructing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3, 39-2

mail ballot elections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

number. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

requesting observers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

rules pertaining to electioneering by observers. . . . . . . . . . . . . . . . . . 46-1

travel and per diem for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-1

waiver of right to have observer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37-3

Opening notification letters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-6 - 15-10

consolidation petitions .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7

exceptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7

Opening procedures

opening letters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7

Order to Show Cause.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7

Order to Show Cause. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7, 59-2

Orders.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-1

Order to Show Cause.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-2

Overview of procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-5

Parties. . . . . . . . . . . . . . . . . . . . . . . 15-2-15-6, 17-1,17-11-17-13, 21-1, 22-1, 62-1

affected by issues raised. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-2

agency/activity intervenor.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-13

automatic party, employing agency. . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

definition of party. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-2

duty to cooperate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22-1

duty to furnish information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21-1

employing agency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

identifying, checklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-4-15-6

incumbent.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

interested party. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

labor organization intervenor. . . . . . . . . . . . . . . . . . . . . . . . . . 17-11, 17-12

Notifying procedures. See Notifying affected parties. . . . . . . . 15-7-15-11

rights and obligations during pending REP petitions. . . . . . . . . . . . . . 62-1

Person. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

Standing to file petitions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

Issues related to individual’s standing to file. . . . . . . . . . . . . . . . . . . . . 4-2

Petitioner, definition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

Petitions

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amending petitions. See Amending petitions... . . . . . . . . . . . . . 13-1-13-6

checking the showing of interest. See showing of interest. . . . . . . . . 18-1

contents, see also Contents of petitions. . . . . . . . . . . 5-1-5-8, 20-1-20-13

follow-up with petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-18

identifying and notifying potential parties. . . . 15-1-15-12, 17-7-17-9, 20-14

investigation overview. See Investigative techniques. . . . . . . 20-17-20-19

multiple purposes.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3

opening letters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-7-15-11, 20-16

opening procedures, reviewing petition . . . . . . . . . . . . . . . . . . . . . . . 20-1

opening procedures, preliminary contact with parties. . . . . . . 20-13-20-15

opening procedures, reviewing petition. . . . . . . . . . . . 5-1-5-8, 20-1- 20-13

opening procedures, written notification.. . . . . . . . . . . . 15-6 - 15-11, 20-16

posting notice of petition. See Notice of petition. . . . . . . . . . . . . 16-1- 16-3

prefiling assistance.. . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1, 2-2, 25-1, 63-1

preliminary contact, with affected parties. . . . . . . . . . . . . . . . . . . . . . 20-14

preliminary contact, with petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . 20-13

purposes. See Purposes of petitions. . . . . . . . . . . . . . . . . . . . . . . 3-1 -3-4

reviewing sufficiency. See also Defective 

petitions... . . . . . . . . . . . . . . . . . . . . . . . . . 12-1-12-4, 20-1-20-13

standing to file. See Standing to file. . . . . . . . . . . . . . . . . . . . . . . . 4-1-4-6

timeliness requirements - 2422.1(a) petitions. See Timeliness... 11-1-11-7

Petitions raising claims pursuant to 5 U.S.C. 7111(f) (1). . . . . . . . . . . . . . . . . . . 4-3

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

investigation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-12

Postdecisional reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-7,26-8

Pre-election campaign side agreements. See Electioneering. . . . . . . . . . . . . . 46-1

Predecisional reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-7-26-8

Preliminary investigation.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-1-20-22

corrupt influences.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20-11

Prepetition assistance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1, 25-1, 63-1

Prioritizing cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64-1

Processing elections after Decision. . . . . . . . . . . . . . . . . . . . . . . 28-44, 28-51, 55-1

policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-1

procedures for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-44, 28-51, 55-1

Purposes of petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1-3-4

amendment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

clarification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

consolidation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

consultation rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

decertification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

eligibility for dues allotment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

majority status. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

multiple purposes.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2-3-4

national consultation rights.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-2

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reorganization, affect of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1, 3-2

representation election.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

Quality standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2

Regional Director responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-2

standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-3-1-5

Regional determination

actions that do not require a notice of hearing. . . . . . . . . . . . . . . 27-2-27-5

actions that require a notice of hearing. . . . . . . . . . . . . . . . . . . . . . . . 27-5

advice. See Advice and clearance. . . . . . . . . . . . . . . . . . . . . . . 58-1-58-5

advice, matters for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-3

agenda meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-9, 31-1

approving stipulations in lieu of hearings. . . . . . . . . . . . . . . . . . . . . . . 27-6

case file requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-5-26-7

clearance. See Advice and clearance.. . . . . . . . . . . . . . . . . . . . . . . . 58-4

clearance, matters for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-4

consultation, matters for.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58-1

general determinations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

policy considerations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-6

postdecisional reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-9

predecisional reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-7-26-8

preparing case, checklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26-1-26-5

responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

Regional Director actions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1-27-7, 53-1-53-9

actions that do not require a notice of hearing. . . . . . . . . . . . . . . 27-2-27-5

Decisions and Orders. See Decisions and Orders. . . . . . . . . . . 53-1-53-9

determinations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1-27-7

general determinations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1-27-2

policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

requirement for notice of hearing. . . . . . . . . . . . . . . . . . . . . . . . . 27-5-27-6

responsibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-1

stipulation in lieu of hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-6

Remedial relief obtainable under §2423. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61-1

Requests to proceed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-1

Rerun elections.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-4-48-8

ballot.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

conducting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-8

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-4

election agreement.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-6

eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-6

eligibility to vote. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-6

examples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-4-48-5

inconclusive elections based on § 2422.29(a)(4). . . . . . . . . . . . . . . . . 48-5

notice of election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-5

when held. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-7

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Revocations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-1, 56-3, 56-6

correcting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

effect of disclaimer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-6

effect of finding unit inappropriate due to reorganiz ation. . . . . . . . . . . 56-8

procedures for maintaining.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8, 56-8

purpose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-6

service on other regions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56-8

Rights/obligations during pendency of representation proceeding.. . . . . . 62-1-62-4

Runoff elections

ballot.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

conducting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-3

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

election agreement.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

eligibility list. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

eligibility to vote. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

examples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

notice of election. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

objection period. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-3

requirements for. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-1

when held. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-2

Schism issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8

Scope of unit issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-8

Service of documents

exceptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1, 7-1

general requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

petitions affecting national units.. . . . . . . . . . . . . . . . . . . . . . . . . . 4-3, 15-6

petitions involving trusteeships. . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5, 15-6

requests for blanket requests.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-6

service of evidence in challenges to validity of soi.. . . . . . . . . . . 6-1, 18-26

service of evidence in objections cases.. . . . . . . . . . . . . . . . . . . . 6-1, 50-2

service of showing of interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

Severance issues. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-9, 28-33, 47-15

Showing of Interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-1-18-34

acceptable interest.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-6

adequacy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2

authorization cards.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-6

authorization petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-6

basis of adequacy determinations. . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2

challenge to adequacy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-24

challenge to validity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25-18-34

definition.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-5

disputed size of unit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-20-18-22

dues allotment check. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-15

failure to submit adequate showing. . . . . . . . . . . . . . . . . . . . . 18-10-18-13

final check, determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-16-18-19

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membership lists. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-6

prima facie check, requirements. . . . . . . . . . . . . . . . . . . . . . 18-13 - 18-15

procedures for checking adequacy. . . . . . . . . . . . . . . . . . . . . 18-10-18-14

regional determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-24

reporting requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-23-18-24

requirement to submit requisite showing of interest.. . . . . . . . . . 13-5, 18-1

requirements for adequacy determination. . . . . . . . . . . . . . . . . . 18-3-18-4

timeliness requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-9-18-10

validity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-25

when required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-1

why required.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2

Standards of Conduct.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19-5

Standing to file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1-4-6

base closure situations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

definition of petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

determination of eligibility for NCR or CR.. . . . . . . . . . . . . . . . . . . . . . . 4-3

impact of trusteeships. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

petitions involving agency-wide consolidated bargaining units. . . . . . . 4-3

petitions involving nationwide exclusive bargaining units.. . . . . . . . . . . 4-3

petitions raising claims pursuant to 5 U.S.C. 7111(f)(1).. . . . . . . . . . . . 4-3

petitions requiring a showing of interest.. . . . . . . . . . . . . . . . . . . . . . . . 4-2

petitions to clarify/amend a certification or recognition. . . . . . . . . . . . . 4-2

petitions to clarify/amend a matter relating to representation. . . . . . . . 4-2

petitions to consolidate.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-3

statutory basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1

units affected by a reorganization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

Standing to file objections. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-3

action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-3

issues.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-3

Stays.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55-2

Stipulations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-6, 28-13

Submission of documents

Authority, to the. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54-1

Office of the General Counsel, to the. . . . . . . . . . . . . . . . . . . . . . . . . . 63-3

Subpoenas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-6

procedures for issuing an investigatory subpoena.. . . . . . . . . . . . . . . 23-7

statutory basis of issuing subpoenas. . . . . . . . . . . . . . . . . . . . . . . . . . 23-6

when investigatory subpoenas appropriate. . . . . . . . . . . . . . . . . . . . . 23-7

Substantive rule. See Rights and obligations - §2422.34. . . . . . . . . . . . . 62-1-62-4

Successorship issues.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-9

Tally of ballots.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1-47-23

arranging the layout. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-2

attendance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1-47-4

completing the tally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-15

construing ballot markings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-12

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designating time and place for tally. . . . . . . . . . . . . . . . . . . . . . 28-51, 47-1

determination of results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1

opening ballot boxes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-4

press. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-2

procedure for tallying ballots, mail ballot. . . . . . . . . . . . . . . . . 47-10, 47-11

procedure for tallying ballots, manual ballot.. . . . . . . . . . . . . . 47-8 - 47-10

procedure for tallying ballots, mixed mail/manual ballot.. . . . . . . . . . 47-11

resolving challenged ballots. See Challenged ballot procedure. 44-1-44-5

responsibility for count. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-2

self-determination elections. . . . . . . . . . . . . . . . . . . . . . . . . . . 47-13-47-15

valid ballots cast.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-1

Timeliness of election petitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1-11-8

bar during 5 U.S.C. 7114(c) review. . . . . . . . . . . . . . . . . . . . . . . . . . . 11-4

certification bar.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-2

consolidation petitions, effect on processing other petitions. . . . . . . . 11-7

contract bar. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-2

contract requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

election bar.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1

premature extension of contract, effect of. . . . . . . . . . . . . . . . . . . . . . 11-5

unusual circumstances.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-4

withdrawal or dismissal of petitions, effect of. . . . . . . . . . . . . . . . . . . . 11-6

§2422.14(a), effect of w/d on timely filed petitions. . . . . . . . . . . . . . . . 11-6

§2422.14(b), effect of w/d by petitioner. . . . . . . . . . . . . . . . . . . . . . . . 11-6

§2422.14(c), effect of disclaimer by incumbent. . . . . . . . . . . . . . . . . . 11-6

Transfer and consolidation policies. . . . . . . . . . . . . . . . . . . . . . . 8-1-8-2, 63-2, 63-3

Trusteeships

notification of requirements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-6-15-7

service requirements, general. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1

standing to file petitions, effect on. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5

trustee or national union intervention. . . . . . . . . . . . . . . . . . . . . . . . . 17-17

Unit descriptions.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-23-28-26

format for unit description.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-25

Unit eligibility

basis for ULP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

effect of party agreement. . . . . . . . . . . . . . . . . . . . 28-41, 47-3, 47-5, 47-22

eligibility issues at election agreement meetings. . . . . . . . . . . 28-11-28-18

issues at elections. See challenged ballot procedures. . . . . . . . 44-1-44-5

issues of. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-10

petitions to clarify unit eligibility. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1

rights and obligations during pendency of REP proceedings.. . . . . . . 62-1

Units affected by a reorganization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-5, 23-8

Units involving supervisors.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-9

Voter identification. See election agreements

election agreements, procedures in. . . . . . . . . . . . . . . . . . . . . 28-46, 28-48

elections, procedures at. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40-1

Office of the General Counsel

I-20 Representation Case Handling Manual
Index

Waiver of right to file an application for review.. . . . . . . . 28-52, 49-4, 50-7, 53-9

Withdrawal from election agreements .. . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-57

effect of incumbent's withdrawal on processing. . . . . . . . . . . . . . . 28-58

effect of intervenor's withdrawal on processing. . . . . . . . . . . . . . . 28-58

effect of petitioner's withdrawal on processing.. . . . . . . . . . . . . . . 28-58

incumbent.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-57

petitioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-57

Withdrawal of petition

solicited by Regional Director.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-4

unsolicited. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-4

withdrawal with prejudice. . . . . . . . . . . . . . . . . . . . . . . 11-6, 27-5, 28-57

Office of the General Counsel

Representation Case Handling Manual I-21
Table of

Authorities

TABLE OF AUTHORITIES

FEDERAL LABOR RELATIONS AUTHORITY DECISIONS

American Federation of State, County and Municipal Employees, AFL-CIO, Local

2477 and Library of Congress, Washington, D.C., 7 FLRA 578 (1982). . . . . 53-6

Army and Air Force Exchange Service, Dallas, Texas and American Federation

of Government Employees, AFL-CIO, 5 FLRA 657 (1981). . . . . . . . . . . . . . 53-5

Army and Air Force Exchange Service, Dallas, Texas, 55 FLRA 1239 (1999).28-

43

Defense Commissary Agency, Defense Commissary Store, Fort Drum, New

York (Fort Drum), 50 FLRA 249 (1995). . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-12

Defense Logistics Agency, Defense Contract Management Command, Defense

Contract Management District, North Central, Defense Plant Representative 

Office-Thiokol, Brigham City, Utah, 41 FLRA 316 (1991). . . . . . . . . . . . . . . 28-7

Defense Logistics Agency, Defense Supply Center Columbus, Columbus, Ohio, 

53 FLRA 1114 (1998). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-27

Department of Defense Dependent Schools, 6 FLRA 297 (1981). . 28-32, 28-40

Department of Defense, Department of the Navy, Portsmouth Naval Shipyard,

Portsmouth, New Hampshire, 14 FLRA 76 (1984). . . . . . . . . . . . . . . . . . . . 20-20

Department of Energy, 2 FLRA 838 (1980). . . . . . . . . . . . . . . . . . . . . . . . . . 62-2

Department of Energy, Western Area Power Administration, 3 FLRA 77 (1980). 24-2

Department of Health and Human Services, Boston Regional Office, Region 1,

12 FLRA 475 (1983) (DHHS). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

Department of Health and Human Services, Washington, D.C., 16 FLRA 586

(1983). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-2

Department of Housing and Urban Development, Region IX, San Francisco,

California, 50 FLRA 334 (1995). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

Department of Housing and Urban Development, Region IX, San Francisco,

Office of the General Counsel

Representation Case Handling Manual TOA-1
Table of

Authorities

California, 50 FLRA 575 (1995). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

Department of State, Bureau of Consular Affairs, Passport Services,

35 FLRA 1163 (1990). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

Department of the Air Force, Air Force Plant Representative Office, Detachment

27, Fort Worth, Texas, 5 FLRA 492 (1981). . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

Department of the Army. U.S. Army Aviation Missile Command (AMCOM I),

Redstone Arsenal, Alabama, 55 FLRA 640 (1999).. . . . . . . . . . . . . . 28-52, 55-2

Department of the Army. U.S. Army Aviation Missile Command (AMCOM II),

Redstone Arsenal, Alabama, 56 FLRA 126 (2000). . . . . . . . . . . . . . . . . . . . 53-3

Department of the Army, Headquarters, Fort Dix, Fort Dix, New Jersey,

53 FLRA 287 (1997). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-26, 55-2

Department of the Army, III Corps and Fort Hood, Fort Hood, Texas, 51 FLRA

934 (1996). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-3

Department of the Army, U.S. Army Concord District Recruiting Command,

Concord, New Hampshire, 14 FLRA 73 (1984). . . . . . . . . . . . . . . . . . . . . . . 11-6

Department of Transportation, Federal Aviation Administration, 

4 FLRA 722 (1980). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-7

Department of Transportation, Federal Aviation Administration, New England

Region (FAA), 20 FLRA 224 (1985).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-8

Department of Veterans Affairs, Chattanooga National Cemetery, 

Chattanooga, Tennessee, 45 FLRA 263 (1992).. . . . . . . . . . . . . . . . . . . . . . 50-2

Division of Military and Naval Affairs (New York National Guard), Latham, 

New York and National Federation of Civilian Technicians (NYNG), 

53 FLRA 111 (1997). . . . . . . . . . . . 3-2, 4-3, 5-7, 19-1, 19-4, 23-12, 23-14, 23-16

Federal Deposit Insurance Corporation, Washington, D.C., 38 FLRA 952 (1990)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-6

Federal Deposit Insurance Corporation, 40 FLRA 775 (1991). . . . . . . 27-6, 50-6

Federal Mediation and Conciliation Service, 52 FLRA 1509 (1997).. . 27-6, 59-2

Federal Trade Commission, 15 FLRA 247 (1984). . . . . . . . . . . . . . 28-17, 28-42

Office of the General Counsel

TOA-2 Representation Case Handling Manual
Table of

Authorities

Federal Trade Commission, 35 FLRA 576 (1990). . . . 28-17, 28-42, 47-3, 47-22

Florida (Air) National Guard, St. Augustine, Florida, 43 FLRA 1475 (1992).. 11-6

Florida National Guard, St. Augustine, Florida, 25 FLRA 728 (1987). . . . . . 53-6

Fort Campbell Dependents Schools, Fort Campbell, Kentucky,

46 FLRA 219 (1992). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1

General Services Administration, Las Vegas Fleet Management Center, Sparks

Field Office, Sparks, Nevada, 49 FLRA 1258 (1993). . . . . . . . . . . . . . . . . . 28-31

Headquarters, 1947th Administrative Support Group, U.S. Air Force, 

Washington, DC, 14 FLRA 220 (1884). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-

24

Internal Revenue Service, Seattle District, et. al.,12 FLRA 324 (1983). . . . . 60-3

Long Beach Veterans Administration Medical Center, Long Beach, California,

7 FLRA 434 (1981). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-18

Marine Corps Logistics Base, Barstow, California, 9 FLRA 1046 (1982). . . . 50-4

Morale, Welfare and Recreation Directorate, Marine Corps Air Station, Cherry

Point, North Carolina, 48 FLRA 686 (1993). . . . . . . . . . . . . . . . . . . . . . . . . . 54-3

Morale, Welfare and Recreation Directorate, Marine Corps Air Station, Cherry

Point, North Carolina, 45 FLRA 281 (1992). . . . . . . . . . . . . . . . . . . . . . . . . . 53-2

National Association of Government Employees/Service Employees International

Union, Local 5000, ALF-CIO-CLC and Service Employees International Union,

ALF-CIO-CLC and Department of Veterans Affairs, Washington, DC, 52 FLRA

1068 (1997). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-3

National Mediation Board, 54 FLRA 1474 (1998).. . . . . . . . . . . . . . . . . . . . . 13-4

National Park Service, Golden Gate National Recreation Area, 

San Francisco, CA , 41 FLRA 791(1991). . . . . . . . . . . . . . . . . . . . . . . . . . . 17-11

Naval Facilities Engineering Service Center, Port Hueneme, California, 

50 FLRA 363 (1995). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-3, 24-2, 53-2

New Mexico Army and Air National Guard, 56 FLRA 145 (2000). . . . . . .15-3, 

Office of the General Counsel

Representation Case Handling Manual TOA-3
Table of

Authorities

,.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17-17

North Carolina Air National Guard, Charlotte, North Carolina,

4 FLRA 348 (1980). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60-3

North Carolina Army National Guard, Raleigh, North Carolina, 

34 FLRA 377 (1990). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2, 18-11,18-13

Office of Hearings and Appeals, Social Security Administration (OHA),

16 FLRA 1175 (1984). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-2, 27-5

Sacramento Army Depot, Sacramento, California, 49 FLRA 1648 (1994). . . 18-6

Small Business Administration, 54 FLRA 562 (1998).. . . . . . . . . . . . . . . . . . . 4-2

Small Business Administration, 56 FLRA ___, 56 FLRA No. 153 (2000).. . . . 4-3

The Adjutant General - Georgia, Georgia National Guard, Departm ent of 

Defense, Atlanta, Georgia, 2 FLRA 712 (1980). . . . . . . . . . . . . . . . . . . . . . . 60-3

U.S. Army Air Defense Artillery Center and Fort Bliss, 31 FLRA 938 (1988).28-26

U.S. Army Corps of Engineers, Headquarters South Pacific Division, 

San Francisco, California, 39 FLRA 1445 (1991).. . . . . . . . . . 28-39, 47-20, 53-6

U.S. Army Corps of Engineers, Seattle, Washington and United Power Trades

Organization and NFFE Local 8, unnumbered application of review denied 

(March 12, 1998). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-14

U.S. Army Corps of Engineers, Seattle, Washington, Case No. SF-RP-70066,

(1998). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59-2

U.S. Army Engineer Activity, Capital Area, Fort Myer, VA, 34 FLRA 38 

(1989). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46-1, 50-4

U.S. Army Reserve Command, 88th Regional Support Command, Fort Snelling,

Minnesota, 53 FLRA 1174 (1998). . . . . . . . . . . . . . . . . . . . . . . . . 4-2, 4-5, 17-17

U.S. Department of Agriculture, Forest Service, Apache-Sitgreaves National

Forest, Springerville, Arizona, 47 FLRA 945 (1993). . . . . . . . . . . . . . . 27-6, 50-1

U.S. Department of Commerce, National Oceanic and Atmospheric

Administration, National Marine Fisheries Service, Northeast Region,

24 FLRA 922 (1986) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-26

Office of the General Counsel

TOA-4 Representation Case Handling Manual
Table of

Authorities

U.S. Department of Defense Dependents School, Panama Region, 

44 FLRA 419 (1992). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-4, 15-10, 18-14

Office of the General Counsel

Representation Case Handling Manual TOA-5
Table of

Authorities

U.S. Department of Energy, Western Area Power Administration, Golden,

Colorado and International Brotherhood of Electrical Workers, AFL-CIO, Locals

640, 1245, 1759, 1959 and 2159, Case No. 7-CA-1229, OALJ-82-119 (1982).60-3

U.S. Department of Health and Human Services, Public Health Service, Indian

Health Service, Gallup Indian Medical Center, Gallup, New Mexico (Gallup), 

46 FLRA 1421 (1993). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-9, 18-31

U.S. Department of Health and Human Services, Social Security Administration,

44 FLRA 230 (1992). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-6

U.S. Department of Health and Human Services, Social Security Administration

District Office, Greenville, North Carolina, 36 FLRA 824 (1990). . . . . . . . . 47-10

U.S. Department of Housing and Urban Development, Newark Office, 

Newark, New Jersey, 37 FLRA 1122 (1990). . . . . . . . . . . . . . . . . . . . . . . . . 11-6

U.S. Department of Housing and Urban Development, Washington, D.C., 

34 FLRA 307 (1990). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

U.S. Department of the Air Force, Carswell Air Force Base, Texas, 

40 FLRA 221 (1991). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-26

U.S. Department of the Army, Headquarters, Sixth United States Army, 

Presidio of San Francisco, California (Presidio), 34 FLRA 1032 (1990). . . . . 7-1

U.S. Department of the Army, U.S. Army Law Enforcement Command 

Pacific, Fort Shafter, Hawaii, 53 FLRA 1602 (1998).. . . . . . . . . . . . . 28-42, 47-4

U.S. Department of the Interior, Bureau of Indian Affairs , Rosebud, 

South Dakota, 34 FLRA 67 (1989). . . . . . . . . . . . . . . . . . . . . . . . 28-2, 32-2, 47-1

U.S. Department of the Interior, Bureau of Land Management,

56 FLRA 202 (2000). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 

.4-2

U.S. Department of the Interior, Indian Health Service, Gallup Indian Health

Center, Gallup, New Mexico, 48 FLRA 890 (1993). . . . . . . . . . . . . . . . . . . . 11-5

U.S. Department of the Interior, National Park Service, Washington, DC, 

55 FLRA 311(1999). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-5, 18-1

U.S. Department of the Interior, National Park Service, 

Office of the General Counsel

TOA-6 Representation Case Handling Manual
Table of

Authorities

55 FLRA 466 (1999) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-11, 15-11, 17-5,

17-8

U.S. Department of the Interior, Redwood National Park, Crescent City,

California, 48 FLRA 666 (1993).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-5

U.S. Department of Labor, Pension and Welfare Benefits Administration, 38

FLRA 65 (1990). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-33

U.S. Department of the Navy, Naval Air Engineering Center, Lakehurst, 

New Jersey, 3 FLRA 567 (1980). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62-2

U.S. Department of the Navy, Naval Station, Ingleside, Texas (Naval Station

Ingleside), 46 FLRA 1011 (1992). . . . . . . . . . . . . . . . . . . . . . . . . 44-1, 50-2, 50-4

U.S. Department of Transportation, U.S. Coast Guard Finance Center,

Chesapeake, Virginia (Coast Guard), 

34 FLRA 946 (1990). . . . . . . . . . . . . . . . . . . . . . . . . 17-11,18-2, 19-5, 20-5, 53-6

U.S. Information Agency (USIA), Washington, DC, 

53 FLRA 999 (1997). . . . . . . . . . . . . . . . . . . . . . 3-2, 4-3, 5-7, 19-5, 23-12, 23-16

United States Army Air Defense Artillery Center and Fort Bliss, Fort Bliss, Texas,

55 FLRA 940 (1999). . . . . . . . . . . . . . . . . . . . . 18-9, 18-28, 18-29, 18-31, 18-32

United States Department of the Interior, Bureau of Indian Affairs , Navajo 

Area Office, Gallup, New Mexico (BIA), 34 FLRA 413 (1990). 17-11, 17-12, 26-3

United States Department of the Navy, Fleet and Industrial Supply Center, 

Norfolk, Virginia, 52 FLRA 950 (1997). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53-2

USA DARCOM Materiel Readiness Support Activity (MRSA), Lexington, 

Kentucky, 1 FLRA 430 (1979). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-7

Utah Army National Guard, U.S. Department of the Army, Draper, Utah, an

unnumbered Authority Decision denying an application for review in 

Case No. DE-RP-80021 (1999). . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15-3, 17-17

VA Medical Center, Brooklyn, NY, 8 FLRA 289 (1982). . . . . . . . . . . . . . . . . . .28-

24

Veterans Administration Medical Center, Fayetteville, North Carolina, 

8 FLRA 651 (1982). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52-1

Office of the General Counsel

Representation Case Handling Manual TOA-7
Table of

Authorities

Veterans Administration, Veterans Administration Medical Center, Coatesville,

Pennsylvania, Case No. 2-RO-19 (1980), Decision on Request for Review. . .

.18-6

Office of the General Counsel

TOA-8 Representation Case Handling Manual
Table of

Authorities

DECISIONS OF THE ASSISTANT SECRETARY FOR LABOR-MANAGEMENT RELATIONS

AND THE FEDERAL LABOR RELATIONS COUNCIL

Army and Air Force Exchange Service, White Sands Missile Range Exchange

White Sands Missile Range, New Mexico, 1 A/SLMR 147 (1971). . . 27-7, 28-13

Colorado Air National Guard, Case No. 61-1024(RO), 1 Rulings on Requests for

Review 76 (1970), Report on Ruling Number 12, 1 A/SLMR 611 (1970). . . 50-4

Department of Health, Education and Welfare, Division of Indian Health, Public

Health Service, Intermountain Indiana School Health Center, Case No. 61-1077, 

1 Rulings on Requests for Review 79 (1970), Report on Ruling Number 19, 

1 A/SLMR 614 (1970). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47-20

Department of Housing and Urban Development, Unit II, Boston Area Office,

Boston, Massachusetts, Case No. 31-4380 E.O, 1 Rulings on Requests

for Review 161 (1971), Report on Ruling Number 40, 1 A/SLMR 626 (1971).47-13

Department of the Air Force, Electronics System Division, Case No. 31-3338, 

1 Rulings on Requests for Review 165, (1971), Report on Ruling Number 41, 

1 A/SLMR 626 (1971). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50-2

Department of the Army, U.S. Army Aviation Systems Command, St. Louis,

Missouri, 3 A/SLMR 559 (1973). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33-4

Department of Transportation, National Highway Traffic Safety Administration,

2 A/SLMR 433 (1972). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-22, 27-7, 28-13

Federal Aviation Administration and Federal Aviation Administration Eastern

Region, 5 A/SLMR 777 (1975). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-22

Federal Aviation Administration, 2 A/SLMR 340 (1972). . . . . . . . . . . . 11-2, 11-4

Federal Aviation Administration, Case No. 22-3711(RO), 1 Rulings on 

Requests for Review 258 (1973). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-4

General Services Administration, Region 5, Public Building Service, Chicago,

Illinois, Case No. 50-13-31(RO), 2 Rulings on Requests for Review 469 (1976),

Report on a Ruling of the Assistant Secretary, Number 59, (1976). . . . . . . 47-12

Indian Health Service Area Office, Window Rock, Arizona and Public Health

Service Indian Hospital, Fort Defiance, Arizona, Department of Health, Education

and Welfare, 7 A/SLMR 36 (1977). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-29

Office of the General Counsel

Representation Case Handling Manual TOA-9
Table of

Authorities

Internal Revenue Service, 7 A/SLMR 357 (1977).. . . . . . . . . . . . . . . . . . . . 23-18

Naval Air Rework Facility, Norfolk, Virginia, Case No. 22-2568, 1 Rulings on

Requests for Review 193 (1972), Report on Ruling of the Assistant Secretary, 

Number 50, 2 A/SLMR 640 (1972). . . . . . . . . . . . . . . . . . . . . . . . . . . . 48-3, 50-4

Navy Public Works Center, 6 A/SLMR 142 (1976). . . . . . . . . . . . . . . . . . . . . . 3-3

Report on Ruling Number 12, 1 A/SLMR 611 (1970). . . . . . . . . . . . . . . . . . . 50-4

Report on Ruling Number 14, 1 A/SLMR 612 (1970). . . . . . . . . . . . . . . . . . . 50-2

Report on Ruling Number 19, 1 A/SLMR 614 (1970). . . . . . . . . . . . . . . . . . 47-20

Report on Ruling Number 20, 1 A/SLMR 615 (1970). . . . . . . . . . . . . . . . . . 28-53

Report on Ruling Number 40, 1 A/SLMR 626 (1971). . . . . . . . . . . . . . . . . . 47-13

Report on Ruling Number 41, 1 A/SLMR 626 (1971). . . . . . . . . . . . . . . . . . . 50-2

Report on Ruling Number 42, 1 A/SLMR 627 (1971). . . . . . . . . . . . . . . . . . 28-57

Report on Ruling Number 52, 2 A/SLMR 641 (1972). . . . . . . . . . . . . . . . . . . 18-7

Report on Ruling Number 57, 4 A/SLMR 867 (1972). . . . . . . . . . . . . . . . . . . 44-3

Report on Ruling Number 58, 5 A/SLMR 789 (1975). . . . . . . . . . . . . . . . . . . 50-4

Report on Ruling Number 59, 6 A/SLMR 747 (1976). . . . . . . . . . . . . . . . . . 47-12

U.S. Army Advanced Ballistic Missile Defense Agency, Huntsville Office,

Huntsville, Alabama, Case No. 40-3672(RO), 1 Ruling on Request for Review

234 (1972), Report on Ruling Number 57, 4 A/SLMR 867 (1972). . . . . . . . . 44-3

U.S. Army Corps of Engineers, Mobile District, 2 A/SLMR 486 (1972). . . . . 11-2

U.S. Army Electronics Command, Ft. Monmouth, New Jersey, Case No. 32-

2565(RO), 1 Rulings on Requests for Review 233 (1972), and Report on a

Ruling of the Assistant Secretary No. 52, 2 A/SLMR 641 (1972). . . . . . . . . . 18-7

U.S. Army Electronics Command, Procurement and Production Directorate, Fort

Monmouth, Red Bank, New Jersey, 1 Rulings on Requests for Review 166

(1971), Report on Ruling Number 42, 1 A/SLMR 627 (1971).. . . . . . . . . . . 28-57

Office of the General Counsel

TOA-10 Representation Case Handling Manual
Table of

Authorities

U.S. Department of Commerce, National Oceanic and Atmospheric

Administration, National Weather Service, Central Region, 7 A/SLMR 854 (1977). 28-29

United States Army Safeguard Logistics, Command, Huntsville, Alabama, 

2 A/SLMR 582 (1972). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27-7, 28-13

Veterans Administration Hospital, Brecksville, Ohio, 

1 FLRC 302 (1971).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18-9, 18-29, 18-33

Veterans Administration Hospital, Jamaica Plain, Massachusetts, Case No. 31-

3178, 1 Rulings on Requests for Review 85 (1970), Report on Ruling Number

20, 1 A/SLMR 615 (1970). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28-53

Veterans Administration Regional Office, Newark, New Jersey, 1 A/SLMR 207

(1971). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43-1

U.S. Customs, 8 A/SLMR 220 (1978).. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23-17

DECISIONS OF THE NATIONAL LABOR RELATIONS BOARD

American Safety Equipment Corporation, 234 NLRB 501 (1978). . . . . . . . . 50-5

Burns Security Services, 256 NLRB 959 (1981). . . . . . . . . . . . . . . . . . . . . . 50-5

Great Eastern Color Lithographic Corp., 131 NLRB 1139 (1961). . . . . . . . . 40-3

John W. Galbreath & Company (Galbreath), 288 NLRB 876 (1988). . . . . . . 50-5

Mallinckrodt Chemical Works, 84 NLRB 291 (1949). . . . . . . . . . . . . . . . . . . 11-2

DECISIONS OF THE FEDERAL CIRCUIT COURT OF APPEALS

Library of Congress v. FLRA, 699 F.2d 1280 (D.C. Cir. 1983). . . . . . . . . . . . 53-6

NLRB v. Metro-Truck Body, Inc., 613 F.2d 746, 750 (9th Cir. 1979). . . . . . . 18-2

Turgeon v. FLRA, 677 F.2d 937, 939-940 (D.C. Cir. 1982). . . . . . . . . . . . . . 53-6

Eisenger v. FLRA, 164 LRRM 2862, No. 98-70866 (9th Cir., July 17, 2000).4-1-4-3

FLRA v. Federal Deposit Insurance Corporation, No. 91-1207 (D.C. Cir.1992) . 27-6

Office of the General Counsel

Representation Case Handling Manual TOA-11