Slide 1

After Arbitration:

Filing Exceptions with the Authority

July 18, 2017

Slide 2

Filing Exceptions with the Authority 2 7/18/2017

Slide 3

What’s the difference?

Filing Exceptions with the Authority 3

?

7/18/2017
Slide 4

•Normally confined to the 

interpretation/application of 

CBA

•No statutory requirement to 

arbitrate

Filing Exceptions with the Authority 4 7/18/2017

68 FLRA 999, 1004-05 (2015)

Slide 5

Filing Exceptions with the Authority 5

The Federal Service LaborManagement Relations Statute

7/18/2017

5 U.S.C. §§ 7101-7135 

Slide 6 5 U.S.C. § 7121(a)-(b)
Slide 7

§ 7103(a)(9)

Any complaint by any employee OR any union

concerning any matter relating to the employment of the 

employee

AND

Any complaint by any employee, union, OR agency

concerning 

 the effect or interpretation, or claim of breach, of a CBA

 any claimed violation, misinterpretation, or 

misapplication of any law, rule, or regulation affecting 

conditions of employment

Filing Exceptions with the Authority 7 7/18/2017

Slide 8

• Parties can negotiate matters out of 

coverage

• Some exclusions come from outside 

the Statute:

OMB Circular A-76

5 C.F.R. § 575.311(g)

• Some exclusions are in the Statute

Filing Exceptions with the Authority 8 7/18/2017

• OMB Circular A-76

• 52 FLRA 717, 719-21

• 5 C.F.R. § 575.311(g) 

• 69 FLRA 7, 9

Slide 9

§ 7121(c)

 Prohibited political activities (Hatch Act)

 Retirement, life insurance, or health insurance 

 Suspension or removal for national-security 

reasons

 Examination, certification, or appointment 

 Classification of any position that does not result in 

a reduction in grade or pay

Filing Exceptions with the Authority 9 7/18/2017

• Hatch Act: 5 U.S.C. §§ 7321-7326

• Retirement, life insurance, or health 

insurance

• E.g., 51 FLRA 204, 207-08

• But see 57 FLRA 415, 416-17

• Suspension or removal for national 

security reasons

• See 62 FLRA 391, 391 n.2

• Examination, certification, or 

appointment

• 57 FLRA 166, 168; 51 FLRA 210, 

212-13; 48 FLRA 511, 513-15

• Classification...that doesn’t result in 

reduction in grade/pay

• 66 FLRA 34, 38-39
Slide 10

The grade level of the duties permanently 

assigned to, and performed by, the grievant

 Classifying currently unclassified duties

 Accretion of higher-graded duties to an 

existing position

Filing Exceptions with the Authority 10 7/18/2017

• Definition

• 5 C.F.R. § 511.101(c)

• “the analysis and 

identification of a position 

and placing it in a class 

under the positionclassification plan 

established by” OPM 

“under chapter 51 of title 5, 

United States Code.” 

• Grade level

• 67 FLRA 67

• 61 FLRA 194

• Currently unclassified duties

• 31 FLRA 933, 936

• See 55 FLRA 345, 347

• Accretion of duties

• 61 FLRA 194

• Is classification the essential nature of the 

grievance?

• 64 FLRA 829, 830-31

Slide 11

 Grievances re: temporary promotion

 Promotion within existing career-ladder 

 Failure to promote under competitive 

procedure

 Accuracy of a PD

Filing Exceptions with the Authority 11 7/18/2017

• Temporary promotions

• 68 FLRA 83, 84-85

• 64 FLRA 552, 554

• Promotion within existing career-ladder

• 52 FLRA 217, 220-22

• Failure to promote 

• 49 FLRA 1387, 1389

• Accuracy of a PD

• 57 FLRA 275, 277
Slide 12

 § 7116(d): grievance or ULP

 § 7121(d): grievance or EEO complaint

 § 7121(e): grievance or MSPB appeal 

• adverse actions under § 7512

• certain performance-based actions under § 4303

 § 7121(g): prohibited personnel practice

• (5 U.S.C. § 2302(b)(2)) – grievance or appeal to MSPB, 

or through OSC 

Filing Exceptions with the Authority 12 7/18/2017

• 7116(d)

• 67 FLRA 442, 444-47

• 64 FLRA 1110, 1111

• 7121(d)

• 65 FLRA 704, 708-09

• 61 FLRA 571, 573-74

• 7121(e)

• 54 FLRA 235, 237-38

• 7121(g)

• 61 FLRA 571, 574

Slide 13

 Same issue 

• same factual predicate AND

• substantially similar legal theories

 Statutory claim doesn’t bar contractual claim. 

 ULP was filed earlier • Does NOT matter if ULP wasn’t pursued or fully litigated 

AND

 Selection of ULP procedures was at discretion of 

aggrieved party • must be same aggrieved party

 distinguish individual vs. institutional issues

Filing Exceptions with the Authority 13 7/18/2017

• Statutory claim doesn’t bar contractual 

claim

• 68 FLRA 573, 575

• 67 FLRA 442, 445-46

• 59 FLRA 112, 114-17

• ULP was filed earlier

• E.g., 64 FLRA 1110, 1112

• Selection of ULP procedures was at 

discretion of aggrieved party

• E.g., 63 FLRA 677, 679-80

Slide 14

Same subject matter

AND

Matter was earlier raised by the employee 

timely initiating an action under the 

statutory EEO procedure

Filing Exceptions with the Authority 14 7/18/2017

 E.g., 69 FLRA 292, 294 

 reprimand = personnel action

 61 FLRA 571, 573-74; 

 23 FLRA 414, 417-18 

 timely filing of formal written 

complaint under EEOC 

regulations, not pre-complaint 

process
Slide 15

Filing Exceptions with the Authority 15 7/18/2017

Slide 16

Failure to comply is a ULP if award is 

FINAL AND BINDING

• Final award – see slide 21

Validity of award CANNOT be challenged 

in ULP proceeding.

Filing Exceptions with the Authority 16 7/18/2017

Slide 17

 No timely exceptions filed

• compliance required when period for filing exceptions expires

 FLRA denies exceptions

• compliance required upon denial 

BUT

• Compliance not required while exceptions pending 

Filing Exceptions with the Authority 17 7/18/2017

• No timely exceptions

• 55 FLRA 293, 296

• Exceptions denied

• 55 FLRA at 296

• Exceptions pending

• 56 FLRA 848, 851-52
Slide 18

“Functus Officio”

• After arbitrator renders award regarding an issue, 

NO authority to take further action on that issue 

unless: 

 retained jurisdiction OR

 parties jointly request

Filing Exceptions with the Authority 18 7/18/2017

E.g., 64 FLRA 823, 825-26

Slide 19

Arbitrator may:

• clarify initial award

• correct clerical or arithmetic error in initial 

award

• complete an award by resolving a submitted 

issue that the arbitrator's initial award failed 

to resolve

 What about continuing violations?

Filing Exceptions with the Authority 19 7/18/2017

67 FLRA 19, 22

Slide 20

Back Pay Act (5 U.S.C. § 5596)

 At any time during arbitration

 Within a reasonable period of time after award 

becomes final and binding

 CBA may govern timing for requests 

Filing Exceptions with the Authority 20 7/18/2017

• Generally

• 67 FLRA 721, 721-22 (thenMember Pizzella dissenting)

• 67 FLRA 352, 352-53

• Attorney fees

• 64 FLRA 925, 927
Slide 21 • 5 CFR § 2429.11 

• “ordinarily will not consider 

interlocutory appeals” 

• 5 CFR § 2429.11 

• reflects judicial policy of 

discouraging fragmentary appeals 

of the same case 

• 66 FLRA 688, 689-90

• 61 FLRA 355, 357

Slide 22

An exception filed 

before a final award

has been issued

Filing Exceptions with the Authority 22 7/18/2017

64 FLRA 486, 489

Slide 23

An award that completely 

resolves all submitted issues 

If everything is decided, award is final

 EVEN if jurisdiction is retained to assist with 

implementation

Filing Exceptions with the Authority 23 7/18/2017

• Definition

• 64 FLRA 586, 589

• Jurisdiction for implementation

• 66 FLRA 235, 239
Slide 24

Directs the parties to determine:

• Amount of backpay/damages/costs? 

• Identification of affected individuals? 

• An appropriate remedy? NOT FINAL

• Whether monetary remedy would be 

appropriate? NOT FINAL

Filing Exceptions with the Authority 24 7/18/2017

• Backpay/damages/costs

• 67 FLRA 336, 337

• 66 FLRA 838, 841-42

• Identification

• 66 FLRA 531, 534

• 65 FLRA 252, 254

• Develop remedy

• 61 FLRA 173, 174

• Determine monetary remedy

• 58 FLRA 358, 359

Slide 25

 What if the Arbitrator says the award is final?

• DO NOT rely on arbitrator’s characterization of award

 What if the Arbitrator bifurcated the hearing?

• Just because arbitrator resolved all issues re: 1st part of 

bifurcated hearing, doesn’t mean resolved all issues 

submitted

 What if the Arbitrator retained jurisdiction to 

resolve attorney fees?

• Does NOT render exceptions to merits award 

interlocutory

Filing Exceptions with the Authority 25 7/18/2017

• Arb’s characterization

• 65 FLRA 672, 674

• 61 FLRA 355, 357

• Bifurcated hearings

• 61 FLRA at 356-57

• Attorney fees

• 66 FLRA 838, 841-42

• 64 FLRA 989, 991

Slide 26

Plausible Jurisdictional Defect

Extraordinary circumstances warrant 

interlocutory review where there is a 

plausible jurisdictional defect, the 

resolution of which will advance the 

ultimate disposition of the case

Filing Exceptions with the Authority 26 7/18/2017

• 66 FLRA 688, 690

• 62 FLRA 344, 346-47
Slide 27

Plausible = claim is credible on its face; 

mere assertion not enough 

Advancing the “ultimate disposition” of the 

case = resolution of the jurisdictional issue 

must end the dispute

NOTE: usually statutory

Filing Exceptions with the Authority 27 7/18/2017

• Plausible

• 63 FLRA 216, 217

• 55 FLRA 1230, 1232

• Advance ultimate disposition

• 59 FLRA 686, 687

Slide 28

 Exception granted

• Claim arbitrator lacked jurisdiction to resolve a 

classification matter under 5 U.S.C. § 7121(c)(5)

 Exception dismissed 

 Claim arbitrator lacked jurisdiction based only on 

parties’ agreement 

 Claim that arbitrator may not be impartial in 

determining arbitrability because he had “a financial 

interest in presiding over a prolonged merits hearing”

Filing Exceptions with the Authority 28 7/18/2017

• Granted

• 63 FLRA 216, 217-18

• Dismissed

• 66 FLRA 848, 851

• 58 FLRA 745, 746

• Arbitrator not impartial

• 68 FLRA 640, 641

Slide 29

Filing Exceptions with the Authority 29 7/18/2017
Slide 30

Filing Exceptions with the Authority 30 7/18/2017

Slide 31

Either PARTY to arbitration

• “Party” = any person who participated 

as a party in a matter where an 

arbitration award was issued 

• Only union and agency are entitled to 

file exceptions

 Unless grievant is authorized to file 

exceptions

Filing Exceptions with the Authority 31 7/18/2017

• 7122(a)

• Party

• 5 CFR § 2421.11

• Union authorized grievant

• 60 FLRA 509, 509 n.1 

• Union did not authorize grievant

• 40 FLRA 1254, 1255 

Slide 32

www. FLRA.gov

5 C.F.R. §§ 2425 & 2429

(it’s all in there)

Filing Exceptions with the Authority 32 7/18/2017

• Address and phone numbers on the 

website

• Where and how: 5 CFR § 2429.24

• Number of copies: 5 CFR § 2429.25

• Statement of service: 5 CFR § 2429.27

• Who to serve: 5 CFR 2429.12(b)

• Table of Contents: 5 CFR § 2429.29

• Other requirements: 5 CFR § 2425.2

• Forms: 5 CFR 2425.4 (optional)
Slide 33

Exceptions and oppositions may 

be filed by registered users

through the Authority’s eFiling 

system

Benefits :

• Free

• Convenient

Filing Exceptions with the Authority 33 7/18/2017

Slide 34

Filing Exceptions with the Authority 34 7/18/2017

Slide 35

Filing Exceptions with the Authority 35 7/18/2017
Slide 36

5 C.F.R. § 2425.2

Exceptions due 30 calendar days from date 

of service of award 

• Exclude date of service of the award

 Method of service is up to arbitrator unless parties’ 

agreement specifies

 First service method controls

• Date parties RECEIVE exceptions is irrelevant 

when calculating due date

 What about weekends and holidays? Filing Exceptions with the Authority 36 7/18/2017

• See also 5 CFR § 2429.21

• More than one method of service

• First controls, unless the 

arbitrator indicates that the first 

method is not the “official 

service” 

• 68 FLRA 1015, 1017-18 

(then-Member Pizzella 

dissenting)

Slide 37

 Arbitrator uses regular mail or FedEx?

• Calculate from postmark (mail) or date deposited (FedEx)

• If illegible or missing, use date of the award

• Add 5 days to the due date

 Arbitrator uses email or fax?

• Calculate from date of transmission

• No extra time

 Arbitrator uses personal delivery?

• Calculate from date of delivery

• No extra time

Filing Exceptions with the Authority 37 7/18/2017

• 5 C.F.R. § 2425.2

• See also §§ 2429.21, 2429.22

Slide 38

Filing Exceptions with the Authority 38

Sunday Monday Tuesday Wed Thursday Friday Saturday

May 23 24 25 26 27

Date of 

service of 

award

28

Start 

counting

29 30 31 June 1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26

30 days!

27

Due date

(BUT add 5 

days for mail)

28

Start

counting

29 30 July 1 2

Fifth day

3 4

HhLIDA

5

ACTUAL

DUE DATE

6 7 8 9

7C18C20
Slide 39

5 C.F.R. § 2425.2

 Time limit cannot be extended or waived

• May be equitably tolled if:

(1) some extraordinary circumstance stood in a 

party's way to prevent timely filing; and 

(2) the party was pursuing its rights diligently

Note: The Authority may waive an expired time limit in extraordinary 

circumstances for untimely filed oppositions

Filing Exceptions with the Authority 39 7/18/2017

• No extension or waiver

• 5 C.F.R. § 2429.23(d)

• 5 U.S.C. § 7122(b)

• Equitable tolling

• 68 FLRA 231, 232-34 (then-Member 

Pizzella dissenting)

• No extraordinary circumstance found

• 68 FLRA 443, 443-45 (Member 

DuBester dissenting)

• Oppositions

• 68 FLRA 189, 191

• 5 C.F.R. § 2429.23(b)

Slide 40

Filing Exceptions with the Authority 40 7/18/2017

Slide 41

The Authority will send a deficiency order for:

Failure to provide copy of arbitrator’s 

award

Failure to provide statement of service

Failure to provide table of contents 

Incorrect number of copies

Filing Exceptions with the Authority 41 7/18/2017

• Arbitrator’s award

• 5 C.F.R. § 2425.4(a)(5)

• Statement of service

• 5 CFR § 2429.27

• Table of contents

• 5 CFR § 2429.29

• Number of copies

• 5 CFR § 2429.25
Slide 42

The Authority will send a show-cause order for:

 Failure to Cure Procedural Deficiencies

Timeliness

Interlocutory 

Moot/Advisory Opinion 

 Lack of Jurisdiction

 Lack of Standing

Filing Exceptions with the Authority 42 7/18/2017

• Moot/Advisory opinion

• 5 C.F.R. § 2429.10

• 64 FLRA 466, 467

• 58 FLRA 327, 330

• Jurisdiction

• 5 USC § 7121(f) matters

• Standing

• See 5 CFR § 2421.11

Slide 43

THE AUTHORITY WILL 

DISMISS YOUR EXCEPTIONS 

WITHOUT REGARD TO THE 

NATURE OF THE 

DEFICIENCY

Filing Exceptions with the Authority 43 7/18/2017

• 63 FLRA 349, 350

• Deficiency = lack of copies and 

statement of service. As U did not 

cure, Authority issued SCO. In 

response, U said (w/o support) 

deficiency had been cured. U 

exceptions dismissed.

• 67 FLRA 442 (incorrect number of copies)

• 67 FLRA 442, 444

• Dismissing U’s opp’n as untimely 

and declining to waive the expired 

deadline

• 68 FLRA 777, 777-78

• Though Ag did respond to SCO, Ag’s 

opp’n not considered because date 

of service, not date of receipt, 

controls filing due date 

• 56 FLRA 829, 830 n.1

• Ag failed to respond to SCO re: why 

exceptions shouldn’t be dismissed 

as interlocutory; exceptions 

dismissed
Slide 44

5 C.F.R. § 2425.4

What you must include

What you can leave out

Filing Exceptions with the Authority 44 7/18/2017

• Include: 

• Copy of award

• Arbitrator’s info

• Statement of grounds: see 5 CFR § 

2425.6

• Supporting arguments & citations

• Copies of documents cited in 

arguments: E.g., CBA provisions, 

internal agency regulations

• Support for expedited, abbreviated 

decision

• Exclude: 

• Authority and Fed. Court decisions

• USC

• Current CFR

Slide 45

5 C.F.R. § 2425.7

Excepting party may request

 Authority has discretion over whether to grant request

 Opposing party may respond to request in opposition

Authority considers:

 Complexity

 Potential for precedential value

 Similarity to other, fully detailed decisions involving 

same/similar issues

Authority may issue even absent request

Not in arbitration cases involving a ULP

Filing Exceptions with the Authority 45 7/18/2017

• Excepting party may request

• 67 FLRA 257, 257

• Authority discretion

• 68 FLRA 718, 719
Slide 46

Anything you should have known to, but 

did not, raise below 

Evidence

 Factual assertions

Arguments (including affirmative defenses)

 Requested remedies

 Potential challenges to a requested remedy

Filing Exceptions with the Authority 46 7/18/2017

• 5 CFR § 2425.4

• See also 5 CFR § 2429.5

Slide 47

5 C.F.R. §§ 2425.4, 2429.5

 Not raised below

• Was there an opportunity to raise the issue?

 Post-hearing brief

 Other ways?

• Was issue known before award issued?

• What about arbitrator bias?

 Raised below in a contrary way

Authority will not consider arguments

Filing Exceptions with the Authority 47 7/18/2017

• Not raised below

• 67 FLRA 155, 156

• 63 FLRA 178, 179-80

• 68 FLRA 116, 117

• 63 FLRA 213, 214

• 63 FLRA 70, 74

• 68 FLRA 829, 832-33

• 67 FLRA 609, 610-11

• But see 61 FLRA 637, 639

• Raised in contrary way

• 64 FLRA 325, 328

• 68 FLRA 116, 118

• Opportunity to raise below

• 67 FLRA 287, 288-89

• 67 FLRA 715, 716-17

• 67 FLRA 356, 357

• 67 FLRA 257, 257

• But see 67 FLRA 387, 388-89
Slide 48

• Authority has no jurisdiction

• Exceptions do not raise a recognized ground

• Exceptions do not support a recognized ground

Filing Exceptions with the Authority 48 7/18/2017

Slide 49

 Authority has no jurisdiction over exceptions to awards that concern:

 Reductions in grade/removals based on unacceptable 

performance under 5 U.S.C. § 4303

 Removal, suspension for more than 14 days, reduction in pay, 

or furlough of 30 or fewer days under 5 U.S.C. § 7512 

 Similar matters arising under other personnel systems

 Matters “related to” – i.e., “inextricably intertwined with” –

those matters

Filing Exceptions with the Authority 49 7/18/2017

• Reduction in grade/ removal

• 61 FLRA 476, 477-78

• Removal, suspension for more than 14 

days, reduction in pay, or furlough of 30 or 

fewer days

• 62 FLRA 107, 108

• Similar matters arising under other 

personnel systems

• 59 FLRA 545, 546 (removal of nonappropriated fund employees)

• Inextricably intertwined matters

• 62 FLRA 505, 506-07 (claim for 

compensatory damages)

Slide 50

5 C.F.R. § 2425.6(e)(1): Failure to raise

 Currently recognized grounds 

• The arbitrator: 

 exceeded his or her authority

 was biased

 denied the excepting party a fair hearing

• The award: 

 is contrary to any law, rule or regulation

 fails to draw its essence from the parties’ agreement

 is based on a nonfact

 is incomplete, ambiguous, or contradictory so as to make 

implementation of the award impossible

 is contrary to public policy

Filing Exceptions with the Authority 50 7/18/2017

• All Members agreed to dismissal

• 67 FLRA 375, 375

• 67 FLRA 147, 147-48

• 68 FLRA 311, 313

• Argument that an arbitrator 

“misapplied the doctrine of past 

practice” does not raise a 

recognized ground for review

• 67 FLRA 330, 331

• Dismissing for failure to raise

• then-Member Pizzella writes 

separately to contrast with 67 FLRA 

239
Slide 51

5 C.F.R. § 2425.6(e)(1): Failure to support

 Must offer sufficient argument or authority to 

support that ground

 To support a ground not currently recognized, a 

party must cite the legal authorities relied upon

Filing Exceptions with the Authority 51 7/18/2017

• 67 FLRA 327, 328.

• Dismissing argument for failing to 

raise a ground

• Denying another argument as 

raising, but not sufficiently 

supporting, a recognized ground

• 69 FLRA 149, 151

• Denying a contrary to law exception 

for failure to support

• 67 FLRA 333, 333-34

• Dismissing certain exceptions for 

failure to raise, denying others for 

failure to support

• 67 FLRA 378, 379

• Denying one exceeded-authority 

exception for failure to support, 

denying another on its merits

• 67 FLRA 171, 172

• To support a ground not currently 

recognized, a party must cite the 

legal authorities relied upon

Slide 52

5 C.F.R. § 2425.3

 Not required

 30 days to file (from service of exceptions)

 Address:

 Arguments, including failure to raise/support issues

 Any request for expedited, abbreviated decision 

 Include:

 Documents relied on UNLESS provided with exceptions

 Documents not readily accessible by the Authority

Filing Exceptions with the Authority 52 7/18/2017

• 5 C.F.R. § 2425.8 (use of Collaboration and 

Alternative Dispute Resolution Office)

• 5 C.F.R. § 2429.21 (computation of time for 

filing papers)

• 5 C.F.R. § 2429.22 (add’l time after service 

by mail or commercial delivery)

• 5 C.F.R. § 2429.24 (place and method of 

filing; acknowledgement)

• 5 C.F.R. § 2429.25 (number of copies and 

paper size)

• 5 C.F.R. § 2429.27 (service; statement of 

service)

• 5 C.F.R. § 2429.29 (content of filings)
Slide 53

5 C.F.R. § 2429.26

 Authority may consider “other documents,” but filing 

party must:

 Request leave to file

 5 C.F.R. § 2429.26

 Argue why submission is necessary

 E.g., Addresses new argument raised by opposing 

party

 Serve copies on other parties

Filing Exceptions with the Authority 53 7/18/2017

Slide 54

Filing Exceptions with the Authority 54 7/18/2017

5 CFR § 2425.8

Note: Authority will toll filing for 

opposition if time hasn’t expired

Slide 55

 Direct parties to provide evidence (including arbitration 

record, see 5 C.F.R. § 2429.3)

 Direct parties to respond to requests for further 

information

 Meet with parties

 Direct oral argument

 Take any other appropriate action

Filing Exceptions with the Authority 55 7/18/2017
Slide 56

Filing Exceptions with the Authority 56

Overview 

& 

Private-Sector Grounds

7/18/2017

Slide 57

Exceptions to arbitration awards = majority of 

Authority’s case load

Types of exceptions:

• Private-sector grounds 

 Deference to arbitrator

• Contrary to law, rule, or regulation 

 De novo review of legal conclusions

 Deference to arbitrator’s factual findings

Filing Exceptions with the Authority 57 7/18/2017

• Private-sector grounds

• 5 U.S.C. § 7122(a)(2)

• 5 C.F.R. § 2425.6(a)(2)

• Contrary to law, rule, regulation

• 5 U.S.C. § 7122(a)(1)

• 5 C.F.R. § 2425.6 (a)(1)

Slide 58

(1) Arbitrator failed to resolve submitted issue 

 arbitrator not required to address every argument 

raised

(2) Resolved an issue not submitted

(3) Disregarded specific limitations on authority

 a claim that the arbitrator added 

to/altered/modified the CBA generally will not 

demonstrate exceeded authority

(4) Awarded relief to non-grievants  remedy too broad

Filing Exceptions with the Authority 58 7/18/2017

• Compare 65 FLRA 91, 95, with 64 FLRA 

686, 687

• Compare 63 FLRA 476, 478-79, with

51 FLRA 1645, 1647; see also 67 FLRA 609, 

611-12

• 64 FLRA 547, 550

• 65 FLRA 657, 663-64
Slide 59

DEFERENCE

Stipulated issue v. Framed issue

Filing Exceptions with the Authority 59 7/18/2017

• Stipulated issue

• Arbitrators do not exceed authority 

by addressing an issue that is 

necessary to decide a stipulated 

issue or by addressing an issue that 

necessarily arises from issues in 

stipulation

• 67 FLRA 489, 492

• 64 FLRA 982, 986-87. 

• 68 FLRA 992, 993-95 (then-Member 

Pizzella dissenting)

• Arbitrator did not exceed 

his authority when 

interpretation of a 

stipulated issue was not 

irrational, unfounded, or 

implausible, and the award 

was responsive to the issue 

as interpreted by the 

arbitrator 

• Framed issue

• 68 FLRA 189, 191-92

• 64 FLRA 1126, 1129-30

Slide 60

 Award procured by improper means

 Arbitrator was partial or corrupt

 Arbitrator engaged in misconduct that 

prejudiced party’s rights

Filing Exceptions with the Authority 60 7/18/2017

• 67 FLRA 291, 292

• 64 FLRA 713, 716-17
Slide 61

 Arbitrator refused to hear or consider 

pertinent and material evidence

 Actions so prejudiced a party as to affect 

fairness of proceeding as a whole

Filing Exceptions with the Authority 61 7/18/2017

• 68 FLRA 116, 119

• 67 FLRA at 292

• 62 FLRA 360, 362

Slide 62

 Cannot be rationally derived from parties’ agreement;

 So unfounded in reason and fact, 

unconnected w/wording and purpose of 

agreement as to manifest infidelity to 

obligation of arbitrator;

 Implausible interpretation of agreement;

OR

 Evidences manifest disregard of agreement

Filing Exceptions with the Authority 62 7/18/2017

• 59 FLRA 540, 541

• granting exception

• But see 69 FLRA 149, 152; 68 FLRA 83, 85-

86

Slide 63

Central fact underlying the award is 

clearly erroneous, but for which the 

arbitrator would have reached a 

different result

Cannot challenge factual matters 

disputed before arbitrator

Filing Exceptions with the Authority 63 7/18/2017

• 67 FLRA 306, 308

• 64 FLRA 692, 696
Slide 64

Filing Exceptions with the Authority 64 7/18/2017

Incomplete, ambiguous, or contradictory as 

to make implementation impossible

• 64 FLRA 622, 624

• 56 FLRA 1057, 1074

Slide 65

Must be explicit, well-defined, 

and dominant

AND

Violation of policy must be 

clearly shown

Filing Exceptions with the Authority 65 7/18/2017

61 FLRA 88, 91

Slide 66

Must provide citations and explain 

how they support finding award 

deficient

Filing Exceptions with the Authority 66 7/18/2017

5 C.F.R. § 2425.6
Slide 67

Contrary to law, rule, or regulation

• Absent allegation of nonfact, Authority defers 

to arbitrator’s factual findings

• U.S. Constitution

• Statutes

• Regulations

 Government-wide

 Governing agency rules or regs

Filing Exceptions with the Authority 67 7/18/2017

• Standard: 66 FLRA 74, 78

• Examples:

• 69 FLRA 149, 151

• 69 FLRA 144, 145

• 68 FLRA 531, 532-33

• 68 FLRA 311, 314-16

• 68 FLRA 116, 118-19

Slide 68

 When award based on separate and independent 

grounds, appealing party must establish that all 

grounds are deficient

 For example:

 Award based on interpretation of two CBA provisions and 

interpretation of either provision provides a sufficient basis for 

the award

 Must show interpretation of BOTH provisions is deficient 

 Award based on interpretations of CBA and Statute

 Must show interpretation of BOTH CBA and Statute are deficient 

Filing Exceptions with the Authority 68 7/18/2017

• Examples

• 68 FLRA 324, 326

• 67 FLRA 597, 604 (multiple CBA 

provisons)

• 65 FLRA 946, 949

• 66 325, 332 (CBA and Statute)

Slide 69

Procedural arbitrability

Substantive arbitrability

Filing Exceptions with the Authority 69 7/18/2017
Slide 70

Determined by:

• Whether procedural conditions to 

arbitrability have been met or excused

• Examples include:

 Timeliness of a grievance

Filing Exceptions with the Authority 70 7/18/2017

• Conditions met/excused

• 64 FLRA 772, 773-74

• 64 FLRA 612, 613

• Timeliness

• 64 FLRA 772, 773

Slide 71

What grounds can you use to challenge it?

 Bias

 Exceeded authority 

 Fair hearing 

 Law that establishes procedural requirements that 

apply to NGP 

What about essence?

What about nonfact? 

Filing Exceptions with the Authority 71 7/18/2017

• Bias

• 61 FLRA 681, 682-83

• 60 FLRA 83, 86

• Exceeded authority

• 61 FLRA 681, 682-83

• 60 FLRA 83, 86 

• Fair hearing 

• 60 FLRA 813, 815-16

• Law that establishes procedural 

requirements that apply to NGP

• 68 FLRA 728, 730-31 (filing period 

for ULPs established by the Statute)

• 58 FLRA 480, 481-82

• But see 67 FLRA 264, 264-65)

• But not on essence grounds

• 68 FLRA 852, 853-54 

• 68 FLRA at 730 
Slide 72

Determined by:

• Whether subject matter of dispute is 

arbitrable

• If determination is based on CBA, then 

essence standard

• If determination is based on law, then 

de novo standard

Filing Exceptions with the Authority 72 7/18/2017

• 64 FLRA 612, 613

• Essence

• 64 FLRA 606, 609

• De Novo

• 64 FLRA 1132, 1133-34

Slide 73

Slide 74 • 67 FLRA 597, 601-02 (then-Member 

Pizzella dissenting)

• 66 FLRA 426, 428 & n.5
Slide 75

 Does the award affect a management right 

under § 7106(a)?

 If so, was arbitrator enforcing:

• Contract provision negotiated under § 7106(b) 

(for any management-right claims); 

or 

• applicable law (for § 7106(a)(2) claims)?

Filing Exceptions with the Authority 75 7/18/2017

• 65 FLRA 113, 115

• 65 FLRA 102, 106 (Chairman Pope 

concurring in part)

Slide 76 • Mission

• 59 FLRA 159, 163

• 58 FLRA 341, 342-43

• Budget

• 61 FLRA 201, 205

• Organization

• 63 FLRA 530, 532

• 58 FLRA 175, 178-79

• Number of employees

• 46 FLRA 298, 316-17

• Internal security practices

• 64 FLRA 1153, 1156-58

Slide 77 • Hire employees

• 62 FLRA 93, 94-95

• Assign employees

• 64 FLRA 161, 165

• 63 FLRA 222, 225

• Direct employees

• 64 FLRA 532, 534

• 63 FLRA 450, 452

• 62 FLRA 15, 16-17

• Layoff employees

• 64 FLRA 813, 815-16

• Retain employees in the agency

• 60 FLRA 839, 841-45

• 58 FLRA 344, 345-46
Slide 78 • Suspend employees

• 48 FLRA 908, 911-12

• Remove employees

• 46 FLRA 298, 319-20

• Reduce in grade or pay

• 53 FLRA 539, 579-80

• 40 FLRA 1181, 1200-02

• Take other disciplinary action

• 62 FLRA 174, 180-81

• 61 FLRA 341, 346-47

Slide 79 • Assign work

• 65 FLRA 13, 15

• 64 FLRA 136, 138

• 63 FLRA 530, 532

• Contracting out

• 64 FLRA 474, 479

• 61 FLRA 209, 210

• Determine the personnel . . .

• 61 FLRA 371, 373-74

Slide 80

§ 7106(a)(2)(C):

• With respect to filling positions, make selections 

for appointments from:

 (1) among properly ranked and certified 

candidates for promotion; or

 (2) any other appropriate source

§ 7106(a)(2)(D):

• Take whatever actions may be necessary to 

carry out the agency mission during 

emergencies 

Filing Exceptions with the Authority 80 7/18/2017

• § 7106(a)(2)(C)

• 65 FLRA 13, 15

• 64 FLRA 76, 77

• 62 FLRA 419, 424

• 61 FLRA 226, 228-29

• 61 FLRA 618, 622

• 59 FLRA 780, 782-83

• 58 FLRA 411, 412

• § 7106(a)(2)(D)

• 58 FLRA 549, 551-52
Slide 81 41 FLRA 795, 823

Slide 82 64 FLRA 76, 77-78

Slide 83

. . . ask whether the arbitrator was 

enforcing:

• A provision negotiated under § 7106(b)(1), (2), 

or (3) (for all § 7106(a) rights); and/or

• An applicable law (for § 7106(a)(2) rights)

Filing Exceptions with the Authority 83 7/18/2017
Slide 84 • 54 FLRA 807, 816-17

• 32 FLRA 944, 959

• Enforceable in arbitration

Slide 85 • Technology

• 62 FLRA 321, 326

• Means

• 54 FLRA 1582, 1589-91 & n.6

Slide 86

 Agency must bargain the 

“procedures which management . . . 

will observe in exercising” any 

§ 7106 management right

 Look to the case law

Filing Exceptions with the Authority 86 7/18/2017

• 63 FLRA 585, 586

• 62 FLRA 328, 330

• Enforceable in arbitration
Slide 87

APPROPRIATE ARRANGEMENTS

 First ask: Whether the CBA provision, as interpreted 

and applied by the arbitrator:

• Is an “arrangement” for employees adversely 

affected by the exercise of a management right

 If yes, then ask: Does the CBA provision, as interpreted 

and applied by the arbitrator:

• Abrogate management’s rights 

 Different analysis than in negotiability cases involving 

proposals

Filing Exceptions with the Authority 87 7/18/2017

• 5 U.S.C. § 7106(b)(3)

• “appropriate arrangements for 

employees adversely affected by 

the exercise of” any management 

right under § 7106

• No tailoring or excessive interference in

arbitration

• See 65 FLRA 113, 116 (Member 

Beck concurring)

• But see 739 F.3d 13 (D.C. Cir. 2014)

Slide 88

For § 7106(a)(2) rights, ask whether the arbitrator 

was enforcing an “applicable law”

APPLICABLE LAW

lawfully enacted statutes, the U.S. Constitution, 

controlling judicial decisions, executive orders 

issued pursuant to express statutory authorization, 

and regulations having the force and effect of law 

Filing Exceptions with the Authority 88 7/18/2017

• 42 FLRA 1333, 1337

Slide 89

Regulations have the “force and effect of law” 

where they:

 (1) Affect individual rights and obligations;

 (2) Were promulgated pursuant to an explicit or 

implicit delegation of legislative authority by 

Congress; 

AND

 (3) Were promulgated in accordance with procedural 

requirements imposed by Congress

Filing Exceptions with the Authority 89 7/18/2017

• 65 FLRA 657, 661-63

• 61 FLRA 201, 206
Slide 90

• Must provide a remedy for a violation of 

either an “applicable law” within the 

meaning of § 7106(a)(2) 

OR 

• a contract provision that was negotiated 

pursuant to § 7106(b) of the Statute

• No reconstruction

Filing Exceptions with the Authority 90 7/18/2017

65 FLRA 102, 106-07 (Chairman Pope 

concurring in part)

Slide 91

Filing Exceptions with the Authority 91 7/18/2017

Slide 92

 Award must be consistent with any rule 

or regulation that governs the matter in 

dispute

 Government-wide regulations treated 

differently than agency-specific 

regulations

Filing Exceptions with the Authority 92 7/18/2017

37 FLRA 186, 190-96
Slide 93

Rules, regulations, and official 

declarations of policy that are 

generally applicable throughout 

the federal government and are 

binding on the federal agencies 

and officials to whom they apply

Filing Exceptions with the Authority 93 7/18/2017

• Generally applicable

• 53 FLRA 403, 416

Slide 94

 Regulation before CBA

• Reg governs

 CBA before regulation

• CBA governs until it expires

Exception: gov’t-wide regulations that 

implement 5 U.S.C. § 2302 (prohibited 

personnel practices) 

Filing Exceptions with the Authority 94 7/18/2017

• Generally applicable

• 53 FLRA 403, 416

• When CBA governs

• 65 FLRA 817, 819

• Exception

• 60 FLRA 398, 399 n.6 (reciting the 

standard)

Slide 95

Rules, regulations, and 

official declarations of policy 

prescribed by an agency to 

govern matters within that 

agency

Filing Exceptions with the Authority 95 7/18/2017

• Definition

• 37 FLRA 186, 192-95

• Must provide copy and explain

• 37 FLRA at 195 n.2
Slide 96

Only when there’s no applicable, 

conflicting CBA provision

• CBA, not agency regulations, governs matters to 

which they both apply when there is a conflict 

• Reason: Statute does not prevent agency from 

agreeing to a CBA that alters or modifies agency 

regulation

• Deference to an arbitrator’s finding that CBA 

governs

Filing Exceptions with the Authority 96 7/18/2017

• When CBA governs

• 64 FLRA 1126, 1128-29

• Reason

• 37 FLRA 186, 194

• Deference

• 41 FLRA 1206, 1209-11

Slide 97

 An arbitrator may find that agency regulations have been 

incorporated into CBA

 And if CBA says matters will be conducted “in 

accordance with an agency regulation,” that wording 

“effectively incorporates” the regulation into the CBA –

unless the arbitrator indicates otherwise in the award

 Review of the arbitrator’s interpretation and application 

of the incorporated agency regulations = essence 

standard

Filing Exceptions with the Authority 97 7/18/2017

• Arbitral finding

• 51 FLRA 1210, 1217

• 41 FLRA 284, 292-93

• Effectively incorporates

• 51 FLRA 1210, 1216-17 

• Unless arbitrator finds otherwise

• 65 FLRA 13, 17 n.5

• Essence standard

• 65 FLRA 1004, 1008

Slide 98

Filing Exceptions with the Authority 98 7/18/2017
Slide 99

Broad remedial discretion

Authority denies exceptions that don’t 

support setting aside remedy/attempt to 

substitute different remedy

Filing Exceptions with the Authority 99 7/18/2017

• Broad discretion

• 64 FLRA 922, 924

• Deny Exceptions

• 55 FLRA 789, 793

Slide 

100

Private and federal sectors: Can’t 

dispense “own brand of industrial 

justice”

Additional federal-sector exceptions 

stem from:

• Laws and regulations governing employment

• Expanded scope of grievance procedure 

(arbitrators substitute for other forums)

Filing Exceptions with the Authority 100 7/18/2017

• No industrial justice

• 64 FLRA 916, 920

Slide 

101

Sovereign immunity

• May be raised at any time, even if not raised before 

arbitrator

Must be explicit statutory waiver

• Common examples:

 Back Pay Act, 5 U.S.C. § 5596

 FLSA, 29 U.S.C. §§ 201-219

 No sovereign-immunity waiver required for 

monetary remedies that are “equitable” in nature

Filing Exceptions with the Authority 101 7/18/2017

• Sovereign immunity

• 68 FLRA 960, 963-66

• Explicit statutory waiver

• 52 FLRA 46, 49

• Back Pay Act

• 52 FLRA 46, 49

• FLSA

• 63 FLRA 100, 103

• Raise anytime

• 68 FLRA 841, 842

• No waiver for equitable remedies

• 68 FLRA 960, 965
Slide 

102

Unjustified or unwarranted personnel 

action

• Violation of applicable law, rule, regulation, or 

CBA

 Includes governing agency-wide regs

Resulting in loss of pay, allowances, or 

differentials

• “Pay, leave, and other monetary employment 

benefits to which an employee is entitled by statute 

or regulation ....”

Filing Exceptions with the Authority 102 7/18/2017

• Violation of law, rule, reg, CBA

• Compare 56 FLRA 887, 888 with 68 

FLRA 841, 842-43

• Agency-wide regs

• 64 FLRA 922, 923

• Loss of pay . . .

• 5 C.F.R. § 550.803

• Accord 60 FLRA 202, 212

Slide 

103

Causal connection necessary

• Essential because backpay is make-whole 

remedy 

FLRA reviews for evidence of connection

• Does not require particular words or phrases 

(such as “but for”)

 No requirement to identify specific employees 

when award sufficiently identifies specific 

circumstances warranting backpay

Filing Exceptions with the Authority 103 7/18/2017

• Causal connection

• 63 FLRA 646, 648

• FLRA review

• 52 FLRA 938, 942

• No need to ID specific employees

• 68 FLRA 718, 720

Slide 

104

 Cannot exceed “a period beginning 

more than 6 years before the date of the 

filing of a timely appeal” (e.g., a 

grievance)

 Does not establish when period can 

end/total duration of recovery period

Filing Exceptions with the Authority 104 7/18/2017

• No more than 6 years

• 5 U.S.C. § 5596(b)(4)

• 60 FLRA 565, 570

• End of recovery period

• 67 FLRA 384, 385

• 60 FLRA 565, 570
Slide 

105

STATUTORY ENTITLEMENT

 Begins: Date of Loss

 Ends: Date not more than 30 

days before date on which paid

Filing Exceptions with the Authority 105 7/18/2017

• Statutory

• 5 U.S.C. § 5596(b)(2)(A)

• Timing

• 58 FLRA 447, 447

• Error to deny interest

• 64 FLRA 906, 907

Slide 

106

Filing Exceptions with the Authority 106 7/18/2017

Slide 

107

Primary: Back Pay Act, 5 U.S.C. § 5596

Others: 

• FLSA

• Privacy Act

• Rehabilitation Act

Filing Exceptions with the Authority 107 7/18/2017
Slide 

108

 The Back Pay Act requires that an 

award of fees be:

• Awarded in conjunction with backpay 

award;

• Reasonable and related to personnel 

action;

• Awarded in accordance with standards 

established under 5 U.S.C. § 7701(g)

Filing Exceptions with the Authority 108 7/18/2017

64 FLRA 925, 928

Slide 

109

Standards established under 5 U.S.C. 

§ 7701(g)

• Prevailing party

• Incurred by the employee

• Warranted in the interest of justice

• Reasonable amount

Note: Arbitrator must make specific findings 

supporting each pertinent statutory 

requirement 

Filing Exceptions with the Authority 109 7/18/2017

• 64 FLRA 925, 928

• Specific findings

• But see 70 FLRA 214, 215 

(arbitrator adopted agency’s brief)

Slide 

110

Prevailing Party

• Enforceable judgment on the 

merits

• Degree of success not a 

consideration

Filing Exceptions with the Authority 7/18/2017 110

• Enforceable judgment

• 68 FLRA 120, 122

• 65 FLRA 921, 922 (citing 

Buckhannon, 532 U.S. 598 (2001))

• Degree of success

• 57 FLRA 784, 786
Slide 

111

Attorney-client relationship

Legal services rendered

Under certain circumstances, 

attorney fees may be awarded for 

the services of non-attorney 

representatives 

Filing Exceptions with the Authority 111 7/18/2017

• Relationship & services rendered

• 53 FLRA 1688, 1691

• Non-attorney reps

• 63 FLRA 492, 493-94

• 5 C.F.R. § 550.807(f)

• fees for law clerks, law 

students, and paralegals 

assisting attorneys

Slide 

112

How can you meet § 7701(g)(1)’s standard?

ALLEN THE

CRITERIA STATUTE

Filing Exceptions with the Authority 112 7/18/2017

• Criteria may be rexamined

• 69 FLRA 573

• Allen v. USPS, 2 M.S.P.R. 420, 434-35 

(1980)

• Show under the Statute:

• Service to federal workforce or

• Benefit to public

• 64 FLRA 925, 928

Slide 

113

(1) Prohibited personnel practice

(2) Clearly without merit/wholly unfounded or 

employee substantially innocent

(3) Bad faith

(4) Gross procedural error; OR

(5) Agency knew or should have known would 

not prevail

Filing Exceptions with the Authority 113 7/18/2017
Slide 

114

Prohibited personnel practice

• 5 U.S.C. § 2302

• Distinct from “unjustified or 

unwarranted personnel action”

Filing Exceptions with the Authority 114 7/18/2017

64 FLRA 819, 821

Slide 

115

Clearly without merit/wholly unfounded

• Examine competing interests of fault of employee 

and reasonableness of agency action

Employee substantially innocent

• Employee prevails on substantive rather than 

technical grounds on major charges 

Focal point is result of merits award 

Filing Exceptions with the Authority 115 7/18/2017

• W/O merit/wholly unfounded

• 68 FLRA 690, 691-92

• 64 FLRA 925, 929

• Substantially innocent

• 63 FLRA 317, 319-20

• Focus on merits award

• 63 FLRA at 319

Slide 

116

Bad faith

• Action brought to “harass” the 

employee 

• Action brought to exert improper 

pressure on the employee to act in 

certain ways

Filing Exceptions with the Authority 116 7/18/2017

64 FLRA 925, 928
Slide 

117

Gross procedural error

• Prolonged proceeding or severely 

prejudiced employees

• More than simple harmful error 

warranting reversal of agency 

action

Filing Exceptions with the Authority 117 7/18/2017

61 FLRA 582, 586

Slide 

118

 Agency knew or should have known would not 

prevail

• Analysis of agency evidence and agency conduct of 

investigation

 Focal point = reasonableness of agency actions 

in view of information available at the time of the 

action

 Penalty an aspect of merits; if penalty mitigated 

on evidence available to agency, and no new 

info presented at hearing, then agency knew or 

should have known

Filing Exceptions with the Authority 118 7/18/2017

• Analysis & Focal point

• 65 FLRA 575, 578

• Penalty is aspect of merits

• 66 FLRA 22, 24 & n.5

Slide 

119

Billing rate

Reasonable number of hours

No explicit provision for interest on 

attorney fees

NOTE: Degree of success IS a 

consideration 

Filing Exceptions with the Authority 119 7/18/2017

• Number of hours

• 64 FLRA 1003, 1007-09

• No interest

• 65 FLRA 54

• Degree of success matters

• 65 FLRA 452, 454
Slide 

120

 Petition for fees and opportunity to respond

 May resolve in merits award, but ...

 Back Pay Act jurisdiction

• Doctrine of functus officio does not permit refusal to consider 

timely request

• Arbitrator may resolve fee issue at any time during arbitration, 

or within reasonable period after award becomes “final and 

binding,” or if the parties agree to a different period

 Requests for fees determined by “appropriate 

authority” as defined by 5 C.F.R § 550.807

Filing Exceptions with the Authority 120 7/18/2017

When arbitrator can resolve fee issue

• 67 FLRA 721, 721-22

• 67 FLRA 352, 352-53

Slide 

121

Filing Exceptions with the Authority 121 7/18/2017

Slide 

122

 § 7123(a): FLRA decisions in arbitration cases 

reviewable only if the order involves a ULP

 Look at order - not award, not grievance 

• More than acknowledge ULP 

• Must necessarily implicate a statutory ULP 

even if no explicit discussion

 Conduct must actually have been characterized 

as a ULP

Filing Exceptions with the Authority 122 7/18/2017

• Congressional intent 

• 665 F.3d 1339, 1344-45 (D.C. Cir. 

2012)

• 507 F.3d 697, 698-700 (D.C. Cir. 

2007)

• Look at order

• 453 F.3d 500, 504 (D.C. Cir. 2006)

• 507 F.3d 700

• Actually characterized as ULP

• 824 F.2d 61, 66 (D.C. Cir. 1987)
Slide 

123

 No jurisdiction where CBA was basis for 

arb’s award and FLRA’s review 

 No automatic grant of jurisdiction when an agency claims order violates sovereign 

immunity

• “Routine statutory and regulatory questions—in this case, the meaning of the ‘shall not exceed’ clause in the Back Pay Act and ‘administrative error’ in [the 

agency’s] assignment policy—are not transformed into constitutional or jurisdictional issues merely 

because a statute waives sovereign immunity.” 

Filing Exceptions with the Authority 123 7/18/2017

• No jurisdiction

• 981 F.2d 1339, 1342-44 (D.C. Cir. 

1993)

• Sovereign immunity claim not enough 

• 784 F.3d 821, 823-24 (D.C. Cir. 

2015)

Slide 

124

 Furthers Congressional interest in:

• providing arbitration awards substantial finality

• ensuring a single, uniform body of case law 

concerning ULPs 

 Standard of review: 

• Arbitrary/capricious

• Court will uphold remedial order for a ULP “‘unless 

it can be shown that the order is a patent attempt to 

achieve ends other than those which can fairly be 

said to effectuate the policies of the Act.’” 

Filing Exceptions with the Authority 124 7/18/2017

• Legislative history

• 507 F.3d 697, 699-700 (D.C. Cir. 

2007)

• 824 F.2d 61, 63 (D.C. Cir. 1987)

• 792 F.2d 25, 28-29 (2d. Cir. 1986)

• “Patent attempt . . .”

• 647 F.3d 514, 517 (4th Cir. 2011) 

(quoting 910 F.2d 964, 968 (D.C. Cir. 

1990) (en banc))

Slide 

125

Filing Exceptions with the Authority 125 7/18/2017