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U.S. FEDERAL LABOR RELATIONS 

AUTHORITY

Promoting and protecting labor-management relations for 

effective, efficient Government.

ANNUAL 

PERFORMANCE 

REPORT

TABLE OF CONTENTS

MESSAGE FROM THE CHAIRMAN.......................................................................................... 1

MANAGEMENT’S DISCUSSION AND ANALYSIS ................................................................. 3

Background and Mission ............................................................................................................ 3

Organizational Structure ............................................................................................................. 4

Strategic and Performance-Planning Framework ....................................................................... 7

Performance Overview ............................................................................................................... 8

ANNUAL PERFORMANCE GOALS, MEASURES, AND RESULTS .................................... 15

Strategic Goal 1: We will ensure quality, timely, impartial, and consistent investigative and 

decision-making processes with determinations that are clearly articulated. ....................... 15

Strategic Goal 2: We will develop and provide tools and resources to enable the parties to 

prevent or more effectively and efficiently resolve their labor-relations disputes and 

improve their labor-management relationships. ................................................................... 28

Strategic Goal 3: We will manage our resources effectively and efficiently, and recognize 

that our dedicated workforce is critical to the resolution of labor-relations disputes........... 33

INSPECTOR GENERAL: TOP MANAGEMENT AND PERFORMANCE CHALLENGES 

FOR FISCAL YEAR 2020 ........................................................................................................... 45
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MESSAGE FROM THE CHAIRMAN

I am pleased to submit the 2019 Annual Performance Report (APR) for the 

Federal Labor Relations Authority (FLRA). Although this has been a 

challenging year with a key leadership vacancy remaining, it was also another 

successful and productive year.

FLRA, in one small agency, serves as investigator, prosecutor, adjudicator, 

and interest arbitrator for labor-management disputes involving 1.2 million 

Federal employees worldwide. The agency is committed to fostering an 

efficient and effective Federal Government, providing leadership in establishing policies and 

guidance related to federal-sector labor-management relations, and ensuring compliance with the 

Federal Service Labor-Management Relations Statute (the Statute), which it enforces.

In fiscal year (FY) 2019, FLRA transitioned to the Strategic Plan put in place for 2018-2022. In 

the Strategic Plan, we reaffirmed our commitment to chart the course of federal-sector labormanagement relations through impartial, clear, and timely actions based on the Statute. We also 

renewed our focus on the legislative foundation enabling FLRA to serve as a responsible leader 

in this arena. In addition, FLRA began implementing the new and expanded performance 

measures set out in the Annual Performance Plan in the FY 2020 Congressional Budget 

Justification. 

With respect to mission performance, 2019 was another strong year for FLRA, particularly given 

staffing and budget challenges. The Authority issued a total of 92 merits decisions. Staff 

shortages during much of the year made it difficult to reduce the backlog of pending cases. As 

the Authority worked to clear its oldest cases, many of the decisions the Agency issued in 2019 

were already “overage.” As a result, the Authority missed some of its 2019 targets. 

As part of FLRA’s commitment to providing clear, understandable guidance to its customers, the 

Authority launched its initiative to publish case-summary digests online. The Authority intends 

for these summaries to be a valuable tool for researchers and members of the Federal labormanagement community to allow them to more quickly and efficiently identify decisions of 

interest to them. 

In 2019, the Federal Service Impasses Panel (the FSIP) received 77 filings (approximately six

new filings per month). The FSIP exceeded most of its timeliness measures for assisting parties 

in resolving negotiation impasses. 

FLRA has been without a presidentially-nominated, Senate-confirmed General Counsel (GC)

since January 20, 2017. Despite the challenges this vacancy created, the Office of General 

Counsel (OGC) delivered strong results in 2019. Without a GC, no unfair labor practice (ULP)

complaints could issue. Nevertheless, the OGC exceeded its strategic performance goals for the

timely resolution of ULP cases, resolving nearly 90 percent of such cases by withdrawal, 

dismissal, or settlement of the ULP charge within 120 days of the charge’s filing date. It also 

exceeded its performance goals for timely resolution of representation cases, resolving 82
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percent of representation petitions by withdrawal, election, or issuance of a Decision and Order 

within 120 days of filing.

The Agency continues to make tremendous strides toward advancing our new and improved case 

management system to allow for integration with our Document Management System and our 

new eFiling 3.0. 

FLRA’s many successes and accomplishments could not have been achieved without the 

extraordinary efforts of our dedicated, diverse, and talented workforce who continue to deliver 

for our stakeholders and the American people. I look forward to working with all the employees 

of FLRA, my fellow Authority Members, and our stakeholders to continue providing high 

quality products and service to the labor-management relations community and federal agencies 

as we do our part in promoting an effective and efficient government.

Colleen Duffy Kiko, Chairman

Federal Labor Relations Authority

January 10, 2020
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MANAGEMENT’S DISCUSSION AND ANALYSIS

Background and Mission

The FLRA is an independent administrative Federal Agency created by Title VII of the Civil 

Service Reform Act of 1978, also known as the Federal Service Labor-Management Relations 

Statute (the Statute), 5 U.S.C. §§ 7101-7135. The Statute prescribes certain rights and 

obligations to employees of the Federal Government and establishes procedures designed to meet 

the special requirements and needs of the Government. Id. § 7101(b). The provisions of the 

Statute are to be interpreted in a manner consistent with the requirement of an effective and 

efficient Government. Id.

FLRA applied its Federal-sector expertise to execute its mission primarily by carrying out the 

following statutory responsibilities:

1. Conduct hearings and resolve complaints of unfair labor practices (ULPs) under § 7118 

of the Statute. Id. § 7105(a)(2)(G). FLRA is responsible for investigating, prosecuting, 

and adjudicating claims that an Agency or a labor organization has failed to uphold its 

legal obligations under the Statute. 

2. Determine the appropriateness of units for labor-organization representation under the 

Statute, and supervise or conduct elections to determine whether a labor organization has 

been selected as an exclusive representative by a majority of employees in an appropriate 

unit. Id. § 7105(a)(2)(A). FLRA also resolves disputes about which employees may be 

included in bargaining units under the Statute. Id. § 7105(a)(2)(B).

3. Resolve exceptions to grievance-arbitration awards under § 7122 of the Statute. 

Id. § 7105(a)(2)(H). FLRA adjudicates appeals – known as exceptions – to arbitration 

awards that result from grievances filed by employees, labor organizations, or agencies 

under parties’ negotiated grievance procedures. FLRA reviews those awards to assess 

whether they are contrary to any law, rule, or regulation, or are deficient on other grounds 

similar to those applied by Federal courts in private-sector labor-management disputes. 

4. Resolve issues relating to the duty to bargain in good faith under § 7117(c) of the Statute. 

Id. § 7105(a)(2)(E). FLRA resolves negotiability disputes that arise during bargaining 

under two circumstances – when an Agency claims that a contract proposal is outside the 

duty to bargain and when an Agency head disapproves a negotiated agreement claiming 

that it contains provisions that are contrary to law, rule, or regulation. 

5. Provide assistance in resolving negotiation impasses between Federal agencies and 

exclusive representatives. Id. § 7119.

In addition, Congress directed FLRA to prescribe criteria and resolve issues relating to the 

granting of national consultation rights under § 7113 of the Statute; prescribe criteria and resolve 

issues relating to determining compelling need for Agency rules or regulations under § 7117(b) 

of the Statute; prescribe criteria relating to the granting of consultation rights with respect to 
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conditions of employment under § 7117(d) of the Statute; and take such other actions as are 

necessary and appropriate to effectively administer the provisions of the Statute.

Moreover, FLRA is to “provide leadership in establishing policies and guidance” related to 

matters under the Statute. Id. § 7105(a)(1). FLRA satisfies this directive primarily through its 

written determinations, but also by offering training and other services. 

Organizational Structure

Headquartered in Washington, D.C., FLRA has three statutory components – the Authority, the 

Office of the General Counsel (OGC), and the Federal Service Impasses Panel (the FSIP or the 

Panel) – each with unique adjudicative or prosecutorial roles. The Agency also provides full 

program and staff support to two other organizations – the Foreign Service Labor Relations 

Board and the Foreign Service Impasse Disputes Panel, pursuant to the Foreign Service Act of 

1980, 22 U.S.C. §§ 4101-4118. 

Chief Executive and Administrative Officer

The President of the United States designates one Member as Chairman who serves as FLRA’s

chief executive and administrative officer. 5 U.S.C. § 7104(b).
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The Authority

The Authority – FLRA’s adjudicatory body – is led by three full-time, presidentially nominated 

and Senate-confirmed Members who are appointed to fixed, staggered five-year terms.

The Authority is responsible for adjudicating ULP complaints, ruling on exceptions to 

arbitrators’ awards, resolving disputes over the negotiability of collective-bargaining proposals 

and provisions, and deciding applications for review of Regional Directors’ decisions in 

representation disputes. The Authority Members appoint Administrative Law Judges (ALJs) to 

hear and prepare recommended decisions that may be appealed to the Authority in cases 

involving ULP complaints. 

Other offices and programs under the jurisdiction of the Authority include the Office of the 

Solicitor, the Office of Administrative Law Judges (OALJ), the Office of Case Intake and 

Publication (CIP), the Alternative Dispute Resolution Program, and the Equal Employment 

Opportunity Program. Standing as an independent entity within the Authority is the Office of 

Inspector General.

The Office of the General Counsel

The Office of the General Counsel (OGC) is led by a presidentially nominated and Senateconfirmed General Counsel who has direct authority over, and responsibility for, all employees in 

the OGC, including those in FLRA’s Regional Offices. 

Under the Statute, the General Counsel has sole responsibility – independent of the Authority –

over the investigation and prosecution of ULP cases. The General Counsel’s determinations in 

these matters are final and unreviewable. The OGC investigates and resolves ULP charges, files 

and prosecutes ULP complaints, and provides training, as appropriate. In addition, through 

delegation by the Authority, the Regional Offices investigate and resolve representation (REP)

cases and conduct secret-ballot elections. 

An external challenge beyond FLRA’s control is the absence of a presidentially appointed, 

Senate-confirmed General Counsel (GC). Absent a GC throughout 2019, no ULP complaints or 

ULP appeal decisions have issued. In the absence of a GC, the Regional Offices may investigate 

ULP charges and dismiss those found to lack merit, but for those cases the Regional Director 

recommends that a complaint be issued, no complaint can issue – preventing the complaint from 

moving forward to a merits hearing before an ALJ. In addition, only the GC can decide appeals 

from a Regional Director’s dismissal of a charge.

The General Counsel has a small staff at FLRA Headquarters, located in Washington, D.C. 

Headquarters management provides administrative oversight; develops policies, guidance, 

procedures, and manuals that provide programmatic direction for the Regional Offices and 

training and education for the parties; and processes appeals from the Regional Offices’ 

dismissals of ULP charges. Each Regional Office is headed by a Regional Director who 

provides leadership and management expertise for the respective region. Collectively, the 
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Regional Directors work with senior management throughout FLRA to develop and implement 

policy and strategic initiatives to accomplish the FLRA mission. 

With the closure of the Dallas Regional Office on September 30, 2018, and the Boston Regional 

Office on November 30, 2018, in accordance with the Agency Reform Plan, there are five 

Regional Offices in Atlanta, Georgia; Chicago, Illinois; Denver, Colorado; San Francisco, 

California; and Washington, D.C. 

The Federal Service Impasses Panel

The FSIP is composed of part-time Presidential appointees – a Chairman and other Members –

who are appointed to fixed, staggered five-year terms. The FSIP provides assistance in resolving 

negotiation impasses between Federal agencies and labor organizations representing Federal

employees that arise from collective-bargaining negotiations under the Statute and the Federal

Employees Flexible and Compressed Work Schedules Act.
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Strategic and Performance-Planning Framework

FLRA established strategies and goals designed to maximize the delivery of Agency services 

throughout the Federal Government through a comprehensive review – by leadership at all levels 

throughout the Agency – of its operations, staffing, work processes, resource allocations, and 

performance. Throughout 2019, FLRA engaged in a continuous assessment of performance and 

other data to ensure that it accomplished its mission effectively and efficiently, and that it 

promoted innovation throughout the Agency.

FLRA’s fiscal year 2019 performance-planning framework was initially based on the Agency’s 

2019 Annual Performance Plan, which established the Agency’s annual performance goals and 

measures. The Annual Performance Plan reflects the Agency’s commitment to meaningful 

metrics to assist in assessing performance outcomes, aligning resources, and effectively 

identifying staffing and training needs. The 2019 Annual Performance Plan, as set forth in the 

2019 Congressional Budget Justification, was developed in 2018 to implement the 2015-2018 

Strategic Plan. 

However, in 2018, FLRA also issued its new 2018-2022 Strategic Plan, which revised some of 

the strategic objectives. In 2019, when FRLA prepared its Annual Plan for 2020, the Agency

developed new performance measures based on the 2018-2022 Strategic Plan. These measures 

will take full effect in 2020, but the Annual Performance Plan in the Congressional Budget 

Justification for 2020 included performance measures for 2019. NOTE: This report shows the 

FLRA’s 2019 performance as measured against the new strategic plan and the 2019 measures 

contained in the 2020 Annual Performance Plan.

2018-2022 Strategic Plan

The 2018-2022 Strategic Plan established strategies and goals designed to maximize the delivery 

of Agency services throughout the Federal Government. In addition, FLRA identified 

performance goals that allowed the Agency to both monitor progress towards achieving its 

strategic goals and to recalibrate strategies, as necessary, for maximum mission performance. 

This continued FLRA’s increased focus on targeted data collection and data-driven leadership 

and decision-making. In developing the strategic plan, FLRA referenced evidence-based 

performance and resource trends. Data collected was intended to measure progress against this 

strategic plan and overall mission performance and effectiveness. 

FLRA’s vision, which drives achievement of its mission, is: Charting the course of Federalsector labor-management relations through impartial, clear, and timely actions by dedicated and 

accountable employees. Three strategic goals, each supported by several strategic objectives, 

guide FLRA’s pursuit of its vision and achievement of its mission. 

FLRA developed this strategic plan against a canvas of strengths and challenges that can affect 

overall mission delivery. The source of FLRA’s internal strengths is its skilled workforce guided 

by the Agency’s values of transparency and accountability, along with its increasing focus on the 

innovative use of information technology (IT) and data-driven analysis. Challenges arise from 
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budget uncertainty and Presidential-appointee vacancies. The goals and objectives in this plan 

support FLRA’s mission in light of these strengths and challenges.

FLRA sought to achieve its strategic goals primarily through the timely, high-quality, and 

impartial review and disposition of cases. The Agency supplemented these efforts with a focus 

on reducing litigation and its attendant costs by helping parties to resolve their own disputes 

through improved labor-management relationships. Further supporting these efforts in 2019 was

FLRA’s continued focus on more effective and efficient use of human capital and internal 

improvements in IT.

Performance Overview

Strategic Goal 1 – We will ensure quality, timely, impartial, and consistent investigative and 

decision-making processes with determinations that are clearly articulated

Continued improvements in the timeliness of case disposition further FLRA’s critical role in 

facilitating orderly, effective, and efficient change within the Federal Government. In large part, 

FLRA exists to promote effective labor-management relations that, in turn, permit improved 

employee performance and Government operations. Timely resolution of FLRA cases is critical 

to this endeavor. Effective case resolution includes quality issues: effective process execution; 

clear communication with the parties around case processes; and the issuance of well-written and 

understandable decisions that provide deliberate, impartial, and legally sound analyses and 

consideration of the issues in dispute.

With respect to mission accomplishment, FLRA as a whole has shown tremendous ability to 

provide its customers with timely and quality adjudication, while adapting to fluctuations in the 

number of case filings that it receives and staffing changes. In 2019, FLRA met or exceeded 

many mission-related performance goals, as it did in 2018.

• Authority 

Consistent with the Strategic Plan, the Authority changed its performance measures in 2019 to 

measure case age based on the date of filing, rather than the date a case is assigned to a Member 

office for decision. This determination led the Authority to decide to predominantly focus its 

efforts on issuing decisions on the oldest cases in its inventory.

However, in early 2019, significant staff turnover (11 attorneys or 61 percent) dramatically 

reduced the Authority’s ability to process cases. During that time (August 2018-June 2019), an 

average of 8 merits decisions a month were issued. In contrast, in 2018, the Authority averaged

approximately 12 merits decisions a month.

As the Authority worked to clear its oldest cases, many of the decisions the Agency issued 

in 2019 were already “overage.” This resulted in the Authority missing some of its 2019 targets. 

In only 37 percent (32/87 cases) of arbitration cases did the Authority meet its case-processing 

target of 210 days. 
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The Authority’s concerted effort to clear the oldest cases in its inventory by the end of 2019 is 

reflected in its performance meeting its outer targets. For example, in 75 percent (6/8) of ULP 

cases and 83 percent (30/36) of negotiability cases the Authority met its 300-day target. And in 

92 percent (33/36) of negotiability cases, 88 percent (7/8) of ULP cases, and 84 percent (73/87) 

of arbitration cases it met its outer 365-day target. 

Further, the Authority continues to meet the statutory requirement to determine whether to grant 

review in 100 percent of representation cases within 60 days of filing of an application for 

review from a Regional Director’s determination. Where the Authority has granted applications 

for review, it met its 210-day target in 75 percent (6/8) of cases and met its outer 365-day target 

in 88 percent (7/8) of cases. 

In short, staff vacancies during much of the year have made it difficult to reduce the backlog of 

pending cases, and the Authority is currently focusing its efforts on processing the oldest cases in 

inventory. With a growing number of staff now on board, the Authority expects to eliminate, or 

significantly reduce, the backlog in 2020.

• Authority – OALJ

The OALJ, also part of the Authority, completed all of its remaining ULP cases (remands) and 

continued performing work for other agencies on a reimbursable basis through the ALJ Loan 

Program. In addition, to support the Authority due to attrition and staff reductions, the OALJ 

helped draft decisions in accordance with regulations on matters other than ULP cases. Because 

there was no Presidentially nominated and Senate-confirmed General Counsel in 2019, there 

were no new filed ULP complaints with the OALJ. 

• OGC

FLRA has been without a presidentially-nominated, Senate-confirmed General Counsel since 

January 20, 2017. Because the General Counsel’s position is subject to the Federal Vacancies 

Reform Act (Vacancies Act), the career Deputy General Counsel served as Acting General 

Counsel from that date until November 16, 2017, the statutory maximum under the Vacancies 

Act. In the absence of a General Counsel, the OGC’s Regional Directors may investigate ULP 

charges and dismiss those found to lack merit, but they cannot issue ULP complaints in cases in 

which they find merit, a power reserved by the Statute exclusively to the General Counsel. In 

addition, only the General Counsel can decide appeals of a Regional Director’s dismissal of a 

ULP charge.

Despite these challenges, the OGC continued delivering strong results in 2019. The OGC 

exceeded its strategic performance goals for the timely resolution of ULP cases, resolving 88

percent (or 1,867 of 2,134) of ULP cases by the withdrawal, dismissal or settlement of the ULP 

charge, within 120 days of the charge’s filing date. It also exceeded its performance goals for 

timely resolution of representation cases, resolving 77 percent (or 205 of 266) of representation 

petitions by withdrawal, election or issuance of a Decision and Order within 120 days of filing.
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The OGC has also continued to resolve cases through voluntary settlement during the 

investigative process. The OGC has the largest case intake among all FLRA components, and is 

FLRA component with which the parties have the most direct contact. The beneficial effects of 

voluntary resolutions are obvious, and they advance the effective and efficient utilization of 

Government resources.

In 2019, the OGC resolved over 385 ULP cases by voluntary settlement during the investigative 

process. The OGC also used its resources to facilitate resolution of complex representation 

petitions. For example, in response to a representation petition seeking clarification of 80

positions, an OGC attorney met with the parties telephonically several times, pursuant to section 

2422.13(b) of the Authority’s regulations, and resolved the status of 79 positions. The OGC

attorney assisted the parties in drafting stipulations to reflect these agreements, resulting in only 

one position remaining in dispute. By working cooperatively with the parties, the OGC was able 

to narrow the issues in dispute quickly and effectively.

• FSIP

President Trump appointed the most recent Panel in July 2017, with two reappointments in May 

2019. Although in previous years the Panel received an average of 140 assistance requests each 

year (averaging close to 11 new filings per month), in 2019 the Panel received only 77 new 

filings (an average of six new filings each month). 

Beginning with the issuance of President Trump’s Executive Orders in May 2018 regarding 

timely and effective resolution of collective bargaining (E.O. 13836), case filings have begun to 

increase from a low of four new cases per month in October 2018 to an average of 6-7 new cases 

in September 2019 (Note: In May 2019, case filing jumped to 10 new cases). 

In 2019, the FSIP exceeded most of its timeliness measures for assisting parties in resolving their 

negotiation impasses. Specifically, it issued decisions to decline jurisdiction on cases not 

appropriately before the Panel within 140 days of the filing date in 90 percent (10/11) of the 

cases. It assisted the parties in achieving voluntary settlement within 160 days of the filing date 

in 100 percent (15/15) of cases. And, it issued its final order within 200 days of the filing date in 

100 percent (24/24) of cases.

While the number of cases decreased, the complexity of issues involved in the impasses have 

become more complex and the interest of the parties to voluntarily resolve the impasse has 

decreased, resulting in the need for the Panel to issue final orders to resolve the impasse. For 

example, in 2017, the Panel issued a final order in 12 cases, which was 10 percent of the cases 

filed. In 2019, the number of cases where the Panel issued a final decision doubled to 24 cases –

33 percent of the cases resolved. 
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Strategic Goal 2 – We will develop and provide tools and resources to enable the parties to 

effectively and efficiently resolve their labor-relations disputes and improve their labormanagement relationships

FLRA speaks first through its decisions. Consistent with the President’s Management Agenda, 

the Agency emphasized Improving the Customer Experience by providing more meaningful 

information to parties about case-processing timelines. For example, starting in 2019, the 

Authority began measuring case age starting from the date that the case is filed until the date that

a decision is issued. In addition, the Agency began reporting “average ages” of closed cases 

within all FLRA components and offices, which will provide the parties with the average amount 

of time that it takes to process each case type. Making all of this information available to the 

parties will help them reach better, more informed decisions regarding their litigation options. It 

also provides them with more realistic expectations around case processing.

FLRA also provides valuable education and training tools to the Federal labor-managementrelations community in all aspects of its case law and processes. Providing meaningful and clear 

guidance on statutory rights and responsibilities so that its customers are knowledgeable furthers 

timely and efficient case processing and is an important function of FLRA under the Statute. 

FLRA delivers its educational materials through a variety of means, such as: in-person training 

sessions; web-based training modules; and case outlines, manuals, and subject-matter guides that 

are easily accessible on www.flra.gov. 

In 2019, FLRA, as a whole, provided over 95 training sessions to nearly 5,000 participants. The 

Authority, the OGC, and the FSIP provided in-person case-law updates and training at several 

nationwide, annual conferences. These sessions included presentations of newly prepared 

materials of current relevance, as well as updated materials for more standard sessions. The 

OGC consistently provided statutory training courses across the country.

However, these numbers are significantly lower than in prior years. For example, in 2016 and 

2017, FLRA conducted 280 and 273 training, outreach, and facilitation activities, respectively. 

In 2018, FLRA conducted only 124. Due to staffing challenges, the Authority limited its 

external training offerings in 2019 to ensure that all available staff was working to process cases. 

Similarly, the number of participants reached through these activities has decreased from over 

8,000 in 2015 through 2017 to 4,289 in 2018, but increased to 4,807 in 2019. In 2020, FLRA 

plans to increase customer engagement by, among other things, offering more training sessions 

to parties appearing before the Authority and reaching more participants through newlydeveloped online training and greater use of social media. 

Many of the trainings FLRA provided in 2019 were “Case Law Updates,” to provide training on 

topics where the case law has been changing. For example, the Authority presented training on 

management rights and procedural arbitrability. During 2019, the Authority also began 

publishing case-summary “digests” to provide additional, easy-to-understand guidance to its 

customers.

In addition, due to budget uncertainty, the OGC scaled back its provision of training that 

required FLRA-funded travel. Consistent with the 2018-2022 Strategic Plan, FLRA is 
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developing creative ways to provide educational material in new, innovative, and more costeffective ways that allow for wider reach and less travel. In 2020 and 2021, FLRA will develop 

training videos that anyone can easily access from the Agency website. FLRA is also exploring 

options to live stream training sessions. Moreover, the Authority and the OGC will continue to 

update online educational tools, including guides and manuals. 

In order to serve its customers and fulfill its statutory obligation to expedite negotiability appeals 

to the extent practicable, the Authority signed a memorandum of understanding (MOU) with the 

Federal Mediation and Conciliation Service (FMCS) creating a new pilot procedure for resolving 

negotiability appeals at no cost to the parties. Under its terms, FMCS developed a unique cadre 

of mediators, who received specialized training from the Authority, to assist the parties in the 

resolution of negotiability appeals through mediation. Under the pilot program, before a 

negotiability appeal is considered by the Authority’s Members for a decision, the Authority may 

refer such appeals to FMCS, either on the Authority’s own initiative or based upon a request 

from the parties. The negotiability-appeal-mediation procedure is expected to take between 30 

and 60 days. 

Strategic Goal 3 – We will manage our resources effectively and efficiently, and recognize that 

our dedicated workforce is critical to the prevention and resolution of labor-relations disputes

Information Technology Modernization

Consistent with the President’s Management Agenda (PMA) Cross-Agency Priority Goal 1, 

Modernize IT to Increase Productivity and Security, and the Agency’s strategic plan, FLRA 

continued its ongoing efforts to expand its IT capabilities to enhance mission performance by 

improving the quality and effectiveness of its internal- and external-customer-facing services –

including increased use of cloud-based solutions, such as email, Case Management, and 

Document Management. 

In 2019, FLRA continued to execute its multi-year, four-phase plan to achieve its long-term goal 

of implementing end-to-end electronic case files throughout the Agency and complying with 

OMB mandates. 

1. Phase 1 was implementation of upgraded eFiling 3.0. Addressing customer feedback, 

and after refining its approach, the Agency launched a more user-friendly and intuitive 

user interface that is built on a new, cloud-based technical platform that will better 

support the Agency’s long-term needs. This was completed in 2018.

2. Phase 2 is to provide a similar, more user-friendly and intuitive user interface for the 

Agency’s internal electronic Case Management System (CMS). Phase 2 also includes 

implementation of an Agency-wide Document Management System (DMS) – an 

electronic, cloud-based “filing cabinet” that provides a framework for organizing digital 

and paper documents. The DMS also provides the necessary storage capacity and IT 

platform for the eventual integration of eFiling, CMS, and DMS. The Agency has 

already implemented the DMS, and in 2019 initiated the first pilot of the CMS with the 

Authority component. The Agency expects to complete development for the Office of 
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General Counsel in 2020 and to fully implement the new CMS across all components by 

the end of calendar-year 2021. 

3. Phase 3 is the integration of the automated connection between eFiling, CMS, and DMS, 

which is currently underway, with completion anticipated by the end of 2021.

4. Phase 4 is the transition to 100 percent electronic case files throughout the Agency, with 

a goal of September 30, 2022, for completion. Also, in 2019 the Agency continued to 

maintain its lifecycle for Agency computer hardware, completing an Agency refresh of 

all laptops and specific data center hardware.

The Agency has relied on an agile development approach, both in how the systems are developed 

and with how the project is funded. As such, timelines associated with the four-phase plan have 

shifted over time, but the Agency still remains within target, and its overall costs are well below 

industry standards for similar undertakings. Further, despite the evolving nature of the approach, 

the goal and the results have remained the same: implementation of fully electronic case files 

throughout the Agency to enable FLRA to increase its overall efficiency and effectiveness. 

Successful achievement of this goal will enable implementation of additional external and 

internal case-processing improvements that will further maximize the use of technology and 

eliminate many of the labor-intensive, manual case processes that are currently in place. These 

case-processing improvements include: reducing the time and expense that FLRA staff spends 

copying, scanning, mailing, and entering data; eliminating outdated facsimile service; reducing 

U.S. Mail costs by implementing electronic service of case-related documents by FLRA on the 

parties; reducing or eliminating Fed Ex costs for transferring paper case files between FLRA 

components; implementing a pilot program that would mandate FLRA parties to file all 

case-related documents electronically, and eventually mandating eFiling for all FLRA case 

filings. The greatest benefit will be the ability to redirect staff hours currently used to perform 

manual administrative tasks to perform other mission-critical functions.

In addition, FLRA continues to embrace its “cloud-first” approach. All of the Agency’s major 

technical components – email, DMS, CMS, and eFiling – are hosted in the cloud. FLRA is 

planning to move its Video Teleconferencing (VTC) system to the cloud in 2020 and Voice over 

Internet Protocol (VoIP) in 2021. 

People: Developing A Workforce for the 21st Century

The mission accomplishments cited above are particularly noteworthy because, in 2019, FLRA 

has operated with as many as 16 vacant positions – well below its estimated 125 FTEs. 

In order to improve performance management, the Agency is currently working with the Office 

of Personnel Management’s (OPM) to implement the USA Performance automated performancemanagement system in 2020. Automating the performance-management process using a tool 

that is compliant with all Federal performance-management regulations and OPM 

recommendations will assist Agency managers – and the Agency as a whole – in increasing 

performance accountability. FLRA also completed a review of its performance-management 
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systems and individual employee performance plans for alignment with the Strategic Plan, and 

Agency leadership is evaluating recommended revisions of performance plans to pilot in 2020. 

OPM’s Federal Employee Viewpoint Survey (FEVS) provides employees an opportunity to 

influence change by submitting feedback about their work environment, Agency leadership, and 

other important factors affecting morale and employee satisfaction. As in 2018, in 2019, the 

FLRA FEVS responses declined for certain measures and improved in others. 

In response to the 2018 FEVS feedback, the Agency has enhanced its efforts to actively engage 

employees at all levels in Agency processes and to seek their opinions. For example, building on 

the Agency’s efforts in 2018 to develop an employee-driven 2018-2022 Strategic Plan, FLRA 

launched several internal Strategic Plan Implementation Teams, which have operated throughout 

2019. The teams, each of which includes both managers and non-managers, are:

(1) Professional Development Team

(2) Performance Communication Teams (Authority, OGC and Non-Attorney)

(3) Customer Engagement Team

(4) Digests Team

(5) Employee Engagement Team

(6) Diversity and Inclusion Team

The employee-led teams have focused on a variety of issues including revisions to performance 

plans for critical positions, expansion of customer engagement, and improvements to 

professional development opportunities. These employee-led teams have recommended, for 

example, new performance standards for the majority of positions in the Agency, completion of 

individual development plans by employees to identify their training needs, purchasing of online 

legal and professional educational training, and production of educational video clips to be made 

available on the website. Many of the teams’ recommendations have been accepted and will be 

implemented in 2020. This process has allowed employees to be engaged in the stewardship of 

the Agency and to offer innovative and creative solutions to problems they see in the workplace 

or its processes. 
15

ANNUAL PERFORMANCE GOALS, MEASURES,

AND RESULTS

Strategic Goal 1: We will ensure quality, timely, impartial, and consistent 

investigative and decision-making processes with determinations that are clearly 

articulated.

This strategic goal concerns the core statutory activities of FLRA. The Statute charges FLRA 

with responsibility for protecting rights and facilitating stable labor-management relationships in 

the federal sector. To achieve that mandate, FLRA must provide the Federal labor-management 

community with quality, timely, impartial, and consistent investigations and determinations. 

Further, FLRA must convey those determinations clearly and enforce them effectively. All 

FLRA components must help to achieve this goal in order to attain overall Agency success.

Strategic Objective 1a: Establish and attempt to surpass (1) case-processing productivity 

goals, and (2) timeliness measures that are meaningful to the parties.

Parties often have time-sensitive interests at stake in matters pending before FLRA. Delays in 

the resolution of those matters can impede the ability of the parties to fulfill their missions 

effectively and efficiently. So, to properly serve the Federal labor-management community and 

accomplish FLRA’s own mission, the Agency must satisfy internal case-processing productivity 

goals that enable it to investigate and resolve cases in a timely fashion.

Parties are best served when they have a clear understanding of how long it might take FLRA to 

process cases. Therefore, in 2019, FLRA set its standards for timeliness in a way that gives 

parties a reasonable expectation as to the duration of the FLRA determination process. This 

requires the use of simple, straightforward metrics for understanding how long it might take to 

resolve a given matter before the Agency. The measurement is from date of filing rather than 

date of assignment to a Member’s Office for decision.
16

Authority

Arbitration Cases 2015 2016 2017 2018 2019

Cases pending, start of year 90 50 42 73 73

Exceptions filed (Intake) 99 87 103 105 135

Total caseload 189 137 145 178 208

Cases closed procedurally 15 20 16 11 15

Cases closed based on merits 124 75 56 94 72

Total cases closed (Output) 139 95 72 105 87

Cases pending, end of year 50 42 73 73 121

Measure 1a-1 – New Measure 2019

The average age of arbitration exceptions decided by 

the Authority. Target Actual Result

247 days 261 days Not Met

Measure 1a-2 – New Measure 2019

The percentage of arbitration cases decided by the 

Authority within 210 days of the filing of exceptions.

Target Actual Result

75% 37%

32/87 Not Met

Measure 1a-3 – New Measure 2019

The percentage of arbitration exceptions decided by 

the Authority within 365 days of the filing of 

exceptions.

Target Actual Result

90% 84%

73/87 Not Met
17

Authority

Negotiability Cases 2015 2016 2017 2018 2019

Cases pending, start of year 17 23 27 11 23

Petitions filed (Intake) 54 55 40 43 30

Total caseload 71 78 67 54 53

Cases closed procedurally 40 47 52 25 30

Cases closed based on merits 8 4 4 6 6

Total cases closed (Output) 48 51 56 31 36

Cases pending, end of year 23 27 11 23 17

Measure 1a-4 – New Measure 2019

The average age of negotiability cases decided by the 

Authority.

Target Actual Result

119 days 169 Not Met

Measure 1a-5 – New Measure 2019

The percentage of negotiability cases decided by the 

Authority within 300 days of the filing of a petition 

for review.

Target Actual Result

75% 83%

30/36 Met

Measure 1a-6 – New Measure 2019

The percentage of negotiability cases decided by the 

Authority within 365 days of the filing of a petition 

for review.

Target Actual Result

75% 92%

33/36 Met
18

OALJ

ULP Cases 2015 2016 2017 2018 2019

Cases pending, start of year 104 60 52 49 0

Complaints received (Intake) 222 179 197 44 0

Total caseload 326 239 249 93 0

Settlements before hearing 188 136 176 66 1

Cases closed by decision 78 51 24 27 1

Total cases closed (Output) 266 187 200 93 2

Cases pending, end of year 60 52 49 0 0

Measure 1a-7 – New Measure 2019

The average age of ULP complaints decided by the 

OALJ.

Target Actual Result

124 days 90 days Exceeded

Measure 1a-8 2019

The percentage of ULP complaints issued by the 

General Counsel resolved or decided in the OALJ 

within 180 days of the complaint being issued.

Target Actual Result

80% N/A N/A

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

77%

205/266

80%

150/187

93%

186/200

77%

72/93

Measure 1a-9 2019

The percentage of ULP complaints issued by the 

General Counsel decided in the OALJ within 365 days 

of the complaint being issued.

Target Actual Result

95% N/A N/A

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

93% 89%

166/187

97%

196/200

90%

84/93
19

Authority

ULP Cases 2015 2016 2017 2018 2019

Cases pending, start of year 13 24 9 8 10

Cases filed (Intake) 62 45 23 19 4

Total caseload 75 69 32 27 14

Cases closed procedurally 37 51 22 9 1

Cases closed based on merits 14 9 2 8 7

Total cases closed (Output) 51 60 24 17 8

Cases pending, end of year 24 9 8 10 6

Measure 1a-10 – New Measure 2019

The average age of ULP exceptions decided by the

Authority. Target Actual Result

165 days 238 days Not Met

Measure 1a-11 – New Measure 2019

The percentage of ULP cases decided by the Authority 

within 300 days of issuance of an OALJ decision.

Target Actual Result

75% 75%

6/8

Met

Measure 1a-12 – New Measure 2019

The percentage of ULP cases decided by the Authority 

within 365 days of issuance of an OALJ decision.

Target Actual Result

90% 88%

7/8 Not Met
20

Authority

Representation Cases 2015 2016 2017 2018 2019

Cases pending, start of year 7 2 0 6 5

Applications for review (Intake) 16 6 12 6 5

Total caseload 23 8 12 12 10

Cases closed procedurally 2 0 1 0 1

Cases closed based on merits 19 8 5 7 7

Total cases closed (Output) 21 8 6 7 8

Cases pending, end of year 2 0 6 5 2

Measure 1a-13 – New Measure 2019

The average age of representation cases decided by 

the Authority. Target Actual Result

107 days 194 days Not Met

Measure 1a-14 – New Measure 2019

The percentage of representation cases decided by the 

Authority within 210 days of the filing of an 

application for review.

Target Actual Result

75% 75%

6/8 Met

Measure 1a-15 – New Measure 2019

The percentage of representation cases decided by the 

Authority within 365 days of the filing of an 

application for review.

Target Actual Result

95% 88%

7/8 Not Met
21

OGC

ULP Cases 2015 2016 2017 2018 2019

Cases pending, start of year 1,425 1,178 1,133 882 682

Charges filed (Intake) 4,418 4,345 3,655 2,860 2,235

Total caseload 5,843 5,523 4,988 3,742 2,917

Charges withdrawn/settled 3,662 3,268 3,130 2,343 1,755

Charges dismissed 800 749 786 674 379

Complaints issued 203 173 190 43 0

Total cases closed (Output) 4,665 4,190 4,106 3,060 2,134

Cases pending, end of year 1,178 1,333 882 682 783

*The OGC was unable to issue decisions on appeals or issue complaints in the absence of a General 

Counsel after November 16, 2017. Those cases are currently held in abeyance. 

Measure 1a-16 – New Measure 2019

The average age of ULP charges resolved by the 

OGC.

Target Actual Result

99 days 68 days Exceeded

Measure 1a-17 2019

The percentage of ULP charges resolved by the 

Office of the General Counsel by complaint, 

withdrawal, dismissal, or settlement within 120 days 

of filing of the charge.

Target Actual Result

70% 88%

1,867/2,134 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

72%

3,373/4,665

71%

2,973/4,190

73%

2,984/4,106

88%

2,682/3,060

Measure 1a-18 2019

The percentage of ULP charges resolved by the OGC 

by complaint, withdrawal, dismissal, or settlement 

within 240 days of filing of the charge.

Target Actual Result

95% 99%

2,114/2,134 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

NA 95%

3,963/4190

95%

3,883/4,106

99%

3,039/3,060
22

OGC

ULP Appeals 2015 2016 2017 2018 2019

Appeals pending, start of year 34 33 26 22 181

Appeals filed (Intake) 220 238 192 180 122

Total caseload 254 271 218 202 303

Appeals closed (Output) 221 245 196 21* 0*

Appeals pending, end of year 33 26 22 181 303

*The OGC was unable to issue decisions on appeals in the absence of a General Counsel after 

November 16, 2017. Those cases are currently held in abeyance. 

Measure 1a-19 – New Measure 2019

The average age of ULP appeals decided by the 

General Counsel. Target Actual Result

45 days N/A N/A

Measure 1a-20 2019

The percentage of decisions on an appeal of a 

Regional Director’s dismissal of a ULP charge issued 

by the General Counsel within 60 days of the date 

filed.

Target Actual Result

95% N/A N/A

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

98%

217/221

100%

245/245

96%

188/196

100%

21/21

Measure 1a-21 2019

The percentage of decisions on an appeal of a 

Regional Director’s dismissal of a ULP charge issued 

by the General Counsel within 120 days of the date 

filed.

Target Actual Result

100% N/A N/A

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

100%

221/221

100%

245/245

100%

196/196

100%

21/21
23

OGC

Representation Cases 2015 2016 2017 2018 2019

Cases pending, start of year 65 70 112 58 64

Petitions filed (Intake) 225 265 208 245 249

Total caseload 290 335 320 303 313

Petitions withdrawn 95 112 130 110 126

Cases closed based on merits 125 111 132 129 140

Total cases closed (Output) 220 223 262 239 266

Cases pending, end of year 70 112 58 64 47

Measure 1a-22 – New Measure 2019

The average age of representation cases resolved by 

the OGC through withdrawal, election, or issuance of 

a Decision and Order.

Target Actual Result

114 days 92 days Exceeded

Measure 1a-23 2019

The percentage of representation cases resolved by the 

OGC through withdrawal, election, or issuance of a 

Decision and Order within 120 days of the filing of a 

petition.

Target Actual Result

70% 77%

205/266 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

72%

158/220

73%

163/223

68%

179/262

82%

195/239

Measure 1a-24 2019

The percentage of cases resolved by the OGC through 

withdrawal, election, or issuance of a Decision and 

Order within 365 days of the filing of a petition.

Target Actual Result

95% 99%

259/266 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

NA 98%

219/223

95%

250/262

100%

236/239
24

FSIP

Impasses 2015 2016 2017 2018 2019

Cases pending, start of year 28 33 42 17 23

Impasses filed (Intake) 139 143 97 92 77

Total caseload 167 176 139 109 100

Panel Decision 15 24 12 21 24

Panel declined jurisdiction 17 9 23 11 11

Settled with Panel assistance 25 22 25 7 15

Voluntarily withdrawn 77 79 62 47 22

Cases closed total (Output) 134 134 122 86 72

Cases pending, end of year 33 42 17 23 28

Measure 1a-26 – New Measure 2019

The average age of bargaining-impasse cases in which 

the FSIP declines jurisdiction. Target Actual Result

90 days 95 Not Met

Measure 1a-27 2019

The percentage of bargaining-impasse cases in which 

the FSIP declines jurisdiction within 140 days of the 

date filed.

Target Actual Result

90% 90%

10/11 Met

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

100%

17/17

100%

9/9

95%

21/22

100%

11/11

Measure 1a-28 2019

The percentage of bargaining-impasse cases that are 

voluntarily settled, after the FSIP asserts jurisdiction, 

within 160 days of the date filed.

Target Actual Result

90% 100%

15/15 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

84%

21/25

100%

22/22

92%

22/24

86%

6/7
25

Measure 1a-29 – New Measure 2019

The average age of bargaining-impasse cases that the 

FSIP resolves through final action. Target Actual Result

146 days 140 Exceeded

Measure 1a-30 2019

The percentage of bargaining-impasse cases that the 

FSIP resolves through final action that are closed 

within 200 days of the date filed.

Target Actual Result

80% 100%

24/24 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

100%

15/15

88%

21/24

77%

9/12

100%

21/21

Strategic Objective 1b: Ensure excellence in investigations and clearly articulated written 

work products by establishing and attempting to surpass case-processing quality goals that 

build upon the Agency’s longstanding traditions of impartiality and consistent determinations 

that are clearly articulated.

Excelling at FLRA’s core functions requires the Agency to perform thorough investigations and 

produce clearly articulated written products. From informal communications, to FLRA 

determinations, to information on the FLRA website, FLRA’s written work is one of the primary 

means by which the Agency communicates with parties and the federal labor-management 

community. 

FLRA’s ability to achieve its mission depends on its ability to issue impartial and consistent 

determinations that are clearly articulated. Even the appearance of partiality can cause parties to 

lose trust in the FLRA’s determinations, and ultimately, in FLRA as an institution. 
26

PERFORMANCE GOAL 1b-1: CONDUCT HIGH-QUALITY INVESTIGATIONS AND 

PRODUCE HIGH-QUALITY WRITTEN WORK PRODUCTS

Measure 1b-1: Establish and surpass case-processing quality goals.

2019 Target Result

▪ Develop and pilot use of internal tool(s) 

throughout the Agency to establish caseprocessing quality goals (e.g., qualityassessment checklist)

▪ Solicit feedback on and assess the 

effectiveness of pilot internal tool(s) to 

measure quality.

▪ Make necessary adjustments to make new 

internal tool(s) more effective.

▪ Formally implement use of new internal 

tool(s) in order to surpass established caseprocessing quality goals.

▪ Develop and administer internal survey(s) to 

assess baseline case-processing quality.

Developed internal tools to establish agency case 

quality goals and identify areas where 

improvement is needed, to be used in 

conjunction with performance reviews.
27

PERFORMANCE GOAL 1b-2: IMPLEMENT EFFECTIVE METHODS TO MAINTAIN 

AND IMPROVE THE QUALITY OF FLRA INVESTIGATIONS AND WRITTEN

WORK PRODUCTS, INCLUDING FLRA STAFF TRAINING AND INTERNAL 

EDUCATION RESOURCES

Measure 1b-2: Train FLRA staff and provide internal educational resources to improve the 

quality of investigations and written work products.

2019 Target Result

▪ Develop internal training programs and other 

educational tools Agency-wide in order to 

improve the quality of investigations and 

written work products (e.g., componentspecific mentoring programs, Agency-wide 

or component-specific brown bag sessions, 

Agency-wide dissemination of decisions and 

other relevant legal opinions). 

▪ Develop and administer internal surveys or 

other measures to assess the effectiveness of 

pilot internal training programs and 

educational tools.

▪ Make necessary adjustments to make internal 

training programs more effective.

▪ Formally implement those internal training 

programs and educational tools that are 

deemed effective in order to improve the 

quality of investigations and written work 

products. 

▪ Developed and instituted Agency-wide 

informal training program using brown bag 

sessions.

▪ Developed and administered internal survey on 

training.

▪ Encouraged employees to increase awareness 

of Authority decisions by using electronic 

distribution tool for Agency-wide 

dissemination of decisions.

▪ Implemented Individual Development Plans for 

each staff member to identify training needs.

PERFORMANCE GOAL 1b-3: ENSURE EXTERNAL STAKEHOLDER CONFIDENCE 

IN FLRA’S ABILITIES.

Measure 1b-3: Customer perceptions about FLRA’s impartiality.

2019 Target Result

▪ Develop and administer an external survey(s) 

to assess the parties’ perceptions of FLRA’s 

impartiality. 

▪ Developed a survey to assess parties’ 

perceptions of FLRA’s impartiality.
28

Strategic Goal 2: We will develop and provide tools and resources to enable the 

parties to prevent or more effectively and efficiently resolve their labor-relations 

disputes and improve their labor-management relationships.

FLRA is specifically empowered and obligated to “provide leadership in establishing policies 

and guidance” related to matters arising under the Statute. 5 U.S.C. § 7105(a)(1). Educating 

parties regarding statutory obligations promotes FLRA’s mission of protecting rights and 

facilitating stable labor-management relationships while advancing an effective and efficient 

Government. FLRA accomplishes this goal first through its written determinations and by 

providing parties with quality educational resources through FLRA’s website; by identifying, 

and offering targeted assistance to, parties with significant labor-management challenges; and by 

offering external training to Federal agencies and labor organizations regarding their rights and 

obligations under the Statute.

Strategic Objective 2a: Maintain and expand educational resources on www.flra.gov. 

Offering high-quality educational resources through FLRA’s website is a key component of 

promoting stability in the Federal labor-management community. Parties who are better 

informed about their rights and obligations under the Statute are less likely to pursue frivolous 

matters or defenses, and they are more likely to approach their labor-management relations in a 

manner that is consistent with the Statute.

The Agency will continue to explore ways to supplement and enhance the educational resources 

on its website, such as expanding parties’ access to statutory and other training, online training 

modules, and short animated training videos. 

Performance Goal 2a-1: Routinely review and update educational resources on the FLRA 

website.

Performance Goal 2a-2: Develop a growing library of online training modules on the FLRA 

website.

Performance Goal 2a-3: Develop and maintain case digests of new Authority decisions on 

the FLRA website.
29

Measure 2a: Expand the relevancy, currency, and reach of educational tools.

2019 Target Result

▪ Update at least 3 guides or manuals Agencywide.

▪ Establish a mechanism to live stream 

trainings online or offer pre-recorded 

trainings on the www.flra.gov website. 

▪ Offer at least 5 training sessions online 

Agency-wide.

▪ Begin publishing case digest summaries for 

all Authority decisions. OGC and FSIP to 

evaluate doing the same for their decisions. 

▪ Began publishing digests on a quarterly basis.

▪ Acquired animation software to begin 

developing short animated training videos.

▪ Piloted desktop video teleconferencing to 

expand capabilities for providing interactive 

external training online.

▪ Developed 5 pre-recorded training modules in 

preparation for posting.

▪ Updated OGC Unfair Labor Practice Case Law 

Outline.

Strategic Objective 2b: Identify and offer targeted assistance to parties with significant labormanagement challenges.

In situations where parties experience labor-management challenges, targeted assistance can 

promote stable labor-management relationships by educating the parties regarding their statutory 

rights and obligations. It can also promote effective and efficient Government by assisting 

parties in addressing their disputes without necessarily resorting to formal filings. 

As part of the Agency’s strategic commitment to develop and provide tools and resources to 

enable the parties to prevent or more effectively and efficiently resolve their labor-relations 

disputes and improve their labor-management relationships, the Authority signed an MOU with 

the FMCS creating a new pilot procedure for resolving negotiability appeals at no cost to the 

parties. Under its terms, the Authority trained a unique cadre of FMCS mediators so that they 

may assist the parties in the resolution of negotiability appeals through mediation. Under the 

pilot program, before a negotiability appeal is considered by the Authority’s Members for a 

decision, the Authority may refer such appeals to FMCS, either on the Authority’s own initiative 

or based upon a request from the parties. The negotiability-appeal-mediation procedure is 

expected to take between 30 and 60 days. The Authority anticipates that this will reduce caseprocessing time in negotiability appeals as well as provide opportunities for parties to 

expeditiously resolve appropriate negotiability disputes without the need for a formal Authority 

decision. 

Additional targeted assistance may take various forms, including offering training to parties on 

particular topics that have given rise to frequent ULP charges, negotiability disputes, or 

arbitration exceptions. Other types of assistance might be most appropriate for parties 

experiencing broader labor-management challenges. For parties involved in complex 

representational matters, targeted assistance can include conducting conferences with the parties 

to assist them in identifying and, if feasible, resolving relevant issues.

For example, OGC conducted 72 training sessions to more than 25 federal agencies and labor 

organizations in 2019. These sessions were requested by the organizations based on their 
30

perceived needs in the Federal labor-management relations area. FLRA staff tailored each 

session to meet the individualized needs of the particular group and received consistent positive 

feedback from the participants. The targeted training sessions focused on a range of issues, 

including unfair labor practices and representation matters.

Performance Goal 2b-1: Identify and evaluate parties with significant labor-management 

challenges.

Performance Goal 2b-2: Refer appropriate parties to suitable resources.

Performance Goal 2b-3: Implement highly effective targeted assistance programs and 

associated materials.

Measure 2b: Develop and implement a highly effective, totally voluntary targeted assistance 

program and related procedures.

2019 Target Result

▪ Develop the criteria for identifying parties 

with significant labor-management 

challenges.

▪ Develop procedures for offering targeted 

assistance to identified parties or referring 

such parties to appropriate resources.

▪ Pilot a targeted-assistance program. 

▪ Identify metrics for evaluating the program’s 

success. 

▪ Formally implement a targeted-assistance 

program with appropriately ambitious 

measures to assess its effectiveness. 

▪ Collaborated with FMCS on a pilot program 

for mediation of appropriate negotiability 

disputes.

▪ Addressed specific requests of parties for 

targeted training.

Strategic Objective 2c: Maintain and expand our external training programs to enable the 

parties to better understand their rights and obligations under the Statute. 

Agency components have traditionally provided training on statutory principles governing ULPs, 

representational issues, negotiability disputes, and arbitration exceptions. Providing such 

external training to federal agencies and labor organizations regarding their rights and 

obligations under the Statute directly promotes FLRA’s mission of protecting rights and 

facilitating stable labor-management relationships while advancing an effective and efficient 

government. For this reason, it is essential that FLRA maintain and, where possible, expand 

these external training programs.
31

Performance Goal 2c-1: Exceed an annual target number of highly rated in-person training 

programs for a target number of participants concerning the full range of statutory matters.

Performance Goal 2c-2: Find additional ways to deliver real-time and pre-recorded external 

trainings that have been successfully developed and implemented utilizing appropriate 

technology and participant-friendly best practices. 

Performance Goal 2c-3: Exceed an annual target number of highly rated training programs 

for a target number of participants regarding procedures for filing and processing FLRA cases.

Measure 2c-1 2019

The number of in-person statutory training programs 

delivered.

Target Actual Result

50 95 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

280 273 100

Measure 2c-2 2019

The number of participants who receive in-person 

statutory training.

Target Actual Result

2,500 4807 Exceeded

Previous Years Data (Actual)

FY 2015 FY 2016 FY 2017 FY 2018

8,440 8,122 2,574

Measure 2c-3 2019

The percentage of participants who highly rate the 

statutory training that they received.

Target Actual Result

Develop 

evaluations

In 

Development N/A

Measure 2c-4 2019

The number of training programs delivered regarding 

procedures for filing and processing FLRA cases.

Target Actual Result

40 72 Exceeded
32

Measure 2c-5 2019

The number of participants who receive training 

regarding procedures for filing and processing FLRA 

cases.

Target Actual Result

2,000 3,082 Exceeded

Measure 2c-6 2019

The percentage of participants who highly rate the 

training that they received regarding procedures for 

filing and processing FLRA cases.

Target Actual Result

Develop 

evaluations

In 

Development N/A

Measure 2c-7 2019

The number of real-time and pre-recorded online 

training programs developed and implemented.

Target Actual Result

5 5 Met

Measure 2c-8 2019

The percentage of participants who highly rate the 

real-time and pre-recorded online training that they 

received.

Target Actual Result

Develop 

evaluations

In 

Development N/A
33

Strategic Goal 3: We will manage our resources effectively and efficiently, and 

recognize that our dedicated workforce is critical to the resolution of laborrelations disputes.

FLRA honors the trust that the public has placed in it to use Agency resources wisely on behalf 

of the American taxpayer. Recognizing that trust, FLRA has always focused its resources on 

carrying out its mission. It will continue to do so. 

In 2019, FLRA provided high quality performance and service delivery. The Agency continued a 

commitment to empowering and developing a highly engaged and effective workforce. The 

success of FLRA employees is instrumental to its success as an Agency. The staff-driven 

Strategic Plan 2018-2022 created in 2018 demonstrates the spirit that FLRA actively manages in 

its human-capital programs.

FLRA continued to explore ways to manage its workforce effectively and efficiently. A key 

component of that commitment is to continue developing IT systems, with the goal of enabling 

FLRA employees to spend more time on mission-critical, substantive work. FLRA also 

reexamined its performance-management systems to ensure that they align with the goals in the 

Strategic Plan, that individual employee standards reflect organizational goals, and that the 

Agency appropriately recognizes employee achievements in support of these goals. Finally, 

FLRA continued to encourage employee growth, development, and innovation. 

Strategic Objective 3a: Ensure that FLRA’s performance-management systems are 

synchronized with and support the Agency’s strategic goals.

At the foundation of the Agency’s 2018-2022 Strategic Plan is FLRA’s renewed commitment to 

developing the most effective ways to evaluate Agency performance, as well as the contributions 

of the Agency’s components and individual employees. To do this, employee performancemanagement targets should be adapted to support Agency goals. This will help ensure that the 

evaluation of FLRA employees will include consideration of how well they assist the Agency to 

achieve its strategic and performance goals. 

Performance Goal 3a-1: FLRA employees perceive that the Agency’s performancemanagement systems, and their individual performance plans, directly align with achieving this 

strategic plan. 

Performance Goal 3a-2: FLRA employees have a clear understanding of how their individual 

achievement contributes to achievement of Agency priorities and successful implementation of 

FLRA strategic goals. 

Performance Goal 3a-3: FLRA employees perceive that their performance recognition and 

rewards are also directly linked to their contribution to the successful achievement of FLRA’s 

strategic goals.
34

Measure 3a-1: Align performance-management systems and individual performance plans with 

current Strategic Plan.

2019 Target Result

▪ Develop communications strategies, 

educational tools, and other materials to 

successfully implement the new systems. 

▪ Develop and administer an internal survey(s) 

to assess whether employees perceive that 

performance management systems (GS and 

SL/SES) and individual employee 

performance plans align with the Strategic 

Plan. 

▪ Evaluated Agency performance-management 

systems and individual employee performance 

plans for alignment with the Strategic Plan.

▪ Formed Strategic Implementation Teams for 

the three types of positions--(1) OGC 

Attorneys, (2) Non-OGC attorneys, (3) 

Non-Attorneys--and tasked those teams with 

offering recommended revisions to employees’ 

standards and elements. 

▪ Strategic Implementation Teams have provided 

Agency leadership with recommended 

revisions of performance plans to pilot in 2020.

Measure 3a-2: Employees understand how their individual performance contributes to overall 

Agency strategic goals.

2019 Target Result

Develop and administer an internal survey(s), 

or use existing survey instruments (e.g., 

FEVS), to assess whether FLRA employees 

understand how their individual achievements 

contribute to Agency priorities and successful 

implementation of FLRA strategic goals. 

(E.g., FEVS Question #12, “I know how my 

work relates to the agency’s goals and 

priorities”; FEVS Question #16, “I am held 

responsible for achieving results.”)

FLRA did not administer a separate survey, but 

relied on data provided through FEVS.
35

Measure 3a-3: Employees believe that there is alignment between the recognition and rewards 

that they receive and their individual contributions towards achieving the FLRA’s strategic goals.

2019 Target Result

Develop and administer an internal survey(s), 

or use existing survey instruments (e.g., 

FEVS), to assess whether employees believe 

that recognition and rewards relate to their 

contribution toward achievement of FLRA 

strategic goals. (E.g., FEVS Question #24, “In 

my work unit, differences in performance are 

recognized in a meaningful way”; FEVS 

Question #25, “Awards in my work unit 

depend on how well employees perform their 

jobs”; FEVS Question #32, “Creativity and 

innovation are rewarded.”)

FLRA did not administer a separate survey, but 

relied on data provided through FEVS.
36

Strategic Objective 3b: Continue to expand FLRA’s technological capabilities to enable 

employees to deliver mission results more effectively and efficiently.

FLRA’s IT systems have provided, and will continue to provide, a key means by which the 

FLRA will more effectively and efficiently deliver quality services and increase internal 

efficiencies. For example, the Agency has connected all FLRA components in ways that improve 

internal communication, and FLRA staff works more efficiently by using a cloud-based 

Document Management System that allows for simplified document management and internal 

collaboration. 

The Agency implemented a new and improved version of its eFiling system in 2018 that provides 

a more intuitive, user-friendly customer experience. This improved eFiling experience allows the 

parties to submit ULP, representation, arbitration, and negotiability filings in an electronic 

format. The Agency is currently using the same software and agile methodology to develop a 

more user-friendly electronic Case Management System. FLRA will integrate these three 

systems — document management, eFiling, and case management — to fully implement 

electronic case file capability throughout the Agency. 

Thereafter, as resources permit, FLRA continues to enhance and leverage these technological 

capabilities. Work has begun to fully implement electronic case files, to encourage the widest 

uses of eFiling and to serve FLRA-generated case documents on the parties electronically—

saving time, human-capital resources, and postage costs. 

Performance Goal 3b-1: Implement a new and improved FLRA electronic case-management 

system. Integrate the case-management system with FLRA document management and 

eFiling systems in order to fully implement electronic case file capability throughout the 

Agency.

Performance Goal 3b-2: FLRA employees and parties understand how to make the most 

effective use of FLRA’s electronic systems.

Performance Goal 3b-3: Enhance the positive impact of technological advancements on the 

customer experience.
37

2019

Measure 3b-1: Expand the use of eFiling.

Target Result

▪ 50% of cases eFiled Agency-wide.

▪ 10% increase in eFiling in each component –

the OGC, the Authority, and the FSIP.

▪Amend FLRA’s regulations to eliminate the 

use of facsimile service for case filings 

throughout the Agency. 

▪Agency-wide: 46%

▪Authority 80% eFiled

▪OGC 43% eFiled

▪ FSIP 78% eFiled

▪Authority and FSIP exceeded target of 10% 

increase

FY 2018 Actual 35% eFiled

FY 2017 Actual 35% eFiled

FY 2016 Actual 22% eFiled

2019

Measure 3b-2: Implement end-to-end electronic case files.

Target Result

Develop and fully implement the new and 

improved CMS in at least one FLRA 

component. 

Developed CMS for the Authority component. 

Developed electronic case file structure in the 

DMS and initial planning to automate creating 

the electronic folders from the CMS.

FY 2018 Actual

Developed and launched eFiling 3.0, which both internal and external 

users report is significantly more user-friendly and intuitive. Began 

development of a new and improved CMS that, over time, will 

provide significant ($100,000 annually) cost savings and allow for 

more efficient integration of the CMS and eFiling systems with the 

DMS, enabling end-to-end electronic case processing throughout the 

Agency. Identified the basic structure of electronic case files for each 

component/office in the DMS. Completed transition of all major IT 

functions – CMS, DMS, eMail – to the cloud, which improves both IT 

security, consistent with the PMA, and Agency continuity of 

operations plans.

FY 2017 Actual

Deployed an Agency-wide, cloud-based DMS, which replaced the 

existing network shares with an integrated document and email 

communications system that will facilitate document sharing and 

electronic case-processing initiatives. Adopted a new, more costeffective approach to achieving end-to-end electronic case files. 

Using agile methodology and open-source code, and responding to 

user feedback, completed initial development of a brand new, userfriendly eFiling application (eFiling 3.0) with a Ruby on Rails user 

interface and a Postgres backend database that is housed in Amazon 

Web Services – a cloud-based solution. The new application will be 

launched in 2018 once final testing and additional enhancements are 

completed. Began modernizing the infrastructure of the Agency’s 
38

electronic CMS and eFiling by transitioning to a new cloud-based, 

backend product – Postgres database housed in Amazon Web Services 

– that will allow for a more user friendly and complete integration of 

the CMS, the eFiling system, and the DMS. 

FY 2016 Actual

With the merger of the eFiling and Case Management System (CMS) 

applications complete, and the bridge between the two systems in 

place to support end-to-end electronic case-processing capability, 

enhanced the available features for the integration of the eFiling and 

CMS applications. eFiled cases are routinely automatically entered 

into the CMS. Neared completion of an improved eFiling user 

interface (eFiling 2.0) to make the application more user-friendly and 

intuitive. Began efforts to implement a Document Management 

System, which is a critical step in accomplishing FLRA’s multi-year 

electronic-case-file plan.

2019

Measure 3b-3: Internal and external customer perceptions of the eFiling System.

Target Result

▪ Develop a communications strategy for 

sharing with internal and external customers 

the benefits and advantages of eFiling (e.g., 

notice to go out with all Authority 

decisions). 

▪ Develop and administer internal and 

external survey tools to assess customer 

perceptions of the eFiling System. 

▪ Develop online, pop-up eFiling surveys that 

appear while users are logged into the 

eFiling System. 

▪ Received feedback from external users via the 

provided engagement email address. 

Implemented suggestions and replied to 

customer feedback.

▪ Developed and distributed notices to 

customers promoting the use of eFiling.
39

2019

Measure 3b-4: Assess how internal and external customers perceive the effectiveness of the 

Agency’s IT modernization efforts.

Target Result

▪ Develop and administer internal and 

external survey(s) to assess: (1) whether 

FLRA employees and customers know how 

to maximize available technology; and (2) 

how FLRA employees and customers 

perceive the effectiveness of the Agency’s 

IT modernization efforts. 

▪ Develop and implement appropriate 

communications to promote and enhance 

these efforts. 

▪ Developed and administered internal surveys 

to assess how FLRA employees perceive the 

effectiveness of the Agency’s IT 

modernization efforts, and the results are 

being evaluated. 
40

Strategic Objective 3c: Recruit, retain, and develop a diverse, respected workforce in an 

environment that fosters employee input and satisfaction and makes the best use of FLRA 

resources. 

FLRA’s charge to uphold and administer the Statute relies on its employees. Accordingly, 

FLRA’s success relies on the expertise and engagement of its workforce. A key component of 

attracting and retaining an effective workforce is creating a positive work environment in which 

employees see themselves as stakeholders and innovators. FLRA continued to assess the skills 

and professional education/training needs of its workforce, and seek new, cost-effective ways to 

cultivate employee development and commitment. FLRA provided opportunities for 

experienced employees to share their institutional knowledge by providing internal training and 

through other means. FLRA’s continued focus on human-capital development will help ensure 

continued mission accomplishment and leadership of the federal-sector labor-management 

relations program.

Performance Goal 3c-1: Internal and external survey respondents perceive that diverse and 

respected FLRA employees demonstrate expertise in federal-sector labor-management 

relations; minimal gaps exist in succession plans; and the Agency develops nontraditional 

resources for employee education and development.

Performance Goal 3c-2: The FLRA workforce expresses a stable and improving level of 

overall job satisfaction, as well as satisfaction with the manner in which internal problemsolving occurs. 

Performance Goal 3c-3: FLRA managers and employees perceive that the Agency 

appropriately uses telework and technology to promote employee efficiency and a healthy 

work-life balance. 
41

2019

Measure 3c-1: Recruit, retain, and develop a diverse, respected workforce. – New Measure

Target Result

▪ Review Agency performance-management 

systems and individual performance plans to 

ensure that they align directly with the 

2018-2022 Strategic Plan. 

▪ Conduct a comprehensive, Agency-wide 

position classification review to confirm that 

all Agency positions reflect the actual duties 

of the position. 

▪ Assess time-to-hire results for Agency 

positions by reviewing recruitment and 

staffing processes and procedures.

▪ Issue a revised Reasonable Accommodation 

Policy – including Personal Assistive 

Device policy – that is fully compliant with 

recent EEOC regulatory amendments and 

guidance. 

▪ Ensure compliance with Government-wide 

goals for Schedule A hiring. 

▪ Reviewed a portion of Agency performancemanagement systems and individual 

performance plans to ensure that they align 

directly with the 2018-2022 Strategic Plan. 

▪ Completed review of all position descriptions 

Agency-wide, to ensure that all Agency 

positions reflect the actual duties of the 

position.

▪ Issued a revised Reasonable Accommodation 

Policy – including Personal Assistive Device 

policy – that is fully compliant with recent 

EEOC regulatory amendments and guidance.

▪ Ensured compliance with Government-wide 

goals for Schedule A hiring.

▪ Expanded recruitment efforts to target persons 

with disabilities.

▪ Formed Diversity and Inclusion Team to 

develop programs to highlight and celebrate the 

diversity of Agency employees.
42

2019

Measure 3c-2: Maintain and grow Agency expertise through employee development.

Target Result

▪ Develop and implement use of 

nontraditional resources for employee 

education and development (e.g., 

component-specific mentoring programs, 

Agency-wide or component-specific brown 

bag sessions, Agency-wide dissemination of 

decisions and other relevant legal opinions). 

▪ Develop and administer survey(s) to solicit 

feedback on and assess the effectiveness of 

nontraditional resources for employee 

education and development.

▪ Maintain sustained growth of positive 

responses to FEVS Question #47 –

“Supervisors in my work unit support 

employee development. 

▪ Held 3 component specific brown bag sessions 

(Authority, FSIP, OALJ).

▪ Developed and administered surveys to solicit 

feedback on employee education and 

development.

▪ Provided promotional opportunities for 

internal agency staff prior to advertising key 

leadership positions externally.

FY 2018 Actual

▪ Offered cross-component details to provide employees with training 

and developmental experiences that will enhance their skills and 

increase their understanding of the Agency’s mission and 

operations. 

▪ Managers assessed annually employees on their developmental 

needs and provided appropriate training and developmental 

opportunities. 

▪ Maintained sustained growth of positive responses to the OPM 

FEVS question “supervisors in my work unit support employee 

development” (Q. 47). .

FY 2017 Actual

▪ Managers assessed employees’ developmental needs and provided 

at least one targeted developmental opportunity to each, many of 

those in-house (e.g., details, workgroups, and special projects).

▪ In the 2017 FEVS, had 55 identified strengths (items with 

65 percent or higher positive ratings) and no identified challenges 

(items with 35 percent or higher negative ratings). Continued to 

rank in the top ten among small agencies (those with 100-999 

employees) in two important indices – Employee Engagement and 

New IQ – with #6 and #5 rankings, respectively. 

▪ 78 percent of FLRA employees responded positively to the OPM 

FEVS question “supervisors in my work unit support employee 

development” (Q. 47), which is 5 percent above the small-agency 

score of 73 percent, and 10 percent above the Government-wide 

score of 68 percent.
43

2019

Measure 3c-3: Internal and external perceptions about the workforce. – New Measure

Target Result

▪ Develop and administer an internal

survey(s), or use existing survey instruments 

(e.g., FEVS), to assess whether employees 

believe that FLRA employees: are diverse, 

are respected, and demonstrate expertise in 

Federal sector labor-management relations 

(e.g., FEVS FEVS Question #29 – “The 

workforce has the job-relevant knowledge 

and skills necessary to accomplish 

organizational goals.”) 

▪ Develop and administer an external

survey(s) to assess whether external 

respondents perceive that FLRA employees: 

are diverse, are respected, and demonstrate 

expertise in Federal sector labormanagement relations. 

▪ FLRA did not administer a separate survey, 

but relied on data provided through FEVS.

2019

Measure 3c-4: Internal perceptions about succession plans. – New Measure

Target Result

▪ Develop and administer an internal 

survey(s), or use existing survey instruments 

(e.g., FEVS), to assess whether employees 

believe that minimal gaps exist in 

succession planning (e.g., FEVS Question 

#68 – “How satisfied are you with your 

opportunity to get a better job in your 

organization?”). 

▪ FLRA did not administer a separate survey, 

but relied on data provided through FEVS.
44

2019

Measure 3c-5: Overall employee job satisfaction. – New Measure

Target Result

▪ Develop and administer an internal 

survey(s), or use existing survey instruments 

(e.g., FEVS), to assess whether employees 

believe that FLRA employees: are diverse, 

are respected, and demonstrate expertise in 

Federal sector labor-management relations 

(e.g., FEVS Global Satisfaction Index; 

FEVS Question #69 – “Considering 

everything, how satisfied are you with your 

job?”)

▪ FLRA formed an employee engagement Team 

and began conducting focus groups with all 

employees to better understand all aspects of 

job satisfaction.

▪ FLRA will continue to rely on data provided

through FEVS.

2019

Measure 3c-6: Internal satisfaction with the manner in which internal problem-solving occurs. –

New Measure

Target Result

▪ Develop and administer an internal 

survey(s), or use existing survey instruments 

(e.g., FEVS), to assess employee 

satisfaction with internal problem-solving 

practices.

▪ FLRA did not administer a separate survey, 

but relied on data provided through FEVS.

2019

Measure 3c-7: Internal perceptions about use of technology to promote employee efficiency and 

work-life balance. – New Measure

Target Result

▪ Develop and administer an internal 

survey(s), or use existing survey instruments 

(e.g., FEVS), to assess internal perceptions 

about the use of technology to promote 

efficiency and work-life balance (e.g., FEVS 

Question #42 – “My supervisor supports my 

need to balance work and other life issues.”)

▪ FLRA did not administer a separate survey, 

but relied on data provided through FEVS.

Verification and Validation of Performance Data

The CMS is used by FLRA offices to track and manage caseload. Each office enters information 

on case filings into the CMS, and is accountable for quality control of the data entered into the 

system. Case-performance data verification and validation was performed using information 

from the CMS. 
45

INSPECTOR GENERAL: TOP MANAGEMENT 

AND PERFORMANCE CHALLENGES FOR 

FISCAL YEAR 2020
46

 MEMORANDUM

DATE: October 28, 2019

TO: Colleen Duffy Kiko

Chairman

Ernest DuBester

Member

James Abbott

Member

FROM: Dana Rooney

Inspector General

SUBJECT: Top Management and Performance Challenges for Fiscal Year 2020 (MC-20-01)

Each Inspector General (IG) is required by law, the Reports Consolidation Act of 2000, to 

provide the Agency head with a statement that summarizes the “most serious management and 

performance challenges facing the Agency” and to assess the Agency’s progress in addressing 

those challenges. The law states that the “Agency head may comment on the IG’s statement, but 

may not modify the statement.” By statute this statement should be included in the Federal 

Labor Relations Authority’s (FLRA) “Performance and Accountability Report” (PAR).

The FLRA Office of Inspector General’s (OIG) statement is based on specific OIG reviews and 

other reports, as well as our general knowledge of the FLRA programs and operations. Our 

analysis considers the accomplishments the FLRA reported as of September 5, 2019. 

Accordingly, the attached document describes the most serious management and performance 

challenges facing the FLRA along with a brief assessment and management’s progress in 

addressing them. These ongoing challenges include: information technology security; and 

records management.

The above challenges were also noted in the Agency’s Fiscal Year (FY) 2018 PAR. FLRA has 

made substantial progress in addressing these challenges as further described in the attachment. 

Further, management has taken sufficient action to effectively mitigate the Closure of Open 

Recommendations Outstanding for More than 1 Year identified challenge that was reported in 

the FY 2018 PAR. We appreciate management’s strong commitment in addressing these 

challenges and welcome comments to our assessment.

Attachment

INSPECTOR GENERAL

UNITED STATES OF AMERICA

FEDERAL LABOR RELATIONS AUTHORITY

WASHINGTON, D.C. 20424-0001
 Office of Inspector General

Federal Labor Relations Authority

Top Management and Performance Challenges Facing the FLRA 47 | P a g e

Information Technology Security 

The Federal Information Security Modernization Act of 2014 (FISMA) requires the Authority to 

develop, document, and implement an information security program to protect its information 

systems and data. The Federal Labor Relations Authority (FLRA) depends on information 

systems to function, and the security of these systems is vital. These systems are always at risk 

and the FLRA must remain vigilant in establishing a control environment to continuously 

monitor potential Information Technology (IT) risks, threats, vulnerabilities, mitigation and 

implementation plans. 

As in prior years, the FLRA has either new or repeated weaknesses in its IT program. The 

Office Inspector General’s (OIG) annual FISMA review in Fiscal Year 2018 identified five new

weaknesses in IT. The 2018 review closed the only open finding from Fiscal Year (FY) 2015.

The FLRA’s ability to effectively manage its IT program has improved greatly over the past few 

years, providing corrective action plans in response to our recommendations. While the FLRA 

has had two consecutive clean audits, IT security still remains a management challenge. In our 

FY 2019 FISMA review, we plan to evaluate the IT deficiencies and the actions taken to correct 

these weaknesses. 

Information Security

Since the passage of the FISMA, the OIG has annually reviewed the FLRA’s information 

security program. The FISMA requires the FLRA OIG to prepare a report summarizing the 

review findings and submit it to the Office of Management and Budget (OMB). The most recent 

FISMA evaluation found that management continues to make progress by closing the remaining 

open recommendation from FY 2015.

1

 There were five new recommendations in the FY 2018

review.

Progress in Addressing the Challenge

The FLRA has taken corrective action to resolve the only open finding from FY 2015 reported in 

the FY 2018 Performance and Accountability Report. FLRA had five new IT security findings 

from its FY 2018 FISMA review. The FLRA expects to fully mitigate the open FISMA findings

by the end of Calendar Year 2019. The impact of this effort will be assessed during the FY 2019 

FISMA review. 

 

1 This is based on the FY 2018 FISMA review; the FY 2019 FISMA review had not been completed at the time this 

document was drafted.
 Office of Inspector General

Federal Labor Relations Authority

Top Management and Performance Challenges Facing the FLRA 48 | P a g e

What Needs to Be Done

The FLRA should continue to address and resolve the five FISMA weaknesses identified by the 

OIG in 2018. Although the FLRA has closed its only open recommendation, the Agency must 

be diligent in continuing to monitor and assess its information security to ensure proper IT 

security controls are in place.

Key OIG Resources

• U.S. Federal Labor Relations Authority Performance and Accountability Report 2018;

• OIG Report, Evaluation of the Federal Labor Relations Authority Compliance with the 

Federal Information Security Modernization Act of 2014 for Fiscal Year 2018 (MAR-19-01) 

October 2018

• OIG Report, Evaluation of the Federal Labor Relations Authority Compliance with the 

Federal Information Security Modernization Act of 2014 for Fiscal Year 2017 (MAR-18-01), 

October 2017

Comply with Records Management 

Agencies are required to comply with all Federal records management laws, regulations, and 

policies. In 2011, Presidential Memorandum, Managing Government Records, requires Federal 

agencies to manage both permanent and temporary email records in an electronic format by the 

end of 2016. By the end of 2019, agencies are directed by the Office of Management and Budget 

(OMB) and U.S. National Archives and Records Administration (NARA) jointly issued 

Memorandum M-12-18, Managing Government Records Directive to manage all permanent 

records in an electronic format. 

NARA is set to stop accepting paper-based records at the end of 2022, and OMB has issued M19-21, Transition to Electronic Records to help agencies meet this deadline. 

The memo states, “The Federal Government spends hundreds of millions of taxpayer dollars and 

thousands of hours annually to create, use, and store Federal records in analog (paper and other 

non-electronic) formats. Maintaining large volumes of analog records requires dedicated 

resources, management attention, and security investments that should be applied to more 

effectively managing electronic records.”

OMB is directing agencies, to “ensure that all Federal records are created, retained, and managed 

in electronic formats, with appropriate metadata,” and develop plans to close Agency-operated 
 Office of Inspector General

Federal Labor Relations Authority

Top Management and Performance Challenges Facing the FLRA 49 | P a g e

storage facilities for paper and other, analog records, and transfer those records to Federal 

Records Centers operated by NARA or commercial storage facilities.”

The OMB guidelines require that all agencies “manage all permanent electronic records in an 

electronic format” by December 31, 2019. By December 31, 2022 this requirement extends to 

all permanent records as well as temporary records,” to the fullest extent possible.” December 

31, 2022 is also the deadline for agencies to close their Agency-operated record centers, and 

transition all records to Federal or commercial centers.

The memo states, “Beginning January 1, 2023, all other legal transfers of permanent records 

must be in electronic format, to the fullest extent possible, regardless of whether the records were 

originally created in electronic formats. After that date, agencies will be required to digitize 

permanent records in analog formats before transfer to NARA.” 

FLRA has made progress to comply with the records management directive by developing an 

electronic case-management system (CMS) to properly handle Agency case files and records. 

This is an excellent step forward using technology to enhance operational efficiencies. However, 

system automation is only one part of a comprehensive approach to address the challenge of 

managing permanent records. Industry practices dictate that along with implementing new 

technology, it is imperative that a complete oversight or governance process be established to 

include documenting Agency policies, procedures and processes that address all hard copy and 

electronic records proper handling. Although new automated systems offer increased 

capabilities, they also present new internal (management) control challenges. The FLRA needs 

to ensure various roles (e.g., system administrator); related authorities and capabilities are 

properly assigned, documented, managed and monitored. Such written documentation should be 

maintained as this need becomes increasingly critical as additional functionality and 

enhancements are added to the system. Further, although, certain types of records do not have 

legal retention requirements; the policies, processes and procedures should, clearly and 

specifically, instruct staff on the proper handling. Further, management should periodically 

verify that such policies are being followed. 

Progress in Addressing the Challenge

FLRA provided the following management challenge update:

“During FY 2019, the FLRA continued its efforts to use technology to automate current paperbased manually intensive processes. This included the continued development of the electronic 

CMS and that will further the Agency’s efforts to transition to paperless case files and records.

The FLRA recognizes in addition to an electronic case management system , it must also update 

or develop policies, processes, and procedures to provide staff with clear guidance for handling 
 Office of Inspector General

Federal Labor Relations Authority

Top Management and Performance Challenges Facing the FLRA 50 | P a g e

records and ensuring all current OMB and NARA requirements are reviewed and in compliance 

with Agency requirements. The FLRA was able to fill the Records Manager (RM) role this past 

year, providing a dedicated RM to ensure that appropriate oversight and governance processes 

are established, including reviewing/updating Agency policies, procedures, and processes that 

address the proper handling and storage of all hard-copy and electronic records.”

What Needs to Be Done

FLRA has worked diligently to transition from maintaining hard copy records to capturing them 

electronically. This transformation isn’t easy. FLRA needs to continue making an effort to 

comply with upcoming records management standards to successfully achieve compliance with 

the OMB deadlines.

Key OIG Resources

• President Memorandum, Managing Government Records, signed on November 28, 2011

• OMB Directive M-12-18, Managing Government Records Directive, issued August 24, 2012

• OMB/NARA Memorandum M-14-16, which included NARA Bulletin 2014-06, Guidance on 

Managing Email issued September 14, 2014

• NARA Memorandum, Records Management Priorities for 2017, issued March 15, 2017

• OMB Memorandum M-19-21, Transition to Electronic Records, signed on June 28, 2019
51

FEDERAL LABOR RELATIONS AUTHORITY

1400 K Street, N.W.

Washington, DC 20424

WWW.FLRA.GOV