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Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
If the data shows there is a disparate impact on one or more protected classes at the time the Employer issues Notice of RIF letters, IRS will simultaneously solicit employee interest in moving to any other competitive area. The solicitation will ask all impacted employees if they would be willing to move to another competitive area if IRS provided a reasonably similar position and moving expenses. The data will be collected from each impacted employee and associated with other RIF-related computer files so that NTEU can receive a list by race, national origin, gender, disability status (targeted and nontargeted), and age (+/- 40) which shows which employees would be willing to move among those who are adversely impacted.
The AGENCY had no counterproposal.
The ARBITRATOR adopted the UNION's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Competitive Areas. The Employer will establish the competitive areas and will provide a copy of this information to the Union. In so doing, it will use commuting areas that are uniform with other commuting area decisions it has made, e.g., to establish reimbursement rules for daily travel outside a commuting area to reassign employees for other purposes, etc. If the competitive area is something other than nationwide for any and all RIF actions, the Employer agrees it will be defined consistent with all laws and that a separate "administration" is defined, consistent with MSPB precedent, generally as that portion of the organization under separate mission requirements, appropriations, and personnel rules, policies, and formal procedures relating to promotion, performance, discipline and related personnel matters.
The AGENCY proposed the following:
Competitive Areas. The Employer will establish the competitive areas and will provide a copy of this information to the Union.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
If the Employer selects a competitive area that is co-terminus with commuting areas and appointing office, all employees in those offices who are selected for RIF in the first round will be made aware of vacancies in other IRS appointing offices within the commuting area by a formal written statement that lists all vacancies in the commuting area. This will be done at the time the employee receives his Notice of RIF. The notice will also contain an explanation of how the employee could apply for or otherwise compete to fill the vacancy.
The AGENCY had no counterproposal.
The ARBITRATOR declined to adopt the UNION's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Competitive Levels. Employees compete for retention in their competitive levels during the first round of RIF completion. A competitive level consists of all positions in a competitive area which are in the same grade (or occupational level) and classification series.
The AGENCY proposed the following:
Competitive Levels. Employees compete for retention in their competitive levels during the first round of RIF competition. A competitive level consists of all positions in a competitive area which are in the same grade (or occupational level) and classification series and which are similar enough in duties, qualification requirements, pay schedules, and working conditions so that the incumbent of one position could successfully perform the critical elements of any other position upon entry into it, without undue interruption as defined as in 5 C.F.R. 351.203 and without any loss of productivity beyond that normally expected in the orientation of any new but fully qualified employee.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Credit for Performance. An employee's entitlement to additional service credit for performance as described in section D herein shall be based on Government wide rules and regulations as well as law, with any conflicts resolved appropriately.
The AGENCY proposed the following:
Credit for Performance. An employee's entitlement to additional service credit for performance as described in section D herein shall be based on the employee's three most recent performance ratings of record received during the 4-year period prior to the cut-off date described below in section 1.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Nothing in this agreement releases the Employer from any contractual obligation to provide an appraisal for each of the last 3 years for unit employees prior to the RIF.
The AGENCY had no counterproposal.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
In accordance with regulation, a cut-off date of 90 days prior to issuance of the specific notices will be used. Performance appraisals due after that date will not be used for retention determination purposes.
The AGENCY proposed the following:
In accordance with 5 C.F.R. 351,504(b)(2), a cutoff date of 180 days prior to the issuance of RIF notices will be used. Performance ratings received after that date may not be used for retention determination purposes. Early appraisals will not be accepted.
The ARBITRATOR adopted the UNION's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Where there are conflicting appraisals, the IRS form 6850 will be considered over either the IRS Forms 3860 or 9857, absent evidence that one is not valid. An appraisal with the signature of at least one manager may be used to establish RIF Adjusted SCD's. In the absence of any of these the employer will consider any evidence that management assigned an appraisal of a certain performance level, e.g., documentation of a performance award based on a performance appraisal.
The AGENCY proposed the following:
Only the following performance records may be used for the purpose of computing additional RIF service credit:
- A Form 6850, "Job Element Appraisal" containing at least one managerial signa ture;
- A Form 3860 or 9857, containing at least one managerial signature;
- If a signed Form 6850, 3860, and/or completed Form 9857 exist for the same rating cycle and the ratings differ, the summary rating on the Form 6850 will be used;
- If no Form 6850, 3860, or 9857 with one managerial signature exists, the rating of a presumed "Fully Successful."
- Forms 6850, 3860, or 9857 with one managerial signature which have been timely prepared and signed are acceptable regardless of the time the ratings were input into TIMIS.
- To be creditable, ratings much be completed within 30 days of the end of the rating cycle. For purposes of the RIF about which the Service notified the Union on July 29, 1996, a performance rating/appraisal, as defined above, which was completed before August 16, 1996, and more than 90 days after the end of a rating cycle will be accepted for the RIF. However, any appraisal prepared after August 16, 1996, which was prepared more than 90 days after the end of the rating cycle will not be accepted for the RIF.
The ARBITRATOR adopted the UNION's proposal without the last sentence.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
If there are any local offices that did not issue a five-level evaluation during the last 3 years, IRS will so notify NTEU and the parties will negotiate over all appropriate matters prior to the implementation of a RIF for employees in their competitive level and area. In no case will the fact that a pass-fail evaluation was done relieve the Employer of any obligation it had under the contract to provide a five-level evaluation.
The AGENCY proposed the following:
Any employee rated under any system other than a five-level system must receive the following rating:
|
Pass/Fail System:
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Pass = Fully Successful
Fail = Unacceptable
|
|
3-Level System:
|
Level 5 = Outstanding
Level 3 = Fully Successful
Level I = Unacceptable
|
Narrative = Fully Successful
NA/NR = Presumed Fully Successful
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The Union proposed the following:
To be creditable for purposes of computing additional service credit, a rating need only meet the minimum standards necessary for determination of whether it is proper.
The AGENCY proposed the following:
To be creditable for purposes of computing additional service credit, a rating must have been issued to the employee, with all appropriate reviews and signatures, and must also be on record (e.g., the rating is available for use in establishing registers).
The ARBITRATOR adopts the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Service credit for employees who do not have useable performance ratings of record received during the appropriate period prior to the cutoff date shall be determined pursuant to Government wide regulations.
The AGENCY proposed the following:
Service credit for employees who do not have three actual performance ratings of record during the 4-year period prior to the cutoff date described in Section II, D, 1. shall be determined as follows:
- An employee who has not received an annual performance rating or record shall receive credit for performance on the basis of three assumed ratings of "Fully Successful."
- An employee who has received at least one but fewer than three previous annual performance ratings of record shall receive credit for performance on the basis of actual rating(s) received and one or two assumed rating(s) of "Fully Successful", whichever is needed to credit the employee with three ratings.
The additional service credit an employee receives for performance shall be expressed in additional years of service and shall consist of the mathematical average of the employee's last three (actual and/or assumed) annual performance ratings of record computed on the following basis:
- Twenty additional years of service for each performance rating of "Outstanding" or equivalent.
- Sixteen additional years of service for each performance rating of "Distinguished" or equivalent.
- Twelve additional years of service for each performance rating of "Fully Success ful" or equivalent.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Employees will be encouraged to update their qualifications through the submission of updated SF 171's merit program questionnaires, and/or OF 612's. Submissions of updated materials will be accepted at any time and the RIF calculations adjusted accordingly.
The AGENCY proposed the following:
Employees will be encouraged to update their qualifications through the submission of updated SF 171's, merit program questionnaires, and/or OF 612's. Submissions of updated materials will be accepted no later than 30 calendar days prior to the proposed date for issuance of RIF notices.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
When the Agency determines to fill vacancies during the RIF process in order to facilitate placement of affected employees at the same or lower grade, the Agency will waive all qualifications, within its authority to waive, to the maximum extent feasible when the employee has the capability, adaptability, and special skills needed to satisfactorily perform the duties and responsibilities of the job and when it can be reasonably determined that the employee could perform the duties of the position within 90 days.
The AGENCY had no counterproposal.
The ARBITRATOR adopted the UNION's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
The Employer will provide each employee in each competitive area who is at or below the highest grade position abolished with a statement showing the following:
- the Agency offices in that competitive area
- to the extent the IRS asserts that there is more than one competitive level in a series, it will notify all employees in that series of the definition and distinguishing characteristics of the various levels in their series, the minimum qualifications for each level, what levels they are considered to be in and based on what facts, the competitive level of all other employees in their series and in their appointing office
- the separate ratings and dates (years) for each of the four most recent appraisals considered (missing appraisals will be so indicated)
- their tenure group
- their preference eligible status
- their unadjusted and adjusted RIF SCD, and
- the positions to which the employee will be allowed to bump and retreat.
The AGENCY proposed the following:
The Employer will provide employees in a competitive area in which a RIF is anticipated with a summary of relevant information concerning their own tenure group, veteran's preference, length of service, and performance ratings utilized in determining their competitive standing.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
This statement will be provided to the employee no less than 45 days prior to the issuance of the specific RIF notice. Upon receipt of this statement or summary notice, the employee may present an oral or written reply within 15 calendar days. Employees will be given a reasonable amount of official time, normally 4 hours, to meet with their representative and prepare a reply. Within 30 calendar days of the reply, the Employer will issue a final written decision regarding the challenge. The final decision will address the factor(s) claimed to be erroneous and state the reasons or grounds for the decision. It will also describe the employees' right to also file a classification appeal to challenge this issue. The procedures used to deliver the oral and written reply will be the same as those used for oral and written replies to proposed discipline as described in the parties' term agreements.
The AGENCY proposed the following:
At the same time, employees will be provided access to their OPFs and EPFs to enable them to verify or correct the summary within 15 working days of receipt. (However, this entitlement to the employee's file will in no way diminish the employee's right to receive the files sooner if requested under another authority.) Employees challenging any information contained within the notice will have 15 calendar days to submit evidence to support their challenge; however they are free to submit a challenge at any time under the law or contract, as appropriate. After updating, new summary notices will be sent to employees who have requested changes before a retention register is issued. Employees will be given a reasonable amount of administrative time to meet with their Union representatives to review their OPFs and EPFs and to discuss the accuracy of the data.
Each employee who receives a RIF notice will be told their competitive level and NTEU Chapters will be provided with Competitive Level Catalogs to make available to employees. Employees and their representatives may meet with management or its representatives for explanations as to why the employee is in a specific competitive level.
The ARBITRATOR adopted the AGENCY's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
Employees will be given a reasonable amount of official time, normally 4 hours, to meet with their representative and prepare a reply.
The AGENCY proposed the following:
Employees will be given a reasonable amount of administrative time to meet with their Union representatives to review their OPFs and EPFs and to discuss the accuracy of the data.
The ARBITRATOR adopted the UNION's proposal.
Department of the Treasury, Internal Revenue Service, Washington, DC and National Treasury Employees Union, Case No. 97 FSIP 31, August 11, 1997 (Release No. 400).
The UNION proposed the following:
The Union will be provided competitive level information showing all the levels within each series, the definition and distinguishing characteristics of the various levels in their series, the minimum qualifications for each level, all employees in that appointing office considered to be in each level and based on what documents, e.g., position descriptions, critical elements, etc. This information will be given to the Union at least 5 days prior to the distribution of similar information to the employees pursuant to subsection A above.
The AGENCY proposed the following:
Each employee who receives a RIF notice will be told their competitive level and NTEU Chapters will be provided with Competitive Level Catalogs to make available to employees.
The Union will be provided with a list of competitive levels prior to their use.
The ARBITRATOR adopted the AGENCY's proposal.
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