To establish principles and ground rules in conformance with Title V of the Civil Service Reform Act, considered by the parties as necessary and desirable to reduce potential areas of conflict and dispute during the conduct of negotiations for a collective bargaining agreement between the parties. The parties agree that the following ground rules will be incorporated into and apply throughout the life of the basic and other agreements and to any renewal regulations following the life of this agreement. The parties recognize that each has a responsibility to consider the other=s issues and to make an honest attempt to find acceptable solutions. The parties, therefore, agree to foster an atmosphere of cooperation and mutual respect in all of their relationships and to conduct their negotiations with dignity and decorum. It is the intent of the parties that negotiating representatives of the Union and the Employer adhere to the letter and spirit in this document.

Section 2. Procedures Governing Negotiations

The negotiators designated by the parties will be governed by the following rules during the conduct of negotiations:

A. Negotiating Teams. A designee for each party will be appointed to serve as a Chief Negotiator. If either party finds it necessary to change negotiators or alternates, the Chief Negotiator for either party shall notify the other party at least one (1) day in advance of any negotiating session. Either party may designate observers for each negotiating session. Each team will consist of no more than three (3) members sitting at the table at any session. Alternate team members will be permitted to observe the process.

B. On-the-Clock Bargaining. In accordance with Title V - Federal Service Labor Management Relations, Subchapter IV, Section 7131, official time will be allotted only to CDC or NIOSH employees representing the Union at the bargaining table in the negotiating of a collective bargaining agreement, not to exceed the number of individuals representing the agency. Alternates will be permitted official time for observation.

The Employer agrees to allow a reasonable amount of official time during the course of negotiations on the basic agreement for members of the Union bargaining team to prepare and evaluate contract proposals for use in negotiating the basic agreement. The Union agrees to use this time to prepare for negotiations so that bargaining sessions can be conducted in the most productive manner possible.

The Employer agrees to provide clerical support for the duration of the negotiations on a basic agreement. This support will be used to provide typing and duplicating services. The Union agrees to use these support services judiciously, and with the intent of allowing bargaining sessions to be conducted effectively.

C. Place of Negotiating Sessions. Negotiations will be held in a mutually agreeable site, as arranged for by the Employer.

D. Issues. The party initiating negotiations on the basic agreement will submit written issues to the other party within 45 days of notifying them of their intent to open negotiations. The two parties will meet no later than 30 days from submission of the responding party submissions to begin actual negotiations. Negotiations will be limited to issues that have been submitted by both parties as of the date negotiations begin. All time frames in these ground rules may be modified by mutual consent.

E. Schedule of Negotiating Sessions. Negotiations will be conducted on days, hours, and dates mutually agreed to. Changes in the schedule may be made by mutual consent of the Union and the Employer Chief Negotiators.

F. Conduct of Negotiating Sessions. Each session will proceed as follows:

1. Unfinished business from preceding session;

2. Items on the agenda as agreed upon by the parties at the preceding session; and

3. Establishment of the agenda for the next session.

G. Rules of Order. The Chief Negotiator for each party may speak at his/her own discretion. The other negotiators may speak when recognized by their respective Chief Negotiator.

H. Minutes. No official minutes of the proceedings of the negotiating sessions shall be made. However, each party shall be allowed to prepare unofficial minutes for its own use.

I. Authority. Each party shall be represented at the negotiations at all times by one duly authorized Chief Negotiator who is prepared and authorized to discuss and negotiate on matters subject to negotiations and to sign-off on agreements for their respective party.

J. A joint communique will be published concerning the progress of negotiations. This would include the agreed upon article titles but no substantive language.

K. Interim Agreement. During negotiations, the Chief Negotiator for each party will signify agreement on each section by initialing the agreed upon selection. The Chief Negotiator for each party will retain his/her copies and initial the other party=s copy. This will not preclude the parties from reconsidering or revising any agreed upon section by mutual consent.

L. Caucuses. It is agreed that either committee requesting a caucus will be provided a suitable site by the Employer. There is no limit on the number of caucuses that may be held, but each party will make every effort to restrict the number and length of caucuses.

M. Final Agreement. The agreement shall not be completed and finalized until all proposals have been disposed of by mutual consent. The agreement will not be effective until signed by both Chief Negotiators, ratified by bargaining unit members, and approved by the appropriate officials of the Agency, as necessary. Any provisions disapproved by the Agency head review may be referred to the Federal Labor Relations Authority (FLRA) by the Union and any such provision held to be negotiable by the FLRA will be incorporated into the agreement. The parties will commence negotiations within a reasonable period after receipt of an FLRA decision.

N. Negotiability Issues. Issues as to whether a proposal is negotiable or not shall be resolved in accordance with 5 USC 7117(c).

O. Proposals. All articles will initially be negotiated using interest-based techniques. If the parties fail to come to agreement using this process, then the process will revert to the traditional method.

Both parties will submit written proposals within ten (10) working days of the decision to revert to traditional bargaining.

P. Impasses. When it has been determined by either party that a dispute cannot be resolved, the items shall be laid aside. After all negotiable items on which tentative agreement has been reached have been initialed, the parties shall once more diligently attempt to resolve any existing disputed item(s).

These two methods would be used before reaching an impasse.

1. If after such effort both parties conclude that a dispute still exists on any issue(s), a request for mediator service will be extended to the Federal Mediation and Conciliation Service or to some other mutually acceptable third party. The request will be made within ten (10) working days after the determination, extendable by mutual agreement. The cost of the services of the mediator, if any, shall be shared equally by the parties.

Article 4

EMPLOYEE RIGHTS AND RESPONSIBILITIES

Section 1. General

Each employee shall have the right to form, join, or assist any labor organization, or to refrain from any such activity, freely and without fear of penalty or reprisal, and each employee shall be protected in the exercise of such right. Except as otherwise provided by 5 U.S.C. 71, such right includes the right to act for a labor organization in the capacity of a representative, and the right in that capacity, to present the views of the labor organization to heads of agencies and other officials of the Executive Branch of the Government, the Congress, or other appropriate authorities, and to engage in collective bargaining with respect to conditions of employment through representatives chosen by employees under 5 U.S.C. 71.

Section 2. Fair and Equitable Treatment

All employees shall be treated fairly and equitably, and without discrimination in respects of personnel management and union activity. It is therefore agreed that the parties will endeavor to establish working conditions that will be conducive to enhancing and improving employee morale and efficiency.

Section 3. Right to Union Representation

If the employee wishes to discuss a problem or potential grievance with a union representative, the employee shall have the right to contact and meet with the union representative on duty time.

Section 4. First Amendment Rights

Employees shall have the right to present their personal views to Congress, the Executive Branch, or other authorities and to otherwise exercise their First Amendment rights without fear of penalty or reprisal.

Section 5. Personal Rights

Employees shall have the right to direct and/or fully pursue their private lives, personal welfare, and personal beliefs without interference, coercion, or discrimination by the employer, except as restricted by laws, regulations, or job responsibilities.

Section 6. Whistleblower Protection

Employees shall be protected against reprisal of any nature for the proper disclosure of information not prohibited by law, or Executive Order, which the employee reasonably believes evidences a violation of law, rule, or regulation, or evidences mismanagement, a waste of funds, an abuse of authority, or danger to public or employee health or safety.

Section 7. Unlawful Orders

Employees have the right to refuse orders that would clearly require the employee to violate the law, injure themselves or other employees.

Article 6

UNION RIGHTS AND RESPONSIBILITIES

Section 1. Introduction

The Union is the exclusive representative of the employees in the unit and is responsible for representing the interests of all employees in that unit, without discrimination and without regard to labor organization membership.

Section 2. General

A. In all matters relating to personnel policies, practices, and other conditions of employment, the parties will have due regard for the obligations imposed by 5 U.S.C. 71 and this agreement.

B. Management shall not restrain, interfere with, or coerce representatives of the Union in the exercise of their rights under 5 U.S.C. 71 and this agreement.

C. The Union recognizes management=s rights under 5 U.S.C. 7106.

D. Nothing in this agreement shall be construed as abrogating the Union=s right to communicate with its membership, the public, public officials, or other parties.

Section 3. Union Representation

C. The Union will be notified and be given the opportunity to be present and to participate at any formal discussion between one or more representatives of the Employer and one or more employees in the unit or their representatives concerning any grievance, personnel policy or practice or other general condition of employment.

D. The Union will also be allowed to be present and represent an employee at any examination of an employee in the unit by a representative of the Employer in connection with an investigation, if the employee reasonably believes that the examination may result in disciplinary/adverse action against the employee and the employee requests representation.

Section 4. Information Furnished by the Employer

The Employer agrees to furnish the Union with information which they are entitled to under the provisions of 5 U.S.C. 7114(b)(4). All other requests for information by the Union will be considered in accordance with the Agreement and governing laws and regulations.

Section 5. Information Furnished by the Union

The Union will supply the designated Employer representative semiannually with a roster of the names of Union officers and designated stewards. The Union will notify the Employer of any change in the designation of officers and stewards. The roster will indicate the representative=s position in the Union, telephone extension, and the organizational group(s) of employees in the unit the stewards have been designated to represent. No employee will be recognized as a steward or Union officer unless his or her name appears on a listing which has been furnished.

Article 9

OFFICIAL TIME

Section 1. Purpose

For the purpose of this article, official time means time granted to Union representatives to perform representational functions while otherwise in a duty status without charge to leave or loss of pay. Union officials include elected officers, stewards, Union appointees to EPC, LPC, LMR and other representational committees. The parties recognize that reasonable time spent by Union officials in the conduct of Union-Management business contributes to the development of orderly and constructive labor-management relations. The parties recognize that there may be occasions when representational activities of Union representatives may conflict with assigned duties. When such conflicts arise, the parties agree to discuss the conflict and seek a mutually acceptable solution.

Section 2. Union Officials

The Employer agrees to recognize that Union officials designated by the president and/or vice president of the local union are appropriate users of official duty hours for Union representational activities, labor management, and partnership functions.

Section 3. Representational Activities.

Representational activities include, but are not limited to, the following:

A. Preparing and presenting grievances and unfair labor practice charges.

B. Preparing and presenting arbitration cases.

C. Consultation with Management by designated Union representatives, including exchanges of views relative to formulating, changing, or implementing personnel policies and practices and working conditions, and discussing any views, objections, or suggestions before final action is taken.

D. Union representation at joint Union-Management committees.

E. Meetings with employees with respect to any matters for which remedial relief may be sought pursuant to the terms of this Agreement

F. Partnership activities.

Section 4. Joint Meetings

Joint meetings of the parties designed to produce written assignments and such other written contracts as may be entered into to supplement or amend existing contractual arrangements between the parties will be conducted at mutually agreeable times.

Section 5. Official Time

Official duty time shall not be allowed for internal Union business.

Section 6. Uses of Official Time

G. The parties recognize the mutual benefit of Union representatives attendance at training when the purpose of the training is to provide information, briefing, or orientation relating to matters within the scope of the Statute and rules and regulations issued thereunder. This includes matters relating to pay, personnel policies, working conditions, work schedules, grievance procedure, performance rating, or agency policy, and negotiated agreements pertaining thereto. The Employer will grant a reasonable amount of official time for attendance at such training sessions.

B. Union-Sponsored Training

1. Official time may be granted to employees serving as Union representatives to attend Union-sponsored training sessions, conventions, and workshops in their capacity as representatives. The granting of official time will be determined by the Employer based upon the assessment of work demands, priorities, and whether or not the training is of mutual benefit to the parties of this agreement.

2. A written request for official time will be submitted at least two (2) weeks in advance by the Union president and/or vice president to the Collective Bargaining Official. The request will contain information as to duration, purpose, and nature of the training and how it is expected to be of mutual benefit to the Employer and the Union. The Employer may grant up to 80 hours per year total of official time for training purposes. Exceptions will be reviewed on a case-by-case basis.

3. The Employer is not responsible for any fees or expenses associated with the granting of official time for Union-sponsored training. Such obligations as hotel expenses, registration fees, travel, and per diem expenses are the complete responsibility of the employee or the Union.

Section 7. Supervisor Notification

Union officials will request, from their supervisor, the use of official time, in advance, to conduct representational activities. However, when unforeseen events occur, the Union official will notify their supervisor of this particular use of official time. The Union representative will not be required to compromise the confidentiality of the grievance, potential grievance, or other confidential Union business, relating to representational activities.

Normally, the use of official time will be approved. However, if the supervisor believes the granting of official time will negatively impact the mission, the supervisor and the Union official will seek a mutually agreeable rescheduling of the time.

Section 8.

The use of Employer-approved official time, in accordance with this agreement, will not adversely affect a Union official=s performance.

Section 9.

When an individual employee elects to represent themselves in a grievance or administrative procedure, official time will be administered in accordance with Section 7 of this article.

Section 10. Record of Official Time

The parties recognize the necessity to accurately record the amount of official time used for representational purposes. Union representatives will submit a record of their official time used at the end of each pay period when requested.

b. Upon the separation of an employee for any reason, or movement within the Department served by another payroll office, effective at the end of the pay period during which the separation or movement occurred, provided; that in case of movement within the Department, the employee may reinstate a voluntary dues allotment with the new servicing personnel and payroll office by execution of Standard Form, 1187,ARequest and Authorization for Voluntary Allotment of Compensation for Payment of Employee Organization Dues;@

c. When an employee is expelled or ceases to be a member of the Union in good standing, effective with the first complete pay period after receipt of written notice by the payroll office from the appropriate Union official;

d. When an employee is promoted or reassigned to a position not in the bargaining unit.

2. Voluntarily

a. An employee, at any time, may submit a revocation of his/her allotment after one (1) year=s membership. The revocation will be effective at the beginning of the first pay period after March 1 or September 1, if the allotment for dues withholding has been in effect for one (1) year. The revocation must be received in the Human Resources Management Office (HRMO) no later than March 1 or September 1 to be effective the subsequent pay period. The revocation should be made on a Standard Form 1188, ACancellation of Payroll Deductions for Labor Organization Dues,@ which will be provided to the employee by the Employer or the Union upon request for this purpose. It is the employee=s responsibility to submit his written revocation directly to the HRMO on a timely basis. The employee=s signed written request will be accepted, however, even though, not submitted on the form. The written request should contain the employee=s name, social security number, and activity or other work site designation.

Section 3. Responsibilities

A. Responsibility of the Union

1. Change in Dues. The amount of dues certified on the original allotment form will remain unchanged until the appropriate Union official certifies to the payroll office that the amount of regular dues has changed. Changes in the amount of allotments by reason of changes in the dues may not be made more frequently than once each twelve (12) months. Changes in deductions for employees shall be effective as of the first complete pay period after receipt of the certified change by the appropriate payroll office, or a later payroll period if requested by the Union;

2. Inform and educate members on the voluntary nature of the dues allotment program including conditions governing revocation of allotments;

3. Purchase and distribute to members, Standard Form 1187, ARequest and Authorization for Voluntary Allotment of Compensation for Payment of Employee Organization Dues;@

4. Furnish written notification to the servicing HRMO concerning:

a. Names and titles of Union officials authorized to certify Standard Form 1187 under this agreement;

b. Changes in the amount of membership dues; and

c. The name of any employee who has been expelled or ceases to be a member in good standing in the Union within ten (10) days after the date of such determination, or written revocations of allotments received from employees by the Union.

B. Responsibility of the Employer

1. Cooperate with Union in processing voluntary allotments of dues in conformance with this agreement;

2. Maintain adequate records on dues withholding and recovering costs to the Government for the service, under the terms of this agreement;

3. Notify the Union of employee=s revocation of allotments. Notification may be accomplished by providing the Local with a copy of Standard Form 1188, ACancellation of Payroll Deductions for Labor Organization Dues,@ or other form of revocation.

Section 4.

It is agreed that the following procedures will govern the voluntary allotment of dues:

A. Withholding of Dues. The HRMO and Payroll Offices shall arrange to withhold membership dues upon receipt of properly executed Standard Form 1187 in accordance with existing pay periods (26 biweekly periods) and procedures under which employees are regularly compensated;

B. Cost of Withholding. The services outlined in Article 10 shall be provided by the Employer without charge to the Local or members;

Section 5.

A. The Employer shall remit by check the dues withheld after each pay period for which deductions are made, payable to Treasurer, AFGE Local 1916, P.O. Box 231, South Park, PA 15129.

B. The remittance check shall be accompanied by a listing of the following information, to the extent applicable:

1. Identification of the Agency reporting office;

2. Name of each employee for whom dues deductions is made during the current pay period;

3. For each employee or group of employees, an identification of the Union and the amount of dues withheld;

4. The gross amount deducted, the amount of fees withheld for the deductions, and the net amount remitted to the Union.

Article 11

COMMUNICATIONS

Section 1. Bulletin Boards

A. The Employer will provide bulletin board space, not less than 6 square feet. The Employer will provide one bulletin board in each building with five or more bargaining unit employees.

B. The Union space will be prominently identified and will be located in areas accessible to the bargaining unit employees, where feasible, adjacent to or close to existing management and safety boards. All Union boards will be posted for AUnion Use Only.@ All postings will be marked AUnion Notices@ and only the designated union bulletin boards will be used for such postings. All postings on the board must be authorized by the Union; the Union will maintain the board in an orderly fashion.

Section 2. Distribution of Union Publications and Communications

A. Official publications of the Union may be distributed on Government property by Union Representatives. Official time shall not be used for these purposes.

B. The internal mail system may be used for distribution of Union mail.

C. The Employer=s electronic mail system may be used by the Union to distribute general announcements and for routine communication purposes.

Section 3. Copies of Agreement

A. The Employer will provide, at no cost, copies of this agreement, printed in type that can be easily read, to each and every employee. This distribution will be made as soon as possible after the effective date of the contract. A copy of the agreement will be posted in Agency electronic media.

B. The Employer will also provide the Union with 25 additional copies for internal Union use.

Section 4. Telephone Communications

The Employer will make its telephones and fax machines available to the Union for representational activities.

Section 5. Use of Stamping Privileges

Consistent with postal regulations, the Union shall have the use of the Employer=s stamping system for representational communications.

Section 6. Employee Mail

Employees will be permitted privacy of their mail and it will be treated confidentially, unless requested otherwise in writing by the employee.

Article 13

PARTNERSHIP

Section 1. Purpose

A. Partnership involves the design, implementation, and maintenance of a cooperative working relationship between the parties through pre-decisional involvement in order to achieve common goals. The Union and the Employer leadership must be committed to the principles upon which Partnership is based in order for this effort to be successful.

B. All partnerships will use consensus decisionmaking and will consist of equal numbers of Union and Management members. Top Management and Union leaders should fully participate in the activities of Partnership, preferably as members of the Partnership Council.

Section 2. Principles

H. The parties shall be committed to work at all appropriate levels to establish and improve effective Partnerships which are designed to ensure a quality work environment for employees, more efficient administration of agency programs, and improved service to customers.

I. The parties agree that they are bound by existing and future laws, statutes, government-wide regulations, Executive Orders, Memoranda of Agreement, and agency-wide regulations that are not in conflict with the terms of this agreement.

J. The principles which guide this effort include:

1. Pre-decisional involvement,

2. Shared responsibility,

3. Identification of problems,

4. Sharing of information,

5. Finding solutions,

6. Reaching joint agreements and making joint recommendations,

7. Use of alternate dispute resolution, interest-based, problem-solving techniques, and facilitation,

8. Integration of interests,

9. The parties working together on committees address issue of mutual interest. The Union will have the right to select its representative for such committees and work groups,

10. Cooperation,

11. Mutual respect,

12. Open communication,

13. Trust,

14. Minimizing or eliminating collective bargaining disputes, and

15. Publicizing partnership successes at all levels.

Section 3. Scope

The scope of partnership will include issues raised by either party regarding:

C. Matters involving personnel policies, practices, and working conditions.

D. By mutual consent, the parties may fulfill the collective bargaining obligation through Partnership.

Section 4. Duty Status

While participating in Partnership activities, all bargaining unit members will be considered on normal duty status. In the event these activities are conducted beyond normal duty hours, members will be compensated in accordance with applicable law.

Article 20

DETAILS, REASSIGNMENTS AND TEMPORARY PROMOTIONS

Section 1. Purpose

The purpose of details and reassignments are to meet mission-related goals in a timely manner. The parties will strive to ensure procedures for changes in work assignments are fair and equitable and that employees are properly compensated and/or recognized for duties performed. Details and reassignments should not be used to circumvent merit principles by unfairly enhancing qualifications or future promotion potential. Furthermore, details and reassignments should not be used as punishment, harassment or reprisal.

Section 2. Law

Details, reassignments, and temporary promotions will be made in accordance with 5 CFR 300.301. Unless stipulated otherwise in this agreement, such actions will also be in accordance with HHS Instruction 300-3 and CDC Merit Promotion Plan.

Section 3. Definitions

A. Detail--a temporary assignment of an employee, for a specified time period, to a different position without change in status or pay.

E. Full performance level--the highest level of work projected either within a career ladder or in association with a position=s established promotion potential.

C. Position--a set of duties requiring the full-or part-time employment of one person, usually described in a position description.

F. Promotion potential--possibility for future career promotions without the need for further competition.

E. Reassignment--a permanent change in an employee=s position, location, and/or supervisor, or a permanent change in the duty station to which the employee is assigned.

F. Temporary promotion--an increase in pay or grade for a specified period of time after which an employee returns to their previous pay or grade.

Section 4. Implementation

E. An employee=s Official Personnel File will be documented with the appropriate paperwork to ensure credit for performance of the detail, reassignment, or temporary promotion.

F. Details that enhance qualifications or offer promotion potential may be rotated among qualified employees.

G. Details, reassignments, or temporary promotions will be administered in accordance with Section 2. The Employer will notify the Union prior to the effective date of the action.

H. Details, reassignments, or temporary promotions of an employee, for more than 120 days, to a position with a higher full performance level than the employee currently holds will be filled using a competitive process.

I. Details, reassignments, or temporary promotions for 120 days or less may be competitively bid.

J. If details or reassignments are competitively bid and no one applies, the Employer may assign employees deemed best able to complete the assignment. The Employer may assign qualified employees by reverse seniority.

K. If a detail is away from the duty station, an employee may be allowed to travel on duty time. If it is deemed necessary for the employee not to travel on duty time, then entitlements are granted in accordance with Federal travel regulations.

Section 5 - Reassignment Criteria

B. The following circumstances will raise the possibility of a reassignment of the employee, rather than a detail:

16. The employee has expressed an interest in realigning their professional interests with the needs of the organization, and these lie in projects within another branch.

17. The employee is the Lead Project Officer on a project that resides in another branch, and the project is expected to continue for a year or more.

18. The employee is assigned nearly full-time to a project in another branch, and is expected to continue at the level for two or more years.

19. The employee is assigned to a project in another branch for more than approximately three-quarters of their time, and the length of their involvement on the project is expected to exceed one year. There should also be an expectation that they will be needed on other projects in this branch in subsequent years.

20. The employee requests consideration of a permanent reassignment rather than a detail.

E. When any of these circumstances occur, the management official/Collective Bargaining Official will notify the Union that a reassignment is being considered. Then the employee, a Union representative, the involved section and branch chiefs will meet to discuss the particulars of the situation, including the extent and duration of the assignment. Afterwards, the branch chief will recommend a decision to the appropriate management official.

B Long-term training is designed to support agency goals and involves the competitive process to select employees to attend a formal educational program at an institution of higher learning.

A. Short-term training is designed to improve or enhance current performance, provide new skills, or refresh existing skills.

G. Mandatory training is required by law and regulation or has been determined by the appropriate agency official to be necessary to meet an agency need.

E. Career development training is composed of competitive programs that provide lower‑ graded employees an opportunity for advancement into new career fields.

A. Career enhancement training is any type of training that enhances an individual employee=s skills and that meets the Agency=s goals

Section 4. Funding

H. The Employer will ensure that funding will be available for approved training. Cost efficiency must be considered in approving training requests.

B. A balance between quality and cost will be considered in selecting training providers.

I. All expenses for mandatory training will be paid by the Employer.

Section 5. Implementation

J. The Employer will provide optimum training consideration for all employees.

K. Training needs will be assessed annually by a joint labor-management committee that will make recommendations to the Employer. These recommendations may include funding levels.

L. Training requests will be approved at the lowest level allowed by CDC delegations of authority.

Section 6. Responsibilities

M. Employer responsibilities:

1. Honor requests from employees for information on specific training opportunities;

2. Be pro-active in making information available about training opportunities;

3. Make a good faith effort to schedule training during core hours;

4. Respond to training requests in a timely manner;

5. Notify the Union when mandatory training will extend outside core hours;

6. Make a good faith effort to jointly develop Individual Development Plan (IDP) upon a request from an employee.

N. Employee responsibilities:

7. Ensure training requests are complete, accurate and timely;

8. Complete any training they are approved to attend barring any unforeseen compelling reason not to attend;

9. Provide sufficient lead time when it is necessary to cancel training in order to allow the Employer to substitute, re-schedule, or cancel without charge;

10. Must obtain official notification of approval prior to attending training; and

11. Request an IDP if desired and provide input into the process.

Article 23

PERFORMANCE APPRAISAL SYSTEM

Section 1. Purpose

The purpose of this article is to provide a performance management system for evaluating employees= performance based on objective criteria related to the employee=s position while enhancing the efficiency of agency operations by motivating employees to perform their jobs effectively. The system focuses on contributions within the scope of the employee=s job description in achievement of the Employer=s overall mission. Accomplishment of objectives is intended to be achieved within a teamwork environment.

The system will permit the accurate evaluation of job performance on the basis of objective criteria and will be fair, reasonable, equitable, and job-related.

The performance management system will encourage the employee and supervisor to work together constructively to enhance employee performance and further the accomplishment of mission-related goals.

The results of performance appraisals will be used as a basis for other personnel management actions including training, promotions, rewards, reassignments, reductions-in-grade, retaining, and removing employees.

Section 2. Law

The performance management system will be administered in accordance with 5 CFR 430. Unless stipulated otherwise in this agreement, such actions will also be in accordance with HHS Instruction 430-4 and 430-7, and CDC Instruction.

Section 3. Definitions

A. Appraisal-‑the act or process of reviewing and evaluating the performance of an employee against performance standard(s).

B. Appraisal period - the length of time established by an appraisal system for which an employee=s performance will be reviewed. The annual appraisal period is January 1 through December 31. The minimum amount of time for rating an employee is 120 days.

C. Appraisal system-‑a performance appraisal system which provides for identification of critical and noncritical elements, establishment of performance standards, communication of elements and standards to employees, establishment of methods and procedures to appraise performance against established standards, and appropriate use of appraisal information in making personnel decisions.

D. Appraising official-‑supervising official who is ordinarily the employee=s immediate supervisor and does the initial rating of the employee=s performance.

E. Critical element‑-component of a position that consists of one or more duties and responsibilities that contribute towards accomplishing organizational goals and objectives and is of such importance that unacceptable performance on the element would result in unacceptable performance in the position.

F. Noncritical element-‑component of an employee=s position that does not meet the definition of a critical element, but is of sufficient importance to warrant written appraisal.

G. Performance plan-‑aggregation of all of an employee=s written critical and noncritical elements and performance standard(s).

H. Performance standard-‑statement of the expectations or requirements established by Management for a critical or noncritical element at a particular rating level. A performance standard may include, but is not limited to, factors such as quality, quantity, and timeliness.

I. Progress review-‑review of the employee=s progress towards achieving the performance standards and is not itself a rating. At least one progress review is required during the appraisal period.

J. Rating of record-‑summary rating required in January of each year following the completion of the appraisal period or at other times for special circumstances. Ordinarily, there is only one rating of record in an appraisal period. A rating of record will ordinarily reflect as many summary ratings as were made during the appraisal period.

K. Reviewing official-‑official with review and approval authority at a level higher in the organization than that of the appraising official.

K. Summary rating--rating assigned to describe overall performance.

Section 4. Implementation

A. Performance plans

1. The performance plan should be developed jointly by the employee and the supervisor, who is the appraising official. Each employee will participate in a face-to-face discussion with their supervisor who will explain, clarify, and communicate the employee=s job responsibilities and will initiate a dialogue with the employee to discuss the employee=s duties and responsibilities in relation to the organizational unit=s goals and mission. All performance plans must be approved at a higher level by the reviewing official, typically the second-level supervisor. The plans are not considered final until signed by the reviewing official. Performance plans must be completed within 30 calendar days of the beginning of the appraisal period, upon entering on duty, or assignment to a new covered position.

2. A performance plan must be developed for each position expected to be occupied for 120 calendar days or more regardless of whether it is permanent, temporary, a detail, or Interagency Personnel Assignment (IPA).

3. The performance plan must contain one or more critical elements and at least one noncritical element.

4. Each element must have a numerical weight denoted on the plan. The total weight of all elements must equal 100. Individually and collectively, critical elements must have greater weights than noncritical. For instance, if the least weight assigned a critical element is 20%, then the greatest weight assigned as a noncritical element is 19%. The weight for all critical elements must total 51% or greater, whereas the total weight for all noncritical elements cannot exceed 49%. In assigning weights, consideration should be given to the organizational importance and complexity, as well as time required to complete the element.

5. There are five different levels for rating performance on each job element with specific point values. Levels and definitions are:

a. Outstanding (Level 5): Outstanding performance is the highest level of performance. For performance to be rated Outstanding, the performance must be of an exceptional nature.

b. Excellent (Level 4): Performance rated excellent is one level above performance rated fully successful. Excellent performance is distinctive and clearly exceeds one or more of the requirements in a fully successful standard.

c. Fully Successful (Level 3): The Fully Successful level is the level of performance needed to accomplish the job element completely.

d. Marginally Successful (Level 2): Performance rated marginally successful is one level below performance rated fully successful. Marginally successful performance means the requirements in the fully successful standards were met fully only through unusually close supervision and assistance required because of the deficiency of the employees= performance.

e. Unacceptable (Level 1): Performance is rated Unacceptable when it did not meet any of the requirements in the Fully Successful standard.

6. Either the generic standards or specific performance standards may be used. If specific performance standards are written, they are required to be written at the Fully Successful (Level 3). However, additional levels may also be written. They are to be objective, explicit, observable/measurable, and attainable. The standard should refer to a requirement or some specific result.

7. The original performance plan is to be signed by the employee, appraising official, and reviewing official. A copy is forwarded to the HRMO. The original copy is to be retained by the supervisor until the end of the appraisal period. A copy of the plan will be provided to the employee.

8. Performance plans may be changed at any time during the appraisal period as needed. Any additions or modifications to the original plan are to be initialed and dated by the supervisor and employee; and a copy provided to the employee and the HRMO. If new elements or standards are added to the plan, they must be approved by the reviewing official and become effective at the time they are given to the employee. No rating can be done on an entirely new element until it has been in effect 120 calendar days.

B. Progress reviews

1. An individual progress review must be held at least once during the 12 month appraisal period. For employees who entered into covered positions after the beginning of the appraisal period, the progress review will be held midway in the appraisal period. This will involve a face-to-face meeting to review progress, identify ways to enhance performance during the remainder of the year, and recommend and document any changes to the plan. Discussions about performance should not be limited to these formal reviews.

2. The employees are encouraged to provide written documentation of actual achievements accomplished during the progress review period. Employees will be allowed at least five (5) working days advance notice in order to provide input on their actual achievements to the rating official.

3. Progress reviews will be documented by the supervisor=s and employee=s signature on the appraisal form.

C. Summary Ratings

1. Situations in which summary ratings are applicable:

a. An employee permanently changes positions during the appraisal year and has performed under a performance plan for at least 120 days in the previous position.

b. An employee is detailed or temporarily promoted to another position within HHS and is issued a written approved performance plan covering 120 days or longer.

c. An employee, after having served 120 days or longer under a performance plan in HHS, goes on a detail or IPA assignment outside HHS.

d. A supervisor leaves their position.

a. An employee leaves the agency.

b. At the end of the appraisal period.

L. Rating of Record

1. There is only one rating of record in an appraisal period. If more than one summary rating has been given during the appraisal period, the appraising officials, using the Interim Rating Summary Form, will determine the rating of record. The summary rating will be calculated according to the formula on the Interim Rating Summary Form. All summary ratings for the subject employee are to be considered in the rating of record.

2. At the end of the appraisal period, rating officials will inform employees of the opportunity to provide written documentation of actual achievements. Employees will be allowed at least five (5) working days advance notice in order to provide this information. The employee may request a pre-appraisal meeting with their supervisor.

3. The supervisor may elect to provide, or the employee may request to receive the final rating at least two (2) days prior to the rating official/employee meeting. If the employee disagrees with the final rating of record, they may supply additional documentation of achievements and ask for a reevaluation by their immediate supervisor. The employee has five (5) working days from the date of the meeting to ask for reevaluation by the immediate supervisor. The immediate supervisor may, with the approval of the reviewing official, change the rating.

4. If the employee and the immediate supervisor are unable to reach an agreement as to the final rating, the employee has five (5) working days to ask the reviewing official for a reevaluation.

5. Performance rated at Outstanding (Level 5) or Unacceptable (Level 1), must be documented. If performance is determined to be Marginally Successful (Level 2), Fully Successful (Level 3) or Excellent ( Level 4) the rating will be indicated on the form, but there is no requirement to justify the rating.

1. If an employee=s performance is determined to be Unacceptable (Level 1) any time during or at the end of the appraisal period, he/she must be given a written notice which indicates how the employee=s performance is Unacceptable, the performance standard(s) at Marginally Successful (Level 2) that must be reached, specific assistance, and a specific period of time in which to improve performance. While usually 30‑60 days, no specific length of time is mandated as it depends upon the individual situation. This requirement does not apply to probationary employees. The servicing personnel generalist will be consulted when this situation occurs.

2. If an employee=s performance at the end of the opportunity period continues to be Unacceptable on critical element(s), action must be initiated to reassign, reduce in grade, or remove the employee.

N. Distribution of Ratings

1. Management cannot prescribe a fixed distribution of ratings or any other action which prevents a fair rating of performance in relation to performance standards. However, the Employer is required to review all ratings within the organization to assure equity and consistency.

G. Use of Ratings of Record

1. Performance ratings will be used for various personnel actions:

a. Career Promotion ‑ an employee=s most recent performance rating must be Fully Successful or higher before they can be promoted noncompetitively to the target grade of their position.

a. IPA ‑ an employee=s most recent rating must be Fully Successful or higher before they can enter an IPA assignment.

c. Probationary Periods ‑ Employees serving an initial probationary period must receive a rating of record of Fully Successful or higher to remain in the position.

d. Reduction‑in‑Force (RIF) ‑ for RIF purposes, additional service credit is granted based on the last three ratings received of Fully Successful, Excellent, and Outstanding received during the 4‑year period prior to the date of the RIF notice.

e. Within‑Grade Increase (WGI) ‑ an employee must receive a rating of Fully Successful or higher on the most recent performance rating before he/she can be granted a WGI.

2. A summary rating of Unacceptable during an appraisal period along with other ratings does not require a determination of Unacceptable rating for the year. If the Unacceptable rating is assigned at the end of the appraisal period; however, this rating does become the rating of record regardless of earlier ratings.

H. Performance awards

1. Performance awards are granted to employees with a rating of record of Excellent or Outstanding. However, Congressional action or agency budget limitations may limit the dollar amount per award.

Article 26

TIME AND LEAVE

Section 1. Introduction

Every effort will be made to allow employees to properly utilize all types of leave during the calendar year. All types of leave requests will receive fair and equitable consideration. Leave requests should be made in a timely manner to allow the employer to ensure work coverage. Leave approvals and denials must also be timely.

Section 2. General Requirements

A. Requests for more than 8 continuous of hours leave need to be submitted in writing, using the SF-71, AApplication for Leave,@ or other written means such as email. In the case of extenuating circumstances, the request may be verbal. Requests for leave of 8 continuous hours or less may be verbal. Every effort will be made between parties to resolve conflicting leave requests.

B. Approval decisions will be made at the lowest allowable delegated level. Approvals for leave of more than 8 continuous hours will be documented in writing. Approvals for leave of 8 continuous hours or less may be verbal.

C. Denial of leave requests or revocation of pre-approved leave will be communicated to the employee in the same form as the leave was requested. The rationale for the denial/revocation should also be communicated to the employee in that form. Barring official leave restrictions, denials for leave must be based on employee safety and/or work requirements.

D. Employees are accountable for accurate timekeeping using the current exception sheet process. When leave is used or credit/compensatory time is earned, an employee must submit an exception sheet by the end of the pay period. An employee may voluntarily submit an exception sheet on a more frequent basis.

E. A voluntary leave transfer program is available to help employees who are experiencing a medical or family emergency and who have exhausted all of their available leave. The voluntary leave transfer program will be administered in accordance with agency regulations. Applications to the agency for the program will receive fair and equitable consideration.

N. With supervisory approval, non-occupationally related visits to on-site medical facility will not be charged to leave.

G. If leave is required for an occupational injury or illness, it will be administered under the appropriate worker=s compensation laws.

Section 3. Annual Leave

A. Annual leave is provided to allow employees extended leave for rest and recreation and to provide periods of time off for personal and emergency purposes. Employees may request use of annual leave at any time, in any duration or pattern. Since employees= reasons for requesting annual leave use are often personal in nature, the reasons are not normally required in the annual leave request.

B. Except for emergencies, an employee=s use of annual leave must be authorized in advance and before the actual absence commences.

C. The Employer may request that employees schedule use/lose annual leave no later than three pay periods prior to the end of the leave year. When properly scheduled annual leave is lost at the end of the leave year because of urgent necessity of public business or documented medical reasons, the Employer will recommend the restoration of leave.

D. Under certain circumstances, annual leave may be advanced only in an amount that does not exceed the leave the employee can be expected to accrue by the end of the leave year.

Section 4. Sick Leave

A. Sick leave is an employee=s earned benefit and will be granted to the employee for appropriate absences as defined by law. Authorization for sick leave use, because of its nature, is not usually obtained in advance, except for cases where employees know they will be unable to work because of medical, dental, or optical examinations or treatment, surgery, a period of convalescence, a lengthy illness, etc.

B. An employee may provide a personal statement of illness to support a sick leave absence. The Employer may request medical certification if an employee=s illness extends more than three days or for a lesser period when determined necessary.

C. Under certain circumstances, sick leave, not to exceed thirty (30) days, may be advanced to employees in cases where an employee experiences a serious disability or ailment.

Section 5. Other Leave

A. For other types of leave not previously covered above, leave will be granted in accordance with applicable law. These types of leave may include, but are not limited to, family-friendly leave, religious leave, court-related leave, military leave, family medical leave, etc.

B. The granting of leave without pay shall be in accordance with applicable regulations and be in the public interest. Except for military duty or Family Medical Leave, employees on leave without pay will return to their current position. Restoration rights are administered in accordance with applicable rules and regulations for employees who are on leave for military duty or on Family Medical Leave.

Section 6. Official Leave Restrictions

A. The Employer shall discuss a suspected leave abuse problem with the employee. During the discussion, the employee will be given the opportunity to explain his/her leave usage. The Employer may elect to afford the employee an opportunity to correct the behavior after the discussion.

B. When an official leave restriction must be imposed, it will be in the form of a written memorandum to the employee and will not be imposed without valid reasons. Frequency or amount of leave used will not be the sole factor for determining leave abuse.

Article 27

INCENTIVE AWARDS

Section 1. Purpose

O. The incentive awards program exists to enable the Employer to recognize employees for meritorious performance, excellence, and creativity through the use of monetary and non-monetary awards. Improved morale, motivated employees, and enhanced performance are some of the benefits of a successful incentive awards program. This process will be administered in a fair and equitable manner for all employees. The incentive awards program covers awards such as performance, suggestion, invention, patent, special act or service, quality step increase, honor, group, and time-off.

P. The parties recognize that the Agency budget must be considered in the granting of monetary awards.

Q. The number and frequency of awards an individual employee may receive is limited only by statute. Award amounts for suggestions, inventions, special acts or services, and patents are based on established HHS guidelines which describe the tangible or intangible benefits to the Agency.

Section 2. Law

The incentive awards program will be administered in accordance with 5 CFR 451, 45 CFR, Part 6 and Part 7. Unless stipulated otherwise in this agreement, such actions will also be in accordance with HHS Instructions 451-1 and 430-5 and HRM Manual Chapter 451-1.

Section 3. Definitions

A. Honor Award--non-monetary competitive awards granted in recognition of outstanding accomplishments or career service;

B. Quality Step Increase--increase in employee=s basic rate of pay from one step of the grade of their position to the next higher step of that grade based on sustained superior performance;

O. Special Achievement Award--monetary award based on contributions such as work on a special project, performance exceeding job requirements on a particular assignment or task, a scientific achievement, or an act of heroism;

1. Time-off Award - a type of Special Achievement Award in which the employee is granted an excused absence without loss of pay and is not charged to the leave balance. This leave cannot be exchanged for monies.

2. On the Spot Award- a type of Special Achievement Award which is based on a one time contribution within or outside the employee=s job responsibilities that is beneficial to CDC

P. Sustained Superior Performance--the demonstration of sustained performance at a high-quality level significantly above that expected at the fully successful level.

Section 4. Implementation

A. The Employer will encourage supervisors to give monetary awards whenever possible. Supervisors will be encouraged to consider the merits of granting a cash award versus a time-off award. Awards will be processed in a timely and expeditious manner to the extent possible by the Employer.

B. Non-monetary awards may be initiated by either the Employer or employees.

C. On a quarterly basis, the Employer will provide the Union with a list of all monetary awards. The following information, sorted by branch, activity or function, will be provided: number, types, and amounts of awards. Disclosure of this information will be made in accordance with the Privacy Act.

D. Labor and management may periodically review the awards process and make recommendations for improvement.

Article 28

DRUG TESTING

Section 1. Purpose

Executive Order 12564 establishes the goal of a drug free federal workplace. The Order makes it a condition of employment for all Federal employees to refrain from using illegal drugs on or off duty.

The Employer agrees that the establishment and administration of its drug testing program will be done in compliance with the U.S. Constitution and applicable laws, regulations, and this Agreement. For purposes of this Agreement, the term Aregulation@ shall mean the regulations or authorities outside of CDC; such as OPM, HSS, and other Government-wide regulations.

Section 2. Law

The drug testing program will be administered in accordance with Executive Order 12564. Unless stipulated otherwise in this Agreement, such actions will also be in accordance with HHS Instruction 792-2, 792-5, 731-1, 735-1 and HHS Drugfree Workplace Plan.

Section 3. Implementation

A. In accordance with law and regulation, employees will be subject to drug testing when:

1. They have been designated in testing designated positions (TDP=s).

12. They are participating in a counseling or rehabilitation program, or as part of a followup testing program.

B. Employees in TDP=s shall be notified of the following in writing:

13. They are subject to random testing.

14. The testing will begin no sooner than thirty (30) days from date of that notice.

15. Testing is compulsory.

16. The consequences of refusing to cooperate in the program.

Employees will be required to sign the notice acknowledging receipt. If employees believe they were wrongly designated as a TDP, they can file a request for review to the Department Drug Policy Review Board within fifteen (15) days of notification.

C. The following procedures, subject to law and regulations, will be used for testing:

17. When randomly selected, employees and their supervisors are notified and the employee must report to the testing site within 24 hours.

18. Management will direct selected employees to report to a designated location to be tested.

19. Tests wills be given in a sanitary and private area.

20. All samples will be subject to chain of custody procedures established by the testing lab.

21. Employees are entitled to confidentiality in matters affecting drug testing, and information will be released only to officials or employees with a need to know.

22. Management will make transportation available for the employee to report to the testing station.

23. Employees will be required to show their HHS employee photo identification badge to the collector.

D. If the report is positive, the Medical Review Officer (MRO) should conduct employee medical interviews, review employee medical history, or review any other relevant biomedical factors. If the MRO determines there is no justification for the positive result, the employee will be referred to the EAP counselor for guidance, counseling, assessment and referral for rehabilitation. The employee will be allowed up to six sessions during normal duty hours for the assessment and referral process. Rehabilitation and counseling will occur on the employees= own time. An employee who has returned to work after successful rehabilitation will be subject to followup testing.

Disciplinary action shall be initiated against employees found to use illegal drugs; however, employees who voluntarily admit illegal drug use prior to testing shall not be disciplined unless the employee fails to refrain from further drug use. An action to remove an employee from Federal service shall be initiated for failing or refusing to obtain counseling or rehabilitation after having been found to use illegal drugs or having been found not to have refrained from illegal drug use after a first finding of illegal drug use.

Q. Normally, employees will be returned to duty after successful completion of rehabilitation. The Employer will consider placing the employee in the same or similar position occupied before the problem occurred unless sound reasons exist for making other assignments.

R. Collectors and laboratories used by CDC in the drug testing program shall meet standards set forth in HHS guidelines.

Article 29

ALTERNATIVE WORK SCHEDULE (AWS)

Section 1. General

The Federal Employees Flexible and Compressed Work Schedules Act of 1978 (P.L. 95-390) authorized AWS as an experimental program in 1978. In 1985, legislation providing permanent authorization for agencies to use AWS was enacted (P.L. 99-196). The act authorizes Federal agencies to allow employees the flexibility to vary their daily arrival and departure times, and, under some options, to vary the length of their workday or workweek.

Section 2. Eligibility

All employees that are covered under this Agreement, with the exception of intermittent appointments, are eligible for the AWS program. In addition to the normal fixed tour of duty (7:45 a.m. - 4:15 p.m.), two types of AWS authorized include the flexible schedule and the compressed schedule. The nature of work performed may preclude the use of an AWS schedule for some segments of the organization. Schedules may be modified, varied, or limited by the supervisor based on safety or work requirements.

Section 3. Definitions

A. Normal fixed tour of duty--fixed tour established for employees not participating in the AWS program. The tour of duty is Monday through Friday, 7:45 a.m. - 4:15 p.m.

B. Flexible schedule--divides the workday into two distinct kinds of time, core hours and flexible hours or bands. Under most flexible schedule arrangements, all employees must be at work or on approved leave during core hours, but they may establish their arrival and departure times during the flexible bands.

C. Compressed schedule--a fixed schedule, designated to include core hours, between 6:30 a.m. and 8:00 p.m., Monday through Friday on scheduled work days. Employees with a compressed schedule can complete the 40-hour workweek in fewer than 5 days or the 80‑hour biweekly pay period in fewer than 10 days. The maximum workday may not exceed 12 hours of basic work requirement.

D. Basic work requirement--the number of hours, excluding overtime hours, that an employee is required to work or to account for by leave based on a daily, weekly, or biweekly schedule.

E. Core hours--the time period during the work day that is within the tour of duty during which an employee is required by the agency to be present for work, unless accounted for by leave. Core hours are 9:00 a.m. - 11:00 a.m. and 1:00 p.m. - 3:00 p.m., Monday through Friday.

F. Flexible time band--those hours of the workday within which the employee may select and/or vary their arrival and departure times. The flexible hours are 6:30 a.m. - 9:00 a.m. (morning flex band), 11:00 a.m. - 1:00 p.m. (the mid-day flex band), and 3:00 p.m. - 8:00 p.m. (afternoon flex band), Monday through Friday.

G. Lunch break--a minimum of a 30 minute lunch break must be taken during the mid-day flex band, 11:00 a.m. - 1:00 p.m., if the employee is scheduled to work for more than 6 hours. Employees may choose to extend their minimum lunch break within the mid-day flexible time band up to a total of 2 hours, providing they meet the basic work requirements.

H. Credit hours--those hours within a flexible work schedule that an employee elects to work, with advanced supervisory approval, in excess of his or her basic daily work requirement. An employee may earn up to 4 credit hours daily. Employees on compressed or fixed schedules may not earn credit hours.

I. Supervisory approval--approval is by immediate supervisor.

Section 4. Requirements

A. Work schedule designation--upon initial implementation of this Contract, each employee must submit a Work Schedule Designation Form (CDC 0.841A) for approval in order to select a work schedule. An employee may select a normal fixed tour, compressed, or flexible schedule. When requesting a change in work schedule, a Work Schedule Designation Form must be submitted, for supervisory approval, a minimum of one (1) week (7 calendar days) prior to the requested start date. The immediate supervisor has the authority to approve/disapprove a work schedule designation request. This will be accomplished within three (3) work days of receipt of the request. If a request must be denied, the employee will be notified in writing as to the reason for denial.

B. Earning and use of credit hours--credit hours may be earned and used in one quarter hour increments, and may not be advanced. An employee may earn up to 4 credit hours per regular workday, only after completion of a basic work requirement. A full-time employee may accumulate more than 24 hours of credit time, however, they may only carry over 24 credit hours per pay period. A part-time employee may only earn and carry over credit hours equal to 25% of their regular scheduled tour. Credit hours may be earned when work is available or circumstances support continuing work. The earning of credit hours must be voluntary on the part of the employee. If management directs work, overtime rules apply. Employees will be responsible for tracking their credit hours by using the exception form.

C. Approval/denial of credit hours--the earning and use of credit hours must be approved in advance by the employee=s immediate supervisor. Requests for repeated scheduling (earning and use) need only be requested and approved once until changed. Blanket requests can be approved at the discretion of the supervisor.

Justification for denial to earn credit hours includes but is not limited to: employees= safety, adverse impact on the mission, demonstrated poor performance, and demonstrated leave abuse. Employees will be given written rationale for all denials by their immediate supervisor.

D. Temporary duty assignments--an employee in travel status may earn credit hours at a temporary duty location if the employee continues to work on a flexible schedule. The rules governing credit hours for work at the official duty station apply to employee=s electing to work credit hours at the temporary duty location (i.e., the same procedures for requesting and approving credit hours in the office will apply for credit hours at the temporary duty location). However, an employee may not earn credit hours for actual travel time because travel in connection with Government work is not voluntary in nature. Under certain conditions, time spent in a travel status may be compensable as overtime hours.

E. Other options--an employee is eligible to participate in the AWS program at a flexiplace site with advanced supervisory approval.

Article 30

FLEXIPLACE

Section 1. Purpose

O. The Parties recognize the mutual benefits of a flexible workplace program to the Employer and its employees. Balancing work and family responsibilities, as well as meeting environmental, financial, and commuting concerns, are among its advantages. In recognizing these benefits, both parties also acknowledge the needs of the Employer to accomplish its mission. The Flexiplace program will be governed by applicable laws, and Government-wide rules and regulations.

P. Any Flexiplace Program established will be a voluntary program, which permits employees to work at home or at other approved sites away from the office for all or a part of the workweek.

Section 2. Eligibility

The program is voluntary and open to all employees who are performing at least at the fully successful level or its equivalent. Participation in the program requires advanced supervisory approval. Eligibility for the flexiplace program depends on job content rather than job title or work schedule.

Section 3. Implementation

A. The employee will request flexiplace through the use of a hard copy or electronic Flexiplace Request Form. Approval authority for Flexiplace participation rests with the first- level supervisor except:

1. When the Flexiplace schedule requested is for a long-term consecutive time period (greater than two (2) consecutive work weeks); or

2. When approval is needed to take Government equipment home.

B. Employees may be denied participation in the program if, for example, they have a properly documented misconduct or substance abuse problem and a clear nexus can be made between it and the employee's performance in a flexiplace situation.

C. Disapprovals will be documented, as required on the Flexiplace Request Form.

D. Work requirements may occasionally preclude the use of a pre-approved flexiplace schedule. Employees will be given adequate notice and justification when a change in the flexible schedule is needed. Documentation of the change will be maintained.

E. When work requirements preclude the use of a scheduled Flexiplace workday, the assignment may be rescheduled by mutual consent between the employee and first- level supervisor. To protect the employee's entitlement to coverage under the Federal Employee's Compensation Act, documentation of the change will be maintained.

F. The administrative workday is 6:30 a.m.-8:00 p.m. The employee's work schedule while on flexiplace shift must include the core hours of 9-11 a.m. and 1-3 p.m. Agency personnel must be able to contact the employee during the employee's work hours. Employees will designate their anticipated workday on the Approval Form. The supervisor will be notified in advance of absences from the duty station.

G. Overtime and credit time can be earned with the advance approval of supervisor.

H. The employee' s timekeeper will have a copy of the employee's Flexiplace Agreement. The employee will maintain T&A records as done presently. The employee's time and attendance will be recorded as performing official duties at the official duty station.

I. It is the responsibility of the participant to contact their home owners insurance agent or carrier regarding appropriate coverage and to make adjustments, if necessary. The employee must not be in violation of any lease covenant if living in rental property.

J. The employee may terminate their Flexiplace participation at any time. Management has the right to remove the employee from Flexiplace participation if the employee is placed on a performance improvement plan (PIP) in accordance with established administrative procedures and Union-negotiated agreements.

K. Employee agrees to limit the performance of officially assigned duties to the official duty station or to Agency approved alternate duty stations.

L. Group Dismissal. A flexiplace employee may sometimes, but not always, be affected by an emergency requiring the regular office to close. For example, on a "snow closing day", the agency should not excuse a flexiplace employee unless he or she cannot perform work because the regular office is closed. When both the regular office and the alternative work site are affected by a widespread emergency, the agency should grant the Flexiplace employee excused absence as appropriate. When an emergency affects only the alternative work site for a major portion of the workday, the agency can require the Flexiplace employee to report to the regular office, approve leave or leave without pay, or authorize an excused absence.

M. Equipment purchases solely to participate in Flexiplace will not be made. Employees must utilize equipment and supplies normally on hand. Software packages used on employee-owned equipment shall be in accordance with all applicable licenses and regulations governing same.

N. If the employee borrows Government equipment, employee will borrow and protect the Government equipment in accordance with local policy. Government-owned equipment will be serviced and maintained by the Government. If the employee provides their own equipment, he/she is responsible for servicing, repairing, and otherwise maintaining it.

O. The employee must self-certify the safety of the Flexiplace work environment in writing to the supervisor once annually for a given workplace using the Employee Certification - Safety of the Flexiplace Work Station checklist.

P. Any accident or injury occurring at the alternate duty station must be brought to the immediate attention of the supervisor. The supervisor and safety office must investigate all accident reports immediately following notification. The investigation may include an inspection of the alternate workplace.

Q. The employee is covered under Federal Employee's Compensation Act if injured in the course of performing official duties at the official duty station or the alternate duty station.

R. The Government will not be liable for damages to an employee's personal or real property during the course of performance of official duties or while using Government equipment in the employee's residence, except to the extent the Government is held liable by Federal Tort Claims Act or claims arising under the Military Personnel and Civilian Employees Claims Act.

S. The Government will not be responsible for operating costs, home maintenance, or any other incidental cost (e.g., utilities, insurance) whatsoever, associated with the use of the employee's residence. By participating in this program the employee does not relinquish any entitlement to reimbursement for authorized expenses incurred while conducting business for the Government, as provided for by statute and implementing regulations. The Government is prohibited from purchasing a telefax machine for installation in a private residence. In general, the employee may not accrue tax benefits as a result of participation in the flexiplace program.

T. Long distance phone calls at the alternate duty site:

1. Employees should plan long-distance telephone calls during tour of duty at the official duty site.

2. In the event long-distance telephone calls must be made from the alternate work site, these calls, to the extent possible, should be made on the Agency‑ designated calling card. Claims for reimbursement for official, commercial, long-distance telephone calls must be accompanied by a phone bill showing the number called and the charges.

3. A toll-free 800 number is available for employees who need to use computer services from an alternate work site.

U. Work to be done must be measurable and fulfill the mission of the Agency. Work performed at the flexible workplace will be evaluated by the same performance standards that apply at the official duty station.

V. Flexiplace assignments are by mutual agreement. The supervisor can delegate and change work assignments as necessary. Assignments will be reviewed periodically.

W. The employee will apply approved safeguards to protect Government records from unauthorized disclosure or damage and will comply with the Privacy Act requirements set forth in the Privacy Act of 1974, Public Law 93-579, codified at Section 552a, titled 5 U.S.C.

X. The HRMO and each group will maintain a file of all Flexiplace agreements. Copies of each agreement covering a bargaining unit employee will also be provided to the Union.

Article 31

EMPLOYEE ASSISTANCE PROGRAM (EAP)

Section 1. General

The parties support the objective of assisting employees with personal problems which may or may not affect their job performance. This assistance includes finding treatment for employees, following up during their recovery, and helping them return to full productivity. Given this common objective, the parties agree to work together to promote the EAP, which is designed to assist employees and their families affected by problems including, but not limited to, alcohol, drug abuse, emotional illness, financial problems, and other personal problems.

Section 2.

The parties agree that the scope of voluntary employee counseling services is restricted to:

A. Matters relating to problem identification;

B Referral for treatment or rehabilitation to an appropriate community service or professional resources; and

C. Follow up to aid an employee in achieving an effective readjustment to his/her job during and after treatment. Such counseling should be short term.

Rehabilitation at Government expense is prohibited.

Section 3.

If the Employer requires EAP counseling for resolution of employee misconduct or job performance issues, such referrals will be consistent with the terms of Article 32.

Section 4.

Whenever an employee voluntarily uses any services under this section, properly requested and approved leave will be granted. For Management-initiated referrals, consistent with Article 32, counseling will be done on the clock with no charge to leave.

Section 5 - Training.

Training offered to managers and supervisors pertaining to the employee counseling service will be also offered to the Union.

Section 6. Employee Reminder

Management shall periodically make employees, supervisors, and managers aware of the Employee Assistance Program.

Article 32

DISCIPLINE AND ADVERSE ACTIONS

Section 1. Purpose

Maintaining discipline is not normally a problem in working environments where reasonable rules and standards of conduct and performance are clearly communicated and consistently enforced; where supervisors set a good example; where aspects of conduct and performance needing improvement are identified in a way that respects the employee=s dignity; where employees are treated fairly and are encouraged to improve; and where good performers are recognized. Constructive discipline is preventative and generally progressive in nature and seeks to develop, correct, and rehabilitate employees; to encourage their acceptance of appropriate responsibilities; and to prevent, if possible, situations where there is no alternative but to penalize. Progressive discipline should be corrective in nature and not punitive or retaliatory. When there is an indication that the employee is experiencing social or personal problems, this possibility needs to be considered before deciding on disciplinary action. When penalties are appropriate, they are applied as consistently as possible considering the particular circumstances of the cause(s) for disciplinary action.

Discipline related to off-duty misconduct should have a clear nexus to the efficiency of the service, except for Federal offenses, which have an established statutory nexus.

Section 2. Law

Disciplinary and adverse actions will be taken in accordance with 5 CFR 735 and 5 CFR 752. Unless stipulated otherwise in this agreement, such actions will also be in accordance with HHS Instructions 751-1, 752-1, 752-2, 735-1, and HHS Circular 752‑16.

Section 3. Definitions

A. Adverse Action--a removal, suspension for more than 14 days, an indefinite suspension, reduction-in-grade, reduction-in-pay, or a furlough of 30 days or less.

B. Day--calendar day.

C. Disciplinary Action--a letter of reprimand or a suspension of 14 days or less.

D. Furlough--the placing of an employee in a temporary status without duties or pay because of lack of work or funds or other non-disciplinary reasons.

E. Investigation--formal process to find and evaluate the facts of a particular incident or case.

F. Letter of Reprimand--a written notification to the employee admonishing their behavior.

S. Letter of Warning--a written notification given to the employee. The warning provides the employee notice of potential disciplinary consequences if certain behavior continues.

T. Oral Admonishment--an oral warning to an employee to correct inappropriate behavior.

U. Progressive Discipline--a concept prescribing various steps of discipline and adverse actions which may be administered with increasing severity.

J. Reduction in grade or pay--the placement of an employee in a lower grade or pay category.

A. Removal--separation of an employee from federal service.

B. Suspension--temporary placement of an employee in a status without duties or pay as a result of misconduct.

Section 4. Implementation

V. In keeping with the concept of progressive discipline, actions imposed should be the minimum, in the judgment of the disciplining official, that can reasonably be expected to correct and improve employee behavior while maintaining discipline and morale among all employees. All circumstances being the same in a disciplinary or adverse action case, the concept of like remedies for like offenses will be applied. This provision shall not prevent the Employer from taking any appropriate action but shall require a reasonable basis when there is deviation from the concept of progressive discipline. All actions taken under this article will be initiated in the most expeditious manner.

W. When the misconduct may be related to a social or personal problem, the Employee Assistance Program (EAP) may be considered as a possible early intervention tool.

Section 5. Investigations

X. An employee who is to be questioned in connection with an investigation may request representation by the Union at any time that he or she reasonably believes that disciplinary action may result. If the employee requests representation, no questioning will take place until the Union has been given a reasonable opportunity to be present. When an employee provides a written statement, that employee will retain or be given a copy of their specific statement. In addition, upon employee request, a copy of the statement will be provided to their designated representative. Supervisors, employees, Union representatives, and others involved in an investigation will not disclose any information gained through such investigations except in the performance of their official duties.

Y. After a notice of proposed action is given to an employee, their Union representative will be provided the opportunity to investigate and interview the parties to the incident. The Union has the right to file a request for information related to the investigation, provided the request demonstrates a particularized need.

Section 6. Informal Disciplinary Actions

A. Oral Admonishments. Oral admonishments and/or counseling are not formal disciplinary actions and may be used as an early intervention tool to address inappropriate behavior. Records of oral admonishments are not documented in the Official Personnel Folder.

B. Letters of Warning. Letters of warning are not formal disciplinary actions and are not filed in the Official Personnel Folder. A Letter of Warning may be given to the employee unless the seriousness of the circumstance indicates a more severe disciplinary action is appropriate. The warning provides the employee notice of potential consequences if certain unacceptable behavior continues.

C. Employees have the right to respond to any allegation or actions taken against

them.

Section 7. Formal Disciplinary Actions

A. Disciplinary actions include letters of reprimand and suspensions of 14 days or less. Such actions must be timely and supported by just cause, and are grievable through the negotiated grievance procedure.

B. Letters of Reprimand

1. A Letter of Reprimand will state the reasons for its issuance and inform the employee of the right to grieve. A Letter of Reprimand will remain in the employee=s Official Personnel Folder for a period of not more than two (2) years unless removed earlier as a result of a grievance, arbitration decision, or at the Employer=s discretion considering improved behavior.

2. The employee may present, for management consideration, evidence of improved behavior and request removal of the letter.

C. Suspension of 14 days or less

1. An employee will be given advance written notice stating the specific reasons for the proposed action. The employee will be given 14 days to present an oral and/or written reply to the proposal. Upon request, the employee and/or their representative will be given a copy of the material, if any, relied on to support the reasons given in the notice.

2. An employee who has been issued an advance written notice of suspension of 14 days or less may request an extension of time in which to reply to the notice. The official designated to receive the reply will make a timely decision on such a request.

3. Normally, an employee will be given a written decision within 14 days after the expiration of the time allowed for the employee=s response. The decision notice will advise the employee of the specific reasons for the decision and of the right to grieve the action under the negotiated grievance procedure.

Section 8. Adverse Actions

A. Adverse actions are removals, suspensions of more than 14 days, an indefinite suspension, reductions in grade or pay, and furloughs of 30 days or less. These actions shall be taken to promote the efficiency of the service, and will be effected in accordance with applicable laws, rules, and regulations. Adverse actions based solely on unacceptable performance are addressed in Article 23, Performance Management Article.

B. An employee will be given at least 30 days advance written notice of adverse action, except in those cases where there is reasonable cause to believe the employee has committed a crime for which a sentence of imprisonment may be imposed and except with respect to furloughs pursuant to 5 CFR 752.404 (d)(2). The employee will be given at least 14 days to present any oral and/or written reply. Upon an employee=s request, a copy of the material relied upon to support the reasons given in the notice will be provided to the employee or their designated representative.

C. An employee who has been issued an advance written notice of adverse action may request an extension of time in which to reply to the notice. The official designated to receive the reply will make a timely decision on such a request.

Z. Normally, the employee will be issued a written notice of final decision within 14 days after the expiration of the time allowed for the employee=s response. The written decision will inform the employee that they have the right to appeal to the Merit Systems Protection Board (MSPB) or to file a grievance under the negotiated grievance procedure , but not both.

Section 9. Union Notification

The Employer will notify the Union when a decision has been made to take a disciplinary/adverse action. The notification will include the nature of the offense and the type of action.

Article 33

GRIEVANCE PROCEDURE

Section 1.

Q. The parties agree the success of their labor relationship depends largely on a spirit of cooperation and teamwork. Grievances do, however, occur and must be dealt with in order to maintain a harmonious work environment. In as much as dissatisfaction and disagreements arise occasionally among people in any work situation, the filing of a grievance shall not be construed as reflecting unfavorably on an employee=s good standing, an employee=s performance, or his/her loyalty or desirability to the organization.

R. The Union will discourage processing of grievances by employees and the Union that are frivolous. Most grievances arise from misunderstandings or disputes that can be settled promptly and satisfactorily on an informal basis at the immediate supervisor level. The parties agree that every effort will be made to settle grievances at the lowest possible level as outlined in Section 7.

Section 2.

A grievance means any complaint by an employee(s) or the Union concerning any matter relating to employment; or any complaint by an employee, the Union, or Management concerning the interpretation or application of this Agreement and any supplements or any claimed violation, misinterpretation, or misapplication of law, rule, or regulation affecting conditions of employment.

Section 3.

C. This Article shall not govern a grievance concerning: Any claimed violation relating to prohibited political activities (Subchapter III of chapter 73 of Title 5); retirement, life insurance, or health insurance; a suspension or removal in the interest of national security under Section 7532 of Title 5; any examination, certification, or appointment; or the classification of any position that does not result in the reduction in grade or pay of an employee.

D. Separations, reductions in grade or pay resulting from a reduction in force or transfer of function are exempt from the negotiated grievance procedure and subject to the appeals process outlined in Article 38, Reduction in Force/Transfer of Function.

Section 4.

F. As provided for in 5 U.S.C. 7121, the following actions may be filed either under the procedures of this negotiated grievance procedure or under the procedures governing appeals to the Merit Systems Protection Board or Equal Employment Opportunity Commission:

1. A removal or reduction in grade based on unacceptable performance (5 U.S.C. 4303).

2. A removal, suspension for more than 14 days, reduction in grade, reduction in pay, and furlough of 30 days or less (5 U.S.C. 7512).

3. A prohibited personnel practice involving discrimination (5 U.S.C. 2301(b)(1)).

G. An employee shall be deemed to have exercised his/her option to raise a matter either under the applicable appellate procedure or under the negotiated procedure at such time as the employee timely files a formal grievance in accordance with the provisions of this agreement or timely files a notice of appeal under the applicable appellate procedure, whichever event occurs first.

Section 5.

Employees who wish to be represented in processing a grievance under this Article shall be represented by a party designated by the Union. However, any employee or groups of employees in the unit may present their grievance to the Employer directly and have them adjusted without intervention by the Union. Any such adjustment must not be inconsistent with the terms of this Agreement and the Union shall be given the opportunity to have an observer at any adjustment meeting and receive a copy of the adjustment decision.

Section 6.

The Collective Bargaining Official will notify the Union at the informal stage of the grievance process if management considers a complaint non-grievable. If the Union disagrees, it may proceed with arbitration of the grievability in accordance with Article 34. During the grievability appeal, the grievance process is held in abeyance at the informal stage.

Section 7.

The following are the steps of the normal grievance procedure. All grievances must be submitted in writing and include: identification of aggrieved employee(s), the specific nature of the grievance, and the specific action desired to alleviate the grievance.

Step 1. Within fifteen (15) working days from the date of the incident or from when the employee/Union has knowledge of the incident, a grievance shall be initiated stating that this is the first (informal) stage of the negotiated grievance procedure. The grievance may proceed in one of the following ways:

(a) An employee representing himself/herself shall present his/her grievance to his/her immediate supervisor making it clear to the supervisor that he/she is representing himself/herself; or

(b) If the employee elects Union representation, the Union shall present his/her grievance to the immediate supervisor.^{^[1]} The employee may elect to be present; or

(c) In the case of a Union-initiated grievance, the Exclusive Union shall present its grievance to the appropriate supervisor, or the Collective Bargaining Official, as appropriate.

(a) Upon mutual agreement by both Union and management, a grievance may be submitted directly to the Collective Bargaining Official.

The management official at Step 1 has fifteen (15) working days from receipt of the grievance to respond in writing.

Step 2. If the grievance is not resolved at the previous step, the employee/Union will be responsible to see that the formal grievance is presented to the next level of supervision, within fifteen (15) working days of the receipt of the Step 1 management official=s decision. This supervisor shall render his/her decision within fifteen (15) working days of receipt of the formal grievance.

Step 3. If the employee(s)/Union is not satisfied with the decision rendered in Step 2, the grievance will proceed in one of the following ways:

(a) The employee/Union has up to fifteen (15) working days to elevate the grievance to each succeeding level of supervision. The appropriate management official has up to fifteen (15) working days to respond, or

(b) If all levels are exhausted, the Union may elect arbitration in accordance with Article 34, or

(c) By mutual consent, the Parties may agree to bypass interim levels. The parties may go to arbitration in accordance with Article 34.

Section 8.

All time limits may be extended by mutual consent in writing. Deliberate failure of the Employer to observe the time limits for any step in the grievance procedure shall entitle the employee(s) or the Union to advance the grievance to the next step. Deliberate failure of the employee(s) or his/her representative to observe the time limits provided for herein shall constitute a basis for termination of the grievance by the Employer.

Article 34

ARBITRATION

Section 1.

If the Employer and Union fail to settle any grievance processed in accordance with procedures outlined in Article 33, then such grievance shall, upon written request by either party, be referred to arbitration. Such written requests must be submitted to the other party within thirty (30) working days following the receipt of a written decision by the CBO or, in the case of an Employer grievance, upon receipt of a written decision from the Union. Arbitration may be invoked only by the Employer or the Union.

Section 2.

Upon receipt of a written request for arbitration, the parties will, within ten (10) working days, submit a joint request for a list of at least five (5) arbitrators from the FMCS. The parties will agree on areas of expertise to be required of the arbitrators on the list. The cost of this request will be shared equally by the parties. Should either party refuse to participate in the joint request, the other party may request the list unilaterally.

Section 3.

Once the list of arbitrators has been received, the parties will meet and select an arbitrator within ten (10) working days. Selection will proceed in one of the following two (2) ways:

A. The parties mutually agree to an arbitrator from the list, or

B. The parties alternatively strike names from the list until one remains. The flip of a coin determines who strikes from the arbitrator list first.

Should either party refrain from participation in the selection process, the other party may unilaterally select an arbitrator from the list on the eleventh working day unless mutual written agreement has been reached to extend the process

The parties should jointly request that the arbitrator schedule a hearing within sixty (60) days or at the earliest available date thereafter.

Section 4.

The parties will endeavor to hold hearings on-site whenever possible.

Section 5.

Bargaining unit witnesses and relevant participants will be granted an appropriate and necessary amount of official time to prepare for and testify at the hearing. The Union will request and obtain approval, in writing, for official time to prepare potential witnesses and its case. Management will promptly respond in writing to such requests. Management will notify the Union in writing of its intent to interview bargaining unit witnesses and afford the Union the opportunity to be present at these interviews.

Section 6.

At least seven (7) working days prior to the hearing, the parties will exchange witness lists. At this meeting, parties will also attempt to stipulate as many pertinent documents and facts as possible.

Section 7.

All fees and expenses of the arbitrator shall be shared equally by the parties. Costs of witnesses who are not on-site NIOSH/CDC employees shall be borne by the party requesting the appearance of said witness. By mutual written consent, arbitration may be conducted as an oral proceeding with no verbatim transcript and no filing of briefs. The parties may jointly request and share in the cost of a verbatim transcript. In the event only one of the parties desires a transcript of the proceedings, that party shall be responsible for the full cost of the transcript. If the other party later requests a copy of the transcript, that party shall pay for half of the original costs.

Section 8.

The decision of the arbitrator is binding. The arbitrator=s decision will not alter the applicable collective bargaining agreement. However, if the decision impacts interpretation of language in the agreement, the parties will meet to discuss implications and potential modifications to the agreement. Each party has the right to file exceptions to the decision rendered by the arbitrator to the FLRA under prescribed procedures.

Section 9.

Time extensions related to the arbitration process can be granted based on mutual written agreement of the parties.

Section 10.

Some arbitration cases, by their nature, may be suitable for expedited arbitration. An expedited arbitration procedure is included in this article to provide an alternative for prompt and efficient handling of specified grievances. Requests for expedited arbitration should be within the time frame stated in Section 1 above. Requests, approvals, and denials must be in writing and include rationale. All rules for regular arbitration apply to the expedited arbitration procedure except for the following:

Article 36

ALTERNATIVE DISPUTE RESOLUTION PROCESS

Section 1.

An alternative dispute resolution process (ADRP) may be invoked when mutually agreed to by the disputing parties any time after an informal grievance is filed. The use of ADRP is voluntary for all participants. The use of the Alternative Dispute Resolution Process must be mutually agreed to by each party and an agreement to Alternative Dispute Resolution will be executed by both parties. The use of ADRP will not subjugate the existing grievance process. If no settlement is reached in the ADRP, the grievant may continue to pursue the dispute through the negotiated grievance process. If ADRP is selected as a method to resolve grievances then the following procedures apply. This process will be executed in a timely fashion. The normal time frames in the grievance process will be suspended during the ADRP.

Section 2.

The ADRP includes a variety of means to resolve disputes. Any one or combination of methods may be used to resolve disputes.

A. Neutral Factfinding. Factfinding is the use of an impartial expert (or group) selected by the parties, an agency, or by an individual with the authority to appoint a factfinder in order to determine what the Afacts@ are in a dispute. The rationale behind the efficacy of factfinding is the expectation that the opinion of a trusted and impartial neutral will carry weight with the parties. Factfinders are not permitted to resolve or decide policy issues. The factfinder(s) will be authorized only to investigate or evaluate the matter presented and file a report establishing the facts in the matter. If mutually agreed to in the agreement to ADR, the neutral factfinder is authorized to issue a situation assessment or a specific non-binding procedural or substantive recommendation as to how a dispute might be resolved. In cases where such recommendations are not accepted, the date (or facts) will be organized and collected in a fashion that will facilitate further negotiation or be available for use in later procedures.

Both Union and Management will prepare a list of neutral factfinders when neutral factfinding is invoked. A minimum of one neutral factfinder will represent each side. The list of factfinders will be presented to the parties and the opposite side will select a representative from the opposing party=s list. The neutral factfinders will determine the relevant facts of the grievance based on such issues as:

1. Review of applicable laws, regulations, policies and standards;

2. Equal treatment between employees;

3. Comparison of employee/supervisor narratives;

4. Data input from other employees;

5. For performance related grievances - a review of data compared with generic standards; or

6. Other subjects deemed relevant by representatives.

The findings of the neutral factfinders will be compiled into a written report. The report will be made available to both parties. The report will include, at a minimum, a report of the findings, and may include possible non-binding alternative solutions.

Neutral factfinding may be invoked at any time after the informal grievance through the formal grievance process (if not previously invoked). However, it is recognized that early neutral factfinding often leads to a mutually acceptable resolution. Therefore, it is recommended that neutral factfinding be introduced as early as possible.

B. Mediation. Mediation is the intervention into a dispute of an acceptable, impartial and neutral third party, who has no decision making authority. The objective of this intervention is to assist the parties to voluntarily reach an acceptable resolution of issues in dispute. Mediation is useful in highly polarized disputes where the parties have either been unable to initiate a productive dialogue, or in cases where the parties have been talking and reached a seemingly insurmountable impasse. A mediator makes primarily procedural suggestions regarding how parties can reach agreement. A mediator may suggest some substantive options as a means of encouraging the parties to expand the range of possible resolutions under consideration. A mediator often works with the parties individually, in caucuses, to explore acceptable resolution options or to develop proposals that might move the parties closer to resolution. The mediator performs the role of catalyst that enables the parties to initiate progress toward their own resolution of issues in dispute.

The mediation process may be invoked after the informal grievance fails to be resolved. If the mediation process is not invoked at this time, it may be invoked after the first step of the formal grievance. For disputes involving performance ratings, in which a reviewing official is involved, mediation will be invoked after the first step of the formal grievance process. This will provide both the rating and approving official an opportunity to resolve the performance dispute. The mediator will be provided from an external source (such as the Pittsburgh Federal Executive Board Alternative Dispute Resolution Consortium, the Federal Mediation and Conciliation Service, or the Pittsburgh Mediation Center).

C Mini-trails. Mini-trials involve a structured settlement processing in which each side presents abbreviated summaries of its case before the major decisionmakers for either party. These decision makers have authority to settle the dispute. The summaries contain explicit data about the legal basis and merit of a case. The rationale behind a mini-trial is that if the decision makers are fully informed as to the merits of their cases and that of the opposing parties, they will be better prepared to successfully engage in settlement discussions. The process generally follows more relaxed rules for discovery and case presentation that might be found in the court or other proceeding and usually the parties agree on specific limited periods of time for presentations and arguments. A third party that is often a judge or individual versed in the relevant law is the individual who oversees the mini-trial. That individual is responsible for explaining and maintaining an orderly process of case presentation and usually makes an advisory ruling regarding a settlement range, rather than offering a specific solution for the parties to consider. The parties can use such an advisory opinion to narrow the range of their discussions and to focus in on an acceptable settlement options--settlement being the ultimate objective of a mini-trial. The mini-trial method is a particularly efficient and cost effective means for settling disputes.

The third party neutral will be selected from an external source. Each party will select two individuals to represent them as the decisionmakers. Selected decisionmakers will have the authority to resolve the dispute. Selected decisionmakers will not have any direct involvement in the dispute. During the process, the parties may ask for an advisory opinion from the neutral. However, the final decision rests with the designated decision makers.

Section 3.

The ADR process will progress in the following manner:

A. A dispute or complaint surfaces and informal discussions do not lead to satisfactory resolution. An informal grievance is filed. Neutral factfinding may be invoked at this time. If the grievance is not resolved, then the mediation process may be invoked (except in the case of a dispute concerning the annual performance rating).

B. If mediation fails to provide a mutually agreed to resolution, a formal grievance may be filed. If the grievance is not resolved at this step, then mediation (if not previously used) or a mini-trial may be invoked. If the grievance is not satisfactorily resolved using the ADRP, the formal grievance procedure continues.

C. Neutral factfinding may be invoked only once for any specific grievance.

Section 4.

Decisions made in this process will be non-precedential and apply only to the specific dispute for which invoked. All settlement agreements will be binding on each party, and the dispute cannot be advanced any further in the grievance process. Any costs (which normally would be minimal, e.g., travel costs of third party neutrals) will be borne equally by both parties.

Article 38

REDUCTION IN FORCE (RIF)/TRANSFER OF FUNCTION (TOF)

Section 1. Introduction

The Employer and the Union recognize that unit employees may be seriously and adversely affected by a reduction-in-force (RIF) or transfer of function (TOF) action. The parties recognize that available alternatives to RIF include, but are not limited to, attrition, reassignment, furlough, hiring freeze, and early retirement. This article describes the exclusive procedures the Employer will take in the event of a RIF or transfer of function. It is also intended to protect the interests of employees while allowing the Employer to exercise its rights and duties in carrying out the mission.

Section 2. Definitions

A. Reduction-in-force--the release of an employee from his/her competitive level by furlough for more than 30 days, separation, demotion, or reassignment requiring displacement, when the release is required because of lack of work, shortage of funds, insufficient personnel ceiling, reorganization, an individual=s exercise of reemployment rights or restoration rights, or reclassification due to an erosion of duties when it occurs within 180 days of a formally announced RIF in the competitive area.

B. Transfer of function--the transfer of the performance of a continuing function from one competitive area and its addition to one or more other competitive areas, when that work is not already being performed in the new competitive area(s).

C. Bumping--the displacement of an employee in a lower tenure group or in a lower subgroup within the released employee=s own tenure group. Although the released employee must be qualified for the job, it may be a job he or she never held. In addition, it can be no more than three grades (or appropriate grade intervals) below the position from which the employee was released.

AA. Retreating--the displacement by a released employee of another employee with lower retention standing in the same tenure group and subgroup. The position must also be the same position or essentially identical to a position held by the released employee in a Federal agency on a permanent basis. The position cannot be more than three grades (or appropriate grade intervals) below the position from which the employee was released. An exception is for those employees in subgroup AD (veterans with a compensable service-connected disability of 30% or more). Their limit is five grades (or appropriate grade intervals).

E. Severance pay--a benefit available to most individuals who have served at least 12 months continuously and are separated by RIF, provided that such employees have not refused to accept a position within two grades of their current level in the same commuting area, are not eligible for an immediate annuity for either Federal or armed forces service, and are not receiving any type of injury compensation benefits.

The severance benefit is computed at the rate of one week=s pay for each year of service prior to separation. After 10 years of service, an employee receives two weeks of pay for each additional year. For each year the employee is over age 40, an additional 10 percent of severance pay is received. The maximum is one year=s salary. Severance benefits are paid out at regular pay intervals.

F. Competitive areas--the geographical and/or organizational boundaries in which employees compete during a RIF. All CDC and ATSDR positions within a commuting area are in the same competitive area.

G. Commuting area--the geographic area that normally is considered one area for employment purposes. It includes any population center (or two or more neighboring ones) and the surrounding localities where people live and reasonably can be expected to travel back and forth to work.

H. Competitive level--a grouping of positions in a competitive area that are in the same grade (or occupational level) and classification series, and that are similar enough in duties, qualification requirements, pay schedules, and working conditions so that an agency may reassign an employee from one position to any of the other positions in the level without undue interruption of work.

I. Grade retention--employees who are placed in a lower-graded position in their agency as a result of RIF procedures are eligible to retain the higher grade for two (2) years. The employee must have completed at least 52 consecutive weeks at a higher grade than that of the position to which he or she was downgraded. The employee=s retained grade is considered for most purposes (including pay and pay administration, retirement, life insurance, eligibility for training, promotions, and within-grade increases). However, in any subsequent RIF, the employee competes for retention based on the lower grade.

J. Pay retention--shall apply to any employee whose rate of basic pay has been reduced as a result of the expiration of the two (2) year period of grade retention or when the employee does not meet the eligibility requirements for grade retention. Under pay retention, the employee is placed in the lower-graded position with the pay set at the step or rate of the lower grade that is at least the same or higher than the rate the employee earned at the higher grade, or at no more than 150% of the maximum rate of the grade in which the employee is placed, whichever is lower. These employees will receive only 50% of the annual comparability pay increases. If, or when, their pay is lower than or equal to the maximum rate of the new grade, the employee will be placed at the maximum rate and will then receive full comparability pay increases.

K. Separation--the removal of an employee from agency employment rolls.

L. Furlough--the temporary placement of an employee in a non-pay status.

M. Days--in this article means calendar days.

N. Retention standing--a ranking of employees based on a formula combining the four factors mandated by law (tenure, veterans= preference, length of service, and performance). Each competitive level then becomes a retention register that lists employees in order of their standing.

Section 3. Requirements

Reductions-in-force will be conducted in accordance with 5 CFR 351 and the Office of Personnel Management Guidelines. Unless stipulated otherwise in this agreement, RIF/TOF will be conducted in accordance with HHS and CDC policies and procedures.

Section 4. Implementation and Notification

BB. The Employer will notify the Union at the earliest possible time when conditions arise that may result in a RIF/TOF. The purpose of this early notification is to allow the parties the opportunity to find alternatives to RIF/TOF.

CC. Prior to individual employee notification, the Employer will notify the Union in writing of its decision to RIF/TOF at the earliest possible date but at least 60 days in advance of the effective date. The notification will outline the general scope of the RIF/TOF. The Employer will negotiate the impact and implementation procedures of the RIF/TOF.

DD. A pre-planning stage will take place that will include activities such as:

1. 30 days prior to the issuance of a general notice of RIF, employees may be provided an opportunity to update their personal qualifications;

2. 30 days prior to the issuance of a specific notice of RIF, employees will be provided an opportunity to update their personal qualifications;

3. Freezing of applicable vacancies that might provide assignment rights to affected employees;

4. Freezing applicable discretionary personnel actions; and

5. Designation of a cut-off date for performance ratings of record.

The Union will be notified in writing of the pre-planning actions.

EE. Prior to individual employee notification, the Union will be given written notification of the formal RIF/TOF action. The notification will include the reason(s) for RIF, number of positions affected, types and grades of positions affected, and the proposed effective date.

FF. Individual employees will receive at least a 60-day specific notice prior to effecting a RIF. Notification to employees will contain reason for RIF and effective date, competitive area, competitive level, subgroup, service date, three most recent ratings of record received in past four (4) years, place where employee may inspect the records/regulations pertinent to the case, the reasons for retaining a lower standing employee in the same competitive level under 5 CFR 351.607 and 351.608, information on re-employment rights, employees right to appeal, and a position offer, if applicable.

An affected employee will have seven (7) days to respond to a position offer.

Section 5. Special Placement Programs

GG. In the event an employee is separated due to RIF action, the Employer will notify the affected employee in writing of eligibility for Priority Placement Program (PPP), Career Transition Assistance Program (CTAP), and Interagency Career Transition Assistance Program (ICTAP).

HH. The Employer will assist the affected employee in determining the types of positions for which the employee qualifies based on his/her knowledge, skills, and abilities.

II. The Employer will assist the affected employees in registering for PPP, CTAP, and/or ICTAP.

JJ. The Employer will make available reasonable use of official time and facilities for affected employees to pursue special placement programs.

Section 6. TOF without RIF

In the event of a TOF, the employer will:

KK. Inform the Union as fully and as soon as practicable (in no case less than thirty (30) days prior to planned implementation) of any decision(s) for the transfer of function(s) and, provide upon request, the governing regulations. The written notice will include the reasons for the proposed transfer of function(s), the number and types of positions affected, and the anticipated date of the action.

B. Identify the employees to be transferred in accordance with applicable rules and regulations. Should any employee desire not to transfer with the function, the Employer may solicit voluntary requests from employees to transfer in their place and give careful consideration to such requests. The Employer will explore options to avoid separating, downgrading, or transferring employees as a result of the loss of function.

If the total number of employees who volunteer for transfer exceeds the total number of employees required to perform the function in the competitive area that is gaining the function, preference will be given to the volunteers with the highest retention standing. Volunteers will replace identified employees in reverse retention order.

C. Make every effort to place employees who decline the TOF in vacant positions for which they qualify in the same commuting area and/or in the same competitive area.

D. Counsel the employees who decline the TOF regarding their statutory outplacement rights, placement potential, and assist them in registering for appropriate outplacement programs.

LL. Counsel the affected employee on individual rights relating to retirement and severance pay.

Section 7. Appeal Rights

An employee who has been furloughed for more than 30 days, separated, or downgraded by RIF/TOF action, may appeal only to the Merit System Protection Board (MSPB). The appeal must be filed in writing during the 30-day period beginning the day after the effective date of the RIF action. If MSPB rules in favor of the employee, the Employer must restore the employee to the separated position or assign the employee to an appropriate position. An employee may choose Union representation for an MSPB appeal, and if so, the Union has a right to review all pertinent documents.

Article 39

CONTRACTING OUT

Section 1. General

The Employer retains the right to make determinations with respect to contracting out as provided in 5 U.S.C. 7106. Management agrees to comply with all provisions of OMB Circular A-76 (and with any supplements or superseding circulars or directives) and with this negotiated agreement.

Section 2. Prior Notification to Union

When the Agency anticipates recontracting of any work or contracting out of work presently being performed by bargaining unit employees, the Union will be notified when the Agency approves that a study be conducted. The notice will include all relevant and pertinent data and information that is not prohibited from disclosure.

Section 3. Relevant Information Supplied to Union

The Union will be supplied with all information developed by the Employer as part of the contracting out process, and that supplied by prospective contractors, that is not prohibited from disclosure. The Union will be provided the time and date of bid preproposal conference and allowed to participate as an observer in the conference.

Section 4. Rebidding of Contracted Positions and New Contracting Out

When rebidding of currently contracted positions or new contracting is to be undertaken, the Union will be provided the opportunity to participate in the preparation of Management=s proposal.

Section 5. Impact of Contracting Out or Rebidding of Current Contract

A. Management=s decision to contract work will, in no way, affect the Union=s right to negotiate over impact and implementation of the contracting decision.

B. Management shall attempt to minimize adverse impact on Federal employees.

C. Retraining will be provided to Federal employees in accordance with OPM regulations.

D. Displaced Federal employees will be given priority consideration, in accordance with Agency and Federal regulations, for any current job openings.

E. An initial briefing and periodic briefing will be given to affected Federal employees during the contracting out process.

F. It is agreed that no bargaining unit employee will be under the supervision of a person who is not an employee of the Federal government.

G. The Agency recognizes the ARight of First Refusal@ required by OMB Circular A-76.

H. The Union may identify instances where they believe an improper overlap exists between contractor employee tasks and Agency employee tasks. When such instances are identified by the Union, Management will examine the tasks to determine appropriateness under current procurement regulations.

IN WITNESS, THEREOF, the parties have entered into this Agreement the ____ day of _______________ 2002.

^{^[1]}For employees in the Administrative Services Branch who report directly to the Management Operations Officer, the informal grievance (Step 1) can be filed with either the team leader ASB, or Management Operations Officer at the discretion of the employee and/or his/her representative.

UNFAIR LABOR PRACTICES