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UNITED STATES OF AMERICA FEDERAL LABOR RELATIONS AUTHORITY (FLRA)

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UNITED STATES OF AMERICA

FEDERAL LABOR RELATIONS AUTHORITY

WASHINGTON, D.C. 20424

EXCEPTIONS TO ARBITRATION AWARD

Important Information: Federal-sector parties who have participated in binding arbitration

pursuant to 5 U.S.C. § 7121(b)(C)(iii) may use this form to file exceptions to the resulting

arbitration award with the Federal Labor Relations Authority (the Authority). Only the officially

designated representatives of an agency or union may file such exceptions; absent written

authorization from a party to an arbitration proceeding, grievants or other non-parties may not

file such exceptions. See 5 C.F.R. § 2425.2.

The information requested below may be provided either on this form or in a separately created

document. See 5 C.F.R. § 2425.4. The form is available at www.flra.gov

. If your answers do

not fit in the space provided, then you may attach additional pages expanding on your answer.

Please note that, if this form exceeds 10 double-spaced pages in length (excluding the statement

of service) once you have filled it out, then you must include a table of contents with this form.

See 5 C.F.R. § 2429.29. However, you may delete portions of the form that do not apply, such as

portions discussing grounds for review that you are not raising.

If you have any questions about completing this form, or filing exceptions generally, then please

contact the Authority’s Office of Case Intake and Publication at (202) 218-7740.

Additional information about the time limits and procedural requirements for filing exceptions,

as well as the arbitration process in general, can be found in 5 C.F.R. parts 2425 and 2429 and in

the Guide to Arbitration at www.flra.gov.

Part I Background Information

1. Excepting party’s information:

Name:

Position:

Agency or Union:

Address:

Phone:

Fax:

Email address:

2. Opposing party’s information:

Name:

Position:

Agency or Union:

Address:

Phone:

Fax:

Email address:

3 Arbitrator’s information:

Name:

Address:

Phone: Fax:

Email address:

4. Method of service of arbitrator’s award, and date of service (check all that apply):

[ ] U.S. mail = postmark date

[ ] Commercial delivery = date deposited with commercial delivery service

[ ] Personal delivery = date of delivery

[ ] Fax = date transmitted

[ ] E-mail = date transmitted

[ ] Other – please describe:

5. If the award was served on you by more than one method, then the first method of service is controlling for

purposes of calculating the time limits for filing exceptions. See 5 C.F.R. § 2425.2(c)(4). However, please note

that if the award is served by fax, email, or personal delivery on one day, and also served by U.S. mail or

commercial delivery on the same day, then you do not get 5 additional days to file your exceptions. See 5 C.F.R.

§ 2425.2(c)(5).

What is the date of service of the arbitrator’s award?

6. Was the subject matter of the grievance raised as an unfair labor practice charge?

[ ] Yes [ ] No

6a. If yes, then please answer all of the following questions:

i. On what date was the unfair labor practice charge filed?

ii. What is the case number?

iii. What is the status of the case?

iv. Please explain in detail how the unfair labor practice charge is related to the

grievance:

7. Was the subject matter of the grievance raised under any other administrative

procedures (for example, but not limited to, EEO or MSPB proceedings)?

[ ] Yes [ ] No

7a. If yes, then please answer all of the following questions:

i. What type of administrative procedure?

ii. What is the case number (if available and applicable)?

iii. What is the status of the case?

iv. Please explain in detail how the administrative procedure is related to the

grievance:

Part II Alternative Dispute Resolution (ADR)

The Authority offers ADR services to help parties resolve their disputes through its

Collaborative and Alternative Dispute Resolution (CADR) program. The CADR program

provides an alternative to traditional case processing and is available on a voluntary basis. If

you are interested in CADR assistance or information regarding any of its services, then you

may contact the CADR office at (202) 218-7933. Note that use of CADR’s services does not

toll the period for filing exceptions, although it will toll the filing of an opposition if the due

date for the opposition has not passed.

Are you interested in attempting to resolve this matter with the assistance of CADR?

[ ] Yes [ ] No

Part III Arguments

The Authority will only find arbitration awards deficient based on the grounds set forth in

5 U.S.C. § 7122. Specifically, an arbitration award will be found deficient only if it is

contrary to law, rule, or governing regulation, or is deficient on grounds applied by federal

courts in reviewing arbitration awards in the private sector. The private-sector grounds

currently recognized by the Authority are: the award is incomplete, ambiguous, or

contradictory as to make implementation of the award impossible; the arbitrator was biased;

the award is contrary to public policy; the arbitrator denied a fair hearing; the award is based

on a nonfact(s); the award fails to draw its essence from the parties’ collective bargaining

agreement; and the arbitrator exceeded his or her authority. See 5 C.F.R. § 2425.6.

In determining whether the arbitrator’s award is deficient, the Authority will consider only

those arguments explicitly raised by the parties.

1. Are you arguing that the award is contrary to law or government-wide regulation?

[ ] Yes [ ] No

1a. If no, then skip to question 2; if yes, then you must answer questions 1b through 1e

for each law or government-wide regulation cited. Failure to fully explain your

argument could result in dismissal or denial of your exception. See 5 C.F.R. §

2425.6.

1b. Please provide a full, precise citation to each of the law(s) or government-wide

regulation(s) on which you rely:

1c. For each of the law(s) or government-wide regulation(s) cited, please answer all of

the following questions:

i If the cited law(s) or regulation(s) contain more than one subsection, then

please specify the subsection(s) on which you rely:

1c. continued

ii. For each

law or regulation cited, please explain how the arbitrator’s award

conflicts with the law or government-wide regulation:

1c. continued

iii. Please provide citations to any supporting authority on which you rely:

1d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

1e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

2. Are you arguing that the award is contrary to an agency-wide regulation?

[ ] Yes [ ] No

2a. If no, then skip to question 3; if yes, then you must answer questions 2b through 2e

for each agency-wide regulation(s) cited. Failure to fully explain your argument

could result in dismissal or denial of your exception. See 5 C.F.R. § 2425.6.

2b. Please specify the agency-wide regulation on which you rely, and either include the

language of the regulation here or attach that language to this form. If you are

relying on a specific subsection of a regulation, then please specify.

2c. For each regulation cited, please explain how the arbitrator’s award conflicts with

that regulation:

2d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

2e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

3. Are you arguing that the award is incomplete, ambiguous, or contradictory as to make

implementation of the award impossible?

[ ] Yes [ ] No

3a. If no, then skip to question 4; if yes, then you must answer questions 3b through 3e.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

3b. Please explain why the meaning and effect of the award is unclear, and why, as a

result, it is impossible to implement the award:

3c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

3d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, why you reasonably would not have

known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

3e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

4. Are you arguing that the arbitrator was biased?

[ ] Yes [ ] No

4a. If no, then skip to question 5; if yes, then you must answer questions 4b through 4e.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

4b. Please explain how the award was procured by improper means, there was partiality

or corruption on the part of the arbitrator, or the arbitrator engaged in misconduct that

prejudiced the rights of the party:

4c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

4d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

4e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

5. Are you arguing that the award is contrary to public policy?

[ ] Yes [ ] No

5a. If no, then skip to question 6; if yes, then you must answer questions 5b through 5e.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

5b. Please cite the alleged public policy, explain how it has its source in laws and legal

precedents (as opposed to general considerations of supposed public interests), and

clearly explain how it has been violated:

5c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

5d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

5e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

6. Are you arguing that the arbitrator denied you a fair hearing?

[ ] Yes [ ] No

6a. If no, then skip to question 7; if yes, then you must answer questions 6b through 6e.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

6b. Please explain how the arbitrator refused to hear or consider pertinent or material

evidence, or how other actions in conducting the proceeding so prejudiced you that it

affected the fairness of the proceedings as a whole:

6c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

6d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

6e. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

7. Are you alleging that the award is based on a nonfact(s)?

[ ] Yes [ ] No

7a. If no, then skip to question 8; if yes, then you must answer questions 7b through 7f.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

7b. Please explain why a central fact underlying the award is clearly erroneous, but for

which the arbitrator would have reached a different conclusion – note that factual

matters that were disputed before the arbitrator will not provide a basis for finding

the award based on a nonfact.

7c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

7d. Is the alleged nonfact a factual matter that was disputed before the Arbitrator (and if

so, please provide supporting citations to page numbers of award and/or transcript, if

available)?

7e. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

7f. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

8. Are you alleging that the award fails to draw its essence from the parties’ collective

bargaining agreement?

[ ] Yes [ ] No

8a. If no, then skip to question 9; if yes, then you must answer questions 8b through 8f.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

8b. Please specify the agreement provision(s) on which you rely, and either include the

language of the provision(s) here or attach that language to this form:

8c. Please explain how the award: cannot in any rational way be derived from the

agreement; or is so unfounded in reason and fact and so unconnected with the

wording and purpose of the collective bargaining agreement as to manifest an

infidelity to the obligation of the arbitrator; or does not represent a plausible

interpretation of the agreement; or evidences a manifest disregard of the agreement:

8d. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

8e. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

8f. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

9. Are you alleging that the arbitrator exceeded his or her authority?

[ ] Yes [ ] No

9a. If no, then skip to question 10; if yes, then you must answer questions 9b through 9f.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

9b. Please explain how the arbitrator: failed to resolve an issue that was submitted to

arbitration; resolved an issue that was not submitted to arbitration; disregarded

specific limitations on his or her authority; or awarded relief to individuals who were

not encompassed within the grievance:

9c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

9d. Did the parties stipulate to the issue(s) before the arbitrator?

[ ] Yes [ ] No

9e. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

9f. If you raised the argument or statement below, then please provide any available

supporting citations to the award or record evidence (e.g., pertinent portions of

hearing transcripts or post-hearing briefs), and attach pertinent portions of any cited

record evidence to your exceptions:

10. Are you arguing that the award is deficient on a ground not set forth in this form?

[ ] Yes [ ] No

10a. If no, then skip to Part IV; if yes, then you must answer questions 10b through 10e.

Failure to fully explain your argument could result in dismissal or denial of your

exception. See 5 C.F.R. § 2425.6.

10b. Keeping in mind that arbitration awards will only be found deficient if they are

contrary to law, rule, or regulation, or on grounds applied by federal courts in the

private sector (as described above), please explain how the award is deficient:

10c. If you have not done so already, then please provide citations to any supporting

authority on which you rely:

10d. For each of the arguments and statements in this section, please state whether you

raised that argument to the arbitrator, and if not, then why you reasonably would not

have known to raise it (see 5 C.F.R. §§ 2425.4 & 2429.5):

10e. If you raised the argument or statement below, then please provide supporting

citations to the award or record evidence (e.g., pertinent portions of hearing

transcripts or post-hearing briefs), and attach pertinent portions of any cited record

evidence to your exceptions:

Part IV Request for Expedited, Abbreviated Decision

1. If the arbitration matter does not involve an unfair labor practice, then are you

requesting an expedited, abbreviated decision within the meaning of 5 C.F.R.

§ 2425.7?

[ ] Yes [ ] No

2. If yes, then please explain why such a decision would be appropriate in this case

(including considerations of the case’s complexity, potential for precedential value,

and similarity to other, fully detailed Authority decisions regarding the same or

similar issues, see 5 C.F.R. §2425.7):

Part V Additional Information

Please provide any additional information that you believe is necessary for the Authority to

consider in resolving the exceptions.

Part VI Checklist with Statement of Service and Signature

All exceptions and attached documents filed with the Authority must comply with the

requirements set forth in parts 2425 and 2429 of the Authority’s Regulations.

A complete copy (including all attachments) of exceptions must:

[ ] Be served by certified mail, first-class mail, commercial delivery, or in person on all

counsel of record or other designated representative(s) of parties, upon parties not so

represented, and upon any interested person who has been granted permission by the

Authority to present written and/or oral argument as amicus curiae; service upon such

counsel or representative shall constitute service upon the party, but a copy also shall

be transmitted to the party (see 5 C.F.R. § 2429.27(a) & (b))

[ ] Contain a signed and dated statement of service with names and addresses of parties

served, date of service, nature of document served, and the manner in which service

was made (see 5 C.F.R. § 2429.27(c))

[ ] Contain a signed original and 4 complete and legible copies of all documents

(see 5 C.F.R. § 2429.25)

[ ] Include a table of contents if the exceptions exceed 10 double-spaced pages in length.

[ ] Be addressed to: Chief, Office of Case Intake and Publication

Federal Labor Relations Authority

1400 K Street, N.W., Suite 201

Washington, D.C. 20424-0001

For questions about filing requirements, contact the above office at (202) 218-7740

between 9 a.m. and 5 p.m., Monday through Friday (except Federal holidays).

STATEMENT OF SERVICE

I certify that a complete copy of the [Agency’s/Union’s] Exceptions, including all

attachments, were filed with the Office of Case Intake and Publication, Federal Labor

Relations Authority, Washington, D.C., by [indicate whether by certified mail, first class

mail, commercial delivery (indicate whether Fed Ex, UPS, etc.), or personal delivery], and

were sent this day to the following by the method indicated:

Name:

Title:

Mailing Address:

City, State, Zip Code:

Phone Number:

Method of service (check): [ ] certified mail

[ ] first class mail

[ ] commercial delivery ___________________(indicate

whether Fed Ex, UPS, etc.)

[ ] personal delivery

[ ] other (please specify) _____________

Name:

Title:

Mailing Address:

City, State, Zip Code:

Phone Number:

Method of service (check): [ ] certified mail

[ ] first class mail

[ ] commercial delivery ___________________(indicate

whether Fed Ex, UPS, etc.)

[ ] personal delivery

[ ] other _____________

__________________________________________________________________________

Date Name of Representative/Title

________________________________________________

Signature of Representative

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