U.S.
Department of Agriculture
Washington, D.C. 20250
DEPARTMENTAL REGULATION
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NUMBER: DR-4070-711-1 |
|
SUBJECT: Labor and Employee
Relations Automated Case Tracking System (LERACTRS) |
DATE: August 23, 2005 |
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OPI: Office of Human Capital
Management – Performance Management and Policy Division |
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6
1 PURPOSE
This
regulation establishes policy for use of the Department-wide electronic
tracking and reporting system for labor and employee relations cases occurring
within the Department of Agriculture (USDA).
2 SPECIAL
INSTRUCTIONS/CANCELLATIONS
This is the initial issuance of this regulation.
3 DEFINITIONS
a Administrative Grievance System
A formal process established to facilitate the expeditious adjudication of grievances from nonbargaining unit employees through a fair, equitable, and simple procedure. Regulations and guidance can be found in USDA Personnel Manual Chapter 771 (May 1993), Code of Federal Regulations (CFR), Title 5, Part 771, and in other related issuances. This process applies to any matter of concern or dissatisfaction relating to employment, which is subject to the control of agency management for nonbargaining unit employees.
b Alternative
Dispute Resolution (ADR)
The purpose of ADR processes are to assist
the parties experiencing conflict in resolving the conflict themselves
typically by creating a non-adversarial setting where issues can be openly
discussed and solutions explored. ADR
processes serve as an alternative to, not a replacement for, the formal systems
of redress, namely grievances, complaints, and appeals.
c Appeals
A
form of redress filed with the U.S. Merit Systems Protection Board (MSPB) that is
available to employees who have been the subject of an adverse action (i.e.
suspensions over 14 days, demotion, or removal) in accordance with 5 U.S.C.
Chapter 75, or other personnel actions resulting in the loss of pay or grade as
found in 5 C.F.R. 1201. MSPB appeals
are adjudicated by an administrative judge through a formal hearing process.
d ConnectHR
A term used to describe an array of individually secured web-based human resources self-service applications found on a common website that is accessible through a single sign-on process to licensed users.
e Disciplinary and Adverse Actions
These are formal penalties imposed on employees for sustained instances of misconduct, and may include: official letters of reprimand, suspensions, demotions and removal from federal service. In matters resulting in suspension or removal, actions are taken in accordance with 5 U.S.C. Chapter 75, and provide redress through the applicable administrative or negotiated grievance procedure, statutory appeal, or complaint procedures depending on the severity of the action, bargaining unit status of the employee and contract language, and whether discrimination is alleged.
f Hotline Complaints
A formal process administered by USDA’s Office of Inspector General to
provide a way for employees to report violations of law and regulations. Based on authority granted in the Inspector
General Act of 1978, Public Law 95-452, hotline complaints may pertain to any
matter having to do with: criminal activity, conflict of interest, bribery,
employee misconduct, fraud (submission of false claims/statements), misuse of
grant or contract funds, mismanagement/waste of funds, and/or actions
endangering public health or safety.
g Labor and Employee Relations Automated Case Tracking and Reporting
System (LERACTRS)
LERACTRS is a secure web-based data
tracking system with reporting capabilities for labor and employee relations
cases within USDA. It is accessed by
authorized staff and resides on the USDA human resources connectHR Dashboard.
h Negotiations
In the context of the federal labor-management relations statute contained in 5 U.S.C. Chapter 71, negotiations are part of the collective bargaining process through which representatives of the agency and labor organization having exclusive representation rights meet and bargain in good faith in an attempt to voluntarily reach agreement with respect to conditions of employment for bargaining unit employees.
i Negotiated Grievance Procedure/Arbitration
Negotiated Grievance Procedures (NGP) provide bargaining unit employees
represented by labor organizations an expeditious process for resolving
grievances through a fair, equitable, and simple procedure. The controlling statute is 5 U.S.C. Chapter
71, Section 7121, with NGP found in master collective bargaining agreements
(CBA). Unless specifically excluded in a CBA, a grievance is any matter
related to employment, any claimed violation, misinterpretation, or
misapplication of any law, rule, or regulation affecting conditions of
employment, or claimed breach or misinterpretation of a CBA. Arbitration may be invoked by either a labor
organization or management as the means to decide an unresolved grievance. Arbitration is a third party proceeding,
officiated by a third party (arbitrator), who renders a decision based on the
evidence presented.
j Negotiability Proceedings
The processes, as described in 5 C.F.R. Part 2424, used by the Federal Labor Relations Authority (FLRA) to resolve assertions made by an agency that proposals made by a labor organization during negotiations are outside the agency’s duty to bargain.
k Performance-based Actions
These are agency-initiated personnel actions, based on 5 U.S.C. Chapter 43 or 75 to remove an employee from their position based on unacceptable performance in one or more critical performance elements following the employee’s failure to improve their performance during a designated improvement period. Employees removed by adverse action may seek redress through the statutory appeal or complaint (if discrimination is alleged) procedures. Depending on language contained in collective bargaining agreements, bargaining unit employees may be able to seek redress through the negotiated grievance procedure.
l Representation Proceedings
The processes, as defined in 5 C.F.R. Part 2422, used by the FLRA to conduct elections that decide representation petitions, resolve dues allotment eligibility issues, clarify or amend existing certifications of bargaining units, and/or consolidate bargaining units.
m Unfair Labor Practices
Unfair labor practices (ULP) are violations of the Federal Service Labor Management Relations Statute, by either a labor organization or agency, as determined by the FLRA. Specific definitions of ULP are found in 5 U.S.C. Section 7116.
n Web-based
A term used to describe a computer software application or site located on the internet and accessible via a web browser.
4
POLICY
a Labor
and Employee Relations Automated Case Tracking and Reporting
System (LERACTRS).
LERACTRS is the only authorized Department-wide computerized record
keeping system for labor and employee relations information on the case types
listed in this section. All USDA
mission areas and staffs, except the Office of Inspector General, are required
to use LERACTRS as prescribed in this regulation to record case file
information for all covered cases.
Covered cases include:
Labor Relations:
·
Grievances
filed under negotiated grievance procedures
·
Arbitrations
·
Negotiations
·
Negotiability
proceedings
·
Representation
proceedings
·
Unfair Labor
Practices
Employee Relations:
·
Grievances
filed under the USDA administrative grievance system
·
Disciplinary
and Adverse actions
·
Performance-based
actions
·
Appeals
·
Hotline complaints
LERACTRS is not a separate system of records,
but rather an information management system used in conjunction with existing
records systems established by the Office of Personnel Management and
supporting file systems established within USDA. Data maintained in LERACTRS is confidential and subject to
control under the Privacy Act. Access
to LERACTRS shall be limited to USDA staffs that have been assigned labor
and/or employee relations responsibilities in those program areas.
b Funding
For the first year of operation, the annual information technology
maintenance and support costs for LERACTRS will be allocated to the mission
areas and staff proportionately based on workforce size using the Department’s
assessment process. Cost allocations for subsequent years will be based on
relative program utilization by the agencies based on the number of cases
tracked. Costs associated with changes to LERACTRS will be charged to the
requesting agency.
c Mandatory
Data Elements and Recording
To ensure consistency in data analysis and
reporting, USDA’s Office of Human Capital Management (OHCM) has established
required data entry fields reflected visually through the use of highlighted
blocks on the LERACTRS program data screens.
Data for these data fields must be entered within 10 business days of
when the event or activity being recorded becomes known to the agency.
d Optional Data Fields and Program Features
Mission areas and staffs are authorized, by
supplement to this directive, to establish requirements that optional data
fields and program features available on LERACTRS be completed. If such data
fields are completed, such entries must be done concurrently with those for the
mandatory data elements.
e Reporting
Requirements
Mandatory LERACTRS-generated reports to be
used by mission areas and staffs, and/or submitted to the Department will be
established by OHCM. Mission areas and
staff are authorized and encouraged to use the reporting capabilities of
LERACTRS for internal program monitoring and assessment purposes.
f System
Security
Access to LERACTRS will be on an individual
employee basis as determined by the respective mission area or staff Human
Resources Director or designees, and limited to only those employees whose
performance is dependent on such access.
Staff authorized access will be designated in writing and specified as
to the level of access organizationally within their agency.
g Program Modifications
Modifications to the LERACTRS programming may
be authorized only by the Director, OHCM.
Requests for modifications must be made in writing through the mission
area or staff Human Resources Director or equivalent to OHCM, and contain both
a justification citing benefits to be realized by the change and a commitment
to finance any programming costs.
5 RESPONSIBILITIES
a Director, Office of Human Capital Management
(1) Develops and approves LERACTRS program policy in consultation
with OHCM staff and mission area Human Resources Directors.
(2) Approves changes to
LERACTRS web-based program.
(3) Ensures adequate
staff and financial resources are available to support and maintain LERACTRS.
(4) Provides human
resources information technology support to address ongoing application
functionality issues.
b Director,
Performance Management and Policy Division (OHCM)
(1)
Provides
administrative oversight for USDA employee and labor relations programs to
ensure adequate staff resources are available to provide LERACTRS technical
support to mission areas and staffs.
(2) Coordinates staff input for the OHCM Director
on LERACTRS program
issues.
c Program
Manager for Employee Relations (OHCM)
(1)
Establishes
case types (e.g., discipline) and associated data fields required for employee relations cases
contained in LERACTRS.
(2)
Establishes
reporting requirements and contents of Department and agency-generated reports
from LERACTRS.
(3)
Prepares and
submits USDA employee relations reports based on LERACTRS data.
(4)
Coordinates information sharing of
department-wide LERACTRS employee relations data with the Assistant Secretary
for Civil Rights staff.
(5)
Conducts employee relations program
assessments.
(6)
Recommends LERACTRS program modifications.
d Program Manager for Labor Relations
(OHCM)
(1)
Establishes
case types (e.g., unfair labor practices) and associated data fields required for labor relations cases
contained in LERACTRS.
(2)
Establishes reporting requirements and contents
of Department and agency-generated reports from LERACTRS.
(3)
Prepares and submits USDA labor relations
reports based on LERACTRS data.
(4)
Coordinates information sharing of
department-wide LERACTRS labor relations data with the Assistant Secretary for
Civil Rights staff.
(5)
Conducts labor relations program
assessments.
(6)
Recommends LERACTRS program modifications.
e Mission Area Human Resources Directors
or Equivalent
(1)
Provides
sufficient staff resources to ensure LERACTRS program is administered according
to Departmental policy.
(2)
Establishes
agency policies that address managerial aspects of LERACTRS such as system
security and access, minimum data entry requirements, and program assessment
standards.
(3)
Authorizes
employee access to LERACTRS within their mission area or staff.
(4)
Recommends
agency or staff-initiated system changes and enhancements to the Department.
(5)
Participates as
a member of the USDA Human Resources Leader Council in evaluating LERACTRS
effectiveness as a management tool.
f Mission
Area/Staff Employee Relations Officers
(1)
In conjunction
with the mission area or staff Labor Relations Officer and human resources IT
staff, establishes and monitors the administrative and operational policies for
LERACTRS to include: staff training requirements, system access and security,
report preparation and distribution, and data quality and time lines.
(2)
Generates and
reviews LERACTRS reports for employee relations cases, conducting periodic
employee relations (ER) program reviews and assessments, preparing reports for
agency or staff management and the Department, and provides assessment feedback
to managers to improve ER program effectiveness and staff accountability.
(3)
Coordinates
necessary sharing of agency LERACTRS employee relations data with the agency
civil rights staff.
(4)
If delegated,
authorizes employee access to LERACTRS within their mission area or staff.
(5)
Identifies and
recommends LERTACTRS program enhancements and changes.
(6)
Ensures
adequate LERACTRS training is provided to ER practitioners.
g Mission
Area Labor Relations Officers
(1)
In conjunction
with the mission area or staff Employee Relations Officer and human resources
IT staff, establishes and monitors the administrative and operational policies
for LERACTRS to include: staff training requirements, system access and
security, report preparation and distribution, and data quality and time lines.
(2)
Generates and
reviews LERACTRS reports for labor relations cases, conducts periodic labor
relations (LR) program reviews and assessments, prepares reports for
agency/staff management and the Department, and provides assessment feedback to
managers to improve LR program effectiveness and staff accountability.
(3)
Coordinates
necessary sharing of agency LERACTRS labor relations data with the agency civil
rights staff.
(4)
If delegated,
authorizes employee access to LERACTRS within their mission area or staff.
(5)
Identifies and
recommends LERACTRS program enhancements and changes.
(6)
Ensures
adequate LERACTRS training is provided to LR practitioners.
h Staff and Mission Area Program Administrator (these
functions may be
assigned to Mission Area Employee or Labor
Relations Officers)
(1)
Agency or staff
designated employee or labor relations specialist with significant agency or
staff responsibilities requiring the use of LERACTRS.
(2)
Serves as the
agency or staff focal point for LERACTRS operational program communication with
OHCM and agency or staff management on matters related to training, program
deployment and updates and troubleshooting. Updates agency or staff end user
access in LERACTRS as authorized.
i LERACTRS Users
(1)
Agency or staff
designated specialists or technicians authorized by the Mission Area Human
Resources Director or designee to have access to LERACTRS.
(2)
Ensure proper
day-to-day entry and maintenance of data, report preparation and
confidentiality of information contained in LERACTRS.
(3)
Uses LERACTRS
to enhance personal productivity and professional effectiveness.
6 PROGRAM ADMINISTRATION
a Security
and System Access
(1)
LERACTRS
contains personal information on Federal employees; therefore, system access is
limited to agency employees who have a need to know as a requirement of their
position. Disclosure of personal
information contained in LERACTRS is subject to restrictions contained in the
Privacy Act, with its release subject to requirements contained in the Freedom
of Information Act (5 U.S.C. Section 552) and the Federal Service Labor-Management
Relations Statute (5 U.S.C. Section 7114(b)(4)).
(2)
Access to
LERACTRS is established by authorized mission area and staff Human Resources
Directors in writing on an employee-by-employee basis, given the employee’s
duties and responsibilities in the organization’s labor and/or employee
relations program. This authority may
be delegated to the mission area Labor and/or Employee Relations Officers. A record of employees with authorized access
will be maintained by each mission area and staff human resources office. Notification of access changes, (i.e.,
granting, changing, or withdrawing) should be made to the designated LERACTRS
application support provider with the following information: user first and
last name, social security number, e-mail address and access level by servicing
organization level code(s).
b System Upgrades and Program Changes
(1)
Requests for
program changes to LERACTRS may be made at any time by a mission area human
resources director or equivalent to the Director, OHCM. Such requests must be in writing and include
the following information: specific change(s) being sought, why the change is
necessary (to include the anticipated benefits to both the requesting agency
and others, as applicable), when the change(s) is needed, and the agency or
staff contact person and number.
Programming costs associated with any approved changes will be incurred
by the requesting agency(s) unless waived by OHCM. The decision to approve requested changes will be made by the
OHCM Director in consultation with the OHCM staff and the requesting Human
Resources Director(s).
(2)
System upgrades
and other OHCM-initiated changes will be made as necessary, with prior
notification and applicable instructions or training provided to mission areas
and USDA human resources staffs.
c Training
(1)
OHCM will
develop resource materials for LERACTRS users to be used by the mission area
and USDA human resources staffs for orientation and training purposes. Supplementation of materials to address
agency or staff policies and procedures is encouraged.
(2)
Prior to
authorizing LERACTRS access, mission areas and USDA human resources staffs must
ensure new users receive basic orientation training to include access
procedures, security requirements, and protection of confidential
information.
d Reports and Reporting Requirements
(1)
Standard
reports will be generated as needed by those having LERACTRS access at the
Department and agency to the extent of their access authority. For example, agency officials can only
generate reports for LERACTRS data within their agency and for servicing
organization level codes within their authority.
(2)
Reports not
available directly from LERACTRS or third party query software may be requested
by Department or agency officials directly to the LERACTRS application support
provider, and can include data only within the requestors’ access authority.
Any costs associated with generating special reports will be bourn by the
requestor.
e System
Evaluation and Use
(1)
Annually, the Director
of OHCM will conduct a LERACTRS program assessment to include a survey of
mission areas and USDA staff users, and Human Resources Directors to include
the following topics:
(a)
LERACTRS utilization in ER and LR program administration to ascertain
how and to what extent it is contributing to agency or staff program
effectiveness as well as identification of “best practices” using LERACTRS.
(b)
LERACTRS problems, limitations and needed improvements.
(c)
LERACTRS costs.
(d)
The impacts or
potential impacts of other HR enterprise systems on LERACTRS, and how they
should be addressed.
(2)
The subject report will be briefed to the mission area and USDA staff
Human Resources Directors, with copies provided to Departmental Administration.
(3)
Agencies and staffs are encouraged to use
LERACTRS in conducting internal program evaluations and assessments.
7 INQUIRIES
Questions related to the contents of this Directive should be addressed to Keith Prue, USDA Program Manager for Employee Relations, (202) 690-1802, or Pete Rockx, USDA Program Manager for Labor Relations, (202) 720-0065.
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