No. 98-369
In the Supreme Court of the United States
OCTOBER TERM, 1998
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION, WASHINGTON, D.C., AND NATIONAL
AERONAUTICS
AND SPACE ADMINISTRATION
OFFICE OF THE INSPECTOR GENERAL, PETITIONERS
v.
FEDERAL LABOR RELATIONS AUTHORITY AND
AMERICAN FEDERATION OF GOVERNMENT
EMPLOYEES, AFL-CIO
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
REPLY BRIEF FOR THE PETITIONERS
SETH P. WAXMAN
Solicitor General
Counsel of Record
Department of Justice
Washington, D.C. 20530-0001
(202) 514-2217
In the Supreme Court of the United States
OCTOBER TERM, 1998
No. 98-369
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION, WASHINGTON, D.C., AND NATIONAL
AERONAUTICS
AND SPACE ADMINISTRATION
OFFICE OF THE INSPECTOR GENERAL, PETITIONERS
v.
FEDERAL LABOR RELATIONS AUTHORITY AND
AMERICAN FEDERATION OF GOVERNMENT
EMPLOYEES, AFL-CIO
ON WRIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE ELEVENTH CIRCUIT
REPLY BRIEF FOR THE PETITIONERS
This case turns on whether an investigator of the NASA-OIG is a "representative
of the agency" within the meaning of the Federal Service Labor-Management
Relations Statute (FSLMRS), 5 U.S.C. 7114(a)(2)(B).1 As we demonstrate in
our opening brief, a "representative of the agency" in Section
7114(a)(2)(B) must be a representative of agency management, and the Inspector
General cannot be such a representative because of the independence conferred
on him by the Inspector General Act, 5 U.S.C. App. 3. Respondents' contrary
arguments fail to appreciate the fundamental independence of an Inspector
General from agency management.2
1. The FLRA appears to agree that a "representative of the agency"
must be a representative of agency management, as opposed to just another
employee.3 See Pet. App. 40a-41a (term does not exclude "management
personnel employed in other subcomponents of the agency"); FLRA Br.
16, 21-28. Indeed, that proposition follows from the text and structure
of the FSLMRS: the statute itself governs labor-management relations in
the federal sector, and the section at issue here (7114) is captioned the
"[r]epresentation rights and duties" of labor and management.4
Neither respondent contests that, in all three places in the FSLMRS in which
the words "representative of the agency" appear, the statute addresses
the relationship between management and those employees who are given rights
under the FSLMRS arising out of the collective bargaining relationship between
labor and management. See 5 U.S.C. 7103(a)(12), 7114(a)(2)(A) and (B); see
also Pet. Br. 18-19.
2. Respondents' fundamental error is to assert that an Inspector General
is part of, or represents, agency management for purposes of applying Section
7114(a)(2)(B). The express purpose of the Inspector General Act was to create
investigative units "independent" of agency management. See 5
U.S.C. App. 3 § 2. Although the FLRA is correct that the Inspector
General Act does not provide "absolute autonomy" from agency management
(Br. 33), numerous provisions of the Inspector General Act demonstrate that
Congress intended an Inspector General to have sufficient independence to
prevent an OIG agent from being a "representative of the agency"
for purposes of Section 7114(a)(2)(B). For example, no agency manager can
exercise authority over OIG functions. 5 U.S.C. App. 3 § 3(a). The
head of the agency can neither compel an OIG to undertake a particular investigation
nor direct how it will be conducted. See 5 U.S.C. App. 3 § 3(a); Pet.
Br. 26. And the Inspector General has autonomy to "make such investigations
* * * as are, in the judgment of the Inspector General, necessary or desirable."
5 U.S.C. App. 3 § 6(a)(2).
Contrary to AFGE's contentions (Br. 14, 30-31), the fact that an OIG is
under the "general supervision" of the agency head, 5 U.S.C. App.
3 § 3(a), does not give that officer any power to regulate the OIG's
activities, compel the OIG to engage in collective bargaining with agency
employees, or require the OIG to comply with investigative procedures collectively
bargained by agency management with its unions. See NRC v. FLRA, 25 F.3d
229, 235 (4th Cir. 1994) ("general supervision" provided by the
statute is only "nominal"). Indeed, Congress placed OIGs under
the "general supervision" of the agency head only to overcome
concerns that the Inspector General's work might be "significantly
impaired if he does not have a smooth working relationship with the department
head." S. Rep. No. 1071, 95th Cong., 2d Sess. 9 (1978). Moreover, because
the Inspector General derives authority to investigate from the Inspector
General Act and not from the agency head, an Inspector General conducts
investigations only because he has chosen to do so and not because of any
authority delegated by the agency head. See Pet. Br. 26; 5 U.S.C. App. 3
§§ 2(1), 4(a).5
Respondents correctly note that agency management has wide discretion to
designate a person as a "representative of the agency," whether
for purposes of collective bargaining or for the discussions and examinations
that are the subject of Section 7114(a)(2). FLRA Br. 27; AFGE Br. 14. Contrary
to the FLRA's suggestion (Br. 27-28), petitioners do not dispute that anyone
designated by agency management to conduct investigatory interviews of federal
employees would be a "representative" of management for that purpose.
But agency management cannot designate the Inspector General for that function,
because the Inspector General Act gives the Inspector General the independence
to decide when and how to conduct investigations, free of influence from
agency managers. See 5 U.S.C. App. 3 §§ 3(a), 6(a).6
Respondents erroneously contend that an Inspector General is not in fact
independent of agency management because the Inspector General must rely
on the power of agency management to compel an employee to attend an investigatory
interview. FLRA Br. 38; AFGE Br. 4, 15-17, 36-37. Although the Inspector
General relies on the assistance of management to command the presence of
witnesses at interviews-or to request documents from another agency, 5 U.S.C.
App. 3 § 6(b)(1)7-the Inspector General nonetheless functions completely
free of management in deciding "when and how" to investigate.
DOJ, 39 F.3d at 367 (quoting NRC, 25 F.3d at 234).8 Indeed, the FBI, DEA,
and all other law enforcement agencies also rely on management to compel
an employee to appear at an interview, but that fact does not transform
those entities into "representatives" of agency management.9
Nor does an Inspector General become a "representative of the agency"
simply because an OIG investigation provides a benefit to the agency. See
FLRA Br. 47; AFGE Br. 31-32. Congress intended the Inspector General to
serve the agency's interests by establishing an independent watchdog within
the agency that would provide candid management advice, conduct audits of
agency programs, and investigate wrongdoing by agency employees and third
parties that did business with agencies. The fact that an OIG may provide
investigative information to agency management (FLRA Br. 22; AFGE Br. 14-15)
does not make an Inspector General a "representative of the agency"
for purposes of the statutory Weingarten rule, just as the FBI, DEA, and
local police departments do not become representatives of the agency when
they provide investigative information to agency management about the wrongdoing
of a federal unionized employee. See Pet. Br. 42-43. Thus, the fact that
the agency benefits from the OIG's investigation does not transform an OIG
investigation into one "authorized [by] the establishment." AFGE
Br. 32.10
Finally, the fact that information obtained in an OIG investigation may
be used by agency management in a disciplinary inquiry does not make the
OIG investigator a representative of management. Upon receipt of an OIG
investigative report, agency management may take no action, conduct further
factual investigation, or initiate disciplinary proceedings. Any interviews
conducted by agency management representatives would be subject to Section
7114(a)(2)(B). And in the disciplinary process itself, an employee has a
broad range of procedural and representational rights that are unaffected
by resolution of the issue in this case. See 5 U.S.C. 7501 et seq.; 5 C.F.R.
Pt. 752. Those possibilities, however, do not transform an OIG investigation
into an act of a management representative.
3. Respondents and amicus NTEU seem to argue that Section 7114(a)(2)(B)
is designed to protect an employee from any action that may lead to discipline
(FLRA Br. 29; AFGE Br. 17-18; NTEU Br. 10), but in fact there is no basis
for such a broad claim. Like the Weingarten right on which it is modeled,
Section 7114(a)(2)(B) regulates the relationship between labor and management
in the context of a collective bargaining relationship. It does not give
employees rights in interviews by police officers or co-workers, notwithstanding
the potential for discipline in such cases, but only gives them rights in
interviews by representatives of management.
The statutory Weingarten right in Section 7114(a)(2)(B) is part of the cluster
of rights and duties that flows out of the collective bargaining relationship
between agency management and employees covered by the FSLMRS.11 The courts
of appeals have uniformly concluded that the rights and duties of Section
7114 are limited to the persons and entities who have such a collective
bargaining relationship.12 In United States Department of Veterans Affairs
v. Federal Labor Relations Authority, 1 F.3d 19 (D.C. Cir. 1993) (R. Ginsburg,
J.), for example, the court held that the FLRA could not compel an agency
to comply with disclosure obligations under 5 U.S.C. 7114(b), in the absence
of a collective bargaining relationship between labor and management. As
the court summarized its holding: the "requirement of collective bargaining
is critical to the information right described in 5 U.S.C. § 7114(b)(4)(B).
Because the VA medical personnel involved in this case had no information-rights-generating
collective bargaining agreement with the agency, and no statutory right
to engage in collective bargaining, the FLRA's [disclosure] order is unauthorized
by the FSLMRS." 1 F.3d at 23 (footnotes omitted).
The same limitation of Section 7114 rights to the collective bargaining
relationship has been sustained to permit unions to avoid representing non-member
employees of the bargaining unit in certain contexts. See American Fed'n
of Gov't Employees v. FLRA, 812 F.2d 1326, 1328 (10th Cir. 1987) (union's
duty of fair representation of all employees within bargaining unit [5 U.S.C.
7114(a)(1)] is coterminous with union's power as exclusive representative
and does not require union to represent nonmember employee who was entitled
to choose representative other than union on appeal of his case); National
Treasury Employees Union v. FLRA, 800 F.2d 1165, 1169-1170 (D.C. Cir. 1986)
(obligation of fair representation imposed on union depends on existence
of collective bargaining relationship). Since the representation rights
and duties of Section 7114(a)(2), like those of Section 7114(a)(1), also
depend on the existence of a collective bargaining relationship, the text
and intent of the FSLMRS do not support the FLRA's holding that an Inspector
General must afford union representational rights in interviews by OIG investigators,
who do not represent management. See Pet. Br. 43.
4. Respondents suggest that because Postal Inspectors were treated as representatives
of the United States Postal Service by several NLRB decisions and a D.C.
Circuit opinion, therefore so too an Inspector General should be viewed
as a representative of agency management. See FLRA Br. 28-30 (citing Eddie
L. Jenkins, 241 N.L.R.B. 141 (1979); Ralph Bell, 288 N.L.R.B. 864 (1988);
and United States Postal Serv. v. NLRB, 969 F.2d 1064 (D.C. Cir. 1992) (R.
Ginsburg, J.) (USPS)); see also AFGE Br. 19-23. That analysis is mistaken.
The issue in USPS was whether the Weingarten right "cover[ed] pre-interview
consultation between employee and union representative." 969 F.2d at
1066. The NLRB held that it did, and in upholding that construction, the
court had no reason to question the applicability of Weingarten rights to
interviews by postal inspectors-those rights had long been recognized by
the Postal Service and they were expressly recognized in the collective
bargaining agreement. Ibid.13
The analogy respondents seek to draw from the case is inapposite, because
the postal inspectors in USPS were not OIG personnel and lacked the statutory
independence that Congress has conferred on the OIGs. The postal inspectors
were Postal Service employees and agents, USPS, 969 F.2d at 1066, and although
not "under the supervision or direction of postal supervisors or managers"
(AFGE Br. 22 (quoting Ralph Bell, 288 N.L.R.B. at 865)), they reported to
and were under the supervision of the Postmaster General (ibid.). In that
respect they were just like the management-directed internal affairs investigators
whose lack of independence led Congress in 1978 to enact the Inspector General
Act (see Pet. Br. 4).14
Thus, the decision about postal inspector interviews in USPS had no necessary
implications for OIG interviews, as the court implicitly recognized when
it ultimately held that OIG interviews are not subject to Section 7114(a)(2)(B).
See DOJ, 39 F.3d at 361.15 Indeed, four years after the D.C. Circuit's decision
in USPS, Congress created an Office of the Inspector General for the Postal
Service and thereby explicitly differentiated the independence of investigators
who report to the Inspector General from that of investigators in the Inspection
Service who report to the Postmaster General. See 5 U.S.C. App. 3 §
8G(f)(1) (Supp. II 1996).
The FLRA appears to argue that postal inspectors are so similar to OIG investigators
that similar treatment is required under the FSLMRS (Br. 42 n.20), but that
argument overlooks the critical distinction between an independent investigative
entity and an internal security unit controlled by management. Many agencies
had their own internal security personnel before the establishment of OIGs,
but the Inspector General Act created an independent entity within the agency
with a different status for its investigative agents. See 5 U.S.C. App.
3 § 9 (transferring functions of various internal security offices
to the Office of Inspector General established within the named agencies).16
Contrary to the suggestion of amicus NTEU (Br. 14-15), there is nothing
implausible about the fact that in 1978 Congress extended Weingarten rights
to federal employees in interviews conducted on behalf of agency management,
and at the same time established independent investigative units whose activities
are not directed by management and not subject to Weingarten rights.17 Agencies
that have OIGs do not cease to conduct internal investigations directed
by management; indeed, they maintain internal affairs units precisely so
that agency managers can address employee misconduct that the Inspector
General (because of resource constraints or investigative priorities) chooses
not to investigate.18 A unionized employee may request union representation
pursuant to Section 7114(a)(2)(B) when an internal affairs unit conducts
the investigative interview. When an OIG agent conducts the interview, however,
concerns that management will use the investigative process to interfere
with rights collectively bargained by the union are not present, so the
employee is not entitled to request union representation.19
5. Respondents understate the extent to which the rule announced below conflicts
with specific provisions of the Inspector General Act that ensure the Inspector
General's independence.
a. Attendance of a union representative at an OIG interview interferes with
the confidential reporting and nondisclosure obligations imposed by the
Inspector General Act. See Pet. Br. 33-34. Respondents suggest that there
is no general duty of confidentiality (FLRA Br. 34, 36; AFGE Br. 34), and
that in any event, necessary confidentiality can be protected by negotiation
in the collective bargaining process of appropriate confidentiality provisions
(FLRA Br. 37; AFGE Br. 35). Both arguments are mistaken.
The duty of confidentiality is found in several provisions of the Inspector
General Act. First, the OIG must report directly to the Attorney General
(and not to the agency head) if the OIG finds reasonable grounds to believe
there has been a violation of federal criminal law. 5 U.S.C. App. 3 §
4(d). The rationale behind that provision is to maintain confidentiality
within the agency and to ensure prompt handling of the matter without political
interference from agency managers. See S. Rep. No. 1071, supra, at 30. Second,
the Inspector General Act expressly requires the Inspector General to maintain
the confidentiality of information in a criminal investigation, see 5 U.S.C.
App. 3 § 5(e)(1), and to avoid disclosing the identity of the employee
who provided information to the Inspector General regarding possible violations
of law, see 5 U.S.C. App. 3 § 7(b).20
The FLRA misses the point when it asserts (Br. 36) that a union representative
might, by clarifying the facts, assist the OIG in preparing a more accurate
report, since providing assistance by attending the interview is inconsistent
with the duty of confidentiality. Nor can the obligation of confidentiality
be safeguarded through provisions negotiated in collective bargaining, as
respondents suggest. See FLRA Br. 37; AFGE Br. 35. Because an OIG is excluded
from collective bargaining, it would be dependent on agency management to
negotiate any such provision. Such dependency is entirely inconsistent with
the statutory independence of the OIG, as the Fourth Circuit recognized
in NRC, 25 F.3d at 229 (holding that agency head was not required to bargain
over proposals pertaining to procedures for OIG investigations).
b. During the past decade, when the courts of appeals have disagreed over
whether Section 7114(a)(2)(B) is applicable to OIG investigations, the FLRA
has encouraged an expansive construction of that provision, resulting in
uncertainty for OIG agents and interference with OIG control over investigations.
In DOJ, 39 F.3d at 367, for example, the union representative sought the
right to halt the interview in order to discuss answers to questions outside
the hearing of the investigator. That "right" unquestionably interferes
with the OIG's conduct of an investigation-by subjecting the investigator
to external rules of procedure and by depriving the OIG of the frank and
unrehearsed answers of the employee. The FLRA responds that it has recently
decided that there is no per se right for the union representative and the
employee to halt the investigation in order to step outside the room and
consult regarding the answers to certain questions. Br. 40. The FLRA's response,
however, highlights two points: the FLRA recognizes some right to halt an
OIG interview, and OIGs will only know whether they have deprived a union
representative of that "right" after they have been found guilty
of an unfair labor practice.
The FLRA argues that the right to consult during or in advance of an interview
is not disruptive and "advances the purposes of Weingarten" (Br.
40), but that argument misses the point. The right to consult is necessarily
disruptive in the sense that any external procedure imposed on the Inspector
General interferes with his ability to decide how best to conduct an investigation.
And while consultation might advance the Weingarten purpose of alleviating
tensions and misunderstandings between labor and management when agency
managers investigate employee misconduct, that objective has little relevance
to an OIG investigation because an Inspector General is not an employer-manager
of the interviewee.
c. The FLRA concedes that if this Court accepts its construction, the scope
of Weingarten rights will be subject to wider and wider expansion in collective
bargaining negotiations. Br. 43 (petitioners' "point [at Pet. Br. 37-38]
is correct"). Accordingly, the full extent of the rule's impact on
the OIG's investigative independence is not now knowable.21 Because the
FSLMRS gives unions the power to negotiate to impasse in order to have their
proposals imposed on the agency, see 5 U.S.C. 7119(b) and (c), an OIG's
freedom to investigate wrongdoing by unionized employees could be sharply
curtailed.
It is no answer that the agency can negotiate in this area, or ultimately
seek judicial review of any adverse resolution of a dispute by the FLRA.
See FLRA Br. 43. As noted above, it is fundamentally inconsistent with the
independence of the Inspector General to make the OIG dependent on agency
management to negotiate about OIG investigative procedures. See p. 14, supra.
Affording agency management that kind of leverage over an Inspector General
is inconsistent with the text and purposes of the Inspector General Act.22
d. The requirement of union representation at investigative interviews creates
special problems in criminal investigations conducted jointly by an OIG
with other law enforcement agencies. Pet. Br. 36. Law enforcement agencies
are likely to decline collaboration with an OIG if the latter's presence
carries with it the obligation to comply with the Weingarten rule, as the
FLRA has opined that it does. See, e.g., AFGE Local 3316, 35 F.L.R.A. 790,
802 (1990) (Weingarten rule applies to FBI investigatory interview where
OIG investigator was also present and participated in the interview because
the information obtained from the employee "could, and in all probability
would," be forwarded to the agency).
The FLRA acknowledges a potential problem in criminal investigations (Br.
43), notes that "virtually any workplace matter being investigated
involves conduct that could be characterized as a crime" (Br. 44),
and contends that the FLRA and the courts of appeals can solve the problem
by determining on a case-by-case basis whether the Weingarten right should
apply. (Br. 43). The result of such a regime, however, will be to leave
OIG investigators without guidance, requiring them to guess when and whether
the FLRA will impose an unfair labor charge if the Inspector General restricts
the participation of a union representative. That uncertainty is intolerable
where, as here, the OIG cannot be certain before the interview whether its
investigation of the facts will culminate in a criminal prosecution or disciplinary
proceedings.23 The price of the FLRA's uncertainty is made even higher by
the fact that it has created an exclusionary rule to enforce the statutory
Weingarten provision-evidence of wrongdoing by an employee cannot be used
for discipline if the evidence was obtained in violation of the rule. See
AFGE Local 1917, No. BN-CA-50149, 1996 WL 560250, at *9 (FLRA July 30, 1996)
(ALJ found DOJ-OIG to have violated Weingarten right and enjoined agency
from using information gathered at interview to support any disciplinary
action), rev'd sub nom. FLRA v. United States Dep't of Justice, 137 F.3d
683 (2d Cir. 1998), petition for cert. pending, No. 98-667.
6. In arguing that NASA-HQ is responsible for any unfair labor practice
that may have been committed by NASA-OIG, the FLRA concedes (Br. 46) that
"NASA-HQ may not prevent NASA-OIG from initiating, carrying out, or
completing an audit or investigation" but argues that "the IG
Act gives no indication that an agency head is prohibited from directing
the OIG to comply with a federal statute." Yet as this case demonstrates,
there may be a substantial difference of opinion about the proper construction
of the relevant statute. Because an agency head does not have the authority
to tell an Inspector General how to conduct an audit or investigation, see
5 U.S.C. App. 3 § 3(a), agency headquarters should not be liable if
an Inspector General adheres to an interpretation that is ultimately rejected
by the courts. See Pet. Br. 47-48. Nor does the fact that an Inspector General's
work ordinarily produces some benefit to the agency change that result (FLRA
Br. 47), in light of the fact that an Inspector General conducts his own
investigation, and not the agency's. See p. 3, supra; Pet. Br. 44-45.
* * * * *
For the foregoing reasons, and those stated in our opening brief, the judgment
of the court of appeals should be reversed.
Respectfully submitted.
SETH P. WAXMAN
Solicitor General
MARCH 1999
1 All parties agree that the relevant "agency" in this case is
NASA. Contrary to the suggestion of AFGE (Br. 24-25), petitioners do not
contend otherwise.
2 As we explain in our opening brief (at 39-40), the FLRA's determination
is not entitled to deference, because it erroneously construed the FSLMRS
and-more important-because it failed to consider adequately the implications
of the Inspector General Act for the question whether the Inspector General
can be a "representative of the agency."
3 Neither respondent appears to contend that the procedures of Section 7114(a)(2)
govern one co-worker's attempt to question another about some matter the
resolution of which could ultimately result in disciplinary action. A co-worker
acting on his own initiative is not a "representative of the agency"
within the meaning of the statute, because a co-worker does not represent
agency management.
4 Contrary to the suggestion of AFGE (Br. 28), we do not contend that, in
order to be a representative of the agency in a Section 7114(a)(2)(B) examination,
a questioner must also be the agency's collective bargaining representative.
But the questioner must represent agency management, which an OIG agent
does not do.
5 The FLRA mistakenly suggests that an Inspector General is part of agency
"management" for purposes of applying Section 7114(a)(2)(B) because
the Inspector General provides policy recommendations to agency management
(Br. 32 n.15). To the contrary, while the Inspector General Act imposes
a duty to make policy recommendations, which the agency head is not obliged
to accept, see 5 U.S.C. App. 3 § 4(a)(1)-(3), the Act bars the OIG
from participating in the actual "performance" of agency management
functions. 5 U.S.C. App. 3 § 9(a) ("there shall not be transferred
to an Inspector General under paragraph (2) program operating responsibilities").
6 Nor could the agency head designate the Inspector General as its representative
for collective bargaining, because the Inspector General Act expressly precludes
the Inspector General from engaging in policy or programmatic functions
of which collective bargaining is a core type. See 5 U.S.C. App. 3 §
9(a).
7 The AFGE reads that provision as pertaining to an OIG's request for documents
from the agency within which it is established (Br. 37), but that reading
is mistaken. See 5 U.S.C. App. 3 § 6(a)(1).
8 AFGE contends that the OIG investigator here acted for NASA-HQ by threatening
P with discipline if he did not cooperate. Br. 15 (citing Pet. App. 19a).
The OIG has no authority to discipline an agency's employees. It can merely
report an employee's noncooperation to agency management, for such action
as management chooses to take.
9 The FLRA is also mistaken in its suggestion that the independence of an
Inspector General is undercut by limitations imposed by the Privacy Act
and the appropriations process (Br. 33-34). Those limitations apply to all
Executive Branch entities, and do not provide a basis for distinguishing
between independent and dependent entities.
10 Respondents argue that an OIG investigator is a representative of an
agency under 5 U.S.C. 555(b), which provides a right to counsel for a "person
compelled to appear in person before an agency or representative thereof,"
and therefore the OIG investigator must also be a representative of the
agency under 5 U.S.C. 7114(a)(2)(B) (FLRA Br. 36-37; AFGE Br. 17 n.4). They
are mistaken on both counts.
First, it is doubtful that Section 555(b) applies to OIG investigative interviews.
Section 555(b) is part of the Administrative Procedure Act (APA), which
concerns rulemakings, adjudications, and other agency proceedings, and not
law enforcement investigations like those conducted by the OIG. In any event,
Section 555(b) applies only when a person is "compelled to appear,"
which is not the case in most OIG interviews, including this one (see Pet.
App. 61a).
Second, even if Section 555(b) does apply to OIG interviews and the OIG
investigator is a "representative" of "an agency" for
that purpose, it does not follow that an OIG investigator is also a "representative
of the agency" within the meaning of Section 7114(a)(2)(B). The APA
and the FSLMRS define "agency" differently. Compare 5 U.S.C. 551(1)
("each authority of the Government of the United States, whether or
not it is within or subject to review by another agency") with 5 U.S.C.
7103(a)(3) (1994 & Supp. II 1996) ("Executive agency"). Thus,
the OIG itself may be an agency under the APA, and not under the FSLMRS
(see AFGE Br. 25 & n.8; FLRA Br. 20). And an OIG investigator who interviews
an employee may thus be a "representative" of "an agency"
(the OIG) for purposes of the APA, but not a "representative"
of the employee's agency (in this case NASA) for purposes of 5 U.S.C. 7114(a)(2)(B).
11 The representational rights in Section 7114(a)(2)(B) are not absolute:
the employee must request them and the interviewer is not obligated to advise
the employee of their existence; if an "exclusive representative"
has not been designated, the interviewer is not required to permit a union
representative to participate in the interview; and federal workers that
fall outside the definition of "employee" (5 U.S.C. 7103(a)(2))
or are excluded from the bargaining unit (5 U.S.C. 7112(b)) are not entitled
to invoke them.
12 Every right in Section 7114 flows out of the collective bargaining relationship.
Section 7114(a)(1) specifies what the "labor organization which has
been accorded exclusive recognition [and] is the exclusive representative
of the employees in the unit" is entitled to do; Section 7114(a)(2)
specifies when the "exclusive representative" may be "represented"
at discussions or examinations conducted by "representatives of the
agency"; Section 7114(a)(3) requires the agency annually to inform
"employees" (as defined in Section 7103(a)(2)) of their representation
rights; Section 7114(a)(4) requires an agency and the exclusive representative
to "meet and negotiate in good faith for the purposes of arriving at
a collective bargaining agreement"; and Section 7114(a)(5) provides
that the "rights of an exclusive representative" shall not preclude
an employee from other rights of representation. Section 7114(b) provides
the requirements of "good faith" that the "exclusive representative"
and agency must exhibit in their negotiations. Section 7114(c) provides
for the "head of the agency" to approve an "agreement"
between the "agency and an exclusive representative."
13 The Postal Service is regulated under the National Labor Relations Act,
not the FSLMRS. See 39 U.S.C. 1209.
14 By contrast, OIGs are created separately and independently from the agency
and Inspectors General have authority to hire and fire their own staffs.
See generally Pet. Br. 25 & n.12, 25-33; 5 U.S.C. App. 3 § 6(a)(7).
15 Judge Randolph, who had joined the court's opinion in USPS, was the author
of the DOJ decision, thus suggesting that he discerned no conflict between
applying Weingarten rights to interviews conducted by management-supervised
investigative agents and disallowing such rights in interviews conducted
by OIG agents.
16 Neither respondent contests the observation in our opening brief (at
21-22 & n.9) that private-sector Weingarten rights do not recognize
a right to union representation when an employee is interviewed by a law
enforcement agency, such as the FBI. Just as an FBI investigation in the
private sector context is not controlled by management, so too here an OIG
investigation is not controlled by an agency's management.
17 Contrary to NTEU's assertion (Br. 14), creation of an Inspector General
in an agency did not and does not "repeal" any rights under Section
7114(a)(2)(B). Those rights apply in any management-directed interview when
requested by an employee who reasonably fears disciplinary action. Rather,
by creating independent OIG investigative units, Congress provided that,
when an Inspector General conducts the interview, Section 7114(a)(2)(B)
does not apply, since the Inspector General is not part of "management"
for that purpose. Congress could have achieved the same result by transferring
management-directed internal affairs units to the FBI, but it chose instead
to create independent Offices of Inspector General that would conduct investigations
and audits of agency programs. (Notably, the FLRA has not adopted the NTEU's
argument.)
18 See, e.g., 8 C.F.R. 103.1(e) (Immigration and Naturalization Service
creation of Office of Internal Audit "to conduct or direct the conduct
of investigations of alleged misconduct by Service employees, subject to
agreements" with the Department's Office of Inspector General); 60
Fed. Reg. 22,100, 22,130, 22,133 (1995) (contrasting duties of Office of
Labor Management Relations and Office of Program and Integrity Reviews with
Office of Inspector General in Social Security Administration); id. at 4417
(describing Food and Drug Administration Office of Internal Affairs and
investigative liaison function with Department of Health and Human Services
OIG).
19 Thus, while the AFGE cites references in the legislative history of the
FSLMRS to the Weingarten rule in interviews by an agency's internal security
force (Br. 19-23), those references provide no support for the application
of the rule to investigators of a new and independent Office of Inspector
General. NTEU's reliance (Br. 13) on a predecessor version of Section 7114(a)(2)(B),
sponsored by Representative Clay, is also misplaced. See also AFGE Br. 20-22.
That version preceded the Udall compromise that became the bill that was
enacted into law. See Pet. Br. 23-24 n.10. Accordingly, the predecessor
version and the discussion surrounding it are of little value in understanding
the intent behind the FSLMRS, as enacted. Representative Clay was a reluctant
supporter of the Udall Amendment, see 124 Cong. Rec. H9637 (daily ed. Sept.
13, 1978), reprinted in Legislative History, supra, at 930-931, and this
Court has emphasized that the views of legislators who seek a more restrictive
wording should not control the interpretation of a statute that was the
result of a compromise like the FSLMRS. Hardin v. Kentucky Util. Co., 390
U.S. 1, 11 (1968). Notably, the FLRA has not relied on the predecessor version
or the legislative history cited by the AFGE and NTEU.
20 Citation to those provisions was inadvertently omitted from our opening
brief. See AFGE Br. 33-34.
21 The FLRA seemingly acknowledges (Br. 39) an uncertain scope to the rule,
but notes that it is not boundless and that the FLRA "has recognized
limits on a union representative's participation in section 7114(a)(2)(B)
examinations."
22 Moreover, if investigative procedures were subject to collective bargaining,
the result would be to create grave practical problems for OIG agents, who
would be required to know the nuances of collective bargaining agreement
provisions contained in dozens (and even hundreds) of agreements with the
agency before they could conduct an interview in a manner that would not
subject them to an unfair labor charge. See Pet. Br. 6.
23 Taking a sentence from the OIG's testimony before the ALJ, the FLRA (Br.
6 n.4) and the court of appeals (Pet. App. 23a-24a n.12) have drawn the
erroneous conclusion that the OIG agent's belief prior to the interview
that P had not committed a prosecutable crime was somehow dispositive in
making the interview part of an administrative disciplinary investigation
as opposed to a criminal probe. The agent's belief prior to the interview
was necessarily subject to modification as a result of facts learned in
the interview or otherwise. It would be unworkable to make the application
of Section 7114(a)(2)(B) turn on the decision (made after an interview)
whether to refer a matter for prosecution.