Table of ConTenTs �

Table ConTenTs

CHaPTeR 1: oveRview of THe legal fRamewoRk of gRievanCe-aRbiTRaTion in THe fedeRal seCToR .................................................................................. 1

I. OVERVIEw ...................................................................................................................................................................................1A. INFLUENCE OF ThE PRIVATE SECTOR ON FEDERAL SECTOR gRIEVANCE ARBITRATION .................................. 1

1. Federal Sector Collective Bargaining Arbitration Provisions Introduced by Executive Order ................ 12. Executive Order Allowed Federal Sector to Mimic Private Sector ..................................................................... 1

B. ENACTMENT OF ThE CIVIL SERVICE REFORM ACT OF 1978 ......................................................................................... 2

CHaPTeR 2: advoCaTe seleCTion, Case invesTigaTion, and evaluaTion ............. 3I. OVERVIEw ...................................................................................................................................................................................3II. SELECTINg ThE ADVOCATE whO wILL wIN ThE CASE ............................................................................................3

A. gRAVITy AND COMPLExITy OF ThE ISSUE(S) .................................................................................................................... 3B. ASSESS ThE REqUIRED SkILLS OF yOUR ADVOCATE ...................................................................................................... 3C. SkILLS OF OPPOSINg ADVOCATE ............................................................................................................................................ 3D. wILL yOUR ADVOCATE BE A wITNESS? ................................................................................................................................. 3E. whO IS ThE ARBITRATOR? .......................................................................................................................................................... 3

III. INVENTORy ThE CASE FILE ..................................................................................................................................................4IV. CREATE AN INVESTIgATION PLAN ....................................................................................................................................4V. RESEARCh ThE CONTRACT ..................................................................................................................................................5

A. CONTRACT LANgUAgE ................................................................................................................................................................ 5B. SUPPLEMENTAL AgREEMENTS ................................................................................................................................................. 5C. ARBITRATION DECISIONS ............................................................................................................................................................ 5D. BARgAININg hISTORy .................................................................................................................................................................. 5E. PAST PRACTICE ................................................................................................................................................................................ 5F. PRIOR SETTLEMENTS .................................................................................................................................................................... 6g. TRADE USAgE .................................................................................................................................................................................. 6h. SUBjECT MATTER ExPERTS ........................................................................................................................................................ 6I. ThE OPPOSITION ............................................................................................................................................................................ 6

VI. hOw TO INTERVIEw POTENTIAL wITNESSES ...............................................................................................................7A. ThE RIghT TO INTERVIEw wITNESSES .................................................................................................................................. 7B. UNION AND EMPLOyEE INTERVIEw RIghTS ....................................................................................................................... 7

1. Formal Discussions ............................................................................................................................................................. 72. Investigative Examinations .............................................................................................................................................. 83. Conditions for Union Representation at an Investigatory Interview ............................................................... 84. Notification of Employee’s Right to Representation in the Interview .............................................................. 95. Role of the Representative During the Interview .................................................................................................... 96. Refusal as an Unfair Labor Practice ............................................................................................................................... 97. Order of Interviews of Fact witnesses ......................................................................................................................... 9

VII. INTERVIEw TIPS...................................................................................................................................................................... 10A. LOCATION OF ThE INTERVIEw ................................................................................................................................................10B. ThE ATTENDEES ............................................................................................................................................................................10C. PERSONAL INTERVIEw STyLE ..................................................................................................................................................11D. qUESTION wITNESSES ABOUT FILE DOCUMENTS .........................................................................................................11

VIII. SECURE RELEVANT DOCUMENTATION ......................................................................................................................... 12Ix. RESEARCh AND kNOw ThE LAw.................................................................................................................................... 13x. EVALUATE yOUR CASE ......................................................................................................................................................... 13

A. DEVELOP A PROOF MATRIx ......................................................................................................................................................131. Elements of Contractual/Legal Standard .................................................................................................................142. Relevant Facts .....................................................................................................................................................................143. Source ...................................................................................................................................................................................144. Credibility .............................................................................................................................................................................145. Admissibility .......................................................................................................................................................................15

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6. Comments ...........................................................................................................................................................................15xI. EVALUATE yOUR OPPONENT’S CASE ............................................................................................................................ 15xII. DECISION TIME: MOVE FORwARD, REMAND, OR SETTLE ..................................................................................... 16xIII. FINAL ORgANIzATIONAL TIPS ......................................................................................................................................... 16

CHaPTeR 3: aRbiTRaToR seleCTion ................................................................................. 17I. OVERVIEw ................................................................................................................................................................................ 17II. COLLECTIVE BARgAININg AgREEMENT PROCEDURES IN ARBITRATOR SELECTION ............................... 17

A. SELECTION OF PERMANENT ARBITRATORS .......................................................................................................................171. Single Arbitrator ................................................................................................................................................................172. house Panel ........................................................................................................................................................................18

a. Rotating Panel........................................................................................................................................................18b. Pool Selection ........................................................................................................................................................18

B. SELECTION OF aD hoC ARBITRATORS .................................................................................................................................181. Federal Mediation and Conciliation Service (FMCS) ............................................................................................18

a. ad hoc Selection Methods ................................................................................................................................19i. Strike Method of Selection ...................................................................................................................19ii. Strike-Plus-Rank Method of Selection ..............................................................................................19

2. American Arbitration Association ...............................................................................................................................20III. DETERMINE ThE BEST ARBITRATOR FOR yOUR CASE ............................................................................................ 20

A. NATIONAL ACADEMy OF ARBITRATORS .............................................................................................................................20B. ARBITRATORS USED By TRUSTED COLLEAgUES .............................................................................................................20C. PUBLIShED DECISIONS OR ARTICLES ..................................................................................................................................20D. UNPUBLIShED DECISIONS ........................................................................................................................................................21E. ARBITRATOR EVALUATION SERVICES ...................................................................................................................................21F. ThE INTERNET ................................................................................................................................................................................21g. ARBITRATOR INTERVIEwS .........................................................................................................................................................21h. PROFESSIONAL ASSOCIATIONS .............................................................................................................................................21

IV. INABILITy TO AgREE ON AN ARBITRATOR .................................................................................................................. 21V. NOTIFy ThE ARBITRATOR OF SELECTION ................................................................................................................... 21

A. PROhIBITION ON ex parTe COMMUNICATION wITh ThE ARBITRATOR ................................................................22VI. CONDITIONS FOR ARBITRATOR ACCEPTANCE OR REjECTION ........................................................................... 22

A. FACTORS AFFECTINg ACCEPTANCE .....................................................................................................................................22B. DISCLOSURE OF POTENTIAL CONFLICTS OF INTEREST ................................................................................................22C. ARBITRATOR RECUSAL ...............................................................................................................................................................22

VII. qUALITIES OF AN IDEAL ARBITRATOR.......................................................................................................................... 23A. IMPARTIALITy .................................................................................................................................................................................23B. PERSONAL INTEgRITy ................................................................................................................................................................23C. EDUCATION AND ExPERIENCE ...............................................................................................................................................23D. EFFICIENCy DURINg hEARINg ...............................................................................................................................................23E. PARTICIPATION IN ThE hEARINg ............................................................................................................................................23F. PROMPTNESS AND CLARITy OF AwARD ............................................................................................................................24g. CONTRACT INTERPRETATION TENDENCIES .......................................................................................................................24h. FLUENCy IN A SECOND LANgUAgE .....................................................................................................................................24I. FEES ....................................................................................................................................................................................................24

CHaPTeR 4: Case PRePaRaTion ......................................................................................... 25I. OVERVIEwS ............................................................................................................................................................................. 25II. DEVELOP A PERSUASIVE CASE NARRATIVE ................................................................................................................ 25III. MEASURE TwICE, AND CUT ONCE: FINALIzE yOUR CASE STRATEgy ............................................................. 26

A. IDENTIFy ALL CONTRACTUAL/LEgAL ELEMENTS OF EACh CLAIM .........................................................................26B. SELECT ThE BEST EVIDENCE FOR EACh CLAIM ELEMENT ...........................................................................................26C. SPECIFy ThE ARgUMENTS AND EVIDENCE TO BE PRESENTED .................................................................................26D. DO NOT FORgET TO ADDRESS REMEDIES .........................................................................................................................27

IV. ENSURE yOUR ARgUMENT IS SOUND AND REASONED ....................................................................................... 27V. ENSURE ThE EVIDENCE SUPPORTS yOUR ARgUMENTS ....................................................................................... 28VI. DETERMINE hOw EVIDENCE wILL BE ENTERED INTO ThE RECORD................................................................ 29

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A. STIPULATIONS ................................................................................................................................................................................29B. ORAL TESTIMONy .........................................................................................................................................................................29C. wRITTEN DOCUMENTS ..............................................................................................................................................................29D. REAL AND DEMONSTRATIVE EVIDENCE ..............................................................................................................................29

VII. ANTICIPATE AND PLAN FOR EVIDENTIARy OBjECTIONS .................................................................................... 30VIII. MAP ThE SEqUENCE OF yOUR CASE: FOUR IMPORTANT PRINCIPLES OF PERSUASION ......................... 30

A. PRIMACy ...........................................................................................................................................................................................30B. RECENCy ..........................................................................................................................................................................................30C. INOCULATION ................................................................................................................................................................................30D. REPETITION .....................................................................................................................................................................................30

Ix. CREATE A TRIAL NOTEBOOk ............................................................................................................................................ 31x. PRODUCE AN ExhIBIT BINDER ........................................................................................................................................ 32xI. DETERMINE hOw yOU wILL CLOSE: TO BRIEF OR NOT ........................................................................................ 32xII. TIPS FOR EFFECTIVE ARBITRATION ADVOCACy ....................................................................................................... 33xIII. A FINAL wORD ....................................................................................................................................................................... 34

CHaPTeR 5: PReHeaRing PRaCTiCe ................................................................................... 35I. OVERVIEw ................................................................................................................................................................................ 35II. hEARINg DATE, LOCATION, AND RELATED ARRANgEMENTS ............................................................................ 35

A. CONSIDERATIONS BEFORE SETTINg A hEARINg DATE ................................................................................................35B. hEARINg SITE ACCOMMODATIONS; SEqUESTRATION .................................................................................................36

1. Room Size ............................................................................................................................................................................362. witness waiting Area .......................................................................................................................................................363. Table Configuration ..........................................................................................................................................................364. Other Amenities ................................................................................................................................................................36

C. ADDRESS SECURITy ISSUES .....................................................................................................................................................37D. TELEPhONIC AND VIDEO hEARINgS ....................................................................................................................................37E. hEARINg TRANSCRIPTS AND RECORDINgS ......................................................................................................................37F. INTERPRETERS ...............................................................................................................................................................................38g. DISAgREEMENT ON hEARINg, DATE, TIME, LOCATION AND RELATED MATTERS .............................................39

III. PREhEARINg CONFERENCE AND MOTIONS .............................................................................................................. 39A. PREhEARINg CONFERENCE AND SChEDULINg ORDER ..............................................................................................39

IV. ChALLENgES TO ARBITRABILITy .................................................................................................................................... 39A. PROCEDURAL ARBITRABILITy .................................................................................................................................................39B. SUBSTANTIVE ARBITRABILITy .................................................................................................................................................40

1. grievances and EEO Discrimination Complaints ...................................................................................................412. grievances and Chapter 45 and Chapter 75 MSPB Actions ...............................................................................413. Prohibited Personnel Practices (Other Than Discrimination) ............................................................................41

C. BIFURCATION .................................................................................................................................................................................42V. MOTIONS in limine ............................................................................................................................................................. 42

A. ThIRD PARTy INTERVENTION ..................................................................................................................................................42B. REASONABLE TIME FOR UNION TO PREPARE FOR hEARINg ......................................................................................43

VI. DISCOVERy DISPUTES: MOTIONS, SUBPOENAS AND UNFAIR LABOR PRACTICE ChARgES ................. 43A. MOTIONS..........................................................................................................................................................................................44B. SUBPOENAS ....................................................................................................................................................................................44C. UNFAIR LABOR PRACTICE ChARgE .......................................................................................................................................44

VII. CONTINUANCE (POSTPONEMENT) REqUESTS ......................................................................................................... 46VIII. PREhEARINg PRACTICE POINTERS ................................................................................................................................ 46

CHaPTeR 6: wiTness seleCTion and PRePaRaTion ..................................................... 47I. OVERVIEw ................................................................................................................................................................................ 47II. CRITERIA FOR wITNESS SELECTION .............................................................................................................................. 47

A. TyPES OF FUNCTIONAL wITNESSES .....................................................................................................................................471. Fact witnesses ....................................................................................................................................................................47

a. Participating witnesses ......................................................................................................................................47b. Eyewitnesses ..........................................................................................................................................................47c. Explanatory witnesses ........................................................................................................................................47

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2. Foundation witnesses .....................................................................................................................................................473. Character witnesses .........................................................................................................................................................484. Expert witnesses ...............................................................................................................................................................48

B. wITNESSES’ PERFORMANCE ON ThE STAND.....................................................................................................................48III. wITNESS PREPARATION ..................................................................................................................................................... 49

A. gENERAL CONSIDERATIONS ....................................................................................................................................................49B. TIMINg OF wITNESS PREPARATION ......................................................................................................................................49C. INDIVIDUAL VS. gROUP PREPARATION ...............................................................................................................................49

IV. STEPS FOR PREPARINg wITNESSES .............................................................................................................................. 49A. DESCRIBE ThE CASE’S BACkgROUND ..................................................................................................................................49B. ExPLAIN ThE ARBITRATION PROCESS..................................................................................................................................49C. PROVIDE ThE FACTUAL, CONTRACTUAL, AND LEgAL CONTExT OF ThE DISPUTE ..........................................50D. REVIEw DOCUMENTS TO BE SUBMITTED ThROUgh ThE wITNESS ........................................................................50E. DO’S AND DON’TS OF TESTIFyINg ........................................................................................................................................51F. REhEARSE DIRECT AND CROSS-ExAMINATION ...............................................................................................................52

V. PREPARE yOUR wITNESS FOR DIRECT ExAMINATION .......................................................................................... 53A. CREATE AN OUTLINE OF wITNESS TESTIMONy ...............................................................................................................53

1. Draft questions or “wing It” at hearing? ..................................................................................................................532. Presentation of Testimony .............................................................................................................................................54

a. Chronological Order ............................................................................................................................................54b. Primacy Order ........................................................................................................................................................54

B. DRAFT qUESTIONS wITNESSES CAN ANSwER ................................................................................................................54C. REhEARSE wITh yOUR wITNESSES .......................................................................................................................................54D. yOUR wORST NIghTMARE .......................................................................................................................................................54E. PRACTICE MAkES PERFECT ......................................................................................................................................................56

VI. PREPARE yOUR wITNESS FOR CROSS-ExAMINATION ............................................................................................ 56A. PREPARINg ExPERT wITNESSES .............................................................................................................................................56

VII. OThER wITNESS ISSUES ..................................................................................................................................................... 56A. CONFIRM DATE, TIME, AND PLACE OF TESTIMONy ........................................................................................................56B. CONFIRM TRANSPORTATION ...................................................................................................................................................57C. CONFIRM CONTACT INFORMATION......................................................................................................................................57D. IN CASE OF EMERgENCy ...........................................................................................................................................................57E. PAy ISSUES .......................................................................................................................................................................................57F. ASk ABOUT SPECIAL NEEDS ....................................................................................................................................................57

CHaPTeR 7: HeaRing day PReliminaRies ....................................................................... 59I. OVERVIEw ................................................................................................................................................................................ 59II. ARRIVE EARLy ......................................................................................................................................................................... 59

A. ROOM ARRANgEMENT ..............................................................................................................................................................59B. gET ORgANIzED BEFORE yOU ATTEND TO OThER ISSUES.........................................................................................59

III. PROCEDURAL ISSUES .......................................................................................................................................................... 59A. ADMISSION OF ExhIBITS INTO ThE RECORD ....................................................................................................................59B. STIPULATION AgREEMENTS .....................................................................................................................................................59C. AgREEMENT ON STATEMENT OF ThE ISSUE ......................................................................................................................60D. whERE ARE ThE wITNESSES? .................................................................................................................................................60E. whERE IS My gRIEVANT? .........................................................................................................................................................60F. DISCOVERy DISPUTES ................................................................................................................................................................60g. ARBITRABILITy ChALLENgES ..................................................................................................................................................60

IV. ATTENDEES AND wITNESS SEqUESTRATION ............................................................................................................ 60V. PRACTICE POINTERS FOR hEARINg DAy .................................................................................................................... 61

CHaPTeR 8: oPening sTaTemenTs .................................................................................... 63I. OVERVIEw ................................................................................................................................................................................ 63II. OPENINg STATEMENT PROCEDURES ............................................................................................................................ 63

A. ThE ARBITRATOR’S gENERAL RULE.......................................................................................................................................63B. NEVER wAIVE yOUR OPENINg STATEMENT .......................................................................................................................63C. ADVANTAgES OF ThE RESPONDINg PARTy TO RESERVE ON OPENINg STATEMENT ......................................63

1. Revealing Information Useful to the Opposition ..................................................................................................632. Opposition Cannot Prove Its Case ..............................................................................................................................64

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3. First Impressions Matter .................................................................................................................................................64III. OBjECTIVES OF AN OPENINg STATEMENT ................................................................................................................. 64IV. CONTENT OF AN OPENINg STATEMENT ...................................................................................................................... 65

A. PROhIBITION OF ARgUMENT ..................................................................................................................................................65B. INAPPROPRIATE COMMENTS...................................................................................................................................................65C. DISCUSSION OF ThE CONTRACTUAL OR LEgAL STANDARD .....................................................................................65D. DISCUSSION OF ThE FACTS ......................................................................................................................................................66E. EThICAL CONSIDERATIONS FOR ATTORNEy ADVOCATES ..........................................................................................66F. REMEDy SOUghT .........................................................................................................................................................................66g. ADMISSIONS AND OMISSIONS ..............................................................................................................................................66h. COMMENTS REgARDINg ThE OPPOSITION’S OPENINg STATEMENT .....................................................................67I. OBjECTIONS TO OPENINg REMARkS ...................................................................................................................................67

V. PREPARATION AND PLANNINg ....................................................................................................................................... 68A. LENgTh OF STATEMENT ............................................................................................................................................................68B. ELEMENTS OF AN EFFECTIVE OPENINg STATEMENT ....................................................................................................68C. ThEORy AND ThEME ...................................................................................................................................................................68D. USE ThE PRINCIPLES OF STORy CONSTRUCTION ...........................................................................................................69E. INCORPORATE ThE TOOLS OF PERSUASION USED By PROFESSIONAL SPEAkERS ...........................................69

1. Aristotle and Cicero ..........................................................................................................................................................70F. PRIMACy, RECENCy, AND REPETITION .................................................................................................................................70g. TOPICAL ORgANIzATION ..........................................................................................................................................................70h. PRESENT OR PAST TENSE? .........................................................................................................................................................71I. PERSPECTIVE ..................................................................................................................................................................................71j. INOCULATE BAD FACTS .............................................................................................................................................................71k. RULE OF ThREE ..............................................................................................................................................................................72L. USE ExhIBITS, PLEADINgS, AND VISUAL AND OThER AIDS .......................................................................................73

1. Pleading ................................................................................................................................................................................732. Exhibits ................................................................................................................................................................................733. Visual Aids ............................................................................................................................................................................734. Audio Recordings ..............................................................................................................................................................73

M. OUTLININg AN OPENINg STATEMENT ................................................................................................................................73N. ShOULD yOU wRITE OUT yOUR OPENINg STATEMENT? ............................................................................................73O. PRACTICE ........................................................................................................................................................................................74

VI. DELIVERy .................................................................................................................................................................................. 74VII. PUTTINg IT ALL TOgEThER: EFFECTIVE AND INEFFECTIVE OPENINg STATEMENTS ................................ 75VIII. ADDITIONAL CONSIDERATIONS .................................................................................................................................... 75Ix. DO’S AND DON’TS OF OPENINg STATEMENTS ......................................................................................................... 75

CHaPTeR 9: making youR ReCoRd ................................................................................... 77I. OVERVIEw ................................................................................................................................................................................ 77II. ARBITRATORS’ DISCRETION TO CONDUCT ThE hEARINg .................................................................................... 77III. BASICS OF EVIDENCE .......................................................................................................................................................... 78

A. DIRECT AND CIRCUMSTANTIAL EVIDENCE ........................................................................................................................78B. RELEVANT AND MATERIAL EVIDENCE ..................................................................................................................................78

IV. RULES OF EVIDENCE ........................................................................................................................................................... 78A. INTRODUCTION .............................................................................................................................................................................78B. ThE FEDERAL RULES OF EVIDENCE ......................................................................................................................................79

1. Exclusion of Relevant Evidence ....................................................................................................................................79a. Exclusions to Promote Other Social Policies ...............................................................................................79

(i) Compromise and Offers of Compromise (FRE 408) .....................................................................79(ii) Offers to Pay Medical and Similar Expenses (FRE 409) ...............................................................79(iii) Subsequent Remedial Measures (FRE 407) .....................................................................................79(iv) Inadmissibility of Pleas, Plea Discussions, and Related Statements (FRE 410) ...................80(v) Sexual Predisposition and Behavior (FRE 412) ..............................................................................80(vi) Privileged Communications (FRE 501, 502) ....................................................................................80(vii) Probative Value Substantially Outweighed Prejudice, Confusion,

or waste of Time (FRE 403) ....................................................................................................................81(vii) hearsay (FRE 801–807) ...........................................................................................................................82(a) Nonhearsay ................................................................................................................................................82

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(b) hearsay Exceptions ..................................................................................................................................82C. SPECIAL EVIDENCE ISSUES .......................................................................................................................................................84

1. Arbitrator’s Objections ....................................................................................................................................................842. judicial (Arbitral) Notice (FRE 201) ..............................................................................................................................843. Presumptions (FRE 301) ..................................................................................................................................................84

a. Mailbox Rule ...........................................................................................................................................................84b. Notice of Plant Rules ...........................................................................................................................................84c. Unchallenged Prior Discipline .........................................................................................................................84d. Improperly Secured Documents .....................................................................................................................85e. Privacy Rights .........................................................................................................................................................85

(i) Need to know within Agency (5 USC 552a(b)(1)) ........................................................................85(ii) Required FOIA Disclosure (5 USC 552a(b)(2)).................................................................................85(iii) Routine Uses (5 USC 552a(b)(3)) .........................................................................................................85

f. Effect of Determinations Made in Other Proceedings—res Judicata and Collateral Estoppel ..85g. Offers of Proof (FRE 103(b)) ...............................................................................................................................86h. Contractual Limitations on the Admission of Evidence: New Evidence and New Argument ....87

V. FUNDAMENTALS OF CONTRACT INTERPRETATION ................................................................................................ 87A. OVERVIEw........................................................................................................................................................................................87B. INTENT OF ThE PARTIES .............................................................................................................................................................87C. PLAIN MEANINg RULE ................................................................................................................................................................88D. PAROLE EVIDENCE RULE ............................................................................................................................................................88E. PRINCIPLES OF CONTRACT INTERPRETATION ..................................................................................................................89F. ExTERNAL SOURCES OF EVIDENCE TO DETERMINE ThE MEANINg OF CONTRACT LANgUAgE ................90

1. Bargaining history ............................................................................................................................................................902. Contract Interpretation Agreements .........................................................................................................................913. Prior Arbitration Decisions as Precedent ..................................................................................................................914. grievance Settlements ....................................................................................................................................................915. grievance Settlement Offers .........................................................................................................................................916. Agency handbooks and Manuals ...............................................................................................................................917. Industry Practice ................................................................................................................................................................918. Past Practice ........................................................................................................................................................................91

a. Past Practices Defined .........................................................................................................................................92b. Factors to Establish a Past Practice .................................................................................................................92c. Subjects of Past Practice ...................................................................................................................................92d. Uses of Past Practice ............................................................................................................................................92e. Clarify Ambiguous Contract Language .......................................................................................................93f. Modify or Amend Unambiguous Contract Language ............................................................................93g. Create a Separate, Enforceable Condition of Employment ..................................................................93h. Termination of a Past Practice .........................................................................................................................93i. Contractual Clauses and Past Practices ........................................................................................................94j. Summary .................................................................................................................................................................94

VI. EFFECT OF LAwS, RULES AND REgULATIONS ........................................................................................................... 94A. OVERVIEw........................................................................................................................................................................................94

1. CSRA Cases ..........................................................................................................................................................................942. Non-CSRA Cases ................................................................................................................................................................95

B. SUMMARy ........................................................................................................................................................................................96VII. BURDEN OF PROOF: ThE BASICS ................................................................................................................................... 97

A. INTRODUCTION .............................................................................................................................................................................971. who Bears the Burden of Proof? .................................................................................................................................972. Amount or quantum of Proof ......................................................................................................................................97

VIII. BURDEN OF PROOF IN DISCIPLINE AND PERFORMANCE-BASED ACTIONS ................................................. 98A. INTRODUCTION .............................................................................................................................................................................98B. DISCIPLINE.......................................................................................................................................................................................99

1. just Cause ............................................................................................................................................................................99a. Notice .......................................................................................................................................................................99b. Reasonable Rules and Orders ........................................................................................................................ 100c. Pre-Disciplinary Investigation ...................................................................................................................... 100d. Proof ...................................................................................................................................................................... 101e. Equal Treatment ................................................................................................................................................ 101f. Penalty ................................................................................................................................................................... 101

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2. Procedural Due Process ............................................................................................................................................... 1023. CSRA.................................................................................................................................................................................... 1024. Performance .................................................................................................................................................................... 103

CHaPTeR 10: wiTness TesTimony ...................................................................................105I. OVERVIEw ..............................................................................................................................................................................105

A. ThE RIghT TO REPRESENTATION ........................................................................................................................................ 105II. ORDER OF PRESENTATION ..............................................................................................................................................105III. IDENTITy OF wITNESSES; wITNESS LISTS .................................................................................................................105

A. SEqUESTRATION OF wITNESSES......................................................................................................................................... 105IV. ThE ADVOCATE AS wITNESS ..........................................................................................................................................106V. CALLINg ADVERSE wITNESSES .....................................................................................................................................106VI. CALLINg hOSTILE wITNESSES .......................................................................................................................................107VII. wITNESS ANONyMITy AND ThE RIghT TO CONFRONT ADVERSE wITNESSES ........................................107VIII. FAILURE OF A PARTy TO CALL A wITNESS: ADVERSE INFERENCES ...............................................................107Ix. MISSINg wITNESSES .........................................................................................................................................................108x. PERSUADINg A wITNESS NOT TO TESTIFy ...............................................................................................................108xI. FAILURE OF A PARTy TO APPEAR: ex parTe ARBITRATION hEARINgS..........................................................108xII. SwEARINg OR AFFIRMATION OF wITNESS ..............................................................................................................109xIII. PERjURy AND FALSE STATEMENTS .............................................................................................................................109

CHaPTeR 11: diReCT examinaTion: PuTTing on youR Case-in-CHief ...................111I. OVERVIEw ..............................................................................................................................................................................111II. PURPOSE .................................................................................................................................................................................111III. BASIC RULES gOVERNINg DIRECT ExAMINATION ................................................................................................111

A. FACT VS. OPINION ..................................................................................................................................................................... 111B. OPEN-ENDED AND LEADINg qUESTIONS ...................................................................................................................... 111C. LAyINg A FOUNDATION ......................................................................................................................................................... 113D. RULES OF EVIDENCE ................................................................................................................................................................. 113

IV. hOw TO ASk A DIRECT qUESTION: qUESTIONINg TEChNIqUES ThAT wORk .........................................113A. ASk ShORT, CONCISE OPEN qUESTIONS ........................................................................................................................ 113B. USE hEADLINES .......................................................................................................................................................................... 114C. ASk whO, whAT, whEN, whERE, why AND hOw qUESTIONS ............................................................................. 114D. USE ORDINARy LANgUAgE................................................................................................................................................... 114E. ChOOSE yOUR wORDS CAREFULLy .................................................................................................................................. 114F. USE CONSISTENT TERMS AND TERMS CONSISTENTLy .............................................................................................. 115g. gET RIghT TO ThE POINT ....................................................................................................................................................... 115h. SET ThE SCENE ............................................................................................................................................................................ 115I. USE DEMONSTRATIVE AIDS OR VISIT ThE SITE.............................................................................................................. 116j. LISTEN TO yOUR wITNESS ...................................................................................................................................................... 116k. PAUSE AND PACE ....................................................................................................................................................................... 116L. ASk STRATEgIC FOLLOw-UP qUESTIONS ....................................................................................................................... 116M. REFERENCE ThE DOg ThAT DID NOT BARk .................................................................................................................... 116N. LEAD yOUR wITNESS ............................................................................................................................................................... 116O. LEAD yOUR wITNESS AROUND PROBLEM AREAS ....................................................................................................... 116P. CONSIDER CONTRARIAN LEADINg .................................................................................................................................... 117q. DISCLOSE wEAkNESSES ......................................................................................................................................................... 118R. REPEAT IMPORTANT RESPONSES ........................................................................................................................................ 118S. DEMONSTRATE TIME, DISTANCE, SPEED, AND SIzE .................................................................................................... 118T. USE PRESENT TENSE ................................................................................................................................................................. 118U. SPEAk CLEARLy .......................................................................................................................................................................... 118V. “whAT hAPPENED NExT?” ..................................................................................................................................................... 118

V. REFREShINg RECOLLECTION; PAST RECOLLECTION RECORDED ...................................................................119VI. USE OF NOTES By wITNESS ............................................................................................................................................119VII. CORRECTINg ERRONEOUS TESTIMONy ....................................................................................................................120VIII. DIRECT ExAMINATION OF AN ExPERT wITNESS ...................................................................................................121

A. why USE AN ExPERT? ............................................................................................................................................................. 121B. qUALIFyINg ThE ExPERT ....................................................................................................................................................... 121

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C. ExPERT TESTIMONy ................................................................................................................................................................. 123D. INOCULATINg ThE ExPERT ................................................................................................................................................... 123E. EFFECTIVE ExPERT ExAMINATION TEChNIqUES ........................................................................................................ 124

Ix. wITNESS ExAMINATION By ThE ARBITRATOR ........................................................................................................125x. Voir Dire OF LAy AND ExPERT wITNESSES ............................................................................................................125xI. PREEMPTORy MOTIONS: MOTION TO DISMISS ......................................................................................................126

A. PURPOSE ...................................................................................................................................................................................... 126B. PROCEDURE ................................................................................................................................................................................. 126

CHaPTeR 12: CRoss-examinaTion ..................................................................................127I. OVERVIEw ..............................................................................................................................................................................127II. BASIC RULES OF CROSS-ExAMINATION ....................................................................................................................127

A. LEADINg qUESTIONS PERMITTED ..................................................................................................................................... 127B. SCOPE OF CROSS-ExAMINATION ....................................................................................................................................... 127C. gOOD FAITh BASIS FOR qUESTIONINg ........................................................................................................................... 127

III. gOAL OF CROSS-ExAMINATION ..................................................................................................................................128IV. PREPARATION .......................................................................................................................................................................129

A. kNOw yOUR PERSUASIVE CASE NARRATIVE .................................................................................................................. 129B. kNOw ThE FACTS ...................................................................................................................................................................... 129C. LIST hELPFUL INFORMATION ............................................................................................................................................... 129D. LIST hARMFUL INFORMATION ............................................................................................................................................. 129E. LIST IMPEAChMENT EVIDENCE ........................................................................................................................................... 129F. ThINk, “whAT ELSE?”................................................................................................................................................................ 129g. ASk, “why DO I ThINk ThIS wITNESS IS wRONg?”...................................................................................................... 130h. USE yOUR CLOSINg STATEMENT TO FOCUS yOUR CROSS-ExAMINATION qUESTION ................................ 130I. IDENTIFy yOUR CROSS-ExAMINATION gOAL ............................................................................................................... 130

V. CROSS-ExAMINATION ORgANIzATION .....................................................................................................................131A. ORgANIzE By TOPIC ................................................................................................................................................................. 131B. DO NOT IgNORE ThE PRINCIPLES OF PRIMACy, RECENCy, REPETITION, AND DURATION ......................... 131C. START wITh yOUR BIggEST BANg ..................................................................................................................................... 131D. OPEN wITh A CONCESSIONS................................................................................................................................................ 131E. IMPEACh ....................................................................................................................................................................................... 131F. END ON A hIgh NOTE ............................................................................................................................................................. 131

VI. hOw TO ASk qUESTIONS ON CROSS .........................................................................................................................132A. LEADINg ....................................................................................................................................................................................... 132B. PROPOSITIONAL ....................................................................................................................................................................... 132C. ShORT ............................................................................................................................................................................................ 132D. ONE FACT PER qUESTION ..................................................................................................................................................... 132E. USE CLEAR, ORDINARy wORDS ........................................................................................................................................... 133F. “yES” RESPONSES ONLy .......................................................................................................................................................... 133g. ELIMINATE ChARACTERIzATIONS AND CONCLUSIONS ............................................................................................ 133

VII. wRITTEN qUESTIONS OR OUTLINE .............................................................................................................................133VIII. TO CROSS OR NOT TO CROSS, ThAT IS ThE qUESTION ......................................................................................134Ix. TEChNIqUES AND POINTERS FOR qUESTIONINg ................................................................................................134

A. EMBELLIShINg ............................................................................................................................................................................ 134B. ThE ROAD NOT TAkEN ............................................................................................................................................................ 134C. LEADINg ThE hORSE TO wATER .......................................................................................................................................... 135D. hOISTED ON ThEIR OwN PETARD ...................................................................................................................................... 136E. BURN DOwN ThE hOUSE ....................................................................................................................................................... 136

x. CONTROLLINg ThE RUNAwAy wITNESS ...................................................................................................................137A. USE NONVERBAL CURES TO CONTROL ThE wITNESS ................................................................................................ 137B. hANDLINg ThE IMPATIENT wITNESS ................................................................................................................................ 137C. REVISIT ThE gROUND RULES ................................................................................................................................................ 137D. ASk FOR ThE SAME COURTESy ThE wITNESS ShOwED yOUR OPPONENT ..................................................... 137E. REPEAT ThE qUESTION ........................................................................................................................................................... 137F. LET ThEM RUN ............................................................................................................................................................................ 138g. ASk ThE ARBITRATOR FOR hELP ......................................................................................................................................... 138

xI. kNOw whEN TO STOP .....................................................................................................................................................138xII. DO’S AND DON’TS OF CROSS-ExAMINATION .........................................................................................................138

Table of ConTenTs �x

xIII. CROSS-ExAMINATION OF ExPERTS ............................................................................................................................140A. CREDENTIALS ChALLENgE.................................................................................................................................................... 140B. BIAS ................................................................................................................................................................................................. 140C. gARBAgE IN, gARBAgE OUT ................................................................................................................................................ 140D. PREVIOUS PUBLICATIONS AND TESTIMONy ................................................................................................................. 141E. LEARNED TREATISES ................................................................................................................................................................ 141F. hIRE yOUR OwN ExPERT ........................................................................................................................................................ 141

xIV. IMPEAChMENT: DISCREDITINg ThE wITNESS AS A RELIABLE SOURCE OF INFORMATION .................141A. PURPOSE ...................................................................................................................................................................................... 141B. whO MAy IMPEACh ................................................................................................................................................................ 141C. TyPES ............................................................................................................................................................................................. 141

1. Impaired Memory or Perception .............................................................................................................................. 1412. Bias or Interest ................................................................................................................................................................. 1423. Prior Inconsistent Statements .................................................................................................................................. 1424. Prior Inconsistent Actions .......................................................................................................................................... 1435. Character or Reputation .............................................................................................................................................. 143

a. Criminal Convictions (FRE 609) ..................................................................................................................... 143b. Past Untruthfulness (FRE 608) ....................................................................................................................... 144

D. IMPEAChMENT PROCEDURE ................................................................................................................................................ 1441. Recommit the witness ................................................................................................................................................. 1442. Validate the Prior Act, Statement, or Omission ................................................................................................... 1443. Confront the witness with the Inconsistency ...................................................................................................... 145

E. REhABILITATION OF ThE IMPEAChED wITNESS ........................................................................................................... 145F. PREEMPTIVE BOLSTERINg OF wITNESS CREDIBILITy IS NOT PERMITTED ....................................................... 145g. PARTINg ADVICE FOR EFFECTIVE IMPEAChMENT ...................................................................................................... 145

xV. REDIRECT, RECROSS, AND REBUTTAL .........................................................................................................................146A. INTRODUCTION .......................................................................................................................................................................... 146B. REDIRECT ExAMINATION ....................................................................................................................................................... 146C. RECROSS-ExAMINATION ....................................................................................................................................................... 147D. ThE REBUTTAL CASE ................................................................................................................................................................ 147

xVI. OBjECTIONS TO TESTIMONy .........................................................................................................................................147A. INTRODUCTION .......................................................................................................................................................................... 147

1. The Federal Rules of Evidence ................................................................................................................................... 1472. Form of Objection ......................................................................................................................................................... 1473. Timing ............................................................................................................................................................................... 148

B. OBjECTIONS BASED ON ThE FORM OF A qUESTION ................................................................................................ 1481. Lack of Personal knowledge ...................................................................................................................................... 1482. Relevance ......................................................................................................................................................................... 1483. Vague or Misleading .................................................................................................................................................... 1494. Assumes Facts Not in Evidence ................................................................................................................................. 1495. Misstates the Evidence ................................................................................................................................................ 1496. Leading .............................................................................................................................................................................. 1497. Compound question .................................................................................................................................................... 1498. Calls for Narrative Answer ........................................................................................................................................... 1499. hypothetical questions ............................................................................................................................................... 14910. Calls for Speculation ..................................................................................................................................................... 15011. Calls for a Conclusion ................................................................................................................................................... 15012. Argumentative ................................................................................................................................................................ 15013. harassing or Badgering the witness ...................................................................................................................... 15014. Asked and Answered questions ............................................................................................................................... 15015. Cumulative Testimony .................................................................................................................................................. 15016. Voluntary or Non-Responsive Answers .................................................................................................................. 15017. Tactical Objections ........................................................................................................................................................ 151

C. SUBSTANTIVE OBjECTIONS ................................................................................................................................................... 151D. STANDINg OR CONTINUINg OBjECTIONS ...................................................................................................................... 151

CHaPTeR 13: effeCTive use of exHibiTs .......................................................................153I. INTRODUCTION ..................................................................................................................................................................153II. PURPOSE OF OFFERINg AN ExhIBIT ..........................................................................................................................153

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III. TyPES OF ExhIBITS ............................................................................................................................................................153IV. whEN ExhIBITS MAy BE OFFERED .............................................................................................................................153V. STIPULATIONS .....................................................................................................................................................................153VI. hOw TO OFFER AN ExhIBIT FOR ADMISSION INTO EVIDENCE ......................................................................154

A. STEP 1—hAVE ThE ExhIBIT MARkED FOR IDENTIFICATION ................................................................................... 154B. STEP 2—ShOw A COPy OF ThE ExhIBIT TO ThE OPPOSINg ADVOCATE .......................................................... 154C. STEP 3—PROVIDE ThE wITNESS wITh A COPy OF ThE ExhIBIT ........................................................................... 154D. STEP 4—LAy ThE FOUNDATION FOR ThE ExhIBIT ..................................................................................................... 154

1. Documents ....................................................................................................................................................................... 1542. Real Evidence .................................................................................................................................................................. 1553. Demonstrative Evidence ............................................................................................................................................ 155

E. STEP 5—OFFER ThE ExhIBIT FOR ADMISSION INTO ThE RECORD ...................................................................... 156VII. Voire Dire .............................................................................................................................................................................156VIII. OBjECTIONS TO ExhIBITS ...............................................................................................................................................156

A. CONTRACTUAL LIMITATIONS ON ThE ADMISSIBILITy OF ExhIBITS .................................................................... 156B. RELEVANCE .................................................................................................................................................................................. 157C. PAROLE EVIDENCE RULE ......................................................................................................................................................... 157D. BEST EVIDENCE RULE ............................................................................................................................................................... 157E. hEARSAy ....................................................................................................................................................................................... 157

1. Past Recollection Recorded (FRE 803(5)) ............................................................................................................... 1582. Business Records (FRE 803(6)-803(7)) ..................................................................................................................... 1583. government Records (FRE 803(8)) ........................................................................................................................... 1584. Statements for Purposes of Medical Diagnosis or Treatment (FRE 803(4)) ............................................... 1585. Prior Testimony (FRE 804) ............................................................................................................................................ 1596. Statement Against Interest (FRE 804(b)(3)) .......................................................................................................... 159

F. NAkED hEARSAy ........................................................................................................................................................................ 159g. SUMMARIES (FRE 1006) ........................................................................................................................................................... 159

Ix. A wORD ON REAL AND DEMONSTRATIVE EVIDENCE .........................................................................................159x. DO’S AND DON’TS OF ExhIBITS ...................................................................................................................................160

CHaPTeR 14: Closing aRgumenT ...................................................................................161I. OVERVIEw ..............................................................................................................................................................................161II. DECIDINg hOw TO CLOSE: ORAL ARgUMENT OR wRITTEN BRIEFS .............................................................161III. CLOSINg ARgUMENT CONTENT ...................................................................................................................................162IV. PREPARATION ......................................................................................................................................................................163V. ORAL ARgUMENT ...............................................................................................................................................................163

A. PROCEDURE ................................................................................................................................................................................ 163B. ORgANIzATION .......................................................................................................................................................................... 164

1. Configuration .................................................................................................................................................................. 164a. Organization by Claim ..................................................................................................................................... 164b. Chronological Organization .......................................................................................................................... 164c. witness-By-witness Summary ...................................................................................................................... 164

2. Other Organizing Principles ...................................................................................................................................... 164a. Primacy and Recency: Start Strong, End Strong ..................................................................................... 164

(i) Start Strong ............................................................................................................................................. 165(ii) The Middle ............................................................................................................................................... 165(iii) End Strong ............................................................................................................................................... 165

b. In the Beginning: Establishing your Case or Debunking your Opponent’s Case ........................ 165C. CONTENT OF AN EFFECTIVE CLOSINg ARgUMENT .................................................................................................... 165

1. Tell a Persuasive Story .................................................................................................................................................. 165a. what happened ................................................................................................................................................. 165b. why It happened the way you Say It Did ................................................................................................. 165c. Address weaknesses ........................................................................................................................................ 166d. Contractual or Legal Significance ............................................................................................................... 166e. Remedy ................................................................................................................................................................. 166

D. PERSUASIVE DELIVERy ............................................................................................................................................................ 166E. SUPPORTINg AUThORITy ..................................................................................................................................................... 167F. OBjECTIONS TO CLOSINg ARgUMENT ........................................................................................................................... 167g. DO’S AND DON’TS OF ORAL CLOSINg ARgUMENTS.................................................................................................. 168

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VI. POSThEARINg BRIEFS .......................................................................................................................................................169A. OVERVIEw .................................................................................................................................................................................... 169B. PROCEDURES FOR FILINg BRIEFS ...................................................................................................................................... 169C. FORMAT ......................................................................................................................................................................................... 169

1. Caption ............................................................................................................................................................................. 1702. Introduction .................................................................................................................................................................... 1703. Statement of the Issue ................................................................................................................................................. 1714. Summary of the Facts ................................................................................................................................................... 1715. Relevant Contract and Legal Provisions ............................................................................................................... 1716. Argument ......................................................................................................................................................................... 1717. Conclusion ....................................................................................................................................................................... 172

D. PRACTICE POINTERS FOR wRITINg A wINNINg POSThEARINg BRIEF .............................................................. 173VII. POSThEARINg PRACTICE ...............................................................................................................................................173

A. ChALLENgES TO ThE OPPOSITION’S BRIEF .................................................................................................................... 1731. Untimely Filed Brief ....................................................................................................................................................... 1742. Improper Content .......................................................................................................................................................... 174

B. MOTION TO REOPEN hEARINg ........................................................................................................................................... 174VIII. ADDRESSINg LATE AwARDS .........................................................................................................................................174

A. ARBITRATOR BIAS ...................................................................................................................................................................... 175

CHaPTeR 15: PosT-awaRd PRaCTiCe ..............................................................................177I. OVERVIEw .............................................................................................................................................................................177II. REVIEwINg ThE DECISION .............................................................................................................................................177III. REMEDIES ...............................................................................................................................................................................178

A. OVERVIEw .................................................................................................................................................................................... 1781. Sources of Remedial Authority ................................................................................................................................. 178

a. The Collective Bargaining Agreement ...................................................................................................... 178b. External Law ....................................................................................................................................................... 178c. Private Sector Model ........................................................................................................................................ 178d. Federal Sector Model ....................................................................................................................................... 178

B. REMEDIES IN DISCIPLINE, DISCRIMINATION, UNFAIR LABOR PRACTICE CASES ............................................ 1791. Reinstatement ................................................................................................................................................................ 1792. Reduction of Discipline ............................................................................................................................................... 1793. Monetary Remedies ...................................................................................................................................................... 179

a. Back Pay ............................................................................................................................................................... 179b. Mitigation of Damages .................................................................................................................................... 180c. Compensatory Damages ................................................................................................................................ 180d. Liquidated Damages ........................................................................................................................................ 180e. Punitive Damages ............................................................................................................................................. 180f. Interest .................................................................................................................................................................. 181g. Attorney Fees ...................................................................................................................................................... 181h. Costs ....................................................................................................................................................................... 181

4. Cease and Desist ........................................................................................................................................................... 181C. REMEDIES IN NONDISCIPLINARy CASES ......................................................................................................................... 182

IV. MOTIONS: CLARIFICATION, CORRECTION, REOPENINg, AND RECONSIDERATION ................................182A. FunCTuS oFFiCio ..................................................................................................................................................................... 182

1. Correct Mistakes ............................................................................................................................................................ 1822. Incomplete Awards ...................................................................................................................................................... 1823. Clarify Ambiguous Awards ........................................................................................................................................ 182

B. ATTORNEy FEES.......................................................................................................................................................................... 183C. RETENTION OF jURISDICTION TO CURE REMEDIAL PROBLEMS ........................................................................... 183D. REOPENINg OR RECONSIDERATION .................................................................................................................................. 183

V. COMPLIANCE wITh ARBITRATION AwARDS ............................................................................................................183VI. ChALLENgINg ThE AwARD ...........................................................................................................................................183

A. OVERVIEw .................................................................................................................................................................................... 183B. DIRECT APPEALS TO FEDERAL COURT ............................................................................................................................ 184

1. Performance and Misconduct Cases ....................................................................................................................... 1842. Postal and Other Labor-Management Relations Schemes Modeled After the Private Sector .......... 184

a. Arbitrator Bias ..................................................................................................................................................... 185

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b. Denial of Fair hearing ...................................................................................................................................... 185c. Arbitrator Exceeded Authority ...................................................................................................................... 185d. Award Fails to Draw Its Essence From the Agreement ......................................................................... 186e. Award is Contrary to Public Policy .............................................................................................................. 186

C. OPM REVIEw OF PERFORMANCE AND ADVERSE ACTION CASES ........................................................................ 186D. DIRECT EEOC REVIEw OF PURE DISCRIMINATION CLAIMS ...................................................................................... 186E. APPEAL OF “MIxED CASES” UNDER 5 USC 7702 ........................................................................................................... 187

1. EEOC Review of Mixed Cases .................................................................................................................................... 1882. judicial Review of Mixed Cases ................................................................................................................................. 188

F. REVIEw OF PROhIBITED PERSONNEL PRACTICE CASES UNDER 5 USC 2302 .................................................. 189g. APPEAL OF UNFAIR LABOR PRACTICE CLAIMS ............................................................................................................ 190h. FLRA ExCEPTIONS TO ARBITRATION AwARDS .............................................................................................................. 190

1. who May Seek FLRA Review ..................................................................................................................................... 1902. Time Limits to File Exceptions ................................................................................................................................... 1903. Procedure for Filing Exceptions ............................................................................................................................... 1904. Opposition to Exceptions ........................................................................................................................................... 1915. Standard of Review ...................................................................................................................................................... 191

a. Contrary to Law, Rule, or Regulation ......................................................................................................... 191(i) grievance Precluded by Law ............................................................................................................ 191(ii) Merits ......................................................................................................................................................... 192(iii) government wide and Agency Regulations .............................................................................. 192

b. Private Sector grounds ................................................................................................................................... 193(i) Award Based on Nonfact .................................................................................................................... 193(ii) Incomplete, Ambiguous, or Contradictory Awards ................................................................. 193

6. judicial Review of FLRA Decisions .......................................................................................................................... 193

bibliogRaPHy .....................................................................................................................195I. BOOkS .....................................................................................................................................................................................195II. ARTICLES ...............................................................................................................................................................................196III. MONOgRAPhS .....................................................................................................................................................................197