Attendees:

Mgt- Lisa Lander, OAPM, Donna Hawkins, IM, Dana Schlichtmann, OED, and
David Pinansky, GC

Labor- Dean Suehiro, CF, Solomon Cromwell, CF, John Grzeskiewicz, IM, and
Michael Piacsek, NTEU

OLD BUSINESS

1. Personnel policy and/or practice concerns (all Union agenda items):

Staff purchase of computers

In our August meeting, the Union requested Mgt. to investigate the possibility of the staff purchasing computers from SEC’s vendor at a discount. Mgt. has determined that there are no ethical issues that will prevent the SEC from negotiating a discount for its staff to purchase a computer from its vendor, Dell Computers. Dell already offers a 5% discount to federal government employees and has agreed to offer an additional 5% discount to SEC staff. Mgt. is discussing implementation issues with OIT.

Telework program

Mgt. is reconsidering the current arbitrary standards (i.e., telework only one day a week, no two persons can be off on same day, ad hoc only for Enforcement Division) used in denying recurring telework. Both the Union and Mgt. agreed that the Philadelphia District Office’s 2/17/04 arbitration decision is limited to that Office. The Union informed Mgt. that the facts and circumstances cited in the arbitrator’s decision could apply to attorneys and accountants in the Division of Enforcement in all locations including Headquarters.

Mgt. agreed that the provisions of the Telework Article in the CBA allow bargaining unit employees, with the approval of their supervisors, to switch the telework day within the same payperiod for SEC business purposes.

AWS program including credit hours

Mgt. agreed that the provisions of the Work Schedules Article in the CBA allow bargaining unit employees, with the approval of their supervisors, to switch the off day within the same payperiod for SEC business purposes.

Mgt. agreed that supervisors have the flexibility to approve credit hours after the bargaining unit employee earned it if it was for SEC business purposes and advance approval was not possible.

Upward mobility program

The Union requested the implementation status of the upward mobility program. Mgt. agreed to inform the Union on the status of this program after discussing it with the appropriate staff. The Union informed Mgt. that the Training Article requires the program to be implemented 12 months after the Upward Mobility Committee was established (approx. September 2004).

Reassignment Program

Bargaining unit employees in Corporation Finance that wants to transfer into another AD Office must comply with the Reassignment Article. Mgt. believes that the Article does not provide any preference to current bargaining unit employees and the criteria for selecting applicant for the vacant position in an AD Office is not provide in the Article. Therefore, Mgt. may use their criteria and they are not required to disclose the selection criteria used by Mgt. to the Union. The Union informed Mgt. that they do not agree with Mgt.’s the interpretation of the provisions of the Reassignment Article in the CBA.

Training programs (in-house training and external seminars)

Mgt. informed the Union that the current SEC budget for training is significant. Mgt. elected not to disclose the amount of the training budget.

Mgt. informed the Union that the new SEC Training Branch is developing a SEC University to replace the current SEC E-Learning Center. The SEC University will provide work-related training to bargaining unit employees.

Mgt. will consider receiving input from bargaining unit employees for any work-related training programs.

Mgt. understands the need for the training programs to provide CPE/CLE credits for accountants/attorneys.

NEW BUSINESS

Telework (Union agenda item)

When the federal government is closed due to an emergency, bargaining unit employees on telework must continue to work unless the same emergency prevents them from performing their work. See notification requirement in the Article.

Details (Union agenda item)

Mgt. agreed that a bargaining unit employee on detail would return to his/her position and Office prior to the detail.

Sick Leave (Union agenda item)

Bargaining unit employees must request and use advance sick leave in minimum blocks of 5 consecutive business days.

Grievance procedure

Union agenda item:

Mgt. will attempt to hold a 1st Step Grievance meeting within 15 calendar days following the date of the grievant’s submission.

Mgt. agenda item:

Mgt. views the 1st Step Grievance meeting only as a process for the grievant to provide additional information about the grievance not previously provided. Mgt. will not answer any questions from the grievant or his/her representative about the grievance. Mgt. does not consider this meeting as a mediation session.

Copies of all formal grievances, arbitration invocations, information requests, etc. should be provided to the Employee Relations/Labor Relations Branch Chief.

3. Communications between management and bargaining unit employees (all Union agenda items):

Merit Pay

Mgt. informed the Union that bargaining unit employees would be notified about their merit pay in a timely manner. Mgt. intends to improve this notification process for the performance appraisal period ending April 30, 2004.

2004 COLA

Mgt. informed the Union that they would attempt to inform employees about COLA in a timely manner. The Union informed Mgt. that receiving a memo on our pay date about the initial 2.0% increase and additional 2.1% (total 4.1% retroactive to 1/11/04) is not timely and should be avoided in the future. Any matters concerning salary is important to our bargaining unit members, therefore, notifications concerning salary should be timely.

Station Place

The Union informed Mgt. that the 2/2/04 SEC press release stated that the SEC would move to Station Place in fiscal 2005. Mgt. informed the Union that the SEC is still planning to move in the 1st quarter of 2005 but the moving date can change due to construction delays. The Union informed Mgt. that this move to Station Place is a concern to our bargaining unit employees and notification of any changes in the projected move date should be communicated to them on a timely basis.

4. Personnel policy and/or practice concerns (all Union agenda items):

Training for attorneys/accountants

See “Training programs” heading under “OLD BUSINESS.”

Training for staff retirement

Mgt. will discuss with the Training Branch whether more training can be provided based on the interest of bargaining unit employees.

Telework program

Mgt. informed the Union that there is only general guidance concerning security of non-public information. Any questions about the security of non-public information and its use during telework should be discussed and resolved with the bargaining unit employee’s immediate supervisor.

Third-party medical expert

Mgt. is not aware of any case in which Mgt did not accept the third-party medical diagnosis of a staff. Mgt. informed the Union that they have the right to reject a reasonable accommodation conclusion by a third-party medical expert.

Children at work premises

Mgt. informed the Union that there is no policy concerning the ability of the staff to have their children in their office during work hours. The policy concerning this is left to each Division/Office. The Union informed Mgt. that any policy concerning this should be applied consistently to all staff.

Support Staff

The Union informed Mgt. that there is a shortage of support staff to assist the professional staff. Mgt. is currently reviewing all staffing due to the increase in the SEC budget. The SEC is in the process of a general reorganization of Divisions/Offices due to the staffing increase. This general reorganization will include additional supervisory positions. The Union requested that more information concerning this general reorganization be communicated to bargaining unit employees.

Life Cycle Account

If necessary, Mgt. will review the processing of the life cycle account after the current program is completed. Mgt. informed the Union that if a staff’s claim was not processed, the staff should resubmit a copy of the claim.

5. Pay-for-Performance Program (Union agenda item):

Mgt. informed the Union that although a summary statement prepared by the staff is not required, not providing one could affect the merit pay decision of the Compensation Committee. All staff should submit a summary statement.

6. 2005 COLA (Union agenda item):

The SEC budgeted 1.5% for the 2005 COLA similar to all other federal government agencies. The 2005 COLA and other pay issues will need to be negotiated with the Union. The current compensation agreement (management’s final offer) that was imposed by the FRLA will expire on September 30, 2004.

7. Office of Risk Assessment (Union agenda item):

The formation of this Office is still in the planning stages. Mgt. cannot provide any information on this Office.

8. Stewards (Mgt. agenda item):

The Union agreed to timely communicate the names of new and terminated stewards to Mgt.

9. Dues withholding (Mgt. agenda item):

Mgt. informed the Union that the 1187s are processed as soon as they receive it.

10. Stewards (Mgt. agenda item):

The Union agreed to improve the communications between NTEU national and related regional offices about SEC labor matters.