Article 32: Grievance Procedure

Section 1

The Employer recognizes that an employee may submit and seek resolution of grievances under the provisions of this Article. The Employer will not restrain, interfere with, coerce, discriminate against, intimidate or engage in any reprisal against an employee or Union representative for exercising rights under this Article. This Article is designed to provide a mutually acceptable means of resolving grievances at the lowest level possible, and the Employer and the Union agree to work toward this end in good faith.

Section 2

Except as provided below, a grievance may be initiated by employees, individually or jointly, by the Union itself, by the Union on behalf of one or more employees, or by the Employer. A grievance is defined as any complaint:

1. by an employee concerning any matter relating to their employment;

2. by the Union concerning any matter relating to the employment of an employee; or

3. by an employee, the Employer, or the Union concerning:

a. the effect of interpretation, or claim of breach, of this Agreement; or

b. any claimed violation, misinterpretation, or misapplication of any law, rule or regulation, or agency policy affecting conditions of employment.

Section 3

This Article will not apply to any grievance concerning:

a. any claimed violation of 5 U.S.C., Chapter 73, Subchapter III (relating to prohibited political activities);

b. retirement, life insurance or health insurance;

c. a suspension or removal under 5 U.S.C. § 7532 (relating to national security matters);

d. any examination, certification or appointment (5 U.S.C. § 7121 (c)(4));

e. the classification of any position that does not result in the reduction of either grade or pay of any employee;

f. the content of Agency ethics rules;

g. the removal of a probationary, temporary or term employee;

h. non-selection for promotion from a group of properly rated and ranked candidates except for procedures to identify and rank such employees and if such action is alleged to have been taken for discriminatory reasons prohibited by statute, that issue may be grieved under this procedure;

i. filling of supervisory positions or other positions outside the bargaining unit;

j. non-disciplinary counselings, warnings, or notices of proposed actions. This is not intended to waive any rights the union may have under Article(s) 34, 35 and 36;

k. non-adoption of a suggestion; or

l. an appeal by an employee of a RIF action.

Section 4

A. This grievance procedure will be the exclusive procedure available to employees, the Employer, and the Union for resolving any grievance in accordance with 5 U.S.C. § 7121, except as provided in Subsections 4(B), (C), and (D) of this Article.

B. If a grievance also constitutes an unfair labor practice, the aggrieved party may seek redress under this Article or under the unfair labor practice procedure, but not both. An employee will be deemed to have exercised their option to raise a matter either under the appropriate statutory procedure or under this grievance procedure at such time as the employee timely files an unfair labor practice charge or timely files a grievance in writing in accordance with the provisions of this Article, whichever event occurs first.  

C. A grievance involving discrimination based upon race, color, religion, gender, national origin, age, handicapping condition, marital status, or political affiliation may at the discretion of the grievant, be raised either under the appropriate statutory procedure or under this grievance procedure, but not both.

Pursuant to 5 U.S.C. § 7121(d), an employee will be deemed to have exercised their option to raise a matter either under the appropriate statutory procedure or under this grievance procedure at such time as the employee timely files a formal complaint of discrimination or timely files a grievance in writing in accordance with the provisions of this Article, whichever event occurs first.

D. An employee who receives a written decision letter effecting an adverse or unacceptable performance action may elect to challenge such action in only one of the following ways:

1. By filing an appeal with the Merit Systems Protection Board (MSPB) in accordance with applicable law and regulation;

2. Under this Agreement, and with the Union's concurrence, by appealing directly to binding arbitration within the time set forth in Article 33 (Arbitration) of this Agreement; or

3. By filing a formal complaint of discrimination under the administrative EEO process.

Section 5

A grievant is entitled to be assisted by a Union representative in the submission of grievances, or may submit grievances without Union representation. No individual may serve as an employee's representative in the processing of a grievance under this procedure, unless such representative has been approved by the Union. If a grievant submits a grievance without Union representation, the Union will be given the opportunity to be present at all formal discussions of the grievance. To the extent possible, the Union will be given reasonable advance notice of such discussions. An employee does not have the right to take a matter to arbitration unless the Union is the invoking party.

Section 6

When a grievance is initially filed or at the second step, upon mutual agreement, the following Alternative Dispute Resolution Process may be followed instead of the standard grievance process specified in Section 8 below. This Alternative Dispute Resolution Process will not exceed twenty (20) calendar days, unless extended upon mutual consent.

The affected parties will meet with a mutually agreed upon mediator to attempt to resolve the matter. Mediators may come from any source mutually agreeable to the parties.

• The parties may mutually agree to other participants such as Union and Management representatives or subject matter experts.

• The parties will meet at mutually agreeable times to attempt to resolve the matter.

• If the matter is resolved, the grievance will be withdrawn.

• If the matter is not resolved, the grievance will continue through the standard grievance process.

• At any time, either party may choose to terminate this Alternative Dispute Resolution Process. The grievance will then continue through the standard grievance process.

• Settlement offers and discussions will not be used as evidence or referred to if the grievance is not resolved through this Alternative Dispute Resolution Process.

The time frames for the standard grievance process will be tolled during the Alternative Dispute Resolution Process.

Section 7

Every grievance submitted by an employee pursuant to this Article must be in writing and should contain the following information:

1. the date submitted;

2. a description of the alleged violation in sufficient detail to identify the basis of the grievance;

3. references to the appropriate contractual provision(s) that are alleged to have been violated;

4. a statement of the personal remedy sought; and

5. the name and Division/Office/Regional Office of the grievant.

The Employer agrees that it will not deny a grievance solely due to an incorrect citation.  

Section 8

A grievance submitted by an employee will be processed as follows.

Step 1. A grievant must submit a written grievance to their immediate supervisor within twenty-one (21) calendar days of the event giving rise to the grievance or within twenty-one (21) calendar days of the time they may have been reasonably expected to have learned of the event. The supervisor shall schedule a meeting with the grievant and their Union representative at a mutually agreeable date and time within fifteen (15) calendar days following the date of the grievant's submission, unless it is mutually agreed that the meeting be waived or scheduled at a later date. The meeting may be conducted in person or by telephone. The supervisor will answer the grievance in writing within twenty-one (21) calendar days following the meeting or, if no meeting is held, within twenty-one (21) calendar days of the submission. If the grievance is denied, the reasons for denial will be in this written answer. A copy of the answer will be provided to the grievant and to the Union representative (if any).

If, because of the nature of the grievance, either the grievant, immediate supervisor of the grievant or the Union believes the immediate supervisor is not the appropriate Step 1 official, that party may contact OHR to discuss whether the immediate supervisor should hear the grievance. OHR will then designate the appropriate official to hear the Step 1 grievance.

Step 2. If the grievant is not satisfied with the Step 1 answer, the grievance may be submitted in writing to the grievant's Division/Office/Regional Office Head or designee no later than fifteen (15) calendar days following the date of the Step 1 answer or the day the answer was due. This submission will consist of the original written grievance and the Step 1 answer (if provided). A grievant may not raise new issues after Step 1. The Division/Office/Regional Office Head or designee may arrange for a meeting with the grievant and their Union representative, in person or by telephone, at a mutually agreeable time within fifteen (15) calendar days following the date of the grievant's submission. The Division/Office/Regional Office Head or designee will answer the grievance in writing within fifteen (15) calendar days following the meeting or, if no meeting is held, within fifteen (15) calendar days of the submission. If the grievance is denied, the reasons for denial will be in this written answer. A copy of the answer will be provided to the grievant and to the Union representative (if any).

Notwithstanding the foregoing, if the grievant's Division/Office/Regional Office Head was the reviewing official for the first step, this second step will be bypassed.

Step 3 (optional). If the Union is not satisfied with the Step 2 answer, the Union may submit the grievance in writing to the Employer's Chief Operating Officer or designee at the SEC Headquarters (located at 100 F Street NE, Washington, DC 20549) with a copy to the Assistant Director for Employment Practices in OHR, in hard copy or via email, no later than fifteen (15) calendar days following receipt of the Step 2 answer or the day the answer was due. This submission will consist of the original written grievance and the Step 1 and Step 2 answers (if provided). The Chief Operating Officer or designee will answer the grievance in writing within twenty (20) calendar days of the submission. If the grievance is denied, the reasons for denial will be in this written answer. A copy of the answer will be provided to the grievant and to the Union representative.

Step 4. The Union, at the national level, may, within thirty (30) calendar days following receipt of the Step 2 or Step 3 answer (or Step 1 answer if Step 2 has been waived) or the day the answer was due, notify the Employer's OHR Chief Counsel via email and by certified mail (to 100 F Street, NE, Washington, DC 20549 (Mail Stop 39XX)) that it desires the matter be submitted to arbitration in accordance with Article 33 (Arbitration) of this Agreement.

Section 9

The Employer and the Union are strongly encouraged to resolve their concerns informally prior to submitting grievances under this Article.

Section 10

In the case of a grievance that the Union, at the national level, may have against the Employer, or that the Employer may have against the Union, the grievant will submit the grievance to the other Party in writing within twenty-one (21) calendar days of the event giving rise to the grievance or within twenty-one (21) calendar days of the time the grievant may have been reasonably expected to have learned of the event. If the Union submits a grievance under this section, it shall be submitted in writing to the Employer's Assistant Director of OHR for Employee and Labor Relations via email or mail. If the Employer submits a grievance under this section, it shall be submitted in writing to the NTEU Chapter President via email or via the mail. In either case, the grievance will provide the following information:  

1. the date submitted;

2. a description of the alleged violation in sufficient detail to identify the basis of the grievance;

3. references to the appropriate contractual provision(s), law, rule or regulation alleged to have been violated;

4. a statement of the remedy sought; and

5. the name of and contact information for the Employer/Union representative handling the matter.

Upon mutual consent, an Employer representative and a Union representative will meet within fifteen (15) calendar days of the submission of the grievance. The responding Party will answer the grievance in writing within twenty-one (21) calendar days following the date the grievance was received. If the grievant is not satisfied with the response, within thirty (30) calendar days following receipt of the response, the grievant may request the matter to be submitted to arbitration in accordance with Article 33 (Arbitration) of this Agreement.

Section 11

Failure of the Employer or the Union to render a decision within any time limits specified in this Article will entitle the grievant to progress the grievance to the next step without a decision, unless an extension of time limits has been mutually agreed upon. Failure of a grievant to observe the time limits specified in this Article where no extension has been granted, will result in termination of the grievance. If the deadline for any action in this Article falls on a non-workday (e.g. Saturday, Sunday, or Holiday), the deadline will be extended to the next workday.

Section 12

Where two or more employees file individual grievances involving the same facts and the same issues arising out of the same incident, and all grievants request the same relief, the Union or Employer may request that the grievances be consolidated and, upon mutual consent, the grievances will be processed together through the procedures set forth in this Article.  

Section 13

If the Employer believes that a grievance is not on a matter subject to the grievance procedure in this Agreement or is not subject to arbitration, the Employer will notify the Union in writing, stating the reasons for such determination.