Article 11
Grievances

Section 11.01

A. A grievance is any complaint by any bargaining unit employee concerning any matter relating to the employment of the employee; by the NTEU concerning any matter relating to the employment of any bargaining unit employee; or by any bargaining unit employee, the NTEU, or the Employer concerning the effect or interpretation, or a claim of breach of this collective bargaining agreement; or any claimed violation, misinterpretation, or misapplication of any law, rule, or regulation affecting conditions of employment.

B. This does not include:

1. Any claimed violation of 5 U.S.C. Chapter 73, Subchapter iii, (relating to prohibited political activities).

2. Retirement, life insurance, or health insurance.

3. A suspension or removal under 5 U.S.C. 7532.

4. Any examination, certification, or appointment.

5. The classification of any position which does not result in the reduction in grade or pay of an employee.

6. Personnel actions resulting from reduction in force.

7. Non-adoption of a suggestion.

8. Non-selection for promotion from a group of properly ranked and certified candidates.

9. Mid-term performance appraisals, performance counseling sessions, or the issuance of performance improvement plans. Employees maintain their right to respond to such performance appraisals, performance counseling sessions, or performance improvement plans, orally or in writing, as outlined in Articles 16, 17, 18, 45 and any other relevant articles of this agreement.

10. Notices of proposed disciplinary or adverse action. Employees maintain their right to respond to such notices of proposed disciplinary or adverse action, orally or in writing, as outlined in Articles 43 and 44 of this agreement.

Section 11.02

This procedure is the only procedure available to bargaining unit employees for the processing and disposition of grievances described by Section 11.01 of this article.

Section 11.03

Any aggrieved employee affected by discrimination, a removal, or performance-based reduction in grade, or other adverse action, may, at his/her option, raise the matter under a statutory appeal procedure or under this negotiated grievance procedure, but not both. Pursuant to 5 U.S.C. 7121, an employee shall be deemed to have exercised her/his option under this provision in adverse actions when the employee files a timely written notice of appeal or files a timely written grievance under this procedure, whichever occurs first. Pursuant to 29 C.F.R. 1613.219(B), an employee shall be deemed to have exercised his/her option under this provision when the employee files a timely written complaint or files a timely written grievance under this procedure, whichever occurs first. NTEU is not required under statute to represent non-members when they elect to use the statutory appeal process.

Section 11.04

Grievances under the terms of this article may be initiated by bargaining unit employees either singly or jointly or by the NTEU on behalf of an employee or by the NTEU or the Employer on their own behalf. As used in this agreement, the term grievant refers to the aggrieved party, whether a bargaining unit employee, the NTEU, or the Employer.

Section 11.05

The parties recognize the mutual benefits of resolving grievances at the lowest possible administrative level. To that end, employees, the NTEU, and the Employer are encouraged to informally attempt resolution of the matter precipitating the grievance before invoking the procedures of this Article.

Section 11.06

In the event that two or more grieving employees have filed a grievance involving a similar fact pattern and a similar issue, normally the grievances shall be joined and

Section 11.07

The following procedural requirements must be met by each grievant, whether a bargaining unit employee, the NTEU, or the Employer, or the grievance will be rejected and not processed:

A. Each grievance must be reduced to writing, signed and delivered to the step one deciding official, who will be at the lowest level of authority appropriate to settle the grievance, and to the DOE Headquarters Labor Relations Services (if the NTEU or an employee is grieving), or to the NTEU (if the Employer is grieving) within fifteen (15) workdays of the particular act or occurrence precipitating the grievance or within fifteen (15) workdays after the aggrieved became aware of the particular act or occurrence precipitating the grievance. For grievances alleging discrimination, the time limits for filing a grievance shall be within forty-five (45) calendar days of the particular act or occurrence or within forty-five (45) calendar days of the grievant becoming aware of the particular act or occurrence.

B. Each grievance must contain a clear and detailed explanation of the complaint, including the article and section of the agreement alleged to have been violated and the specific, personal relief sought by a bargaining unit employee, or institutional relief sought by the NTEU or Employer.

Section 11.08

The time limits delineated in this article may, by mutual agreement of the parties, be extended. Any step of this procedure may be waived by the mutual agreement of the parties. Extensions should be used only under extenuating circumstances, and should be the exception rather than the rule. Any oral agreement will be confirmed in writing by both parties before the time in question expires. Confirmation may include the use of e:mail or fax.

Section 11.09

Grievances filed by bargaining unit employees are processed as follows:

A. Step One

The grievance is reduced to writing as prescribed by Section 11.07 of this article and delivered to the appropriate step one Deciding Official, who must be at the lowest level of authority appropriate to settle the grievance and to the DOE Headquarters Labor Relations Services. The step-one deciding official will consider the matter and will meet with the employee unless the meeting is mutually waived, within five (5) workdays of receipt of the grievance to discuss the grievance. If a meeting is held NTEU or the deciding official may request a mediator. The mediator will be selected by mutual agreement of all parties, and will have control over the conduct of the meeting. A mediator will not be used if either party objects, and may be replaced, if all parties agree.

If a mediator is appointed, and the grievance cannot be resolved in the meeting, the mediator will examine the facts presented, and issue a recommendation to the step-one deciding official and the NTEU representative within 5 workdays of the meeting.

The step-one deciding official will consider the recommendation, and issue a written decision within 5 workdays of receiving this recommendation. This decision must address the points of the grievance, as well as the recommendation. It may grant or deny the requested remedy, accept or reject the recommendation, or propose an alternative remedy.

If a mediator is not appointed, the step one deciding official will give the grievant and NTEU a written decision regarding the grievance within five (5) workdays after the meeting or within ten (10) workdays of receipt of the grievance if no meeting was held.

B. Step Two

Appeals of decisions rendered under the provisions of this article must be submitted in writing within ten (10) workdays of NTEU's receipt of the step one decision. The appeal must be submitted to the Step-2 deciding official, who must be at a level higher than the Step One deciding official, and to the DOE Headquarters Labor Relations Services. The Step 2 deciding official will consider the matter and review all information contained in the Step 1 and Step 2 grievance submittals, the mediator's recommendation, if applicable, and the Step One decision.

Within 5 workdays of receipt of the Step-2 grievance, the Deciding official will meet with the grievant and NTEU unless the meeting is mutually waived. The Step-2 deciding official shall issue a decision within 10 workdays of receipt of the grievance, or within 5 workdays after the meeting, if one was held. The decision must address the facts presented in both steps, the Step-One decision, and the mediator's recommendation, if applicable.

C. Step Three

Appeals of decisions rendered under the provisions of this article must be submitted in writing within ten (10) workdays of NTEU's receipt of the step two decision. The appeal must be submitted to the Step-3 deciding official, who must be at a level higher than the Step Two deciding official, and to the DOE Headquarters Labor Relations Services. The Step 3 deciding official will consider the matter and review all information contained in all three grievance submittals, the mediator's recommendation, if applicable, and the previous decisions.

Within 10 workdays of receipt of the Step-3 grievance, the Deciding official will meet with the grievant and NTEU unless the meeting is mutually waived. The Step-3 deciding official shall issue a decision within 15 workdays of receipt of the grievance, or within 10 workdays after the meeting, if one was held. The decision must address the facts presented in all steps, the previous decisions, and the mediator's recommendation, if applicable.

D. If the matter is not settled after the third step is completed, the employee has the option of appealing to the Assistant Secretary, or equivalent, with a copy sent to the DOE Headquarters Labor Relations Services. This individual may review the material and/or meet with the parties. After 10 workdays of filing the appeal, NTEU may elect to invoke arbitration as set out in Section 11.12 of this article.

E. Should an employee grievance be settled at any step of this process, the grievant will withdraw the grievance in writing or the parties will reduce the settlement to writing, stating that the matter is closed and sign the settlement. In their consideration of the grievance, the above identified supervisors will confer with whomever they feel might be helpful in resolving or deciding the grievance.

Section 11.10

A. Grievances filed by the NTEU on its own behalf are submitted to the DOE Headquarters Labor Relations Services as prescribed by Section 11.07.A of this article. The HQ Labor Relations Services will consider the matter and will meet with the NTEU, unless the meeting is mutually waived, within five (5) workdays of its receipt of the grievance, to discuss the grievance. If a meeting is held, the Headquarters Labor Relations Services will determine who will attend the meeting other than a branch representative and a national office representative of the NTEU. The Headquarters Labor Relations Services will give the NTEU a written decision regarding the grievance within three (3) workdays of the meeting or within five (5) workdays of its receipt of the grievance if no meeting is held. Should the grievance be settled during this process, the NTEU will withdraw the grievance in writing or the parties will reduce the settlement to writing, stating that the matter is closed, and sign the settlement. In its consideration of the grievance the Headquarters Labor Relations Services will confer with whomever it feels might be helpful in resolving or deciding the grievance.

B. Grievances filed by the Employer are submitted to the NTEU as prescribed by Section 11.07.A of this article. The NTEU will consider the matter and will meet with the Employer, unless the meeting is mutually waived, within five (5) workdays of its receipt of the grievance, to discuss the grievance. If a meeting is held it will be attended by a representative of the Headquarters Labor Relations Services and a national office representative of the NTEU. The NTEU will give Headquarters Labor Relations Services a written decision regarding the grievance within three (3) workdays of the meeting or within five (5) workdays of its receipt of the grievance if no meeting is held. Should the grievance be settled during the process, the Employer will withdraw the grievance in writing or the parties will reduce the settlement to writing stating that the matter is closed and sign the settlement.

Section 11.11

Any portion of a grievance may be deleted at any time by the grievant. New issues and an appropriate remedy may be added to a grievance by mutual agreement of the parties.

Section 11.12

A final decision rendered in accordance with the provisions of either Section 11.07 or 11.09 of this article which 1) resolves the grievance to the satisfaction of the grievant, or 2) adopts the remedy sought by theuirements will be held in abeyance pending receipt of a response.

Section 11.13

Where a question of grievability, or concerning the process (including but not limited to timeliness, or appropriate deciding official) is raised by the Employer or the NTEU during the processing of a grievance under the provisions of either Section 11.07 or 11.09 of this article, the grievance process will be suspended until the grievability question is discussed by the parties. Such discussion will occur within five (5) workdays of the non-grievable assertion unless mutually waived. Questions that cannot be resolved by the parties as to whether a grievance is grievable may be immediately submitted to arbitration to resolve that sole issue by the mutual agreement of the parties. Otherwise, such questions are attached to the grievance and discussed as the grievance is processed. If mutual agreement is reached toimmediately arbitrate a grievability issue, the parties will invoke arbitration in accordance with the provisions of Article 12, Arbitration.

Section 11.14

Failure on the part of a grievant to prosecute a grievance at any step of the procedure will have the effect of nullifying the grievance. Failure on the part of the party being grieved against to meet the time limits at any step of the procedure, will permit the grievant to move the grievance to the next step.

Section 11.15

The parties have the obligation to produce all relevant information during the grievance process. Either party may make an informal request for information. Responses including statistical information to such requests will be handled promptly, professionally, and in the spirit of partnership. Where information requests have been filed, grievance time requirements will be held in abeyance pending receipt of a response.

Section 11.16

In any grievance involving a dispute over the interpretation of the Employer's regulations, the Employer will provide all parties with an interpretation of its regulation. This interpretation will not change for the life of this agreement unless required by higher authority. Any such interpretation will be provided to an arbitrator if necessary, under the terms of Article 12.05.

Section 11.17

In any grievance involving a dispute over the interpretation of any other authority's regulations, the parties will request interpretation of such regulation from the proper authority. Any such interpretation will be provided to an arbitrator, if necessary, under the terms of Article 12.05.

Section 11.18

Within 90 days of the effective date of this agreement, the parties will meet to jointly develop an information system to which both parties have access. The data will be used, at least, to evaluate the grievance process, identify trends which would point out potential training needs, and provide both parties with work load information. Data to be tracked will include at a minimum such information as the numbers and types of grievances, and the processing time at each step for each grievance. The parties further agree to jointly publish an annual report of grievance activity.

This article may be reopened for the purpose of making improvements in the grievance process based on information obtained during a one year assessment period any time after the completion of the assessment period. Any request for a reopener will be reduced to writing and delivered to the Headquarters Employee/Labor Relations program if NTEU makes the request, or to both Chapter Presidents and the NTEU National office, if DOE makes the request. If agreed to reopen, either party or both parties may offer changes and/or new language during the open period.