BOP Program Statement 3711.01 § 5

a. General. Each step of the procedure must be completed before proceeding to the next step.

An employee alleging a grievance must present the grievance no later than 15 days after the date of

the act or occurrence or not later than 15 days after the date on which the employee knew, or had

reason to know, of the act or occurrence. An employee is entitled to a representative of his/her

choice in pursuing a grievance, subject to the conditions noted in DOJ Order 1200 Part 3, Chapter

2, Agency Grievance Procedure.

A grievance will be rejected for any of the following reasons: the employee fails to complete the

informal procedure; the grievance is not filed in a timely manner; it consists of a matter or matters

excluded from coverage under this procedure; no specific personal relief is requested; or the

grievance does not contain sufficient detail to identify and clarify its basis. Any rejection of a

grievance must be in writing, stating the reason(s) for the rejection.

b. Informal Procedure. An employee must complete action under the informal procedure before

a grievance will be accepted under the formal procedure, except that a grievance about a

disciplinary action subject to this procedure may be initiated at a higher level if the supervisor does

not have the authority to grant the relief sought by the grievant.

An employee alleging a grievance as specified in this section must present the matter in writing to

his/her immediate supervisor, either alone or with a representative.

The immediate supervisor will consider all available facts and notify the employee of the

disposition of the grievance as soon as practicable, but no later than five calendar days following

the date the grievance was presented.

c. Formal Procedure. If the grievance is not satisfactorily resolved informally, the employee,

directly or through a representative, may present it in writing to the agency’s deciding official (the

Warden or designee) within five calendar days following the informal decision. For Regional

Office employees, the agency’s deciding official is the Regional Director or designee. For Central

Office, training centers, Human Resource Servicing Center (HRSC), and Designation and Sentence

Computation Center (DSCC) employees, the agency’s deciding official is the Assistant Director of

his/her division or designee. The grievance must include the specific nature of the grievance, the

personal relief requested by the grievant, and the signature of the grievant or the grievant’s

representative.

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The agency’s deciding official must review the grievance and notify the grievant of a decision

within 10 calendar days following receipt of the grievance. The decision is final and there is no

further right of administrative appeal.

d. Performance Rating Grievances. A grievance contesting a performance rating or any part of

a performance rating will be resolved by a Performance Rating Grievance Committee (PRGC),

which is the sole administrative procedure for contesting a performance rating. This procedure

does not apply to attorneys or members of the Senior Executive Service.

An employee must present a performance rating grievance to his/her servicing HRM office within

15 calendar days of receiving an official rating.

An employee is entitled to be represented at any stage of a performance rating grievance; however,

neither the employee nor the representative has the right to be present at PRGC meetings or

deliberations, and there is no right to an oral presentation before the PRGC.

Upon receipt of a performance rating grievance, the PRGC will be convened on an ad hoc basis

and will consist of three members: (1) The Human Resource Manager, who will chair the

committee; (2) a member designated by the grievant; and (3) a member designated by the Chief

Executive Officer. The grievant’s and agency’s members must be current Department of Justice

employees who were not involved in the performance rating in question and who live within the

commuting area of the facility in which the grievance arose.

The PRGC is empowered to provide an impartial review of employee requests for review of overall

performance ratings or individual element ratings or remarks that are part of the official rating.

The purpose of the PRGC is to make an impartial determination based upon the facts presented for

review. The committee’s review extends only to evidence that relates directly to the employee’s

performance and is based on a review of the written record. The official record consists of the

employee’s comprehensive statement, the rating official’s reply, the employee’s final statement,

and the attachments to these submissions. The committee is authorized to:

■ Increase an overall rating.

■ Increase an element rating.

■ Remove remarks.

■ Leave the rating unchanged.

■ Return the rating to the rating or reviewing official for further consideration, in which case the

PRGC renders a final decision following such further consideration.

The PRGC settles all issues by majority vote and will issue a written decision that includes a

summary of the facts considered and the corrective action, if any, to be taken. Except as described

below, the written decision of the PRGC is final and binding and is not subject to further

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administrative review. The local HRM Office will coordinate with the Consolidated Processing

Unit (CPU) to update necessary systems of record in instances where the PRGC:

■ Increased the overall rating.

■ Increased an element rating.

■ Removed remarks.

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Section 2. Labor Management Relations Reports

1. PURPOSE AND SCOPE

To establish procedures for providing bargaining unit position information to Union officials.

2. PROCEDURES

Upon request and not more than biannually, the Workforce Systems and Evaluation Section,

HRMD, will provide reports via electronic mail, listing the numbers of bargaining unit staff by

location to the applicable Council of Prison Locals Regional Vice President. In addition, a list of

all bargaining unit staff will be provided to the Council of Prison Locals National

Secretary/Treasurer annually upon request.

This information is necessary to complete reports and forms to meet requirements imposed by

Federal agencies (e.g., Department of Labor and Internal Revenue Service) upon the Union to

disclose certain information about its operations. As such the union will normally provide this

information to their respective locals. Refer to the Master Agreement, article 11, section c. 10.

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Section 3. Negotiated Grievances Procedures and Unfair Labor Practices

1. PURPOSE AND SCOPE

To establish procedures for processing grievances for bargaining unit employees and Unfair Labor

Practices (ULP).

2. PROCEDURES

a. Grievances. In the case of grievances, the respective Human Resource Office must process

responses to grievances filed locally or at the Regional Office under negotiated procedures up to

the step immediately prior to arbitration or hearing. The local Human Resource Manager (HRM)

must secure technical review of the final response from the Regional Human Resource

Administrator before issuing the response. Central Office, HRSC, DSCC, and training centers

must secure technical review of the final response from the Labor Relations Office (LRO) or

Employment Law Branch (ELB), Office of General Counsel, before issuing the response.

If the union pursues arbitration, the HRM must contact LRO or ELB. Upon selection of an

arbitrator, the HRM sends a copy of the grievance file to LRO or ELB. The date for the hearing, if

any, is determined through consultation between the respective HR office and the assigned agency

representative.

For national grievances, refer to the Master Agreement.

b. Unfair Labor Practices. In the case of unfair labor practices, the local HRM must notify LRO

upon receipt of a charge of an Unfair Labor Practice (ULP) and send a copy of the charge to LRO.

LRO coordinates, with the assistance of the local HRM, any communication between the facility

and the Federal Labor Relations Authority (FLRA). This communication may include interviews,

responses, and settlement discussions. If the FLRA files a complaint, the institution immediately

notifies the Regional HRA and LRO. LRO forwards the file to ELB, which prepares the response

to the complaint.

National ULPs are filed with LRO.

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Section 4. Processing Discipline and Adverse Actions

1. PURPOSE AND SCOPE

To establish procedures for processing discipline and adverse actions. This includes Public Health

Service officers assigned to the Bureau of Prisons to the extent applicable.

2. CONSIDERATIONS

The agency must ensure actions taken will be in compliance with provisions of the Americans

With Disabilities Act and the Rehabilitation Act of 1973, and other applicable laws, rules, and

regulations.

3. PROPOSING OFFICIALS

Normally, the following officials are the proposing officials for disciplinary and adverse actions

unless circumstances warrant otherwise. Variations to fit unique circumstances are permitted;

nothing in this section precludes the proposing official being at a higher or lower level than

specified.

a. Institutions

■ Department Heads are the proposing officials for subordinate staff in their departments.

■ Associate Wardens and Camp Administrators are the proposing officials for subordinate

department heads.

■ Chief Executive Officers are the proposing officials for Associate Wardens, Camp

Administrators, and any other staff members who report directly to the Chief Executive

Officer.

b. Regional Offices

■ Regional Administrators are the proposing officials for subordinate Regional Office staff.

■ Deputy Regional Directors are the proposing officials for regional administrators.

■ Regional Directors are the proposing officials for Deputy Regional Directors, institution Chief

Executive Officers, and any other staff members who report directly to the Regional Director.

c. Staff Training Centers. The respective supervisor is the proposing official for staff training

center personnel.

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d. Grand Prairie

■ The Chiefs, Field Acquisition Office (FAO) and HRSC, are the proposing officials for all FAO

and HRSC staff.

■ Supervisors are the proposing officials for subordinate staff at the DSCC.

e. Central Office

■ Branch Chiefs or UNICOR Division Managers are the proposing officials for subordinate staff

in their branches or divisions.

■ Deputy Assistant Directors are the proposing officials for Branch Chiefs in their divisions.

■ Assistant Directors are the proposing officials for Deputy Assistant Directors and other staff

who report directly to an Assistant Director in their divisions.

■ The Deputy Director is the proposing official for Assistant Directors and Regional Directors.

f. National Institute of Corrections. The respective supervisor is the proposing official for NIC

personnel.

4. DECIDING OFFICIALS

Normally, the following officials are the deciding officials for discipline and adverse actions unless

circumstances warrant otherwise. Variations to fit unique circumstances are permitted; nothing in

this section precludes the deciding official being at a higher level than specified.

a. Institutions. The Chief Executive Officer is the deciding official for all cases proposed by a

subordinate.

b. Regional Offices. The Regional Director is the deciding official for all cases proposed by a

Regional Administrator, Deputy Regional Director, or institution Chief Executive Officer.

c. Staff Training Centers. The Director, Management and Specialty Training Center, or the

Director, Staff Training Academy, is the deciding official for all cases proposed by a subordinate.

d. Grand Prairie

■ The Deputy Assistant Directors, Administration and Human Resource Management, are the

deciding officials for all cases proposed by the Chiefs, FAO and HRSC.

■ The Chief, DSCC, is the deciding official for all cases proposed by subordinate supervisors.

e. Central Office

■ The Director is the deciding official for all cases proposed by the Deputy Director.

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■ The Deputy Director is the deciding official for all cases proposed by an Assistant or Regional

Director.

■ The appropriate Assistant Director is the deciding official for all cases proposed by a Deputy

Assistant Director.

■ The appropriate Deputy Assistant Director is the deciding official for all cases proposed by a

subordinate.

f. National Institute of Corrections. The Director, NIC, is the deciding official for all cases

proposed by a subordinate. The Director is the deciding official for all cases proposed by the

Director of NIC.

5. APPROVAL OF PROPOSAL AND DECISION LETTERS

a. Disciplinary Actions. Institution HRM offices secure technical assistance and advice from the

Regional HRM office and approval from the Employment Law Branch (ELB), Office of General

Counsel, prior to issuing any disciplinary action proposal or decision letter. Institutions may

obtain technical assistance from Regional HRM offices regarding appropriate charges, supporting

evidence, penalties, and other aspects of the case. Regional HRM offices, Central Office, HRSC,

DSCC, and training centers should obtain advice or assistance from ELB as needed in making

these determinations.

When the facility HRM forwards a copy of the draft proposal letter, the HRM office should also

include a copy of the disciplinary action file. When the facility HRM forwards a draft decision

letter for review, the HRM office should forward a copy of the signed proposal letter and any oral

response, meeting minutes, and written responses or submissions provided by the employee.

b. Adverse Actions. Institution HRM offices secure technical assistance and advice from the

Regional HRM office and approval from ELB prior to issuing any adverse action proposal or

decision letter. Institutions should obtain technical assistance from Regional HRM offices

regarding appropriate charges, supporting evidence, penalties, and other aspects of the case.

Regional HRM offices, Central Office, HRSC, DSCC, and training centers should obtain advice or

assistance from ELB as needed in making these determinations.

When the facility HRM forwards a copy of the draft proposal letter, the HRM office should also

include a copy of the adverse action file. When the facility HRM forwards a draft decision letter

for review, the HRM office should forward a copy of the signed proposal letter and any oral

response, meeting minutes, and written responses or submissions provided by the employee.

c. Clearance from Office of Internal Affairs (OIA). Facility HRM offices must verify that the

proper clearance for initiating an action has been received from the Office of Internal Affairs. The

required verification includes:

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■ Local investigations. The investigation was authorized and the investigator’s final report was

approved by OIA.

■ Other investigations. The final report was received from OIA.