PRINCIPLES OF DISCIPLINE AND
GRIEVANCE HANDLING
Department of Management Services
HR Conference 2006
PATTY ROBERTS
Human Resource Consultant
Labor Relations
Office of the General Counsel
(850) 487-9464/SC 277-9464
patty.roberts@dms.myflorida.com
This Presentation Will
Help You:

Understand the role discipline plays in good
HR management
 Understand the requirements which apply
to Career Service employees when
disciplinary actions are taken
 Avoid potential problems when disciplinary
actions are contemplated
 Understand the types of grievances and
employees’ choice of remedy
PRINCIPLES OF DISCIPLINE
What is Your Role as a
Supervisor / Manager ?
• Responsible Leader
• Agency Representative
• Coach and Counselor
• Records Manager
The Supervisor’s
Responsibilities
 Understanding
statutes,
rules and policies
 Exhibiting positive
leadership characteristics
 Articulating expected
conduct and performance
Disciplinary Standards

All employees shall have
reasonable access to the
agency’s personnel
manual/disciplinary policies
 Receipt of standards
documented by employee’s
signature
 Standards consistently applied
What is DISCIPLINE?
PUNISHMENT
DISCIPLINE IS...
...the means by which we give formal notice to
the employee of:
– What he/she did wrong
– The rule or standard violated
– Corrective action needed
– What the employee can expect if the
offense is committed again
Sources of Authority
for Discipline:

Section 110.227, F.S.
 Chapter 60L-36,
F.A.C., Conduct of
Employees

Discipline Article of
Each Collective
Bargaining
Agreement
 Agency Policies and
Procedures
State of Florida’s
Philosophy
Good faith effort to initiate
counseling or discipline
immediately after
knowledge of the event
giving rise to the action
Establishing Cause
As stated in Section 110.227(1), F.S.
“Cause shall include, but is not limited to poor
performance, negligence, inefficiency or
inability to perform assigned duties,
insubordination, violation of the provisions
of law or agency rules, conduct unbecoming
a public employee, misconduct, habitual drug
abuse, or conviction of any crime.”
[ See 60L-36.005(3), F.A.C. for definitions ]
Establishing Cause
Notice
 Proof of Misconduct
 Past Practice
 Appropriateness of Discipline
 Timeliness
 Employee Rights

Establishing Cause for
Disciplinary Actions
The burden of proof
is on
MANAGEMENT
Documentation,
Documentation,
Documentation…
Checklist Before
Taking Action







Statutes, Rules, Agency Standards
Collective Bargaining Agreements
Law Enforcement Bill of Rights
Employee Record
Evidence
Past Practice
Mitigating Circumstances
When Counseling
for Minor Violations
 Be
specific as to expectations,
consequences
 Maintain privacy
 Be objective
 Be professional and respectful
 Listen to the employee
When Issuing
Disciplinary Actions…
Never make apologies for
taking action or
blame higher level management
for making the decision to do so
Investigatory Interview
Law Enforcement
Bill of Rights
Sections 112.532 and
112.533, F.S.
Investigatory Interview
Employee shall be :
• Informed of each
complaint or
allegation against
him/her
• Informed of right to
have union
representation or
legal counsel
Investigatory Interview
• All written statements and
recordings made by complainant
and witnesses made available for
review at least 1 hour prior to
interview
• Interview conducted at reasonable
hour, preferably when employee is
on duty
Investigatory Interview
• Employee shall not be subjected to
offensive language or be threatened
with transfer, dismissal, or
disciplinary action
• Formal interrogation shall be
recorded and upon request, copy
provided to employee at no cost
Investigatory Interview
• Employee under
investigation
advised in writing
of results of the
investigation at its
conclusion
Review
Your Role
Disciplinary Standards
State’s Philosophy and Authority
Establishing Cause
Documentation
Employee Rights
PRINCIPLES OF
GRIEVANCE HANDLING
What Can Happen
Even If You Do Everything
Right ?
 Career Service Grievance
 PERC Appeal
 Collective Bargaining Grievance
 Equal Employment Opportunity
Commission (EEOC) Complaint
 Florida Commission on Human
Relations (FCHR) Complaint
Resolution of Grievances
Handle promptly at the
LOWEST LEVEL OF SUPERVISION
having the authority
to adjust the grievance
Types of Employee
Grievances
CAREER SERVICE
A grievance process shall be available to
permanent career service employees.
A grievance is defined as,
“The dissatisfaction that occurs when an
employee believes that any condition
affecting the employee is unjust, inequitable,
or a hindrance to effective operation.”
[ Section 110.227(4), F.S. ]
Exceptions Specified in
Section 110.227(4), F.S.
Claims of Discrimination
Claims of Sexual Harassment
[ Handled by Agency Internal Procedures ]
Claims Related to Suspensions,
Reductions in Pay, Demotions
and Dismissals
[ Handled through PERC Appeal or Collective
Bargaining Grievance Process ]
Career Service
Grievance Form
Must Specify
• Issue(s) giving rise to the
grievance
• Relief requested
Must be an issue and
remedy that is within the
agency head’s control
Career Service Grievance
Procedure
Step One:
Employee submits written grievance to
supervisor within 7 calendar days of
event giving rise to grievance.
Supervisor meets with employee within
5 business days following receipt of
grievance.
Career Service Grievance
Procedure
Step Two:
Employee submits written grievance to
agency head or designee within 2 business
days following meeting with supervisor.
Meeting with employee within 5 business
days following receipt of grievance.
Written response to Grievant within 5
business days following the meeting.
Step Two decision is final.
Public Employees
Relations Commission
PERC Appeal
Procedure
Section 110.227(6), F.S.
Employees May Choose
PERC Appeal or
Collective Bargaining Grievance

Reduction in Pay
 Demotion
 Suspension
 Dismissal
Types of Employee
Grievances
COLLECTIVE
BARGAINING
Collective Bargaining
Grievance Procedure
A dispute involving
the interpretation or
application of the
specific provisions
of the Agreement
Collective Bargaining
Grievance Form
Must Specify
•
•
•
Issue(s) giving rise to grievance
Specific Agreement Provision(s)
allegedly violated
Relief requested
Collective Bargaining
Grievance Process






Occurrence of Event
Oral Step - Immediate Supervisor
Step 1- Management Representative
Step 2 - Agency Head or Designee
Step 3 - DMS Review
Arbitration - Final and Binding
Processing a Collective
Bargaining Grievance
Time Limits
in
Calendar Days
Collective Bargaining Grievance Procedure
GRIEVANT
Occurrence of the
Event
AGENCY
14 Calendar Days for Grievant to
File
Oral Step
14 Calendar Days to Respond
to Grievant
Step 1
14 Calendar Days to Respond
to Grievant
Step 2
21 Calendar Days to Respond
to Grievant
Step 3
21 Calendar Days to Respond
to Grievant
14 Calendar Days for Grievant to
File
14 Calendar Days for Grievant to
File
14 Calendar Days for Grievant
to File
Law Enforcement Grievance Procedure
GRIEVANT
Occurrence of the
Event
AGENCY
14 Calendar Days for Grievant to
File
Step 1
14 Calendar Days to Respond
to Grievant
Step 2
14 Calendar Days to Respond
to Grievant
14 Calendar Days for Grievant to
File
14 Calendar Days for Grievant to
File
Step 3
Arbitration
To Enforce Time Limits
Document in writing
all mutual agreements
to extend time limits
at any given level of
the grievance
Time Limits
Failure to communicate the
decision within the specified
time limit shall permit the
Grievant or Union
to proceed to the next step
The Written Response

Identify the alleged violation(s) and issue(s)
 Identify the requested relief
 State the background and relevant facts
 Address all articles/provisions allegedly
violated
 Identify and address each union issue
 Identify management’s issues, e.g., timeliness
 State management’s decision
The Written Response
Document the date and time
the Grievant or Union
RECEIVES the
agency response
Representation
• Union has right to attend any meeting
called for the resolution of grievance
• If employee elects union representation,
any decisions mutually agreed to by State
and Union are binding on Grievant
Basic Principles to
Remember
 Review
grievance for timeliness, watch
timeframes for responding
 If no meeting conducted with Union,
document date of discussion by phone
 Review previous decisions, no new
issues
 Accuracy and specificity essential
Settlement of Grievances
When management
and the Union mutually
agree to modify the
terms of the original
action taken
What Choices Do Employees Have
to Grieve or Appeal These Actions?
Counseling
Oral Reprimand
Involuntary Demotion
Reduction in Pay
Suspension
Dismissal
Choices:
__________
__________
__________
__________
__________
__________
Career Service Grievance
Collective Bargaining Grievance
PERC Appeal
Not Grievable/Appealable
Can’t put your hands on
your rules, statutes, collective
bargaining agreements?
DMS WEBSITE
[ Quick Links to Rules, Statutes, and
Collective Bargaining Agreements ]
www.dms.myflorida.com/dms2/human_resource_
support/human_resource_management
DMS LABOR RELATIONS
CONTACTS
John Covington ………………… 850/487-9460
• Federation of Physicians and Dentists (All Units)
• Florida Nurses Association
Richard McLellan ……………….. 850/488-1280
• PBA (All Units)
Patty Roberts ……………………. 850/487-9464
• AFSCME Master Contract
• Florida State Fire Service Association
PRINCIPLES OF DISCIPLINE AND
GRIEVANCE HANDLING
Department of Management Services