PRINCIPLES OF PRINCIPLES OF DISCIPLINE AND DISCIPLINE AND

GRIEVANCE GRIEVANCE HANDLINGHANDLING

Department of Management ServicesDepartment of Management ServicesHR Conference 2006HR Conference 2006

PATTY ROBERTSPATTY ROBERTSHuman Resource ConsultantHuman Resource Consultant

Labor RelationsLabor Relations

Office of the General CounselOffice of the General Counsel

(850) 487-9464/SC 277-9464(850) 487-9464/SC 277-9464

patty.roberts@dms.myflorida.compatty.roberts@dms.myflorida.com

This Presentation Will This Presentation Will Help You:Help You:

Understand the rolerole discipline plays in good HR management

Understand the requirementsrequirements which apply to Career Service employees when disciplinary actions are taken

Avoid potential problemsAvoid potential problems when disciplinary actions are contemplated

Understand the types of grievancestypes of grievances and employees’ choice of remedy

PRINCIPLES OF PRINCIPLES OF DISCIPLINEDISCIPLINE

What is Your Role as a What is Your Role as a Supervisor / Manager ?Supervisor / Manager ?

• Responsible LeaderResponsible Leader• Agency RepresentativeAgency Representative• Coach and CounselorCoach and Counselor• Records ManagerRecords Manager

The Supervisor’s The Supervisor’s ResponsibilitiesResponsibilities

Understanding statutes, Understanding statutes, rules and policiesrules and policies

Exhibiting positive Exhibiting positive leadership characteristicsleadership characteristics

Articulating expected Articulating expected conduct and performanceconduct and performance

Disciplinary StandardsDisciplinary StandardsAll employees shall have All employees shall have

reasonable access to the reasonable access to the agency’s personnel agency’s personnel manual/disciplinary policiesmanual/disciplinary policies

Receipt of standards Receipt of standards documented by employee’s documented by employee’s signaturesignature

Standards consistently appliedStandards consistently applied

What is DISCIPLINE?What is DISCIPLINE?

PUNISHMENT

DISCIPLINE IS...DISCIPLINE IS......the means by which we give formal notice ...the means by which we give formal notice to the employee of:to the employee of:

– What he/she did wrongWhat he/she did wrong– The rule or standard violatedThe rule or standard violated– Corrective action neededCorrective action needed– What the employee can expect if the What the employee can expect if the

offense is committed againoffense is committed again

Sources of AuthoritySources of Authorityfor Discipline:for Discipline:

Section 110.227, F.S.Section 110.227, F.S.Chapter 60L-36, Chapter 60L-36,

F.A.C., Conduct of F.A.C., Conduct of EmployeesEmployees

Discipline Article of Discipline Article of Each Collective Each Collective Bargaining Bargaining AgreementAgreement

Agency Policies and Agency Policies and ProceduresProcedures

State of Florida’s State of Florida’s PhilosophyPhilosophy

Good faith effort to initiate Good faith effort to initiate counseling or discipline counseling or discipline immediately after immediately after knowledge of the event knowledge of the event giving rise to the actiongiving rise to the action

Establishing CauseEstablishing CauseAs stated in As stated in Section 110.227(1), F.S.Section 110.227(1), F.S.

““Cause shall include, but is not limited to poor Cause shall include, but is not limited to poor performance, negligence, inefficiency or performance, negligence, inefficiency or

inability to perform assigned duties, inability to perform assigned duties, insubordination, violation of the provisions insubordination, violation of the provisions of law or agency rules, conduct unbecoming of law or agency rules, conduct unbecoming

a public employee, misconduct, habitual a public employee, misconduct, habitual drug abuse, or conviction of any crime.”drug abuse, or conviction of any crime.”

[ See 60L-36.005(3), F.A.C. for definitions ][ See 60L-36.005(3), F.A.C. for definitions ]

Establishing CauseEstablishing Cause NoticeNotice Proof of MisconductProof of Misconduct Past PracticePast Practice Appropriateness of DisciplineAppropriateness of Discipline TimelinessTimeliness Employee RightsEmployee Rights

Establishing Cause forEstablishing Cause forDisciplinary ActionsDisciplinary Actions

The burden of proof The burden of proof

is onis on

MANAGEMENTMANAGEMENT

Documentation,Documentation, Documentation,Documentation,

Documentation…Documentation…

Checklist Before Checklist Before Taking ActionTaking Action

Statutes, Rules, Agency StandardsStatutes, Rules, Agency Standards Collective Bargaining AgreementsCollective Bargaining Agreements Law Enforcement Bill of RightsLaw Enforcement Bill of Rights Employee RecordEmployee Record EvidenceEvidence Past PracticePast Practice Mitigating CircumstancesMitigating Circumstances

When CounselingWhen Counselingfor Minor Violationsfor Minor Violations

Be specific as to expectations, Be specific as to expectations, consequences consequences

Maintain privacyMaintain privacyBe objectiveBe objectiveBe professional and respectfulBe professional and respectfulListen to the employeeListen to the employee

When Issuing When Issuing Disciplinary Actions…Disciplinary Actions…

NeverNever make apologies for taking action or

blame higher level management for making the decision to do so

Investigatory InterviewInvestigatory Interview

Law EnforcementLaw Enforcement

Bill of RightsBill of Rights

Sections 112.532 and Sections 112.532 and 112.533, F.S.112.533, F.S.

Investigatory InterviewInvestigatory InterviewEmployee shall be :Employee shall be :• Informed of each Informed of each

complaint or complaint or allegation against allegation against him/herhim/her

• Informed of right to Informed of right to have union have union representation or representation or legal counsellegal counsel

Investigatory InterviewInvestigatory Interview• All written statements and All written statements and

recordings made by complainant recordings made by complainant and witnesses made available for and witnesses made available for review at least 1 hour prior to review at least 1 hour prior to interviewinterview

• Interview conducted at reasonable Interview conducted at reasonable hour, preferably when employee is hour, preferably when employee is on dutyon duty

Investigatory InterviewInvestigatory Interview• Employee shall not be subjected to Employee shall not be subjected to

offensive language or be threatened offensive language or be threatened with transfer, dismissal, or with transfer, dismissal, or disciplinary actiondisciplinary action

• Formal interrogation shall be Formal interrogation shall be recorded and upon request, copy recorded and upon request, copy provided to employee at no costprovided to employee at no cost

Investigatory InterviewInvestigatory Interview• Employee under Employee under

investigation investigation advised in writing advised in writing of results of the of results of the investigation at its investigation at its conclusionconclusion

ReviewReviewYour RoleYour RoleDisciplinary StandardsDisciplinary StandardsState’s Philosophy and AuthorityState’s Philosophy and AuthorityEstablishing CauseEstablishing CauseDocumentationDocumentationEmployee RightsEmployee Rights

PRINCIPLES OF PRINCIPLES OF GRIEVANCE GRIEVANCE HANDLINGHANDLING

What Can HappenWhat Can HappenEven If You Do Everything Even If You Do Everything

RightRight ? ? Career Service GrievanceCareer Service Grievance PERC AppealPERC Appeal Collective Bargaining GrievanceCollective Bargaining Grievance Equal Employment Opportunity Equal Employment Opportunity

Commission (EEOC) ComplaintCommission (EEOC) Complaint Florida Commission on Human Florida Commission on Human

Relations (FCHR) ComplaintRelations (FCHR) Complaint

Resolution of GrievancesResolution of Grievances

Handle Handle promptlypromptly at theat the

LOWEST LEVEL OF SUPERVISIONLOWEST LEVEL OF SUPERVISION having the authorityhaving the authority

to adjust the grievanceto adjust the grievance

Types of Employee Types of Employee GrievancesGrievances

CAREER SERVICECAREER SERVICE

A grievance process shall be available to A grievance process shall be available to permanent career service employees.permanent career service employees.

A grievance is defined as, A grievance is defined as,

“The dissatisfaction that occurs when an “The dissatisfaction that occurs when an employee believes that any condition employee believes that any condition

affecting the employee is unjust, inequitable, affecting the employee is unjust, inequitable, or a hindrance to effective operation.”or a hindrance to effective operation.”

[ Section 110.227(4), F.S. ][ Section 110.227(4), F.S. ]

Exceptions Specified inExceptions Specified inSection 110.227(4), F.S.Section 110.227(4), F.S.

Claims of DiscriminationClaims of DiscriminationClaims of Sexual HarassmentClaims of Sexual Harassment

[ Handled by Agency Internal Procedures ][ Handled by Agency Internal Procedures ]

Claims Related to Suspensions,Claims Related to Suspensions,Reductions in Pay, DemotionsReductions in Pay, Demotions

and Dismissalsand Dismissals[ Handled through PERC Appeal or Collective [ Handled through PERC Appeal or Collective

Bargaining Grievance Process ]Bargaining Grievance Process ]

Career ServiceCareer ServiceGrievance FormGrievance Form

Must SpecifyMust Specify

• Issue(s) Issue(s) giving rise to the grievance

• ReliefRelief requested Must be an issue and

remedy that is within the agency head’s control

Career Service Grievance Career Service Grievance ProcedureProcedure

Step One:Step One:

Employee submits written grievance to Employee submits written grievance to supervisor within supervisor within 7 calendar days7 calendar days of of event giving rise to grievance. event giving rise to grievance.

Supervisor meets with employee within Supervisor meets with employee within 5 business days5 business days following receipt of following receipt of grievance.grievance.

Career Service Grievance Career Service Grievance ProcedureProcedure

Step Two:Step Two:

Employee submits written grievance to Employee submits written grievance to agency head or designee within agency head or designee within 2 business 2 business daysdays following meeting with supervisor. following meeting with supervisor. Meeting with employee within Meeting with employee within 5 business 5 business daysdays following receipt of grievance. Written following receipt of grievance. Written response to Grievant within response to Grievant within 5 business days5 business days following the meeting. following the meeting.

Step Two decision is final.Step Two decision is final.

Public Employees Public Employees Relations CommissionRelations Commission

PERC AppealPERC Appeal

ProcedureProcedure

Section 110.227(6), F.S.Section 110.227(6), F.S.

Employees May Choose Employees May Choose PERC Appeal PERC Appeal oror

Collective Bargaining GrievanceCollective Bargaining Grievance

Reduction in PayReduction in Pay DemotionDemotion SuspensionSuspension DismissalDismissal

Types of Employee Types of Employee GrievancesGrievances

COLLECTIVE COLLECTIVE BARGAININGBARGAINING

Collective BargainingCollective BargainingGrievance ProcedureGrievance Procedure

A dispute involvingA dispute involving

the interpretation or the interpretation or application of theapplication of the specific provisionsspecific provisions

of the Agreementof the Agreement

Collective Bargaining Collective Bargaining Grievance FormGrievance Form

Must SpecifyMust Specify

• Issue(s) Issue(s) giving rise to grievance• Specific Agreement Provision(s)Specific Agreement Provision(s)

allegedly violated• ReliefRelief requested

Collective Bargaining Collective Bargaining Grievance ProcessGrievance Process

Occurrence of EventOccurrence of Event Oral Step -Oral Step - Immediate SupervisorImmediate Supervisor Step 1-Step 1- Management RepresentativeManagement Representative Step 2 -Step 2 - Agency Head or DesigneeAgency Head or Designee Step 3 -Step 3 - DMS Review DMS Review Arbitration - Arbitration - Final and BindingFinal and Binding

Processing a Collective Processing a Collective Bargaining GrievanceBargaining Grievance

Time LimitsTime Limitsinin

Calendar DaysCalendar Days

14 Calendar Days for Grievant to File

14 Calendar Days for Grievant to File

14 Calendar Days for Grievant to File

14 Calendar Days for Grievant to File

Occurrence of the Event

Oral Step

Step 1

Step 2

Step 3

14 Calendar Days to Respond to Grievant

14 Calendar Days to Respond to Grievant

21 Calendar Days to Respond to Grievant

21 Calendar Days to Respond to Grievant

Collective Bargaining Grievance ProcedureCollective Bargaining Grievance Procedure

GRIEVANTGRIEVANT AGENCYAGENCY

Step 1

14 Calendar Days for Grievant to File

14 Calendar Days for Grievant to File

14 Calendar Days for Grievant to File

Occurrence of the Event

Step 2

Step 3Arbitration

14 Calendar Days to Respond to Grievant

14 Calendar Days to Respond to Grievant

Law Enforcement Grievance ProcedureLaw Enforcement Grievance Procedure GRIEVANTGRIEVANT AGENCYAGENCY

To Enforce Time LimitsTo Enforce Time Limits

Document Document in writingin writing all mutual agreements all mutual agreements to extend time limits to extend time limits at any given level of at any given level of the grievancethe grievance

Time LimitsTime Limits

Failure to communicate the Failure to communicate the decision within the specified decision within the specified time limit shall permit the time limit shall permit the

Grievant or UnionGrievant or Union

to proceed to the next stepto proceed to the next step

The Written ResponseThe Written Response

Identify the alleged violation(s) and issue(s)Identify the alleged violation(s) and issue(s)Identify the requested reliefIdentify the requested reliefState the background and relevant factsState the background and relevant factsAddress all articles/provisions allegedly Address all articles/provisions allegedly

violatedviolatedIdentify and address each union issueIdentify and address each union issueIdentify management’s issues, e.g., timelinessIdentify management’s issues, e.g., timelinessState management’s decisionState management’s decision

DocumentDocument the date and timethe date and time the Grievant or Unionthe Grievant or Union RECEIVES RECEIVES thethe agency responseagency response

The Written ResponseThe Written Response

RepresentationRepresentation

• Union has right to attend any meeting Union has right to attend any meeting called for the resolution of grievancecalled for the resolution of grievance

• If employee elects union representation, If employee elects union representation, any decisions mutually agreed to by State any decisions mutually agreed to by State and Union areand Union are binding on Grievantbinding on Grievant

Basic Principles to Basic Principles to RememberRemember

Review grievance for timeliness, watch Review grievance for timeliness, watch timeframes for respondingtimeframes for responding

If no meeting conducted with Union, If no meeting conducted with Union, document date of discussion by phonedocument date of discussion by phone

Review previous decisions, no new Review previous decisions, no new issuesissues

Accuracy and specificity essentialAccuracy and specificity essential

Settlement of GrievancesSettlement of Grievances

When management When management and the Union mutuallyand the Union mutually agree to modify the agree to modify the terms of the originalterms of the original action takenaction taken

What Choices Do Employees HaveWhat Choices Do Employees Haveto Grieve or Appeal These Actions?to Grieve or Appeal These Actions?

CounselingCounseling ____________________Oral ReprimandOral Reprimand __________ __________ Involuntary DemotionInvoluntary Demotion __________ __________ Reduction in PayReduction in Pay ____________________SuspensionSuspension __________ __________ DismissalDismissal ____________________

Choices: Choices: Career Service GrievanceCareer Service GrievanceCollective Bargaining GrievanceCollective Bargaining GrievancePERC AppealPERC AppealNot Grievable/AppealableNot Grievable/Appealable

Can’t put your hands on Can’t put your hands on your rules, statutes, your rules, statutes, collective bargaining collective bargaining

agreements? agreements?

DMS WEBSITEDMS WEBSITE[ Quick Links to Rules, Statutes, and[ Quick Links to Rules, Statutes, andCollective Bargaining Agreements ]Collective Bargaining Agreements ]

www.dms.myflorida.com/dms2/human_resource_www.dms.myflorida.com/dms2/human_resource_

support/human_resource_managementsupport/human_resource_management

DMS LABOR RELATIONS DMS LABOR RELATIONS CONTACTSCONTACTS

John CovingtonJohn Covington ………………… ………………… 850/487-9460850/487-9460• Federation of Physicians and Dentists (All Units)Federation of Physicians and Dentists (All Units)• Florida Nurses AssociationFlorida Nurses Association

Richard McLellanRichard McLellan ……………….. ……………….. 850/488-1280850/488-1280• PBA (All Units)PBA (All Units)

Patty RobertsPatty Roberts ……………………. ……………………. 850/487-9464850/487-9464• AFSCME Master ContractAFSCME Master Contract• Florida State Fire Service AssociationFlorida State Fire Service Association

PRINCIPLES OF PRINCIPLES OF DISCIPLINE AND DISCIPLINE AND

GRIEVANCE GRIEVANCE HANDLINGHANDLING

Department of Management ServicesDepartment of Management Services