Instructor Guidedisputemgmt

Emp loyee D i spu te Reso lu t i on

Instructor Guide

Velsoft International Inc.

Soft Skills Courseware

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Employee Dispute Resolution

Instructor Guide

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Copyright All rights reserved world-wide under International and Pan-American copyright agreements. No part of this document can be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of Velsoft International Inc.

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Table of Contents Instructor Guide .................................................................................................................. 1 Agenda ................................................................................................................................ 2 Session One: Introduction and Course Overview (8:30-9:00) ............................................ 3 Session Two: What is Peer Review? (9:00-9:15) .............................................................. 6 Session Three: Initiating the Process (9:15-10:00) ............................................................ 7

The First Three Stages (9:15-9:30) ................................................................................. 7 Individual Exercise (9:30-9:45) ...................................................................................... 8 Debrief (9:45-10:00) ..................................................................................................... 11

Break (10:00-10:15) .......................................................................................................... 11 Session Four: The Peer Review Panel (10:15-11:45) ...................................................... 12

Choosing a Facilitator (10:15-10:30) ............................................................................ 12 Choosing the Panel (10:30-10:45) ................................................................................ 13 Small Group Exercise (10:45-11:00) ............................................................................ 14 Debrief (11:00-11:15) ................................................................................................... 15 The Panels Contract (11:15-11:30) .............................................................................. 15 The Panels Role and Responsibilities (11:30-11:45) .................................................. 16

Morning Wrap-Up (11:45-12:00) ..................................................................................... 16 Lunch (12:00-1:00) ........................................................................................................... 16 Session Five: Asking Questions (1:00-1:45) .................................................................... 18

Icebreaker (1:00-1:10) .................................................................................................. 18 Asking Good Questions (1:10-1:20) ............................................................................. 18 Pushing My Buttons (1:20-1:30) .................................................................................. 20 Debrief (1:30-1:45) ....................................................................................................... 21

Session Six: The Peer Review Process (1:45-2:45) ......................................................... 22 Preparing for the Hearing (1:45-2:00) .......................................................................... 22 The Hearing (2:00-2:15) ............................................................................................... 23 Break (2:15-2:30) .......................................................................................................... 23 Making the Decision (2:30-2:45) .................................................................................. 24

Session Seven: Panel Walkthrough (2:45-4:00) ............................................................... 25 Preparation (2:45-3:00) ................................................................................................. 25 Panel Presentation (3:00-3:30) ...................................................................................... 25 Decision Time (3:30-3:45) ............................................................................................ 26 Debrief (3:45-4:00) ....................................................................................................... 26

Session Eight: Why Does the Process Fail? (4:00-4:15) .................................................. 27 Workshop Wrap-Up (4:15-4:30) ....................................................................................... 27

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Employee Dispute Resolution - Mediation Through Peer Review

2008 Velsoft International, Inc

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Instructor Guide Before the Workshop Read through the instructor guide. This is intended as a guide and not a bible. Be guided by your experience, the needs of the participants, and your own common sense, as well as the information in here. However, most of the suggestions and all of the information have been developed through research and hands-on, classroom experience. We recommend arriving at least one hour before the start of the session, particularly on Day One of working with a client. We suggest you shake hands with each participant as they come into the classroom and introduce yourself to them; it breaks the ice and sets the type of friendly atmosphere that is conducive to learning. Many of the flip charts can be prepared ahead of time. The first page should be set up like this:

Name of Workshop Facilitated by (Your Name) Your Organizations Name

Include in a different color, around the perimeter of the room, the words Courtesy, Participation, and Confidentiality. You might also want to add the words Exercises, Role Play, Learning, and Fun.

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Agenda 1) What is Peer Review? 2) Initiating the Process 3) The Peer Review Panel

i) Choosing a Facilitator ii) Choosing the Panel iii) The Panels Contract iv) The Panels Role and Responsibilities

4) Asking Questions 5) The Peer Review Process

i) Preparing for the Hearing ii) The Hearing iii) Making the Decision

6) Panel Walkthrough i) Preparation ii) Panel Presentation iii) Decision Time

7) Why Does the Process Fail?

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Session One: Introduction and Course Overview (8:30-9:00)

Introduce yourself. Establish credibility, by giving examples of training experience, and your own experiences with peer review, including some war stories if you have them. Ask that participants respect confidentiality. What we say in this room stays in this room. Remind them that it was Mark Twain who said, If two people have the same opinion, you dont need one of them, so we are at liberty to disagree with one another, and with the Instructor. However, respect other peoples opinions. Act courteously, to make sure we give other people their share of air time, and that we listen when other people are talking; and finally, we ask that you participate. You get out of a workshop just about what you put into it, and you will learn as much from sharing with others as you will from the concepts we bring you. Give the participants a chance to introduce themselves to you. You will probably want to know their name, their department, their position title and how they are involved in peer review. Address housekeeping items, like breaks (usually 10:15 and 2:15) and noon hour (12 to 1, go to lunch on their own). Give them info about washrooms, coffee, and cell phones. Remind the group that this is a safe house, the place where they can learn from their mistakes in a supportive atmosphere, rather than in the workplace where it can harm their credibility or their organization. Course Overview Ask students to turn to their workbooks and read the introduction with the overall objectives of the workshop (Session One). Then ask them to identify their own learning objectives. Turn to the agenda (on flip charts) and look at the topics you plan to cover. Go over these with the group and ask if there is anything there they didnt expect to see, or something NOT there that they had been hoping for. For topics they dont see:

Reassure group if a topic will be covered although it doesnt appear in the Agenda.

Opt to squeeze in something not covered if there is time, its appropriate, and if everybody is interested.

For those things they feel are not of interest to the group, you have the option of touching it briefly and moving on. This doesnt happen often, but these questions are your hip pocket needs assessment to make sure participants get what they expect, IF IT IS POSSIBLE.

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Generally, topics not within the realm of this program must be dealt with at another time. Suggest other programs, preferably those of Velsoft, or talk with the participant at end of day.

Learning Objectives Have you ever been in a workplace situation where a supervisor has made a decision that you dont agree with? Did you wish that you could ask someone else what they thought of the decision; whether they would have done the same thing? The Peer Review process offers employees just that chance, using a formalized procedure. In this course, you will learn:

What the Peer Review process is How employees file grievances and how management should respond How a facilitator and a panel is chosen What is involved in the hearing process, from preliminary meetings to the hearing

itself, to the decision process What responsibilities and powers a panel should have Questioning techniques Why peer review panels fail and how to avoid those pitfalls

This course is intended to offer participants a general overview of the Peer Review process. We encourage you to customize the process and its application for your organization.

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Icebreaker: Knots Ask all participants to stand, form a circle, and join hands. (If the group is larger than twenty, two smaller groups should be formed.) When group members are in a circle with hands joined, the trainer explains that this exercise will demonstrate the value of teamwork and team input. Next, the trainer should pick one person to be the problem-solver. This person leaves the circle and goes outside the room. Then, the trainer asks the participants to walk over and under each others hands so that the group is tangled. Group members cannot let go of each others hands during the tangling. Once the group is completely tangled, the problem-solver can return to the room. Their job is to provide the group with instructions to help them become untangled without letting go of each others hands. (Example: Bob, please step over Shirleys hands. Good, now Tim can turn around and duck under Joes hands.) The group members must simply follow instructions and not provide feedback. The exercise is complete when the group is standing in a circle again, hands joined.

Icebreaker Debrief Once the exercise is complete, ask participants to be seated. Have a large group discussion around the following points. Tie the discussion into the objectives of the workshop and the advantages of peer review.

For the participants, how did you feel not being part of the problem solving process?

For the problem-solver, how did you feel walking in on a problem that had occurred without your presence? Did not being there during the tangling make it easier or harder to solve the problem?

How do participants think the problem-solving process would have been different if the group members had been able to provide feedback, or if the problem solver had been present during the tangling process? No

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Session Two: What is Peer Review? (9:00-9:15)

In recent years, there has been a move towards collaborative problem-solving rather than unilateral problem solving. Lets say that a supervisor has noticed that sales have dropped in the past two months. Rather than institute changes on his/her own, s/he will turn to staff, perhaps in a meeting format, and ask why this change has occurred and what can be done to improve sales. Similarly, peer review provides employees with a fair, unbiased procedure to solve workplace disagreements. Disagreements are evaluated and solutions proposed by their peers. There are five objectives of peer review:

To preserve the relationship between individuals and the employee/employer. To resolve conflict in a manner that is fair to all. To clarify an issue by eliminating or reducing misinformation and

misinterpretation. To provide everyone involved in the issues the opportunity to talk free from

interruption. To have everyone involved be allowed to maintain their dignity while being heard

and having their points of view acknowledged. Discuss: When should peer review be used? When is it not appropriate?

Should Be Used Should Not Be Used

Process disputes Salary/pay evaluations

Disciplinary disagreements Legal issues

Evaluation discrepancies As a retaliation tool There are four players in the peer review process: the employee requiring assistance, the person they are filing the grievance against, the facilitator, and the panel.

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Session Three: Initiating the Process (9:15-10:00)

The First Three Stages (9:15-9:30)

Filing a Grievance The peer review process begins when the employee submits a grievance to the panel. This can be done in several ways. Typically, the employee submits a form detailing the incident and provides supporting documentation. Who they submit the form to depends on the organization. For smaller organizations, they may want to contact the panel facilitator themselves and have a brief meeting. For larger organizations, the employee may be required to drop the form off at a pre-defined location (for example, a box in the staff room). A sample form is included on page 9. The onus is on the employee to:

Accurately complete the grievance form Provide as much supporting documentation as possible Contact the facilitator to begin the process

Typically, the employee does not need to inform their manager that a grievance has been filed. The Managers Role Once the grievance has been filed, the facilitator will inform the manager. The manager will then need to provide documentation of the incident and disciplinary measures (if available). A sample disciplinary form is on page 10. The manager should also provide any other documents that support the rationale behind their decision. All documents should be submitted to the facilitator. Note During this course, we will try to refer to the manager and employee as such. At times, for the sake of clarity, we may revert to legal terms: appellant for the employee and defendant for the manager. We try to avoid using these terms when discussing Peer Review as the process typically does not have any legal authority. Obtaining Witness Statements To ensure fairness and accuracy, the facilitator should obtain the names of individuals who were involved in or witnessed the incident at hand and obtain witness statements from them. This can be as simple as filling out a quick form.

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Witness Statement

Witness

Occupation

Date

Time

Description of Incident

Signature

Other Documents Documents that may be presented include:

Photographs Blueprints Phone Records Job Descriptions Witness Statements Expense Receipts Mileage Reports E-Mails Production Records Working Files

Individual Exercise (9:30-9:45)

For the pre-assignment, participants were asked to think of a recent conflict situation in your organization. Ask everyone to take fifteen minutes now and fill out the grievance form and the disciplinary form in the workbook using their example. (Note that this is only a sample form; forms can and should differ widely between organizations.)

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Company Name Here

Grievance Form

Employee Name: ID#:

Job Title: Phone:

Grievance Information INCIDENT Date Time

Location DESCRIPTION

Desired Remedy

Signature Date No

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Company Name Here

Record of Disciplinary Action

Employee Name: ID#:

Infraction Date Time

Location Description

Disciplinary Action Taken

Manager Date

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Debrief (9:45-10:00) Bring the group back together and discuss the grievance forms.

Did the forms give you the opportunity to provide all the details? How would you change the form for your organization? If you were on a panel evaluating the incident and the measures taken, would

these forms tell you everything you needed to know? What other information might you need?

Break (10:00-10:15)

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Session Four: The Peer Review Panel (10:15-11:45)

Choosing a Facilitator (10:15-10:30)

The first thing that must be done is to choose a facilitator. This is typically done by the Human Resources department. The facilitator should be someone who has excellent communication skills, is very familiar with the company, is respected by staff, and who has the ability to remain focused on the facts and stay unbiased. A deputy facilitator should also be appointed. This person will serve if the issue at hand involves the facilitator. The facilitator is the key contact for the peer review panel and has a large role in choosing the panel. Choosing a good facilitator, someone who is respected in the company, is crucial to the success of the process. The facilitators responsibilities include:

Obtaining witness statements and all supporting documents Facilitating the pre-meeting, hearing, and post-meeting (where a decision is made) Informing all participants of the format, protocol, and confidentiality of the

hearing process Ensuring all interested parties know when and where the hearing is to take place Collecting all materials from the hearing and maintaining all records of the

hearing Assuring that the panel reviews all necessary documents Assisting the panel in defining the question to be decided Organizing the vote to decide the question Recording the vote

Note that the facilitator does not have a vote. Despite this, it is crucial that if the facilitator is involved in the issue in any way, s/he must step aside and allow the deputy facilitator to guide the process. Although the facilitator does not have a direct vote, s/he has an important role in leading the group, as you will see in the next few sessions.

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