Hrmg2020 Clo4 Grievance, Appeals, And Investigations Pdf

CLO 4: Diagnose employee grievance and appeals process, dispute resolution strategies and conduct a workplace investigation HRMG2020 - CLO4 CLO 4. Greivances, Dispute Resolution and Workplace Investigation CLO 4.1 Identify employee grievance process 4.1.1 Examine best practices to address and reso...

CLO 4: Diagnose employee grievance and appeals process, dispute resolution strategies and conduct a workplace investigation HRMG2020 - CLO4 CLO 4. Greivances, Dispute Resolution and Workplace Investigation CLO 4.1 Identify employee grievance process 4.1.1 Examine best practices to address and resolve employee grievances 4.1.2 Discuss common employee complaints 4.1.3 Explain conflict management styles 4.1.4 Describe the steps involved with negotiation 4.1.5 Describe currently accepted conflict resolution theories CLO 4.2 Identify employee appeals process 4.2.1 Discuss methods to increase cooperation in the workplace 4.2.2 Describe individual dispute resolution techniques CLO 4.3 Identify dispute resolution strategies 4.3.1 Practice dispute resolution skills CLO 4.4 Discuss a workplace investigation 4.4.1 Describe the steps involved when undertaking an investigation CLO 4.5 Conduct a workplace investigation 4.5.1 Conduct a simulated investigation into given employee relations issues HRMG2020 - CLO4 Vocabulary Grievance Collaborating Negotiation Compromising Conflict resolution theories Arbitration Dispute resolution Mediation Workplace investigation Allegation Discontentment Arbitrator Bullying HRMG2020 - CLO4 CLO 4.1 Identify employee grievance process HRMG2020 - CLO4 Grievance Topics 1. Types & Common of Grievances 2. Common Workplace Conflicts Dispute Resolution Negotiation -> Mediation -> Arbitration HRMG2020 - CLO4 What is an Employee Grievance? Employee grievance refers to the discontentment of an employee with the organization and its management. An employer is expected to provide an employee with a safe working environment, clear knowledge of job responsibilities, adequate compensation, respect etc. Discontentment may be caused when there is a gap between what the employee expects and what they receive from the employer. HRMG2020 - CLO4 Types of Grievances Individual Group Grievances Grievances HRMG2020 - CLO4 Policy Grievances Common Individual and/or Group Grievances 1. Pay and benefits 2. Bullying 3. Work conditions HRMG2020 - CLO4 4. Workload 1. Pay and Benefits Employees want a higher salary Employees think they should earn the same as someone in a similar job Employees want improved benefits (i.e. allowances) HRMG2020 - CLO4 2. Bullying Characteristics: 1. 2. 3. Intentional- the behavior was aggressive and a deliberate attempt to hurt another person Repeated- these aggressive actions occur repeatedly over time to the same person or group of people Power imbalance- the person bullying has more physical or social power than the person or people being bullied HRMG2020 - CLO4 Physical Cyber Types of Bullying Relational Verbal 3. Work Conditions Safety Hours of Work & Leave Mental / Physical Health HRMG2020 - CLO4 Flexible working Gender pay gap 4. Workload Increasing workloads when another employee leaves Increasing workloads when organizational cuts occur Heavy workloads extend past the agreed-upon expiration time HRMG2020 - CLO4 Two points… TACTICAL GRIEVANCES WHISTLEBLOWING Grievances that are pre-planned by employees who are already in trouble due to poor performance, or prior disciplinary action. In some countries, whistle-blowing or reporting wrongdoing at work is allowed under the law as it may affect the public. They are deflecting responsibility. In some cases, you may need to stop the disciplinary procedures underway to conduct another investigation into their grievance. i.e. an employee is on a performance improvement plan as they have made too many mistakes BUT they then file a formal grievance that their manager is bullying them. Normally refers to conflict of interest, corruption, embezzlement, procurement fraud or other HR matters. i.e. Danske Bank British banker Howard Wilkinson uncovered a €200 billion money-laundering scheme running through Danske Bank’s branch in Tallinn, Estonia between 2007 and 2015. It involved payments made through the branch from nonresidents accounts based in Russia, Cyprus and the UK. The transactions happened in 150 countries. HRMG2020 - CLO4 Identification of Grievances A grievance should be redressed as soon as possible. Open-door Policy Opinion Survey Suggestion Box System Exit Interview HRMG2020 - CLO4 What are common employee complaints/conflicts? HRMG2020 - CLO4 Task-Based Conflicts Common Workplace Conflicts Leadership Conflicts Discrimination Common Workplace Conflicts PersonalityBased Conflicts HRMG2020 - CLO4 4.1.2 Workstyle conflict HRMG2020 - CLO4 Dispute Resolution Arbitration Mediation Negotiation HRMG2020 - CLO4 HRMG2020 - CLO4 Negotiation Negotiation is voluntary agreement were a parties work out a solution. It is a dialogue between two or more people or parties intended to reach a beneficial outcome over one or more issues where a conflict exists HRMG2020 - CLO4 HRMG2020 - CLO4 Mediation Mediation is a facilitated negotiation where mediator facilitates the problem solving. HRMG2020 - CLO4 Steps of Mediation 1- Agree to mediate 2- Gathering point of view 3- Focus on interests and needs 4- Create a win-win solution 5- Create an agreement HRMG2020 - CLO4 Types of Mediation 1. Facilitative Mediation the mediator plays an active role in leading parties through a structured process but the parties are responsible for the outcome of the mediation. By making the decisions themselves, parties will be more likely to be committed to the solution and satisfied. This is the most commonly used. 2. Evaluative Mediation is often undertaken by legal advisors: the parties are given some indication of the strengths and weaknesses of the case if it were taken to an Employment Tribunal. This is an approach that attempts to lead parties to a settlement. 3. Transformative Mediation (Bush and Folger, 1994) the parties are encouraged to have ownership of the process as well as the final decision. In practice this means that the process is less structured and develops differently for different situations and parties. This approach takes the view that the mediation process may change the way parties behave in the workplace outside of the specific conflict as well. HRMG2020 - CLO4 What if the conflict continues and we want to avoid going to the legal system? HRMG2020 - CLO4 Arbitration The parties choose the arbitrator(s) Arbitration is a procedure in which a dispute is submitted, by agreement of the parties, to one or more arbitrators who make a binding decision on the dispute. In choosing arbitration, the parties opt for a private dispute resolution procedure instead of going to court. Consensual Neutral and Confidential Decision is final HRMG2020 - CLO4 1. Arbitration is Consensual Arbitration can only take place if both parties have agreed to it. In the case of future disputes arising under a contract, the parties insert an arbitration clause in the relevant contract. An existing dispute can be referred to arbitration by means of a submission agreement between the parties. In contrast to mediation, a party cannot unilaterally withdraw from arbitration. HRMG2020 - CLO4 2. The parties choose the arbitrator(s) The parties can select a sole arbitrator together. If they choose to have a three-member arbitral tribunal, each party appoints one of the arbitrators; those two persons then agree on the presiding arbitrator. Alternatively, and arbitration Center can suggest potential arbitrators with relevant expertise or directly appoint members of the arbitral tribunal. The Center maintains an extensive roster of arbitrators ranging from seasoned dispute-resolution generalists to highly specialized practitioners and experts covering the entire legal and technical spectrum of intellectual property. HRMG2020 - CLO4 3. Arbitration is Neutral and Confidential In addition to their selection of neutrals of appropriate nationality, parties are able to choose such important elements as the applicable law, language and venue of the arbitration. This allows them to ensure that no party enjoys a home court advantage. Any disclosures made during that procedure will be penalized legally. HRMG2020 - CLO4 4. The Decision of the Arbitral Tribunal is Final and Easy to Enforce Under the arbitration contract, the parties agree to carry out the decision of the arbitral tribunal without delay. In some cases it is enforced by national courts. HRMG2020 - CLO4 Improve Cooperation Amongst Co-Workers Nurture teamwork approach Provide teams with the resources they need to work together Train employees and encourage ongoing learning Encourage people to socialize outside of work Clarifying roles and setting expectations Review and appreciate individual's talents Resolve team conflict quickly! HRMG2020 - CLO4 Fairness in the Workplace Do are you a goo gre e fair d exa ? Wh m ne at w o s s in p le s o rkp t f la c h e e? HRMG2020 - CLO4 HRMG2020 - CLO4 Workplace Investigation When there is a possible workplace disciplinary or grievance issue, the employer should find out all they reasonably can about the issue. This is known as an ‘investigation’. An investigation is to: - make sure everyone is treated fairly - gather evidence from all sides - help the employer to see what should happen next HRMG2020 - CLO4 Make an Investigation Plan An investigation plan can include: üwhat needs to be investigated üTimeframes üwho is carrying out the investigation üpolicies or workplace guidelines to follow üanyone who needs to be spoken with (‘witnesses’) üwhether the person investigating is expected to give recommendations at the end of the investigation üany sources of evidence, for example work records, emails or CCTV recordings üany time limits, for example CCTV footage being deleted or staff going on leave üsetting out the importance of confidentiality üDeciding whether to transfer or suspend the investigated employee during the investigation HRMG2020 - CLO4 Common Reasons for Conducting a Workplace Investigation Workplace Investigation Threats and/or violence Substance abuse Employee Misconduct Theft Harassment HRMG2020 - CLO4 Investigation Steps Step 1: Decide if there needs to be an investigation Step 2: Prepare for an investigation Step 3: Carry out an investigation Step 4: If there are witnesses Step 5: What happens after an investigation HRMG2020 - CLO4 Ensure info confidentiality and safety of all involved Step 1: Decide if there needs to be an investigation Is there a real issue to investigate? Workplace disciplinary issue: a response by the employer to problems with employee performance or behavior Grievance issue: an official statement of a complaint over something believed to be wrong or unfair. HRMG2020 - CLO4 Investigation Confidentiality Consider future consequences should information be released: Damage to someone’s reputation Success may be undermined if people know of the investigation Subject might try to hide/cover up any misconduct Company may face liability or negative publicity Company can’t defend itself legally Disclosure of info could lead to retaliatory action HRMG2020 - CLO4 Step 2: Prepare for an investigation Who can carry out the investigation? In a disciplinary case, the employer/manager should get somebody who's not involved in the case to carry out the investigation, for example another manager or someone from HR. This is to keep things as fair as possible. In smaller businesses, the employer/manager might have to do it themselves. For a grievance investigation, it is usually best for the person hearing the grievance to investigate the issue. HRMG2020 - CLO4 Step 2: Prepare for an investigation The investigator Proper mindset Professionalism Independent Competence Objectivity and Impartiality Prevent retaliation Timeliness HRMG2020 - CLO4 Step 3: Carry out an Investigation - be fair and objective - follow any policies or guidelines of your workplace a simple case might only take a day to gather enough information, whereas a more complicated case could take several weeks. - get as much information on the case as is reasonable Get physical evidence when possible: emails paperwork receipts computer records phone records - not try to prove guilt CCTV recordings - keep the case confidential attendance records Things to consider HRMG2020 - CLO4 Evaluating Allegations & Establishing Facts The structure of an investigation It’s best to start by establishing clear terms of reference. Terms of reference might look at the following issues: Ø The allegation. Ø Is the investigation gathering information or establishing non-contestable facts? Ø Who will be needed to complete the investigation? Will it be necessary to appoint an external investigator? How will witnesses be handled? Ø Will employee representatives be involved? Ø What happens when draft and final investigation reports are prepared? HRMG2020 - CLO4 Assessment Task A manager has reported an incident to you An employee (Ahmed) has reported that another employee (Yousef) pushed him into a wall in the hallway of an office building Ahmed said he was having a conversation with Yousef, it got heated, and that’s when Yousef pushed him As an investigator: - What do you need to know? - What questions would you ask? - How will you collect information? HRMG2020 - CLO4 Step 3: Carrying out an Investigation a) Preparing for Interviews Who to interview? ◦ Complainant: the person making the complaint ◦ Respondent: the person who the complaint is made against What will you be investigating? ◦ Nature of the complaint, what decisions need to be made prior to meeting Where will you hold the interviews? ◦ Consider privacy, confidentiality, amenities, comfort (water and tissues) When will you hold your interviews? ◦ Consider timing, how many people to interview in a day, etc. HRMG2020 - CLO4 Step 3: Carrying out an Investigation a) Preparing for Interviews To prepare for an interview: Ø If there is a written complaint, review and come up with questions based on the complaint Ø Determine what you need to know Ø Isolate and number each complaint Ø Ask open ended questions, wherever possible Ø Have THEM describe the incident, NOT YOU! Ø Question FACTS, not opinions HRMG2020 - CLO4 Step 3: Carrying out an Investigation b) Conducting the Interviews State your mandate clearly ◦ Explain who you are, why are you involved Explain the process ◦ What you are doing, who you will be speaking with, what are you doing with the information Confidentiality (consequences and limitations) Advise the support person what their role is Produce a written statement, have the person sign to confirm accuracy HRMG2020 - CLO4 Step 3: Carrying out an Investigation c) Common investigator mistakes, biases Showing bias (very important to remain neutral) ◦ Example: “He did what?! Oh my god, that’s terrible!” Watch your body language ◦ Don’t appear shocked ◦ Make eye contact ◦ Watch your facial expressions Taking sides Asking leading questions Accepting hearsay HRMG2020 - CLO4 Step 3: Carrying out an Investigation Types of Evidence Hearsay Evidence ◦ Evidence obtained from a third-party to the event. Statements made by witnesses not directly involved are usually not admissible Testimony ◦ Verbal presentation by a witness as to what they witnessed. ◦ Witnessed should be interviewed without other witnesses present Eyewitness Evidence ◦ Evidence presented by a witness who wasn’t part of the event but who observed it Expert Witness Evidence ◦ Evidence obtained by a witness who is recognized as a qualified expert in that field HRMG2020 - CLO4 Investigation Meeting Questions: Which question is more appropriate in an investigation interview and why? A: Did you see any interaction between Yousef and Omar the night of August 22? B: Did you see Yousef grab Omar and say he wanted to hit him? Which one is a LEADING question? Two video samples: https://www.youtube.com/watch?v=1G2U73V4LuI https://www.youtube.com/watch?v=_UGQx0VCLpQ HRMG2020 - CLO4 Step 4: If there are witnesses Take records If a large group witnessed the incident, interview separately Keep it confidential HRMG2020 - CLO4 Step 5: What happens after an investigation When there is enough information and the investigation is finished, the employer/manager should have a written report. The findings of the report should be shared with the employee. Report should include: •Background of the complainant and respondent •Description of the offence causing discipline or the grievance •Description of the investigation carried out •Conclusion and assessment HRMG2020 - CLO4 Appeal Process Sample 1. Employee should discuss issue with supervisor within 10 business days of having received investigation decision 2. Supervisor may decline to reconsider, or reconsider it and either affirm or revise the decision. 3. If issue is not resolved, employee may file a written appeal with the Employee Relations within 10 business days of receiving the supervisor’s response outlining the basis of the fault in the decision. 4. Employee Relations will discuss the appeal with the employee and the supervisor. 5. Within 10 business days of receiving the appeal Employee Relations must respond in writing to the employee. The response should indicate whether Employee Relations agree with the supervisor’s decision or proceed with a new investigation. 6. Employee Relations Decision is Final. HRMG2020 - CLO4