THE ABC GUIDE TO CONFLICT RESOLUTION
Resolution Building Blocks Building a Resolution Ready Workplace
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John Crawley Part 3 of 4 Whitepaper Series Tel. 0845 600 8851
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The ABC of Workplace Conflict Resolution Resolution Building Blocks - Building a Resolution Ready Workplace
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Resolution Building Blocks Part 2 of the ABC Guide to Conflict Resolution at Work – Resolution Architecture offered conceptual support for ‘Accidental Resolution Architects’ – the people involved in designing and developing improvements in conflict resolution performance. This section – Part 3 of the ABC Guide will help when Resolution Architects begin to consider resources, budgets and how to turn the design into reality using Resolution Building Blocks. At this point the Accidental Architects become buyers and potential customers. They need external providers to support a conflict resolution project whether it is buying in a single mediation or training course, or building a long term, large scale project to improve resolution-readiness.
John Crawley General Manager People Resolutions
Getting Started with Resolution Building Blocks Workplace conflict resolution is never a top priority spend, particularly in difficult financial times. Getting funding for Resolution Building Blocks is a bit like trying to sell an umbrella in the dry season. People think they will never need the umbrella until they suddenly get caught in a downpour. Even well-established mediation initiatives with an excellent record of cutting the cost of conflict and delivering quality services are susceptible to changes in funding priority, cuts and changes in managerial or organisational dynamics, or politics. It is at this stage that you need to create your first ‘Resolution Building Block’ if you have not done so already: a stakeholder / steering group.
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Creating a Stakeholder / Steering Group If you can sell the resolution readiness concept to a group of key stakeholders1 and secure a budget, then building can begin. (This part of the guide has many ideas about “Where to start?” and “What next?”). Who are the key stakeholders for a conflict resolution project? • People who have resources / influence and can make things happen • People who have resources / influence and may challenge / oppose your conflict resolution project • Potential users / referral sources for the conflict resolution project • Existing practitioners with relevant skills / experience. Often included in such groups include: Senior management, HR, equality and diversity, customer complaints staff, union and employee representatives, and existing trained mediators / coaches / counsellors. Recent research is emphatic that: “Wide consultation and involvement does assist the effectiveness of mediation and conflict resolution projects2. Long-term improvements in employee relations are more likely if there is good engagement with a wide range of stakeholders.” The main tasks for this group are to: • Identify the conflict resolution requirement and build the business case • Establish clear aims, goals and aspirations • Agree resources / budget • Start developing Resolution Architecture • Establish key milestones • Begin building commitment / enthusiasm.
References 1
People Resolutions has assisted this process many times by presenting free awareness
sessions including a Conflict Clinic using the ABC method, mediation updates, sessions on setting up in-house mediation, conflict coaching, workplace investigations. 2
http://www.acas.org.uk/media/pdf/k/8/Transforming_Conflict_Management_in_the_Public_
Sector_-_Mediation_Trade_Unions_and_Partnerships_in_a.pdf
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Where To Start Building And Next Steps I am sure that some of you reading this already have well developed conflict resolution and mediation initiatives in your organisation, or that you can access specialists or consultants. Others may be at the start of this process with little provision and no clear idea about where to go next. Part 3 of the ABC Guide will help you wherever you are on that journey with ideas about where to start building and what to do next to make the Resolution Store a reality and develop customised resolution pathways.
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Building at the Ground Floor: Early Win/Win Resolution Conflict Resolution Training An Essential Building Block to Conflict Culture Change Early win / win resolution works best when the right Resolution Architecture is in place and a degree of managerial buy-in is achieved. Managers are, after all, the first port of call for most workplace conflicts. Handling conflict is one of their least favourite activities and it is often easier to escalate a conflict upwards or divert it to HR. In many organisations, spend on conflict resolution training for managers has lagged behind spend on setting up in-house
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mediation services. This is probably because the measurable savings on case-work are particularly impressive. I believe that real conflict culture change will only happen if conflict resolution and mediation training is used more as a fundamental building block for resolution readiness. It is not an either / or choice. If you have the resources, it is desirable to build at all three levels of the Resolution store, resourcing local early resolution, facilitated resolution and formal investigation and adjudication (see below).
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Top 10 Ingredients of Workplace Conflict Training Whether you choose face-to-face training, online learning or a blended approach; here are my Top 10 Ingredients of Workplace Conflict Resolution / Mediation Skills Training:
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Aim to change thinking from ‘conflict negative’ to ‘conflict positive’ e.g. conflict is normal, people can survive and even thrive if they sort it out by dialogue.
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Encourage people to think and reflect rather than react e.g. self reflection activity on conflict resolution styles.
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Explain and, if possible, build commitment to the model of conflict resolution and the values associated with it – see RESPECT model below.
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Input and practice listening and rapport-building skills, conflict facilitation skills.
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Build understanding of the principles of win-win and win-lose conflict resolution and how they work in practice.
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Increase and improve resolution vocabulary – develop ‘scripts’, ’core phrases’, key questions, etc.
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Ensure that you tap into and exchange the skills already in the group.
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Work through real-life examples, case studies, snapshots of difficult behaviour. Signpost other conflict resolution initiatives / plans and where support is available after training. Be clear when different resolution pathways are suitable or not e.g. early local resolution, independent mediation or formal investigation. Improve consistency of conflict assessment (see the Traffic Light Approach in ABC Guide Part 2).
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You will get more out of conflict resolution training if you: • Negotiate a measure of online / telephone support for attendees after the training; • Make sure that the training is joined-up with other conflict resolution initiatives i.e. it follows core principles of early win-win resolutions and customised resolution pathways; • Ensure the trainers model conflict resolution values and behaviours particularly around equality and diversity; • Pilot, review, improve and evaluate properly; • Use them to build key stakeholder commitment; and • Utilise the sessions as a preliminary stage of recruitment for future in-house conflict resolution practitioners, mediators, trainers (see Making the Most of In-house Mediators below).
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Conflict Resolution Models The RESPECT Model of Conflict Coaching is one we use to give conflict resolvers a structure and a set of skills to work to. It is included in all our conflict resolution training. No model guarantees absolute consistency, particularly when strong emotions and difficult behaviour are involved. The acronym is chosen carefully to represent the principles of the approach; and the structure it provides helps conflict resolvers maintain a degree of stability and rationality of approach under pressure. It can also be built into guidelines, training, briefings and policy. Such models help to establish fairness, consistency and clarity across a wide range of conflicts. The model becomes more familiar and internalised with consistent use. The word RESPECT itself is intended an anchor for the approach. In essence, the model works like this:
R
Rapport-Build Use your listening skills and establish ground rules (e.g. is this conversation confidential or not?). Be open and honest.
E
Explore Find out what the issue is, how the person is feeling and what they want out of the situation.
S P E
Show Understanding Reflect, don’t react. Step into their shoes and let them know that you have heard. Problem-Solve Seek win-win solutions by letting them know what you can and can’t do and what you need from them. Say ‘no’ when you need to and reality-check any unrealistic expectations. Empower Thank them for raising the issue. Add in your perspective and help them stand in your shoes. Identify hurdles and specify how to overcome them. Request and make small but significant changes so that no one loses face. Encourage the benefits of a win-win approach - everyone benefits and the team knows they are aiming to be fair to all.
C
Close Agree what is going to happen next and how you will know issues are resolved. Make action plans and agree what other people need and do not need to know. Establish what behavioural changes will help sustain a better working relationship.
T
Transfer the Learning into the Workplace Stick with what’s been agreed practically. Keep checking in to sustain what has been agreed. Build in fall-back plans for what will happen if things start to get challenging again.
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Just-In-Time-Support Good training really helps managers’ conflict resolution confidence and performance. Of course, conflict can happen at any time and many managers say that they would also like skills support at the time they need it. There are some excellent free / low-cost external resources providing listening support, advice, and resolution support services. In my experience, the conflict resolution skills expertise on these helplines and websites is low. The following would assist improving your organisation’s ability to give more managers resolution skill support when they need it:
• Ensure any in-house or external online, telephone support services get resolution skills training and regular resolution skills briefing • Create and sustain ongoing learning sets, peer networks and resolution mentor groups (there are often people who shine on the training who may be nominated for a Resolution Mentor or Conflict Coach role) • Create / buy-in scripts, case studies and snapshots of effective resolution3 for managers to consult as and when they need • Set up a moderated video ‘tips’ project covering communication skills including conflict resolution and mediation4 • Signpost appropriate online network support e.g. LinkedIn, web forums • Collect useful materials in a Resolution Hub (see Part 2 of this ABC Guide).
References 3
People Resolutions will be publishing From Crisis to Conversation – Conflict Resolution Scripts in Autumn /
Winter 2103 and building a Resolution Hub full of resolution resources. 4
People Resolutions will be initiating ‘tips’ projects in 2014.
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The ABC of Workplace Conflict Resolution Resolution Building Blocks - Building a Resolution Ready Workplace
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Building at the Middle Level
Enhancing Mediation-Practioner Capability Taking In-House Mediation Seriously Over 15 years ago, I led the training of a team of in-house mediators to handle neighbour disputes for Birmingham City Council and in 1998 I trained a group of staff in Wrexham as lay counsellors5, in fact facilitators for conflicts within the council - one of the first in-house workplace mediation services in the UK. It made absolute sense. The managers, union reps and HR staff on the training were pioneers and were delighted and relieved that their organisation was going down that route. Without significant mediation capacity conflict resolution casework, for example grievances, inevitably goes through a formal process or is managed informally by managers and HR staff with good experience but little training in dispute resolution. Outcomes are unpredictable and inconsistent and the chance of a win-win resolution is low. With in-house mediation we knew there were clear savings to be had and it was hoped that earlier, speedier resolution would also be less stressful and get people back to work sooner.
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The ABC of Workplace Conflict Resolution Resolution Building Blocks - Building a Resolution Ready Workplace I recognised early on that the key to success was to take in house mediation seriously, provide top quality training, create sufficient infrastructure for service administration, development and promotion, and provide top quality mediation; working to the same standards as any benchmarked external supplier. This is echoed in the recent ACAS / CIPD Report Mediation: An Approach to Resolving Workplace Issues: “For mediation to be effective, organisations need to consider a range of different factors when thinking about introducing it into an organisation. A decision needs to be taken as to whether
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internal or external mediators should be used. There are a number of critical success factors to using mediation. No scheme will work unless the workforce, managers and representatives are aware of it as a viable option in settling disputes. And trade unions can play an important role in giving the mediation process credibility and building trust. Mediation cannot be introduced as a quick-fix to sorting out differences in the workplace. Its benefits need to be properly evaluated and marketed to staff, and adequate resources devoted to its ongoing promotion within the organisation.�
References 5 6
For my previous company CMP Resolutions (then Conflict Management Plus)
http://www.acas.org.uk/media/pdf/2/q/Mediation-an-approach-to-resolving-workplace-issues.pdf
Success Factors All five organisations on the short-list for the 2012 Personnel Today Innovation in Dispute Resolution Awards (UK), and many that I have worked with setting up in-house mediation projects, build their conflict resolution projects around a core team of in-house mediators. If you want to go down that route here are some tips for how to put the right Resolution Building Blocks in place: (overleaf)
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1. Create a realistic formula to estimate and monitor cost-savings All five projects have been extremely efficient in mobilising conflict data to build the business case and establish savings made by effective in-house mediation schemes. Savings cited by using mediation in these organisations range from approximately £400,000 in 2010 for CWM TAF Health Board, £119k for Lloyds Banking Group and £83,000 for Topshop.
3. Build an accessible, recognisable resolution profile for the service Without a communication strategy and mediation awareness very few people will use the service. Think creatively and use a wide range of media / methods to promote mediation. Make sure as you go along that you do not dismiss people who are resistant as difficult. Learn about their issues and challenges, and work with them. Strategies that have worked in the past include:
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2. Recruit and train well Fair recruitment procedures generally produce better mediators and lower fail rates on mediator courses. Start recruitment with open workshops demonstrating a live mediation so that people can see what they are in for. These workshops will also serve to extend and develop stakeholder awareness and raise challenges and local issues that need to be addressed. Whatever anyone says you cannot train mediators in three days. An up-and-coming national standard will specify a minimum of 40 hours for an entry-level qualification. Do not field ‘qualified’ mediators who have only had 3 days training as it will increase your risk.
• Gaining senior management / key stakeholder endorsement for the service • Creating a ‘brand’ identity and reinforcing it on leaflets, flyers, FAQ sheets and a web presence • Creating ‘before and after’ scenarios in case studies, audio and video • Running a competition to design a name and logo for the service • Creating and running roadshows across the organisation • Creating a mediation website with mediator profiles • Drip-feeding information about mediation into inductions, E&D training, team updates etc.
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4. Build trust in mediation, particularly at senior level
5. Develop and improve mediator capability
This is all about quality of service from first response to case management. Get your stakeholder group championing mediation and make sure that you enter into dialogue with and understand those who do not trust mediation.
All mediators require ongoing support and when a national standard is established for in-house mediators it will require at least two days continuing practice development.
• Develop and promote a mediator code of practice and seek endorsement from appropriate bodies for the code • Ensure that you have an Equality and Diversity policy and procedure specific to mediation including access, mediator recruitment, mediation casework, mediation practice and key equality and diversity principles of fairness, dignity and respect • Deliver conflict / resolution mediation skills training / awareness sessions (face-toface, online or blended) for unions, managers and HR, and signpost the mediation service • Show what mediation is – use role plays, case studies, testimonials, narrative to get across what mediation is, how it works and what the benefits are • Make mediation skills more accessible - provide facilitator support for managers and HR staff
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• Create effective feedback and continuing review methods • Ensure mediators do at least 2 CPD days a year to develop their skills and prevent skills fade • Create and resource development pathways and opportunities for mediators (see Getting the Most out of In-house Mediators below)
6. Secure resources for a co-ordinator Employ, ringfence part of someone’s time or second someone to coordinate, promote and manage your service. It is critical that this person is trained to mediatorqualified level.
7. Be patient It can often take three years for a new inhouse mediation service to establish itself, function smoothly and be trusted / valued by users and other key stakeholders.
• Don’t get over-evangelical - emphasise the benefits of mediation but also remember that not everything / everyone is suitable for mediation • Promote resolution rates and recommendation rates from existing users (both generally over 75%)
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Getting the Most out of In-House Mediators Grow mediators into other dispute resolution roles One way of capitalising on the value of in-house mediators and recovering more of the upfront training spend is to train mediators to perform other dispute resolution roles. This way they can contribute to increased resolution at local level at the base of the Resolution Pyramid and continue to enhance facilitated resolution readiness (at the centre of the Pyramid) for example:
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Train them as conflict resolution trainers – a large Scottish NHS Trust successfully selected and trained a core group of mediators and conflict management trainers (MCMTs), who act as mediators, and were then trained to run a one-day course internally for managers and staff. The process involved fair recruitment for this new role; attendance on the accredited mediator training course; a train-the-trainers course including content familiarisation and experiential training practice; mentoring on a live workshop and ongoing quality assurance.
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Enlist mediators to support staff at the point of resolution – mediators can provide a first level of skills support on conflicts for managers, HR and staff. If necessary they can refer people on to the mediation service. This rarely requires specific additional training as the skills are covered on the mediator course.
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Create Conflict Coaches – some disputes and disputants benefit from more intense one-to-one support than can be given in mediation without losing impartiality. A two day conflict coaching course (using the RESPECT Model – see above) for mediators would enable them to take on a role as Conflict Coaches taking independent casework, or adding conflict coaching to more complex, stuck disputes involving, for example ,a person who seems to have issues with everyone.
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Applying the Mediation Model More Widely From Argument to Agreement The approach to mediation proposed in the ABC Guide is ‘facilitative’ (as is most workplace mediation). The mediator endeavours to create a safe environment in which the parties are encouraged to: • Express thoughts, feelings and perceptions about their situation and ways to resolve it • Resolve issues • Restore trust • Repair communication • Provide sustainable, workable win-win resolutions. In this process, the mediator provides structure, listens and questions reflectively, remains impartial and seeks to understand all perspectives and feelings. In this model mediators encourage openness and honesty and will work with and through difficult
behaviour and strong emotion. The parties make the decisions, not the mediator. This model lends itself well to other dispute contexts. Many of the skills are generic and it is much easier, I believe, to move from ‘facilitative’ mediation to more ‘evaluative’ models used in commercial group settlement, employment mediation, customer complaints resolution. In these models the mediator is encouraged to be an honest broker – much more active in framing and proposing settlements. In some cases the mediators may need additional orientation / training but I strongly recommend that you explore training / lining up your service to mediate: • Customer and supplier complaints and disputes • Student complaints as well as staff complaints at universities and colleges • Group / team disputes.
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Building and resourcing mediator development pathways Once mediating regularly, many practitioners become strongly committed to the development and delivery of mediation. A development pathway for mediators rewards contributions, but also signals the sustainability and professional nature of any in-house service. I would recommend developing the following roles: mediation mentor, mediation supervisor, mediation trainer. I am loath to use terms like ‘senior’ or ‘advanced’ mediator as it sounds so hierarchical.
Remember E-tiquette and technology-assisted mediation As mentioned in Part 2 of The ABC Guide to Conflict Resolution, organisations need to include and build expertise on conflict that occurs via e-communication – the use of social media, phone, online forums and e-mail. There are also ongoing develpments in the use of technology-assisted mediation (using an online confidential platform to conduct face to face / audio / text dispute resolution) which can enhance and extend existing services. Please contact me at john.crawley@peopleresolutions.com if you have case studies, examples or experience of online mediation.
Retaining an external provider to support and supplement in-house services Many organisations use a combination of internal and external independent expertise, for example: • External mediators retained for particularly sensitive or difficult cases • In-house and external mediators co-mediating, co-facilitating • Ongoing collaboration on promotion, development of the service and the mediators • Mediation mentoring, supervision and converting into other dispute resolution roles • Outsourcing elements of provision – e.g. workplace investigations.
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The Top Floor – Workplace Investigation
The challenges and risks of workplace investigation
All organisations have policies and procedures for formal investigation. The requirement sounds straightforward but as anyone who has tried it knows, workplace investigation involves many risks and challenges. In the ACAS ‘Guide on Discipline and Grievances at Work’8, investigators are required to “establish the facts.” In behavioural cases about conduct, bullying and harassment, perceptions of unfairness facts are not always clear and well evidenced.
Versions of events are highly conflicted and the investigator has to be careful to establish what has happened and whether the allegation/s can reasonably be construed as proven/not proven, with insufficient evidence or even malicious. Workplace investigators are also expected to maintain respect, deal with sensitive issues and vulnerable parties appropriately. Their behaviour in this role is as subject to scrutiny as their report is. Once again the ACAS Guide stresses that investigators should “take care to deal with the employee in a fair and reasonable manner.” Strong emotions cause people to behave in challenging ways: losing a sense of scale, focusing only on the negative, magnifying relatively low-level difficulties, becoming defensive and evasive, refusing to co-operate. The parties and their representatives will often develop a very subjective view of what “fair and reasonable” means. Consistency and following guidelines is another area where workplace investigators need to excel: “The law on unfair dismissal requires employers to act reasonably when dealing with disciplinary issues. What is classed as reasonable behaviour will depend on the circumstances of each case, and is ultimately a matter for employment tribunals to decide.”
References http://www.acas.org.uk/media/pdf/s/o/Acas-Guide-on-discipline-and-grievances_at_work_(April_11)accessible-version-may-2012.pdf
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Resolution Architecture - Building Policy and Process Support As a minimum, organisations are expected to clearly document their investigation process and support investigators in understanding and applying that process to a range of situations. Policies should include guidance on the following areas: • Recruitment of investigators - investigator competencies, fair recruitment processes •
Referral and assessment – ensuring the approach taken for each case is right and establish requirements before each investigation is started
• Preparation for first meeting with HR contact / commissioning person
Our external independent workplace investigation team regularly comment on how process support has improved. Some organisations provide wrap-around support with online and face to face training on investigation process, mentoring on-case by HR or an experienced investigator, and debriefing / learning support post investigation. You will increase your risk and the challenges of investigation if you simply create a policy and guidance and leave the investigators to get on with it.
• Agreeing and following terms of reference • Conducting the interviews • Evaluating the evidence • The report • Case management • Data protection and document security.
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Building Investigation Skills and Capability PRL runs a number of investigation training courses run by experienced workplace investigators. They have access to casework narrative and knowledge of what works and what does not in real life situations. We use the FAIRER model of investigation to contain and structure the skills work:
F A I R E R
Find Out – Use structured questions, reflective listening, accurate note-taking and rapport building to get maximum contribution to interviews; gather all the available evidence from a range of media/sources. Analyse – Consider what you have and begin to weigh it up against the allegations. Bring Insight – Consider the weight, type of evidence, levels of proof required. Seek more information and clarification if required. Report – Complete a report according to policy requirements and the Terms of Reference. Evaluate - Explain and get feedback on the report and findings / recommendations with key parties, check in with commissioning person for feedback as appropriate. Reflect on learning emerging from the investigation and disseminate as appropriate.
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In order to prepare investigators managing the process and the challenging behaviour that emerges, investigations skills training should cover:
Understand the role and skills of an investigator. Understand relevant policies, procedures and the investigator’s role within them, and the rights of all parties involved. Plan, manage and organise a confidential investigation promptly and thoroughly and within policy and procedural guidelines. Work with parties and key stakeholders to scope, set up Terms of Reference for an investigation. Establish and demonstrate high standards of customer care including keeping people informed, behaving in a courteous and civil manner and effective record-keeping and case management. Appreciate the importance of impartiality and deliver a fair, rigorous and effective investigation. Liaise and build rapport with a wide range of parties and other participants.
Be aware of their own biases and prejudices, be able to identify bias and prejudice in others and remain impartial. Understand and apply best practice for note taking, transcribing and structuring statements. Demonstrate the application of the required skills and competencies in a simulated investigation interview. Practice the collection of relevant evidence from parties and other sources. Understand and apply methods of gaining, analysing and evaluating evidence (Using the FAIRER technique – Find-out, Analyse, apply Insight, Report, Evaluate, Reflect). Understand how to produce a written investigation report, or other written output documents which are fit-forpurpose. Understand and be able to work with issues of equality and diversity and ensure everyone is treated with dignity and respect.
Actively listen and use probing and funnel questioning techniques. Build confidence and capability in how to handle difficult situations
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Next Steps
Joining Up Workplace Conflict Resolution West Midlands Police – Redesigning Resolution Architecture and building at all three levels of the Resolution Store There are many ways of creating in-house resolution projects and ‘The West Midland Police’ is a good example of a hybrid advanced model. Work was done on changing Resolution Architecture and resourcing the base of the Resolution Pyramid through conflict resolution training. They also developed a mediationstyle initiative for informal resolution, and invested in modifications in their formal process at the tip of the Resolution Pyramid. As mentioned in the Personnel Today Innovation in Dispute Resolution 2012 (UK) Awards nomination WMP ‘made several alterations to their existing Resolution Architecture as they were facing high levels of tribunal claims and a lack of confidence in their existing mediation provision. They initially inspired a debate about dispute resolution, checking people’s interests, fears and concerns. They then amended their grievance procedure to ensure the emphasis was on problemsolving and settlement, not simply due process. More time was allowed when managers needed it most, particularly for fact finding, and a ‘cooling off’ period introduced at the end of stage 1. A course for line managers was devised, with the final day devoted to conflict resolution, ending with a panel session so that colleagues could meet with trade union representatives, ask questions, and network. WMP also introduced a new system of independent adjudication by external ACAS accredited experts of Stage 2 grievances. The mediation policy was re-written to address the excuses given to avoid engaging, so that managers understood the main objections and could respond. The final piece was to launch the People Advice and Liaison Service (PALS) to provide “facilitated intervention”.9
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The ABC of Workplace Conflict Resolution Resolution Building Blocks - Building a Resolution Ready Workplace
A couple of other examples of joined up work on customised resolution pathways and working on all areas of the workplace Resolution Pyramid appear in my blog. These are rare. Let me know if you think you run one, or if your organisation wants support in stretching workplace resolution beyond the normal. The next White Paper - Part 4 of the ABC Guide to Conflict Resolution will look at Resolution Climate, which describes the more intangible aspects of atmosphere, culture, habit and circumstance that conditions how we feel and think about conflict at work. It gets in our heads and
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sometimes we don’t know how. Research tells us weather makes very little difference to our internal state. Unlike the weather, Resolution Climate is susceptible to control. If you can create a Resolution Climate in your organisation, it will spill over into engagement, wellbeing, innovation and resilience. If you get Resolution Architecture and Building Blocks right, you are well on the way to creating and maintaining a Resolution Climate. Research tells us weather makes very little difference to our internal state, but I disagree. The organisational climate is a factor so we should aim to understand how it works and what we can do to influence it.
References 9
http://www.personneltoday.com/awards/2012-winners/innovation-in-dispute-resolution/
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THE ABC GUIDE TO CONFLICT RESOLUTION
Resolution Building Blocks – Building a Resolution Ready Workplace By John Crawley
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