resolving grievances using the seven habits … (snow), patricia.pdf · resolving grievances using...

RESOLVING GRIEVANCES USING

THE SEVEN HABITS OF HIGHLY EFFECTIVE PEOPLE

by: Patricia Snow Metropolitan Water District of Southern California

To grieve or not to grieve? To deny or resolve grievances? These are the questions.

Grievances are often viewed by Management as an annoyance, a time-consuming process that create a

barrier to accomplishing work. Unfortunately, employees frequently see grievances and the grievance

procedure as a means to communicating with Management. Most often, employees grieve because

they perceive that an application of a rule or regulation is incorrectly exercised by Management.

Determining whether the employee’s perception or claim of what is wrong and whether the claim is

legitimate or not is the sole purpose of the grievance procedure. Nevertheless, the ultimate

responsibility for resolving grievances remains with Management.

The grievance procedure is the problem-solving, dispute-settling machinery of the labor

agreement. It is the orderly means by which the union or the employee raises and processes a claim

alleging a violation of the labor agreement by the agency. The grievance machinery is the formal

process, preliminary to any arbitration, that enables parties to attempt to resolve their differences in a

peaceful, orderly, and expeditious manner. (Baer, p. 3) Truly, the negotiation of a well-conceived

labor agreement that includes an agreed upon grievance resolution procedure, does not conclude

management’s job; it merely begins it! According to Baer, “It is not enough to write a clear contract

dealing with situations that will inevitably arise and will allow company management the freedom and

latitude to initiate action. All this will go for naught if management does not understand and know

how to deal effectively with the many pitfalls it will surely face in day-to-day contract administration.”

Copyright Patricia Snow Metropolitan Water District of Southern California 1

This paper will provide a suggested overall approach that managers and supervisors can use to

effectively process and resolve grievances. Consequently, this paper is not intended to justify and

provide a laundry list of reasons of why grievances and the grievance procedure must be treated as a

necessary component in an organization’s daily administration of employee/labor relations. Indeed,

the grievance procedure can be a valuable tool for improving work conditions.

For the past few years, Stephen R. Covey has swept organizational thinking by presenting a

different approach in reaching personal and interpersonal effectiveness. In his book, the 7 Habits of

Highly Effective People, Covey provides a holistic and integrated approach to personal and

interpersonal effectiveness. Combined with Baer’s Grievance Handling: 101 Guides for Supervisor, I

will attempt to provide an approach to addressing grievances not as an adverse procedure, but as an

effective tool for managing business operations.

II. THE SEVEN HABITS OF HIGHLY EFFECTIVE PEOPLE 1. Be Proactive. This is the first habit that preaches the habit of personal vision and how

as human beings we are all responsible for our own lives. The word responsibility is broken into two

parts: response, and ability, which translate to the ability to choose your response. Thus, proactive

people take responsibility for their actions and behavior and do not blame circumstances, conditions or

conditioning of their behavior.

Being proactive means that when supervisors receive a grievance, they must not react nor

attempt to transfer the responsibility to others. A proactive supervisor will take several steps to

carefully and systematically investigate all relevant facts regarding the grievance at hand, while

keeping the employee’s perspective in mind, and at the same time ensuring that all grievance

contractual time limits are met. The supervisor should examine 1) the nature of the grievance, 2) the


grievant’s record/s, and 3) all pertinent circumstances surrounding the grievance. Here are some

recommended steps to guide the supervisor in investigating the grievance:

1. Nature Of The Grievance:

• Define the scope of the grievance including determining grievability, the specific rule or regulation alleged to have been misapplied, a concise statement of the grievance, the date of when the alleged misapplication occurred, and the requested remedy.

• Determine if the grievance meets all procedural requirements as dictated by the

agreement. This will involve making sure that all applicable grievance steps have been followed by the grievant and the union representative.

2. Grievant’s Record and Prior Grievance Records Similar to the Grievance At Hand.

• Grievant’s Record—Supervisors should review the grievant’s personnel record prior to conducting the grievance meeting. Information such as length of service, jobs/positions held in the agency, performance issues such as tardiness, absenteeism, work effort, etc. (mostly in cases where the grievance is discipline in nature) are helpful in establishing background information regarding the grievant.

• Prior Grievances--Examine prior grievance settlements with the agency’s

Employee Relations staff to determine the theory and nature of previous settlements that resolved similar grievance matters. Working with the Employee Relations staff will certainly assist the supervisor in identifying previous settlements.

3. Other Pertinent Information:

• Visit the work area of the grievant—This will allow supervisors to make observations of the grievant’s work area in the event the grievance involves working conditions, safety factors, machinery and/or equipment problems. It will also allow both parties to visualize what actually occurred and what the complaint is all about.

• Determine if there were any witnesses--Interview other employees who may have

witnessed the incident to get their view on the matter. The supervisor should maintain objectivity while engaging in these interviews but at the same time determine who may truly be at fault, management or the employee.

• Examine all relevant contract provisions and determine if there is a consistent

application of the provision.--Because not all contract language is clear and explicit, ambiguous and unclear language may lead to several interpretations on how a specific language is administered. Consequently, it is important to identify the various applications of the language, determine the consistency in the application of the language and ensure that there is equal treatment of all employees affected by the language.


• Examine the total agreement and make interpretations based on the whole.--Baer and most employee/labor relations practitioners preach that a collective bargaining agreement must be construed as a whole. Single words, sentences or sections cannot be isolated from the context in which they appear and interpreted independently of the apparent purpose and understanding of the parties as evidenced by the entire instrument. (Baer, p. 33) Additionally, supervisors must check with members of the management negotiation team who sat at the table and therefore, may have a better understanding of the intent of the negotiated contract language.

2. Begin With the End in Mind. This second habit of personal leadership encourages everyone

to begin each day or task with a clear understanding of his desired direction and destination. Covey

illustrates this habit as being similar to that of someone who is working harder and harder at climbing

the ladder of success only to discover upon reaching the top rung, that the ladder is leaning against the

wrong wall. To exercise this habit, we must use our imagination, the ability to envision, to see the

potential, to create with our minds what we cannot at present see with our eyes! (Covey, p. 147)

When beginning to process a grievance with the end in mind, supervisors must investigate and

treat each grievance as if the grievance may eventually result in an arbitration hearing. Supervisors

must not treat a grievance as minor or unimportant because in the event the grievance moves to the

final step of the grievance procedure, which may be weeks, months, or years by the time the hearing

occurs, supervisors must be able to recollect and recall vital details, facts, and information that have

led to the decision to deny the grievance. Supervisors must keep copious notes as the investigation

progresses.

Additionally, supervisors who have decided to resolve a grievance must ensure that the

settlement does not set any precedential effect, is consistent with the terms and conditions of the labor

agreement, considers what’s in the best interest of the agency, and that no unilateral amendments to the

contract are made without consent from both parties. It is highly important that in resolving

grievances, supervisors must not commit the agency in areas beyond their scope of responsibility or

line of authority. This means that the supervisor must always be careful in agreeing to terms and


conditions which they may not be familiar with and therefore may produce settlement agreements that

may have tremendous impact throughout the agency. Again, working with the agency’s Employee

Relations staff will ensure that settlement agreements do not go beyond the scope of the terms and

conditions of any labor agreement.

3. Put First Things First. Habit 3, the habit of personal management, works in alignment with

Habit 2. While Habit 2 is the first or mental creation because it is based on one’s ability to envision,

Habit 3 is the physical creation. It is the fulfillment, the actualization, and the natural emergence of

Habits 1 and 2. (Covey, p. 147). Therefore, putting first things first requires organizing and managing

time and events according to personal priorities established in Habit 2.

Together with the specific considerations identified under Habit 1 and 2 above, the supervisor

will also observe the following considerations when processing a grievance by keeping in mind the

basic elements of Habit 3. These include:

• Requiring the union to identify specific contractual provisions allegedly violated and the relief the union is seeking. As explained previously under Habit 1, it is very important for supervisors to have a clear understanding of what the grievance is all about and what type of remedy the employee/union is seeking. By clearly noting what the remedy is, supervisors will be able ascertain the necessary steps or issues needed to successfully resolve or justifiably deny the grievance.

• Refraining from overlooking the precedent value of prior grievance settlements, from

agreeing to informal amendments in the contract, and conceding to implied limitations on management rights. These three precepts are aligned with those principles described earlier in Habit 2 which basically reinforces the idea that supervisors must always take into account the possible consequences whether denying or resolving grievances. It is always prudent to work closely with the organization’s Employee Relations staff to ensure consistency not only in the administration of labor agreements but also in the application of grievance settlements throughout the organization.

• Finally, supervisors must at all times control their emotions, remarks and behavior. As a

manager or supervisor who deals with the tough issues relative to the grievant’s arguments, it is essential that supervisors represent management’s position with a high level of conduct and behavior. Supervisors must function as though in a goldfish bowl, with the eyes of all of their subordinates, fellow-supervisors, and supervisors upon them, gauging and weighing their actions and words. To preserve the status, authority, and integrity of their managerial position, they must be constantly aware of the impact their words and deeds have upon the employees and must conduct themselves in a manner that enhances their position. “There


is no more critical time for the supervisor’s demeanor and decorum than when he is administering discipline and when he is discussing and handling employees’ grievances.” (Baer, p. 199-200)

4. Think Win-Win. (The Habit of Interpersonal Leadership) According to Covey, win-win is a

frame of mind and heart that constantly seeks mutual benefit in all human interactions. Win/win

means that agreements or solutions are mutually beneficial, mutually satisfying. With a win/win

solution, all parties feel good about the decision and feel committed to the action plan. Win/win sees

life as a cooperative, not a competitive arena. Win/win is based on the paradigm that there is plenty

for everybody, that one person’s success is not achieved at the expense or exclusion of the success of

others.

Although it may be difficult to apply Habit 4 in the grievance handling arena, it is not

impossible. Supervisors must use the grievance procedure or grievance settlements as a way of

reinforcing relationships with the union or the grievant by demonstrating that when management is

wrong, they will admit and accept their errors. Following the grievance procedure and using it to

resolve employee issues, to educate both employees and management about pertinent issues, and

reaching grievance settlements can help supervisors gain a reputation of trust, fairness and can go a

long way toward reinforcing relationships between the employee/union and management. Employees

who can be confident in the knowledge that such errors will be corrected will have a greater

confidence and loyalty for that supervisor. On the other hand, a supervisor who invariably says “no”

to the union when presented with grievances will soon become as ineffective in supervision as the

supervisor who always says “yes.” Truly, the event of a grievance settlement provides supervisors

with one more avenue of communication by which they can reinforce the relationship with their work

group. (Baer, pp. 59-60)

5. Seek First To Understand, Then To Be Understood. Habit 5, the habit of communication,

encourages people to take listening a step beyond. Generally, most people do not listen with the intent Copyright Patricia Snow Metropolitan Water District of Southern California 6

to understand; they listen with the intent to reply. They’re either speaking or preparing to reply.

(Covey p. 239). Covey indoctrinates this principle by advocating that people diagnose before

prescribing. An effective communicator will first seek to understand another person’s views before

seeking to be understood. Covey explains that until people feel properly diagnosed they will not be

open to prescriptions.

With Habit 5 in mind, an effective supervisor will then observe the following guidelines when

handling a grievance:

• Talk with the employee about his grievance, give him a good and full hearing. The first oral discussion or the informal level of the grievance is the most important step of the entire grievance procedure. Even if the grievance may seem imaginary or frivolous the supervisor must treat the grievance as if it is bona fide and legitimate and to do what the supervisor believes he can do to satisfy the employee within the framework of the labor agreement. In providing a courteous and respectful audience to the employee, the supervisor should meet the problem head on, being frank and candid in his presentation of management’s view. (Baer, p. 7)

• Permit a full hearing on the issues, and permit reasonable latitude to the union

representative in the manner of its presentation. These two concepts can be summarized by ensuring that the supervisor encourages the union/grievant to present its full case, including all facts, evidence, arguments, contractual provisions allegedly violated, witnesses, and so on. Additionally, the union representative may be allowed to present the grievance with reasonable latitude. This means that although the union representative may zealously present the facts of the grievance, the union representative must still ensure that he does not disrespect the supervisor (or the grievant) nor will he overstep the bounds of his role as a union representative in protecting the rights of the grievant.

• Hold grievance discussions privately and use the grievance meeting as another avenue of

communication. There is definitely some truth in Baer’s statement that it is never wise for the supervisor to conduct controversial grievance discussions in the presence of employees not involved in the dispute. Grievance discussions should be conducted privately, in an area and in an atmosphere where all principals can freely and fully explore the matter, thereby increasing the probability of arriving at an equitable resolution. (Baer p. 58) However, the facts of the settlement, whatever they are, can generally be communicated to other interested employees subsequent to the grievance discussions; they need not witness its formulation.

• Satisfy the union’s right to relevant information. It is the employers duty to provide

relevant information to the union under the “informational area” of the National Labor Relations Act. This duty is not limited only during the process of collective bargaining but also extends during the course of administering existing agreements.


• Help employees understand the economic realities. Since the grievance procedure should be used as another avenue of communication with the grievant and the union, it is essential that supervisors provide information on the current economic as well as political issues that the agency is experiencing. Although the union may not always be receptive to this type of information, disseminating relevant data will at least make the grievant/union aware of the agency’s goals, objectives and progress, instill the feeling of greater participation in the operation of the business, cultivate in employees a more favorable attitude toward the agency, add to the interest of employees in their work and in the agency, and demonstrate to the employee that the agency values him as a person and recognizes him as an asset. (Baer, p. 144)

• Know your employees as individuals. In dealing with employees, supervisors must

recognize that each employee is different and possesses distinguishing characteristics that make each employee unique. A supervisor must be cognizant of his employees’ traits so that he can apply the specific and appropriate management style depending on the employee involved.

6. Synergize. The sixth habit is the habit of creative cooperation where the whole is greater than

the sum of its parts. Covey describes this habit as “the crowning achievement of all previous habits. It

is effectiveness in an interdependent reality—it is teamwork, team building, the development of unity

and creativity with other human beings.” He continues by stating that uniformity is not unity, real

oneness means complementariness and that if two people have the same opinion, one is unnecessary.

(Covey p. 263)

Grievances and the grievance mechanism should not be perceived as an adversarial process.

Past experiences and historical evidence may show that indeed grievances are confrontational and

combative; however, the manner by which grievances are resolved is usually by discussing the issues,

and by understanding each other’s position rather than arguing about them. When both parties

(management and union) attempt to act as if they were both on the same team with the purpose of

achieving the same goal—grievance settlement, it is much more conducive to arrive at a resolution.

Certainly, at times each party must serve different interests and supply different points of views;

however, respecting these differences through listening and understanding each other will hopefully

resolve grievances more amicably.


7. Sharpen the Saw. Habit 7 as it applies to a person means the habit of self-renewal. “It is

enhancing the greatest asset you have—you. It’s renewing the four dimensions of your nature—

physical, spiritual, mental, and social/emotional.” (Covey, p. 288)

In the grievance scenario, sharpening the saw means the never-ending and enduring process of

effectively and efficiently administering grievance settlements as well as existing labor agreements. It

means that a supervisor who misapplied a specific rule or regulation will readily admit his error and

take the necessary corrective action steps including ensuring that provisions of a settlement agreement

are provided to the affected parties. For example, if an employee is entitled to back-pay, the

supervisor must take the responsibility to ensure that all parties are informed of his decision and to

follow-through with all parties involved to properly implement the terms of the grievance settlement.

This may include the rest of the employees in the crew affected by the grievance, others supervisors,

the Employee Relations staff, Human Resources, and the Payroll Department.

Sharpening the saw also means that neither party should live quietly with bad contract

propositions. If during the administration of a contract, a specific provision does not make sense, it

hinders productivity, and is cumbersome to administer, either management or the union must address

the issues surrounding the administration of the specific provision. An example may be a contract

provision that dramatically changes the way jobs are posted and recruited by management. Although

the union may have agreed and favor a list concept by identifying qualified individuals who are

eligible to bid on a specific position/classification, managers, on the contrary, may feel that their hands

are tied. Managers may feel limited with the hiring process if they have to choose from a list of

employees who qualify as far as minimum requirements but may lack in the specific/special

requirements in a given specialty or field of expertise. If the process has been truly cumbersome for

management to administer then discussions must be held to explore the possibility of either eliminating

the language or at a minimum modifying the language to best serve the interests of both parties.


Additionally, supervisors who wish to sharpen their saws must consistently demonstrate

leadership qualities by regularly engaging in activities that sharpens and enhances supervisors’

physical, spiritual, mental, and social/emotional dimensions. Furthermore, supervisors must constantly

refrain from any discriminatory practices at all times and to strive to become even better management

advocates while always taking into consideration their employees concerns. Supervisors must ensure

that they regularly communicate with their own supervisors to avoid any surprises at the top and

apprise their employees of any changes in the application of rules and regulations to ensure consistent

application of the provisions of the contract.

III. CONCLUSION

The journey to administering and resolving grievances does not need to be a painful

experience. The application of the 7 Habits of Highly Effective People within the grievance

mechanism and administering contract provisions should effectively assist not only the managers who

must administer the contract consistently but also the union and its membership who must constantly

monitor management’s application of the provisions of the negotiated labor agreement. Although this

journey may not be as easy and immediate, practicing these 7 habits on a regular basis may gradually

change the manner by which grievances are administered (or even dramatically reduce the emerging

number of grievances) and thus, will result in true synergy between union and management.


REFERENCES

Covey, Stephen R., The 7 Habits of Highly Effective People, 1989, Simon & Schuster, New York. Baer, Walter E., Grievance Handling: 101 Guides for Supervisors, 1970, American Management Association, New York


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