DIVISION OF HUMAN RESOURCES & EQUITY

CONFLICT RESOLUTION PROCEDURE DESCRIPTION TITLE:

CONFLICT RESOLUTION PROCEDURES

POLICY NUMBER :

HRE/07/08/SC

COMPILED BY:

DIVISION OF HUMAN RESOURCES & EQUIITY

EFFECTIVE DATE:

19 NOVEMBER 2008

REVIEW DATE:

OCTOBER 2011

APPROVED BY:

STAFFING COMMITTEE 19 NOVEMBER 2008

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1.

PURPOSE The purpose of this document is to set out the procedure that will be followed by the Conflict Resolution Unit with regard to disputes that have been referred to it.

2.

DEFINITION OF TERMS ADR Advisor: refers to a University employee who has specialized knowledge and experience in ADR processes and who may be requested to attend to the implementation of ADR processes. Alternative Dispute Resolution (‘ADR’): A collection of processes used separately or together for the purpose of resolving disputes informally and confidentially. ADR processes are voluntary, expeditious, flexible, nonadversarial, controlled by the parties and focus on the relationship between the parties. ADR processes provide alternatives to formal institutional processes, namely, formal counselling sessions, disciplinary action, poor work performance investigations, ill-health or injury investigations and formal grievances. Arbitration: An ADR process whereby an impartial third party decides the submitted issue after reviewing evidence and hearing argument from the parties. It may be binding on the parties, either through agreement or by operation of law, or it may be non-binding in that the decision is only advisory. Coaching: An ADR process whereby the parties are given guidance on how to resolve their dispute. Conciliation: An ADR process in which parties to a dispute, with the assistance of a neutral third party (the conciliator), identify the disputed issues, develop options, consider alternatives, and endeavour to reach an agreement. The conciliator may have an advisory role in the content of the dispute or the outcome of its resolution, but not a determinative role. The conciliator may advise on or determine the process of the conciliation whereby resolution is attempted, and may make suggestions for terms of settlement, give expert advice on likely settlement terms, and may actively encourage the participants to reach an agreement. Dispute: refers to alleged misconduct, poor work performance, ill-health or injury and grievances. Dispute Referral Form: refers to a document that is completed by an employee in terms of which s/he refers a dispute to the Conflict Resolution Unit. Facilitation: An ADR process whereby a facilitator assists two or more parties in their communications concerning a dispute by bringing the parties

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3 together in some or other form of meeting or process. The facilitator may also chair or manage (facilitate) the meeting undertaken by the parties. In so doing, s/he may (but not necessarily so) transform the facilitator’s role to that of mediator. Fact-finding: An ADR process whereby a person or persons is appointed, often with technical expertise in the subject matter or the dispute, to evaluate the material presented and to present a report which establishes the relevant facts. The fact-finder is not authorized to resolve policy issues or decide matters of law or equity. Following the findings, the parties may then negotiate a settlement, conduct further proceedings or conduct further research. Formal processes: refers to a formal counselling session, disciplinary action, a poor work performance investigation, an ill-health/injury investigation or the use of the formal grievance procedure. Formal referral: refers to an employee completing the Dispute Referral Form thus formally referring a dispute to the Conflict Resolution Unit. Informal discussions: An ADR process whereby the parties choose to resolve their dispute on an informal basis through discussion and problem solving. Informal referral: refers to all disputes, being referred to the Conflict Resolution Unit in the first instance and as a matter of course, for assessment on whether ADR can be applied to the disputes. Mediation: An ADR process in which the parties to a dispute, with the assistance of a neutral third party (the mediator), identify the disputed issues, develop options, consider alternatives, and endeavour to reach an agreement. The mediator has no advisory or determinative role in regard to the content of the dispute or the outcome of its resolution, but may advise on or determine the process of the mediation whereby resolution is attempted. Negotiation: An ADR process whereby the participants voluntarily join in a temporary relationship designed to educate each other about their needs and interests, to exchange specific resources or to resolve one or more tangible issues such as the form the relationship will take in the future or the procedure by which problems are to be solved. Employee Relations Unit: refers to the Unit within the Employee and Labour Relations Section responsible for implementing formal processes.

3. PROCEDURE

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4 Refer to Flow Diagram which is attached as Annexure A hereto The Conflict Resolution procedure is initiated when a dispute is formally or informally referred to the Conflict Resolution Unit. Step 1: An employee formally refers a dispute to the Conflict Resolution Unit by completing the Dispute Referral Form which is attached as Annexure B hereto. Alternatively, a dispute is informally referred to the Conflict Resolution Unit, as described above. Step 2: The Conflict Resolution Unit shall request all relevant information and/or documentation from the party/parties and if need be, may request to meet with the party/parties. The Conflict Resolution Unit shall then assess the dispute by having regard to the relevant information and/or documentation furnished to determine whether ADR can be applied to the dispute or whether ADR can be applied together with formal processes such as the formal grievance procedure, misconduct, incapacity and counselling sessions. The referring party is then informed of the assessment.

Step 3: Should the assessment determine that ADR or ADR together with formal processes, can be applied to the dispute, the Conflict Resolution Unit shall contact the referring party who shall confirm whether s/he consents to ADR being applied. Should the assessment determine that ADR or ADR together with formal processes cannot be applied to the dispute, the Conflict Resolution Unit shall request that a formal process be applied by the Employee Relations Unit within the Employee and Labour Relations Section. A formal process shall include a formal counselling session, the institution of disciplinary action, the institution of a poor work performance investigation or an ill-health/injury investigation or the use of the formal grievance procedure. After receiving the above mentioned request, the Employee Relations Unit shall assess each dispute to determine exactly which formal process needs to be instituted and shall then advise the relevant party/parties of the applicable process and shall assist the party/parties to institute same.

Step 4:

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5 Should the referring party consent to ADR being applied, the Conflict Resolution Unit shall contact the other party or parties and inform s/he/them of the assessment and shall request that the party or parties indicate whether s/he/them consents to ADR being applied. Should either party not consent to ADR being applied, the Conflict Resolution Unit shall request that a formal process be applied by the Employee Relations Unit within the Employee and Labour Relations Section. A formal process shall include a formal counselling session, the institution of disciplinary action, the institution of a poor work performance investigation or an ill-health/injury investigation or the use of the formal grievance procedure. After receiving the above mentioned request, the Employee Relations Unit shall assess each dispute to determine exactly which formal process needs to be instituted and shall then advise the relevant party/parties of the applicable process and shall assist the party/parties to institute same. Step 5: Should the other party or parties consent to ADR being applied, the Conflict Resolution Manager or the ADR Advisor on the ADR Advisory Panel shall recommend an applicable ADR process. The ADR processes that will be encouraged are arbitration, coaching, conciliation, facilitation, fact finding, informal discussions, mediation and negotiation. Step 6: On both parties consenting to the recommended ADR process, the Conflict Resolution Manager or ADR Advisor shall implement the said ADR process until the dispute is resolved. Where one or both parties opts out of the ADR process after it has commenced or the Conflict Resolution Manager or ADR Advisor believes that the ADR is unproductive, the Conflict Resolution Unit shall request that a formal process be applied by the Employee Relations Unit within the Employee and Labour Relations Section. A formal process shall include a formal counselling session, the institution of disciplinary action, the institution of a poor work performance investigation or an ill-health/injury investigation or the use of the formal grievance procedure. After receiving the above mentioned request, the Employee Relations Unit shall assess each dispute to determine exactly which formal process needs to be instituted and shall then advise the relevant party/parties of the applicable process and shall assist the party/parties to institute same. 4.

TRANSITIONAL PROVISION The Conflict Resolution Unit officially came into being on 1 July 2008.

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6 All disputes, including CCMA and Labour Court matters, that arose prior to 1 July 2008 and in terms of which formal processes or proceedings have not yet commenced, will be assessed to determine whether ADR can be applied to the disputes. If the assessment determines that ADR can be applied, the steps as listed under 3. ‘Procedure’ shall be implemented.

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7 ANNEXURE A CONFLICT RESOLUTION PROCEDURE FLOW DIAGRAM DISPUTE Referred to Conflict Resolution Unit Formally or Informally

Conflict Resolution Manager assesses the dispute

Assessment determines that ADR or ADR together with formal processes can be applied

Assessment determines that ADR or ADR together with formal processes cannot be applied OR

Conflict Resolution Unit contacts the referring party who shall indicate whether s/he consents to ADR

One or both parties do not consent to ADR OR

Referring party consents to ADR

The Conflict Resolution Unit contacts the other party (parties) and informs s/he/them of the assessment and s/he/them shall indicate whether s/he/them consent to ADR Other party (parties) consent to ADR, the Conflict Resolution Manager or the ADR Advisor recommends an applicable ADR process

Both parties consent to the recommended ADR process

One or both parties opts out of the ADR process after it commences OR The Conflict Resolution Unit or ADR Advisor believes that the ADR is unproductive

The Conflict Resolution Manager requests that a formal process be applied by the Employee Relations Unit Employee Relations Unit assesses dispute to determine exactly which formal process needs to be instituted

Dispute is resolved Employee Relations Unit advises the relevant party/parties of the applicable formal process End of process Formal process applied

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8 ANNEXURE B DISPUTE REFERRAL FORM Should you have any queries with regard to completing this form, please contact the Acting Conflict Resolution Manager, Camilla Pillay on X2810 or 2529 or via e-mail to [email protected] If the space provided on this form is insufficient, you may attach additional pages. 1) DETAILS OF PARTY REFERRING THE DISPUTE: Name:………………………………. Faculty/Division:……………………………………………………... Telephone number at the University:………………Cell number:…………………… E-mail address:…………………………………… Physical address at the University:……………………………………………………… 2) DETAILS OF THE OTHER PARTY (PARTIES) Name:……………………………………… Faculty/Division:…………………………… Telephone number at the University:………………Cell number:…………………… E-mail address:…………………………………… Physical address at the University:……………………………………………………… 3) NATURE OF DISPUTE The dispute is about (please attach all relevant documentation) …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… … 4) HAS THE SAME OR A SIMILAR DISPUTE ARISEN IN THE PAST?………………………………………………. 4.1) IF YES, WAS THE DISPUTE ADDRESSED IN ANY WAY IN THE PAST?……………………

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4.2) IF YES, PLEASE FURNISH DETAILED INFORMATION AND RELEVANT DOCUMENTATION …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………...……………………….……………. …………………………………………………………………………………………………………… 4.3) IF NO, PLEASE PROVIDE A REASON(S) …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… 5) IF THE CONFLICT RESOLUTION MANAGER’S ASSESSMENT DETERMINES THAT ADR OR ADR TOGETHER WITH A FORMAL PROCESS (PROCESSES) CAN BE APPLIED TO THIS DISPUTE, DO YOU CONSENT TO ADR BEING APPLIED?………………………………………………………………………... 6) RESULTS OF ADR PROCESS The outcome I would like: …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… SIGNATURE OF PARTY REFERRING THE DISPUTE ………………………………………….. DATE ………………………………………….

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10 FOR OFFICE USE: DATE FORM RECEIVED BY CONFLICT RESOLUTION UNIT …………………………………………. ASSESSMENT ATTACHED (Y/N) …………………. DATE ASSESSMENT MADE BY CONFLICT RESOLUTION UNIT……………………………………………… IF APPLICABLE, MANNER IN WHICH THE OTHER PARTY WAS INFORMED OF THE ASSESSMENT……………………… IF APPLICABLE, DATE ON WHICH THE OTHER PARTY WAS INFORMED OF THE ASSESSMENT…………………………. IF ADR CAN BE APPLIED, DOES THE OTHER PARTY CONSENT TO ADR?………………………….. IF YES, DATE(S) ON WHICH ADR PROCESS APPLIED………………………………………………………….. OUTCOME OF ADR PROCESS …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………… IF ASSESSMENT DETERMINES THAT ADR OR ADR TOGETHER WITH FORMAL PROCESSES CANNOT BE APPLIED OR ONE OR BOTH PARTIES DO NOT CONSENT TO ADR OR ONE OR BOTH PARTIES OPTS OUT OF THE ADR PROCESS AFTER IT COMMENCES OR THE CONFLICT RESOLUTION MANAGER/ADR ADVISOR BELIEVES THAT ADR IS UNPRODUCTIVE, DATE ON WHICH REQUEST MADE TO EMPLOYEE RELATIONS UNIT TO APPLY A FORMAL PROCESS……………………... MANNER IN WHICH REQUEST MADE……………………………………………..

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