EFFECTIVE SUPERVISION

*PRINCIPLES AND SKILLS

*IMPACT OF COLLECTIVE BARGAINING

/ (*

I't OF INDUSTRIALr,.rL T.NS LISRARY

fI!F C, 'iC 197tU J& .Atd N A

'JE R K E L E Y

INSTITUTE OF INDUSTRIAL RELATIONS' ' --

UNIVERSITY.OFCALIFORNIA, LOS ANGELES

OTHER VOLUMES IN THE TRAINING MANUAL SERIES

EQUAL EMPLOYMENT OPPORTUNITY AND AFFIRMATIVE ACTIONIN LABOR-MANAGEMENT RELATIONS -- A PRIMER (1976)by Geraldine Leshin .... . . . . . . . . . . . . . . . $8.00

IMPASSE RESOLUTION IN PUBLIC SECTOR INTEREST DISPUTES (1976)by Janes Gallagher .... . . . . . . . . . . . . . . . . $8.00

COLLECTIVE BARGAINING AND CIVIL SERVICE IN PUBLICEMPLOYMENT: CONFLICT AND ACCOMMODATION (1976)by Paul Prasow . . . . . . . . . . . . . . . . . . . . . . $8.00

GRIEVANCE HANDLING AND PREPARING FOR ARBITRATION IN THEPUBLIC SECTOR (1976)by John A. Spitz .................... . $8.00

BUILDING YOUR MANAGEMENT TEAM -- A FRAMEWORK FOR PUBLICSECTOR LABOR RELATIONS (1976)by John A. Spitz .................... . $8.00

THE RODDA ACT -- ONE YEAR LATER (1977)by Jack Blackburn .................... . $8.00

CONTRACT ADMINISTRATION IN PUBLIC SECTOR COLLECTIVEBARGAINING -- REVISED EDITION (1977)by Janes Gallagher ................... . $10.50

THE SCOPE OF BARGAINING IN CLAIFORNIA PUBLIC SECTOR LABORRELATIONS (1977)by Janes GaZZagher .... . . . . . . . . . . . . . . . . $10.50

EMPLOYEE DISCIPLINE (1977)by John A. Spitz .................... . $10.50

GRIEVANCE ARBITRATION: TECHNIQUES AND STRATEGIES (1977)by John A. Spitz .................... . $10.50

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EFFECTIVE SUPERVISION,

Principles and Skills,

Impact of Collective Bargaining>/

Coordinating Editor: John A. Spitz, Administrator

Center for Management Research and Education

INSTITUTE OF INDUSTRIAL RELATIONS

Frederic Meyers, Director

Daniel J. B. Mitchell, Associate Director

/Written by:

Edited by:

Erin-Aine Miller , Q

Rosalind Schwartz.

Felicitas Hinman

This training Manua as developed under contract to the State ofCali nia State an onsumer Services Agency through a grant fromthe U.S. Civil Service Commission under the Intergovernmental PersonnelAct (P.L. 91-648).

Any findings, opinions, or conclusions presented herein are those ofthe author and not necessarily those of the State of California orthe U.S. Civil Service Commission.

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FOREWORD

The Institute of Industrial Relations is happy to present EffectiveSupervision, the final volume in a series of training packages completedunder the terms of a contract between the State of California and theUniversity of California, Los Angeles. With funds provided to the stateby the federal government, the state asked the Institutes at Berkeleyand Los Angeles to assist in the training of state and local publicmanagers and employees in the conduct of labor relations. A major por-tion of our role is to prepare and provide training materials such asthis volume.

Good labor relations must be built on a foundation of good management--management concerned with achieving its goals by the most effectiveand efficient means. Management of that nature realizes that good la-bor relations is essential in creating and maintaining a productiveorganizational environment.

Good management, however, is not a series of unrelated actions whichcan programmatically and automatically be plugged into various organi-zational components. It is a process requiring purposeful intelligencelinked with training. Each of the managerial functions must be analyzedand studied in such a way that the systematic relationships betweeneach of the functions and between the functions and labor relations isclear.

In this volume the role and tasks of supervisors are discussed in thecontext of their contribution to effective management and good laborrelations. First-line supervisors are full-fledged members of the ma-nagement team who are directly accountable for the personnel and perfor-mance of employee work ulits. Supervisors are elements in an organiza-tion: they are the point at which management plans and goals are trans-lated into actual results. The success or failure of an organizationthus depends to a large degree on the skill and knowledge of its super-visors.

The objective of this manual is to deal with the important issues whichconfront first-line supervisors. The primary functions of supervisionwill be explored in basic terms in five chapters or tabs. In addition,the effect of unionization on these functions will be specifically ana-lyzed in a separate tab.

It is our hope that we have provided a comprehensive and integrated manualwhich may be used in training programs for first-line supervisors and as apractical reference tool

November, 1977Daniel J. B. MitchellActing Director

CONTENTS

TAB A

EFFECTIVE SUPERVISION - AN OVERVIEW ... . . . . . . . A-1

THE FOUR FUNCTIONS OF SUPERVISION A-4

LEADERSHIP CHARACTERISTICS NEEDED IN SUPERVISORS A-5

WHAT MANAGEMENT EXPECTS OF ITS SUPERVISORS A-6

SIX STEPS TO EFFECTIVE LEADERSHIP A-8

TAB B

PLANNING ... B-1

Uncertainty in Pianning B-2

Planning for Results B-3

THE FIVE BASIC STEPS OF PLANNING B-7

PLANNING YOUR TIME B-9

PLANNING AND PROBLEMS B-13

PROBLEM-SOLVING AND DECISION-MAKING B-16

GUIDE FOR HANDLING PROBLEM SITUATIONS B-29

TAB C

ORGANIZING ...... C-1

HOW DO YOU DELEGATE ? C-3

THE ELEMENTS OF DELEGATION C-4

REASONS SUPERVISORS RESIST DELEGATING C-8

SOME DELEGATION TECHNIQUES C-10

Responsibiiity Analysis C-12

Delegation Planning Worksheet C-13

-1-

TAB C - Cont'd

SUPERVISORS AND OTHER WORK UNITS C-14

SUPERV-ISORY CONDUCT C-15

TYPES OF ORGANIZATIONAL STRUCTURES C-18

TAB D

DIRECTING . . . . . . . . . . D-1

SUPERVISION AND MOTIVATION D-3

MASLOW'S HIERARCHY OF NEEDS D-5

HERZBERG'S MOTIVATION-HYGIENE CONCEPT D-10

COMMUNICATION D-18

EFFECTIVE COMMUNICATION PRINCIPLES D-20

HOW TO IMPROVE YOUR COMMUNICATION D-25

REDUCING THE BREAK-IN PERIOD D-27

ORIENTATION OF NEW EMPLOYEES D-29

GUIDELINES FOR ORDERS AND INSTRUCTIONS D-30

EIGHT PRINCIPLES OF LEARNING D-33

THE FOUR-STEP METHOD OF INSTRUCTION D-35

TAB E

CONTROLLING . . . . . . . . . . . . . . . . . . . . . . . .E-1

A BASIC CONTROL SYSTEM E-3

THE PERFORMANCE EVALUATION SYSTEM E-5

STEPS IN EVALUATING PERFORMANCE E-8

SOME KEY POINTS TO REMEMBER IN WRITING REVIEWS E-12

DISCUSSING PERFORMANCE EVALUATION WITH EMPLOYEES E-14

-ii-

TAB E - Cont'd

DOCUMENTATION E-17

DOCUMENTING EMPLOYEE PERFORMANCE E-19

DOCUMENTATION CHECKLIST E-23

THE SUPERVISOR AND DISCIPLINE E-39

APPEALS AND JUST CAUSE E-45

EMPLOYEE JOB PROTECTIONS E-45

CRITERIA USED BY ARBITRATORS IN JUST CAUSE APPEALS CASES E-47

DUE PROCESS CHECKLIST FOR SUPERVISORS ("Skelly" Procedure) E-51

GUIDELINES FOR UNION REPRESENTATION IN THE DISCIPLINARY INTERVIEW E-55

TAB F

THE SUPERVISOR AND LABOR RELATIONS ... . . . . . . . . . . . . F-1

AN OVERVIEW FOR MANAGEMENT F-1

WHO IS A SUPERVISOR ? F-3

The Supervisor under the Law F-4The Private Sector Supervisor F-4Supervisors in the Federal Service F-5The Supervisor in State and Local Government F-6Public Sector Supervisors in California

in Local Government (Meyers-Milias-Brown Act) F-6in California Public Education (Rodda Act) F-8in State Employment (Dills Bill) F-ll

THE SUPERVISOR IN YOUR ORGANIZATION F-19

Identifying the Bona Fide Supervisor F-20

Guidelines for Identifying Supervisors F-23

-iii-

TAB F - Cont'd

SELECTING SUPERVISORS F-26

The Content of Supervisory Training F-30

TO AND FOR THE SUPERVISOR F-33

TO AND FOR THE SUPERVISOR IN A COLLECTIVE BARGAINING ENVIRONMENT F-34

What is Collective Bargaining F-34

ABCs OF COLLECTIVE BARGAINING F-35

A GLOSSARY OF COLLECTIVE BARGAINING TERMS F-56

YOUR SUPERVISORY FUNCTION IN A COLLECTIVE BARGAINING SETTING F-67

WHY DO WORKERS JOIN UNIONS F-69

WHAT THE SUPERVISOR CAN DO F-72

THE SUPERVISOR'S ROLE DURING AN ORGANIZING CAMPAIGN F-74

THE SUPERVISOR'S ROLE IN CONTRACT NEGOTIATIONS F-82

THE SUPERVISOR'S ROLE AFTER NEGOTIATIONS F-84

Administering the Contract F-89

Outline of Grievance Procedure F-94

GRIEVANCE PROCESSING F-99

GUIDES FOR SUPERVISORS F-107

THE SUPERVISOR'S ROLE IN ARBITRATION F-117

THE SUPERVISOR AND THE UNION REPRESENTATIVE F-121

Pointers on Working with your Union Steward F-124

UNION ACTIVITIES ON MANAGEMENT TIME AND PREMISES F-126

THE SUPERVISOR AND JOB ACTIONS F-127

-iv-

A

A

TAB A

EFFECTIVE SUPERVISION: AN OVERVIEW

The supervisor occupies a key position at the center of activity in

private enterprise as well as in public agencies. The supervisor is

the pivotal link in the chain of management and labor where the con-

cepts and plans of an organization are translated into actual results.

Supervisors, because of their position, are an extremely important

group which ultimately determine the success or failure of the overall

organizational effort.

All supervisory jobs have elements in common, in the sense that their

jobs have tasks that can be divided into certain categories. What are

the responsibilities of supervisory employees as distinct from those

of non-supervisory employees? Supervisors are true managers because

they share with all levels of management the responsibility of planning,

organizing, directing and controlling the work of others.

Planning includes setting long- and short-range priorities and devel-

oping and selecting alternative ways of getting a job done. Organizing

includes delegating and establishing work procedures, staffing and per-

sonnel positions. Directing includes order giving, communicating, mo-

tivating, and training. C'ntrolling includes maintaining organizational

control through systematic checks to see that plans and work assignments

are carried out, evaluating performance, and administering employee dis-

cipline. These four categories form the core of any manager's job.

A-2

Effective supervision mirrors the management functioning on a somewhat

restricted level. Rather than being involved with the whole organiza-

tion, supervision oversees non-management people exclusively. Thus a

supervisor works with non-management employees, planning, organizing,

directing, and controlling their efforts to meet the objectives of the

organization.

Effective supervision provides higher management with the input and

output that relate it to the work force on a day-to-day, continuing

basis. Effective supervision not only disseminates information as a

basis for action; it also gathers data for the feedback so essential

in measuring results., updating plans, and initiating corrective action.

This manual is designed to acquaint supervisors with the organizational

and interpersonal skills which they will need to perform their tasks.

Technical skills are of paramount importance, but are obviously beyond

the scope of this manual. Yet we cannot overemphasize that effective

supervision must be based first on a thorough understanding of the

technical nature of the work to be done. One management consultant

tells the story of a manufacturing corporation who hired him to evalu-

ate their welding department. That department had been afflicted by a

rash of accidents and other problems. The consultant found that both

welding supervisors were smart, dedicated, and thoroughly trained in

planning, organizing, directing, and controlling. But they had both

beei. promoted to the welding department from administrative departments.

The crux of the problem? Neither supervisor had ever been trained to

weld!

A-3

At the other end of the training spectrum are supervisors who have been

taught to perform like MBA's. They know all about business administra-

tion, but their skills are really more appropriate for middle-level

management and are rarely used on the shop floor or in the work unit.

We have attempted to produce a straight-forward training program that

will teach you both the managerial and the human relations skills needed

to supervise non-management personnel. With or without employee unions,

supervision must be skillful and effective if the organization's objec--

tives are to be achieved. However, unions are often present both in

private enterprise and increasingly in the public agency; we have there-

fore included a section on the labor or industrial relations aspect of

effective supervision. Any supervisor who deals with unionized employees

must be aware of these aspects in order effectively and efficiently to

perform her/his duties.

In addition to the tabs in this manual on PLANNING, ORGANIZING, DIRECT-

ING, CONTROLLING, and LABOR RELATIONS, we have included some general

introductory material following this overview. The next few pages will

give you an idea of the basic duties of supervisors, as well as the basic

traits management wants its supervisors to have.

A-4

THE FOUR FUNCTIONS OF SJPERVI SEON

1. PLANNING:

2. ORGANIZING:

3. DIRECTING:

S. CONTROLLING:

The deciding of what is to be done to accomplish

the purpose, the objective, or the mission of the

department, section, or unit.

The formal arranging and balancing of activities,

the determination of who is to do what, the assigning

of authority and responsibility so that which is

being planned will be accomplished.

The-actual assigning of tasks, ordering,-instructing,

telling subordinates what to do in order to accomplish

the objective.

Checking the progress of work against plans or standards

to determine if activities are being carried out;

making corrections and adjustments or even new plans

in the light of new developments or unforeseen circum-

stances; evaluating and disciplining subordinates.

A-5

LEADERSHI P CHARACTERI STICS NEEDED IN SUPERVI SOR S

A partial list should include:

1 - Ability to get along with others.

2 - Ability to communicate.

3 - Ability to gain and to give cooperation.

4 - Ability and willingness to plan and organize.

5 - Ability to train.

6 - Fairness.

7 - Forcefulness.

8 - Goals.

9 - Good judgment.

10 - Honesty.

11 - Knowledge of the work.

12 - Loyalty.

13 - Tact.

14 - Willingness to take on responsibility.

A-6

WHAT MANAGEMENT EXPECTS OF ITS SUPERVISORS

You may wonder whether you are a leader. The debate whether there are

"born" leaders or not never ends. However, it is generally agreed that

leadership traits can be developed by conscientious study and effort.

Here are some of the traits top management officials expect you to have

or develop:

Loyalty to the organization, your boss, your employees, and to

yourself.

Sincere interest in people: Be interested in what they'say,- their

opinions, hobbies, families, problems, and concerns.

Initiative: Look for better ways to do things. Do not be afraid

to work beyond your particular job description.

Decisiveness: If circumstances permit, give a prompt "yes" or

"ino" answer to a question. When a problem requires deliberation,

promise a decision at a specified time. Do not stall, put off,

or evade.

Positive thinking: Think how things can be done, not why they

cannot. Try to look for the good in everyone and everything. Be

enthusiastic about your job and your organization.

Tact and courtesy: Be thoughtful of others and have regard for

their feelings. Treat employees and fellow workers with respect

--always.

A-7

Fairness: Be impartial, show no favoritism. Avoid overfamiliarity

with employees, even off the job.

Integrity: Deal squarely and honestly all of the time. Be de-

pendable, sincere, and consistent. Let people know where you stand,

right or wrong. Do not be afraid to admit mistakes.

Quiet aggressiveness: Gently push for what you want, but not so

hard that it arouses resentment. Sell yourself and your ideas,

but do not crush others in the process. Humbleness. Realize you

are imperfect and human. Remember others can do things just as

well or better than you, and from them you can learn.

Teaching ability: Learn and practice the art of good speaking,

the principles of on-the-job instruction, and techniques of con-

ference leadership.

Friendly Personality: A ready smile will open doors. Friendliness

is contagious. Build up the other fellow, and use "you" more than

"I".

A-8

SIX STEPS TO EFFECTIVE LEADERSHIP

1. Maintain an overall knowledge of the operation.

2. Understand your subordinates.

3. Be considerate, but firm and fair in all personnel dealings.

4. Think things out, and make sound decisions in a reasnable time span.

S. Take enough interest in your people to be genuinely concerned

about them, but don't get overinvolved to the point where it

will affect your judgment.

6. Train your subordinates so as to prepare them for their next pro-

motion, even if it is to your job.

B

B

TAB B

PLANNING

A plan is a guide for action designed to accomplish an objective.

Planning has two essential components for the supervisor: 1) work--both

the supervisor's and the work of the supervisor's subordinates; and,

2) time--both in terms of planning for the effective use of the supervi-

sors' and workers' time, and in terms of planning for the future into

which time injects an element of uncertainty.

At the organizational level, scope and duration of plans are usually

much larger and longer than the plans of a supervisor. Corporate or

agency plans are normally designed for periods of years, for the whole

organization, and reflect large and general goals. The plans a supervi-

sor makes are specific means of carrying out particular tasks assigned

to a work unit, frequently on a day-to-day basis.

Although the supervisor is involved in only a limited segment of the to-

tal organizational planning, the role of the supervisor is extremely im-

portant. Supervisors are the pivotal link in the chain between manage-

ment and workers, responsible for the efficient utilization of the re-

sources of labor, money, materials and equipment--within the-time con-

straints of schedules--to meet designated goals

B-2

Uncertainty in Planning

Consider the element of uncertainty that time creates in planning.

There will always be a lag between the time some matter is analyzed and

a plan developed and the time at which the plan is actually implemented.

Thus there is always a chance that the conditions which existed at the

time of planning will no longer exist at the time of implementation.

For an organization or a public agency, the elements of change and un-

certainty depend on market conditions, financial situations, new pro-

duct development, new laws or regulations or new public officials.

For a supervisor, planning is uncertain because of changes in the as-

signment of work, changes in the procedure by which work is done, emer-

gencies or rush jobs, unexpected employee absences, employee termina-

tion or transfer, new employees, new legislation, and slack periods.

To sum up these variables, the three major causes of change for supervi-

sors in a work situation are:

1. The work itself--fluctuating between peak and slack periods,

new, completed or lost contracts or projects;

2. The methods or procedures used to do that work--new forms or

equipment, new offices or location;

3. Personnel--absenteeism, vacations, turnover, training.

B-3

Planning For Results

As a supervisor, your prime responsibility is to achieve results. The

only way to achieve results is by planning in a manner which incorpo-

rates the goals--both specific and general--of your organization, and

which carefully evaluates the work situation. In order to plan effec-

tively for results, a supervisor must first understand the crucial con-

cepts of efficiency and effectiveness, systematic planning, and time

management.

Efficiency

Efficiency is doing things with the optimum--usually the minimum--expen-

diture of resources (time, money, materials and labor). Efficiency is

doing things with little or no wasted motion, and with little or no dis-

ruption or interruption. In short, efficiency is concern with the way

in which things are done, and the supervisor's job is to see that the

way is the right one!

Effectiveness

Effectiveness, on the other hand, is focusing on the things which are

most important, and doing the things that most need to be done. Effec-

tiveness is concerned with the impact of activities, and fulfilling ob-

jectives or meeting targeted goals. An effective supervisor evaluates

why certain things have to be done and the order in which they should

B-4

be done. If efficiency is getting things done the right way, then

effectiveness is getting the right things done.

Obviously, a supervisor must be both efficient and effective. If people

are not doing the right things, it is unimportant whether or not they

are doing them the right way. Evaluating what is the right thing to do

(effectiveness) must always precede knowing the right method of doing

things (efficiency). The first step toward being a successful supervi-

sor is being effectiveness-oriented--knowing how to set priorities to

insure the best results.

Every organization, whether corporation or a government agency, or even

a small work unit, exists for a particular reason. Each has an output,

either a service or a product, which it must supply either to the public,

to another agency or corporation, or to another work unit. As a super-

visor, you must always focus on the result (service or product). The

day-to-day operations of a work unit sometimes obscure the fact that sup-

plying an output is a supervisor's most important concern. Supervisors

become so involved in the methods and materials and manpower needed for

that output that they forget that the output must ultimately satisfy a

need or a person outside of their unit. Their units exist in order to

satisfy that need, not just to produce that output. A successful super-

visor is always aware of this distinction.

B-5

Allocation of Resources-

To be effective, supervisors must analyze their work situation and de-

cide how best to allocate their resources, both in terms of their own

time and in terms of the resources (time, materials, and manpower) of

their work unit. In another section of this manual (pp. B-16 - B-28)

some basic procedures for decision-making and problem-solving are pre-

sented.

In this section, we will simply note that supervisors should remember

that often a relatively small fraction of elements can account for a

very large impact. For example, a small percentage of employees ac-

count for most discipline problems; a small percentage of equipment

items (computers, heavy equipment) account for most of the dollar value

of all equipment; a small percentage of drivers account for most of the

fatalities on the highways; and a small fraction of all the supervisory

decisions you make can account for the bulk of the impact of all your

decisions. The small percentage of elements that account for the bulk

of impact is known as the "vital few"; the large percentage of elements

that only account for a small portion of the impact are known as the

"trivial many."

Supervisors should emphasize the vital few when planning in order to

achieve results which are both effective and efficient. Only when su-

pervisors concentrate on the vital few will they have any significant

B-6

impact. Lots of activity but little impact results from working on the

trivial many. But it is not enough simply to identify the vital ele-

ments in your work unit. You must also initiate action and follow-up,

which utilizes and focuses on the vital few. And that takes careful

planning.

Planning is the key to supervising for results. The effective supervi-

sor first concentrates on effectiveness (getting the right things done)

and then on efficiency (getting things done right). Proper planning

emphasizes the vital few and increases both effectiveness and efficiency.

B-7

THE FIVE BASIC STEPS OF PLANNING

1. Establish Objectives (goals, targets):

Should be either a general statement of purpose or very specific aims,

to be set by the supervisor or by higher management. Objectives must

be clear, understandable, and realistic (attainable).

2. Inventory Available Resources (personnel, methods and equipment,

time and space, money, and policies and procedures):

Consider capabilities and training needs. Be sure you understand

operations as currently performed. It is not necessary to evaluate

all resources for every plan, but most plans will require considering

most resources. (Can resources be changed--increased, decreased, or

otherwise be modified?)

3. Examine Alternatives:

Select a course of action for accomplishing goals through the use of

resources. Beware of a situation where there seems to be only one

alternative; the obviously "right" answer may not be the best. Ana-

lyze alternatives in terms of key factors such as time, cost, or

changes that would be required. Select the most promising. Work out

the details. Consult with any other involved supervisors or management.

B-8

4. Establish the Who, What, When, Where, And How To Accomplish Plan:

Who will be involved? What things will each person do? When will each

operation be done? Where will each operation be done? How will each

task be done? How much will be done in how long a time (quantity stan--

dard)? How well must each task be done (quality standard)?

5. Set Up Controls:

Make sure the right quantity and quality of work is being accomplished.

Make sure the work is being done on time. Keep waste and inefficiency

to a minimum. Check on progress of work. Determine if work is going

"according to plan." Determine if approved or best methods are being

used.

B-9

PLANNING YOUR TIME

Time often creates a dilemma for supervisors; the element of uncertainty

created by the time lag between the drafting of a plan and its implemen-

tation and follow-up must always be considered. In addition, supervisors

must cope with the more mundane, but equally important, difficulty of

managing time on a day-to-day basis for themselves and for their work

unit.

Time management is almost always a problem. However, an effective super-

visor has no more of "time" than an ineffective one; the former simply

organizes and utilizes time more successfully.

Before thinking about the most effective use of time, consider the many

ways in which people waste time on the job. Daydreaming, sometimes under

the guise of planning or creative thinking, is a widespread problem.

Too long conversations, either in person or on the phone, should be

avoided. Another waste of time is unnecessary movement--such as ta-king

"the long way around"--and unnecessary reading of matters that aren't

really germane to the work or which need only be glanced at and instead

are being studied. Supervisors or managers fail to delegate tasks, or

may make unnecessary changes, or prolong meetings when the matters at

hand could be handled with more dispatch.

B- 10

How can a supervisor plan for effective use of time? First, you must

know how you are presently using your time. Keep a record of what you

are doing; list each type of activity and the time you start and stop.

Keep this record at least for one week, perhaps longer, in order to

get a sense of a "typical" workweek.

Once you know how you are presently allocating your time, analyze why

you do so. Try to categorize the ways in which you use your time,

such as routine, creative, special or non-effective work. The last

category is the catch-all into which should go time spent daydreaming

as well as less blatant forms of time misuse. Note that an action can

start out productive, such as making a phone call to request a part or

a report, but end up wasteful because the phone call is turned into a

social call. Ask yourself why your time has fallen into the categories

it has, and if you are presently allocating your time both effectively

and efficiently. Try to reorganize your use of time to meet both those

criteria; streamline and revamp your actions to eliminate any bottle-

necks. Once you are consciously aware of specifically how and why you

are presently using your time, you have taken a large step toward fi-

guring out a better and more productive plan for the future.

B-1l

DAILY TIME ANALYSIS

*PriorityAction Code **Disposition

8:00

8:301

9:00 I l_I9:30

10 :0-0

10:30 l l _l

11:00 l l_l11:30

12:00 l l l

12:30 l l l

1:00 l l_l1:30 l_l l

2:00 l l2:30 _ ._l_l

3:00

3:30 __

4:00 ,

4:30

5:00

5:30 _

Evening

*Priority Codel1important & urgent2=important, not urgent3=urgent, not important4=routine

**Dispositioncompletefollow-updelegate totraineliminateconsolidateother

Time

B-12

SCHEDULE AND WORK SHEET

FRIDAY, JANUARY 17, 1975

TOAYU I-

LLS TO:r .. _~~DICTATE:

FOLLOW-UJP ON:

U UTALK TO MARY ABOUT:

SEE:

TALK TO BOSS ABOUT:

U.TALK TO JOHN ABOUT:

TALK TO OSCAR ABOUT

UDO TOMORROW: MISCELLANEOUS:

NOON

EVENING

-M

,M

DO TOMORROW: MISCELLANEOUS:

B-13

PLANNING AND PROBLEMS

Good planning aids effective supervisors when problems come up which

necessitate immediate remedial action. In their plans, they have con-

sidered that certain situations may occur and have decided in advance

what to do in those cases. Effective supervisors do not leave things

to chance. Each problem is carefully studied to plan for the best way

of solving it. Plans include the probability of the unexpected occur-

ring and so provide for flexibility and preventative action.

Supervisors should be oriented toward the future. It was once said

that the job of a general is to see the other side of the hill. Su-

pervisors have a similar goal. Effective supervision requires an

ability to predict possible areas of difficulty and to apply reason-

able remedial action to avoid disruption of the workflow. The plan

must provide for adjustments to meet changing circumstances.

Loss of key personnel, communications failure, misunderstandings,

equipment breakdown and all other variables must be considered. Al-

ways be prepared for the unexpected. The fact that the task of super-

vision is getting things done through people alerts the effective su-

pervisor to the need for planning for possible eventualities.

B- 14

First, define and clearly identify the objective in each assignment re-

ceived; then plan a course of action to reach that objective. The fol-

lowing points analyze supervisory problems and will help supervisors

avoid the unanticipated and insure goal-accomplishment:

1. Define the objective:

Clarity is essential. The goal must be known and understood by all

concerned.

2. Analyze the probable causes of problems:

Knowing the causes leads to more likely solutions. What is the proba-

bility of the problem occurring? What is the seriousness if it does?

3. Allow for eventualities:

Understand what may misfire and you can avoid being caught off guard

when it does. Be concerned with prevention of the problems.

4. Consider personnel capabilities:

The individual who actually performs the tasks should be qualified by

education, knowledge, or experience. Persons known to be less capable

should be monitored more closely than others: Supervisors must know

subordinates and their strengths and limitations. They must plan to

provide for gaps in abilities.

B-15

S. Select a course of action:

Decide on a reasonable way to reach the goal. Evaluate as many alterna-

tives as possible.

6. Consider alternate actions:

Be alert to the possibility that the original plan may be frustrated.

The contingency plan must be ready for substitution. Everything cannot

be foreseen. The best made plans run afoul.

7. Keep others informed:

Key persons in your work group should know the details of your program.

One person should be designated to be in charge during your absence.

Provide the basic plan and the contingencies that may cause the original

course to be altered.

8. Avoid taking anything for granted:

All persons--those in other divisions, other agencies, or your colleagues

--must have the same understandings of what is expected of them as you

do. What is expected and what is understood must be clearly known by all

concerned. Changes on the original plan, and progress, should be clearly

communicated.

B-16,

PROBLEM-SOLVING AND DECISION-MAKING

After completing this section, you should be able to:

- list and define six steps in effective problem-solving;

- identify the conditions by which to recognize a problem;

- list two rules of thinking which clearly define a problem;

- identify three broad approaches a manager may use in solving a

problem;

- identify and define the two qualities necessary for an effec-

tive decision;

- identify and define the two general kinds of problems that may

exist;

- use a rational and systematic problem-solving method.

In this section you will examine your approach to problem-solving and

decision-making. As a supervisor, one of your primary concerns is find-

ing effective solutions to problems and making decisions affecting the

output of your work unit. There is no short cut to successful problem-

solving and decision-making. However, supervisors will increase their

skill in this area if they understand that decision-making is a ration-

al and systematic process which consists of a definite sequence of steps.

B- 17

This understanding may not be sufficient to give you the best possible

decision for every situation, but it will increase the number of times

you arrive at good decisions, thereby improving your problem-solving

ability and lessening the burden of the decision-making task. Decisions

always must be based upon judgement as well as using the steps outlined

below, because decisions deal with future results which are always hard

to predict. But studies made over the past 25 years have demonstrated

that supervisors can improve their performance as problem-solvers and

decision-makers by applying certain methods.

The steps involved in this method are:

Step 1. Recognize the objective.

Step 2. Identify the problem(s).

Step 3. Gather and organize the facts and ideas involving the

problem, and analyze this information.

Step 4. Develop alternative solutions.

Step S. Select the best solution (alternative) and make a

decision.

Step 6. Evaluate effectiveness of the decision (follow-up).

Paying attention to these steps will help you avoid the following most

common pitfalls in making decisions:

1. Finding the right solution to the wrong problem.

2. Making decisions at the wrong time by either waiting

B-18

too long to implement the solution or deciding too

soon on a solution.

3. Making decisions that do not result in action.

4. Making decisions without follow-up criteria. (Without

definite criteria to evaluate the effectiveness of a

solution, how can one ever determine what the results

are?)

One of the main reasons why supervisors make these mistakes is that they

do not have a systematic way of problem-solving and decision-making.

Too often they make decisions "by the seat of their pants" and by intui-

tion, without taking the time to search out systematically the facts

which lead to a rational judgement.

We will now examine the problem-solving method outlined above.

Step 1: Recognize The Objective:

The very first step in problem-solving is to establish objectives. An

objective is a statement of conditions or results to be achieved or su-

stained in the future. It is a statement of where one wants to be or

conditions one wants to bring about at some time in the future.

As a first-line supervisor you must either recognize or establish the

objectives of your work unit. What makes this task difficult is that

many statements of objectives are in a vague and general form. A

B- 19

supervisor's task as a problem-solver is to take the vague and general

statements and add detail to them so that he can specifically state

that the objectives are:

- understandable to all (enough descriptive detail);

- expressed in measurable (quantifiable) specific terms;

- attainable (realistic); and

- related and contributing to the objectives of the organization.

It is not always possible to begin problem-solving with objectives that

meet the above criteria. Quite often a supervisor starts out with vague

and hazy notions of what is wanted at some time in the future. There is

nothing wrong with this approach if the supervisor recognizes the situa-

tion as such. In that situation, as one progresses through the other

steps in the problem-solving process, constant clarification and review

is necessary if the objective is to meet the above criteria and the

problem-solving effort is to be effective.

Step 2: Identify The Problem(s):

This may seem like an obvious step to some, but all too often it is

passed over. Many people spend far too much time searching for an an-

swer and far too little time finding out what the problem is. The re-

cognition of a problem is both the most important and the most diffi-

cult step in problem-solving. In a majority of situations, once the

problem is recognized the solution is easy.

B-20

One way to look at problems is to define them as the differences that

exist between the way things are now and the way you want things to be

or the way they should be. If everything was the way it should be--or

the way you wanted it--there would not be any problems. To analyze

these differences, two perspectives can be used:

1. View the differences as obstacles or barriers to an

improved situation, or

2. View them as deviations from the normal situation.

When you use the obstacle approach, you must first understand objec-

tives: you must know what you want. What would be the improved situa-

tion (in your work area)? If you do not know and cannot describe it in

some detail, you will always have difficulty determining if a proposed

solution will contribute to improving the present situation or will

perpetuate the problem. What is the situation today (in your work

area)? You must know what is going on in your work area. This is usu-

ally easy to attain; a work plan will help.

Problems are blocks or barriers that prevent a work unit from being

what it should be, or can be, or what the supervisor wants it to be.

If things are the way they should be, then no problem exists. However,

if there is a difference, you have recognized a problem area. This

B-21

approach-defines problems as barriers which stand in the way of achiev-

ing an objective.

When we use the deviation from the normal situation approach to analyze

differences between wants and conditions, we need to know what the nor-

mal situation is, or should be. Thus a problem is a deviation from the

normal situation and the objective is to regain that normal situation.

While it may seem academic to make the distinction between a barrier

problem and an obstacle problem, it is actually very basic and impor-

tant to effective problem solving. How we identify the problem affects

how we proceed in the problem-solving step of gathering and interpreting

information. If the problem is defined as a barrier, collecting data

would be an approach of how to overcome the barrier or block. If the

problem were defined as an obstacle, the data collecting step would be

what is causing the deviation.

If you are to clearly define a problem, two rules of thinking should be

followed: 1) try not to imply a solution; and, 2) try not td blame one

person.

Avoid Implying a Solution. Trying not to imply a solution is one of

the most difficult tasks in problem-solving. One of the reasons people

spend too much time looking for the answer instead of identifying the

B-22

problem is that their statement of the problem implies a solution.

"The problem is we don't have enough people."

The implied solution? Get more people!

'"The problem is we don't have enough time to

complete the task."

SolutiQn: Take more time!

From the above we can see that statements which imply solutiQns usually

identify symptoms of a. problem and not the problem itself. They also

tend to lead.us in the direction of looking for answers..

Avoid Placing Blame. Whenever you are attempting to identify a person-

nel problem, you should avoid placing blame on one person. "If Tom came

in on time, we could meet our schedule." You will focus your attention

and fact-finding on one person - Tom. You should instead state the prob-

lem in terms that are broad in order to require examining all the infor-

mation that may relate to the situation. Otherwise you will find yourself

looking very narrowly at a problem and missing a lot of necessary informa-

tion. Remember it is important to deal with and resolve the whole prob-

lem--not just its symptoms. You may find it helpful to ask the question,

"why do we want this?"

B-23-

Step 3: Gather And Organize The Facts And Ideas Involving The Problem

And Analyze This Information:

This is a relatively simple step with few pitfalls. However, there are

two major difficulties supervisors have in gathering facts. They are:

1) when and how to stop; and 2) evaluate facts, in relation to the solu-

tion, before fact-finding is complete.

When to Stop. A critical skill in gathering facts is knowing when you

have enough to begin interpreting the information. People either stop

too early, after gathering a few facts that support their conclusions,

or people do not know when to stop gathering facts. Many people keep

postponing decisions because they feel they do not have all the informa-

tion. Such people may never get all the facts they need. The best ap-

proach is to set a time limit and stick to it. The goal is not to devel-

op the best solution, but rather the best solution in the time available.

Evaluating Facts Before Fact-Finding is Complete. Do not evaluate the

information you gather on a piecemeal basis. If you do, you will tend

to channel the rest of the fact-gathering in the direction of your evalu-

ation. You may find yourself going down a blind alley based upon an

evaluation of a small piece of data. It is best to hold off on the in-

terpretation of facts until you have completed this step.

B-24

Now evaluate the data you have gathered. You must fit the facts togeth-

er and consider their bearing on each other and on the problem. You may

find it will be necessary to redefine the problem in light of the new

evidence you have uncovered. But be sure you check on the reliability

of the information before making any rash judgements. A helpful ap-

proach is to divide the facts into cause and effects of the problem,

and the circumstances involved.

One frequent problem in evaluating facts is the tendency to confuse

facts with inferences. Another is allowing our attitudes to influence

and prejudice our evaluation of the facts. The interpretation of data

can be influenced by our attitudes and prejudices, and thus affect the

quality of our decisions. Remember, you do not just rely on facts alone

-- you must make assumptions when you make a conclusion or decision.

Step 4: Develop Alternative Solutions:

Once the problem has been recognized, defined, facts gathered and inter-

preted, you are ready to begin formulating solutions. Note that solu-

tions is plural! It is very tempting to come up with the one "right"

solution. The "right" solution, or the obvious one, is rarely the one

that will give you the best solution to the problem. It may put out

this "fire," but another will surely start again as soon as the first

is out. Make sure you consider the full range of solutions possible.

B-25

One way to insure that this is done is to "brainstorm" solutions. List

ali solutions that come to mind. It is also advisable to avoid evaluat-

ing these solutions at first. Just concentrate on developing a wide

list of solutions. When the list of solutions is complete, then, and

only then, should you evaluate the pros and cons of each solution in

light of the established criteria. This leads you into Step 5. If you

have an idea of the way things ought to be (as explained in Step 1),

then you can easily compare each solution with the others in terms of

the desired results.

Make sure that alternative solutions are developed and considered.

Normally, there is a tendency to see only what we expect to see and to

overlook the unexpected. It is lack of imagination that you need to

overcome, rather than lack of intelligence, if you are to improve your

decision-making skills. The listing of alternative solutions is the

only way you have to make sure that you do not overlook any opportuni-

ties.

Step 5: Select The Best Solution (Alternative) And Make A Decision:

Now you are ready to make the decision. You know, 1) what you can do;

2) the wide range of alternatives; and 3) how they affect the problem.

Now you must compare the range of solutions available to you against

the specific limitations and risks involved. Questions and areas that

B-26

need to be looked at and examined are:

1. Short-term versus long-term effects.

2. Difficulties involved in the application of each solution.

3. Cost of each solution (not only in terms of money, but man

hours, time, etc.).

4. The acceptability of a solution.

5. Results expected of each solution.

6. Eliminating causes or overcoming barriers.

7. Which is the best solution to this problem?

In the final analysis, an effective decision is usually a combination

of the facts surrounding the problem and the feelings of the people who

will be affected by the solutions. In other words, the effective deci-

sion (one that produces the best results) is a combination of high

quality which comes from facts and the acceptability of the solution by

the people involved in the problem.

If quality is high with low acceptance, or the quality is low with high

acceptance, you do not have an effective decision. However, you will

rarely find a solution in which any of the available results will be per-

fect, and you will find none at all which are riskless.

Usually two or three solutions are equally desirable and equally unde-

sirable. You will always have to exercise judgement. If you have

B-27

followed this method through, you have at least narrowed the range of

judgement considerably. The decision you make, while still involving

judgement and risk-taking, will be a rational decision with definite

purpose behind it.

Implementing the Solution. The next step in this problem-solving ap-

proach is to make sure that your decision is converted into action,

that is, implemented. Every major decision requires an action--a plan

which spells out who had to do what, when, where and why, before the

decision can be effective.

You may also find that you need to try out the solution in a limited

area for a limited time frame. If the solutions affect people who

were not involved in the process, you may have to work at getting them

to accept the change. Above all, do not spring a surprise solution on

them. The time you spend getting people ready to accept the new solu-

tion will pay for itself in the end.

Step 6: Evaluate Effectiveness Of Solution - Follow-Up:

The final step of this process involves integrating the measurement of

its effectiveness into the decision. The foundation for this step was

laid in Step 1 when you identified the way things ought to be and the

way things are. However, one cannot assume that one decision will be

the right one and make the situation perfect. Hence, you must check to

B-28

make sure that the decisions are:

1. Moving the present situation toward what ought to be.

2. Overcoming the barriers or obstacles.

3. Still applicable to the changing environment.

4. Bringing things back to normal.

Problem-solving and decision-making is a continuous process of evaluating

what is, what ought to be, and whether your decisions have been effective.

B-29

GUIDE FOR HANDLING PROBLEM SITUATIONS

Key Considerations

A. What makes this situation a problem?

B. What are the facts in this situation?

C. What are the possible causes of this problem?

D. Describe the individuals involved. What do you know about

them? What are their relationships with each other?

E. What are your own feelings in this situation?

F. What do you specifically want to change?

G. Is this a situation that should be discussed with all or

several employees in a group meeting? With several employees

individually? With one employee alone?

H. What should you do to prepare before you meet with your employ-

ees in any one of these combinations?

Prepare For The Discussion

A. Get all the facts. (Feelings are facts!)

B. Try to uncover underlying causes of the problem. (Do not

accept symptoms as causes.)

C. Consider what you know about the individuals concerned.

D. Analyze your own feelings; be objective.

E. Decide how you want the situation to change.

B-30

F. Consider whether it would be best to meet with the individuals

concerned as a group or individually.

G. Be sure you are completely prepared before you start the dis-

cussion.

Discuss The Problem With The Individuals Concerned

A. Avoid a punitive attitude; do not blame the employee.

B. Point out the facts which show why the employee's behavior is

not acceptable in terms of the requirements of the job.

C. Enlist the employee's cooperation in determining what can be

done to correct the situation.

D. Get the employee to uncover the causes of the unacceptable

behavior.

E. Make sure the employee understands that the behavior must

change.

Follow-Up

A. Record what you and the employee have agreed to do.

B. Check if the situation has been corrected.

C. Take whatever additional actions are indicated.

C

c

TAB C

ORGANI ZING

Organizing establishes a definite structure of roles and functions

within the organization and within a work unit. This structure is a

tool for accomplishing organization objectives based on the identi-

fication and grouping of activities and the assignment of responsibility

for those groupings to certain people or work units. A specific action

or actions required to reach organizational goals are assigned to a

specific person, as well as the authority to delegate responsibility

for those actions. Since an organization will require many tasks and

roles, there must also be provisions for the coordination and integration

of authority and information both vertically and horizontally.

"Form follows function," and the organization structure must follow

the needs of the organization. But in addition to identifying the

functions of the organization, the human element must be carefully con-

sidered both when assigning responsibility for those functions and

during the interaction among various people as they carry out the re-

sponsibilities of their roles.

Naturally, organization entails different tasks for a supervisor than

for the organization itself. Supervisors must deal with, 1) delegation

and staffing; 2) understanding their relationship to other supervisors,

other managers and subordinates; and, 3) understanding the possibilities

and problems inherent in a structure relying on hierarchy, interaction

and authority.

C-2

We will deal with the last of these considerations first, in the

section entitled "Types of Organizational Structures." Then a short

evaluation sheet is presented, "How Do You Delegate?" Supervisors

should answer the brief yes, or no questions on this sheet before they

read the rest of the material. As you read this tab, you will be able

to evaluate or perhaps re-think your positions. The evaluation sheet

is followed by a section on "The Elements of Delegation," which pre-

sents the concepts of responsibility, authority, and accountability

supervisors must consider in assigning tasks to subordinates.

The section on "Reasons Supervisors Resist Delegating" discusses seven

common reasons why supervisors are afraid of delegating, and presents

arguments why those fears should be unfounded. A series of one-page

guides which may be used as handouts follows that article, including

"Some Delegating Techniques," "Making the Delegation," "Responsibility

Analysis," and "Delegation-Planning Work Sheet."

The final two section in this Tab, "Supervisors and Other Work Units,"

and "Supervisory Conduct," look at organization from a horizontal

perspective rather than vertical one. Instead of focusing on the

downward flow of authority, such as from supervisor to subordinate or

from manager to supervisor, these two sections discuss how supervisors

must work with one another as members of the overall organizational ef-

fort.

C-3

HOW DO YOU DELEGATE?

QUESTI ON YES NO

1. When you are absent, do employeescontinue only routine operations?

2. Do you ever find that your dailyjob occupies so much of your timeyou never have time to plan?

3. Do emergencies constantly upsetoperations?

4. Are you too preoccupied with details?Do you enjoy working with details? -

S. Do employees always wait for your go-ahead sign before they begin a job? -

6. Do employees refrain from giving youideas or suggestions?

7. Are you constantly complaining thatwork never goes as you had planned?

8. Do little jobs take too long?

9. Do employees carry out your ordersmechanically, seldom showing enthusiasmor spontaneity?

10. Are you difficult to reach because you arealways tied up with

a. your subordinates?b. your superiors?

11. Is there a designated individual whoalways takes your place during absences? -

12. Do you hold up too many jobs for yourpersonal approval?

C-4

THE ELEMENTS OF DELEGATION

As supervisors, you are responsible for more work than can be accom-

plished by just one person. That is why you have subordinates and

why, in preceding sections of this manual, we have defined a supervisor's

job as achieving results through others. You get results from others

by planning goals, and organizing tasks and delegating work to others.

The ability to delegate work to others is not merely an important skill

for a supervisor; it is essential.

However, it is often a difficult skill to attain. The mechanics of

delegating are not hard to learn. Failure to delegate is usually a

psychological problem in which the supervisors are afraid to relinquish

their authority or responsibility for a variety of reasons. To effectively

delegate, a supervisor must both learn the steps and sequence of the

delegation process as well as the reasons why delegation need not be

feared.

There are three basic elements in delegation: 1) responsibility for

the work task to be done; 2) authority, that is, the rights and powers

needed to do the work; and 3) accountability or the obligation to do

the work and exercise authority according to established performance

standards.

As soon as a particular plan has received final management approval, you

begin to organize. You decide what work is to be done and start to

divide it among individual employee units. At this point, a fundamental

arises: "Which work responsibilities can or should be delegated?"

C-5

Generally, repetitive or routine work requiring minor decisions within

established policies can be delegated. So can work which requires

single, large chunks of time, such as recurring reports and attendance

at some types of meetings. Work which can train and develop a sub-

ordinate as a back-up for the supervisor is particularly appropriate

for delegation.

On the other hand, some work should never be delegated. That category

includes any work which is specifically or uniquely supervisory, such

as the preparation of or actual performance evaluations. Discipline

is another major responsibility of the supervisor which should never

be passed on. Nor is policy-making responsibility transferable; that

task is the supervisor's and management's alone. Above all, supervisors

should not use their delegating authority to set up subordinates as

sub-supervisors below them with duplicated responsibilities in order

to relieve the supervisors of their duties. There are also some re-

latively minor tasks which supervisors should not delegate. Included

here are tasks which demand little time or tasks which can be accom-

plished without a great deal of effort. Once again, supervisors should

not use their delegation powers as a license to pass on any or all

tedious or routine tasks assigned to their position.

The Problem of Authority

Authority is often more problematic than responsibility. Supervisors

who have no qualms about assigning job responsibilities are often

hesitant to relinquish any real authority.

C-6

When responsibility for a task is delegated, authority commensurate

with the responsibility must also be given. Unless an employee has

sufficient authority to complete the job, she must run back to a

supervisor every time any questions arise. The key is to find the

right balance between delegating too little authority to finish

the task and too much and so losing control.

When delegating authority, try to foresee any questions the sub-

ordinate to whom you are assigning the task might have. You can

then aid the employee in planning and organizing her/his work.

Some possibilities are:

1. What results are expected?

2. To whom can s/he turn for assistance?

3. What orders can s/he issue? To Whom?

4. How much money can be spent without further approval?

S. Ibw much and what kind of materials should be used?

6. Is s/he authorized to hire additional help?

7. What kind of progress reports are expected? How often? How

detailed?

The Element of AccountabilityAuthority would not be so important if supervisors could delegate account-

ability--but they can't. Delegation must not be seen as a process of

abdication. The delegator is not divorced from the responsibility and

authority when it is entrusted to someone else. The delegator remains

obligated for seeing that the work is done both correctly and on time.

C-7

In other words, a supervisor is ultimately dependent on employees to

get the work done in the right quanity and quality, and must therefore

establish evaluations, checkpoints, and deadlines to insure the required

performance.

Responsibility and authority can both be considered as downward flows

going from supervisor to their subordinates. But accountability is

not a flow. No matter to whom the task has been delegated account-

ability remains with the supervisor.

C-8

REASONS SUPERVISORS RESIST DELEGATING

1. Fear of mistakes by subordinates.

2. Fear that subordinates might perform too well and "show up"

the supervisor.

3. Fear of loss of prestige or status.

4. Fear of losing control over an activity.

5. Reluctance to give up activities that the supervisor performs

well and enjoys doing.

6. Misjudgment of time.

7. Lack of planning

1. Fear of mistakes by subordinates. One of the most basic re-

quirements for supervisors is that they be very knowledgeable about

the skills of their staff. If a supervisor is careful to select some-

one with the requisite abilities, then follows-up his choice with proper

training, controls, and checkpoints, there is no reason to fear mis-

takes. Remember also that the job is a learning process; some degree

of error is to be expected. But the magnitude and frequency of error

can be controlled by effective supervision--and that's your job.

2. Fear that subordinates might perform too well and "show up" the

supervisor.

3. Fear of loss of prestige or status. Both these fears indicate

that the supervisor does not understand the nature of her/his job. A

supervisor is judged by the performance of her/his subordinates. When

a worker does the delegated task efficiently and effectively, it in-

dicates that the supervisor is herself/himself doing an efficient and

effective job.

C-9

4. Fear of losing control over an activity. If the supervisor has

planned and organized correctly and set up checkpoints and deadlines,

this fear will be unfounded. Once again, a supervisor who is efficient

and effective will have no need of such fear.

S. Reluctance to give up activities that the supervisor performs well

or enjoys doing. Supervisors should supervise--not perform the task

of subordinates. This problem oftens occurs because supervisors have

been promoted from the ranks of employees, usually that promotion is

based at least in part on their superior performance record. But that

performance is history once a worker becomes a supervisor. The recog-

nition and acceptance of this fact--that the supervisor now manages

people rather than performs tiasks--is mandatory for all supervisors.

6. Misjudgment of time.

7. Lack of planning. These two problems are what this manual is all

about. Supervisors who have these two problems should carefully study

the first three Tabs of this manual and reorganize themselves in order

to eliminate both difficulties.

C-10

SOME DELEGATION TECHNIQUES

1. Assign as many tasks as you safely can.

2. Delegate in terms of objectives and results desired.

Don't be too oriented to specific methods and techniques.

3. Give sufficient authority to complete the tasks.

4. Let others know to whom the task has been delegated.

5. Expect and accept some mistakes.

6. Have sufficient control devices to provide feedback on

performance and progress.

C-I1

MAKING THE DELEGATION

1. Make it person-to-person, in private, and with sufficient

time to clearly cover the assignment.

2. Go over the assignment step-by-step carefully and thoroughly.

Don't assume prior knowledge. Warn of pitfalls.

3. Ask the subordinate for verbal feedback on details to reduce

the potential for a communications breakdown.

4. Give the subordinate opportunity to ask questions.

5. Make it clear that you are available if unexpected questions

or problems occur.

6. Set the stage for success!!!

7. Compliment the subordinate on previous work and transmit

confidence in the way she or he will perform the new

assignment.

C-12

REEPONSTBILITY ANALYSIS

Legend: CodeCodeCodeCode

1-

2-3-4-

Things that only the Unit SuDervisor can do.Things that can be delegated to a manager.Things that can be delegated to a key employee.Delegations that must be approved by Group Supervison

So . Responsibilit-y Code 1.- Code 2 Code 3 Code 14. Comrments

T. __ _ _ __ _ _ 1 ___ 1 I ___ I-___ _ _

C-13

DELEGATION PLANNING WORK SHEET

Dae1aation Code Week of:

4 -- -_ - - - -

RjamninibiitzSw I I= I 1 1 '

C-14

SUPERVI SORS AND OTHER WORK UNITS

One final element in organizing is very important for effective super-

vision. Supervisors must remember that their unit is only one part

of the total organization. If their units thrive at the expense of

others, if they place their success as individuals over the success

of the organization as a whole, they have failed as supervisors. The

name of the game is not "Win as much as you can," but rather "Work as

effectively and efficient toward the goals of your agency or corporation."

In other words, don't forget that each individual work unit affects the

outcome of the whole; remember that the goal is not to "win" over

another work unit supervisor, but to meet the goals of the organization.

Competition among supervisors or work units should not get out of hand.

C-15

SUPERVI SORY CONDUCT

The fullest efficiency of your own department depends, either directly

or indirectly, upon numerous other supervisory members of the organi-

zation. Many members of supervision not only affect you and your work,

but, likewise, are being influenced by you and your performance. To

keep things running smoothly, there must be a great deal of voluntary

cooperation by persons whose jobs are not closely related on the table

of organization.

Practice Tolerance

Consider and accept differences in background, origin, and education.

Respect the Position of Other People In Management

Make it easy for other supervisors to understand you and get along with

you. Make the first friendly advances. Don't wait for other people--

they also may be holding back. Try to understand and appreciate the

significant problems and viewpoints of others in management.

Know the Boundaries of Your Authority

If there are instances of overlapping authority, be sure you have a

well-defined understanding by talking it out with the other supervisor.

When there seems to be a misunderstanding as to the boundaries of your

jurisdiction, discuss the situation thoroughly with the other super-

visor before going to a higher authority with her/him, and never with-

out her/him.

C- 16

Avoid Criticism

Never criticize another supervisor in the presence of employees, or,

for that matter, in the presence of anyone else. Constructive criti-

cism may be misunderstood when offered to anyone but the person in-

volved. Talk with other supervisors, not about them.

Assume Responsibility for Your Actions

Assume your share of blame for difficulties which may involve your

department. Try to catch errors in workmanship, which are not your

responsibility, before you or your group start to work. Be sure to

notify succeeding department supervisors of problems in your area

which will affect them. Never unjustly blame other departments for

unsatisfactory work.

Make Cooperation Easy

All members of the supervisory group are responsible for the success

of the DEPARTMENT. You are, therefore, mutually responsible for each

other, and are dependent on each other. Unless you give your whole-

hearted cooperation, you have no reason to expect cooperation from

other members of management. If another member of the supervisory

group seems antagonistic or hostile to you, cultivate her/his friend-

ship rather than shunning her/him. Build up an attitude of cooper-

ation. Accept suggestions from other supervisors willingly and with

an attitude of appreciation.

Readily admit your mistakes--this is the mark of the strong person and

well-liked leader.

C-17

Exercising Authority

Only with extremely good cause should you exercise authority over

employees other than your own. If you see another supervisor's

employees in the act of not properly observing rules and regulations,

do not interfere with them, but discuss the situation with their

supervisor.

At all times dampen any tendencies you have to display your authority.

Refrain from offensive demonstrations of authority, but be firm and

exercise the authority that goes with your responsibility. A good

supervisor does not drive people, s/he inspires and leads them.

C-18

TYPES OF ORGANIZATIONAL STRUCTURES

The Pyramid

One of the oldest forms of organizational structure is the pyramid.

Strict discipline is essential in this structure in which authority and

responsibility flow from the top down. One example of this structure

is the military in which one person is at the top of the hierarchy with

control over perhaps ten others, who in turn have control over hundreds,

who in turn have control over thousands.

There is little chance for the bottom to exert any influence on the top,

but the structure is very stable. It is also very impersonal and de-

mands absolute adherence to bureaucratic rules. The pyramid is highly

compartmentalized and specialized, authoritarian, rigid and slow to

change. But it was virtually the only model for organizing large num-

bers of people at the beginning of the industrial revolution, and conse-

quently was utilized by many companies.

It was fairly functional as an organizational structure until technolo-

gical advances caused some serious problems. The rigid and ponderous

pyramid hierarchy hindered the application and diffusion of changes to

C- 19

the base of the pyramid where changes were most applicable. Many times

the technological innovations arose from the bottom of the pyramid when

workers on the line developed innovations drawing on their practical

experience. Obviously, a structure that minimized input from the bottom

was inefficient and inappropriate.

The pyramid structure makes it next to impossible to implement changes

quickly; it simply is not fluid enough to cope with that- kind of situa-

tion. The pyramid thus has several major weaknesses: a very bad com-

munications network, an almost total lack of a give-and-take team con-

cept, and a strong tendency to inhibit personal innovation and motiva-

tion.

After The Pyramid

The rapid rate of mechanization and technical improvement that began

in the last century (and has continued relatively unabated) has necessi-

tated rapid modifications in production and management. When the weak-

ness of the pyramid structure was made acutely obvious by the industrial

revolution, new concepts of organization began to develop. One of the

things managers eventually realized was that the structure utilized by

an organization depended on the concept that-organization had of the na-

ture of people, in general, and the nature of organizational and indivi-

dual goals, in particular.

C-20

Traditional theory assumed that individuals would automatically pursue

stated organizational goals as their own when they received rewards

and/or punishments as incentives to achieve those goals. But experience

indicates that individual goals may in fact be opposed to or irrelevant

to organizational goals. Unless organizational goals can be related to

individual goals, they will not be pursued regardless of promised re-

wards or threatened punishments.

This focus on goals has modified the old pyramid top-to-bottom thinking

and brought about a change from the traditional detailed specialization

and compartmentalization. Organizations now realized that individuals

wanted to, 1) know the purpose of their work; 2) preferably have a part

in the decisions affecting their work; and 3) do work with some chal-

lenge. These insights have produced some notable changes in organiza-

tional structure, especially in the concept of control. Instead of

forcing people to follow procedures with the expectation of satisfactory

results, managers have shifted to looking at results first, then design-

ing flexible procedures.

There are a number of ways in which organizations can make more effective

use of employee contributions. Some of these ways emphasize not thinking

of employees as lazy, self-centered, untrustworthy or working only for

the money. These new methods postulate instead that the individual

C-21

employee has dignity, a need for the opportunity for self-development,

and a willingness to contribute to group efforts. Organizations are

adjusting themselves in a number of ways to make possible the expression

of these employee traits. (See Tab D for a more in depth,discussion of

this topic.)

D

D

TAB D

DIRECTING

When supervisors direct, they translate planning and organizing into

activities designed to produce the goals of an organization. The

job of directing the activities of others requires a number of skills.

The most important skill is understanding the nature of people and

their attitudes toward work. Supervisors must understand that em-

ployees have different needs, abilities, drives, and perceptions

which influence their behavior at work.

Not every individual seeks or expects the same rewards or satifaction

from a given work situation. To some, work may only be a way of

gaining money to be devoted to true interests outside the job. Some

may find it very satisfying to achieve an excellent performance on

the job. But many employees fall in between these two extremes.

Even if a supervisor has keen insight into the needs and desires of

employees, that insight will be wasted if it is not accompanied by

sufficient communication skills. Effective supervisors are people

who are able both to understand theix subordinates and to communicate

with them. The fruit of those skills is a motivated worker and high

productivity.

These skills take on special significance when supervisors train new

employees. Once subordinates are oriented, supervisors must assign

tasks to them that match their skills or develop their abilities,

then continue to clarify their responsibilities and encourage them

to improve performance.

D-2

The first part of tab is devoted to an analysis of the factors which

could determine individual on-the-job behavior. The first section,

"Supervisors and Motivation," discusses how individuals' desires and

needs influence their work performance. Maslow's Hierachy of Needs

and Herzberg's Motivation-Hygiene Theory are presented as two useful

tools to examine motivation. This section also includes a list of

actions supervisors can take to increase subordinates' motivation.

In the section, "Human Needs and How the Supervisor Can Help Meet

Them," a chart is presented listing those needs as well as suggested

supervisory action.

"Communication," is the first of three sections directly dealing with

effective communication as an on-the-job prerequisites for supervisors.

These articles first set out general communication principles and

then apply these principles specifically to the supervisors' directing

function.

The remaining five sections in this tab all deal with training,

instructing, and general day-to-day directing. Supervisors will find

these section useful in reducing the break-in period, orienting new

employees, instructing subordinates, and issuing orders.

D-3

SUPERVI S[ ON AND MOTIVATI ON

In this section, we will look at human involvement and interaction at

the work place. In the final analysis, supervision is management of

human resources. All other resources (time, materials, money, etc.)

lie unused until the human element is activated. Thus it is extremely

important to understand the needs and desires of that human element.

Although we are aware of the fact that each person is unique in many

ways, this section will focus on people's similarities in order to

see what people expect from their work.

People are unique because of many reasons--their genes, family, social

or economic backgrounds, health, feelings or emotions, sex, age, re-

ligion, intelligence, and even their outlook on life. When the super-

visor is familiar with the background of individual employees, s/he

has a better chance of understanding why employees do what they do.

Knowing a person's background gives a supervisor insight, making it

easier to work with that person.

Supervisors must know about matters which directly relate to work,

such as education, work experience, past work history, and special

skills or ability. It is sometimes helpful to know about problems in

workers' off-duty time which could affect work performance. As a general

rule of thumb, the supervisor probably should know about anything

which has a direct bearing on the job. If employees do not want to

reveal matters in their private lives, however, even though these may

be affecting job performance, supervisors must respect their right

to privacy. Remember, also, that supervisors may find out things

D-4

that will make it difficult to arrive at decisions about employees--

decisions which are demanded by supervisors' management roles.

Maslow's Hierarchy of Needs

Supervisors need to be aware of the similarities as well as the

differences in people, and need a definition of both in order to

deal effectively with employees. "Maslow's Hierarchy of Needs,"

developed by psychologist Abraham Maslow, is a model of the basic

similiarities among people. The model provides a basis for most

modern approaches to managing people. Maslow postualates that all

people have five basic categories of needs, which he pictured in a

pyramid, as shown on the page following. The first level is physio-

logical, such as the needs For air, food, water, and sex. The second

level, security, comprises the needs for shelter, clothing, and knowing

that the physiological needs will be met to some degree. Social needs,

the third level, include the needs to be accepted, to have a sense of

belonging, of being cared for, and of being loved. The fourth level

are the ego or psychological needs people have: to feel important, to

receive recognition or praise, to have a sense of worth and to be

respected. The last level shows the needs for self-actualization.

People need to achieve something significant, to fulfill as much of

their potential as possible, to feel they are doing what they were

meant to do.

D-5

MA SLOW'S HIERARCHY OF NEEDS

SELF-FULFI LLMENT:

(Self-actualization)

(Self-esteem)

PST IHDLOGI CAL:

(Ego)

(Status)

SOCIAL:

SECURI T Y:

(Safety)

PHYSIOLOGI CAL:

Need to achieve important goals, to expresscreative ideas, to develop for oneself an

important place in a community, society, or

group. Need to fully develop and to use all

of one's capacities and capabilities.

Need for respect, prestige, status, and powerover others. Need to avoid feelings of fail-

ure or inferiority. Need to protect one's ego.

Need to be with other people. Need for others

to understand us. Need for help from others.

Need for affection from others. Need for the

sense of belonging.

Need for security. Need for a safe, stable

environment. Need to obtain objects whichwe need for survival or security.

Need for air, water, food, sex. Need for rest

and sleep. Need to maintain body fluids inbalance and to keep body temperature at optimal

level.

D-6

The model is called a hierachy because that term suggests an upward

movement. People are concerned with satifying the lower needs first.

Once the lower needs are generally fulfilled, people move to the next

level. If a person is worried about having enough food and water, ego

needs are irrelevant. When the physiological needs are satisfied, then

security needs become predominant. However, a person can both progress

and regress on the pyramid.

Every person attempts to satify each of the levels at some point, but

different peopleI'settle for different amounts and degrees of satisfaction.

Once a need has been satisfied, it ceases to motivate; only a "felt"

need motivates. Maslow's hierachy is useful for supervisors because

it indicates why people behave as they do. It provides a tool for

analyzing what employees may be specifically looking for in their jobs,

and suggests what types of things will motivate employees.

Supervisors should not expect all employees to be at the same level

of needs. Nor should they expect that old needs on earlier levels of

the hierachy will become inoperative when someone is generally

functioning on a higher level. Supervisors must always remember not

to assume that people feel the same needs that they --the supervisors--

do or that the things which motivate supervisors will also motivate

others.

D-7

Individuals and Groups

Supervisors should try to understand the dynamics of individuals and

groups in light of Maslow's hierarchy. It is generally presumed

easier to satify the needs in the hierarchy when one is in a group

than when one is alone. A group is only the sum of its individuals;

the needs and objectives of the individuals make the group what it

is. Supervisors should remember that if individuals' needs are

thwarted by an organization's needs, individuals will seek ways to

satisfy their needs themselves.

What happens if an individual feels that the group does not meet

her/his needs? S/he may quit trying or simple leave the group.

S/he may stay in the group to meet certain needs, but seek fulfillment

for others elsewhere. S/he may even try to sabotage the efforts of

the group if the group is working against her/his needs.

An effective supervisor tries to analyze what level of individual

needs are best met by the organization, and what level of needs are

least met. Once a supervisor understands the needs of individuals

in relation to the organization, s/he can begin to know how to motivate

employees.

The Motivation/H-ygiene Theory

Frederick Herzberg, who published the results of his landmark study in

1959, investigated what people wanted from their jobs--what satifies

and motivates them at work. This study has come to be viewed as the

most significant scientific finding in the management field in decades.

D-8

Herzberg's results have been verified by many (over 60) other studies

in the years since its publication.

Herzberg's research, known as the Motivation/Hygiene Theory, (hereafter

MHF) indicates that different factors account for job satisfaction and

job dissatification. Before the MHI, it was assumed that the same

factors in different proportions determined both, for example, if a

person did not make enough money, s/he would be dissatified with her/

his job; if that same person made lots of money, then s/he would be

satisfied with the job.

Herzberg found that when certain factors were not present or were only

slightly present, people were dissatisfied. Yet when these factors,

which Herzberg called "hygiene factors," were present, they supplied

little or no satisfaction. Hygiene factors, or "dissatifiers," in

order of importance, are:

1. company policy and administration;

2. technical supervision;

3. salary and fringe benefits--not the amount but the administration of;

4. interpersonal supervision;

5. working conditions.

If personnel policies are utnfair or arbitrary, employees will be very

dissatisfied. However, if those same policies are good, people will not

be satified or motivated to work better or harder. If fringe benefits

are poor, employees will complain and be dissatisfied. But if they are

good, employees will not get more job satisfaction.

D-9

All these dissatisfiers relate to the environment in which the work is

done, but not to the work itself, hence the name hygiene factors. Just

as good sanitation facilities can prevent people from being sick but

still not make them healthy, so the environment surrounding a job can

make people dissatisfied, but not satified or more motivated. Poor

hygiene results in decreasing productivity; but good hygiene does not

result in increased productivity. Hygiene improvement is temporary.

Improvement in hygiene factors can't be made once and for all. Hygiene

needs to increase continually; if an employee receives a $500 raise

this time, s/he'll expect at least as much next time, if not more.

If employees receive medical benefits this year, they'll expect them

next year, and dental benefits as well.

The other set of factors were called "Motivators" by Herzberg. These

factors motivate people to work harder and more productively--they

give true job satisfaction. The motivators are:

1. achievement,

2. recognition,

3. challenging, interesting work,

4. responsibility, and

S. advancement and growth.

Motivators, naturally, pertain to the task or work which an employee does,

not to the environment in which it is done. When motivators are present,

they provide individuals with a sense of personal worth and growth. In

D-10

HERZBERG' S MOTIVATION-HYGIENE CONCEPT

Motivational Factors:

A. Achievement,

B. Recognition,

C. Work Itself,

D. Responsibility,

E. Advancement,

F. Possibility of Growth.

Hytgiene Factors:

A. Salary or Wages,

B. Fringe Benefits,

C. Working Conditions,

D. Company Policies and Administration,

E.

F.

G.

H.

Job Security,

Supervision,

Status,

Interpersonal Relations with Peers.

D-11

Maslow's terminology, motivators satify the needs of the ego and self-

actualizing levels. Motivators create internal drive, rather than

provide an external kick or push.

These satifying factors are generally applicable to everyone. However,

the specific kind and degree of achievement, recognition, challenge,

responsibility and growth needed to motivate individuals will differ

from one person to another. The factors will also change for an in-

dividual over time. The absence of motivators will cause employees

to put more and more emphasis on the hygiene factors and demand frequent

and larger increases in those areas.

Which of these factors are under supervisors' control? Certainly, super-

visors can make arrangements to make it possible for people to achieve

and can recognize and praise employees for good work. To a certain

degree, supervisors can, through attention to initial staffing assign-

ments, place people in jobs which are challenging to them. Supervisors

can give people responsibility through delegating tasks. In terms of

advancement, supervisors cannot promote employees by themselves, but

can provide growth-producing and learning experiences.

Company policy and administration are generally out of supervisors'

control, but supervisors can make certain not to be arbitrary or unfair

in their application of policy. Technical supervision is definitely a

supervisory responsibility. Salary and fringe benefits are not, but

interpersonal relations and working conditions are within a supervisors'

control.

D-12

Thus higher management is primarily concerned with the hygiene factors,

and supervisors are mostly responsible for motivation factors. Super-

visors must therefore practice job enrichment in order to motivate

employees according to the MHIT. Job enrichment is not simply adding

more work; it is adding more responsible work, more recognition, etc.

Here are some things that supervisors

the motivators involved in those areas

Action

1. Removing some controls but re-taining accountability.

2. Increasing accountability foremployee's own work.

3. Giving a person a complete unitof work.

4. Granting additional authority;job freedom.

5. Introducing new and more diffi-cult tasks.

6. Assigning specific tasks enablingperson to become expert.

:an do to enrich jobs, including

Motivators Involved

a. Responsibility and personalachievement.

b. Responsibility and recognition.

c. Responsibility, achievement andrecognition.

d. Responsibility, achievement andrecognition.

e. Recognition and growth.

f. Responsibi lity, achievement, growthand advancement.

D-13

HUMAN NEEDSWHICH AFFECT THE JOB

I. Physical Needs

Food, clothing, and shelter are

not the only physical needs peo-

ple have. There are a number of

on-the-job physical needs which

the supervisor can help meet.

II. The Need for Friendlinessand Respect

The supervisor should show

friendliness and appreciation to

all employees. The refusal to

accept an employee as a worth-

while person because she turns

in a poor job may cause her/him

to turn in an even poorer job,

since s/he will divert some work

energy into the job of getting

accepted.

HOW THE SUPERVISORCAN HELP MEET THEM

1) Insure that working condi-

tions are as good as possible

(sufficient light, lack of noise,

comfortable temperature, good

ventilation, rest periods, etc.).

2) See that equipment necessary

for employee comfort is in good

order (restrooms, water coolers,

chairs, etc.).

3) Maintain good safety practices

(first aid supplies, fire equip-

ment, no trip spots on floor, etc.).

1) Call employees by first names

when practical.

2) Praise employees for work well

done.

3) Value them as people, not only

as workers.

4) Maintain an atmosphere of ap-

proval; be available to employees

for advice and consultation.

D-14

5) Do not over extend friendli-

ness. Respect the employee's

right to privacy in those aspects

of his life unrelated to the job.

III. The Need to Belong

Ever notice how employees may

refuse to go on coffee breaks

alone? How they like to go in

groups?. Association with other

employees meets needs for be-

longing which a cup of coffee

alone can never do. An order

that employees cannot go on

coffee breaks in groups might

look more efficient, but it

could result in net production

losses. For best work, employ-

ees must think of themselves

1) Make sure employees know each

other.

2) Explain to each employee how

her/his work fits in with the

work of others.

3) Encourage cooperation and mu-

tual help among employees in

their work.

4) Orient new employees to feel

they are part of the group. Use

the "buddy" system.

5) Keep an eye out for the iso-

lated employee.

not only as individuals, but as

members of a group.

IV. The Need to Feel Like Others

When employees feel strange or

are looked upon as "odd balls,"

their production may suffer.

How the supervisor treats an

1) Be consistent in your treat-

ment of employees. When possible,

employees should have similar desk

name-plates, office equipment,

D- 15

employee often determines how

the other employees will treat

that employee.

working hours, privileges, etc.

2) Minimize "odd ball" charac-

teristics in employees and accept

individual differences casually.

3) Tactfully help new employ-

ees learn accepted patterns of

dress, behavior, etc.

4) When employees are embarrassed

by errors, let them know that it

has happened to others, perhaps

yourself.

5) Apply rules equally to all

employees.

V. The Need for Success

Our need for success is usually

affected less by what we accom-

plish than by how others react

to our accomplishments. Super-

visors can help their employees

by letting them know they recog-

nize and appreciate their pro-

gress and effort.

1) Give credit and praise for

work well done; do not take it

for granted that employees rea-

lize you appreciate their efforts.

2) Let employees know not only

how they are doing, but what pro-

gress they are making.

3) Make sure that criteria for

promotional appraisal are fair,

consistent, and known.

D-16

4) Provide the challenge and op-

portunity for every employee to

grow.

5) Check with employees often

enough to keep them from getting

in over their heads.

6) Know your employees well enough

to be able to select tasks at

which the)' can be successful.

VI. The Need for Self-Direction

The need for self-direction is

best met by participation in de-

cision making. The ability to

direct one's self grows with

practice. Therefore, whenever

possible, employees should be

encouraged to use their own ini-

tiative and judgment.

VII. The Need for Self-Expression

Supervisors can increase or de-

crease the number of suggestions

and ideas they get from their

employees by the way they handle

creative effort.

1) In assigning, help employees

feel secure enough to use initia-

tive by pointing out where ini-

tiative may be used.

2) Let employees know you respect

their views. Encourage their

participation in making decisions.

1) Listen to new ideas even if

you feel at the start that they

will not work out.

2) Ask for ideas. Pose problems

for employees to solve.

D- 17

If employees are given credit

for their ideas, they will

channel more of their creative

effort into the job. Otherwise,

they will channel their efforts

elsewhere.

VIII. The Need for Security

Security is a little different

from the other needs. Security

is the result you get when the

other needs have been met.

3) Make sure that employee ideas

reach the desks of those who

might be interested, even if

they do not seem useful in your

situation.

4) Encourage the expression of

constructive criticism.

1) Physical security exists when

one has money in pocket, a home

to go to, clothes to wear, good

working conditions, etc.

2) Social security exists when

one is recognized as a person,

is given affection, and feels im-

portant within his group.

3) Ego security exists when one

feels able to handle whatever

problems may arise, has opportuni-

ties for self-expression, and feels

in charge of his own destiny.

D- 18

COMMUNI CATI ON

Effective communication is absolutely essential in order to be an

effective supervisor. All levels of an organization--employees,

supervisors, and higher managers alike--suffer if there is poor com-

munication.

What is the purpose of an act of communication? The real purpose

is not simply to transmit information, but to elicit meaning. The

term "elicit meaning" is preferred to "transit information" because

it emphasizes that the action of communicating is merely using

various methods in order to get someone else to form the same meaning

in their mind as we have in ours. "Transmit information" suggests

that communication is complete and effective once we have given an-

other person information we want them to have, either verbally or in

writing. Yet only when we have elicited in the other person the same

understanding of the information as we have can we actually say that

the communication is complete and effective.

The act of communicating in only complete when feedback confirms

that the information transferred has elicited the meaning or response

for which the it was transferred. When you say something to another

person, he/she may have heard the words you said, but do they mean the

same exact thing to her/him as those words do to you? Remember,

people always interpret everything they see, hear, or read in terms

of their own background and frame of reference.

D-19

When a communication goes wrong, people often tend to blame the

receiver of the information. In many cases, however, it is at

least as much the fault of the initiator of the communication, be-

cause that person assumed the message meant the same thing to the

receiver as it did to her/him. Feedback is thus a crucial factor

determining the effectiveness of communication. Feedback is not

just listening to the receiver, but listening with enough empathy

to make sure that you, too, understand what the receiver says. Com-

munication is definitely a two-way street.

Listening with empathy does not mean that you must agree with what

someone says, just that you must understand what is being said and

why. Listening with empathy means you try to understand the other

person's point clearly before rushing in with your point or con-

clusion. Listening with empathy requires patience and courage--

patience to hear the other person out, courage to change a position

if the other person is actually right.

In summary, the effective supervisor must be a good communicator.

The purpose of communication is to elicit in another person the meaning

we want her/him to have. The meaning people derive from words depends

on the background and characteristics of each person, so feedback is

essential to insure and complete effective communication. The super-

visor must always remember to listen with empathy.

D-20

EFFECTIVE COMMUNICATION PRINCIPLES

Since you are a supervisor, your prime responsibility is to achieve

results through other people. Your ideas and decisions may be sound,

but they will be effective only if they are transmitted accurately.

Only by accurate transmittal to others can you obtain the desired

action or reaction. Good communication is therefore vital to you as

a supervisor.

Communication involves more than mere words. Your actions, reactions,

and apparent attitudes are also means of communicating. Actually, all

human behavior that results in an exchange of meaning is communication.

Your success as a supervisor will depend on how well you communicate.

Utilizing the following principles will improve your supervising skills

by improving your skill in communicating:

Clarify your ideas before communicating

This is the first step toward effective communication. You must clearly

and thoroughly understand the problem, idea, or message to be communicated

before attempting its transmission. Normally, the more one systematically

analyzes the problem, idea, or message, the clearer it becomes. In your

analyzing, consider the person to whom you wish to communicate.

Determine the purpose of each communication

This can best be accomplished by asking yourself, "What do I really want

to accomplish with this message?" Do you want to obtain information,

present information, initiate action, change another person's perception,

D-21

or present a message to be passed on to others. Try to identify your

main objective and then tailor your approach to serve that specific

objective. Do not attempt to accomplish too much with each communication;

the fewer the objectives, the greater chance you have of successful

communication.

Consider the environment of your communication

Many things other than words convey meaning and intent, and supervisors

must be aware of the total setting in which they communicate. Consider,

for example:

1. Timing. The circumstances involved when you make a decision

or an announcement. In other words, is the time appropriate?

2. Physical setting. The primary consideration here is the needed

privacy. When the situation warrants, can you communicate in

private?

3. Social climate. The social climate of your work relationships

within the company, or within your department, governs the tone

of your communications.

4. Custom and past practice. The degree to which you conform--or

depart from--customs and past practices will partially determine

the effectiveness of your communication.

This is only a partial list; be aware and sensitive of the total setting

in which you communicate. Communication must be adapted to the environment.

D-22

If appropriate, consult with others when planning a communication

Communication often fails because of inadequate planning. Good planning

takes into consideration the goals and attitudes of the recipient and

any others who will be affected by the communication. It is therefore

desireable to obtain the participation of others in planning the communi-

cation or in developing the facts upon which it is based. Usually such

participation will add insight and objectivity to your message. Another

by-product will be the active support given to the communication by the

listeners.

Avoid deceitful overtones

The tone of your voice, your expression, your mannerisms, and your apparent

receptiveness to the responses of others, all influence your audience.

These overtones might affect a listener's reaction more than the basic

content of the message itself. Likewise, your choice of words with fine

shades of meaning and emotion can predetermine the reaction of your

listener.

Convey something of help or value to the recipient

Persons on the job are more responsive to supervisors whose communication

takes their own interests into consideration. Taking into consideration

the others' interests and needs (looking at it from their point of view)

often presents an opportunity to convey something of value or benefit

to them.

D-23

Evaluate your communication effectiveness

You may never know whether your communication was effective if you don't

follow up. Such follow-ups consist of asking questions, encouraging

recipients to express reactions, making personal follow-up contacts, re-

viewing the performance periodically, etc. Always provide feedback on

every important communication so that appropriate action can be taken,

if necessary, to ensure complete understanding.

Communicate for the future as well as for the present

Generally, communications are aimed primarily at meeting the demands of

current situations, but they must be planned with the past in mind so

that they will maintain consistency in the recipient's view. Ibwever, it

is just as important that the conmuunication be consistent with long-range

interests and goals, An example is the necessity of discussing poor

performance with a subordinate. A discussion now, in terms of past

experience and past communication, will discourage more difficult sit-

uations from arising in the future. Postponing disagreeable communication

only makes it more difficult in the long run.

Support your communications with actions

What you do is more persuasive than what you say! If your actions contra-

dict or do not support your messages, your audience is not likely to put

much faith in what you say. Good supervisory practices do a better job

of communicating than your messages. Examples of such practices are

clear assignments of responsibility and authority; just rewards for results;

sound policy enforcement; follow-through on promises.

D-24

Be a good listener--seek to understand as well as to be understood

People sometimes stop listening or observing the unspoken reactions and

attitudes of others who are attempting to communicate with them simply

because they are thinking of what to say next. Listening is one of the

most important and most difficult skills in communication, yet it is the

most neglected. To be a good listener, concentrate on both the explicit

meanings that are being expressed and the implicit meanings--unspoken

words, attitudes, and undertones of the other person--to get the complete

meaning of a message. In other words, listen with a purpose.

The communication process

The foregoing has been a discussion of the basic principles of communicating.

At this time, turn your attention to the actual process used in communi-

cating--the steps to use when sending a message. The five steps in the

process are based on the principles we have just discussed.

1. Clarify the idea in your own mind.

2. Secure participation.

3. Transmit the idea or decision.

4. Motivate others to take desirable action.

5. Evaluate effectiveness.

D-25

HOW TO I MPROVE YOUR COMMUNICATI ON

The following points are useful as guides only if you keep in mind the

fact that you are communicating with people--and people just do not act

according to strict patterns.

1. Be sure of what you want to sa

You cannot make something clear to somebody else unless you

have already outlined it in your own mind.

2. Put things in logical order

If you mix up the important with the unimportant, people will

be confused or lose interest.

3. Draw on your experience with the person to whom you are talking

Stop to think, "How have I communicated with that person before?

What have I learned from my success or failure in the past that

will :ielp me this time?"

S. It is important to arouse interest

People's attention is like money--they will give it to you only

if they expect something worthwhile in return. To get people to

listen, you must motivate them just as you would to get them to

do anything else.

6. Find common ground

If you want people to agree with you, or even hear you out, try

to imagine how they feel about the topic and take their view-

points into account.

D-26

7. Talk to them in their language

We frequent make the mistake of using words with which others

are not familiar, or assuming that others are at home with the

same ideas we are. It is important to tailor your language,

words, and ideas to other people.

8. Emotions mean as much as facts

People think not only with their brains but with their whole

personalities. Fear, anger, suspicion, and other undesirable

emotions may be aroused by what you-consider a simple statement

of fact.

9. Discretion is important

Good communicators do not rebroadcast everything they hear.

People will tell you things you should know only if they are

sure it will not get them into trouble. Before you repeat

something, consider the possible effects.

10. Too much is as bad as too little

Minds are like stomachs--they hold and digest only a certain

amount ati a time. When you have a lot to say, see if it cannot

be broken up into parts. Perhaps the details can be put in

writing for future reference.

11. Watch for responses

The best way to find out if you are really getting through is

to see how other people are reacting. If they look bored, irritated,

confused--or if their replies do not seem to make sense--you need a

change of approach.

D-27

REDUCING TIE BREAK-IN PERIOD

The effective supervisor uses a variety of tools to break in new employ-

ees. The ability to communicate is paramount during the break-in period.

Written information, however, serves best as a supplement aiding the new

employee to learn new tasks. The supervisor cannot ensure that the employ-

ee will completely understand written instructions no matter how lengthy;

the printed page simply cannot answer questions if the directions are not

clear. If you have ever tried to assemble something with only the printed

instructions to help you, then you have probably experienced the frustra-

tion of one-way communication. Your subordinates will learn better by

participating in the process of work tasks and on-the-job explanations

under your supervision.

Reducing new employees' break-in periods contribute to the efficiency

and economy of operations. The following ideas may improve communication

between yourself and new employees in the initial training phase:

1. Show the relevance. Knowing why the task must be done in a

given way and how the job relates to the overall operation

helps the employee learn more readily. Provide sufficient

background and information pertaining to the task; then the

employee does not have to discover the essentials which you

could have easily and quickly clarified yourself.

2. Encourage questions. It is not sufficient to just tell employees.

You will arouse and sustain interest if you encourage questions.

The type of questions asked will indicate just what the employee

does or does not understand.

D-28

3. Follow-through. Check back with the new employees frequently

to determine their progress. Let them do the talking. Permit

them to verbalize their reactions to the new work situation.

Reassure them whenever necessary and help smooth out any trouble

spots through further explanation or demonstrations. If changes

occur, prepare the employees for the change, tell them the reasons

for the change, and give them ample time to adjust.

4. Keep employees encouraged. An understanding attitude is more

conducive to creating an atmosphere for learning than the expecta-

tion of perfection. Be considerate of employees' mistakes in the

learning process. The emphasis should be placed on avoiding making

the same mistake again.

S. Consider individual differences. People differ in the rate at

which they learn. Some learn faster than others. Some learn

with their eyes; some learn better through their ears. Some

require more repetition and patience than others. You must ad-

just your approach to the individual.

6. Provide instructions in writing when aropriate. Through reading,

new employees can gain a better grasp of the subject. They also

can read the materials over repetitively in order to gain a clear-

er understanding.

7. Be suportive. The effective supervisor understands that employ-

ees produce better when they have confidence. Support their

efforts, recognize their proficiency, and encourage their achieve-

ment of self-confidence.

D-29

ORI ENTATI ON OF NEW EMPLOYEE S

The plan of the trainer should fit the objectives of the training, the

trainers personality, the classification of the new employee, and other

major criteria.

A new employee should receive this minimal information (it need not be

followed in strict sequence):

1. the job and its duties, responsibilities, and skill requirements;

2. pay-rates, pay days, schedules, and raises;

3. working hours--start, finish, lunch, rest periods, days off,

holidays;

4. chain of conmand--the supervisory staff;

5. promotional opportunities;

6. performance evaluations and probationary periods;

7. training available;

8. physical facilities--parking, lockers, wash rooms, lunch areas, etc;

9. safety--equipment, first aid, rules;

10. job security;

11. function and organization of the work unit and of the organization;

12. rules governing personnel practices.

In some cases it may be desirable to have printed handouts pertaining to

this information available for new employees on their first day at work.

D-30

GUIDELINE FOR ORDERS AND INSTRUCTIONS

1. Attitude is crucial. Your manner is important, but first consider

the person to whom you are speaking when you are about to give an

order or instruction.

2. Specifically state the results expected.

3. Do not assume that what you have said is understood. . . . Ask

employees to repeat the order or instructions "'the way they under-

stood it."

4. When should you use the "command" approach?

a. If there is no choice due to an emergency situation

b. In situations that require rapid coordination

c. Employees usually recognize the need for your change in approach.

Never use command approach just to show authority.

5. Using the "request" approach

a. A majority of orders should be in the form of requests because

1) Employees are sensitive to commands

2) Willingness to do work is better

b. Request carries the same weight as a direct order

1) Leaves a feeling of freedom of action

2) The adult approach and employees appreciate it.

6. Which employees do not follow instructions correctly? Both the super-

visor and the employees are responsible for the correct implementation

of instructions and orders. The supervisor should make sure that each

employee understands the situation. Employees should tell the super-

visor if they do not completely understand what is expected of them.

D-31

7. What if an employee refuses to follow an order or instruction?

a. Be sure you have understood the employee's refusal and that

the employee understood your request.

b. Be firm, but not angry. Do not make angry threats in front of

the other employees.

c. If the assignment must be carried out immediately, give it to

someone else and take the employee to a location where you can

talk. Keep business going as usual and then settle the problem.

d. Hear the case, then make your decision. If it was a complete

misunderstanding, warn the employee about direct refusals to

perform the work. The employee should always first perform the

assignment, then ask to talk about the problem. If the cir-

cumstances warrant disciplinary action, follow the steps of your

disciplinary procedure. Make sure you make a record of the matter.

8. If the instructions are not carried out properly:

a. Do not correct the work yourself; have it redone by the same person;

b. Give further instruction if employee needs it.

9. When should the instructions or order be in writing?

a. Changes should be in writing if the previously used order or in-

struction was in writing.

b. If order or instruction is lengthy or complex.

c. If there is no opportunity to discuss the order or instruction

in detail.

d. If order or instruction is permanent or in force for a long period

of time.

D-32

10. When should someone else give instructions to your employees? Only

in special cases should you ask someone else to pass orders along to

your people. A supervisor who does not report to you should not be

allowed to go directly to your people with orders and instructions.

11. Cases when people have to be handled differently. Your group of

employees consists of good, average, and poor workers. The people

you supervise have different attitudes, personalities, likes and

dislikes. Instructions must differ if you want to be effective.

12. When giving orders and instructions to a group, remember that more

preparation is needed because of all the differences for which you

must allow. Be very definite about who is to do what.

13. Things to avoid:

a. Giving instructions in an offhand manner.

b. Assuming the worker understands.

c. Giving too many orders.

d. Giving orders that conflict.

e. Taking the easy way and giving too much work to the willing

workers and easing up on the unwilling ones.

f. Confusing orders and instructions with too much detail.

g. Giving orders and instructions in a militant fashion.

D-33

EIGHT PRINCIPLES OF LEARNING

1. Motivation: - Be enthusiastic about the training

- Arouse interest in, curiosity about, the jobs

- Explain the importance of the jobs

- 5how employees how the job fits into the whole

picture

- Show employees how they will benefit by learning

2. Reward and Punishment: - Make it possible for trainees to attain early success

- Tell them when they do well--give sincere praise

- Tell them when they do poorly--correct errors

- Don't give them more than they can master at one time

- Be patient

- Eliminate unpleasant experiences unless they

contribute to the training

3. Readiness or Set: - Put employees at ease

- Reassure them they'll be able to learn

- Make sure you have their attention

- Have enough time for the instruction

- Place them in the correct position

4. Meaningfulness: - Explain reasons why

- Talk their language

- Avoid (or explain meaning of) jargon

- Show them how to apply the training

- Use pictures, models, sketches, if possible

- Explain the purpose of the jobs

D-34

5. Association:

6. Simplicity:

7. Repetition:

8. Feedback:

- Find out what they already know about the jobs

- Relate new material to their past experience

- Tie in new learning with what they have been

taught about the new jobs

- Break material down into units

- Arrange units in logical sequence

- Tell, show, and illustrate one important step

at a time

- Stress each key point

- Emphasize more than once

- Have trainees perform the jobs

- Have trainess explain each key point as they

do the job again

- Encourage trainees to ask questions

- Ask them questions

- Make sure they understand

- Observe performance to assure they have developed

correct work habits

Much of what we have said has been translated into what has been called

"the most famous training tool ever devised"--the four-step method of

instruction. This technique was developed during World War II to help

supervisors increase the quality and quantity of production. Even so

it is simple, it has never been improved and is as valid and useful today

as it ever was.

D-35

THE FOUR-STEP METHOD OF INSTRUCTION

This method of instruction was invented during World War II to provide

rapid, efficient and lasting instruction. It has been used with great

success in numerous and diverse fields ever since.

STEP ONE: PREPARE -- Yourself and the employee for instruction

A. Prepare yourself

- Make out a job instruction sheet with steps and key

points.

- Pick your time, make sure it will be adequate.

- Pick your place and make sure

- it will be available at the time needed;

- supplies and equipment needed will be there.

- Put yourself in the enployee's place, anticipate her/his

questions and be sure you have answers.

B. Prepare the employee

- Put her/him at ease.

- State the job and find out what s/he already knows

about it.

- Explain the "why"

- why the job is important;

- why s/he was picked to learn it.

- Get her/him interested in learning the job and

- make sure s/he wants to learn;

- make sure you have her/his attention.

D-36

STEP TWO: PRESENT -- the operation to the employee

A. Tell, show and, illustrate one important step at a time.

B. Stress each key point.

C. Instruct clearly, completely, and patiently, but no more

than s/he can master at the time.

STEP THREE: PERFORM -- have the employee perform the operation

A. Have her/him do the job. Correct errors on the spot,

build speed later.

B. Have her/him explain each key point to you as s/he doe!

the job again,

C. Make sure s/he understands.

- Ask key questions: "Does it make any difference if.

- Encourage questions from her/him: "What questions d(

have at this point?"

D. Continue until you know s/he knows.

5

9"

you

SFEP FOUR: FOLLOW-UP -- on the employee's progress

A.' Put the employee on his own. Designate to whom s/he goes

for help.

B. Check frequently. Encourage questions and suggestions.

(He might figure out a better way).

C. Taper off extra coaching and close follow-up.

D-37

JOB INSTRUCIION SIHEET

Task Materials, Equipment_

Steps in Doing The Task Key Points

Step: A segment of the task when Key Point: Anything in a step thatsomething happens to might make or break theadvance the work. task, injure the em-

ployee, make the workeasier to do.

U

E

TAB E

CONTROLLING

A major supervisor function is achieving organizational goals by

measuring and correcting employees performance. Supervisors must

develop a system of maintaining control once they have delegated re-

sponsibility or assigned tasks.

A basic control system, as presented in the first section of this

tab, contains two types of controls:

1. performance standards whereby results can be evaluated

in terms of quality and quantity;

2. checkpoints and deadlines by which the job is reveiwed as

each individual part is completed.

Supervisors must be capable of effective and insightful performance

reviews. The next sections, "The Performance Evaluation System,"

"Key Points to Remember in Writing Reviews," "Discussing Performance

Evaluation With Employees," and "Steps in Evaluating Performance,"

provide an introduction to that task. Examples and explanations of

evaluation forms are also included. Forms and other documentation

information are then presented and discussed. We have provided

sample "Reports of Performance Evaluation" for two employees, one

positive, the other indicating a need for improvement.

"The Supervisor and Discipline" introduces the next major supervisory

concern. Recent court decisions have enlarged and specified the

E-2

protection of employees, those unorganized as well as union members,

in discipline and grievance cases. These decisions and their im-

plications for supervisors are discussed in two sections, "Due Pro-

cess Checklist for Supervisors" and "Guidelines for Union Representa-

tion In The Disciplinary Interview."

Should an organization find it necessary to discipline an employee,

the employee may invoke her/his right of appeal. The remainder of

this tab is devoted to the duties and problems which confront super-

visors in such cases.

Supervisors should thoroughly understand the concepts in "Appeals

and Just Cause," and in "Guidelines Used by Arbitrators in Just

Cause Appeals Cases."

E-3

A BASIC CONTROL SYSIEM

What kinds of controls should a supervisor establish? Basically there

are two kinds:

1. Performance Standards whereby results can be evaluated in terms

of quality and quantity.

2. Checkpoints and Deadlines so that the job can be reviewed as the

individual parts are completed.

HDw should controls work? For instance, what would you say about the

supervisor who sets up checkpoints and deadlines and never fails to

follow up by going to the employee and asking him to report on the

status of his work?

This supervisor may well be a competent administrator. His/her

relationship with his/her employees may not, however, be as sound

as it should. Too much obvious"controlling" by the supervisor shows

his/her lack of confidence in the subordinates and "de-motivates" them.

By their very nature, "controls" imply some sort of policing action.

You establish checkpoints or deadlines, and when they arrive you check

up to see whether what was supposed to have been done actually has

been done.

Obviously it's a lot better if your controls are inconspicuous--if your

employees are so eager to keep you informed about what's going on that

they come to you voluntarily. This is the type of atmosphere you should

strive to create--an atmosphere of completely open communication. You

E-4

work at keeping your employees informed and encourage them to "level"

with you about how they think and feel about their work.

The supervisor-employee relationship should be built on:

1. mutual confidence and trust and the desire for achievement; and

2. mutual understanding of organizational goals and objectives.

E-5

THE PERFORMANCE EVALUATION SYSTEM

A Process

Performance evaluation deals with the development, discipline, and appraisal of employees on acontinuous or routine basis. Evaluation of performance is not the simple preparation of a pro-bationary or annual report, but is a continuous process involving the communication of workgoals, giving instructions, assigning work, observing and evaluating work progress, and the ongoingverbal interaction that occurs between supervisors and their subordinates.

A Dialogue

The process should encourage open and honest supervisor-employee relationships and dialoguethat contributes to continuous discussion, coaching, training, and counseling of employees whileimproving the quality and responsiveness of the work force.

A Management Tool

- For understanding individual strengths and weaknesses in performance of duties

- A basis for personnel action.

- A means of.determining training and development needs.

Performance evaluation reports are a summary or confirmation of what the process has revealedabout the varying degrees of success the supervisor has achieved in helping subordinates attaintheir highest potential while making the maximum contribution to the employee's work assign-ments. It is a summary of the more signilficant communications between the supervisor andemployee at a parLicular time, committed to writing to provide a formal record of evaluation.Since the supervisor should discuss an employee's work progress on a routine, continual basis,the formal evaluation is not prepared primarily to inform employees of their current status; butrather, it is a report to management designed to appraise them of employee progress and problems.

Requirements of an Effective System

- Acceptable standards or goals against which to measure performance objectively, notsubjectively.

- Supervisors and managers who have the capability to evaluate performance and thecourage to do a good job.

- Active support of top management advocating reward and recognition of performancecontributing to fulfillment of organization objectives.

- A form on which to report the manner of performance.

General Purpose E-6

To assist employees in increasing the level of their work performance through recognition of theirstrengths and weaknesses on the job. Performance evaluation is the supervisor's judgment andobservation, of how the employee's performance measures up to the requirements of the job.

Informational Purpose

- To let employees know where they stand - what you as a supervisor expect versushow performance measures up to these expectations.

- To let raters evaluate their own skills as a supervisor.

- To provide a record of employee performance.

Motivational Purpose

- To establish closer supervisor-employee relationships. The supervisor must communicateto the employee job requirements, expectations or goals.

- To provide recognition for a job well done.

- To establish plans to solve performance problems.

Developmental Purpose

- To define individual employee training needs.

- To help the employee strengthen present performance and/or prepare for the nexthigher job.

ELEMENTS OF EFFECTIVE PERFORMANCE EVALUATION

The Policy

The formulation of a department-wvide performance evaluation policy is fundamental to the instal-lation of an effective performance evaluation system. To be effective, the policy must reflect manage-ment's careful consideration of the needs and objectives of their particular organization. The purposesin establishing such a policy should be:

I . To inform all staff of the need for and purposes of performance evaluations.

2. To provide guidelines for uniform evaluation practices.

3. To define performance evaluation responsibilities of managers and supervisorsin the organization.

The Rater

The supervisor is primarily responsible for translating the performance evaluation policy and processinto reality. He/she must bring the principles of performance evaluation into play on a daily basis.The supervisor is directly responsible for training employees, developing their potential, and accom-plishing the work of the unit. He/she must define the job and document all pertinent informationrelated to the employee's work performance. In addition, the supervisor must let employees knowhow well they are doing by discussinig their work performance, not only when performance evalua-tions are due but on1 a regular continuous basis.

The Reviewer

The review functioni provides an opportunity for higher level managers to gain valuable insight inltothe superv-isory capabilities of their subordinate managers. A thorouighi examination of performanceevaluations prepared by subordinate maniagers can indicate to what degree they have internalized thephilosophy and intentions of the department's performance evaluation policy. It can provide infor-mation on the supervisor's method of training, counseling, or disciplining employees, and indicatewhether further supervisory training is needed.

E-7

The Employee

Characteristics being measured must be relevant to actual job duties.

To aid in the identification of relevant factors, a clear specification of job standards or goals mustbe developed and agreed upon.

Communication channels between the supervisor and employee must be open; the employee mustbe certain the rater has adequate knowledge of performance and of job-related problems.The employee should have a positive attitude toward the evaluation process.

Tasks and Standards

Fundamental to an effective performance evaluation system is the development of tasks and standards.Employees cannot be held accountable for their performance, nor improve upon it unless they knowwhat they're expected to do and what constitutes acceptable performance of their duties. Supervisorscannot honestly, nor accurately, assess employee work capabilities unless performance standards existfor the positionls that come under their supervision.

Definitions

Tasks -

All positions are composed of one or more tasks. A task is that worker activity which resultsin some identifiable work product (goods or services) and contributes to the achievement ofunit work objectives. These work products can be used directly by a client or consumer, or.an be passed on to another worker for further action.

Tasks are made up of a number of procedures. These procedures are steps taken to accom-plish the task. Procedures are distinct from tasks in that they do not result in an identifiableX ork product.

Performance Standards -

These are statements describing how much, how well, how often, or in what manner theworker must perform to complete a specific task. Standards are expressed in terms ofquantity, quality, or manner of performance.

Sample Tasks and Performance Standards

Perform.ance Standards a.e expressed in terms of:

Quantity

1. How much

2. How many

3. How often

QualityI. Accuracy

2. Physical Appearance of Product

3. Effect desired

-Manner1. Specific method or procedure to be followed

2. Personal requirements

E-8

STEPS IN EVALUATING PERFORMANCE

Evaluating performance is the continuing process of knowing what your

employees are doing and how well they are doing it.

It involves:

I. Determining the requirements

Taking a look at what the job is. If you have a task list or

some other clear-cut definition of the employee's job, your

problems here are minimal. If not, look back over the work

orders, assignment sheets or other records that describe what

the employee was actually supposed to do--what it was that

s/he has been responsible for.

Make sure that the employee knew about these assignments, and

know what you expected in terms of performance.

Again, if you have had standards of performance in effect for

each task, your problems here are minimal. If you have not,

then ask yourself how well you expected the job to be done:

- Is a certain quantity of work required; if so, how much?

- Are there deadlines to meet, speeds to be maintained?

- How accurately or thoroughly must the work be done?

- Must certain methods or procedures be followed?

- What dress, appearance, personal hygiene is necessary?

- How well must the employee be able to get along with others?

Ask yourself if the employee has known about these expectancies

of yours. Have you talked them over with her/him?

E-9

II. Observing and comparing the performance against the requirements

Don't trust your memory alone. Check the facts; remember that we

all tend to see the world differently and to feel differently about

our work.

Are there any summaries of work records, accomplishment reports,

memos?

Can you learn anything from file copies, reports of cases handled, etc?

Do you have any data, any records? Are there any diagrams or notes

in the employee's personnel file?

Now, with a relatively clear picture of performance expected and

performance obtained, you are in a position to make your evaluation.

Remember that the standards of performance you use should relate to

the standards the employee is familiar with.

III. RecordinaIf the performance is above or below what you expected, ask yourself

i

if it appears to be significantly so.

Does it really make any difference? Will such behavior make any

difference in the employee's future? Will it be significant if

continued over a period of time? Does it indicate an upward or

downward trend?

Make a note of any instances of performance which are significantly

above or below the requirements, such as:

E-10

- Work habits which contribute or detract from individual

or group performance.

- Instances which have furthered or hindered production.

- Patterns of behavior which are or may become significant.

- Production which is unmistakably above or below expectations.

IV. Communication

It will do you very little good to evaluate and to record if you

fail to take any action to improve the work.

Now is the time to decide what should be done about these areas of

strength and weakness. Do the "strength areas" indicate capabilities

that ought to be developed even further?

What should be done about the weak points?

Is training, job instruction, or further orientation necessary?

If counseling is indicated, how far should you go?

If you wish to warn the employee, should it be done orally or in

writing? Should you do it or should it be done by your supervisor?

Whatever you decide to do--it will be necessary to talk with the

employee.

The employee must understand what level of performance s/he is

expected to meet; and, if improvement is needed, plans must be made

and a time specified for bringing about the necessary improvement.

E-11

V. Follow-up

If improvement is needed:

- Follow-up plans must be carried out.

- Necessary records must be kept to determine if the employee

has met required level of performance.

- Evaluation must be made within time specified.

E- 12

SOME KEY POINTS TO REMEMBER IN WRITING REVIEWS

1- Remember that two of the objectives of writing performance reviews

are to communicate and document information concerning the employee's

performance for the time period since the last review.

2- Many personnel actions (promotions, demotions transfers, terminations,

pay increases, disciplinary actions, etc.) are based on seniority and

ability as expressed through job performance. Seniority is easily

defined and proven. Job performance, however, is an on-going process

that may change from time to time and is often difficult to define

and prove--particularly after weeks, months, or even years may have

gone by. Effective documentation has become one of the supervisor's

most important duties.

3- The review should be written in such a way as to document and bring

about improvement when the employee's performance has been sub-standard

and improvement is imperative. Be prepared to support statements with

facts.

4- The review should be written in such a way as to document and to

compliment the employee when the performance has been very good or

outstanding.

5- If the employee's performance has been satisfactory, but not much more,

the review should be written in such a way to encourage improvement and

to identify the area where improvement is most wanted.

6- What is documented in the review, good or bad, should never be a sur-

prize to the employee. As a result of day-to-day communication the

employee should have a clear understanding of how he is performing.

E-13

7- Don't wait until review time to discuss a problem with an employee.

Discuss problems before they grow or become habits.

8- There should be consistency between what you write and how you

feel or speak about the employee's performance.

9- Avoid over using the word "you" in criticizing and be sure to use

it in complimenting. In other words, when criticizing, stress what

is wrong and how it is to be improved rather than who is wrong.

10- Avoid hinting or being too subtle in your comments as they may be

misunderstood.

11- Remember, the review should reflect performance over the entire

period--not just the more recent part.

12- Remember, the Personnel Department is a staff department to advise,

consult, and assist both employees and supervisors in solving problems.

13- Remember, to that particular employee which you are reviewing this

review is most important one you have ever written.

14- Maintain reviews on schedule.

E-14

DISCUSSING PERFORMANCE EVALUATION WITH EMPLOYEES

I. Preparation in Advance

A. Think through what you want to accomplish:

- Specifically, what would you like the employee to do

differently as a result of the review discussion:

- What effect will the discussion have on the employee's morale?

- What can you learn about yourself as a supervisor from this

discussion?

- What aspects of her/his performance do you want the employee

to continue doing as s/he now does?

- Will you tell him this?

B. Make sure you have the facts straight:

- Are you clear and specific regarding strengths and weaknesses?

- Do you have any records to back up your points?

- Are your suggestions specific on how to improve as well as where?

C. Consider what you know about the employee:

- Are you familiar with her/his personality and her/his needs?

- Do you know how s/he usually reacts in different situations?

- Can you predict the attitude s/he will bring to the conference?

- How might s/he react to different parts of the evaluation and

to your suggestions?

D. Arrange a time and place for the review discussion:

- What time will least interrupt the employee's work and schedule?

- Is there a place which is private, in which you will not be in-

terrupted?

- Will you have time there to "really talk it out?"

E-15

II. During the Discussion

A. Set an appropriate atmosphere:

- Be relaxed and help the employee to relax.

- Start on a friendly, positive note.

- Avoid becoming defensive or argumentative.

- Keep the discussion problem-centered.

B. Be specific and constructive in your comments:

- Give her/him credit willingly and sincerely for strong points

in her/his performance.

- Tell her/him specifically how s/he needs to improve.

- Discuss weakness in a factual, objective manner, avoiding

personal criticism.

- Avoid comments not related to the work.

- Be prepared to make suggestions but help her/him to make

her/his own, too.

- Keep your goals in mind.

C. Make the discussion a two-way affair:

- Listen for what s/he says and for what is not said.

- Encourage the employee to express'how s/he feels and don't show

disapproval when s/he does.

- Remember you are discussing past performance during the rating

period, not a "grade" or something you "gave" her/him.

- Acknowledge any problems you may have caused the employee

through your own supervisory methods.

- Don't discuss the performance of others.

E-16

D. Arrange for follow-up:

- Make a plan with the employee for correcting her/his weaknesses.

- Set specific objectives and let her/him know how you will help.

- Set a date for further discussion.

- End the meeting on a positive, friendly note.

E-17

DOCUMENTATION

The maintenance of accurate and complete records is an essential part of an

effective disciplinary system. Most agencies require accurate attendance

records. Some form of employee evaluation or performance reports are also

required on a periodic basis. These records form the beginnings of a docu-

mentation system. Copies of bulletins, handbooks and memoranda about rules

and policies should be retained. Communications to employees, unusual be-

havior or performance of employees and interactions of supervisors and em-

ployees regarding performance or behavior should be recorded and maintained.

Such records, or documentation, help the supervisor in evaluating and aiding

the employee. Changes in employee performance which may go unnoticed on a

day-to-day basis may be realized if records are kept. This information is

useful for rewarding improved performance as well as indicating problems.

Documentation of employee behavior should contain all of the significant

elements including:

*Date, time and location of incidents,

*Performance or behavior exhibited by the employee,

*Consequences of that action or behavior on the employee's total workperformance and/or the operations of the unit,

*The response of the supervisor to the employee's action or behavior,*The employee's reaction to the supervisor's attempts to modify behavior.

The availability of these records enables supervisors to refer to specific

behaviors and events when dealing with employees. These records become

essential should an adverse action taken against an employee be appealed.

The documentation and the accounts of any witnesses form the basis of proof

for the agency's actions. For this reason, names of witnesses to an inci-

dent and their signed accounts of the event are required documentation in

some agencies.

E-18

Providing forms for recording unusual employee behavior and performance for

follow-up actions as well as for notices and letters, facilitates the super-

visor's task and ensures management that the necessary and appropriate in-

formation is recorded. The forms must be developed in accord with the spe-

cific system used in the agency and the requirements of any regulatory sys-

tem such as civil service systems or MOUs. Model letters may be devel-

oped where such letters are required for warnings, notice of intent or notice

of disciplinary action.

E-19

DOCUMENTING EMPLOYEE PERFORMANCE

I. Documentation should cover only exceptional performance and should

contain the following elements:

A. Date and time when a particular incident or incidents occurred.

B. The action taken or the behavior exhibited by the employee.

C. The resulting consequences of that action or behavior on the

employee's total work performance and/or the operations of

the work unit and department.

D. The response of the supervisor to the employee action or behavior.

E. The ernployee reaction or response.

II. Documentation is one of the most important skills that supervisors

can learn because of the critical role of justification in almost

all personnel actions he wants to pursue.

A. All new supervisors should be personally trained by their

superior managers to document exceptional performance.

B. During orientation to their new position, they should be

instructed to enter all instances of exceptional performance in

a personal notebook or log.

1. Since a supervisor cannot be expected to recall the exact

details surrounding every specific incident of exceptional

performance of behavior for even one employee over a full

year, he must record each instance when it occurs.

E-20

2. To formalize documentation by preparing a memo calling

employee attention to every incident that occurs, un-

necessarily formalizes the supervisor-employee relation-

ship.

(a) To give employees a memo for each failure to meet

standards and then place it in their personnel file

is more punitive than corrective and smacks of

paternal ism.

(b) Each memo in file drives a wedge of distrust between

the supervisor and the employee, eroding a healthy

working relationship.

(c) Formal written correspondence from supervisor to

employee should be restricted to instructions and

disciplinary actions that are clearly labeled as such.

3. The notebook is an informal management record, used to trig-

ger the memory of supervisors when a personnel action is

imminent; it is also a means of making sure that performance

evaluations or disciplinary actions are valid.

(a) Such records are not to be shared with employees since

they informally document incidents that occur and not

patterns of performance.

(b) Only patterns of performance or behavior should appear

in performance evaluations or should result in formal

disciplinary actions; a review of incidents will only

mislead the employee and make him feel that his per-

formance is better or worse than it really is.

E-21

(c) Whenever employees are concerned or curious about

how well they are performing, the supervisor should

prepare a performance evaluation to allay such anxiety.

4. All entries in the notebook or log are date-actuated in

chronological order, and detail only those incidents of per-

formance that exceed or fall short of minimum job standards.

(a) Employees are afforded some protection from arbitrary

management action because date-actuated entries miti-

gate against "stacking" or faking documentation to

support unfair ratings or disciplinary measures.

(b) Supervisors can review prior entries and are better

prepared to take corrective action when they see a

performance pattern emerge.

C. Informal documentation is extracted from the notebook or log only

when formal disciplinary actions or performance evaluations are

to be prepared.

III. Supervisors' notebooks or logs should be reviewed by superior managers

on a routine, continous basis to ensure that they are documenting ex-

ceptional performance of all employees, in all areas of performance,

and are doing so properly.

A. Review permits superior managers to assess and evaluate the super-

visor's ability to observe employee performance, diffentiate be-

tween levels of performance, confront employees about performance

problems, and take appropriate corrective actions.

E-22

B. Such review also gives the superior manager an opportunity to

train the supervisor and assist him in exercising good judgment

in the handling of personnel.

C. New or problem supervisors should be reviewed at least twice

monthly, gradually levelling off to once every two or three

months as demonstrated improvement occurs.

IV. Superior managers should prepare formal performance evaluations for

new or problem supervisors, using their accumulated documentation and

stated observations or opinions.

A. Supervisors should be trained in how to evaluate their documenta-

tion, select specific examples that contribute to patterns, or-

ganize materials for commentary, draw conclusions, use the proper

format, summarize conclusions on the form, and assign overall ratings.

B. Only after the supervisor has been thoroughly trained and has demon-

strated a clear understanding of performance evaluation principles

should he be given the responsibility of preparing performance

evaluations on his own.

C. Supervisors who fail to perform the evaluation function properly

should undergo part or all of the supervisory training program.

E-23

DOCUMENTATION CHECKLIST

Documentation should contain all the significant elements surrounding an ex-

ceptional incident of employee behavior. When preparing your documentation,

it may be helpful to review the following checklist to ensure completeness

and accuracy.

1. Did you record the documentation promptly, while your memorywas still fresh?

2. Have you indicated the date, time and location of the incident(s)documented?

3. Did you record the action taken.or the behavior exhibited?

4. Did you indicate the person(s) or work products involved?

5. Have you listed the specific performance standards violated or

exceeded?

6. Have you indicated specific rules or regulations violated orsurpassed?

7. Did you record the consequences of the action or behavior on the

employee's total work performance and/or the operation of thework unit?

8. Have you been.objective, recording observations and not impressions?

9. Did you indicate your response to the action or behavior?

10. Did you indicate the employee's reaction to your efforts to modifyhis or her behavior?

E-24

DEPARTMENT

ENIPLOYEE PERFORMANCE LOG

LAST NAME: FIRST NAME

JOB EVALUATION FRMIOTITLE: PERIOD: FROM: TO:

INCIDENTS OF GOOD PERFORMANCE INCIDENTS OF POOR PERFORMANCE

DATE DESCRIPTION DATE j DESCRIPTION

2

E-25

EMPOYE NAME

POSITION

RATE OUTSTANDINGEACH

COMPETENTEACH ~IMPROVEMENT *NEEDED-FACTOR UNSATISFACTORY

Checking items OPTIONALwith deprtiment+ Strong b' Slandord - Week

1. QUANTITYrL0-V o.elAntOonof worPnschedulC]Completion of workt on schedule

2. QUALITYAccuracyNeatness of work produdThoroughness

WelNen expre"ino

3. WORK HABITSQObsereence of working hours

A"eninlencObserveeo of rules end reguloionq

Observence of Sefely EulesComepliance with work instrucions

O Orderlineossi work

El Application to duties

4. PERSONAL RELATIONSO G.Iling along with follow employees

Meeting end hondling the publicPersonal opp*ereece

5. ADAPTABILITYPerformence in new siluolosn

H Performance in emergenciesPerformance with minimum instructions

6. OTHfER

7. SUPERVISORY ABILITYGM S~u

H T ral _41kfto

Ol Dkcph ryaso] eryEloIsdtm.n tpe,btaO Ledrshp

O MiWng declemfIrneo os hportbley

o Appro.dabilityMelntflwnng an elecive sfety pogrn

REPORT OF PERFORMANCE EVALUATION

EMPLOYEE NfMOt nEM NUMSEE STATUS DATE

I ROM TODEPT. Dlv. SUe.. PERIOD

Use COMMENTS space to describe employee's strengths and weak-nesses. Give examples of work well done and plans for improvingperformance.

(Fador retlump of Vu fufedy, Improvement Neede o Ouluteding must bedusitd byiemmeots)

Guide for Performance Evaluations

The following guide for completing performance

evaluation reports has been taken from the

Probation Department's Performance Evaluation

Training Program. It provides basic guidelines

for preparing narrative statements for the seven

major factor areas of performance.

The use or explanation of the items listed under

each factor is optional with each Department.

(Coetise COMMENTS eon ettced shet)

OVER-ALL EVALUATIONsl e Tt- w I s - ve I L .

0000~

LI E]1:

1 El3ElIElL

pvsorsELI LIE]

SIGNATURES OF REPORTING OFFICERStsc" t ;s hosed *a my ehtveties edell,er hsewledoe. It teps"ents ey besl judgment Copy of 'oert g;Ves toeupleyee DATEof the mPlet po'swemnece. Copy of.tpert muiled to euplheRtAT DATE Address DATE

(Th. use of Reviewer OPTIONAL with deportment) tuport d;icussed with employeI ho,. teeieoud this tepe,t.Zit(VEWtlt ByE. DATECEVIEWER ~~~~~~~~DATEsoncur in d Oppe,, ;s report This report he. he* i;scsswd with me.

EMPLOYE *SDEPT. HEAD DATE SIGNATURE DATEfor owtorized representative_

IrArit0vtMUllyHEWED

Cakraltmil OUT31ANUINQ

E-26

Guide for Performance Evaluations

The first paragraph of the performance evaluation should cover primary assignments handled by theindividual employee during the last year's rating period. It should be as specific as possible. Forexaample, it might say, "Mrs. Jones' primary assignment during the past year has been SuipervisingTypist Clerk over ten clerical employees in the Central Area Office. Her job duties involve the fol-lowing:

1. QuLantityAmount of Work Performed and Completion of Work on Schedule

This item should address itself to a statistical review of the individual employee's work performanceduring the past year. The statistical information should relate directly to the individual assignment.

2. Quality

Note: All of the items listed below are described in ideal terms. "Strong" would closely approachthe ideal, i.e., Calendar Clerk clears desk daily. Weak: Rater cites cases in which employee hasmarkedly failed in any of the described areas. Citations should be of sufficient weight and/or num-ber to support substandard rating.

Throughness

Employee is alert to detail. Paperwork is carefully completed. No important questions about thetasks are left unexplored. All necessa-y action is taken.

Written and Oral Expression

Grammnar is correct and appropriate; voc abulary is precise without being "showy", expressionis concise. In written expression, spelling is correct and penmanship legible. In.oral expression,prontunciation is correct and modulated to the situation.

3. Work Habits

Observance of Working Hours These items are "expected" to be starndard: "strong"Attenidance would be near perfect. Perhaps numerical standardObservance of Rules would be appropriate for first two items.

Compliance With Work Instructions

Employee follows written and oral insr.ructions willingly. WX'hen compliance with the rule seemsat odds with the purpose of the rule, he consults his supervisor regarding possible need to de-viate.

Orclerliness in Work

Employee is well organized. Maintains controls, calendars, "tickler" files, and/or such otherdevices as may assist in meeting deadlines and setting priorities. Keeps papers and records ingood order. Plans time.

Appjication to Duties

Employee evidences pride in %workmanship; shows concern for providing best service possible.Sets fuill schedule and adheres Eo it.

E-27

4. Personal Relations

In general this factor deals with the employee's ability to relate with and communicate witlother people. Strong performance would clearly indicate an ability to establish meaningfulrelationships even under the mpst difficult situations. The narrative should describe the de-gree to which the employee possesses the social skill necessary to carry out this work assign-ment.

Getting Along With Fellow Emplovees

The judgment in this item should be made in light of the employee's ability to establish effectiveinterpersonal relationships with his peers. On the positive side an employee who is admired bypeers for his ability to form mature relationsliips and for his effectiveness in interpersonal relation-ships and who can maintain a cooperative and accepting attitude even in the most difficult situa-tions should be regarded as a strong emplovee. This candidate would also consistently demonistratesensitivity to rights and wellbeing of his fellow employees. Examples of such behavior and actionswould include welcoming and assisting new employees' a willingness to go out of his way to helpothers: the consistent use of tact and courtesy. In general. an individual who is a source of con-flict in peer relationships; allows jealousies to influence relationships with peers; rejects peers and /or does not communicate effectively in interpersonal relationships would be regarded as weak inthis item.

Meeting and Handling the Public

In general the guidelines outlined for peer relationships would also be applicable in this item.That again would be the ability to establish effective and mature interpersonal relationships.

Personal Appearance

This evaluation should center around the employee's personal appearance as it relates to ad-vancing the image of the Department and his own status. This item is clearly broken downinto tw-o major elemenlts - - grooming (which in essence is being neat and cleani) and dress.Under dress consideration should be given to occurances of extremes in dress and appearance.

5. AdaPtabirity

This factor should address itself to the resourcefulness, creativity and acceptance of respon-sibility demonstrated by the candidate. Added weight and consideration should be given tothe employee's performance when these qualities are demonstrated in new or emergent situa-tions.

Performance In New Situations

This item should center around the ability of the employee to perform in a new situation. Forexample, if an individual transfers from one unit, section, or division, to another during therating period, the degree to which he is successful or unsuccessful should be evaluated. An in-dividual would be considered strong who can adjust to this new assignment with minimum conI-flict and difficulty.

Performance In Emeroencies

In this item the employee's ability to demonstrate flexibility, personal calm and control, decisive-ness under pressure, extreme deadlines, or unusual request should be rated. An effective andefficient handling of a crisis situation would call for a stronig positive consideration.

E-28

The degree of the emergency may, however, vary from a minor situation such as handling an upsetclient to the more critical emergency such as handling the caseload while the area is experiencinga major demonstration or a riot.

Performance With Minimum Instructions

In general, this item should address itself to the employee's ability to demonstrate resourcefulnessto act independently and to carry out his work assignment without the need of the close super-vision.

6. Other

In this factor area the rater should cover the employees activities in outside organizations that arejob related. It should also include his attendance at job related conferences and his involvment inprofessional committee assignments. The candidate's activities in the community or school relatedfunctions should also be noted.

In this factor the candidate's enrollment and completion of outside educational programs and anysigniiicant job related contributions (suggestion awards) should also be recordt.d.

Affirmative Action

The Board of Supervisors in September. 1969, adopted an affirmative action policy which is statedin Article 100 of the Administrative Code.

Thiis policy defines the responsibility of every appointing power within the County governmentstructure to ensure that there is no discrimination in the initial appointment or further pro-motion of individuals because of race, color, religion, sex, national origin, age and/or handicap.

The goals established by this policy are to eliminate all artificial barriers to employment and to havea wvork force that is balanced for all ethnic minorities and women based on their representation inthe County population and their availability.

This section of the Performance Evaluation should be devoted to the supervisor or manager's com-pliance with affirmative action goals and timetables. For example: Does the supervisor or managerhave a plan for acheiving a balanced work force? Has the plan been implemented? What measurableprogress has been observed?

7. Supervisory Ability

Planning And Assionino

Planniing and assigning should relate to coordiniating work flow and staff development. Tiie employeeis aware of trends, anticipates rises of work flow, vacations, controls overtime, etc.

Training and Instructions

This item relates to training and instructing immediate staff as well as training and instructing insideand outside the department. Appraisals by results will measure the training of one's own staff.Instructing reflects the ability to show and teach staff the proper procedures. Clear and conciseexplanations of directive, manual changes, etc., are involved in instructing. Often supervisors serveas tutors to less experienced einployees and evaluations should reflect this.

E-29

Disciplinary Control

Disciplinary control should address areas of discipline of the supervisor's subordinates. Both pre-veentive and corrective actions relate to discipline. Procedures, grams, disciplinary letters, etc.,will support this evaluation and should be the basis for qualitative measurement. How well thesupervisor can internalize departmental rules and regulations when he communicates to staff willaffect the quality of his disciplinary control. The degree to which the supervisor is comfortablein confronting, his ability to keep personal differences in proper perspective is the qualitativemeasuires.

Evaluatiiis Performance

Evaluating performance would be assessed as to quality (writing skills, comprehensiveness, objec-tivity and format) as well as quantity (completion on schedule.) Good evaluations should: (1)evaluate work accurately, (2) recognize good work (3) report on weak areas, (4) help employeeimprove and (5) determine future training needs and future goals.

Evaluations should be well substantiated with thorough documentation.

Leadership

While this is difficult to define, one should assess the emplo.yee's ability and effectiveness as the"uiding head." The higher the employee's classification the more important this item becomes.All statistics should be a clue to this factor. Qualitatively, the best definition of the term "charisma"is a good measure. Good leadership includes ability to deal with pressure and frustrations andremain unruffled. A good leader has the ability to develop a cohesive force around office andorganizational goals. Leaders have the ability to "bring" people along rather than "push" peoplealong. The good leaders communicate a sense of personal security and self-confidence.

MIaking Decisions

This term is clear. However, quantity should reflect the timeliness of the decision and qualityshould assess the decision maker's goal (in making the decision) and whether or not the de-cision achieved its goal. Good decision makers are able to delegate. Good decisions are prop-erly within one's role and level of responsibility. Good decision makers must have a willing-ness to modify his views when confronted with new information. His decisions are based onfacts rather than ego.

Fairness and Impartiality

Is the overall department goal the basis for supervisory interaction or do personal concernscreep in? A good supervisor is aware of his own biases and prejudices and has the ability tocope with the control of them.

Approachability

Is the supervisor available and open to subordiante's concern which are personal (to a limit)and professional (without limit)? The concept of approachability includes higher adminis-tration's assessment of the supervisor's receptivity.

MlaintainingAn Effective Safety ProgramThis item is important physically. Safety should be assessed on the psychological impact onstaff as well.

E-30

Blue Print For Improvement - Future Goals

Evaluations should include a blue print for improvement when appropriate. In addition, allevaluiations should assess and define significant goals for the subsequent evaluation period.Less confusion will occur when the goals are measureable. However, sensitive raters shouldalso include qualitative goals which by definition resist measurability.

Note:

Information on many areas in the performance evaluation as currently organized are not readilyavailable to the rater. It then becomes incumbent upon the employee to provide the rater withinformation which is important to his performance. This is important where physical and/orpsychological proximity prevents the rater from having comprehensive knowledge of the em-ployee.

E-31

TEMPLAR, MaEMPLOYEE NAME

Intermediate TyDiPOSITION

RATE OUTSTANDINGEACH COMPETENTEACH IMPROVEMENT NEEDEDFACTOR UNSATISFACTORY-

2hecking items OPTIONALviih departmentI. Strong i* Standard - Weak

l. QUANTITY_ B Amount of work performed93 Completion of work on schedule

2. QUALITYilAccurocyNeatness of work productThoroughnessOral expression

Written expression

3. WORK HABITSObservonce of working hoursAttendance

Observance of rules and regulationsuos%ff fr

E Complionce with work instructions

I Orderliness in work

f+ Application to duties

4. PJRSONAL RELATIONS3 Getting along with fellow employees

Meeting ond handling the publicPersonol oppearance

5. ADAPTABILITY6 Performance in new situations

[ Performance with minimum instructions

6. OTHER

7. SUPERVISORY ABILITYPlanning and aasigning

2 Training and InstructingDiociplinary control

2 Evaluating performanceLeadership

E Makdng decisions

FoIrness and ImpartialityApproachability

Maintaining an *ffedive safety program

E±vJL

DDLL

(only for 1 Lii Iopervisors) FI I~ I~ I

REPORT OF PERFORMANCE EVALUATIONry 059209 2214A P 3/6/76

EMaPLOvEEE Nlt.WSER lAt NS,imo STnlUSDATR

st Clerk 902 -.A 3/17/75 To 3/16/76DEPT DIV SUB

rarm - . -.f- - - -f - IOPERIOD

Use COMMENTS space to describe employee's strengths and weak-nesses. Give examples of work well done and plans for improvingperformance.

(Factor ratings of Unsisfoadory, Improvement Neded or Outstanding must besubstontiated by comments.)

(See Attached)

(Continue COMMENTS on attached shoot)

OVER-ALL EVALUATIONIIUCATICFAeTnSV I*UDtUOVACNT CessETSEu.T I

NEEDED

xl

LI

SIGNATURES OF REPORTING OFFICERS ( 4 4 Zt'47/ 3/5/76This orte osdonb obserotion and or kno1*d9e. It,a ptesents mybcrstiudgmnre toDmpIE3o6

th. ox;erme7g DATE 3/1/76 Copy reporf moiled to employeeRATER ~". DATEAddress DATE

use, of ti.7OPTIONAL with deportmentl Repo t is ffiith mplho-encn*nti epport 3/3/76 ay !IoI DATE-3L5L7*

REVIEWER DATE 3/3/76__________3/5/76, ^ ~~~~~~~~~~~~~~~Thisreport has been discussed with ne~comcur in and epptIh report s o

/s uth me_

DEPT HEAD ( '44( DATE 3/5/76 SIG U 4 / EDATE 3/5/76(or outhorized representative)

I

E-32

REPORT OF PERFORMANCE EVALUATIONPage 2

NAME: TEMPLAR, Mary

TITLE: Intermediate Typist Clerk

COMMENTS

During this rating period, Miss Templar was assigned to theProduction Information project staff through August 15, 1975,and then to Skills Development Section for the balance of therating year. Since I am familiar with the views of her pre-vious supervisors concerning her performance, and those viewswill be incorporated into this report, my comments will dealwith her actual job performance during the last seven months.

Miss Templar has assumed greater responsibilities in the Divi-sion than other Intermediate Typist Clerks assigned sectionalduties, in that she also performs as divisional receptionist.In addition, for the past several weeks, due to a v&cancy inthe divisional secretary position, she has been pressed intoservice to type the Division Chief's work. These additionalassignments have not been given to Mary because she has areduced typing load in her present sectional assignment because,in fact, Skills Development Section has greater and more diversework demands than the other two Sections. She was given addedduties because of her typing speed (70 to 80 words a minute),her accuracy (fewer than two correctable errors per page), andher ability to coordinate her work activities without any unduestrain or loss of production continuity.

Above and beyond the norra-al job requirements for her position,Mary has great natural artistic ability. On numerous occasions,analysts in the Section have taken advantage of her talent andhave asked her to prepare Vorms, charts, cover designs and hand-outs. She has cheerfull-y complied with such requests and hasthereby increased her value to Section staff.

A review of Miss Templar's performance in the applicable ratingfactors shows the following work characteristics:

QUANTITY OF WORK

Mary willingly accepts and performs all work that is assignedto her. She is able to establish typing priorities and isable to avoid bottlenecks which can limit the effectivenessof a typist. She can also transcribe from tape without anymeasurable loss of typing speed and can take shorthand whichshe transcribes faithfully into a finished typing product.

E-33

REPORT OF PERFORMANCE EVALUATIONPage 3

NAME: TEMPLAR, Mary

TITLE: Intermediate Typist Clerk

As mentioned earlier in this report, Mary types remarkably fastconsidering her position level, and despite her receptionistduties, completes more work than other typists in the Division.She repeatedly exceeds expectations for completion of work bybeating most of the target times established for her assignments.She is very responsive and attempts to anticipate questions orproblems before committing herself to work activity that couldconceivably negate or reduce the usefulness of a final product.

QUALITY OF WORK

All of Miss Templar's work products fall within a range ofacceptable to outstanding. At no time during this ratingperiod has she completed a final typewritten page with morethan two corrected errors and eeturned it to an analyst as afinal product. She always proofreads her work and it is arare occasion when any typing errors survive her review.

The most striking attribute of Mary's performance is the com-plete service she provides analyst staff. She doesn't guesswhen she suspects an error, but will instead consult style orspelling guides and go back to the- analyst for clarificationwhen required. She always checks with the appropriate staffto determine the number of copies needed and the distributionof materials before she begins typing. She provides all ofthese services without any fanfare and schedules her effortsso that there is minimum disruption of office routine oranalyst time.

WORK HABITS

As is true with all clerical staff in the Division, Miss Templaris a very reliable employee who is seldom absent from work andexhibits no pattern of tardiness or extended free time. Whenabsent due to illness she notifies her supervisor or his sub-stitute as soon after the start of business as practicable.She also gives sufficient notice of scheduled medical visitsor planned vacation time. She makes appropriate use ofemployee benefits and observes all rules and regulations.

Mary always complies with work instructions and, in addition,demonstrates initiative and resourcefulness in trying to anti-cipate requirements or desires not fully verbalized. She doesnot need to be told the same things two or three times, butinternalizes procedures or practices so that she can focusattention on new or needed corollary services to analyst staff.

E-34

REPORT OF PERFORMANCE EVALUATIONPage 4

NAME: TETMIPLAR, Mary

TITLF: Intermediate Typist Clerk

She applies herself well to assigned duties and minimizeseffort spent on non-productive or peripheral activities.

PERSONAL RELATIONS AND ADAPTABILITY

There is no doubt that Miss Templar is one of the best likedemployees in the Division. She has a pleasing personality,is cooperative and does not gossip or talk maliciously aboutany of her co-workers. In the past, she has always side-steppedcontroversial intrigue and has avoided aligning herself withany quarreling office factions. Although the time for suchproblems has long past, I am confident that should such situa-tions reoccur in the future, she would remain steadfastl.yneutral.

Mary handles her receptionist duties with adroitness and com-petence never before exhibited in my five year associationwith the Division. Wknat used to be a recurring trouble-sportin divisional operations is now virtually problem-free. Maryis able to field telephone callers and handle divisional guestswith consumar skill.

As expressed elsewhere in this report, Mary demonstrates theability to perform a large number of varied activities. Inaddition to those mentioned earlier, she serves as back-up toour Special Producticn Clerk. She performs well in new situa-t.ons and performs her work activities with little or nodirection.

SUNTARY

According to any test or means of measuring performance proficiency,Mary Templar is an outstanding Intermediate TYpist Clerk. Her skillsand personal development are as polished or as refined as one canexpect at her level in the clerical series. She is a genuine assetto our Section and to the Division.

E-35

John WinstoEMPLOYEE NAME

REPORT OF PERFORMANCE EVALUATIONin 0004.59 1591A P 1-3-76

EMPLOYEE NUMBER ITEM NUMBER STATUS DATE

iecialist 904-20-5 FROM 5-12-75 To 1-9-76

Checking i,err OPTIONALvth depcr-ent+ Strong V' Standard - Weak

1. QUANTITYg Amount of work performedEJ Completion of work on schedule

]1EUIII

]LM E]3011A 0

-1 00m :

MlIooEI

2. QUALITY [Accuracy

2 Neatness of work producti Thoroyghness

Oral expressionWritten expression

3. WORK HABITS [0 Observance of working hoursE Attendance

Observance of rules and regulotionsO Q6be.eweneo-4atfeIvxot.e3 Complionce with work instructions

Orderliness in workApplicot;on to diu!;es

4. PERSONAL RELATIONS [i Gett;ng along with fellow employees

Meeting and handl;ng Ihe publicPersonal oppeoarnce

5. ADAPTABILITY [El Performence in new situationsEO P nnavme nev niyEP Performonce with minisnum instructions

6. OTHER [Affirmative Action

7. SUPERVISORY ABILITY (only for [E Planning and assigning supervisors)

Training and instrwtingQ Disclpltnory control3 Evaluating perfornmnce

Leadershipe Making docisions

Fotrness ond inmporftiltyU Approachability

Meniiwaa .. e

SIGNATURES OF REPORTING OFFICERSTn.s -Dst is bosed on my ebskrvation ondor knosiedde. It represents my best jrestenet

the r-mptoee'sperr.reunceo.,

Use COMMENTS space to describe employee's strengths ond weak-nesses. Give examples of work well done and plans for improvingperformance.

(Foctor ratings of Unsatisfactory, Improvemenl oeeded or Outstanding must besubstantiated by comments.)

(sEE ATTACHMENT)

(Continue COMMENTS en eatcshed shewtt

OVER-ALL EVALUATIONUNSATISFACTORY I IMPROVEMENT COMPETENT I OUTSTANDING

NEEDED

X IJ

1.

DATEConur in end appfove th s repor.

DEPT HDEAD csC1 TELojfhor0z.d rpreseen#olaGl L

FtRI00 ,I

-

E-36

PLAN FOR INDIVIDUAL IMPROVEMENT

Name of Employee John Winston Employee Number 000459

Position Title Senior Management Specialist Department 904

Effective Date of Plan January 8. 1976 Termination Date of Plan July 7, 1976

The following six-month Plan for Improvement has been prepared to assist you in raising your perfornance to a competentlevel. I have indicated specific areas in which you are to improve and whaL I will do to he!p youi.

1. GOALS (Goals should be specific. Where possible they should be quantified, e.g., "Absenteeism wvill not exvceedsix days during this roting period" or "Corrected typing errors will not exceed the established standard of twto perpage." Generally, a minimum of two goals should accompany each Factor rating of Improvement .eeded orUnsatisfactory.)

Quantity of Work

You will increase the quantity of your unit's completed workto an acceptable level by:

Accepting and initiating immediate action on all assign-ments given to you within the standard of three workingdays, unless specifically instructed to do otherwise.

Providing your subordinates with sufficient assistanceand follow-up on assignments to assure satisfactory com-pletion on or before the agreed target date.

Establishing and maintaining priorities for your unitand each assignment received.

Establishing and maintaining work controls which providefor review and follow-up on all assignments on a regularbasis. (continued on attached sheet)

I1. SUPERVISORY PLANS (State specifically what you, the supervisor, plan to do to help the employee achievegoals of the Plan. Where possible they should be quantified, e.g., "I will meet with you every Tuesday in myoffice at 8:30.a.m. to discuss your progress In achieving goals Qf this Plan.")

All major assignments will be given to you in writing. Iwill meet with you on every Tuesday at 8:30 a.m. to discussand clarify your progress on (1) all assignments and (2)each goal in the Plan.

E-37

PLAN FOR INDIVIDUAL IMPROVEMENTPage 2

Ill. ENIPLOYEE PLANS (After the supenrisor has thoroughly discussed with the employee the Improvement Neededperformance evaluation, goals of the Plan and supervisory plans, the employee can obtain maximum benefit byspecifying how hel/she intends to meet the goals of the Plan. The employee can do this alone or with theassistance of the supervisor.)

I have read and agree with the goals specified in the Plan forImprovement. I will increase the quantity of work completed inmy unit to an acceptable level by:

Establishing and maintaining priorities and controls on allassignments received and ptovide subordinates with immediatefeedback on 'work performed.

I will improve the quality of my unit's completed work by:

Ensuring that subordinates thoroughly research alternativesolultion s to pro j ects,

sV.FOLLOl-UTiACTIONs(continued on attached sheet)

IV. FO)LLOW'-UP ACTION

You are expected to achieve and maintain competent performance in those weak areas of performanceenumerated in your Improvement Needed performance evaluation. You will be rated competent within thesix-month period when your supervisor and management agree that you are meeting the goals of the Plan.

However, if at any time during this six-month Plan for Improv'ement you fail to denmonstrate continuous progressin achieving goals, this Plan wIll be terminated, you will be rated Unsatisfactory and

Reduced to the position of OR Discharged

Junior Management Specialist

DX This Plan has been discussed with the employee.

Although the employee refused to sign, he/she will be expected to achieve the goals of the Planwhich are considered to be fair and reasonable by the supervisor and management.

Employee Supervisor

Date January 3, 1976 Date Januarry 3. 1976

Reviewer`/ /,4id' (' ?-6 &4i '?&?L

Date January 3, 1976

Attach original to Performance Evaluation and mail to the Employee Development Division, Department of Personnel.Copies to: Employee; Supervisor; Employee's Personnel File.

E-38

John WinstonPLAN FOR INDIVIDUAL IMPROVEMENT

I. Goals (continued)

QltyfWork

You will improve the quality of your unit's completed work toreduce the amount of input from me by:

Discussing and establishing objectives for assignmentswith subordinates before beginning work on them.

Requiring subordinates to determine alternative solutionsto problems and select the best solution to satisfyproject objectives.

Work Habits

You will improve your work habits by not exceeding the attendancestandard of one sick day per month during the-rating period.

Supervisory Ability

You will be expected-to develop and maintain a eupervi.sorystyle which will maximize the development of staff by:

Becoming more involved in your unit's activities and dele-gating fewer responsibilities upward.

Performing all of your supervisory duties.

Regularly reviewing tasks and standards with subordinatesto assure understanding of job duties and standards.

Interacting more closely with subordinates to increaseearly detection of training and coaching needs and per-formance problems.

Recognizing and taking immediate corrective action toresolve subordinate's performance problems.

III. Employee Plans (continued)

I will alter my supervisory style to increase the developmentof staff by:

Performing all my supervisory duties and thereby reduce thenecessity of subordinates having to seek guidance from othermanagement staff.

Ensuring that close interaction with subordinates producespositive results which include early detection of trainingneeds, performance problems and clarification of job dutiesand standards.

During this rating period I will not exceed the attendancestandard of one sick day per month. I will also adhere toestablished working hours.

E-39

THE SUPERVISOR AND DISCIPLINE

Supervisors assume the most important role in the disciplinary process.

They represent management to employees and must communicate, interpret

and enforce policy. Their perception of discipline can either expedite

its implementation or impede its progress from the very start. To a

very large extent, it is the actions of supervisors that determine the

actions of employees.-- whether they accept and internalize the program

or fight it.

Strong leadership and good supervisory practices create the good

discipline that reduces the need for disciplinary action. Supervisors

must understand all agency policies and be able to interpret them

intelligently to employees. They must know "what is going on"--

the individual work performance of each employee--and competently

E-40

plan and organize their work. They must set a good example by their own

attitudes toward the agency and the employees which will be reflected

in the employees' attitude and work.

It cannot be over-emphasized that supervisors must take a progressive,

constructive attitude toward discipline. Discipline is a positive, not

punitive, concept. Consider how complicated and counterproductive super-

vision will be when compliance only stems from fear of punishment; planning

must be detailed and perfect; little help can be expected from subordinates

in correcting mistakes in a punitive atmosphere. Orders must be precise,

for employees will always go "by the book" and only do -exactly what

is specifically required of them. Employees will not undertake assign-

ments on their own and will only begin after direct instructions.

Relying on the punitive approach only increases the workload of super-

visors and the potential for operational mistakes. From a purely

practical standpoint, the interests of supervisors and employees alike

are best served by a positive approach to discipline. The underlying

principle should be to encourage employees to control their behavior

themselves.

Disciplinary actions which are retributive are almost always considered

unfair by employees. Actions intended to ensure a universally high

standard of performance, however, are likely to be accepted as fair and

appropriate. When supervisors encourage employee self-discipline,

E-41

employees develop greater initiative, realizing that the primary

responsibility for their behavior is their own. Self-discipline re-

inforces the personal self-respect of employees and contributes to the

stability and maturity of the work unit.

Supervisors should recognize that positive discipline is an element of

management's employee development program, providing a means to increase

the skills and productivity of the work force. Implicit in this con-

ception of discipline is the belief that, under most circumstances,

employees can be relied upon to comply with rules when their reasons

are understood. Enforcement of accepted rules and expected behavior

will often be carried out by the work force itself. Disciplinary actions

will only be required in a few cases.

Thus the supervisors have immense responsibilities in the discipline

process for which they must be adequately trained. It is also impera-

tive that their authority be well-defined.

Supervisors should attempt to discipline employees without creating resent-

ment or impairing their roles as a source of help. Some general rules

which help insure employee acceptance of discipline are:

1. Give advance warning that a given offense will lead to a

specific amount of discipline. Rules and the manner ofenforcement must be known in advance.

E-42

2. Discipline immediately. When the violation is followed

immediately by disciplinary action, the offender will

associate the action with the offense rather than the

person imposing the action.

3. Be consistent. Discipline which is consistent sets the

the limits for permissible behavior. Inconsistency

inevitably leads to confusion. Consistent disciplinedoes not require that penalties be determined without

noting the background of each person. The common

practice is to be more lenient with the first-time

offenders.

4. Be objective and quiet. Emotional clashes endangerfuture relationships with employees. Make it clear

that it is assumed that employees will not repeat

offenses and that the incidents will be forgotten.

Once a decision is made to take disciplinary action, it must be handled

with care to ensure that any action will stand up to judicial scrutiny.

Disciplinary actions are often overturned by the courts because there

was either insufficient documentation to support the action procedures

or technicalities were overlooked, or because the agency was unable

to refute counterpoints made by employees. Consider the following

points when making a disciplinary case:

E-43

Know Your Responsibility

Besides the requirements established through departmentalpolicies and practices, what obligations are containedin appropriate Memoranda of Understanding? What legitimatecourses of appeal do employees have? What is required ofthe supervisor? Know the usual or standard penalties fordifferent infractions and how to apply them step by step.Be aware of how other disciplinary cases were handled bymanagement and employees, and of the outcome. What pitfallsshould be avoided?

Make An Outline Of The Case

Prepare a list of those things known about the case. Arethey verified facts, personal observations, hearsay? Whatadditional information is needed to thoroughly supportthe case? Can rumors or hearsay be verified?

Discuss The Problem With The Employee

Meet with the employee in a location which ensures theprivacy of the conversation. Indicate the nature ofthe problem and obtain his account of the incident.Listen to his story without interruption or argumentand record the significant points. Make him aware ofany discrepancies which may exist between knowninformation and his account. Evaluate any reasons thathe may offer concerning the cause of the problems.Does he blame fellow workers, management, lack of train-ing, equipment, etc.? Determine whether these reasonsare valid and if they should affect the final decisionregarding discipline.

Interview Other Employees

If discrepancies in the case still exist, meet with otheremployees to obtain additional information. Were therewitnesses to the infraction? If more than one, are theiraccounts similar? Gather as much data as possible beforemaking a recommendation.

E-44

Consolidate The Case

From the information obtained, make a list of allundisputed facts. If these alone fully support theproposed action, nothing else may be required. Morefrequently, however, it will be necessary to evaluateinformation under contention. When disputed informationis used to support a case, mention the existence of thediscrepancies and the reasons which lead to a decisionto use this data. On the basis of this process, recomn-mend a proposed course of action.

Re-evaluate The Case

Once the case has been developed, subject it to therigorous scrutiny that can be anticipated from aunion representative. Is the action susceptibleto charges of bias, discrimination, favoritism, etc.?Is the case strong enough to withstand criticalreview by an impartial third party?

Supervisors should work closely with the Personnel Officer throughout

the entire process to ensure compliance with all appropriate rules and

procedures. These guidelines will not make the requirement to take

disciplinary action pleasant. They will, however, considerably reduce

the anxiety that most supervisors experience when confronted with a

disciplinary infraction.

E-45

APPEALS AND JUST CAUSE

Should an agency find it necessary to discipline an employee, the

employee may invoke his rights of appeal. Knowledge of employees'

rights and of the grounds on which the management's actions may be

overturned in proceedings pursuant to these rights should guide

management in its formulation and application of disciplinary mea-

sures.

EMPLOYEE JOB PROTECTIONS

In addition to rights such as the previously discussed due process and

representation rights, private sector employees are usually protected

by negotiated contracts or company policies. Public employees are

usually protected in their job rights by civil service or education

codes and, increasingly, by negotiated contracts or Memoranda of

Understanding (MOUs). The contracts or codes usually specify that the

employer may not take disciplinary action against an employee without

just cause. The employees generally covered by such provisions are

those who already have served their probationary periods and are con-

sidered "permanent employees."

The provisions for just cause protection may specifically define which

personnel actions are covered. Civil service rules or contracts may

specify that "adverse actions," suspension, demotion or discharge may be

effected only for just cause. They may also specify that employees so

disciplined may appeal to a civil service type board, and/or through

a negotiated grievance procedure culminating in arbitration.

E-46

In other instances personnel actions requiring just cause are not

defined. When an appeal procedure is used, the civil service board

or arbitrator may make the determination of whether the personnel

action in question was disciplinary in nature, whether it required just

cause and if indeed just cause did exist for the action. Where provi-

sions are vague, management is best advised to implement any personnel

action which could negatively impact on the employee as carefully as in

the more obvious cases. The phrase "just cause" may be vaguely defined,

if defined at all, in pertinent N3U provisions. Few California contracts

deal with discipline since this area is usually under the sole authority

of civil service commissions.

E-47

CRITERIA USED BY ARBITRATORS IN JUST CAUSE APPEALS CASES *

The criteria used by arbitrators in determining just and sufficient

cause for disciplining an employee are based on case law developed

in past arbitration rulings. These criteria are posed as questions

below. Should any of the questions be answered in the negative for a

given case, an arbitrator would probably find that just cause for a

disciplinary action did not exist.

1. Did the agency give the employee forewarning or foreknowledgeof the possible or probable disciplinary consequences of the

employee's conduct?

Note 1: The forewarning or foreknowledge may properlyhave been given orally by management or inwriting through the medium of typed or printedsheets or books of rules and of penalties forviolation thereof.

Note 2: There must have been actual oral or writtencommunication of the rules and penalties tothe employee.

Note 3: A finding of such communication does not in allcases require a "no" answer to Question No. 1.This is because certain offenses such as in-subordination, coming to work intoxicated,drinking intoxicating beverages on the job,or theft of the property of the agency or of thefellow employees are so serious that anyemployee in the industrial society may properlybe expected to know already that such conductis offensive and heavily punishable.

Note 4: If there is no contractual prohibition orrestriction, the agency generally has the rightunilaterally to promulgate reasonable rules andgive reasonable orders; and these need not havebeen negotiated with the union.

* Adapted from the criteria developed by arbitrator Carroll R. Daugherty.

E-48..

2. Was the agency's rule or managerial order reasonably related tothe orderly, efficient, and safe operation of the agency's business?

Note: If an employee believes that the rule in question isunreasonable he must nevertheless obey it (in whichcase he may file a grievance afterwards) unless hesincerely feels that to obey the rule or order wouldseriously and immediately jeopardize someone's personalsafety and/or integrity. Given a firm finding to thelatter effect, the employee may be said to havejustification for his disobedience.

3. Did the agency, before administering discipline to an employee,makean effort to discover whether the employee did in fact violate ordisobey a rule or order of management?

Note 1: This is the employee's "day in court" principle.An employee has the right to know with reasonableprecision the offense with which he is being chargedand to defend his behavior.

Note 2: The agency's investigation must normally be madebefore its disciplinary decision is made. If theagency fails to do so, its failure may not normallybe excused on the ground that the employee will gethis day in court through the grievance procedureafter the exaction of discipline. By that timethere has usually been too much hardening of positions.

Note 3: There may of course be circumstances under whichmanagement must react immediately to the employee'sbehavior. In such cases the normally proper actionis to suspend the employee pending investigation,with the understanding that (a) the final disciplinarydecision will be made after the investigation and(b) if the employee is found innocent after theinvestigation, he will be restored to his job withfull pay for lost time.

Note 4: The agency's investigation must include an inquiryinto possible justification for alleged rule violation.

4. Was the agency's investigation conducted fairly and objectively?

Note 1: At such an investigation the management official maybe both "prosecutor" and "judge," but he should notalso be a witness against the employee.

E-49

Note 2: It is essential for some higher, detached managementofficial to assume and conscientiously perform thejudicial role, giving the commonly accepted meaningto that term in his attitude and conduct.

Note 3: In some disputes between an employee and a managementperson there are no witnesses to an incident otherthan the two immediate participants. In such casesit is particularly important that the management"judge" question the management participatantrigorously and thoroughly, just as an actual thirdparty would.

5. At the investigation did the "ijudge" obtain substantial evidenceor proof that the employee was guilty as charged?

Note 1: It is not required that the evidence be preponderant,conclusive or "beyond reasonable doubt." But theevidence must be truly substantial and not flimsy.

Note 2: The management judge should actively search outwitnesses and evidence, not just passively takewhat participants or "volunteer" witnesses tell him.

6. Has the agency applied its rules, order, and penalties even-handedly and without discrimination to all employees?

Note 1: A "no" answer to this question requires a finding ofdiscrimination and warrants negation or modificationof the discipline imposed.

Note 2: If an agency has been lax in enforcing its rulesand orders and decides henceforth to apply themrigorously, the agency may avoid a finding ofdiscrimination by telling all employees beforehandof its intent to enforce hereafter all rules as written.

7. Was the degree of discipline administered by the agency in aparticular case reasonably related to (a) the seriousness of theemployee's proven offense and (b) the record of the employee inhis service with the agency?

E-50

Note 1: A trivial proven offense does not merit harsh disciplineunless the employee has properly been found guilty ofthe same or other offenses a number of times in the past.(There is no rule as to what number of previous offensesconstitutes a "good", a "fair" or a "bad", record.Reasonable judgment thereon must be used.)

Note 2: An employee's record of previous offenses should not beused to discover whether he was guilty of the immediateor latest one. The only proper use of his record is tohelp determine the severity of discipline once he hasproperly been found guilty of the immediate offense.

Note 3: Given the same proven offense for two or more employees,their respective records provide the only proper basisfor "discriminating" among them in the administrationof discipline for said offense. Thus, if employee A'srecord is significantly better than those of employeesB, C, and D, the agency may properly give A a lighterpunishment than it gives the others for the same offense;and this does not constitute true discrimination.

The principles underlying these questions may be used as a guide for

disciplinary policy. These principles may be briefly stated as:

Discipline must be applied to employees in a manner that isfair and not discriminatory.

The proof of misconduct must be adequate.

The investigation must be fair.

The rules applicable to employees must be made clear tothose employees.

The penalties for violation of rules must be clear.

The penalty must fit the seriousness of the defense.

Except for very serious cases, progressive discipline mustbe applied.

E-51

DUE PROCESS CHECKLIST FOR SUPERVISORS *

("Skelly" Procedure)

As a result of recent Court decisions, public agencies mustnow comply with certain due process procedures before takingserious disciplinary action against their permanent employees.These procedures require that:

1. The employee receive a preliminary written noticeof the proposed action stating the date it will beeffective and the specific grounds and particularfacts upon which the action will be taken.

2. The employee be provided with any known writtenmaterials, reports or documents upon which theaction is based.

3. The employee be accorded the right to respond eitherorally, in writing or both to the proposed charges.

In preparing to implement the above pre-disciplinary procedures,the following suggestions may be helpful to keep in mind:

A. Only Permanent Employees Are Affected

1. Due process requirements apply only topermanent merit or civil service employees.

2. Actions involving other employees such asCETA employees, first time probationers anddemotion of permanent employees servingsubsequent probationary periods are notaffected.

B. Short Sus2 Ensons Mva Be Ex=

1. Management may be accorded greater flexibilityin implementing short suspensions of ten (10)days or less without complying with due processprocedures.

2. Permanent employees should be "Skellied" outof an abundance of caution irrespective of theduration of their suspensions until thisquestion is finally resolved by the Courts.

C. Disciplinary Action Must Be Punitive In Nature

1. Such actions normally involve discharges,demotions and lengthy suspensions.

2. Non-punitive actions such as warnings,reprimands, improvement needed performanceevaluations and brief suspensions may beadministered according to established agencypractices.

* Written by Steven L. Houston, Deputy CounselLabor Relations Division, Los Angeles County

E-52

D. Written Notice Is Required

1. An employee must receive advance writtennotice of the proposed action. The noticemust:

a. State the date the proposed actionwill be effective and the specificgrounds and the particular factsupon which the action is taken.

b. Inform the employee of his right torespond to the proposed action andof his right to receive a copy of thewritten materials alleged to supportthe action.

E. Employees Must Be Allowed A Reasonable Time ToRespond

1. There is no fixed rule stating how muchtime an employee may be given to exercisehis right to respond.

2. Time to respond is fixed by management andmust be "reasonable" under all thecircumstances.

a. "Reasonableness" is determined by thecomplexity of the issues involved, thevolume of written materials relied uponand good judgment.

b. Employee requests for extentions of timeto respond should be granted if therequest is justifiable.

3. Failure to respond within the time specifiedmay result in the employee's waiver of hisprocedural rights.

a. Circumstances surrounding the waivershould be thoroughly documents.

F. Supervisor Reviewing Employee Response Should Be

Appropriate To Level -Of Employee Responding

1. No fixed rule exists.

2. This may be one or two levels above theemployee's immediate supervisor.

3. The supervisor should have enough authorityto make effective recommendations concerningthe proposed action.

E-53

G. Right To Respond Is Not An Adversary Proceeding

1. The employee's right to respond is anopportunity for both sides to exchangerelevant information in order to minimizethe risk of error in management's initialdecision before final action is taken.

a. A full trial type evidentiaryhearing is not required.

b. The employee is not entitled to cross-examine witnesses or present a formalcase.

2. Keep an open mind. If the employee's versionof the facts raise doubts regarding theaccuracy of the agency's information, initiatefurther investigation and consider postponingthe disciplinary action.

H. True "Emergencies" Are Exempt

1. An employee may be removed from the workplace prior to receivinfi his due processrights under "emergency or "extraordinary"circumstances.

2. No precise definition of "emergency" or"extraordinary" circumstances exists.

a. Immediate injury or danger to thepublic agency, coworkers or thepublic will probably justify summaryremoval of the employee.

b. Use sparingly, only on a case-by-casebasis.

c. Thoroughly document the facts reliedon to justify the "emergency".

3. In doubtful cases, the employee may be removedfrom the work place for a short period of timeuntil the due process procedure is completed.This approach meets the agency's need to:

a. Immediately remove the employee fromthe premises.

b. Avoid later arguments that the employeewas not accorded his due process rights.

E-54

J. Employees Are Not Usually Entitled To UnionRepresentation

1. Employees subject to pre-disciplinaryaction may not insist on union representa-tion unless local agency rules, policies orMemoranda of Understandings provide other-wise.

2. Representation may be legally demanded onlywhen the employee reasonably believes thatthe discussion will involve his unionactivities. In such cases:

a. Require the employee to clearly explainthe basis for his belief that disciplinaryaction is being taken because of unionactivity.

b. Proceed cautiously. The right of anemployee to appear with representation insuch situations is an expanding right inour legal system. (A checklist fordealing with this problem follows thisarticle.)

E-55

GUIDELINES FOR UNION REPRESENTATION *

IN THE DISCIPLINARY INTERVIEW

(N.L.R.B. v. Weingarten)

Public employees may lawfully insist on representation atinvestigatory interviews only when they can reasonably antici-pate that the questions will involve their union activitiesand may result in disciplinary action because of such activities.This right, however, is an expanding right in our legal system.In a recent case, (N.L.R.B. v. Weingarten) the U. S. SupremeCourt held that private sector employeesihad the right to have aunion representative present at any investigatory interview whichthe employee reasonably believed might result in disciplinaryaction. Union activity or conduct did not have to be involved.This disparity between the rights of the two groups of employeeshas caused confusion and dissatisfaction in the public sector.Should the issue be presented to the California Courts forresolution today, they would most likely extend the Weingartenrationale in full to public employees. Public agencies should,therefore, give careful consideration to the guidelines approvedby the U. S. Supreme Court for union representation in disciplinaryinterviews. It is clear from such guidelines that an employee'sright to union assistance is considerably qualified.

1. The right arises only when the employee asks forrepresentation. He can waive the right, however,and take part in the interview alone.

2. The right is limited to situations where theemployee reasonably believes the investigationmay result in disciplinary action. What isreasonable will be measured by objectivestandards under all the circumstances of the case.Thus, the rule would not normally apply toordinary conversation between the employee andhis supervisor concerning such matters as, forexample, the giving of instructions or trainingor needed correction of work techniques.

3. Exercise of the right may not interfere withlegitimate management prerogatives. The employer,rather than comply with the request for representa-tion, remains free to terminate the interview andpursue his investigation by other means. Thus, theemployer can present the employee with "the choicebetween having an interview unaccompanied by arepresentative, or having no interview and fore-going any benefits that might be derived from it".

* Written by Steven L. Houston,Deputy Counsel, Labor Relations DivisionCounty of Los Angeles

E-56

4. The employer has no duty to bargain with theunion representative at the interview. Therepresentative is present only to assist theemployee and attempt to clarify the facts orsuggest other employees who may have knowledgeof them. The employer, however, can insist onhearing only the employee's version of the facts.

F

F

TAB F

THE SUPERVISOR AND LABOR RELATIONS

AN OVERVIEW FOR MANAGEMENT

The key role of the supervisor on the productive functioning of the

organization has been seen. He occupies a key management position

near the boundary between management and other employees, putting

plans and policies into action, services or products.

The personal characteristics, skills, and knowledge of the supervisor

are critical variables in the success or failure of the organization

in effectively carrying out its mission. Thus, the selection and

training of supervisors should occupy a high position in the hierarchy

of organizational tasks requiring an investment of time, attention and

other resources.

The need of the organization to attend to the selection and training

of supervisors is intensified in the presence of collective bargaining.

The collective bargaining setting requires a division of personnel into

discrete "management" or "employee" groups as the system operates in an

adversary manner. At the outset then, "supervisors" must be examined

to determine if they actually fall into the managerial category.

Those that do must be trained as first-line managers--representing ma-

nagement and effectuating management policies, including labor rela-

tions policies, in the day-to-day context of supervisory tasks.

F-2

The knowledge and skills that may be acquired through the general su-

pervisory training specified in the first part of this manual, of

course, apply also to the labor relations tasks of the supervisor in

a collective bargaining setting. Additionally, the collective bargain-

ing situation demands more specific training for supervisors and speci-

fic responses from upper management to support the status, training,

and functioning of the supervisor.

This tab contains two sections. The first is directed to management

and indicates the management actions necessary to identify, select and

train supervisors who will be effective in a collective bargaining

setting.

The second section addresses the supervisor directly. It provides

information that we believe management should include in the training

of supervisors new to a collective bargaining situation.

F-3

WHO IS A SUPERVISOR?

Collective bargaining requires two sets of players--a management team

and a team of organized employees.

The need to identify those on the management team, including supervi-

sors who function as first-line management, arises as soon as a cam-

paign for the organization of the firm's or agency's employees seems

imminent.

The roles of the management employees and rank-and-file employees dif-

fer. This differentiation extends to their behavior and stance during

the organizing phase and, in fact, is constrained by law.

It is not difficult to identify the majority of the management posi-

tions. But problems may develop in deciding if those employees often

thought of as supervisors are "bona-fide supervisors" or first-line

managers. Within organizations there may be a number of positions

which have the payroll designation or working title of "supervisor".

However, these titles may not accurately reflect the actual duties of

the job. A common-wisdom concept of a supervisor is that of an employ-

ee having both some authority over and responsibility for the work of

other employees, along with some degree of autonomy and decision-making

in his sphere of competence.

Various criteria have been set out to determine if a supervisor falls

into the management category, that is, is a "bona-fide supervisor."

F-4

Some criteria have been established by the enabling collective bargain-

ing laws themselves, particularly as the specific law may or may not

permit supervisors to be organized for collective bargaining as employ-

ees or, if permitted to organize, may or may not be permitted to be in

the same bargaining unit or union as rank-and-file employees.

The Supervisor under the Law

The Private Sector Supervisor and the Law

The federal Labor Management Relations Act (LMRA) of 1947, which pro-

tects the bargaining rights of a large number of private sector employ-

ees and has served as a model for many state laws, excludes supervisors

from its coverage. Section 2(2) states for the purposes of the act

"[t]he term 'employee' shall include any employee . . . but shall not

include . . . any individual employed as a supervisor . . . ." While

not prohibiting supervisors to organize and attempt collective bargain-

ing, the lack of legal protection of these rights has served to permit

employers to prohibit such activity.

Many of the state collective bargaining laws for private sector employ-

ees not directly under the jurisdiction of the administering agency of

the LMRA generally follow the pattern set down by the federal law.

The criteria the LMRA uses to define a supervisor are:

Having authority, in the interest of the employer, to affect other

employees by -

- hiring

F-5

- transferring

- suspending

- laying off

- recalling

- promoting

- discharging

- assigning

- rewarding

- disciplining

* Having responsibility to direct other employees or to adjust their

grievances.

* The individual may carry out these actions directly or make recom-

mendations to a superior. The use of the authority must require

independent judgement, rather than being routine or clerical.

[Sec. 2(11)]

Supervisors in the Federal Service

Executive Order 11491 as amended by Executive Order 11838 covers feder-

al supervisors' bargaining rights and status. Section 2(C) of Execu-

tive Order 11491 reiterates Section 2(11) of the LMRA in defining su-

pervisors (see above). The Federal Labor Relations Council (FLRC) in

interpreting these executive orders has tended to follow the lead of

the NLRB in supervisory bargaining. The revised executive order in ef-

fect precludes collective bargaining activity by supervisory personnel.

Section 24 contains "grandfather clauses" permitting the continuance of

representation of a small group of supervisory units (those in the mari-

time trades).

F-6

The executive order covers areas of decision-making outside the juris-

diction of legislative decision-making and civil service commission

agency procedures, thus excluding areas such as wagefs and appeal pro-

cedures from the collective bargaining arena. Under the existing exe-

cutive orders, the question of union representation of supervisors for

presentation of grievances was raised. Much of the grievance area

falls under Civil Service Commission (CSC) authority. The FLRC felt

this was an area for decision by the CSC.

The Supervisor in State and Local Government

State and local law and policy defining the collective bargaining sta-

tus and rights of supervisors vary widely. They range from specifi-

cally excluding all supervisors from the coverage of the law to permit-

ting bargaining for supervisors in bargaining units separate from other

employees to full bargaining rights for supervisors in units also con-

taining rank-and-file employees. The present situation under the Cali-

fornia laws is described in more detail below.

Public Sector Supervisors in California

Supervisors in Local Government (The Meyers-Milias-Brown Act (MMBA)).

The Meyers-Milias-Brown Act (MMBA) protects the bargaining rights of em-

ployees of local jurisdictions within California. The MMBA does not

deal with the status of supervisors in the negotiating process. It con-

tains no definition of "supervisor" nor does it exclude supervisors from

F-7

bargaining units. Sections 3507.5 and 3508 (reproduced below) have

been used to generate a variety of local rules regulating the status

and rights of the supervisor.

Section 3507.5 permits the public agency to adopt rules and regula-

tions for designating management and confidential employees and for

restricting the rights of those designated to act as representatives

of employee organizations which represent other employees in the agen-

cy (or in matters of scope). The section specifies that it does not

in any other way limit these employees to join or hold office in an

employee organization. Additionally, Section 3508 provides that agen-

cies may designate positions the duties of which consist primarily of

enforcing state laws or local ordinance, and after public hearing,

and where it is in the public interest, adopt resolutions or ordinances

limiting or prohibiting employees in those designated positions from

forming, joining or participating in employee organizations. This sec-

tion (after excluding full-time peace officers from coverage of its

provisions) states that the agency may not use any other criteria to

restrict participation.

Although the many jurisdictions have adopted a variety of approaches

to the rights and status of the supervisor, the majority appear to have

adopted rules permitting the supervisor full bargaining rights, but

placing him in a separate unit or in a unit with other managerial em-

ployees, sometimes defining him as management. Many ordinances specify

F-8

that the supervisor may not serve to represent the employee organiza-

tion in dealing with the agency where this would be a conflict of

interest. This might particularly be true in acting as a representa-

tive of a grievant or other employees.

The Supervisor in California Public Education. The Rodda Act protects

the collective bargaining rights of Employees of California Public

School Districts. The act (Rodda Act, Section 3540.1(m)) uses the de-

finition of the federal LMRA to define supervisory employees.

Regarding unit determination, Article 6 of the Act excludes supervi-

sory personnel from units including classroom teachers; states that

classified and certificated employees not be included in the same unit;

and does not consider a unit of supervisory employees appropriate

"unless it includes all supervisory employees employed by the district

and shall not be represented by the same employee organization as em-

ployees whom the supervisory employees supervise."

A Focus on the Problem--Final Report of the Assembly Advisory Council

on Public Employee Relations (California). In 1973, a study for the

California Assembly was undertaken, prior to consideration of a compre-

hensive public sector collective bargaining law. A distinguished com-

mittee of experts wrestled with the problem of appropriate bargaining

status for supervisors in public employment.

F-9

The committee recognized the historical background of many public sec-

tor employee organizations, in which supervisors and often administra-

tors of higher rank were included in the membership, along with rank-

and-file employees. These associations were formed for bettering the

conditions of agency employees through appeals to the legislative bod-

ies which controlled wages and employment conditions prior to the ad-

vent of collective bargaining.

It (the committee) also took cognizance of the problems inherent in

giving supervisors bargaining rights, and thus having management bar-

gain with some of its own membership. Of even more concern to the

committee were problems which arose when supervisors were included in

the same bargaining unit with, or were represented by, the same orga-

nization as rank-and-file employees, a situation which seemed to cre-

ate a conflict of interest by dividing the supervisor's loyalty between

management and the employee organization.

Additionally, the committee noted that often so-called supervisors in

the public sector did not actually perform supervisory tasks, compound-

ing the problem of their treatment under collective bargaining statutes.

The committee, in drafting a proposal for a statewide collective bar-

gaining act, used the model of the Wisconsin State Employment Labor

Relations Act in dealing with the problem of the supervisor. (Similar

to the federal LMRA, the law does not protect the bargaining right of

F-10

supervisors, nor does it prohibit collective bargaining by supervisory

personnel.) The law is based on the philosophy that true collective

bargaining requires strong employee organizations and these must be

balanced by strong management teams. Thus, while giving broad collec-

tive bargaining rights to public employees, the committee felt that

public management should be able to insist that all true supervisors

be a part of the management team.

To further that philosophy, the committee's proposed law defines super-

visors more strictly than does the LMRA:

'Supervisory employee' means any employee having

substantial responsibility on behalf of management

regularly to participate in the performance of all

or most of the following functions: employee pro-

motion, transfer, suspension, discharge, or griev-

ance adjudications of other employees, if in con-

nection with the foregoing, the exercise of such

responsibility is not of a merely routine nature,

.but requires the exercise of independent judgment.

[Section 3501 (y)]

All other employees not fitting the above description would have full

bargaining rights, protected by law.

F-li

The expected comprehensive public sector collective bargaining bill

was not enacted by the legislature. Instead SB 160, applying only to

employees in public education, was passed (1975).. The Meyers-Milias-

Brown Act and the George Brown Act, covering local and state

employees, respectively, still applied. Most recently, the Dills

Bill (SB 839) was passed, superceding the Brown Act for state employ-

ees. Supervisors will be viewed in terms of these statutes.

Supervisors in State Employment (SB 839). The recently enacted Dills

Bill SB 839 (1977) will become completely operative in July, 1978,

giving protected bargaining rights to employees of the state govern-

ment, excluding employees of state colleges and universities. This

act defines supervisory employees as,

any individual, regardless of the job description

or title, having authority, in the interest of the

employer, to hire, transfer, suspend, lay off, re-

call, promote, discharge, assign, reward, or disci-

pline other employees, or responsibility to direct

them, or to adjust their grievances, or effectively

to recommend such action, if, in connection with

the foregoing, the exercise of such authority is

not of a merely routine or clerical nature, but re-

quires the use of independent judgment. Employees

whose duties are substantially similar to those of

their subordinates shall not be considered to be

supervisory employees. [Section 3522.1]

F- 12

Thus, bona-fide supervisors are defined by actual function, and not

permitted to serve as representatives for supervisory personnel or

the employee organization on behalf of non-supervisory personnel.

While exempting supervisors from coverage by the main part of the act,

a separate set of provisions within the act grants the supervisors

full bargaining rights. The relevant sections enumerating the rights

of supervisors and constraints imposed upon them is reproduced below.

3522. Except as provided by Sections 3522.1 to

3522.9, inclusive, supervisory employees shall not

have the rights or be covered by any provision or

definition established by this chapter.

3522.1. "Supervisory employee" means any indi-

vidual, regardless of the job description or title,

having authority, in the interest of the employer,

to hire, transfer, suspend, lay off, recall, promote,

discharge, assign, reward, or discipline other em-

ployees, or responsibility to direct them, or to ad-

just their grievances, or effectively to recommend

such action, if, in connection with the foregoing,

the exercise of such authority is not of a merely

routine or clerical nature, but requires the use of

independent judgment. Employees whose duties are

substantially similar to those of their subordinates

shall not be considered to be supervisory employees.

F-13

3522.2. (a) Supervisory employees shall not

participate in the handling of grievances on be-

half of nonsupervisory employees. Nonsupervisory

employees shall not participate in the handling

of grievances on behalf of supervisory employees.

(b) Supervisory employees shall not partici-

pate in meet and confer sessions on behalf of non-

supervisory employees. Nonsupervisory employees

shall not participate in meet and confer sessions

on behalf of supervisory employees.

(c) The prohibition in subdivisions (a) and

(b) shall not be construed to apply to the paid

staff of an employee organization.

(d) Supervisory employees shall not vote on

questions of ratification or rejection of memoran-

dums of understanding reached on behalf of nonsu-

pervisory employees.

3522.3 Supervisory employees shall have the

right to form, join, and participate in the ac-

tivities of employee organizations of their own

choosing for the purpose of representation on all

matters of supervisory employee-employer relations

as set forth in Section 3522.6. Supervisory em-

ployees also shall have the right to refuse to

join or participate in the activities of employee

organizations and shall have the right to represent

F-14

themselves individually in their employment rela-

tions with the public employer.

3522.4. Employee organizations shall have the

right to represent their supervisory employee mem-

bers in their employment relations, including

grievances, with the employer. Employee organiza-

tions may establish reasonable restrictions re-

garding who may join and may make reasonable pro-

visions for the dismissal of employees from mem-

bership. Nothing in this section shall prohibit

any employee from appearing on his or her own

behalf or through his or her chosen representative

in his or her employment relations and grievances

with the public employer.

3522.5. The scope of representation for super-

visory employees shall include all matters relating

to employment conditions and supervisory employee-

employer relations including wages, hours, and oth-

er terms and conditions of employment.

3522.6. Upon request, the state shall meet and

confer with employee organizations representing su-

pervisory employees. "Meet and confer" means that

they shall consider as fully as the employer deems

reasonable such presentations as are made by the

employee organization on behalf of its supervisory

members prior to arriving at a determination of

F- 15

policy or course of action.

3522.7. The state employer shall allow a rea-

sonable number of supervisory public employee re-

presentatives of verified employee organizations

reasonable time off without loss of compensation

or other benefits when meeting and conferring with

representatives of the state employer on matters

within the scope of representation.

3522.8. The state employer and employee orga-

nizations shall not interfere with, intimidate,

restrain, coerce, or discriminate against supervi-

sory employees because of their exercise of their

rights under this article.

3522.9. The employer may adopt rules and regu-

lations for the administration of supervisory em-

ployee-employer relations under these provisions.

Such rules and regulations may include provisions

for:

(a) Verifying that an employee organization

does in fact represent supervisory employees of

the employer.

(b) Verifying the official status of employee

organization officers and representatives.

(c) Access of employee organization officers

and representatives to work locations.

(d) Use of official bulletin boards and other

F- 16

means of communication by employee organizations.

(e) Furnishing nonconfidential information per-

taining to supervisory employee relations to employ-

ee organizations.

(f) Such other matters as are necessary to carry

out the purposes of Sections 3522.1 to 3522.9, inclu-

sive.

The Public Employment Relations Board (PERB) which will administer the

law is charged with establishing reasonable procedures for "determining

appropriate units." The criteria to be used by the Board are as follows:

3521. (a) In determining an appropriate unit,

the board shall be governed by the criteria in sub-

division (b). However, the board shall not direct

an election in a unit unless one or more of the em-

ployee organizations involved in the proceeding is

seeking or agrees to an election in such a unit.

(b) In determining an appropriate unit, the

board shall take into consideration all of the fol-

lowing criteria:

(1) The internal and occupational community of

interest among the employees, including, but not

limited to, the extent to which they perform func-

tionally related services or work toward established

common goals; the history of employee representation

in state government and in similar employment; the

F-17

extent to which the employees have common skills,

working conditions, job duties, or similar addition-

al or training requirements; and the extent to which

the employees have common supervision.

(2) The effect that the projected unit will have

on the meet and confer relationships, emphasizing the

availability and authority of employer representa-

tives to deal effectively with employee organizations

representing the unit, and taking into account such

factors as work location, the numerical size of the

unit, the relationship of the unit to organizational

patterns of the state government, and the effect on

the existing classification structure or existing

classification schematic or dividing a single class

or single classification schematic among two or more

units.

(3) The effect of the proposed unit on efficient

operations of the employer and the compatibility of

the unit with the responsibility of state government

and its employees to serve the public.

(4) The number of employees and classifications

in a proposed unit and its effect on the operations

of the employer, on the objectives of providing the

employees the right to effective representation, and

on the meet and confer relationship.

(5) The impact on the meet and confer relationship

F- 18

created by fragmentation of employees or any pro-

liferation of units among the employees of the em-

ployer.

(6) Notwithstanding the foregoing provisions

of this section, or any other provision of law, an

appropriate group of skilled crafts employees shall

have the right to be a separate unit of representa-

tion based upon occupation. Skilled crafts employ-

ees shall include, but not necessarily be limited

to, employment categories such as carpenters, plumb-

ers, electricians, painters, and operating engineers.

(c) There shall be a presumption that profession-

al employees and nonprofessional employees should not

be included in the same unit. However, the presump-

tion shall be rebuttable, depending upon what the

evidence pertinent to the criteria set forth in sub-

division (b) establishes.

F-19

THE SUPERVISOR IN YOUR ORGANIZATION

From the point of view of developing efficient, sophisticated collec-

tive bargaining as found in areas of the private sector, bona-fide

supervisors:

- must be identified,

- made an integral part of the management team, and

- given authority, status and responsibility, so that they

identify with management and its objectives.

This approach is more effective and more possible under legislation

similar to the private sector LMRA, where supervisors are not given

bargaining rights. However, much public sector legislation assumes

a difference exists in public sector employment and permits varying

types of coverage for supervisors. Bargaining rights for supervisors

along with less discretionary authority by public sector management

might be seen to impair preparation and attainment of the type of col-

lective bargaining found in the private sector. However, study of long-

term collective bargaining relationships in the public sector indicate

that sophisticated and effective bargaining can evolve. Of course,

both management and employee organizations must work towards that end.

The procedures and suggestions made here must be adjusted to a parti-

cular agency's legal constraints, structure, and needs. However, past

history, being a public agency, and the particular legislation control-

ling the collective bargaining activity, cannot be offered as manage-

ment's excuse not to act as true management or not to include supervi-

sors in their concept of management.

F-20

Identifying the Bona Fide Supervisor

The following lists may aid in identification of bona fide supervi-

sors. The Checklist and Guideleines are compiled from the criteria

set out in a variety of laws and subsequent hearings. They should be

revised in light of the particular statute applicable to your organi-

zation and any court or administrative cases which further define the

criteria.

Check List of Bona Fide Criteria of First-Line Supervision

This checklist is designed to aide public sector management in making

proper distinctions between employees who are nominal supervisors and

those who in effect perform supervisory functions with some degree of

authority and responsibility. Note that a criterion may apply in one

situation but not in another, or that more than one criterion must be

considered before a position can be called bona fide supervisory.

An affirmative answer to one or more of the items listed below should

indicate whether the supervisory function is bona fide or marginal.

Hiring, Firing, Promotion, Demotion.

-- Is the supervisor empowered to hire and fire employees?

-- Is the supervisor empowered to promote and demote employees?

-- Is the supervisor empowered "effectively to recommend"--set

in motion an action which results in--the hiring, firing,

promotion and demotion of employees?

-- Is the supervisor empowered to discipline employees?

F-21

The "Numbers Test" of Supervision.

-- How many employees are under the supervisor's direction?

-- How many of such employees are full time/part time?

Performance Evaluation.

-- Is the supervisor empowered to evaluate employees' work per-

formance for purposes of salary classifications and promo-

tions?

-- Is the supervisor accountable for the work of others?

Supervisory Initiative.

-- Does the supervisor use his/her own initiative and ingenuity

in directing the work of others?

-- When the occasion arises, does the supervisor have the author-

ity and responsibility to perform upper level managerial func-

tions?

Supervisor or Co-Worker?

-- Are the supervisor's job tasks sufficiently different from

those supervised to indicate a clear distinction between su-

pervisory and regular job performance functions of the unit?

-- Are the supervisor's main duties concerned with directing,

developing and evaluating the work of others as opposed to

doing the same work?

-- Is the supervisor empowered to assign tasks to those supervised?

-- Are entry-level requirements for supervisory jobs different

from those for other employees in the unit?

F-22

Supervisor and Management.

Is the supervisor empowered to process grievances for manage-

ment?

Does the supervisor reg,ularly participate in management meet-

ings? (Note: An affirmative answer to this criterion is not

sufficient in itself to distinguish between marginal and bona

fide supervisors.)

Where Does the Money Come From?

Is the supervisor paid differently than those under his/her

supervision (e.g., salary versus hourly wages, eligibility

for overtime pay)?

Is the supervisor's salary included in organizational budgets

as part of managerial salaries, part of the employees' wage

bill, or does it fall into a separate category?

F-23

GUIDELINES FOR IDENTIFYING SUPERVISORS*

1. To qualify as a supervisor, a person need not satisfy all elementsof the definition; it is sufficient if he satisfies only one elementthereof. For example, it is sufficient if a person "transfers" or"responsibly directs" other employees (so long as he uses independentjudgment and his actions are not routine).

2. Although it is legally sufficient if a person merely possesses theauthority to take one of the actions listed in the definition, asa practical matter it is important that the district be able toprove that the person actually exercised such authority. For example,documentary evidence that a person reprimanded or warned employeeswould be of significant help in a unit determination hearing.

3. A person who "effectively recommends" supervisory actions is asupervisor, even if he does not make the final decision. For example,if it can be shown that an individual has previously recommended thetermination of employees, and that such recommendations are almostalways followed without independent investigation by his superior,the individual is a supervisor.

4. It is important that the individual exercise "independent judgment"in the exercise of one or more of the supervisory functions, asdistinguished from routine or clerical judgment. Thus, an employeewho merely acts as a conduit for work instructions, rewards, ordiscipline, but in fact does not make these decisions, is not asupervisor.

5. Lead persons (e.g., Lead Groundskeeper) who make minor or routinedecisions and set the example of how to perform a given task are notconsidered to be supervisors.

6. Professional employees who merely inform other, lesser-skilledemployees as to the work to be performed and insure that such workis done, and whose duties and authority in this regard are solely aproduct of their highly-developed professional skills, are notsupervisors as they do not exercise supervisory authority "in theinterest of the employer." For example, the fact that a certificatedclassroom teacher does "direct the work" of a teacher's aide doesnot make the teacher a "supervisor."

7. Job titles are not necessarily determinative. If a person is calleda "supervisor," but in fact possesses no supervisory authority, thejob title will be of no legal significance. Similarly, a person whois not called a "supervisor," but in fact acts in such a capacity,will be held to be a supervisor.

*Based on California's SB160, the Rodda Act, covering certificated andclassified employees in public education.

F-24

8. If the individual in question receives extra pay or fringe benefitsto compensate for supervisory responsibilities, these factors arehelpful, although not determinative, in concluding that the personis a supervisor.

9. "Exempt" status for purposes of the Fair Labor Standards Act orstate wage-hour laws is not determinative of supervisory statusunder Section 3540.1(m), and should not be relied upon in makingthis determination.

10. The number of employees supervised is helpful in determiningsupervisory status. Thus, if an individual directs the work ofonly one or two employees, the inference of supervisory status isnot as strong as it would be if the individual directed ten orfifteen employees.

11. A record of past attendance at meetings of supervisors or managersis helpful, though not determinative, in showing that an individualis a supervisor.

12. If the employees view the person involved as one who can affect theiremployment status or their wages, hours or working conditions, thisis one indication that the person will probably be considered asupervisor, especially in an unfair labor practice case.

13. A person who supervises on a part-time basis will be considered asupervisor if he meets the following criteria: (i) while acting as asupervisor, he exercises roughly the same supervisory authority asthe person for whom he is substituting; and (ii) he substitutes as asupervisor with sufficient frequency and regularity (e.g., two dayseach week).

14. Teachers who function as departmental chairpersons may not besupervisors if they merely chair departmental meetings and exercisean equal vote with other faculty members, but do not actually makedecisions that affect the employment status of other faculty members.

15. Written job descriptions can be of help in proving that an individualis a supervisor if the descriptions accurately reflect that person'sauthority and duties. Also, they should be prepared or updated wellin advance of any possible unit determination hearing, as last minuterevisions tend to have less probative value in these matters.

16. Prior to any formal notification to supervisory employees regardingtheir status, management should carefully assess their sentimentsand allegiances. Do they identify themselves as part of management,or do they feel like "just another employee"? If the latter is thecase, it may be advisable to take immediate steps to strengthen theirmanagement identification, and to consider whether some of them canpossibly be designated as "management employees."

F-25

17. If a District is attempting to designate an employee as "supervisory"or "management," and if the employee is certificated, the presence orabsence of supervision or administration credentials as required byCalifornia Administrative Code, Title 5, Chapter 6, Article 1,Sections 5800-5802, may assume great significance in a unit determinationproceeding. The positions requiring such credentials include Superinten-dent, Deputy Superintendent, Associate or Assistant Superintendent,Administrator, Deputy Administrator, Director, Deputy Director, Supervisor,Consultant, Coordinator, Principal, Vice Principal, Assistant Principal,Dean, and Registrar.

F-26

SELECTING SUPERVISORS

Often the competent worker, that is, the one with greater technical

skills, is rewarded by promotions, eventually attaining a supervisory

position. In cases where seniority is a factor in promotions, a good

worker may become a supervisor largely on the basis of how long he

has worked in his unit. Neither of these criteria, technical skill

nor seniority, should be the deciding factor in the selection of a

supervisor, regardless of the collective bargaining situation of the

organization. This is particularly true where collective bargaining

does, or will, exist.

If we consider supervisors members of management, we must consider

their major task to be working with and through their subordinates to

accomplish organizational goals. In order to do this, they must pos-

sess three categories of skills: technical, human, and conceptual.

The first-line supervisor does need considerable technical skill and

knowledge in his area for performing his general tasks of planning,

organizing, directing and controlling as well as for meeting other re-

sponsibilities in training and evaluation..

As a manager he must have good human relations skills--the ability and

judgment to work with and through people. The need for human relations

skills becomes even stronger in a collective bargaining situation.

The ability to deal well with people will be of critical importance in

the handling of grievances and in relating to union stewards and/or

business agents as well as in dealing with upper management and his

subordinates.

The supervisor, in a collective bargaining situation particularly,

should possess some conceptual ability. He must have some understand-

ing of the complexities of the organization beyond his or her own. unit.

He must be able to understand how he and his unit fit into the function-

F-27

ing of the organization, so that he can act on the basis of total orga-

nization objectives rather than just his own or his unit's immediate needs.

Personal Characteristics and Attitudes

When considering candidates for supervisory positions, their personal

characteristics and attitudes should be taken into account.

In an organized firm or agency, employees who are not tolerant of em-

ployee organizations will probably not succeed as supervisors. A lack

of understanding or impatience may lead to increased friction with the

employee organization and its membership. Overidentification with the

employee organization may also create problems for the firm or agency.

The candidate should also be assessed in terms of his tolerance for con-

flict. The supervisor must not only understand that much of collective

bargaining requires dealing with conflict, including contract admini-

stration and grievance handling, but must be able directly to manage

conflict, hopefully in a productive manner. A tendency to avoid any

conflict, or to intensify conflict, is undesirable in a supervisor.

Orienting and Training the Supervisor in Labor Relations

The appropriate selection of supervisors and the development of their

general supervisory skills is necessary, but not sufficient to insure

the effective performance of supervisors in the labor relations area.

Upper management must reorient itself for collective bargaining. Often

greater centralization of authority is seen as a response to the col-

lective bargaining situation. In management's restructuring effort to

build a strong management team, it is expected (and advised) to include,

and treat, bona-fide supervisors as bona-fide members of the team. To

F-28

communicate the inclusion, verbal statements are insufficient. Mana-

gerial participation in supervisory training is seen as a sign of

management commitment. The establishment of two-way communication

channels which are used on a regular basis, including formal meetings

and everyday contact, will provide the benefits of enlisting the com-

mitment of supervisors to management, make visible support of their

management status, and make it visible to the rank and file, and give

management information useful in policy and decision-making. Giving

supervisors support in their actions and giving them benefits not

available to non-supervisory employees also integrates them more

closely into the management team.

Where it is possible, the job duties of the supervisors should be exa-

mined. Some job redesign might be necessary to differentiate bona-fide

supervisory positions from those of working labormen.

The Role of the Supervisor

As part of the orientation of new supervisors or reorientation of su-

pervisors where the agency is newly engaging in collective bargaining,

the role of the supervisor must be defined. While good management

should always make or elicit explicit task definitions for employees,

with collective bargaining it is most important to stress roll defini-

tions and distinctions. The supervisor must know he is now part of

management and his behavior must be consistent with this role. He has

a special part to play as a management representative during union or-

ganizing, in his relationship with union representatives, and in deal-

F-29

ing with his subordinates. His change of role must be particularly

stressed--and supported--as he must change his identification from

worker to manager. It is a difficult task for the supervisor who rose

from the ranks to relate to former co-workers and friends in a new

way. Some discussion and guidance concerning the supervisor's role

will be found in the following sections.

The Training Effort

Training should occupy a prominent place in the schedules of supervi-

sors. It is recommended that an ongoing system of supervisors' meet-

ings be instituted, during work hours. These sessions may be used for

formal training when necessary. They can also serve to establish an

identification with "a supervisory class," which is useful to generate

mutual support among supervisors--support which they may have previous-

ly received from rank-and-file employees who were their co-workers.

Supervisors can discuss mutual concerns in problem-solving and communi-

cate with management at these sessions as well.

Thrust of Supervisory Training for Collective Bargaining

Supervisor training must explain the adversary nature of the collective

bargaining process while emphasizing the fact that the parties must have

a continuing working relationship. The quality of that relationship is

dependent on how the inherent conflict is managed, the integrity that

is demonstrated by the parties, and the mutual respect that develops.

The training must work at developing an understanding of the other party

F-30

as well as of the collective bargaining system. The necessary skills

and knowledge for appropriate conflict handling must be imparted. If

the purpose of this training is skillful handling and resolution of

labor relations problems at the first level, an appropriate follow-

through is permitting well-trained supervisors enough authority and

support to make problem-solving decisions at that level.

The Content of Supervisory Training

Definition and History of Collective Bargaining

The basic concepts and processes of collective bargaining along with a

brief history of unionization in the United States will aid the super-

visor in understanding the changes occuring around him, his role in the

process, and the expectations and behavior of his work force. In the

following tab we have included a brief chapter explaining collective

bargaining, "The ABC's of Collective Bargaining." As a source for his-

tory, we suggest the booklet prepared by the U.S. Department of Labor,

"Brief History of the American Labor Movement." This inexpensive book-

let, updated periodically by the Department of Labor, may be ordered

from the U.S. Government Printing Office.1

For public sector agencies, the UCLA Institute of Industrial Relations

has prepared a "Policies and Practice" publication, Understanding Unions

1To order "Brief History of the American Labor Movement," write U.S.Government Printing Office, Washington, D.C. 20402, G.P.O. Bookstores,or B.L.S. Regional Offices. The 1976 edition, Bulletin 1000, costs$1.45 per copy, check payable to the Superintendent of Documents.

F-31

in the Public Sector, which includes a history of unionism and an ex-

planation of public sector unionism.2

We have also included in this tab a section explaining why workers join

unions.

Definitions of the Terms Used

We have included in this tab a glossary of collective bargaining terms

that the supervisor may encounter. He cannot function in the system

without understanding its language.

The Applicable Law

While not needing an attorney's knowledge of the applicable collective

bargaining law, the supervisor should have some knowledge of the law

which applies to his dealings with his employees and their union. A

summary of the appropriate collective bargaining statute, highlighting

unit determinations, unfair labor practices, scope of bargaining, and

grievance procedures, plus dispute resolution provisions, should suffice.

The law might be a federal or state law or a local ordinance. In some

instances, common law might be included. Other applicable law or common

law, as in areas of discrimination and due process, should be considered.

Application of the law in the specific work environment must be covered.

2Understanding Unions in the Public Sector (1977) may be ordered fromPublications, Institute of Industrial Relations, UCLA, 405 Hilgard Ave-nue, Los Angeles, California 90024. The 167 page book costs $6.00, plus6% sales tax, per copy, checks payable to the Regents of the Universityof California. (There is a 20% discount for orders of 10 or more copies.)

F-32

The Agreement

The supervisor should understand the collective bargaining agreement

or memorandum-of-understanding. He should be familiar with the appli-

cation of the contract in his particular situation. Each bona-fide

supervisor should have a copy of the agreement for his reference.

Many grievances could be handled informally at the first level if the

supervisor and the union steward understood and had copies of the

contract.

Other Specialized Human Relations Training

The most important labor relations tasks of the supervisor--contract

administration and grievance handling--require both an understanding

of law, management policy and contract, along with an adept handling

of people and conflict situations. Specific instruction in this area

is necessary. The topics of communication and conflict handling are

addressed earlier in this module. Grievance handling and relating to

the shop steward are included in forthcoming sections. Each agency

should supplement this area of training according to the needs of the

specific group of supervisors.

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TO AND FOR THE SUPERVISOR ....

F-34

TO AND FOR THE SUPERVISOR IN A COLLECTIVE BARGAINING ENVIRONMENT

You are a supervisor and your organization or agency engages in, or

will engage in, collective bargaining. If you have been a supervisor

in a collective bargaining setting for a period of time, you have some

knowledge and experience of the process and your role. You also are

aware of the problems involved and the ongoing changes that go along

with any vital relationship between parties. Your role calls for many

skills and your knowledge must often be updated. The new supervisor

in a collective bargaining situation, or the experienced supervisor

new to collective bargaining,will face many challenges as he assumes

his new role. The following information is provided to help you be-

come a more effective supervisor in this challenging situation.

What Is Collective Bargaining?

To provide you with a better understanding of what is happening around

you and prepare you for your role in the process, we are reproducing

some material which explains the process of collective bargaining (ABC's

of Collective Bargaining). This is followed by a glossary of terms used

in collective bargaining.

F-35

ABCs OF COLLECTIVE BARGAINING

Although this book is primarily about mediation, it neces-sarily starts by discussing a few essential ingredients and attri-butes of the collective bargining process. A labor mediatorworks in collective bargaining environments. In a free soiety,it is a central notion that labor and m agement should fixthe terms and conditions of employment by voluntary agree-ment. In fact, that principle is so well recognized that strikes orlockouts are usually permissible as ultimate but hopefully little-used persuaders. The intended purpose of a strike or lockoutis not to produce conflict. Economic sanctions are lat resort de-vices designed to produce agreement. When the collective bar-gaining process works well, as is the case in a majority of situa-tions, the only persuaders needed are the forces of humanargument and reason exercised by the two parties. Normally,it is only when the "voices of reason" within a baraing ar-rangement need some assistance or a strike or lockout becomesmore than a distant, hypothetical threat that a mediator enterscollective bargaining. Even then, he enters to aid in the agree-ment-making process, not to substitute for it.

Thus, the primacy of volunt agreement requires, firt, thata mediator understand what collective bargaining is all about.Explaining it is no easy task because bargaining situations areso variable. Attempts to create models are doomed to failurebecause of this infinite diversity. Many books could be andhave been written about various aspects of collective bargain-ing. Since the emphasis here is on mediation, no attempt willbe made to examine or even summarize many importat fea-tures. Chapters VIII and IX will outline some of the crisisvariables that a mediator may encounter.This initial chapter is restricted to examination of a few

elemental considerations. How does the process of collectivebargaining get started? In what forums does it operate? By what

This material is reprinted from Mediation and theDynamics of Collective Bargaining, William E. Simkin,copyrighted 1971. Reprinted by permission of theBureau of National Affairs, Inc., Washington, D.C.

F-36

methods do workers and owners effectuate the representationprinciple at the bargaining table? What subjects are discussed?How do results compare with objectives? How is the processappraised by the general public-by those on the outside lookingin?The sophisticated reader should be aware that some of this

chapter is "old stuff" and can be scanned quickly.

ORGANIZATIONAL INGREDIENTS NECESSARYFOR COLLECTIVE BARGAINING

Collective bargaining does not begin automatically. As a mat-ter of fact, most mass-production manufacturing industries inthe United States avoided it until the late 1930s or early 1940s.Some segments of the economy are without collective bargain-ing today. Explanation of the nature of the collective processcan begin with brief descriptions of worker-employer relationshipsthat are outside the scope of collective bargaining.

Collective bargaining is not individual bargaining.True individual bargaining exists only in a one-person-to-one-

person relationship. An example, almost unknown in modemsociety, is an owner-farmer and his one hired man. The twomen work together much of the time. The terms and conditionsof employment are influenced by the community mores and thecurrent economics of farm operation. The farmer talks withother farmers. The hired man talks with his counterparts in theneighborhood. But these other persons do not intervene directly,and there is little or no formality in the arrangements madebetween the two men about wages and working conditions.As the size of the enterprise increases, true individual bargain-

ing diminishes. When the farmer has even two hired hands, hemust discuss many matters with the two men simultaneously. Theextent of the cohesion or cooperation between the two hiredmen varies with the individuals.Despite departures from true individual bargaining in other

than one-person-to-one-person relationships, the essence of whatis commonly called individual bargaining remains as long as theindividual worker has realistic direct access to the employer orthe employer's authorized representative for meaningful discus-sion and resolution of most of the terms and conditions of em-ployment.

F37

ABCs OF COLLECTIVE BARGAINING

Collective bargaining is not unilateral determination.When a business becomes huge, individual bargaining becomes

impossible, except on relatively minor matters. The GeneralMotors Corporation is at the opposite extreme to the owner-farmer. Ownership is divorced from management. The manage-ment hierarchy is itself a separate employee group or series ofgroups. Each successively lower tier in the management and super-visory hierarchy has responsibilities which are circumscribed byadministrative policy and decisions made at higher levels. Thehourly-rated employee works under a set of rules and economicarrangements not determined at the work place. Individualbargaining is greatly restricted, the opportunity for it occurringin only a few of the direct dealings between the worker and hisimmediate supervisor. In the absence of a union in such situa-tions, unilateral determination by the employer is a much moreapt description than individual bargaining.

In such a situation, there are restraints on the employer.Employees can quit. They can exert only enough effort to avoiddischarge. For these and other reasons, a large nonunionemployer establishes personnel policies and a personnel adminis-tration to attempt to promote good employee morale and presrveaspects of individual bargaining. But the size of the enterprsedictates unilateral determination of many of the most meaning-ful terms of employment. If the employer sees to it that theseterms are at least equal to or better than those in otherwisecomparable collective bargaining relationships, bargaining maybe avoided. But, employees still have little or no feeling ofparticipation and the situation can be described only asbenevolent or self-serving unilateral determination.What positive ingredients must exist to provide the foundation

stones for collective bargaining?Collective bargaining requires a formal or at least semiformal

organization of employees of like status. A principal purpose ofthat organization must be to bargain with the employer at manage-ment levels where the discourse can be meaningful and where theemployee group speaks as a group rather than on an individualemployee basis. "Like status" means common interest. The em-ployee group is technically defined as an "appropriate unit," amatter of occasional controversy that will not be explored here.

Bargaining with the employer need not be the sole purposeof the employee organization. Unions have other purposes in

F-38

varying degree. They can be fraternal or professional organi-zations with a wide variety of social, recreational, educational,and promotional activities not related directly to the employer.They can have political objectives and interests, a factor of muchlesser import in the United States than in many other countries.A few organizations, established originally with no collectivebargaining objectives, have evolved into strong bargaining units.For example, many subsidiary branches of the National EducationAssociation have acted as much like unions in recent years as theAmerican Federation of Teachers, the AFL-CIO union havingprincipal jurisdiction in education.For purposes of this book, any organization of workers that

"acts like a union" in its relationships with employers will beconsidered as engaging or seeking to engage in collective bar-gaining.The union organization must be accorded some status or

recognition by the employer if any real bargaining is to takeplace. A labor dispute can exist when the employer refusesto deal with the employee organization. In fact, the process ofgetting recognized, preliminary to collective bargaining, can beone of the most bitter types of disputes.

In the United States, recognition disputes have been substan-tially eliminated in most sectors of the economy. Title I of theLabor Management Relations Act (referred to hereafteras the Taft-Hartley Act) substitutes the ballot box for the picketline, and an important function of the National Labor Rela-tions Board is to administer the representation portions of theAct. Whenever a majority of workers in an appropriate unitprove that they want a particular union in order to bargaincollectively, the employer is required to recognize the union, andthe union then represents all employees in the unit, irrespec-tive of union membership. Earlier but somewhat similar provisionsof the Railway Labor Act applv to railroads and airlines.Executive Order No. 10988, issued by President Kennedy inJanuary 1962, provided somewhat different procedures for recogni-tion of federal employee unions by federal agencies. Thosearrangements have been supplemented and improved byExecutive Order No. 11491, signed by President Nixon in October1969, making them more comparable to those in the private sector.Some state statutes provide procedures for recognition of certainemployee groups not covered by federal legislation or byexecutive order.

F-39

ABCs OF COLLCTIVE BARum

Legislation and' administrative procedures, for p ofrecognition, do not cover all' employee Agri-cultural -workers in most categories are not covered by Title Iof the Taft-Hartley Act. The recent organization of grape-pickers ,in the union led by Cesar Chavez and the initial refusalof the growers to recognize that union have emphasized this fact.A number of states do not have adequate recognition protectionor. procedures for employees engaged,in intrastate co rce- Aneven larger number do not have viable current procau forrecognition of employees of state and municipal. agencks.

Certification by the National Labor Relations Board, signifyinga formal mandatory recognition by the employer, or comparableformalities under other legisative or administrative arrangementsare not the sole basis for reconition." Many unions were recog-nized by employers long before. the paage of ltion, andsome unions have been recognized informally subsequt toenactment of statutes. In a number of states and municiplities,publik employee unions without any legal rights have been ableto secure or force recognition.There is no necessary identity of actual entation at any

one bargaining table with the parties named an any fcertification. Employer assoiations (two or me separate em-ployers who join together for purposes of bargining) may barginwith a union or with gups of union, the fedy kn ledgedcoverage of the bargain being inclusive of sevel c_eti tiomsIn fact, some employee groups not legally cerdiA tuat be in-cluded in the bargain. Or, a single employ may bargin withmany uniont who join together for tha differ-entes between appropriate units for baraining and apprpiateunits for initial recognition usually develop as a part of thebargaining process.For the most part, collective bargaining rwill 'be disicssed

herein on a "bargaining table" basis. The management side ofthe table may include representatives of one or many employers.The union side may include one or many' unions. How andwhen each side of the table acquired its'specific composition willnot be explored except where this tcomposition is in 'disiute.When each side of the table acknowledges the repetionstatus of-the other side, bargaining can occur.Another usual characteristic of collective bargaining is' that

the results of the bargain are reduced to writing. These writtendocuments have certain legal' status.

F-40

Thus far, collective' bargaining can be said to have the follow-ing organizational characteristics:

1. It is not to be confused with individual bargaining or withunilateral employer determination.

2. Employees must be organized in a formal group, usuallycalled a union, a principal objective being to bargain withone or more employers.

3. The union or group of unions must be accorded status orrecognition by the employer or employers for purposes ofbargaining.

4. The results of collective bargaining are usually summarizedin writing and have certain legal status.

BARGAINING FORUMSCollective bargaining may occur in three different forums.

They are:1. Crisis bargaining (bargaining of basic labor agreements)2. Grievance procedure3. Noncrisis dialogueThere are some who would limit use of the words "collective

baraining" to the negotiation of labor agreements, all otherrelated activities being construed as administration of theagreements. This is quite an unrealistic notion unless intendedas an exercise in semantics. The relationship between an employerand a union is the totality of the discussion and decision-makingthat occur (1) when basic labor agreements (contracts) arereached at periodic intervals, usually under deadline pressures;(2) during the life of these contracts as day-by-day problems areresolved by the grievance procedure; and (3) whenever dis-cussions occur or decisions are reached on matters of mutualconcern not included in the grievance procedure and in theabsence of the deadline pressures of contract negotiation.

Cris BargainingA typical labor contract in the United States is a written

agreement setting forth the basic terms and conditions ofemployment for a stipulated period of time. A majority ofagreements in the private sector are for a term of approximatelythree years. Most, but not all, of these agreements restrict orprohibit strikes and lockouts during the term of the contract.However, at the expiration date of these agreements, it is

F-41

ABCs OF COLLECIVE B AINING

unusual for there to be any pre-agreed restriction or limitationon the right to strike or to lock out.

In substance, then, the signing of a typical three-year agree-ment includes a volunt*ry statement of intention on the partof' both ptie not to utilize economic sanctions (strike orlockout) during the contract tern. In some instances the no-strike, no-lockout clause is not all inclusive. Economic sanc-tions are permitted, for limited, carefully spelled-out situations.The "no holds barred" arrangement in the private ector at

the time of contract expiration necessarily creates a crisisatmosphere as that date approaches. It is for this'reason thatcontract bargaining is sometimes referred to as crisis bargainingeven though successful negotiation will avert a' crisis. Thedeadline pressures continue unless removed by agreement.The foregoing paragraphs assume an existing contractual

relationship that is to be renewed. A variant is negoation ofan initial contract-the first contract agreed to between anemployer and a union. This may occur after a period ofnonunion plant operation or after one union succeeds a dif-ferent union as representative of the same employees. In thecase of initial contracts, there is no semi-automatic deadlinedate.- However, the union is; usually free to strike, and.undersome circumstances the employer may lock- out. Thus, at somepoint in the negotiation of an initial contract, the crisisatmosphere of a deadline. may be created.

Grievance Pocedure.Labor agreements are not easily applied and interpreted.

In the United States, in contrast to some other countries,typical agreements include at least some coverage of a. multitudeof terms and conditions of employment. Questions and differencesof opinion arise frequently as to how a basic agreement provi-sion is to be applied to a specific. situation. Some contractualprovisions are purposely generalized in.language, leaving a con-siderable amount of latitude of application.To provide a collective bargaining forum for resolution of

these many important day-byday operating problems, mostagreements include a grievance procedure. Grievance proce-dures vary greatly in both form. and content. At small plants aquite simple one- or two-step procedure suffices. In largerestablishments and particularly for multiplant companies,i theremay exist as many as four or five steps. The commonr element

F-42

is that a regularized procedure is established under which theaggrieved employee or employees together with appropriateunion representatives attempt to resolve the problem withrepresentatives of management. In the many-step procedures,representatives of both the company and the union at increas-ingly higher levels of authority participate if the matter is notsettled at a lower step.

Except for the fact that the parties may create their ownrestrictions, a strike could occur whenever a grievance isunresolved. In the earlier years of collective bargaining, thisis precisely what did happen in many grievance situations. InGreat Britain today, grievance strikes or the equivalent con-stitute the great bulk of all strikes.

In the United States, approximately 95 percent of all laboragreements now contain provisions for voluntary arbitration ofmost grievances that remain unresolved after the last step ofthe two-party grievance procedure. A grievance arbitrator istypically chosen by joint agreement of the company and theunion, either for one occasion (ad hoc arbitrator) or for allcases that may arise over a specified future period of time(so-called permanent arbitrator). The arbitrator hears theevidence and the positions of the parties and examines the con-tract. He then issues a decision, usually in writing, which theparties have agreed in advance to accept.The grievance procedure, including voluntary arbitration

when needed, represents a conscious surrender of certain rightsin return for labor peace during the life of the contract. Theunion and the employees give up the right to strike buit acquirea procedure for settlement that may include a decision by animpartial person. The employer gives up the right to lock outand embraces the possibility that a final management positionmay be overruled or modified.The grievance procedure, including arbitration, creates an

important body of cormmon law in the plant, implementing andsupplementing the basic agreement.

Final answers to grievRnce problems, whether achieved bythe parties themselves prior to arbitration or by arbitration,do not necessarily resolve these matters for all time. A grievancedisposition that is unsatisfactory to one or both parties maybecome an issuie, and possibly the occasion for a strike or lockout,in the next contract negotiations.

In short, a viable grievance procedure and grievance arbitra-

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ABCs OF COLLEcivE BARGAINING

tion are important integral parts of collective bargaining. Mfore-over, even the arbitration decisions are four-square with theprinciple of voluntarism. The parties have agreed to the procesin return for labor peace, and any decision can be reopenedat the time of the next contract negotiation.

Noncrisis DialogueContract negotiation and grievance procedure represent the

only collective bargaining forums in many company-unionrelationships. However, it is becoming increasingly evidentthat some common problems are not easily resolved by eitherof these methods. Rapid technological change frequently createsmajor issues during the lLfe of a long-term agreemr.en. that thenegotiators could not or did not anticipate. The grievanceprocedure may not be designed for or capable of resolution ofsuch issues. Some types of problems could theoretically beresolved during the process of negotiating an agreement, butthe deadline pressures do not provide the necessary time orthe appropriate environment for the development of construc-tive solutions.

Since noncrisis dialogue will be considered fully in a sub-sequent chapter, no attempt will be made here to describe theprocess in any detail.

EFFECTUATION OF THE REPRESENTATION PRINCIPLEContract bargaining is perfonned by negotiating teams on

both sides of the table.A union or a group of unions select a number of persens to

represent the employees. Selection may be accomplished by elec-

F-44

tion or appointment. The number of members of the negotiatingcommittee varies widely, dependent both on the size of the em-ployee group and on custom and practice. One member is thechairman or principal spokesman. A variety of subcommitteesmay be created, again dependent on the size and importance ofthe negotiations or on past practice.The company or the group of companies included in an

employer's association designate the management negotiatingteam and the chairman or principal spokesman. As is the caseon the union side, the composition of the managementnegotiating committee will vary depending on many factors.Usually the team includes industrial relations staff specialistsand men directly responsible for production.On some occasions, the principal spokesman for a company

or a union, or both, is a labor relations lawyer retained forthe negotiations. However, this is a practice most likely to befound in smaller bargaining relationships where full-time laborrelations specialists are not employed. Normally, if an outsidelawyer is present at all, he is in the negotiations as anadvisor and to assist in drafting contract language after thenegotiators have reached an agreement in principle.

In grievance procedure prior to grievance arbitration, bothsides develop their representation in various ways. Most unionsestablish a continuing grievance committee composed basicallyof a group of shop stewards or committeemen. The chairmanof the grievance committee may be an officer of the localunion or a person in a special elective position. The companyrepresentatives are members of the industrial relations staffand production supervisors. Outside lawyers are seldom utilized.

If a grievance is not resolved and is to be submitted toarbitration, the local plant grievance committees are frequentlysupplemented at the arbitration hearings by an internationalunion representative or a lawyer on the union side and a higherranking company industrial relations staff specialist or a lawyeron the company side. Occasionally this type of expansion oflocal plant grievance committees also occurs at the last grievancestep prior to arbitration.

At small or medium size companies, the composition ofgrievance committees may be essentially the same as the contractnegotiating committees. This is much less likely to occur atlarger establishments.

For purposes of noncrisis dialogue, the selection of partici-

F-45

ABCs OF COLLECTIVE BARGAINING

pants is dependent on many factors, including the type ofdialogue contemplated. Frequently, both company and unionpersonnel may include individuals in the hierarchies who maynot normallv participate actively cither in contract negotiationor grieviance procedure. Special-purpose committees or proceduresare usually staffed by persons selected because of their particuilarcompetence in the matter to be discussed.The common element in all these arrangements is some

realistic effectuation of the principles underlying representativeforms of government.

SCOPE OF SUBJECT MATTERSINCLUDED IN BARGAINING

What are the subject matters about which companies anduinions bargain? Answers to this question are so varied that itis impossible to be definitive except within the context of aspecific case. However, a general framework for answers can beexplored. For purposes of simplicity, this discussion will ignorevery complicated and controversial questions concerning so-called mandatory subjects for bargaining, as determined by theNLRB.When a union develops its demands preparatory to contract

negotiation, it has a wide choice of potential issues. General wageincreases are usually requested. But that issue may be onlyone among many. Additional demands may be of two varieties.Some will be requests for improvement of benefits or other pro-visions that already exist in the expiring contract. Some maybe for new benefits or contractual arrangements about which theexpiring contract was silent. Demands may be formulated in avariety of ways. Increasingly, local unions submit suggestions,thtis effectuating the democratic principle. Sometimes, union offi-cials develop the demands after only informal discussion atlower levels of the union.Company demands are likely to be fewer in nuimber. Normally

they will be limited to requests for changes of provisions of theexpiring contract that, in the company view, have been onerousor unpalatable. Sometimes a wage reduction will be requested.A better understanding of union demands in negotiation may

be gained by placing them in time perspective. WVe will assume asizable manufactuiring plant that was organized in the late 1930s.If it was well managed it had a unilaterally determined wagestructure and many established company policies governing

F-46

working conditions. A typical first agreement was what hassometimes been called a "foot in the door" contract. A wageincrease was probably negotiated. In addition, the union ob-tained some contractual protection on matters most vital to em-ployees, such as unjust discharge and seniority. Some type ofgrievance procedure was likely to have been included. The firstagreement was a rather simple document. Thereafter, almostevery time the agreement was renewed, new items were addedand old provisions were improved or enlarged. Each time theunion demands were framed, the high-priority items were thebenefits or work-rule changes considered most important by em-ployees. Obviously, all union goals were not reached, but somedemands were granted by the company. Thus, the labor agree-ment grew in size and complexity.As we visualize the gradual growth of labor agreements at

hundreds of manufacturing plants in this general manner, wewould expect great diversity to develop. Unilateral policies ofCompanies A, B, and C are by no means identical when theprocess starts. Since employees strive to improve those items theyconsider to be most important, the labor agreement at CompanyA may acquire a provision on some item not considered essentialat Company B or C. Resistance to change varies among companies.Technologies and pay practices are quite different. For example,scheduled hours of work and overtime pay arrangements at acontinuous-process plant that must operate seven days a week and24 hours a day are quite different from those at a plant normallyoperating only five days a week on a one- or two-shift basis. Or,one plant may pay most of its employees at piece rates and anotherat hourly rates. In short, we would expect almost infinite varietyas the many labor agreements increase their subject-matter cov-erage, botli as to matters included in agreements and as to thespecific language and intent of the various contract clauses.

But there are also factors working toward uniformity. Inter-national unions develop policies on variouis subjects that membersattempt to obtain at all plants. Multiplant companies do notnormally want widely differing policies at their several plants.Competing companies in the same industry tend to move to-wards uniform conditions. During World War II, National WarLabor lBoard policies had a marked tendency to level out dif-ferences on many matters.These opposite tendencies, one toward great diversity and the

other toward uniformity, continue to operate today. Close ex-aminationi of labor agreements in a variety of industries will

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ABCS OF COLLETVE BARGAININC

disclose different language on almost any subject that is selectedfor inquiry. Substantial but somewhat lesser differences of basicintent and application will also be found..One trend is almost universal. Labor agreements get bigger

and bigger as a bargaining relationship continues over a periodof years. More and more subjects creep' into the agreements. Thedetailed coverage of any one subject is also likely to expand.Some bargainers choose to keep their basic labor agreements

relatively short and simple. In such instances the'expansion oc-curs by way of a variety of supplemental agreements. Somebargainers attempt to put most of the agreement into a singlebooklet. The result may rival a telephone book for size. In allinstances, the operation of the grievance procedure and griev-anee arbitration both clarifies and amplifies the agreement lan-guage.Thus, the total scope of labor agreements between a company

and a union in a matuire relationship is extensive and complex.The 1968-1971 agreements between the United States Steel

Corporation and the United Steelworkers of America, coveringproduction and maintenance employees at the company's steel-manufacturing and by-product coke plants, are examples of therestilts of collective bargaining over'a period of about 30 years.The basic'agreement, printed in a four by six and a-half inchbooklet, runs 123 pages. Appendices in the same booklet total28 pages. Separately printed supplements on important subjectssuch as pensions, insurance, and job evaluation increase thetotal bulk of all relevant agreements to many times the size ofthe basic agreement. Recorded grievance settlements and arbi-tration decisions fill many volumes.The following list (not in order of appearance in the basic

agreement and condensed by the author for present purposes)includes the more significant matters covered, in whole or inpart, in these U.S. Steel agreements:

A. Economic benefits witlh provisions for application and effectua-tion.1. Wage rate matters

a. General wage increases (luring life of agreementb. Job classification rates (supplemented by a very detailed

Job Des ription and C assification Mfanual)c. Incentive pay provisions (supplemented by detailed plans

at the several plants)d. Provisions governing new and clianged jobs (lhourly rated

andl incentive)e. Apprentice an(1 leatrner rates

F-48

2. Pensions (separate agreement)3. Insurance (separate reement)4. Supplemenubenits (supplemented by de.

tailed bolt5. Savings and vacation plan (supplemented by detailed

booklet)6. Holidays and holiday pay7. Vacations and vacation pay8. Shift differentials9. Definitions of normal hours of work and special pay pro-

visions for Sunday, abnormally sclheduled, or unscheduledhoun of work

10. Overtime pay11. Reporting pay12. juny pay13. runeral leave ancl pay14. Severance pay (other than pensions)15. Moving allowances for interplant transfer under certain con-

ditions

B. Provisions generally classified as noneconomic, some of whichmay have cost implications:1. No-strike, no-lockout dauses2. Grievance procelure and arbitration3. Reference to local working conditions at the various plants

(supplemented by a variety of written and unwritten agree.ments at these plants)

4. Seniority (supplemented by detailed seniority arrangementsat the several plants)

5. Suispension and discharge*6. General statements of management rights andl responsibilities7. General statements of union rights andi responsibilities8. Union security and check-off9. Subcontracting of work10. Safety anti lhealth provisions11. Seheduling of vacations12. Division of overtime work (primarily spelled out by local

plant arrangements)13. Supervisors' working provisions and arrangements relative to

temporary foremen14. Rules governing riglhts of access to plants by certain union

representatives15. Employee rights to transfer to other plants under certain

conditions16. Rights of employees who enter military service17. Duration of agreement

.Separate agreements at each plant cover a wide variety of matters,only some of which are noted specifically in the above list.

F-49

ABCs OF COLLECTIVE BARGAINING

It requires only superficial examination of the list to con-clude that discussion and decisionmaking by collective bargainingincludes most of the subject matters of importance at the workplace.Agreements at small plants are much less complex but are

likely to include at least'some reference'to most of the matterslisted'above a! covered by agreements at U. S. Steel.At the time of any one contract negotiation, a union will

seek changes in only a fraction of the provisions of the expiringagreement. But it is free to propose almost anything. Thus, thepotential scope of collective'bargaining is very large. Appetitesfor changes or for entirely new benefits are curtailed initiallyby a union's observance of some semblance of reality and finallyby what is obtainable from a company. This enlargement of thescope of'bargaining is frequently a matter of serious dispute. Manycompanies believe that some union demands encroach on -vitalareas of management prerogative.

RESULTS OF COLLECTIVE BARGAININGIN CONTRAST TO OBJECTIVES OF THE PARTIES

It is too often assumed that collective bargaining is dominatedby conflict and that the interests of employees and employersare almost always mutually antagonistic. Peace and cooperationare seldom newsworthy, whereas strife and discord make head-lines.The fact is that substantial elements of mutual interest are

present in-almost all collective bargaining.:For a company to be profitable and "ahead of the pack" com-

petitively is advantageous to workers as well as to the employer.As one prominent management representative noted succinctly:"It is of benefit to nobody to perform a hysterectomy on thegoose that lays the golden eggs." 1

For 'workers to be reasonably satisfied with terms and condi-tions of employmen't and to want to continue the employmentrelationship is likewise mutually advantageous. An experienced,cooperative work force is one of the best assets a company canhave-more significant than many items that appear on a bal-ance sheet. Many companies with the power to punish a unionseverely after a long "lost strike" do not press their advantage un-duly. Short-term economic gain that might be secured thereby

'Virgil B. Day, Vice Prcsident, Gencral Electric Company, in a speech at theJanuary 1967 National Seminar of the Federal Mediation and Conciliation Senrice.

F-50

would be outweighed by the deterioration of employee morale.Moreover, especially as respects many so-called noneconomic

issues-the rules applicable to day-by-day plant operation at theworkplace level-mutual interest may be paramount.

Conflict does arise. Interests are sharply divergent on manysubjects. These are the portions of the collective bargaining ice-berg that emerge from the surface for all to see. But the hiddenportion of the iceberg-the mutual-interest portion-may beeven more important.To carry the analogy one step further, there is no uniform

density or specific gravity of collective bargaining icebergs. Insome relationships, conflict is minimal and mutual interestoverwhelming. At the other extreme, conflict is dominant andmutual interest hard to find.

It may be useful to list qualitative and somewhat subjectiveresults of collective bargaining in contrast to the objectives of theparties. The borderlines between the four categories to be notedbelow are not clean-cut, but an attempt to differentiate maypoint out the range of the collective bargaining spectrum. Bar-gaining results in:

1. Codification and clarification of items subject to easy agree-ment.

2. Discovery of creative solutions to matters initially thoughtto be sources of serious conflict.

3. Achievement of viable compromise in real and persistentconflict-of-interest issues.

4. Acceptance by one or both parties of the advisability ornecessity of complete capitulation on some issue or iuuesin view of the altematives.

These four categories can be explained within the context ofa typical contract-renewal negotiation. The union usually entersthe first conference with a long "laundry list" of demAnds. Thecompany counters with a shorter list of contract changes thatit seeks to achieve. What happens to these initial demands?Easy SolutionsAt a reasonably early date in the negotiations, some of the

union requests and perhaps a few of the company requests havebeen "disposed of." The changes sought are so obviously reason-able or mutually advisable that these issues are settled quickly.Specific new or amended contract language may be written and

F-51

ABCs OF COLLECTIVE BARGAINING

initialed to remove the issues from further discussion. Sometimesthe understanding is informal and the writing is deferred to thefinal-agreement stage. The important point is that these mattersare realistically removed from controversy and everybody at thebargaining table knows it. These solutions are not necessarilyconfined to trivial matters; sometimes they are quite important.Creative DiscoveryThe second category is similar to the first in that mutually

satisfactory answers are found. It is dissimilar in that verygenuine conflict appeared to exist at the outset of negotiations.Long, labored, and sometimes profane discussion gradually dis-closes the real objectives of both parties. An inventive answerfinally emerges. It may come in painful steps. More rarely, it"bursts forth," sometimes from a most unlikely source. Allmembers of the negotiating group are likely to contribute some-thing to the evolutionary process. Sometimes the source of thesolution cannot even be traced. More often there is strong leader-ship on both sides of the table, leadership which is ready andwilling to acknowledge and digest even the smallest contributionfrom others.

This is the most creative aspect of bargaining. It is a processof discovery. Something quite new has been added, somethingthat simply would not have happened in the absence of sharpintelligence and good will directed towards resolution of a dif-ficult common problem.The so-called M & M (Mechanization and Modemization)

Agreement, negotiated in 1960 by the Pacific Maritime Associa-tion and the International Longshoremen's and Warehousemen'sUnion, is an illustration. For many years, longshore workers onthe Pacific Coast had insisted upon and obtained work practicesgeared to an older technology. As machines and equipment im-proved, the old rules persisted or even were tightened in somerespects. The obvious motivation was workers' fear of loss ofjobs due to new methods and machines. Management becameincreasingly restive. The restrictions were onerous and were pre-venting technological advance. Moreover, numerous disputes onthe docks were causing "quickie" strikes and loss of production.The negotiators faced up to the problem candidly and fear-lessly but not painlessly. The union gave up most of the re-strictions. The employers paid substantially, notably in a 35-hour-per-week work guarantee for regular men and numerous

F-52

pension and other benefits These benefits were assured by asizable fund created by employer p ts.

In ca tem, it wa a "buy-off." In realistkic ters, it wasindustial aate.anship. The ageement has been dribedpictoally and candidly in a book, Mem and Machines, pub-lished jointly by the PMA and the ILWU. A part of the jointstatement of the parties reads:"In this bargain both sides gained: the worker a new fonr of se-curity, the employer a new latitude in operations"The impotant point is that the turn was made. If it develops thatone side or the other got the better part of the bargain, then thiswill be a subject of future colective bargaining. Both the ILWUand the PMA are trong enough in their own right. They can takecae of themsel

he deciion to bunch the M & M program is irversible; thechange has been made."Old work rules cannot be restored; employer contribution to theM & M fund cannot be returned."It is too early to tell whether the agreement itself may have to bemodified, but it will not be abandoned."Meanwhile, this pioneering effort in the field of Men and Machinesis working, and working well on the West Coast waterfront." 2At the expiration of the five-year agreement, the M & M

Agreement was modified in some particulars. In 1969, a con-tainerization dispute threatened temporarily to disrupt the rela-tionship eriously. In a rapidly changing technology, few thingsare static. But the M & M Agreement was and is a solid frameworkfor solution of both old and new problems.Other examples of this "discovery" aspect of collective bar-

gining are many and varied. They belie the common impres-sion that collective bargining is not creative.Vsable CoumpodsViable compromise differs from creative discovery in a quali-

tative or psYchological sense. An acceptable answer is found thatdiffen from the initial position of either party. But it is notagree to with much enthusiasm by the negotiators. It is lessthan the union really wants and more than the company reallywants to give, even after full and complete discussion. It is not atrulY creative discovery. It is something that both can live

LAouis Goldblatt (ed.). MEN Apo Macmns, International Lon phoremen's andWsar emen's Unin and Pacific Maritime Asocdation, San Frnn 1968, p. 125.

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ABCs OF COLLECTnVE BARGAINING

with, at least for the duration of the agreement, and it may beacceptable only because the alternative strike costs are too great.Compromise of a wage demand is often a good illustration.Compromise is not a dirty word. It is a necessary ingredient

of the decisionmaking process in a democratic society.

CapitulationCapitulation-giving up completely to a union or company

demand or complete withdrawal by a union or a company ofone of its demands-is a frequent result of collective bargain-ing. It too can be considered as a spectrum. At one end of theband are those union or company demands that were not verymeaningful or important even when they were made. Theywere "window dressing" items. At the other end are issueswhere capitulation may be accompanied by great bitterness. Inthe middle of the spectrum are "trade-off" capitulations, notdesirable to the party that acquiesces but acceptable by reasonof capitulation by the other party on other issues.

SummaryThe final agreement between the parties in each of the many

thousands of contracts negotiated each year is some mix of thiseasy agreement-creative discovery-compromise-capitulation range.Many mixes include little or no unhappy capitulation. Both

union and company negotiators honestly believe that a goodjob has been done. Such negotiations are seldom accompaniedby strikes and mediation is not often needed. The basic relation-ship between the parties is cordial and productive.

In-between mixes occupy various positions within the rangeand may or may not be accompanied by strikes or lockouts.Mediation is often required. Some unhappiness with the finalagreement may exist on the union or company side, or on bothsides, but the normal reaction at the time of settlement is thatthe contract is something that can be lived with for its duxation.Little real bitterness has been created by the new agreement.Acquiescence in the total result overrides disappointment abouta few specific segments.

In a limited number of negotiations, the result is almost com-plete capitulation by a company or by a union on the import-ant issues. This can occur after a long strike. Or, it can takeplace without a strike wherc the power factors are so unequalthat the weak side realizes the futility of a struggle. In either

F-54

event, negotiations characterized by almost total capitulationare likely to leave scars that may not fade for many years. Theweak party nurses its wounds. Acquiescence is only temporay.Hope remains that the power factors will be reversed the nexttime. Or, frustrations may seek release during the term of theagreement in the grievance procedure and otherwise by lessthan cooperative and productive behavior. Fortunately, these re-actions are not typical. However, they do occur, in response toeither union or company power that is overwhelming. A med.iator may be powerless to prevent them, but he may be ableto help avoid more serious consequences.

BASIC GOVERNMENT POLICY ABOUTCOLLECTIVE BARGAINING

The basic policy of the Federal Government as respect col-lective bargaining is summarized in the last par agaph of TitleI, Section 101, Section I of the Taft-Hartley Act which reads:

"It is hereby declared to be the policy of the United States to elimi-nate the causes of certain substantial obstructions to the free flowof commerce and to mitigate and eliminate these obstructions whenthey have occurred by encouraging the pratice and procedure ofcollective bargaining and by protecting the exercise by worken offuil freedom by association, selfni on, and des tion ofrepresentatives of their own choosing, for the purpose of negotatsingthc terms and conditions of their employment or other mutual aidor protection." 3

It is significant that this section of the Taft-Hartley Act,passed in 1947, is substantially identical to an earlier provisionof the 1935 Wagner Act. This is so despite substantial chanmade in 1947 which were openly designed to add weight to theemployer side in the bargaining power balance.

Moreover, Title II, Section 201 (a), new in 1947, reads inpart as follows:

(a) sound and stable industrial peace and the advancement of thegeneral welfare, health, and safety of the Nation and of thebest interest of employers and employees can most satisfac-torily be secured by the settlement of issues between employersand employees through the processes of conference and collec-tive bargaining between employers and the representatives oftheir employees." 4

Itaia supplied.Italia supplied.

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ABC's OF COLLEcTIvE BARGAINING

CALIFORNIA GOVERNMENT POLICY ABOUTCOLLECTIVE BARGAINING

The state of California has indicated its posi-tion on collective bargaining in several statutesprotecting the collective bargaining rights of pub-lic employees. These statutes express the statepolicy on collective bargaining, which is seen asa reasonable method of resolving disputes concern-ing the employment relationship, thereby promoting"full communication" between employer and employ-ees. The opening section of the latest Californiacollective bargaining bill, SB 839 (1977), typi-cally states California policy pertaining to thepublic sector, providing for collective bargainingwhile retaining the merit principle. This sectionis reproduced below.

California Government Code, Sction 3512

It is the purpose of this chap-ter to promote full communicationbetween the state and its employ-ees by providing a reasonable me-thod of resolving disputes regard-ing wages, hours, and other termsand conditions of employment be-tween the state and public employ-ee organizations. It is also thepurpose of this chapter to promotethe improvement of personnel ma-nagement and employee-employer re-lations within the State of Cali-fornia by providing a uniformbasis for recognizing the right ofstate employees to join organiza-tions of their own choosing and berepresented by such organizationsin their employment relations withthe state.

Nothing in this chapter shallbe construed to contravene thespirit or intent of the meritprinciple in state employment.

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A GLOSSARY OF COLLECTIVE BARGAINING TERMS

ANNUAL IMPROVEMENT FACTOR

A provision in a collective agreement which requiresthat all employees in the negotiating unit who do notjoin the exclusive representative pay a fixed amountmonthly, usually the equivalent of organization dues,as a condition of employment. Under some arrange-ments, the payments are allocated to the organization'swelfare fund or to a recognized charity. An agencyshop may operate in conjunction with a modifiedunion shop. (See Union Shop.)

AGREEMENT

See Collective Bargaining. A written agreementbetween an employer (or an association of em-ployers) and an employee organization (or organ-izations), usually for a definite term, definingconditions of employment (conditions, etc.),rights of employees and the employee organization,and procedures to be followed in settling disputesor handling issues that arise during the life of theagreement.

AMERICAN ARBITRATION ASSOCIATION (AAA)

A private nonprofit organization established to aidprofessional arbitrators in their work through legaland technical services, and to promote arbitrationas a method of settling commercial and labor dis-

putes. The AAA provides lists of qualified arbitratorsto employee organizations and employers on requ!st.

AMERICAN FEDERATION OF LABOR -CONGRESS OF INDUSTRIAL ORGANIZATIONS(AFL-CIO)

A federation of approximately 130 autonomousnational/international unions created by the mergerof the Anmerican Federation of Labor (AFL) and theCongress of Industrial Organizations (CIO) inDecember 1955. More than 80 percent of unionmemibers in the United States are members of unionsaffiliated with the AFL-CIO. The initials AFL-CIOafter the name of a union indicate that the union isan affiliate.

Wage increases granted automatically each contractyear, which are based upon increased employeeproductivity.

ARBITRATION (VOLUNTARY, COMPULSORY,ADVISORY)

Method of settling employment disputes throughrecourse to an impartial third party, whose decisionis usually final and binding. Arbitration is voluntarywhen both parties agree to submit disputed issues toarbitration and compulsory if required by law. Acourt order to carry through a voluntary arbitrationagreement is not generally considered as compulsoryarbitration. Advisory arbitration is arbitrationwithout a final and binding award.

ARBITRATOR (IMPARTIAL CHAIRMAN)

An impartial third party to whom disputing partiessubmit their differences for decision (award). Anad hoc arbitrator is one selected to act in a specificcase or a limited group of cases. A permanentarbitrator is one selected to serve for the life of theagreement or a stipulated term, hearing all disputesthat arise during this period.

AUTHORIZATION CARD

A statement signed by aii employee authorizing anorganization to act as his representative in dealingswith the employer, or authorizing the employer todeduct organization dues from his pay (checkoff).(See Card Check.)

BARGAINING RIGHTS

Legally recognized right to represent employees innegotiations with employers.

BARGAINING UNIT

Group of employees recognized by the employer or

group of employers, or designated by an authorized

AGENCY SHOP

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agency as appropriate for representation by anorganization for purposes of collective negotiations.

BOYCOTT

Effort by an employee organization, usually incollaboration with other organizations, to dis-courage the purchase, handling, or use of productsof an employer with whom the organization is indispute. When such action is extended to anotheremployer doing business with the employer in-volved in the dispute, it is termed a secondaryboycott.

BUMPING (ROLLING)

Practice that allows a senior employee (in seniorityranking or length of service) to displace a jurnioremployee in another job or department during alayoff or reduction in force. (See Seniority.)

BUSINESS AGENT (UNION REPRESENTATIVE)

Generally, a full-time paid employee or official ofa local union whose duties include day-to-daydealing with employers and workers, adjustmentsof grievances, enforcement of agreements, andsimilar activities. (See International representative.)

BUSINESS UNIONISM ("BREAD-AND-BUTTER'UNIONISM)

Union emphasis on higher wages and better workingconditions through collective bargaining rather thanpolitical action or radical reform of society. Theterm has been widely used to characterize the ob-jectives of the trade union movement in the UnitedStates.

CALIFORNIA PUBLIC SECTOR LABORLEGISLATION. See P. F-66

CARD CHECK

Procedure whereby signed authorization cards arechecked against a list of employees in a prospectivenegotiating unit to determine if the organization hasmajority status. 7he employer may recognize theorganization on the basis of this check without aformal election. Card checks are often conducted byan outside party, e.g., a respected member of thecommunity. (See Authorization card.)

CERTIFICATION

Formal designation by a government agency of theorganization selected by the majority of theemployees in a supervised election to act as exclu-sive representative for all employees in the bargainingunit.

CHECK-OFF (PAYROLL DEDUC`lON OF l)UEIS)

Practice whereby the employer, by agreement withthe employee organization (upon written author-ization from each employee where required by lawor agreement), regularly withholds organizationaldues from employees' salary payments and transmitsthese funds to the organization. The check-off isa common practice and is not dependent upon theexistence of a formal organizational security clause.The check-off arrangement may also provide fordeductions of initiation fees and assessments.(See Union security.)

CLOSED SHOP

A form of organizational security provided in anagreement which binds the employer to hire andretain only organization members in good standing.The closed shop is prohibited by the Labor Manage-ment Relations Act of 1947 which applies, however,only to employers and employees in industriesaffecting interstate commerce.

COLLECTIVE BARGAINING

CALL-IN PAY (CALLBACK PAY)

Amount of pay guaranteed to a worker recalled towork after completing his regular work shift.Call-in pay is often used as a synonym forreporting pay. (See Reporting Pay.)

A process whereby employees as a group and theiremployers make offers and counter-offers in goodfaith on the conditions of their employment relation-ship for the purpose of reaching a mutuallyacceptable agreement, and the execution of a written

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document incorporating any such agreement ifrequested by either party. Also, a process wherebya representative of the employees and their em-ployer jointly determine their conditions ofemployment.

COMPANY UNION

An employee organization that is organized,financed, or dominated by the employer andis thus suspected of being an agent of theemployer rather than of the employees. Companyunions are prohibited under the Labor Manage-ment Relations Act of 1947. The term alsosurvives as a derogatory charge leveled againstan employee organization accused of beingineffectual.

COMPULSORY ARBITRATION

(See Arbitration.)

CONCILIATION

(See Mediation.)

CONSULTATION

An obligation on the part of employers to consultthe employee organization on particular issuesbefore taking action on them. In general, theprocess of consultation lies between notificationto the employee organization, which may amountsimply to providing information, and negotiation.which implies agreement on the part of the organ-ization before the action can be taken.

CONTINUOUS NEGOTIATING COMMITTEES(INTERIM COMMITTEES)

Committees established by employers and employeeorganizations in a collective negotiating relationshipto kcep an agreement under constant review, andto discuss possible changes in it long in advance ofits expiration date. The continuous committeemay provide for third-party participation.

CONTRACI BAR

A denial of a request for a representation election,based on the existence of a collective agreement.Such an election will not be conducted by theNational Labor Relations Board if there is in effecta written agreement which is binding upon theparties, has not been in effect for more than a"reasonable" time, and its terms are consistent withthe National Labor Relations Act. "Contract bars"in state government are established by state lawsand state agencies.

COOLING-OFF PERIOD

A period of time which must elapse before a strikeor lockout can begin or be resumed by agreementor by law. The term derives from the hope thatthe tensions of unsuccessful negotiation will sub-side in time so that a work stoppage can be averted.

CRAFT UNION

A labor organization which limits membership toworkers having a particular craft or skill or workingat closely related trades. In practice, many so-calledcraft unions also enroll members outside the craftfield, and some come to resemble industrial unionsin all major respects. The traditional distinctionbetween craft and industrial unions has been sub-stantially blurred. (See Industrial Union.)

CRAFT UNIT

A bargaining unit composed solely of workers havinga recognized skill, for example, electricians, machinists,or plumbers.

CREDITED SERVICE

Years of employment counted for retirement,severance pay, seniority. (See Seniority.)

CRISIS BARGAINING

Collective bargaining taking place under the shadowof an imminent strike deadline, as distingLuished fromextended negotiations in which both parties enjoy

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ample time to present and discuss their positions.(See Continuous bargaining committees.)

DECERTIFICATION

Withdrawal by a government agency of an organ-ization's official recognition as exclusive negotiatingrepresentative.

DILLS BILL

See CALIFORNIA PUBLIC SECTORLABOR LEGISLATION, P. F-66

ESCAPE CLAUSE

General term signifying release from an obligation.One example is found in maintenance-of-membershiparrangements which give union members an "escapeperiod" during which they may resign from member-ship in the union without forfeiting their jobs.

EXCLUSIVE BARGAINING RIGHTS

The right and obligation of an employee organi-ization designated as majority representative tonegotiate collectively for all employees, includingnonmembers, in the negotiating unit.

DISPUTE

Any disagreement between employers and the em-ployee organization which requires resolution inone way or another; e.g., inability to agree on con-tract terms or unsettled grievances.

FACT-FINDING BOARD

A group of individuals appointed to investigate,a;semble, and report the facts in an employme-itdispute, sometimes with authority to makerecommendations for settlement.

DOWNGRADING (DEMOTION)

Reassignment of workers to tasks or jobs requiringlower skills and with lower rates of pay.

DUES DEDUCTION

(See Checkoff.)

ELECTION

(See Representation election.)

ESCALATOR CLAUSE

Provision in an agreement stipulating that wages areto be automatically increased or reduced periodicallyaccording to a schedule related to changes in thecost of living, as measured by a designated index, or,occasionally, to another standard, e.g., an averageearnings figure. Term may also apply to any tiebetween an employee benefit and the cost of living,as in a pension plan.

"FAVORED NATIONS" CLAUSE

An agreement provision indicating that one partyto the agreement (employer oi union) shall havethe opportunity to share in more favorable termsnegotiated by the other party with another em-ployer or union.

FEDERAL MEDIATION AND CONCILIATIONSERVICE (FMCS)

An independent federal agency which providesmediators to assist the parties involved in nego-tiations, or in a labor dispute, in reaching a settlement;provides lists of suitable arbitrators on request; andengages in various types of "preventive mediation."Miediation services are also provided by several stateagencies.

INDUSTRIAL UNION (VERTICAL UNION)

Generally, supplements to wages or salariesreceived by employees at a cost to employers.The term encompasses a host of practices (paidvacations, pensions, health and insurance plans,etc.) that usually add to something more than a

"fringe," and is sometimes applied to a practicethat may constitute a dubious "benefit" toworkers. No agreement prevails as to the listof practices that should be called "fringe benefits."Other terms are often substituted for "fringebenefits" include "wage extras," "hidden pay-

roll," "nonwage labor costs," and "supplementarywage practices." The Bureau of Labor Statisticsuses the phrase "selected supplementary compen-

sation or remuneration practices," which is thendefined for survey purposes.

GRIEVANCE

Any complaint or expressed dissatisfaction byan employee in connection with his job, pay, orother aspects of his employment. Whether suchcomplaint or expressed dissatisfaction is formallyrecognized and handled as a "grievance" dependson the scope of the grievance procedure.

GRIEVANCE PROCEDURE

Typically a formal plan, specified in a collectiveagreement, which provides for the adjustment ofgrievances through discussions at progressivelyhigher levels of authority in management and theemployee organization, usually culminating inarbitration if necessary. Formal plans may also

be found in companies and public agencies inwhich there is no organization to represent em-

ployees.

IMPARTIAL CHAIRMAN (UMPIRE)

An arbitrator employed jointly by an employeeorganization and an employer, usualiy on a long-term basis, to serve as the impartial party on a tri-partite arbitration board and to decide all disputesor specific kinds of disputes arising during the lifeof the contract. The functions of an impartialchairman often expand with experience and thegrowing confidence of the parties, and he alonemay constitute the arbitration board in practice.

A union that represents all or most of the production,maintenance and related workers, both skilled andunskilled, in an industry, or company. Industrialunions may also include office, sales, and technicalemployees of the same companies. (See Craft union.)

INJUNCTION (LABOR INJUNCTION)

Court order restraining one or more persons, corpor-ations, or unions from performing some act whichthe court believes would result in irreparable injuryto property or other rights.

INTERNATIONAL REPRESENTATIVE(NATIONAL REPRESENTATIVE, FIELDREPRESENTATIVE)

Generally, a full-time employee of a national orintemational union whose duties include assistingin the formation of local unions, dealing withaffiliated local unions on union business, assistingin negotiations and grievance settlements, settlingdisputes within and between locals, etc. (SeeBusiness agent.)

INTERNATIONAL UNION

A union claiming jurisdiction both within andoutside the United States (usually in Canada).Sometimes the term is loosely applied to allnational unions; that is, "intemational" and"national" are used interchangeably.

JOB POSTING

listing of available jobs, usually on a bulletinboard, so that employees may bid for promotionor transfer.

JOINT BARGAINING

Process in which two or more unions join forcesin negotiating an agreement with a single employer.

FRINGE BENEFITS

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F-bl

JURISDICTIONAL DISPUTE

Conflict between two or more employee organ-izations over the organization of a particularestablishment or whether a certain type of workshould be performed by members of one organi-zation or another. A jurisdictional strike is awork stoppage resulting from a jurisdictionaldispute.

LABOR GRADES

One of a series of rate steps (single rate or arange of rates) in the wage structure of anestablishment. Labor grades are typically theoutcome of some form ofjob evaluation, or ofwage-rate negotiations, by which different occu-pations are grouped, so that occupations ofapproximately equal "value" or "worth" fallinto the same grade and, thus, command thesame rate of pay.

LABOR MANAGEMENT RELATIONS ACT OF1947 (TAFT-HARTLEY ACT)

Federal law, amending the National Labor RelationsAct (Wagner Act), 1935, which, among otherchanges, defined and made illegal a number ofunfair labor practices by unions. It preserved theguarantee of the right of workers to organize andbargain collectively with their employers, or torefrain from such activities, and retained thedefinition of unfair labor practices as applied toemployers. The act does not apply to employees -ina business or industry where a labor dispute wouldnot affect interstate commerce. Other rajorexclusions are: Employers subject to the Railwaylabor Act, agricultural workers, goveernment em-ployees, nonprofit hospitals, domestic servants, andsupervisors. Amended by Labor-Managem.entReporting and Disclosure Act of 1959. See NationalLabor Relations Act; National Labor RelationsBoard; Unfair labor practices; Section 14 (b)Labor Management Relations Act of 1947.

LABOR-MANAGEMENT REPORTING ANDDISCLOSURE ACT OF 1959 (LANDRUM-GRIFFIN ACT)

A federal law designed "to eliminate or preventimproper practices on the part of labor organizations,

employers," etc. Its seven titles include a bill ofrights to protect members in their relations withunions; regulations of trusteeships; standards forelections; and fiduciary responsibility of unionofficers. The Labor Management Relations Actof 1947 was amended in certain respects by thisact.

MAINTENANCE-OF-MEMBERSHIP CLAUSE

A clause in a collective agreement providing thatemployees who are members of the employeeorganization at the time the agreement isnegotiated, or who voluntarily join the orgainzationsubsequently, must maintain their membership forthe duration of the agreement, or possibly ashorter period, as a condition of continued employ-ment. See Union security.

MANAGEMENT PREROGATIVES

Rights reserved to management, which may beexpressly noted as such in a collect. agreement.Management prerogatives usually include theright to schedule work, to maintain order andefficiency, to hire, etc.

MASTER AGREEMENT

A single or uniform collective agreement coveringa number of installations of a single employer orthe members of an employers' association.(See Multi-employer bargaining.)

MEDIATION (CONCILIATION)

An attempt by a third party to help in negotiationsor in the settlement of an employment disputethrough suggestion, advice, or other ways of stimu-lating agreement, short of dictating its provisions(a characteristic of arbitration). Most of the medi-ation in the United States in undertaken throughfederal and state mediation agencies. A mediatoris a person who undertakes mediation of a dispute.Conciliation is synonymous with mediation.

MERIT INCREASE

An increase in employee compensation given on thebasis of individual efficiency and performance.

F-o2

MEYERS-MILIAS-BROWN ACT

See CALIFORNIA PUBLIC SECTORLABOR LEGISLATION, P. F-66

MQOONLIGHTING

The simultaneous holding of more than one paidemployment by an employee, e.g., a full-time joband a supplementary job with another employer,or self-employment.

M1ULTI-EMPLOYER BARGAINING

Collective bargaining between a union or unionsand a group of employers, usually represented byan employer association, resulting in a uniform ormaster agreement.

NATIONAL LABOR RELATIONS ACT OF 1935(WAGNER ACT)

Basic federal act guaranteeing employees the rightto organize and bargain collectively through repre-sentatives of their own choosing. The Act alsodefined "unfair labor practices" as regards employers.It was amended by the Labor ManagementRelations Act of 1947 and the Labor-ManagementReporting and Disclosure Act of 1959.

NATIONAL LABOR RELATIONS BOARD (NLRB)

Agency created by the National Labor Relations Act(1935) and continued through subsequent amendments.The functions of the NLRB are to define appropriatebargaining units, to hold elections to determTLinewhether a majority of workers want to be representedby a specific union or no union, to certify urionsto represent employees, to interpret and apply theAct's provisions prohibiting certain employer andunion unfair practices, and otherwise to administerthe provisions of the Act. (See Labor ManagementRelations Act of 1947.)

NATIONAL UNION

Ordinarily, a union composed of a number ofaffiliated local unions. The Bureau of LaborStatistics in its union directory, defines a national

union as one with agreements with differentemployers in more than one state, or an affiliateof the AFL-CIO, or a national organization ofgovernment employees. See International union.

NO-STRIKE AND NO-LOCKOUT CLAUSE

Provision in a collective agreement in which theemployee organization agrees not to strike andthe employer agrees not to lockout for theduration of the contract. These pledges may behedged by certain qualifications, e.g., the organ-ization may strike if the employer violates theagreement.

OPEN-END AGREEMENT

Collective bargaining agreement with no definitetermination date, usually subject to reopening fornegotiations or to termination at any time uponproper notice by either party.

OPEN SHOP

A policy of not recognizing or dealing with a laborunion, or a place of employment where union mem-bership is not a condition of employment. (SeeUnion security.)

PACKAGE SETTLEMENT

Tle total money value (usually quoted in cents perhour) of a change in wages or salaries and supplemen-tary benefits negotiated by an employee organizationin a contract renewal or reopening.

PAST PRACTICE CLAUSE

Existing practices in the unit, sanctioned by use andacceptance, that are not specifically included in thecollective bargaining agreement, except, perhaps, byreference to their continuance.

PATTERN BARGAINING

The practice whereby employers and employeeorganizations reach collective agreements similar

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to those reached by the leading employers andemployee organizations in the field.

PAYROLL DEDUCTIONS

Amounts withheld from employees' earnings bythe employer for social security, federal incometaxe:, and other governmental levies; also mayinclude organization dues, group insurance premiums,and other authorized assignments. (See Clheck-off.)

PICKETING

Patrolling, usually near the place of employnm-ent, bymemnbers of the employee organization to publicizethe existence of a dispute, persuade employees andthe public to support the strike, etc. Organizationalpicketing is carried on by an employee organizationfor the turpose of persuading employees to join theorganization or authorize it to represent them.Recognitional picketing is carried on to comr-nIthe employer to recognize the organization as theexclusive negotiating agent for his employees. !nfor-mational picketing is directed toward advisirg thzepublic that an employer does not employ me.T-rs of,or liave an agreement witlh, an employee organiZation.

PREVENTIVE NMEDIATION

Procedures designed to aniticipate and to stuspotential problems of employment relation,. T'neseprocedures may involve early entry into .n pment disputes before a strike threatens.

PROBATIONARY PERIOD

UsuaLy a stipulated period of time (e.g.. 30 d-ys)during which a newly hired employee is on trislprior to establishing seniority or otherwise becominga regular employee. Sometimes used in relation todiscipline, e.g., a period during which a regular em-

ployee, guilty of misbehavior, is on trial. Probationaryemployee- a worker in a probationary period. Whereinformal probation is the practice, a worker who hasnot yet attained the status of regular employee may

be called a temporary employee.

RAIDING (NO-RAIDING AGREEMENT)

Term applied to an organization's attempt to enroll

members belonging to another organization oremployees already covered by a collective agreementnegotiated by another organization, with the intentto usurp the latter's bargaining relationship. A no-

raiding agreement is a written pledge signed by twoor more employee organizations to abstain fromraiding and is applicable only to signatory organ-izations.

RATIFICATION

Formal approval of a newly negotiated agreementby vote of the organization members affected.

REAL IVAGES

Purchasing power of money wages, or the amountof goods and services that can be acqtiired withmoney wages. An index of real wages takes intoaccount changes over time in earnings levels andin price levels as measured by an appropriate index,e.g., the Consuiiier Price Index.

RECOGNITION

Employer acceptance of an organization asauthorized to negotiate, usually for all membersof a negotiating unit.

REOPENING CLAUSE

Clause in a collective agreement stating the time orthe circumstances under which negotiations can berequested, prior to the expiration of the contract.Reopenings are usually restricted to salaries andother specified economic issues, not to the agree-ment as a whole.

REPORTING PAY

Minimum pay guaranteed to a worker who isscheduled to work, reports for work, and findsno work available, or less work than can be donein the guaranteed period (usually 3 or 4 hours).Sometimes identified as "call-in pay." (SeeCall-in pay.)

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REPRESENTATION ELECTION (ELECTION)

Election conducted to determine whether theemployees in an appropriate unit (See BargainingUnit) desire an organization to act as their ex-clusive representative.

RIGHT-TO-WORK LAW

Legislation which prohibits any contractualrequirement that an employee join an organizationin order to get or keep a job..

RODDA ACT

See CALIFORNIA PUBLIC SECTOR LABORLEGISLATION, P. -F-66

RUNOFF ELECTION

A second election conducted after the first pro-duces no winner according to the rules. If morethan two options were present in the first election,the, runoff may be limited to the two optionsreceiving the most votes in the first election.(See Representation election.)

SENIORITY

Term used to designate an employee's statusrelative to other employees, as in determiningorder of promotion, layoff, vacation, etc.Straight seniority - seniority acquired solelythrough length of service. Qualified seniority -other factors such as ability considered wvithlength of service. Departmental or unitseniority - seniority applicable in a particula:department or agency of the town, rather than inthe entire establishment. Seniority list - individualworkers ranked in order of seniority. (SeeSuperseniority.)

SHOP STEWARD (UNION STEWARD,BUILDING REPRESENTATIVE)

A local union's representative in a plant ordepartment elected by union members (or some-times appointed by the union) to carry out unionduties, adjust grievances, collect dues, and solicitnew members. Shop stewards are usually fellowemployees, and perform duties similar to thoseof building representatives in public schools.

STANDARD AGREEMENT (FORMf AGREEMENT)

Collective bargaining agreement prepared by a nationalor international union for use by, or guidance of, itslocal unions, designed to produce standardization ofpractices within the union's bargaining relationships.

STRIKE (WILDCAT, OUTLAW, QUICKIE, SLOW-DOWN, SYMPATHY, SITDOWN, GENERAL)

Temporary stoppage of work by a group of employees,(not.necessarily members of a union) -to e.xpress agrievance,.enforce a demand for changes in the condi-tions of employment, obtain recognition, or resolve adispute with management. Wildcat or outlaw strike -a strike not sanctioned by union and one which violatesa collective agreement. Quickie strike - a spontaneousor unannounced strike. Slowdown - a deliberate re-duction of output without an actual rtrike in order toforce concessions from an employer. Sympathy strike -strike of employees not directly involved in a dispute,but who wish to demonstrate employee solidarity orbring additional pressure upon employer involved.Sitdown strike - strike during which employees re-main in the workplace, but refuse to work or allowothers to do so. General strike - strike involving allorganized employees in a commbnity or country (rarein the United States). Walkout -same as strike.

STRIKE VOTE

Vote conducted among memubers of ap employeeorganization to determine whether or not a strikeshould be called.

SUPERSENIORITY

A position on the seniority list ahead.of what the em-ployee wvould acquire solely on the basis on lengtlh ofservice or other general seniority factors. Usually suchfavored treatment is reserved to union stewards, orother workers entitled to special consideration in con-nection with layoff and recall to work.

SWEETHEART- AGREEMENT

A collective agreement exceptionally favorable to aparticular employer, in comparison with other con-tracts, implying less favorable conditions of

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employment than could be obtained under a legitimutecollective bargaining relationship.

TAFT-HARTLEY ACT

(See Labor Management Relations Act of 1947.)

UNFAIR LABOR PRACTICE

Action by either an employer or employee organiza-tion which violates certain provisions of national orstate employment relations act, such as a refusal tobargain in good faith. Unfair labor practices strike -a strike caused, at least in part, by an employer'sunfair labor practice.

UNION SECURITY

Protection of a union's status by a provision in thecollective agreement establishing a closed shop, unionshop, agency shop, or maintenance-of-membershiparrangement. In the absence of such provisions, em-ployees in the bargaining unit are free to join or sup-port the union at will, and, thus, in union reasoning,are susceptible to pressures to refrain from supportingthe union or to the inducement of a "free ride."

UNION SHOP

of compliance, but the term is often used loosely inemployee relations.

WHIPSAWING

The tactic of negotiating with one employer at a time,using each negotiated gain as a lever against the nextemployer.

WORK STOWAGE

A temporary halt to work, initiated by workers or em-ployer, in the form of a strike or lockout. This termwas adopted by the Bureau of Labor Statistics to re-place "strikes and lockouts." In aggregate figures,"work stoppages" usually means "strikes and lockouts,if any"; as applied to a single stoppage, it usually meansstrike or lockout unless it is clear that it can only beone. The difficulties in .ermi.ology aris! la.gely frointhe inability of the Bureau of Labor Statistics (and,often, the parties) to distinguish between strikes andlockouts since the initiating party is not always evident.

ZIPPER CLAUSE

An agreement provision specifically barring any at-tempt to reopen negotiations during the term of theagreement. (See reopening clause.)

Provision in a collective agreement that requires allemployees to become members of the union withina specified time after hiring (typically 30 days). orafter a new provision is negotiated, and to remainmembers of the union as a condition of continuedemployment. Modified union shop - vanations onthe union shop. Certain employees may be exempted,e.g., those already employed at the time the provisionwas negotiated and who had not yet joined the union.

WAGNER ACT

(See National Labor Relations Act of 1935)

WELFARE PLAN (EMPLOYEE-BENEFIT PLAN)

Health and insurance plans and other type of employee-benefit plans. The Welfare and Pension Plans DisclosureAct (1958) specifically defines welfare plans for purposes

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CALIFORNIA PUBLIC SECTOR LABOR LEGISLATION

RODDA ACT

The popular name for the newlyenacted California SB 839, theState Employer-Employee Rela-tions Act. The main portionof the act (commencing withGovernment Code Section 3512)adds to and modifies the Gov-ernment Code giving state em-ployees (excepting employeesof state colleges and univer-sities) collective bargainingrights. The state is requiredto "meet and confer in goodfaith" and "endeavor to reachagreement" with the employeeorganization on issues withinthe scope of negotiations.

The Dills Bill changes the nameof the former Educational Employ-ment Relations Board to the Pub-lic Employment Relations Board,and charges the Board to admini-ster both the Rodda Act and theDills Bill.

MEYERS-MILIAS-BROWN ACT

The California act (GovernmentCode Sections 3500 through 3510)governing employee relations forall local government employeesexcept employees of local schooldistricts, certain transit dis-tricts, and employees elected bypopular vote or appointed by thegovernor. The act provides thatthe public employer must meetand confer in good faith withrepresentatives of recognizedemployee organizations. The par-ties have the mutual obligationto endeavor to reach agreement onmatters within the scope of re-presentation (Sec. 3505). TheMMBA was adopted in 1968 and be-came effective January 1, 1969.

The popular name for SB 160, theCalifornia Educational EmploymentRelatio'ns Act (Government CodeSections 3540 through 3549.3)which governs employer-employeerelations in the public schoolsystem. The Act became fullyeffective on July 1, 1976.

The purpose of the Act is to im-prove labor-management relationsin the schools by providing "auniform basis for recognizing theright of public school employeesto join organizations of theirown choice, to be represented bysuch organizations in their pro-fessional and employment relation-ships with public school employers,to select one employee organiza-tion as the exclusive representa-tive of the employees in an appro-priate unit, and to afford certi-fied employees a voice in theformulation of educational policy."(Sec. 3540)

The Educational Employment Rela-tions Board (EERB) was created toadminister the Rodda Act. (Sec.3541) Most recently (1977) theCalifornia Legislature passedSB 839 (the Dills Bill) whichchanges sections of the Rodda Act.The EERB will become the PublicEmployment Relations Board (PERB),dealing with both educational andstate employee relations.

DILLS BILL

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YOUR SUPERVISORY FUNCTION IN A COLLECTIVE BARGAINING SETTING

As a supervisor in a collective bargaining setting, you are a part of

management. Collective bargaining in the United States is referred to

as an "adversary relationship." While during negotiations for contracts

or over other matters such as grievances the parties (organization's

management and the employee organization) may be in opposition, the

parties must work together after an agreement is reached in a continu-

ing relationship. In addition, they must relate to one another as mem-

bers of either the management team or the employee organization.

A genuine supervisor is part of the management team. As such you re-

present management in your dealings with other employees. You have the

responsibility for supporting and advocating the management position.

When you have an opinion that you can back up and that is contrary to

management policy, it should be passed on to your supervisors for con-

sideration. Such opinions should be discussed only with members of the

management team, not with union representatives.

You have the important responsibility of applying the contract on a

day-to-day basis. This responsibility includes making sure that manage-

ment's rights are preserved.

You should know and understand the contract. The contract specifies

the areas in which the employee organization has shared decision-making

with management. But there are also some areas in which management

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reserves the right to make its own decisions. Some of these areas may

or may not be specified in the contract. Generally these areas of man-

agement rights include at least:

- Determinations about the product(s) made or service(s)

rendered by the organization;

- What the work is and how it is to be performed;

- Location or organization structure;

- Type of equipment and machinery used;

- Size of work force;

- Selection of workforce;

- Disciplinary rules;

- Overall financial decisions.

While employees may offer useful suggestions and should be listened to,

the actual decision must be made by a representative of management.

As a supervisor, your actions may be viewed as setting precedents.

Thus it is important that decisions are made in light of the contract

and management policies, as well as with an eye to preserving the right

of management to make its own decisions in the day-to-day operation of

the organization.

To aid you in your job of implementing management policy, you should

expect to have a copy of the contract, receive or have access to state-

ments of management policy, and have these communicated in a way you can

understand and apply them. It is your job to learn them, know them, and

apply them.

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WHY DO WORKERS JOIN UNIONS?

There are several reasons why workers join or keep their membership in

unions.

When there is an existing union in an agency which has a contract with

management that contains a union security clause, workers may have to

join or stay in the union to keep their jobs. In the private sector

particularly, the contract may contain a "union shop" clause, which

may require new employees to join the union within a month of being

hired and to maintain that membership for the duration of employment.

Usually the union has also negotiated a "check-off" system with manage-

ment, so that union dues are deducted from the employee's paycheck be-

fore the employee receives the check.

An employee organization may have an "agency shop" and/or "maintenance

of membership" agreement with the employer. Such arrangements are more

likely to be found in public agencies or in some states which have laws

prohibiting union membership as a condition of employment. A "mainte-

nance of membership" arrangement provides that employees who are members

of a union as of a certain date must retain their membership status.

An "agency shop" arrangement permits the recognized union to collect a

fee from all members of a bargaining unit, even if they are not members.

Since the fee is often equivalent to the fee paid by members, many em-

ployees decide to join the union.

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Where organizing activity is new, employees decide to join for differ-

ent reasons. Generally, they join because of some frustrations in

their work lives and see organizing and bargaining collectively as a

way of bringing about changes in the work place and making management

more responsive to their needs.

In the earlier part of this module we discussed the needs which moti-

vate people--physiological, psychological, and social needs. At dif-

ferent times, in different situations, some needs become more important

than others.

People work as a means of directly or indirectly satisfying many of

their needs. They have expectations about their work organization in

terms of what they should receive to meet some of their needs. Employ-

ees may feel that the company is not doing enough for them. They may

see joining an employee organization as a means to deal more effectively

with management in order to get the rewards and benefits they feel they

deserve, but cannot get on their own.

Below are some examples of what employees might want, and join a union

in hopes of getting:

More money and benefits. The union will try to negotiate

higher wages and more benefits for the employees.

Better hours and working conditions. In collective bar-

gaining, hours of work and working conditions are key issues.

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Security and advancement. By negotiating seniority clauses

and other aspects of promotions and lay-offs, the job secu-

rity and opportunities for advancement of current employees

are protected. By providing representation and grievance

procedures, unions help protect employees from what it views

as unfair practices of management.

To participate in making decisions. Employees want to be

heard on matters affecting their working conditions and

rewards. Often management will not listen to their opinions

or needs. Employees also want to contribute their ideas

to management. Through union organization and representa-

tion, they may make themselves heard.

To participate or feel part of a group. These psychological

and social needs are often forgotten by management. Employ-

ees may want to feel they "belong" and be recognized as hav-

ing valuable thoughts, ideas, and experiences. Joining an

employee organization not only provides a channel to manage-

ment ears, but also gives them a group with which to belong,

identify, and participate.

The supervisor who understands these reasons for belonging to an employ-

ee organization will not think that employees who join a union are not

loyal to the organization or want to make trouble for management. They

are looking for a way of satisfying their needs which were not satisfied

by the existing form of employee-management relations.

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WHAT THE SUPERVISOR CAN DO

The preceding section indicated that employees join unions because they

feel management is not meeting their needs. While upper management

makes many of the decisions affecting wages, hours and working condi-

tions of employees, you, as first-line management, can make decisions

and create an atmosphere which contributes towards filling the needs of

your employees. In doing so, you are acting as an effective supervisor.

The preceding tabs have discussed in detail what makes an effective su-

pervisor. Some of those ideas will be briefly restated and underscored,

particularly for the supervisor whose employees might be organizing. As

will be discussed in more detail later on, such a supervisor may not be

allowed to take certain actions because they can be interpreted as inter-

fering with the employee's right to organize or coercing employees, which

are considered unlawful acts under most collective bargaining statutes.

However, you can become a better manager, more interested in your indi-

vidual employees. You can make certain your actions are fair, that you

are sensitive to your employees and that you are interested in their

needs, desires, and problems. You should know your employees' abilities,

including special skills, as well as their shortcomings. Let your work-

ers know how their work fits in with the goals and functions of the or-

ganization and the importance of their jobs in meeting these goals. As

a work supervisor, you must be familiar with the technical side of the

work done. You know the equipment your workers use as well as the materials.

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Planning your work takes on increased importance. You must plan so

that there is a minimum of wasted human resources or materials. Em-

ployees should be working on the jobs they do best.

Try to promote a friendly, cooperative atmosphere. Good communication

is essential to good supervision and promotes a more cooperative atmo-

sphere. Remember to

- Actively listen to employees' work problems, explanations,

ideas. Reward employees for good suggestions, giving them

credit. Take appropriate action when there are work-related

problems.

- Speak directly and to the point, so that workers have no

doubts about what you mean.

- Let the reasons for changes or directions be known.

- Openly praise employees who deserve it. When criticism

or correction is called for, do it in private.

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THE SUPERVISOR'S ROLE DURING AN ORGANIZING CAMPAIGN

Following the lead of the federal LMRA, most state and local collective

bargaining statutes restrict,by making unlawfulpactions of the employer

which would in effect deny employees the rights granted under such sta-

tutes.

The LMRA in Section 8(a)(1) forbids an employer "to interfere with, re-

strain, or coerce employees in the exercise of the rights of employees

guaranteed in section 7," namely the rights of employees to form, join,

or assist a labor organization, to bargain collectively, or to refrain

from these activities. The act goes on to define further some of the

prohibited practices or "unfair labor practices."

The California collective bargaining statutes, similar to those in many

other states, contain statements prohibiting employers from restricting

or denying the bargaining rights which the statute has set out.

When employers engage in unfair labor practices, the employee organiza-

tion can bring charges against them. Where private sector employees

are covered by the LMRA, the administering agency, the National Labor

Relations Board (NLRB), will investigate and hear the charges. Fines

and/or corrective actions can be imposed on the employer by the Board.

The many such cases the Board has decided over the years have provided

guidance for deciding whether current employer actions are "unfair la-

bor practices" under the law.

F-75

These past NLRB decisions, along with court decisions, also provide

guidance for similar decisions made by the administering agency or the

courts in administering state and local collective bargaining laws and

ordinances.

Under these past decisions, often called the "common law" of labor re-

lations, the employer is liable for the actions (and words) of manage-

ment employees, including supervisors in the area of labor-management

relations. The employer can get into trouble if you, as a supervisor,

do or say something that can be interpreted as an unfair labor practice.

So it is essential to know what you can or cannot do during a union's

organizing campaign. The actions listed below are taken from decisions

of courts and administrative agencies in public and private sector cases,

under a variety of collective bargaining laws.

"Do's" And "Do Not's" During An Organizing Campaign

Do not make any specific statements about the union until your orga-

nization's counsel, consultant, or labor relations specialist has

advised you about what you can or cannot say.

Do not interrogate employees about the union:

- Do not ask employees questions about the union; for example,

whether an employee supports the union, whether other employ-

ees support the union, who attended union meetings, who has

signed an authorization card or petition, who intends to vote

for the union, or similar questions.

F-76

- Do not conduct polls or informal "straw" votes to find out

the extent of the union's support.

- Do not ask job applicants whether they favor unions, or

whether they are or have been union members.

Do be a good listener and keep open the channels of communi-

cation with your employees. Although you may--not ask ques-

tions, you may listen to any information employees wish to

volunteer about the-union. Such information should be re-

ported promptly to management.

Do not spy on your employees.

- Do not-spy,-or give the-impression you are spying, on union

meetings or activities.

- Do not ask an employee to attend a union meeting and report

back to you concerning its results.

- Do be observant as to symptoms of union organizing activity

and report them-promptly to-administration.

Do listen attentively to information volunteered by employees

about.what happened.at a union meeting, and report such infor-

mation promptly.to management.

Do not threaten employees or punish them for.union activity.

- Do not threaten employees-with discharge, discipline, or

adverse job assignments to discourage union support.

- Do not threaten that the organization will adversely change

its operations, subcontract work, or lay off employees if a

union is certified.

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Do not engage in reprisals against union supporters. For

example, employees who support a union should not be fired,

disciplined or reprimanded, or given undesirable work assign-

ments or schedules, or be subjected to unusual enforcement of

work rules, in order to discourage union activities.

Do continue to maintain effective discipline among your em-

ployees, including known union supporters. If you fail to

do so, you may give support to the union's organizing effort.

However, legal counsel should be consulted before an employee

is discharged or severely disciplined during an organizing

campaign. Be sure to document all violations and warnings or

other disciplinary actions.

Do maintain "business as usual" in your department. For exam-

ple, if normal operations would dictate a particular job as-

signment or transfer, you should not hesitate to make such an

assignment or transfer merely because an employee is sympa-

thetic to a union.

Do not make any promises or changes in order to discourage union support.

Do not promise that you or the organization will improve or

change wages, benefits, or working conditions if the employees

cease their support of a union.

Do not make such changes in order to discourage union support.

However, you may implement changes which were decided upon

prior to the advent of union activities, or which are normally

made at a specified time of year.

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- Do tell the employees that management will continues its

efforts to maintain fair and competitive wage and benefit

levels, and continue to make the organization a good place

to work.

Do know the organization's rules for union access and solicitation

and enforce them.

- Do not prohibit employees from soliciting support for a

union if such solicitation is done on the non-working time

of all employees involved.

- Do make sure that working time i's used for work, and that

the organization's policies and regulations regarding soli-

citation and distribution of literature are properly enforced.

- Do notify management immediately if you see outside organizers

soliciting or distribution literature in the organization in

violation-of the management policy on access.

Do give employees truthful information and'facts.

- Do not misrepresent facts about the union or its activities,

or about any campaign issue. Although this might not ordi-

narily be considered a legal violation unless it occurs so

close to the time of the election that the union cannot

effectively reply, your credibility will be impaired if you

misstate the facts.

- Do give your employees helpful information of a factual

nature about the union, and tell them-about the realities

of union membership and representation (including union dues,

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fines, and assessments), existing management benefits and

policies, and other campaign issues.

Do act promptly to correct legally erroneous or misleading

statements by union supporters (e.g., many employees have

been told that they must join the union now. Employees

have the free right to join or not join such organizations.

Obligatory membership (or service fees) could only occur

after negotiations if the organization agreed to it as part

of a negotiated agreement).

Do know what you can say in meetings, speeches and dialogues, and

when you may say it.

- Do not conduct group meetings or give speeches regarding

the union during the last 24 hours prior to the start of a

representation election.

- Do hold such meetings and give speeches at other times

during the campaign, if approved by management.

- Do not assume that the 24-hour rule establishes a 24-hour

moratorium on campaigning, as the rule will probably apply

only to group meetings and speeches.

- Do not say that management would refuse to negotiate if a

union were elected, or that a strike would be inevitable.

- Do feel free to discuss the union with employees at loca-

tions in the organization other than management offices or

management areas.

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You may exercise your right of free speech under the law to make the

following types of statements to employees:

1. Say that you would recognize the union and bargain in good

faith if a majority of the employees want it,-but that im-

provements in wages and benefits are "negotiable" and not

automatic.

2. Tell them they should immediately report any threats or

intimidation of employees by the union or union supporters,

and assure them the management will take all available

action.

3. Remind employees that every person put between them and the

person they are trying to talk to makes it more difficult

to get their point across.

4. Explain;to employees the benefits they presently enjoy, and

remind them that these benefits were provided voluntarily

(or through a more informal meet-and-confer process) without

the need for a union and without payment of union dues and

fees.

5. Tell employees that signing a union authorization card does

not commit them to vote for the union in an election.

6. Inform them that unionization is for all practical purposes

a "one-way trip." During the 12-month certification period

the employees cannot displace the union, and if a contract

is signed during this period it acts as a bar to decertifying

the union for up to three more years.

7. Refute any untruths in the union's communications.

F-81

Do know where you can discuss the union with employees

- Do not call employees into your office or any other manage-

ment office--or any area of the organization which has the

characteristics of a management office--to discuss the union.

- Do not visit the homes of employees specifically to discuss

the union.

- Do feel free to discuss the union with employees in the or-

ganization, except in management offices and similar areas.

- Do not electioneer at or near polling places if an election

is held.

- Do encourage all eligible employees to vote; make time avail-

able for voting; and if necessary, arrange transportation

for off-duty employees who cannot otherwise get to the polls.

Do not sponsor or circulate anti-union petitions among the employees.

Do not assist or solicit employees in revoking authorization cards or

withdrawing from union membership.

Do know the specific "Do's" and "Do Not's" for your agency under the

law applying to you.

F-82

THE SUPERVISOR' S ROLE IN CONTRACT NEGOTIATIONS

The supervisor does not directly participate in contract negotiations.

However, he does have a role in providing information for upper manage-

ment to consider in preparing for negotiations. He also provides

information for the employees,under his s,upervision.

As managers closest to rank-and-file workers, supervisors are very

aware of the problems arising out of the existing contract or set of

rules. In handling grievances they become aware of employee problems

and dissatisfactions. By being close to actual production or provision

of services, they can judge the workability and affects of proposed

changes. They can also suggest changes which will assist the organi-

zation in carrying out its mission more efficiently. All of this in-

formation is important to management in preparing for negotiations as

well as during negotiations.

Wise management will have channels of communication so they can get

this information. There may be regular meetings for supervisors

when this information may be transmitted. The supervisor's boss may

meet with him informally. There may be special pre-negotiation meetings

between supervisors and upper management in order for management to get

this necessary information.

The good supervisor is aware of problems and keeps a record of them.

It is suggested that the supervisor keep a grievance log so that he

has a record. An examination of the log can show the more frequent types

of grievances and point up problem areas. The good supervisor makes a

F-83

point of communicating these problem areas to upper management.

During negotiations, the supervisor can be of help by letting upper

management know employee reactions to various union and management

proposals. The informed supervisor can also improve labor-manage-

ment relations during negotiations by informing his employees of the

status of negotiations. Such information minimizes or may eliminate

rumors which may cause problems.

F-84

THE SUPERVISOR'S ROLE AFTER NEGOTIATIONS

Living With A Collective Bargaining Contract

The product of negotiations is the written contract, or in the public

sector, memorandum of understanding. The contract is the set of param-

eters within which management and labor must operate. In the contract

the management guarantees the overall conditions of employment beyond

those covered by law. Management employees must make sure they carry

out these guarantees fairly and honestly. The guarantee works two

ways--the employee organization guarantees that employees play by the

rules set out in the contract and guarantees management its right to

manage.

Supervising under a contract brings new challenges to the supervisor.

Collective bargaining has a great impact on the supervisor's decision-

making and his relationship with his subordinates. Some of the areas

in which his decision-making must change include:

- Balancing equity against precedent

What may seem "fair" in terms of an individual employee, such

as imposing a lighter penalty on a usually reliable employee,

must be weighed against precedent. If you do not follow the

rule in this case, you may be establishing a new rule by your

practice.

- Balancing ability and seniority

Many union contracts provide that promotions, layoffs, recalls

and overtime of employees be based on ability, and should

ability be equal, seniority prevails. The most senior person

may be given the advantage unless management has objective

F-85

evidence which proves another employee has more ability.

- Losing the ability to individually reward good performance with

extra wages or benefit.

With a union contract wage differentials are usually based on

the job classification. The supervisor usually cannot recom-

mend an increase for an outstanding employee, unless that

employee qualifies and is promoted into a higher rated job

category.

- Balancing efficiency against the contract provision.

Where efficiency might dictate a change in job (and salary)

structure a supervisor may request that management authorize

such a change. However management may not be able to decide

on its own to change wages, working conditions or other

areas that were dealt with during negotiations. Unless

protected by a Managements Rights clause, changes may have

to be negotiated with the union, and/or wait until a new

contract is negotiated.

To meet these challenges successfully, the supervisor must understand

the contract and know how to apply it, using his best management

techniques within the constraints of the contract.

Understanding the Contract

The supervisor should expect to receive a copy of the contract soon

after the agreement is signed. Upon receiving the contract, the

supervisor should read it carefully and note the provisions which are

not clear to him.

F-86

While much of the agreement may be self-explanatory, some parts are

not. They may be complex, legalistic or ambiguous. Some of the

provisions, whether they seem clear or are obviously ambiguous may

mean different things to management and union. Management will

probably prepare written or oral interpretations of the agreement.

Managements interpretations should present a clear explanation of

what management believes the meaning of the various provisions to be.

Training meetings for supervisors may include the following:

1. Review of the contract itself. The provisions should be

clarified on the basis of managements perceptions.

2. Review of the bargaining history. The discussions during

negotiations are used to interpret what the parties meant

when they agreed on a provision. Where there is unclear

language, the intent of the parties and their discussions

during negotiations is a guide to interpreting the written

contract.

Additionally, this review should include discussions

which did not result in a specific contract provision.

These discussions are used as a guide when there are

problems not directly covered by specific written pro-

visions. These discussions might include points upon

which the parties agreed, but did not include in the

final contract.

F-87

3. A review of past practices. Informal rules or ways of

doing things which develop over time (past practices) are

important in collective bargaining situation. The contract

may change the established way of doing things. If negotiations

did not deal with these issues, these past practices may take

on the force of a formal rule.

4. Review of previous decisions involving the interpretation

of contract language. There may have been grievances in the

past and in solving them, management and the union came to an

agreement over what a particular provision meant or how it was

to be-applied. A neutral third party may have been called in

to interpret a contract provision. These past interpretations

serve as a guide for interpreting and applying the contract.

The supervisor must approach this training with the understanding that

he will need to refer back to the contract and the information given

him regarding its interpretation when performing many of his duties

(as planning) and when specific problems arise. In order to use the

contract when the above training does not provide him with a clear

interpretation, you should understand some general rules of

contract interpretation.

The following rules should assist you:

- In the contract, common words will be used in their most

common meaning.

F-88

- Technical words in labor contract are also used in their

most common meaning. For labor relations terms, such as

seniority, consult the glossary included in this manual.

- The contract must be read fully; each separate part is

interpreted in light of its relationship to the more

general purposes and provision.

- If there is a conflict between general language and precise,

specific language, the specific language generally rules.

- If there is a conflict between two clauses, the clause that

is more significant rules.

As problems in interpretation and application of the contract arise,

and are settled by the parties through the grievance procedure or by a

neutral, an understanding of the contract becomes refined. Super-

visors should expect these clarifications to be communicated to them

in writing or at meetings, so that they can more easily apply the

contract and are consistent with each other in their application of

the contract. Supervisors should note that different organizations

give supervisors varying amounts of leaway in handling problems of

contract interpretation. Know how much authority you are permitted in

settling problems. You must also know whom to contact for help or

final authority in settling problems.

Amendments to the Contract

Occasionally contracts are ammended before they expire. The need for

ammendment may be due to changes in laws, problems with an existing

F-89

provision, oversights in the existing agreement or the wish by manage-

ment or the union to change or institute a policy. Any renegotiation of

the parties during the life of the contract should be brought to the

attention of supervisors. All changes should be communicated to the

supervisor. Conversely, all problems supervisors experience under the

existing contract should be brought to management's attention.

Administering The Contract

The supervisor's most basic functions are now influenced by the terms

of the contract. The contract may set out rules about wages, promo-

tions, order of lay-offs, recall, job assignment, work schedules and

the administration of discipline, among other matters.

At the very start of planning, the supervisor must work within the

constraints of the contract. Although the decisions of what gets done

when and by whom may basically be within management's right to manage,

the contract may set limits on what job classification may perform

certain tasks, which time periods can be worked at regular wages, and

how many hours can be worked at regular wages. The importance of

referring to the contract rules in planning and organizing work can-

not be overstated.

The basic rule for supervisors in taking action towards employees under

a contract is a negative rule--do not act in a manner that might be

discriminatory, arbitrary, or capricious. That is, act in a reasonable

F-90

manner. Rules should be applied evenly to all employees. Rules

should be made known. Disciplinary actions should be suited to the

severity of the infraction. Past practice should act as a guide to

current and future actions. If a change is to be made, the change

should be announced in advance.

The Grievance Procedure

The supervisor, as a management employee, makes his operating decisions

to the best of his knowledge and ability. He does not have to confer

with the employee organization or his subordinates in making his day-

to-day decisions. If his subordinates feel his decisions are unfair

or are not in line with the contract, they are still obligated to com-

ply with his orders so long as they are not required to do something

illegal or unsafe. However, although the subordinates must comply with

an order, they can afterwards grieve, or protest the order, through

the grievance procedure, which is usually spelled out in the contract.

What is a Grievance? Broadly, a grievance is any dispute the employee

has with management. In a narrow sense, the term may be used to refer

to disputes concerning the violation of a contract provision. The con-

tract usually defines what kind of grievance is handled formally under

the steps outlined in the contract or in the "negotiated grievance proce-

dure." Often only grievances having to do with how the contract was

applied or interpreted go through the formal grievance procedure. How-

ever, management may provide for dealing with all types of work-related

F-91

complaints or dissatisfactions, knowing that dissatisfaction in one

area which is not dealt with, may surface as complaints in other

areas. To deal with this problem, many organizations demand that any

type of grievance be brought up to the supervisor and, if not settled,

to the next level of management or an employee relations person for

solution.

As discussed below, many public agencies have several avenues of griev-

ance settlements so that a broad variety of problems can be dealt with,

even though these problems may not involve contract or civil service

rules. In all of these systems of problem-solving, the supervisor is

the first management person who must deal directly with the aggrieved

employee and attempt to resolve the problem. The skill of the supervisor

in handling grievances is in part a product of his knowledge of technical

problems and the contract, and his human relations ability in dealing with

the employee and/or the union representative.

What is a Grievance Procedure? A grievance precedure is a formal appeals

system through which an employee can protest an action of management.

It usually consists a series of steps through which an employee can pre-

sent his grievance to high levels of management for resolution.

A negotiated grievance procedure is one that the management and employee

organization has worked out together and is usually included as a pro-

vision in the written contract. Commonly the negotiated procedure will

F-92

apply to disputes over management's interpretation and/or application

of the contract. Some negotiated grievance procedures will open the

lower levels of the grievance channels to all employee-employer dis-

putes. Others may be open only to contractual and major disciplinary

disputes.

The negotiated grievance procedure provides for union representation

of the grievant at the various steps. In this system, management and

the union attempt a resolution of the problem.

The solution resolves the employee's immediate problem, but may also

serve to clarify the meaning of the contract as a result. The resolu-

tion of the grievance may become precedent for applying the contract in

similar situations and for resolving similar grievances. Often the

final step in the grievance procedure calls for presenting the grievance

to a third, neutral party, usually an arbitrator, fbr a decision.

Grievance Procedures in the Public Sector. Many public sector organi-

zations have civil service appeals systems, through which an employee

can appeal decisions concerning appointment, promotion, discharge and

change of status, where these areas come under the jurisdiction of a

civil service commission or personnel board.

To deal with grievances that do not fit into the above categories, a

number of agencies have developed an agency appeal procedure. Employ-

ees can present a grievance concerning agency rules to successively

F-93

higher levels of management, with an individual of high management

status or committee including employee relations representatives making

the final decision. Where a public agency also has a contract with

an employee organization, a negotiated grievance procedure also exists.

Usually rules are made about which procedure should be used by an

employee, based on the nature of the grievance. In most grievance or

appeals procedures, the first step involves the employee and/or the

union representative presenting the grievance to the supervisor for

resolution. Should he not be able to resolve the grievance, it may

go to the next step. Generally, where there are multiple appeals

systems, the negotiated grievance procedure is used for grievances

falling into the areas covered by the contract or memorandum-of-under-

standing. The written agreement itself usually outlines the scope of

the grievance procedure.

The following chart outlines a typical negotiated procedure. Note that

for each step there is a time limit. The chart also indicates the

parties who might typically be involved at each step and what the duties

of management and the employee or employee organization would be at

each stage. It should be underscored that the intent is to resolve the

grievance at the lowest step possible. Although some grievances may

be complex and/or involve matters more appropriately dealt with by

higher levels of management and the employee organization, most

grievances should be and can be resolved informally at the first step

by the supervisor and the employee (or union representative.)

F-94

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F-95

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F-99

GRIEVANCE PROCESSING

(Written by Lee Paterson in "Grievance Handling and Preparing forArbitration in% the Public Sector," Institute of Industrial Relations

UCLA, 1976.)

Resolving employee grievances is a major responsibility for the supervisor.

The attitude which he displays in meeting this responsibility may largelydetermine whether the grievance can be effectively resolved. Higher morale

and better employee attitudes are obvious when grievances are quickly and

effectively resolved. The results of poor handling of employee gripes and

complaints are quickly felt in increased militancy, poor employee attitudes,and loss of morale. Most agencies have some kind of grievance procedure andit is the Supervisor's responsibility to work with his subordinates and employeeorganization representatives to fairly and effectively implement that procedure.

Most employee complaints go through a series of stages before they become

full-blown formal grievances. The first stage usually begins when an individual

is irritated by some job-related problem. Perhaps he didn't get the transferhe wanted, or his room assignment may not be to his liking, or he may feelthat his supervisor is showing favoritism in the assignment of extra pay work.The possibilities are innumerable, but the thing to remember is that the problemor irritation is important to the employee. The skilled supervisor developsan ability to anticipate problems and to locate and resolve them before theybecome formal grievances.

The second stage is when the employee begins to complain about his problem,either to his superior, to other employees, or to his organization representa-tive. At this stage, the employee is trying to resolve his problem by gettingresponses from other people. It is during this stage that the "grapevine"usually tells the supervisor that trouble is brewing and that an effort shouldbe made to resolve the employee's problem if at all possible.

The final stage is reached when the employee becomes so disturbed thathe takes specific steps and in effect "demands" a solution to the problem.He may consult with his organization representative, he may request a conferencewith his supervisor, he may file a written grievance, or he may do all three.At this point, the supervisor is often in a position to peacefully resolve theproblem, or at least offer some compromise solution to it. If the supervisorshirks his responsibility, he will only make the problem worse.

F- 100

For example, if he puts the blame on a higher supervisor, looks for an easy

out, avoids making any decision, or settles the grievance in violation of

agency or administrative policy, he will only defer resolution of the problem

until later when it has grown larger. Top level administrators and supervisors

should watch for this type of supervisor, identify him as a management problem,

and take corrective action.

In a formal grievance procedure it is customary in the first step for the

employee, with or without his union representative, to present his grievanceto his immediate superior. While there is no magic formula which will guarantee

that the immediate superior will be able to resolve the complaint to the

employee's satisfaction, there are certain practices which supervisors have

used successfully to help resolve problems in the first step of the grievance

procedure.

1. LET THE EMPLOYEE TELL HIS STORY

One of the most frequently heard complaints by employees is that their

superior "doesn't listen" to them. It is easy to forget that employees

want to feel that someone is willing to listen to their problems. Very often

the most productive way to solve minor gripes is just to "let the employee

get it off his chest." If pressures of time cause the supervisor to adopt a

defensive posture toward employees each time there is a complaint, he frustratesthe employee's need for a sympathetic ear and, in the long run, creates a

situation in which employees will refuse to discuss problems with him.

Experience shows that employees will then turn to the sympathetic ear of an

employee organization representative.When an employee comes in to express a gripe or complaint, adopt a problem-

solving approach and encourage the employee to tell his story. In making

responses, do not take the issues personally. Ask only objective questions

such as: When did this happen? When did it start? How do you feel this

should have been handled? How can I help straighten this out? Is there any-

thing else I should know about the problem?

F-101

In asking questions, the supervisor must indicate that he is giving his

full attention to the presentation of the grievance. Too often the supervisorallows himself to be constantly interrupted by phone calls or other matters

and the employee feels that he never really has the full attention of the

person to whom he is speaking. Under all circumstances the supervisor must stay

calm and objective even though the employee or his organization representative

may beocme abusive and angry. Organization representatives will often deliberate-

ly bait or attempt to irritate managers in the hope that he will make some pre-

judicial remarks which may later be used against the agency.

Many times employee gripes or complaints can be settled just by lettingthe employee get them out in a frank, open discussion if the basic problem is

that the employee is upset not by what was done but the way it was done.

The first level supervisor should settle the problem with an apology. Apologiz-ing does not imply that the supervisor is going to change what was done, but it

does reflect his interest in good personal relations. This is the only case

in which you should give an immediate answer to the grievance.If this approach is not successful, the immediate supervisor should then

take pencil in hand and ask the employee to go back over the story while he

makes some notes to make certain that, "I have the facts as you stated them."

Then the supervisor should write down all the critical facts about the grievance

including names, dates, times, places, the particular section of the agreement,

agency policy or administrative regulation which the employee feels has been

violated, and the specific remedy which the employee seeks. Quite often the

employee is vague about the specific remedy he is requesting. This is particu-

larly true if the remedy would negatively affect another employee. In many

instances the employee has never really thought through the consequences of

the remedy he seeks and when he realizes, for instance, that another employee

would have to be removed from a position, he often declines to pursue the

matter.After getting all the facts in writing, the supervisor should then restate

the grievant's story in his own words, and ask the grievant to confirm whether

or not he has correctly restated the story.

F-102

Listening to the grievance restated in someone else's words often gives the

employee the chance to evaluate the reasonableness of his grievance and to

back down from all or part of it. In addition, it guarantees that the

supervisor has a clear understanding of the grievance and the remedy desired

by the employee.

In restating the grievance, the manager may discover whether the employee

is stating the real cause of his grievance. Often employees will push a

purported problem or a complaint even though their real complaint is hidden

and relates to another issue.

As the last step in the initial interview, the supervisor should make an

appointment with the employee for a future meeting, at which the employee will

get an answer to the grievance. Giving the employee a specific appointment

reassures him of management's good faith and gives him something definite to

count on. Failure to give him a specific date for an answer leaves him con-

fused and in doubt and may lead to more difficulty in settling the grievance.

2. GET THE FACTS

When the first level supervisor is absolutely certain of his facts,

knows the proper answer and feels that an immediate reply will resolve the

matter, then a quick reply to the employee is proper. A good test to determine

whether to respond in this way is, "Would I be willing to live with my mistake

if I am wrong?" Ninety-nine percent of the time it is better to think about

the matter at least for a couple of hours.

The first place to start in analyzing a grievance is with the definition

of a grievance in the agency policy. Many procedures restrict grievances to

specific violations of an agreement, agency policy or administrative regulation -

any other problem is a gripe or complaint to be worked out between the employee

and his superior and is not subject to any kind of appeal. The supervisor

should next check the grievance policy for time limits. Most policies have a

limit on the number of days the employee can wait to file his grievance. At

the same time the site supervisor can check his time limits to answer. After

checking the grievance procedure the supervisor should check the agreement and

agency policy - particularly the management rights clause and the specific

clause(s) the employee alleges has been violated.

F-103

Also check the department practice against the agency policy in regard to

the employee's grievance - very often practice and policy are not the same!

It is not unusual to find that an individual supervisor may be using a practice

or procedure in his office which is not in conformity with an agency policy.

Therefore, the site supervisor has to check not only whether he has been

following the agreement or agency policy but also whether his peers are

following the policy.The first level supervisor should check all appropriate records, such

as payroll time cards, overtime records, sick leave records, safety records,

and other materials which will give him documented facts on which to base his

answer and possible defense in an arbitration hearing.

He should ask the personnel office about the disposition of similar

grievances in other departments. In doing this he may find the resolution of

other grievances has already set a pattern for his decision in the grievance

at hand.

3. GIVE A POSITIVE RESPONSE

After fully investigating the facts, the first level supervisor is in a

position to respond to the grievance. At this point most experienced supervisorsmake a preliminary decision and then check it out with their superior or the

personnel representative. Consultation with other supervisors after fullyinvestigating the facts and reaching a tentative decision is not a sign of

weakness but the mark of a prudent manager. Interaction with other managers

also ensures consistent interpretation.

Whatever decision is made he should make every effort to respond promptly.

If the supervisor develops a reputation for quick and fair resolution of

grievances, he is more likely to settle grievances at the first step.

In responding to the employee, he should call the employee in, explain

that he has fully investigated the facts and that he has consulted with other

people. He should then give the employee a full response to the grievance.

If the grievance is justified, he should be positive about it and try to

achieve whatever benefits are possible from granting the remedy sought.

F- 104

If he rejects the employee's grievance, he should explain the reasons for

his rejection carefully. The supervisor owes it to himself to try to sell the

employee on the correctness of the decision.

If the employee is still dissatisfied, it is a good practice to explain the

grievance procedure at the following steps to make sure that the employee

understands his right to appeal the decision to a higher level.

While a detailed oral explanation should be given the employee, a simple

written response should be given, such as "Grievance denied -- not a violation

of policy 3201," or "Grievance resolved -- employee will be transferred

to new department."t

After this interview, the supervisor should collect all of his notes and

records and write up a report for his files. If the grievant is dissatisfied

with the response, the supervisor will need the record for the appeal; on the

other hand, if the grievance is settled, the settlement may become a precedentfor other settlements in the future and it will be important to have a record

of it.

4. FOLLOW UP

One of the key elements in grievance processing is to follow up on

grievances. The supervisor owes it to the grievant to check to make sure thingshe promised have been accomplished.

Once he has made his decision he should stick with it. One way to encourage

grievances is to back down to the threat of appeal. If the employee organizationrealizes that the supervisor is unsure of himself or that he gives in to pressure,

they know they can single him out as the man to file grievances against. After

the answer is given, any change should be made at higher levels in the procedure.

Conclusion

The first level supervisor is the key to effective resolution of grievances.The first level supervisor should be able to prevent problems and gripes from everbecoming formalized. Where grievances are filed he should resolve most of them at

the first step. Finally, when they go to arbitration his position should bestrong enough that the agency wins them.

F-105

CHECKLIST FOR HANDLING GRIEVANCE AT INITIAL STEP

I. GET THE GRIEVANCE

Let the grievant tell his story (listen)Don't personalize the issuesTake notes, keep a recordAsk the grievant to repeat his story (look for hidden complaint)Get namesGet times

________ Get the section of the contract allegedly violatedGet the remedy desiredRepeat the essentials of the grievance to the employee inyour own words

II. GET THE FACTS

Check the agreement, policies and regulationsCheck the time limitsCheck grievabilityCheck policy and practicesCheck previous grievance settlements for precedentCheck the experience of others in similar casesSeek advice if necessary

III. GIVE YOUR ANSWER

Reach a preliminary decision and check it with your superioror a personnel representativeSettle the grievance at the earliest moment that a propersettlement can be reachedIn deciding give the benefit of the doubt to managementWrite a simple answer to the grievanceExplain your position orallyExplain the employee's right to appeal

IV. FOLLOW UP

Make sure any action you promised was carried outKnow your employees and their interestsOnce it is made, stick to the decisionIf you have done all of the above, expect management's support

F-106

GRIEVANCE RECORD

(Sample)

October 1, 1984

EMPLOYEE(S) INVOLVED:

UNION REPRESENTATIVE:

COMPLAINT:

REMEDY SOUGHT:

ALLEGED VIOLATION OF:

GRIEVANCE FILED WITHINTIME LIMITS:

FACTS INVESTIGATED:

ANSWER GIVEN:

ACTION TAKEN:

FOLLOW UP:

Will Gripe

Egar Tusu

Gripe and Tusu came into my office on 7/29at 10:00 a.m. and complained that Gripeshould have been placed on the 8/1 overtimework list. Tusu said that Gripe had notbeen getting equal overtime along withother employees.

Gripe wants to be assigned to overtimetonight. Tusu agreed but thought Gripeshould get some money for the overtime lost.

Article 8, Section I - Master Agreement

Yes.

I reviewed Gripe's file and found that hewas given equal chance at overtime butturned it down on 1/1, 2/15, 3/4 and 5/12.If he had accepted overtime those days hewould be equal with other employees in hisclassification.

I met with Gripe and Tusu on 8/1 at 8:30 a.m.

and reviewed times that Gripe had turneddown overtime. Told Tusu I had to denygrievance. Tusu said they would think aboutit.

None.

None except to work with Gripe on futureovertime assignments so he knows he isgetting equal chance.

DATE:

F-107

GUIDES FOR SUPERVI SORS*

Following are guides to assist supervisors in handling employee grievances.The grievance procedure is the problem-solving dispute-settling machinery bywhich the employee raises and processes a claim alleging a violation ormisapplication of policies or regulations by the agency. The grievance machi-nery is the formal process that enables the parties to attempt to resolvetheir differences in a peaceful, orderly, and expeditious manner. If thegrievance machinery works effectively, it should satisfactorily resolve mostgrievance disputes.

No individual in an organization is more important to good employee relationsthan the immediate supervisor. In the grievance procedure, he is the firstrepresentative dealing with the employees on behalf of management.

The chief reason for a grievance procedure is to provide employees with aprocedure by which they can raise their differences with the employer, discussthem with him in an orderly and amiable fashion, and resolve them in a mannerthat is both fair and prompt.

By utilizing accepted principles and practices in their handling of grievances,supervisors and higher management can help the grievance procedure to operateproperly and at the same time can protect and preserve management rights thatare necessary to maintain efficient and effective operations.

The key to successful grievance processing is the immediate supervisor, whois in a position to solve most problems before they reach the formal stage.A real effort must be made to solve grievances while they still are at theinformal stage. As grievances advance through the higher more formal stepsof the grievance procedure, usually it becomes more difficult to resolve themto the mutual satisfaction of the parties.

If you have any doubts as to how to process a grievance, or as to the correctinterpretation of a policy or regulation, always check with your immediatesupervisor before acting. The procedure gives you time to respond to grievances.Take advantage of the time. Be sure your response is correct.

*Adapted from County of Sacramento, Handbook for Supervisors

F-108

Investigateallgrievances

Identifyviolation

Givefullhearing

Makeemployeeprove

Determinethe solutionsought

Do not letgrievanceprocessinginterferewith operations

Correctyourmistakes

1. Investigate and handle each grievance as though iteventually may result in a hearing. When the grievanceinitially is discussed with you, you do not knowwhether it will go all the way through the process.It is better to treat it carefully and properly atyour level than to wish you had done so after it hasbeen appealed to a higher level.

2. Always require the employee to identify the specificpolicy or regulation allegedly violated. Ask: (1) Whatprovision is allegedly violated? and (2) How did theAgency violate this provision?

3. Regardless of whether the grievance appears to belegitimate within the definition, always give theemployee a good and full hearing on the issue.

4. In most grievance cases, the employee is the movingparty, the one asserting a claim, and therefore itis up to him to present clear evidence supportinghis claim. (When a grievance is due to an actiontaken by you, you should be prepared to explain whyyou took the action.)

5. Always require the employee to state clearly what heis seeking as a solution to the grievance. The costof the solution or the precedence involved may bemajor factors in determining how to handle the grievance.

6. Do not interfere with Agency operations to facilitategrievance processing. The grievance procedure generallyis intended to facilitate the investigation and resolu-tion of grievances in a manner which interferes aslittle as possible with orderly and efficient operations.However, informal grievances should be discussed aspromptly as possible.

7. If the grievance brings out that you have violated apolicy or regulation, admit that you are wrong andprovide the correct remedy to the situation. Admittingyour mistakes will improve your credibility withemployees. Also, it is easier to admit mistakes andcorrect them yourself than to have them corrected byhigher management.

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Tellemployeeof correctiveaction

Enforcetimelimits

8. If after considering a grievance you determine thata mistake has been made and corrective action shouldbe taken, make sure you advise the employee of thecorrective action you intend to take. Your willing-ness to correct an error gives you a real opportunityto win employee respect and confidence. Do not losethe opportunity.

9. Enforce and comply with the time limits set forth.An informal grievance must be initiated withinreasonable time after the event or circumstanceoccasioning the grievance, and written complaintsand appeals must be filed within 5 days. If thegrievance is filed after the time limits have passed,deny it on the basis that it is untimely. The purposeof the time limit is to keep stale complaints out ofthe grievance procedure. If grievances denied asuntimely are appealed to higher levels, they will bereviewed on a case by case basis to determine whetherthere are gross inequities, and under certain cir-cumstances they may be adjusted. This policy isintended to ensure continuing compliance with thetime limit provisions of the agreement.

Complywithtimelimits

Do not cause

grievant tobe untimely

Allowlatitudebut do nottake abuse

Be seriousand sincere

10. Make sure you comply with the time limits whichapply to your handling of the grievance. Animmediate supervisor has ten work days in which togive a decision or response to the grievance.

11. Do not do anything to cause the employee to fail tocomply with the time limits. Do not deny the grievanceas untimely if the untimeliness is caused by you.

12. Permit the employee reasonable latitude in presentingthe grievance. However, do not permit the employee orhis representative to abuse or demean you or othermanagement personnel. If the employee or his repre-sentative uses language that is inclined to threatenor to provoke you, adjourn the meeting until theparties are in a better frame of mind to discuss theissues. You are not obligated to endure languagethat exceeds that normally used on the job.

13. Most grievances are a serious matter to the individualconcerned. It is important that you be utterly seriousand perfectly sincere at all times in handling grievances.Do not block a grievance or misrepresent anything inconnection with a grievance. Do not make a joke out ofa grievance.

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Do not loseyour temper

Have onespokesman

Keepdiscussion onthe point

Not boundby pastpractices

Agencyhas rightto makerules

Examinepolicies

and regulations

Visitthe workarea

Questionotheremployees

14. Never let yourself get baited into losing your temper.If you find yourself losing your temper, continuethe meeting until some other time.

15. In handling grievances, each side should have only onespokesman. This practice expedites discussion andminimizes the possibility of misunderstanding.

16. Do not let the discussion become bogged down inirrelevant side issues. The grievance at hand is theonly issue.

17, Never admit to the binding effect of a past practice.Just because something has been done a certain wayin the past does not mean it must be done that wayin the future. Of course, it is very sound to letemployees know in advance when a change in an importantpractice affecting employee relations is planned.

18. A;grievance which claims that the Agency is withoutthe right to promulgate a rule or rules generallymust be denied, unless the rule involved is in viola-tion of a law. The Agency does have the right tomake rules consistent with the law. The Agency willnot be able to effectively plan and carry out itsoperation if its right to make rules ever is seriouslycompromised.

19. When the employee claims a violation of particularpolicies or regulations, always examine those provisionsand any other provisions which you believe are relatedto the issue at hand. If the provisions are unclearor are inconsistent, get an interpretation from highermanagement.

20. If the physical location or condition of the work placehas anything to do with the grievance, make sure youpersonally visit the work area so you can see foryourself what the conditions are.

21. If the grievance involves disciplinary-type action ora case of questionable facts or information, questionother employees to get information and views.

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Determine 22. If the grievance involves the manner in which theif Agency Agency has interpreted and applied a provision ofhas been policies or regulations, determine whether theconsistent Agency's application has been consistent. Has

one supervisor or office applied the provision inone manner while another supervisor or officeapplied it in another manner? If so, guidance fromyour immediate supervisor should be sought beforeproceeding.

Look into 23. If you are dealing with an issue with which you areprior unfamiliar, determine whether any prior grievancegrievance settlements relate to the issue, such as:settlements

If the identical issue was raised in a priorgrievance and resolved by mutual agreement orother means, the current dispute should be inaccord with that prior settlement.

If the identical issue was raised in a priorgrievance but denied by management and notappealed further by the employee, the currentgrievance should be denied.

If a similar issue was raised and resolved, theprinciples and theories utilized in handlingthe matter may provide helpful guidance.

Obtain 24. Secure any records that bear on the case and reviewrecords them carefully.

Record 25. Record all results of your investigation! Make a fullresults record of the Agency position, arguments, witnesses,

evidence, and participants in discussions.

Do not 26. Do not settle agrievance while in doubt. If you aredecide while in doubt, investigate and review the matter further.in doubt

Definition 27. Resolve grievances on the basis of fact not emotion.determines If an employee cannot find a provision.in the policiesscope of or regulations to support the grievance, he may makegrievance the appeal that it is only "fair" to give him the re-

lief he is seeking. The employee should be treatedfairly, but the settlement of a grievance must bebased on objective data.

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This approach can be emotionally very appealing, butyou have to resist the temptation. Such broadeningof the scope of grievances is not in the best interestof the Agency or of all employees.

Do notnegotiate

Do notgive theemployeevetopower

Make no dealsinconsistentwithpolicies orregulations

Advocatemanagement 'sposition

Sell yourdecision

Be awarethatemployeeassociationshave internalpressures

28. Do not negotiate with the enployee on matters notcovered by present policies or regulations. If amatter is not covered then no violation has takenplace.

29. Never make "mutual-consent" agreements regardingfuture action. Never agree to procedure where youcan take an action only if the employee consents toit. On the other hand, it is often desirable toadvise the employee in advance of taking an action.

30. When dealing with employees never make "deals" orindividual agreements that are inconsistent withpolicies or regulations that apply to the employee.

31. When you are discussing grievances, if you find your-self unable to concur with the positions and opinionsof the grievant, you have a responsibility and obli-gation to present management's position vigorouslyand affirmatively. You hurt your position as asupervisor if you disassociate yourself from themanagement or the management position. Do not belittleyourself.

32. If a policy or regulation gives a clear answer, quoteit. Also state the common sense of the situation. Itis critical to good employee relations that the employeeunderstand your viewpoint. This cannot be overemphasized.Employees often will accept a decision they are unhappywith, if they can see there is good reason for thedecision.

33. Do not forget that the interests of the employee maybe different from the interests and goals of theassociation. Keeping this in mind may help explainwhy certain grievances are pressed though they appearto have little merit or are pressed with vigor farbeyond the apparent importance of the issue involved.Organization representatives are subject to pressuresfrom their "constituents." Keeping this in mind mayhelp you to look at grievances more objectively, with

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less inclination to see the grievance as somethingdirected at you personally.

Do not bepressuredinto adecision

If agreementis reachedstopdiscussion

Keepgrievancedenialsbrief

Whensustaininggrievance,tell why

Recommendchanges totroublesomeprovisions

Do notabdicate toemployeeorganization

34. Do not be pressured into making a decision on thespot. Even at the informal grievance level, youhave ten work days in which to make a decision orgive a response. Unless you are absolutely certainof what your response should be, take the time to lookinto a grievance before making a response.

35. If during a meeting on a grievance you arrive at amutually satisfactory solution, terminate the discussion

36. Generally do not give long written grievance answers.If you must deny the grievance, ordinarily it isbetter to do so orally, then follow up with a briefwritten denial statement (if the grievance is at thewritten step). The written denial usually shouldstate: "There is no violation of policy or regulationand therefore, the grievance is denied."

37. If you are going to sustain a formal written grievancein full or in part, make sure that your written decisionis clear and succinct. In sustaining the grievance,point out the specific provisions which allow you togrant the remedy. This helps limit the remedy to thegrievance at hand. Do not let it appear that you agreewith all the reasons cited by the employee to supportthe grievance.

38. If you come across a policy or regulation which makesit difficult for you to supervise and manage yourunit, make a record of it and let higher managementknow so the Agency can make an effort to change thetroublesome provision.

39. Do not transfer your authority to the employee organiza-tion. If you have an employee problem, you solve it.

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Use grievanceprocedure toresolvedisputes

Understandwhy yourdecisionmight bechanged ata higher step

40. If an employee refuses to follow orders because hebelieves the order violates a policy or regulation,advise him that he has the right to use the grievanceprocedure to resolve the dispute, but that in themeantime he is obligated to obey orders. It is acommonly accepted rule that employees are obligatedto obey instructions (assuming the instructions donot require the employee to jeopardize his health orsafety or to commit illegal acts or the like). Therule is "obey first, grieve later." This allowsoperations to continue in an orderly manner whilethe employee still maintains the right to resolvethe dispute through the grievance procedure.

41. Occasionally your decision might be changed at ahigher step. If this happens, realize there is areason for it, such as:

Additional facts not available to you.

You slipped up in collecting facts or weighingthem.

Sample grievance forms follow. Such forms are used

in processing a grievance at the first formal step.

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GRIEVANCE FORM--STEP 1

Original - Immediate SupervisorCopy 2 - Immediate Supervisor

Return to GrievantCopy 3 - Department Head

or DesigneeCopy 4 - Grievant's File

Submission of Complaint -- All portions of this section must be completed by the grievant

Work Location_Ernployee Name

Statement of Grievance_

Specific policy or regulation alleged to have been violated (cite source)

Signature

Upon completion of this section, grievant shall present original and copies I's 2 and 3 toimmediate supervisor. Copy #4 should be retained by grievant.

Immediate Supervisor's Response --

Date Signature

Upon completion of this section, Immediate supervisor shall retain original, present copy #2to grievant, and forward copy #3 to Department Head or Designee.

_~~~~~~~~~~~~~~~~~--

Date

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GRIEVANCE FORM--STEP 2

Original - Department Heador Designee.

Copy 2 - Return to GrievantCopy 3 - Immediate SupervisorCopy 4 - Grievant's File

Appeal to Department Head or Designee --All portions of this section must be completedby the grievant. Copy #2 of completedGrievance Form--Step 1 must be attached.

Reason for appeal

Remedy sought

Date Signature

Upon completion of this section, grievant shall present original and copies I's 2 and 3 to theappropriate LEportment Head or Designee. Copy 14 should be retained by grievant.

Department Head or Designee --

Date Signature

Upon completion of this section, Department Head or Designee shall retain original andforward copy 02 and copy #2 of completed Grievance Form--Step 1 to grievant, and copy13 to grievant's immediate supervisor.

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THE SUPERVISOR'S ROLE IN ARBITRATION

Sometimes grievances cannot be resolved by management and the union.

They may have to go to the final step of the grievance procedure, which

may be arbitration. In the arbitration process, a neutral person is

chosen to hear both sides of the matter in dispute and reach a decision

about the correctness of the management action and set forth remedies

that would rectify any incorrect actions. What and how much the arbi-

trator decides depends on the questions the parties jointly ask him to

decide.

The arbitration hearing is similar to a court hearing, although it is

often less formal. Both sides present their cases, call witnesses, and

present arguments showing the correctness of their respective positions.

The supervisor may play a role in the preparation for the hearing.

Labor relations specialists or consultants will probably come to him

for any information he may have concerning any employee or incident on

which the grievance is based.

The supervisor may be called as a witness in the hearing. If so, the

advocate will explain the procedure to him, e.g., what type of questions

will be asked, and generally what will be expected of him.

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POINTERS FOR TESTIFYING AS A WITNESS

- Tell the truth

- Always remember that as a witness you have no purpose to serve other

than to give the facts as you know them.

- You are only to give information which you have firmly in mind. If

you do not know certain information, do not give it. If asked, state

that you do not know.

- Do not answer any question unless you thoroughly understand it.

- Answer each question to the best of your ability completely but do

not volunteer more than is asked.

- Take your time in answering a question.

- Pause briefly before answering each question. Gather your thoughts

carefully before answering and do not permit yourselfto be hurried.

- If your representative begins to speak, stop whatever answer you may

be giving and allow him to make his statement. If he is making an

objection to the question that is being asked of you, do not answer

the question until after he has made his objection, and the hearing

officer advises you to go ahead and complete your answer.

- Never attempt to explain or justify your answer. You are there to

give the facts as you know them. You are not supposed to apologize

or attempt to justify those facts. Any attempts as such would make

it appear as if you doubt the accuracy or authenticity of your own

testimony.

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- Be sure of the facts you supply in answer to a question. Even if

you feel you know the answer to a question do not attempt to guess

or estimate the answer. If you do not know the answer to a question,

say so. Even if you feel an answer of "I don't know" is ignorant

or evasive, realize that a guess or estimate is almost always in-

accurate. An opponent can then show that you don't know what you

are talking about, or imply that you deliberately misstated the truth.

- Do not memorize your testimony;instead tell the facts as you know

them and in a manner intelligible to those who have no knowledge

whatsoever of the case.

- Avoid demonstrations of anger, belligerency, sarcasm or discourtesy.

- Do not let the opposing representative get you angry or excited.

- Your initial testimony will be similar to the following:

1. You will be called by name and should come forward.

2. You will swear to give honest answers.

3. The counsel who has summoned you will probably ask:

a) your name

b) your occupation

c) your place of work

d) how long you have been at your place of current employment

e) the title of your job

f) the qualifications for the job you perform

g) the type of work you perform

h) your acquaintance with respondent and grievant

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i) what occured at a specific time and place

j) any other pertinent questions

4. Following the above, opposing counsel will ask you questions.

F-121

THE SUPERVISOR AND THE UNION REPRESENTATIVE

The union or employee organization serves to represent the employees

in their employment relationship with management. Upper levels of the

union usually deal with upper levels of management and/or labor rela-

tions specialists about concerns affecting large numbers of employees

or the union as a whole, such as in bargaining for a contract. To

represent individual employees in disputes with their supervisors at

the work site itself, the employees usually elect a union representa-

tive from their own ranks. A primary task of the union representative

or steward is to represent employees in presenting grievances to super-

visors and representing the union on a day-to-day, operational basis.

The relationship the supervisor develops with the union steward is a

key to his effective functioning in a collective bargaining situation.

A good relationship can aid the smooth functioning of the unit. A

hostile relationship with the steward can lead to a hostile atmosphere

at the work site, resulting in disruptions, lack of employee coopera-

tion, and lower productivity. Sometimes an unusually high number of

grievances can be traced to a bad relationship between the supervisor

and steward.

Supervisors often fear that the election of a union representative will

severely disrupt the supervisor's relationship with individual employees.

This need not happen. Although the steward often acts as an intermediary

between the employees and their supervisor, a good relationship with indi-

vidual employees is both possible and desirable.

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The intermediary position of the steward can serve the supervisor in

his efforts rather than being an obstacle. The steward can serve as

a link between the supervisor and employees. The steward can communi-

cate information to employees and explain employee problems to the

supervisor. But the supervisor must note the steward's role and position.

- The steward represents the employees. In most cases they

have elected him. Even if the supervisor does not feel

he is the best choice, he must accept the steward in good

faith as the employees' choice. The supervisor must deal

with the steward with the sincerity to which he and his

fellow employees are entitled. It is the steward's job

to listen to employees' complaints and bring those to the

attention of the supervisor.

- The steward represents the union and takes the union posi-

tion, just as the supervisor represents the management po-

sition. The steward represents the union position even

when he does not completely agree with it. His position

might be based on internal needs of the union, or on bal-

ancing the interests within the union. Therefore on a

specific issue, he may not always seem to be representing

the immediate best interests of a single employee.

In addition to grievance presentation, the steward has to perform other

activities for the union. The supervisor is not to be involved in these

other activities beyond making sure that they do not violate the contract

or other regulations and do not interfere with operations.

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- The steward normally tries to win every grievance. Even if

the steward is unsure of the soundness of a grievance, he

is obligated to try to get what the employee wants. Some-

times he will bring an unsound grievance to the supervisor,

knowing he cannot win, in order to pacify or keep his credi-

bility with the employees.

- The steward works for the organization. As an employee, he

deserves the respect, courtesy, and benefits given all employ-

ees.

- The steward is a human being. As such, the supervisor can

use his knowledge of human relations to build a good working

relationship with him. As a basis for this relationship, the

supervisor must be sincere and honest when interacting with

the steward. The supervisor must work on the assumption that

the steward acts sincerely and honestly.

Employees prefer a good relationship between their supervisor and their

union representative. Although the supervisor and the union representa-

tive represent different groups of interests, a good working relationship

between them gives employees a greater feeling of security. While the

employees want the steward to represent their interests to management,

they do not want a hostile relationship which can lead to labor problems

that can hurt them, such as strikes.

F-124

Pointers On Working With Your Union Steward

When taking over a new assignment, introduce yourself to the stew-

ard. In doing so, you are showing that you recognize his position.

If you have questions on contract interpretation, you should dis-

cuss the matter with your supervisor or a labor relations specialist.

However, you can then also discuss the issue with the steward.

Although his interpretation might differ from management, he should

appreciate the fact that you sought him out to discuss it with him.

Introduce your new employees to the steward. In front of the stew-

ard, tell them that he is available to them if they have questions

concerning the contract, dues, checkoff or other work matters.

Inform the steward about any disciplinary actions you plan to take

against an employee. Although this could occassionally result in

a short-run inconvenience--the steward may not believe that the

action is appropriate and may file a grievance--it will improve

your relationship in the long run. By keeping him informed, you

put aside any ideas he may have about your trying to "put something

over" on the union. This information also allows him to answer

the questions of the other employees in the unit. Not giving him

this information may make him appear to be uninformed to other

employees.. If he feels himself to be in this position, he may

resent you.

Answer the complaints and grievances brought to you by the stew-

ard directly and courteously. Keep in mind that the steward must

represent the employees and may not be expressing his personal

feelings.

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Follow-up on promises you make to the steward. If you said you

would get back to him with an answer to an issue he raised, do so

in a timely fashion even if you know he will not like the answer.

He may have people waiting for an answer. Delaying your answer

can put him in an awkward position. Remember he depends on you

to pass on information from management.

Be on friendly terms with the steward, but avoid seeming overly

friendly. The employees might suspect a steward of being in

collusion with management if he seems to be a buddy of the super-

visor.

Do not criticize the steward in front of other employees. Such

discussions should be held in private. The image of the steward

is important to him, and to his effective functioning.

If you or the steward are new to the unit, do not deal directly

with employees on any union matters. When you have developed a

strong relationship with the steward, he may go along with your

direct contact with employees on minor union matters; dealing

through the steward will make the steward and the employees feel

more secure.

Try to discuss potential problem employees before actual problems

develop and disciplinary actions become necessary. The steward

may be able to correct the problem more easily and effectively

than the supervisor.

Be honest and sincere with the steward. With mutual trust and

respect, problems can be worked out quickly, efficiently, and

satisfactorily.

F- 126

UNION ACTIVITIES ON MANAGEMENT TIME AND PREMISES

Generally the recognized union is given "reasonable time" and "reason-

able access" to company premises in order to carry out its legitimate

functions. The collective bargaining agreement often specifies what

activities can be carried out during work hours and on management time

or property. The contract may also spell out the functions of union

representatives, their number and the restrictions on their activities.

Normally grievance activities and meeting with management officials

occur during working hours. The contract may specify that employees

may discuss union matters or solicit union membership on the organiza-

tion's premises, but during non-working hours.

The contract may permit union representatives (who are not employees)

to visit the premises in order to check working conditions or investi-

gate grievances. To prevent abuse of these rights, rules might exist

concerning advance notice to management and requesting permission from

area supervisors, among other things.

The working time stewards spend on union business may be left at "reason-

able time" or be specified as number of hours within the contract.

The supervisor must examine the contract (or interpretation) to learn

which union activities are permitted or restricted on the organization's

time and premises. If questions arise, consult with upper management or

the labor relations specialist.

F-127

THE SUPERVISOR AND JOB ACTIONS

The possibility of strikes or other job actions such at picketing

or slowdowns should be recognized and dealt with. Management should

set up a contingency plan so that essential operations can continue

through the job action.

The supervisor, as a member of management, has specific job respon-

sibilities in the event of a work disruption. The supervisor must

participate in continuing essential operations or services and in

preserving management control. Supervisors must be familiar with

their role in contingency plans and be prepared to work beyond nor-

mal hours and outside normal assignments for the duration of the

disruption. Supervisors must always remember that they represent

management.

After the disruption, supervisors play an important role in returning

the work situation to normal. While retaining control, they must

rebuild relationships with the employees and the union.

After the job action the supervisor should observe the following

rules to get his work unit back to normal operation:

- Forget the past. Do not retaliate against employees in any

way. Do not discuss the strike. Try to break up employee

debates about the strike.

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Keep employees who were strikers separate from those

who were hired as replacements during the strike. The

strikers will probably resent the replacements. If they

mix, a confrontation may occur. If possible, do not have

the regular employees come back to the work area until

the replacements have left.

Do not hold reconciliation meetings. There is usually

some antagonism between employees who were out on strike

and those who were not; holding meetings to reconcile

the two groups usually do not work.

Do not treat employees who did strike differently from

those who did not. Do not make things tough for one group

or play favorites in any way. Do not even make personal

remarks or jokes about the strikes. Showing preferential

treatment affects employee efficiency and often increases

grievance problems. Do not show undue friendliness or

animosity to the strikers or non-strikers.