Strategies for Avoiding Employee Grievances and Discipline

Managers and employees each have a formidable tool at their disposal for raising concerns. Managers concerned about the performance or behavior of an employee can pursue progressive discipline. Employees concerned with discipline they have received, or generally how they feel treated, can file a formal complaint, typically referred to as a grievance. But these should be tools of last resort.

In response to discipline, an employee’s anxiety increases, their growth becomes inhibited, and they can feel increasingly isolated (among other negative outcomes). When an employee feels they have no choice but to file a grievance, employers often take a defensive posture and the issue rachets up to an ‘us vs. them’ adversarial fight, potentially involving external agency action or litigation.

As I noted previously, employees and supervisors have many avenues available to avoid these measures and their negative consequences. But how do organizations and their leaders develop mindsets and expectations for utilizing these avenues and avoid formal processes whenever possible? Let’s consider some strategies.

Change the default. I teach courses in “Negotiation and Alternative Dispute Resolution (ADR).” Lesson One involves a conversation about the “A” in ADR. “Alternative” to what? ADR processes like mediation are considered “alternatives” to adversarial processes, particularly litigation. In other words, our legal system, and society in general, defaults to win/lose approaches as the primary, preferred method for addressing conflict.

A commonly accepted alternative to the “A” is “appropriate,” implying selection of the best process possible under the circumstances, which will generally involve something other than an adversarial, win/lose response. Yet, employers (as advised by legal counsel) are subject to societal norms and build grievance and discipline processes which perpetuate this default.

While these processes remain a necessary means for ensuring employer interests in accountability and protecting employee rights, the institution, its leaders, and representatives must consider how they utilize them. This includes providing opportunities to “step out” of escalating steps to pursue mediation and other ADR methods for facilitating resolution outside formal processes. It also includes developing HR and other professionals to help the organization, managers, and employees balance interests in supporting positive relationships against concerns for accountability and safeguarding rights, rather than default “knee jerk” to formal procedures. Ultimately, it involves an organizational mindset shift regarding the true goals for addressing conflicts that typically don’t fit within the default of grievance filing and formal discipline.

Enhance the “R” in “HR.” To shift this mindset and enable HR and others to perpetuate it, thought must be followed by action. While HR ultimately represents the interests of the employer and is often perceived as unapproachable (sometimes fairly, often unfairly), HR can manage its reputation for supporting employees by providing tools, resources, and consultation that meet both their needs and the needs of the institution. But it cannot do so if it isn’t appropriately equipped to support employees in the manner suggested in the preceding paragraph.

HR professionals are expected more and more to be business partners, facilitators, advisors, and change agents (to name a few roles). In the context of workplace conflict, they want to take an active role in facilitating meaningful resolution, provided they are equipped to do so. For example, I have advocated for HR and other professionals to add “mediator” to their skill set. Mediation and related conflict resolution skills are vital to supporting others in their working relationships, not just during formal processes but long before as a means of avoiding such actions in the first place. Institutions and their leaders must increasingly see the value HR and other professionals bring to addressing these challenges and endeavor to realign roles and duties, create positions, provide training, and identify and develop other resources to support new directions that help these professionals meaningfully respond to issues in ways that minimize reliance on discipline and grievances.

Educate the workforce. When employees begin work, they are handed an employee manual or provided access to it online. The manual will outline their rights and responsibilities, including conditions for employment and issues like performance reviews, behavioral expectations, and the discipline process for violations. It will also discuss rights for filing complaints and the process for doing so.

In many organizations, managers receive training and are developed to serve in managerial roles. In others, this cannot be assumed, and managers assume their roles without receiving guidance beforehand about how to lead employees and support their work, performance, and growth.

Many employers may miss the opportunity to establish upfront the relationship they hope to have with employees and for supporting their success. This includes the vital role HR plays, which in turn does more than rely on the handbook to explain how employees may engage HR when difficulties arise. The institution and its appropriate representatives (typically HR) must engage in efforts to establish that relationship, whether through training, marketing, ongoing internal communication, or similar methods. Similarly, basic supervisory training must include guidance on how managers will work with HR when performance or behavioral concerns develop, or an employee raises a complaint. In other words, HR must become a known, approachable entity before issues arise and be seen as a source for fostering positive relationships and not simply a formality for processing discipline and grievances.

Divert issues (appropriately) from formal processes. With a different mindset, appropriate training and development, and establishment of a supportive relationship with the organization (through HR), managers will explore and exhaust opportunities for fostering positive relationships with employees, work through difficulties, and find ways to resolve matters that avoid formal discipline whenever possible. Employees can expect to be treated fairly by their managers and HR and not fear punitive measures or at least have opportunity to pursue conflict resolution processes long before discipline is considered or the need to file a formal complaint becomes necessary. With this mindset and the tools and resources to support their efforts, HR and other representatives responsible for addressing employee issues will work with whoever approaches them, be it employee or manager, to identify, encourage, guide, and facilitate processes that avoid reliance on formal processes.

Overall, the conversation becomes much different and more supportive, hopeful, and conducive to fostering positive outcomes than traditional processes for discipline and grievances could ever accomplish.