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Interest-Based Collaborative Problem Solving (IBCPS) · a. Identify Issue b. Discussion/Info...

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6/22/2012 1 Under the Professional Educators Collaborative Conferencing Act of 2011 (PECCA) Interest-Based Collaborative Problem Solving (IBCPS) 1 Your Presenters… 2 Peter Cheng ¡ Commissioner, Federal Mediation & Conciliation Service ¡ [email protected] ¡ 615-587-8234 Mark Travis ¡ Director, Tennessee Labor-Management Center ¡ [email protected] ¡ 615-895-4166 ¡ 931-252-9123
Transcript

6/22/2012

1

Under the Professional Educators Collaborative Conferencing Act

of 2011 (PECCA)

Interest-Based Collaborative Problem Solving (IBCPS)

1

Your Presenters…2

� Peter Cheng¡ Commissioner, Federal

Mediation & Conciliation Service

¡ [email protected]¡ 615-587-8234

� Mark Travis¡ Director, Tennessee

Labor-Management Center

¡ [email protected]¡ 615-895-4166¡ 931-252-9123

6/22/2012

2

3

“PECCA” Statutory Language

� Statement of Purpose: ¡ “[T]o recognize and adopt the principles and techniques

known as interest-based collaborative problem-solvingfor use in conferences conducted pursuant to this part.”(“IBCPS”)

� “Collaborative Conferencing”:¡ Chair of board of education and professional employees

“meet at reasonable times to confer, consult, and toexchange information, opinions and proposals on mattersrelating to the terms and conditions of professionalemployee service, using the principles and techniques ofinterest-based collaborative problem-solving.

Subjects of Conferencing4

� Salaries and wages� Grievance procedures� Insurance� Fringe benefits (not including TCRS or local early

retirement incentives)� Working conditions (not including those prescribed

by federal or state law, private act, municipal charter, or state regulations)� Leave� Payroll deductions (except those for political

activities)

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3

Conferencing Subjects Excluded5

� Differentiated pay plans or incentive compensation programs

� Expenditure of grant funds expressly designated for specific purposes

� Professional evaluations conducted pursuant to state or federal law

� Staffing decisions relating to innovative educational programs

� Personnel decisions relating to assignment of professionals, including filling vacancies, transfers, reductions in force, etc.

� Payroll deductions for political activities

6

Why Do We call it “Interest-Based”?

� Basic Approaches to Negotiation¡ Power: “I’ll have it my way because I can”¡ Rights: “I’ll have it my way because I’m entitled to it”¡ Interests : “I want it my way because I need it”

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4

7Basic Approaches: Power

� Use of Power ¡ Often difficult to determine who is more powerful without

testing¡ Perception of each side’s power is often incorrect¡ Other party may respond irrationally to use of power¡ Ends justify the means

8

� Strategies in Use of Power¡ Use emotion, guilt and anger as manipulation¡ Deception to defend demands¡ Withhold information¡ Delaying tactics, ultimatums and bluffing¡ Divide and conquer strategies

Basic Approaches: Power

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5

9

� Use of Rights¡ Rights are rarely clear¡ Rights are often contradictory¡ Assertion of rights can be costly¡ Often requires third party intervention

Basic Approaches: Rights

10

Basic Approaches: Rights

� Strategies in Use of Rights¡ Heavy reliance on contract language¡ Tradition, custom, and past experience¡ Rigid standards and criteria¡ Legal precedent

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11Basic Approaches: Interests

� Use of Interests¡ Have to be transparent and open¡ Committed to process¡ Time consuming¡ Foreign to most negotiators

12

Basic Approaches: Interests

� Strategies in Use of Interests¡ Explore/explain what is underlying a party’s demand or

position¡ Investigate party’s needs, concerns, fears¡ Share information

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7

13

What is our Default Position?

1. Rights2. Power

3. Interests

14

How do we evaluate which one is best?

� Economical – resources required?� Satisfaction with outcome?� Quality of relationship?� Compliance – durability?

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8

15

Factors Leading to Success of IBCPS

� Some recent negative experiences calling for fundamental change

� Willingness to jointly share information� Sufficient time remaining prior to contract expiration � Willingness to forego use of power in negotiations� Acceptance of process by bargaining teams, decision

makers and constituents� Modernization of processes or change in environment

requiring new approaches to relationship � A desire to build a better relationship

16

Challenges in IBCPS� Time-consuming (training and process)� Financial cost� Leadership turnover� Preconceived biases� Constituent objections� Lack of trust� Continual follow-up and nurturing

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Long-Term Collaborative Partnerships in Public Education: Common Themes

17

� Contextual Motivation or Pivotal Events¡ Circumstances motivating change in relationship

� Strategic Priorities¡ Emphasis on teacher quality¡ Focus on student performance¡ Problem-Solving, innovation, and willingness to experiment

� Supportive System Infrastructure¡ Organizational structure that supports collaboration¡ Strategic alignment¡ Collaborative structures at all levels¡ Joint learning opportunities

Long-Term Collaborative Partnerships in Public Education: Common Themes (cont)

18

� Sustaining Factors¡ Long-term leadership¡ Community engagement¡ Supportive and enabling language in MOU

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10

What is Interest-Based Collaborative Problem Solving?

� IBCPS is a problem solving process based on…¡ abiding by certain Principles¡ confidently accepting certain Assumptions¡ applying Steps¡ practicing Techniques

…which trained parties use to achieve positive results for BOTH groups.

19

IBCPS Critical Beliefs

� It can enhance the relationship� Mutual gain is possible� Parties should help each other achieve a positive

result� Decisions based on standards eliminate the need to

rely on power

20

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11

Interest-Based Principles

� Focus on issues, not personalities� Focus on interests, not positions� Create options to satisfy both mutual and separate

interests� Evaluate options according to standards, not power� Information sharing is critical for effective solution

21

Interest-Based Assumptions

� Open communication will enhance relationships� All parties receive some� Each party should help the other� Open discussion discloses more interests and creates

more options� Standards replace power� Anger is defused as trust develops

22

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Interest-Based Steps

� Identify issues

� Identify interests

� Generate options

� Establish Criteria

� Judge the options against the criteria

� Develop and capture the livable solution in writing

� Apply the livable solution

2323

If You Were to Walk Into a Room Where Traditional Bargaining Was Going on What Would You See?

x x x X x x x

o o o O o o o

24

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13

What Do You See When You Walk Into an IBCPS Collaborative Conferencing?

xo

x

o o

x

o

x

25

TraditionalTraditional IBCPSIBCPS

¡ Starts with positions¡ Withhold information &

strategies¡ Make gradual adjustments

or moves¡ Defer to power or trade

¡ Starts with interests¡ Disclosure/share

information¡ Jointly develop options¡ Measure options with

standards¡ Decide by consensus

Approaches:Traditional vs. Interest-Based

26

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14

TraditionalTraditional IBCPSIBCPS

¡ Attack individuals & discredit their positions

¡ Argue your position¡ Insist on your position¡ Use power to leverage

¡ Attack problem, not individuals

¡ Define issue clearly¡ Explore all interest¡ Be open to options¡ Define solution with

Criteria/ standards

Strategies:Traditional vs. IBCPS

27

Limited Pie Implications

� Every slice I get is one less for you

� What I win, you lose

28

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IBCPS attempts to expand the pie by…

� By helping each other

� By sharing interest information

� Discovering differing values

� Creating many options

29

IBCPS: The Bottom Line

� More creative solutions that benefit whole the organization

� More durable solutions

� Improved relationships between the parties

30

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16

StepsSteps Group Process TechniqueGroup Process Technique

1. ISSUES(What is the problem?)

2. INTERESTS(Why is it a problem?)

3. OPTIONS(How might we solve it?)

4. STANDARDS(How shall we evaluate the options ?)

5. JUDGE OPTIONS WITH STANDARDS

a. Identify Issueb. Discussion/Info Sharingc. Consensus/Agreement on the Issue

a. Identify Interests Separate and/or Mutualb. Discussion/Info Sharingc. Consensus on Mutual Interests

a. Brainstorming

a. Discussion and Consensuson Standards to be used

a. Discussion and Consensuson which Option to use

Interest-Based Problem Solving Process31

Preparation for IBCPS

� Educate¡Both parties

about the Process� Seek information¡From

Constituents¡Re: Interests

behind the Issues

� Compile List¡ Issues¡ Interests� Prepare an Opening

Statement¡ Issues ¡ Interests� Pre-Conferencing¡Agreement on

Ground Rules

32

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Requirements for Success of IBCPS

� Joint Vision� Mutual Investment� Structure� Skills� Joint Learning Experience – Training� Patience, Patience, Patience

33

Step 1Select the Issue…

Step 1Select the Issue…

� Issue o Topic or subject of negotiationo Form a Questiono Problem to solve

• Work rules• Health care• Job security• Leave usage• Salary

34

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Framing The Issue

� Frame in the form of a question

� Develop a high quality question

� Jointly select an issue

� State the issue clearly

� Check on understand and intent

35

Question

� Begins¡ “How might we…?” ¡ “How can we…?”

� Cannot be answered “yes or no”

� Contains no solutions

� Contains no accusations or inflammatory wording

6

36

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Proper Questions

� How might we avoid overlap in the schedules?

� How might we improve customer service?

� How might we update the dress code?

� How can we control overtime costs?

7

37

“My supervisor needs to stop being so picky about drinking coffee at my work station.”

Subject: Policy / Rule

Issue: Flexibility

Question: How might we allow more flexibility concerning workplace refreshments?

Example38

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Step 2Identify and Discuss Interest/Concerns

Step 2Identify and Discuss Interest/Concerns

� Interest = Legitimate concern about the issue¡Why you care about the issue, why it’s important¡ “Win”= satisfy interests

39

Step 2Determine Interest – Why?

� To discover and understand your own group’s

separate interests

� To explain your interests

� To define mutual/common interests

40

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21

� Identify and chart separate interests

� Discuss separate interests

� Reach consensus on mutual/common interests

Step 2Identify and Discuss Interest/Concerns

Step 2Identify and Discuss Interest/Concerns

41

Common Interests

� Identical interests to yours

� Conceptually similar interests

� Interest of the other group you can support

42

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Step 3Generate Options

Step 3Generate Options

� Option= Possible solution that satisfies legitimate interests¡Hire more employees¡Work overtime¡Add a shift¡Automate function

43

Step 3Develop Options

� Brainstorm all potential options

� Relate each to the causes of the problem

� Merge similar or related options

44

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Step 3Refine Options

� Combine similar options

� Eliminate duplicates

� Cross out grossly flawed options

45

Step 4Establish Criteria

Step 4Establish Criteria

�Criteria = objective standard to compare/judge options

46

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Three Common Criteria

Is it acceptable?•Do the parties accept the option(s) for settlement?•Is it perceived as “fair” by the parties?

Is it beneficial?•Does it benefit the stated interests?•Does it harm any other stated interests?

Is it feasible?•Will it work?•Is it legal?•Is it affordable?•Is it easy to understand?•Can it be explained?•Other….

47

Step 5Test Options Against Criteria

� Discuss each option against all the criteria

� Consensus decision making

� Active listening

� Recording

� Matrix

48

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Step 6Develop the Solution - Capture It in Writing

� Combine options that meet the criteria and meet as many interests/concerns as possible

� Reach consensus on a livable solution

� Draft a written solution jointly

� Check for consensus on the solution’s final draft

49

Step 7Apply the Livable Solution

� Develop specific action steps and a time table to implement the solution

� Assign responsibility for each action step

� Determine time line of implementation

� Establish follow-up time phase

50

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26

Techniques Required

� Brainstorming

� Consensus Decision Making

� Recording (Flip Charting)

� Listening

� Feedback

� Member Facilitating

51

Technique 1: Brainstorming

� A technique which stimulates a random expression of ideas by a group of individuals.

� The theory behind brainstorming is that ideas generate new ideas.

52

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27

What exactly is Brainstorming?

� Harebrained idea

� Sudden bright idea

� Violent transient fit of insanity

53

Quotes of the Creatively Impaired

� Groups with guitars are on the way out.”Decca Records in turning down the Beatles

� “Everything that can be invented has been invented.”Director of U. S. Patent Office, 1899

� “Who the Hell wants to hear Actors talk?”Harry Warner, early 1900’s

� “The world capacity for computers is 5.”Thomas Watson, CEO IBM 1943

54

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Brainstorming

� Define the problem

� No criticism is allowed

� No killer phrases

� Use free-wheeling imagination

� Build on other’s ideas

� Aim for quantity

� Record each idea

55

Brainstorming56

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Group Exercise

● ● ●

● ● ●

● ● ●

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Group Exercise

� Brainstorming Task Sheet

You live in the suburban town of Gadsden, which has a population of 40,000. The City administration has committed the bureaucratic blunder of the century. Having planned an industrial park on 15 acres of city owned land, surveyed the sites, and poured the concrete road for the main intersection ( a smooth concrete square slab measuring 200 ft. X 200 ft.), the city has just found out that due to Federal regulations the industrial park can never be built on this site. Your group is a blue ribbon panel convened to develop suggestions on how to use this parcel of land.

58

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Group Exercise: Brainstorming

� Using the Guide Lines for BrainstormingList as many suggestions as possible on how to use this parcel of land:1.2.3.4.5, 6……..10

59

Technique 2: Consensus Decision-Making

� A group reaches consensus when all members agree on one alternative

� All points of view are understood

� Reached in fair, open manner

� Best solution at the time

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31

Benefits of Consensus

� Decision reached by all members

� Strong acceptance

� Fast implementation

� Lower resistance

� All ideas have been heard

� Aims to win

� No bargaining

61

Guidelines for Consensus

� Listen

� Encourage participation

� Share information and ideas

� Don’t change to keep harmony

� Don’t bargain or trade support

62

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Consensus Reached

� Consensus reached when all members of a group are willing to accept decisions.

� Even though a decision may not necessarily be an individual’s first choice, they consider it a workable approach and in the best interest of the group.

63

Consensus Reached

70/100 %

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Consensus “Standouts”

� Standouts are people who don’t agree with consensus decision

� Serve an important purpose¡Help avoid “group think”

65

Responsibilities of Standouts

� Stay involved with the group

� Clearly say why they disagree

� Explain why they disagree

� Try to to offer a specific way to satisfy

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Consensus Is Reached When You Can Say:

� “I believe that you understand my point of view.”

� “I believe that I understand your point of view.”

� “Whether or not I personally prefer this option I will support it; because the decision was arrived at in a fair and open manner and it is the best solution for us at this time.”

67

“Tell me and I'll forget.Show me and I'll remember.

Involve me and I'll understand.”

Confucius

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Consensus Reached

70/100 %

69

Consensus Exercise

Top Ten Things Americans are Most Afraid of:1.2.3.4.5.6.7.8.9.10.

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Technique 3: Effective Communication

� Listening and Clarifying¡ Definition-

÷Listening is the capacity to hear effectively.

÷Clarifying is asking questions to verify the information received by listening.

71

Critical Skill:Listening & Clarifying

� Definitions

¡ Listening is the capacity to hear effectively.

¡Clarifying is asking questions to verify the information received by listening.

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Active Listening

� Body Language

� Ask Questions

� Paraphrase

� Summarize Key Points

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OpenOpen ClosedClosed

� “How did that make you feel?”� “Didn’t that make you

angry?”� “What else?”� “What bothers you

most?”

● The word “Why”● Leading questions● Interrupting● Judging● Criticizing● Advice● Too many notes● Distractions

Questions74

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What to Avoid

� Interrupting

� Exaggerated or mocking paraphrasing

� Sarcasm

� Evaluating or judging what is said

� Facial Expressions

� Negative postures

75

Ask Clarifying Questions

� Open ended -- expand, find out more

� Close ended -- confirm or narrow discussion

� Non-threatening

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Paraphrase

� Restate in your own words

� Describe without judging

� Include substance and emotions

� Shows speaker was heard & understood

� Helps focus

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Paraphrase

� Paraphrase¡ “So, you believe strongly that …”¡ “It sounds like …”¡ “What I hear you saying is …”¡ “From what you told me, you seem to feel that …”¡ “You sound frustrated that …”

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Meharbain Study

10% WORDS THEMSELVES

35% BODY LANGUAGE

55% TONE OF VOICE

79

What kind of animal do you see? 80

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What age woman do you see?81

How many squares do you see?82

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83

Process Checking

� A technique for monitoring and improving the team’s conduct of the interest-based process and group interactions.

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When to Check for Process

� At any point when member feels:¡ Principles not upheld¡ Work is off track ¡ Not following process

� End of each day

85

How to Check for Process

� Are current task and method clear?

� What adjustments to get back on track?

� Have we violated ground rules or principles?

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Benefits of Checking for Process

� Make self and team examination part of process

� Prevents bad habits from being ingrained

� Provides opportunity for positive feedback

87

Agree to Process Ground Rules

� No personal attacks.

� There will be one & only one conversation.

� All agreements to be made by consensus.

� A consensus reached cannot be changed by disagreement of someone absent at the meeting in which consensus is reached.

� Team members will not sit in the same seat or next to the same person 2 sessions in a row.

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Agree to Process Ground Rules

� There will be no ownership of ideas.

� Breaks will be taken as necessary.

� Full participation by all members.

� Process concerns should be raised when they occur.

� Freedom to invent without criticism.

89

Agree to Process Ground Rules

� Criticism and revision follow the invention stage.

� Probing the link between interest and option is desirable.

� Caucuses should be kept to a minimum. Any caucus exceeding 15 minutes requires notifying the other group of the approximate length of time needed. When returning, the group taking the caucus is to share the reason & general nature of the discussion.

90

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Chairperson-Facilitator:

� Definition¡ Leadership designed to help group perform more effectively¡ Supporting, guiding, and coaching the group

� Role¡ Advisor/Administrator ¡ Trainer¡ Process Observer and Guide

91

Key Facilitative Behaviors

� Ask Questions

� Summarize Discussion

� Refocus on the Issue

� Pinpoint points of conflict

� Validate and Bridge (Paraphrase)

� Read Body Language

� Restate Consensus Positions

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What Does a Facilitator Do?

� Manages “The Process”

� Serves as the “Neutral”

� Enforces the Ground Rules (empowered by the Parties)

� Keeps things moving

� Records the data

93

Changing Group Behavior

� Institute time limits and limitations on how often people may speak before others have a chance

� Institute round-robin discussion so everyone has to participate in the discussion

� Deal with digressions by restating the issue and purpose of the discussion

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Exercise A: Position vs. Interest

� An exercise in distinguishing Position statements from Interest statement on an Issue

� Definitions:¡ Issue: Topic or subject of problem solving¡ Position: One party’s solution to an issue¡ Interest: One party’s concern about an issue

Directions: Under each issue below are two statements. One is a position statement on the issue. The other is an interest statement on the issue. Place a “p” next to the position statement and “I” next to the interest statement

95

1. Issue: A neighbor borrows books from you and does not return them.

� Statements:¡ “ I will not let you borrow more books without a specific promise

as to when it will be returned”¡ “When I want to read, I want to get my books from the

bookcase. I don’t like to go to your house and ask for my things”

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2. Issue: An employee who is frequently late from for work.

� Statements:¡ “When you are late, you cause our work to be delayed.”

¡ “The next time you are even five minutes late, the boss is going to fire you.”

97

3. Issue: New postman doesn’t deliver your mail to the right apartment.

� Statements:¡ “I am going to complain to your supervisor if any mail isn’t

delivered to the right apartment every time.”

¡ “I like to get my mail at my apartment so that I don’t have to track it down.”

98

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Exercise B : Developing an Interest Statement

� Definitions: ¡ Interest: One party’s concern about an issue.¡ Position: One party’s solution to an issue.

� Directions: Listed below are issues involving two parties. In each situation both parties have taken a position on the issue. Convert those position statements into interest statements.

99

1. Issue: Employer and employee planning a training program together.

� Employer’s position: “The training program must include accounting skill”

� Employer’s interests:

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2. Employee’s position: “The training program must include having new computer”

� Employee’s position: “The training program must include having new computer.”

� Employee’s interests:

101

Exercise C: Developing Options based on Interests

� Definitions: ¡ Interest: One party’s concern about an issue.¡ Option: One of several solutions that can satisfy an interest on

an issue.

� Directions: Listed below are some statements of interest. Below each statement, list as many options as you can to satisfy that interest.

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Exercise C

� Interest statement: A family of five with the concern of raising fund for their children’s college education. List as many options as you can to satisfy that interest.

� Options:

103

Exercise C

� Interest statement: A husband and wife have a mutual interest in getting out of a rented apartment and into a home of their own. List as many options as you can to satisfy that interest.

� Options:

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Exercise D: Linking Interests, Options, and Criteria/Standards

� Definition¡ Interest: One party’s concern on an issue.¡ Option: One of several solutions to meet or satisfy an interest.

� Criteria/Standards: Characteristics to judge options.

105

Directions:

� For the issue below, identify as many interests as you can. Then, based on those interests, list as many options as you can. (Remember in developing options, the emphasis is on quantity not quality.) Finally, list the standards for evaluating and judging which option(s) are best.

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Issue: Taking care of an aging mother who is no longer able to take care of herself.

� Interest(s) of the mother:

� Interest(s) of the children:

� Mutual or common interest(s):

� Options:

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Standards or Criteria

Some examples:1. Mutual gain for mother and children2. Respect of both parties3. Society or cultural practice4. Workable/Manageable5. Affordable6. …...

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Group Exercise on IBCPS

� Example of Collaborative IBCPS Process in Practice

109

1st Planning Sheet

� Conferencing preparation in caucus:1. Select a spokesperson to deliver opening statement.

2. Prepare an opening statement.

3. Work on issues – formed as questions with explanations of situation.

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Pre Conferencing Meeting

� Draft Opening Statements & Issues

� Prepare Ground Rules¡ IBCPS Process Ground Rules

� Issues¡ Exchange Issue Lists¡ Merge Lists÷ Order & Package Issues

111

Open Collaborative Conference Using IBCPS

� Share Opening Statements¡ Reaffirm Commitment to Process & Relationship

� Discuss List of Issues¡ Generally Clarify/Understand Scope of Issues¡ Prioritize Issues¡ Determine Information Needed for First Few Issues¡ Work on least complicated issue

112

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2nd Planning Sheet

� Jointly Select an Issue

� Clearly Define or Focus the Issue¡ Answer all Questions¡ Share Information¡ Often, if you don’t see the solution, it is because you have not

completely defined the problem

113

3rd Planning Sheet

� Joint Session:¡ Discuss & Clarify the Interests behind the Issue¡ Convert any Position Statements to Interests¡ Identify Mutual/Separate Interests¡ Continue to Gather Information as Needed

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4th Planning Sheet

� Joint Session:¡ Brainstorm÷ As Many Options as Possible to Satisfy Your Interests

¡ Record Every Idea¡ Clarify Options÷Eliminate Duplicate Options÷Combine Options

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5th Planning Sheet

� Evaluate each Option against the Standards/Criteria

� Narrow Options for Best Solution

� If One Option Leaps out at Group, Start with it

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6th Planning Sheet

� Combine Options That¡ Meet Standards ¡ Satisfy Interests

� Reach Consensus

� Chart Solution

117

6th Planning Sheet

� When to close:

� After all options clarified¡ After list reduction techniques used¡ If there’s a sentiment for one or a combination

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6th Planning Sheet

� How to Close:¡ Proposal for closure¡ Group discusses closure¡ If no consensus, check assumptions, return to criteria.

119

6th Planning Sheet

� After Selecting Solution:¡ Select individual(s) to draft language which captures intent¡ Bring back to group for review & final approval at later

session¡ Sign off

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Check Up and Next Meeting

� Closing the Meeting¡ What was discussed and decisions made.¡ Issues tabled¡ Ensure all items reviewed, recorded and will be promptly

published

� Setting Next Meeting¡ Date and place set¡ Procedure for setting agenda reviewed¡ Evaluation of meeting/process for next meeting

121

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123

“The pessimist complains about the wind.The optimist expects it to change.

The leader adjusts the sail.”-- John Maxwell

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Thank You!125

� Peter Cheng¡ Commissioner, Federal

Mediation & Conciliation Service

¡ [email protected]¡ 615-587-8234

� Mark Travis¡ Director, Tennessee

Labor-Management Center

¡ [email protected]¡ 615-895-4166¡ 931-252-9123


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