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ADR in practice: Pre-Claim Conciliation – 2 years on

Acas response: Pre-Claim Conciliation

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ADR in practice: Pre-Claim Conciliation – 2 years on

  1. 2. ADR in practice: Pre-Claim Conciliation – 2 years on Barbara Davey Senior Research Officer Research and Evaluation Acas Effective Conflict Management Seminar 8 March 2011
  2. 3. Outline of presentation <ul><li>Acas response to Gibbons - PCC </li></ul><ul><li>Pre-Claim Conciliation – how it works </li></ul><ul><li>Monitoring take-up and outcomes </li></ul><ul><li>Evaluating effectiveness </li></ul><ul><li>Customer perceptions </li></ul><ul><li>Questions </li></ul><ul><li>The challenges – the conciliator story </li></ul>
  3. 4. Acas response: Pre-Claim Conciliation <ul><li>From ‘non-ET1s’ to (pro-)active promotion of early dispute resolution in potential ET claims </li></ul><ul><li>2008 – pilot carried out in 3 Acas regions </li></ul><ul><ul><li>more conciliators </li></ul></ul><ul><ul><li>additional training and development for helpline advisers and conciliators </li></ul></ul><ul><li>Profile raising among reps, CAB and TUs </li></ul>
  4. 5. PRE-CLAIM CONCILIATION – things don’t have to get ugly!
  5. 6. PCC – Objectives <ul><li>encourage earlier and speedier resolution of disputes with positive employment relations outcomes </li></ul><ul><li>reduce admin burden and produce time and cost savings for employers, employees and the state </li></ul><ul><li>positive customer experience </li></ul>
  6. 7. Pre-claim conciliation How does it work?
  7. 8. PCC – how does it work? <ul><li>Acas helpline adviser </li></ul><ul><ul><li>Is caller eligible for PCC? </li></ul></ul><ul><ul><ul><li>Employer not insolvent </li></ul></ul></ul><ul><ul><ul><li>Eligible to claim (jurisdictions/time limits) </li></ul></ul></ul><ul><ul><ul><li>Efforts to resolve </li></ul></ul></ul><ul><ul><ul><li>Intention to claim </li></ul></ul></ul><ul><ul><li>Outlines PCC service – offers to refer </li></ul></ul><ul><ul><li>Refers to conciliator </li></ul></ul>
  8. 9. PCC – how does it work? <ul><li>Acas Conciliator </li></ul><ul><ul><li>Contacts employee </li></ul></ul><ul><ul><ul><li>Is PCC Referral appropriate? </li></ul></ul></ul><ul><ul><ul><li>Proceed? </li></ul></ul></ul><ul><ul><li>Contacts employer </li></ul></ul><ul><ul><ul><li>Proceed? </li></ul></ul></ul><ul><ul><li>Attempts to settle </li></ul></ul>
  9. 10. Pre-claim conciliation Monitoring take up and outcomes
  10. 11. What is the take-up? <ul><li>PCC Referrals </li></ul><ul><li>First year 2009/10 9,758 </li></ul><ul><li>Second year April-Dec 2010 12,482 </li></ul><ul><li>Source: Acas MI Data </li></ul>
  11. 12. How many are resolved? <ul><li>Target 40% appropriate referrals resolved </li></ul><ul><li>First year 2009/10 </li></ul><ul><ul><li>39% of appropriate referrals </li></ul></ul><ul><li>Second year Apr-Dec 2010 </li></ul><ul><ul><li>almost 50% of appropriate referrals </li></ul></ul><ul><ul><li>Source: Acas MI Data </li></ul></ul>
  12. 13. Reduce ET claims? <ul><li>Complex </li></ul><ul><li>ET claims affected by many factors </li></ul><ul><ul><li>e.g. recession in first year of PCC (UD 46% 2009/10 cf 40% 2008/09) </li></ul></ul><ul><li>Can track referrals 3 months after case closed </li></ul><ul><li>ET avoidance rate - target 70% </li></ul><ul><li>77% of appropriate referrals-no claim had been submitted (April-December 2010) </li></ul><ul><ul><li>Source: Acas MI Data </li></ul></ul>
  13. 14. Pre-claim conciliation: evaluating effectiveness
  14. 15. Evaluation criteria <ul><li>‘ easily accessible, speedy, informal and inexpensive’? </li></ul><ul><li>Donovan Commission report 1968 </li></ul><ul><li>ET claims </li></ul><ul><li>Survey of Employment Tribunal applications (SETA)2008 BMRB </li></ul><ul><ul><ul><li>4027 employers/employees in closed cases Feb’07-Jan’08 </li></ul></ul></ul><ul><li>Pre-Claim Conciliation </li></ul><ul><li>Evaluation of the first year of Acas’ Pre-Claim Conciliation service – ORC </li></ul><ul><ul><ul><li>1188 parties (employees, employers, reps) in closed cases April-Dec ‘09 </li></ul></ul></ul>
  15. 16. Easily accessible? workplaces <ul><li>Compared to ET cases: </li></ul><ul><ul><li>< public sector (12% cf 19%) </li></ul></ul><ul><ul><li>< large workplaces (250+) (13% cf 19%) </li></ul></ul><ul><ul><li>< internal HR depts (55% cf 62%) </li></ul></ul><ul><ul><li>> Smaller private sector workplaces without an internal HR </li></ul></ul><ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul></ul><ul><ul><li>Survey of Employment Tribunal applications (SETA) 2008 </li></ul></ul>
  16. 17. Easily accessible? employees <ul><li>Compared to ET cases: </li></ul><ul><ul><li>< Trade Union members (10% cf 25%) </li></ul></ul><ul><ul><li>< long-standing illness/disability (13% cf 22%) </li></ul></ul><ul><ul><li>< BME (indicative) (6% cf 12%) </li></ul></ul><ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul></ul><ul><ul><li>Survey of Employment Tribunal applications (SETA) 2008 </li></ul></ul>
  17. 18. Easily accessible? type of dispute <ul><li>Compared to ET cases: </li></ul><ul><ul><li>< Discrimination </li></ul></ul><ul><ul><li>= Unfair Dismissal </li></ul></ul><ul><ul><li>> Monetary, eg. Wages Act, Redundancy </li></ul></ul><ul><ul><li>Preserving employment relationship? </li></ul></ul><ul><ul><li>Source: Acas MI data – April – December 2010 </li></ul></ul>
  18. 19. Informal? <ul><li>ET - need for a representative </li></ul><ul><ul><li>Increasing legalism/complexity of case law </li></ul></ul><ul><ul><li>Unrep’d claimants in complex cases disadvantaged </li></ul></ul><ul><li>Representation - ET cases </li></ul><ul><ul><li>Nominated ET form ( 32% claimants, 54% employers ) </li></ul></ul><ul><ul><li>Used on day-to-day basis ( 46% claimants, 60% employers) </li></ul></ul><ul><li>PCC </li></ul><ul><ul><li>9% represented (10% employees, 6% employers) </li></ul></ul><ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul></ul><ul><ul><li>Survey of Employment Tribunal applications (SETA) 2008 </li></ul></ul>
  19. 20. Speedy? <ul><li>Time spent by employers and employees (median) </li></ul><ul><li>Employees </li></ul><ul><ul><li>7 days ET claim </li></ul></ul><ul><ul><ul><li>>6 days if settled by Acas, >8 days ET hearing </li></ul></ul></ul><ul><ul><li>6 hours on PCC case </li></ul></ul><ul><li>Employers </li></ul><ul><ul><li>5 days ET claim </li></ul></ul><ul><ul><ul><li>5 days if settled by Acas, 7.5 days ET hearing </li></ul></ul></ul><ul><ul><li>1 day on PCC case </li></ul></ul><ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul></ul><ul><ul><li>Survey of Employment Tribunal applications (SETA) 2008 </li></ul></ul>
  20. 21. Inexpensive? <ul><li>Less time, less representation, less admin </li></ul><ul><li>Costs calculated by BIS economists with Acas </li></ul><ul><li>Employers </li></ul><ul><ul><li>Resolving a claim through PCC : £475 </li></ul></ul><ul><ul><li>Dealing with submission of ET claim: £5684 </li></ul></ul><ul><li>Employees </li></ul><ul><ul><li>Resolving a claim through PCC: £78 </li></ul></ul><ul><ul><li>Dealing with submission of ET claim: £2928 </li></ul></ul><ul><ul><li>Included data from SETA 2008, PCC 2010, Acas MI and ASHE 2010 </li></ul></ul>
  21. 22. Pre-claim conciliation Customer perceptions
  22. 23. Customer satisfaction <ul><li>PCC Outcome (59% employees, 71% employers) </li></ul><ul><li>ET Outcome (SETA) (59% employees, 69% employers) </li></ul><ul><li>PCC Conciliation (80% employees, 83% employers) </li></ul><ul><li>Acas service (SETA) (77% employees, 79% employers) </li></ul><ul><li>ET system (SETA) (74% employees, 65% employers) </li></ul><ul><li>Would use PCC again (85% employees, 91% employers) </li></ul><ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul></ul><ul><ul><li>Survey of Employment Tribunal applications (SETA) 2008 </li></ul></ul>
  23. 24. Why employers decline PCC <ul><li>Formal legal representation in place </li></ul><ul><li>Wanted to resolve without third party assistance </li></ul><ul><li>Not sure what PCC can offer </li></ul><ul><li>‘ Wait and see’ </li></ul><ul><li>Would not settle outside the tribunal system </li></ul><ul><li>No case to answer </li></ul><ul><li>Source: Evaluation of the first year of Acas’ Pre-Claim Conciliation service 2010 </li></ul>
  24. 25. Pre-claim conciliation Customer experience Summary
  25. 26. Summary <ul><li>Take-up increasing and targets met/exceeded in resolving referrals </li></ul><ul><li>Evidence of avoiding ET claims – need further examination of impact on ET claim volumes </li></ul><ul><li>PCC faster, cheaper, and more informal than ET process </li></ul><ul><li>Customers satisfied with PCC - particularly employers </li></ul>
  26. 27. Summary <ul><li>Accessible? </li></ul><ul><ul><li>fewer public sector but more smaller businesses no HR </li></ul></ul><ul><ul><li>fewer TU members? </li></ul></ul><ul><ul><li>fewer long-term ill/disability and BME? </li></ul></ul><ul><ul><li>fewer discrimination cases? </li></ul></ul><ul><li>Challenges: </li></ul><ul><ul><li>Preserving employment relationship </li></ul></ul><ul><ul><li>Persuading employers to participate </li></ul></ul>
  27. 28. Pre-claim conciliation Any questions?..... Any questions?
  28. 29. Pre-claim conciliation Customer experience Overcoming challenges: the conciliator story
  29. 30. Conciliator story : Focus groups <ul><li>Two main challenges: </li></ul><ul><ul><li>Absence of initial paperwork </li></ul></ul><ul><ul><li>Cold calling the employer </li></ul></ul>
  30. 31. Absence of initial paperwork <ul><li>Employment Tribunal cases- conciliation </li></ul><ul><ul><li>ET1 and ET3 forms outlining the claim </li></ul></ul><ul><ul><li>time and space between submission of claim and speaking to conciliator </li></ul></ul><ul><li>PCC </li></ul><ul><ul><li>immediate </li></ul></ul><ul><ul><li>conciliator absorb/sort great deal of information </li></ul></ul><ul><ul><li>callers often highly emotional </li></ul></ul><ul><ul><li>want to off-load, discuss issues in-depth </li></ul></ul>
  31. 32. Absence of initial paperwork <ul><li>“ They are the same people obviously but when you get an employment tribunal case there’s a distance. They’ve had to think about their claim, put it on an ET1 and by the time you get the ET1 it’s been a further two or three weeks, they’ve processed it a lot more and are more settled about what they want to do about it. With the helpline referral (for PCC) they’re a lot more stressed about the issues” (conciliator) </li></ul><ul><li>Conciliator: </li></ul><ul><ul><li>more direct </li></ul></ul><ul><ul><li>continually questioning and focusing the employee </li></ul></ul>
  32. 33. Cold calling employers <ul><li>Employment Tribunal cases – conciliation </li></ul><ul><ul><li>employer is aware of ET claim </li></ul></ul><ul><li>PCC </li></ul><ul><ul><li>often first time employer heard that employee is thinking of submitting a claim </li></ul></ul><ul><ul><li>sometimes managing emotions of employer </li></ul></ul><ul><li>We have to break the news that someone is thinking of claiming against them so it can be quite tricky to manoeuvre round that and it can be really difficult…” ( conciliator) </li></ul>
  33. 34. Cold calling employers <ul><li>Employment Tribunal cases – conciliation </li></ul><ul><ul><li>build rapport over number of contacts </li></ul></ul><ul><li>PCC </li></ul><ul><ul><li>have to engage the employer in the initial phone call </li></ul></ul><ul><ul><li>“ things are won or lost in the first couple of conversations” (conciliator) . </li></ul></ul>
  34. 35. Cold calling employers <ul><li>Employment Tribunal cases - conciliation </li></ul><ul><ul><li>Straight to conciliation process </li></ul></ul><ul><li>PCC </li></ul><ul><ul><li>Can we talk? </li></ul></ul><ul><ul><li>Priority – make it clear who Acas is </li></ul></ul><ul><ul><li>Strongly convey Acas’ impartiality </li></ul></ul><ul><ul><li>Keep language neutral </li></ul></ul><ul><ul><li>Pace of information crucial </li></ul></ul>
  35. 36. Cold calling employers <ul><li>Skills/tactics: </li></ul><ul><ul><li>Employee called helpline because they are unhappy </li></ul></ul><ul><ul><li>Highlight that employee wants to resolve the issue </li></ul></ul><ul><ul><li>Highlight benefits of early dispute resolution </li></ul></ul><ul><ul><li>Invite employers to tell them how case is weak </li></ul></ul>
  36. 37. PCC Outcomes <ul><li>Earlier intervention chance for non-monetary outcomes and stops parties getting entrenched: </li></ul><ul><ul><li>“… often it’s other things that they’re looking for, like a reference or apology or something to make the situation right” (conciliator) </li></ul></ul><ul><li>Some incidents of re-instatement </li></ul>
  37. 38. And finally…. <ul><ul><li>“ I think the beauty of PCC is we’re resolving it quickly” (conciliator) </li></ul></ul>
  38. 39. Sources: <ul><li>Pre-Claim Conciliation </li></ul><ul><li>Acas Management Information </li></ul><ul><li>Evaluation of the first year of Acas’ Pre-Claim Conciliation service - ORC </li></ul><ul><ul><ul><li>1188 parties in closed cases April-Dec 2009 (37% rr) </li></ul></ul></ul><ul><ul><ul><li>13 qualitative interviews unprogressed cases </li></ul></ul></ul><ul><ul><ul><li>5 qualitative interviews – resolved cases </li></ul></ul></ul><ul><li>Individual conciliation in ET claims </li></ul><ul><li>Acas Management Information </li></ul><ul><li>Acas Individual Conciliation customer survey ORC forthcoming </li></ul><ul><ul><ul><li>2336 parties in closed cases Jan-Mar 2010 (39% rr) </li></ul></ul></ul><ul><li>ET claims </li></ul><ul><li>Survey of Employment Tribunal applications(SETA)2008 BMRB </li></ul><ul><ul><ul><li>4027 parties in closed cases Feb’07-Jan’08 (62% rr) </li></ul></ul></ul>

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