Alternative Dispute Resolution
A Resource Guide

Section I: Alternative Dispute Resolution
Techniques and Agency Practices

Air Force

ADR Technique: Mediation

How the ADR System Works
The Air Force uses ADR, primarily mediation, to resolve all types of employment disputes. Recently several Air Force bases have adopted the use of management-union peer review panels to resolve employee grievances and unfair labor practice allegations. Emphasis is placed on early intervention, generally during the informal stages of processing. However, mediation is offered at any stage.

Background/Objectives
The Air Force was one of the first Federal agencies to use ADR beginning in 1989 with EEO complaints. Use has since been expanded to all types of disputes including negotiated and administrative grievances, unfair labor practice charges, and Merit System Protection Board appeals. Over 1,500 mediators have been trained including EEO counselors, personnel specialists, and management and union officials. Since 1999, official Air Force policy is to maximize the use of voluntary ADR, at the earliest stage feasible, by the fastest and least expensive method possible, and at the lowest possible organizational level.

Duration/CurrentActivity
In Fiscal Year 01, ADR was attempted in 2,736 of the Air Force's 5,350 civilian workplace disputes, an attempt rate of 51 percent. The great majority of those ADR attempts were mediations. Of those case going to ADR, 2,060 (75%) were resolved. The Air Force's Military Equal Opportunity Office, which handles military equal opportunity and treatment complaints, uses mediation and facilitation to resolve these disputes informally. Several Air Force bases have recently adopted the use of pee` review panels to resolve employee grievances and unfair labor practice charges, with great success. In October 2001, the Air Force was one of four winner's of OPM's Award for Outstanding ADR Programs in the Federal Government. Tinker AFB in Oklahoma City and Charleston AFB, SC, were also recognized for their outstanding local ADR programs. The Air Force program is profiled in the recently published "How Companies Manage Employment Disputes" (CPR Inst. For Dispute Resolution, 2002), and is collaborating with the American Bar Association's Section on Dispute Resolution to develop confidentiality guidelines for federal ADR proceedings.

Rules Governing the Activity
Participation in mediation or other forms of ADR is voluntary. Agreements are mutually acceptable to the parties. If no agreement is reached, the original dispute process continues. Discussions and settlement proposals are confidential and are not used to influence a decision if the process goes forward. Settlement agreements are reviewed by civilian personnel and legal staffs to assure regulatory and legal sufficiency. Union review may also be permitted in cases where the settlement affects other employees' working conditions or the terms of a collective bargaining agreement.

Contact
Lt Col Marc Van Nuys, Director, Air Force Workplace Disputes ADR Program, Air Force General Counsel's Office, Dispute Resolution Division. Address: SAF/GCD, 1740 Air Force Pentagon, Washington DC 20330-1740. Telephone (703) 697-0379; DSN 227-0379; FAX (703) 614-8846; DSN 224-8846. Email: marc.vannuys@pentagon.af.mil. Air Force ADR website: www.adr.af.mil.

Air Force
Air Force Materiel Command

ADR Technique: Mediation

How the ADR System Works
The AFMC ADR Plan for Workplace Disputes requires every AFMC installation to have a local ADR Champion and a plan for using ADR in workplace disputes. The union is a full partner in the selection of the ADR Champion, design of local ADR plans, appointment of mediators and other neutrals, and review of settlements to ensure compliance with collective bargaining agreements. The Plan establishes procedures for determining which disputes are appropriate for ADR, selection and training of neutrals, standards of conduct for neutrals, individual evaluations of ADR proceedings and neutrals by the parties, and standardized metrics to measure overall program success. However, AFMC ADR Plan's does not dictate to individual installations the specific elements of their ADR plans, nor does it dictate the procedures they must use in conducting ADR in individual cases. The Plan authorizes installation commanders, with assistance from the ADR Champion and input from the union, to select and appoint individuals to serve as mediators. Finally, the Plan assigns responsibility to the local legal office and Civilian Personnel Flight to ensure legal sufficiency and regulatory and statutory compliance of all settlements reached as a result of ADR. Settlements affecting the collective bargaining agreement or requiring an interpretation of its terms must also be reviewed by the union.

Background/Objective
The AFMC's unprecedented command-wide ADR Plan for Workplace Disputes was developed under the auspices of the Command's Partnership Council with Council 214 of the American Federation of Government Employees, AFL-CIO (AFGE). The plan, called "Operationalizing ADR," codifies ADR practices and procedures in this Major Command with the Air Force's largest civilian workforce and the historical source of the majority of the Air Force's workplace disputes. The Plan also sets a benchmark for other Air Force Major Commands to follow. For the first time in the Air Force, ADR has been established as a co-equal partner with traditional processes for dealing with workplace disputes. The Plan promotes the use of ADR in virtually all workplace disputes, including negotiated grievances, administrative grievances, unfair labor practices, Equal Employment Opportunity (EEO) complaints, and Merit Systems Protection Board (MSPB) appeals.

The AFMC ADR Plan expresses its goals and objectives as "mission, goals and vision."

• Mission: To (I) enhance the frequency and efficiency of workplace dispute resolution throughout AFMC; (2) match AFMC ADR needs with appropriate resources; and (3) translate individual dispute resolution knowledge and skills into a corporate capability.
   
• Goal: To implement a command-wide ADR program, which provides a frameworkJprocess for the development of installation-level ADR programs within AFMC.
   
• Vision: To promote the use of ADR to the maximum extent practicable and appropriate to resolve workplace disputes at the earliest stage possible, by the fastest and least expensive method possible, and at the lowest possible organizational level.
   

Duration/Current Activity
In September 2001, AFMC and the Partnership Council jointly sponsored a management-union workshop to finalize and develop the implementation strategy for the AFMC ADR Plan and to help local management-union teams build their own plans. Over 100 personnel specialists, EEO managers, ADR specialists, attorneys, and union officials from every AFMC installation worked for a week to build the AFMC ADR plan and supporting local plans. Over the ensuing months, the AFMC ADR Plan and implementation schedule were finalized, culminating in their adoption by the full Partnership Council on March 20, 2002 and approval by Headquarters AFMC the following month. The Plan set forth an ambitious command-wide implementation and training schedule to promote ADR awareness and support from senior leadership, managers and supervisors, union officials, and rank and file employees.

Rules Governing the Activity
The program was rolled out in joint policy letters signed by the AFMC Commander and AFGE Council 214 president, directing commanders, managers, and union officials to treat ADR in workplace disputes as their personal responsibility, to appoint responsible officials to manage their programs, to develop plans, and to promote the use of ADR across the board. The policy letters also appointed the AFMC Director of Personnel, as Command ADR Champion, to oversee the development and deployment of the ADR Plan across the Command, and to keep the Partnership Council apprised on a regular basis of the health of the ADR Program.

To ensure maximum exposure and buy-in after final adoption of in April 2002, the AFMC ADR Plan established an ambitious roll-out schedule designed to provide ADR awareness training, design workshops where needed, town hall meetings with supervisors and rank and file employees, and basic and advanced mediation training for individuals selected to serve as mediators at the various AFMC bases.

The Plan does require installation ADR programs to be consistent with general Air Force policy and, in EEO cases, to comply with EEOC regulations and guidelines.

Contact
Joseph M. McDade, Jr., Deputy General Counsel (Dispute Resolution), 1740 Air Force Pentagon, Washington, D.C. 20330-1740; Telephone: (703) 693-7286; Fax (703) 614-8846.

Air Force
Charleston Air Force Base

ADR Technique: Mediation/Arbitration

How the ADR System Works
The ADR program was developed to settle grievances, both the Negotiated Grievance Procedure (NGP) and the Administrative Grievance Procedure (AGP), Unfair Labor Practices and any other mutually agreed upon issue. Eight members of the bargaining unit and eight members of management were selected by their respective leadership. The sixteen-member team received training in dispute resolution. Team members serve for a minimum of two years. Each ADR request is heard by a four-member panel (2 management/2 labor) from members of the ADR team. Mediation is the primary goal of ADR, however if that fails arbitration through consensus settles the issue. Mediation/arbitration decisions of the panel are binding on all parties.

Background/Objective
The program was designed to implement a problem-solving process that would prevent and resolve typical workplace disputes before they escalate. The goal is to reduce conflict and channel it into constructive action, where positive change can be made thus enhancing mission readiness. The objectives are as follows: Develop a creative process to resolve conflict; build a foundation of trust on both sides; focus on the issues, not people or personalities; be open to alternatives and compromise; explore all interests, and render a fair and equitable decision. A significant unanticipated benefit arose between the parties during program development - trust and communication. The parties working together towards a common goal--a better way to resolve disputes--actually prevented disputes from arising in the first place.

Duration/Current Activity
Dispute resolution time has been reduced dramatically. No third party actions have been required since program inception. With disputes being resolved in-house, the process is not dependent on the availability and timeliness of third parties or outside agencies.

Rules Governing the Activity
When used to settle a grievance under the NGP, steps one and two must be completed. At that time the employee elects either step 3 or ADR. For the AGP the employee chooses either the grievance procedures or ADR at the initial outset. If ADR is chosen the employee signs a memorandum of agreement acknowledging that ADR is final and binding on both the employee and management. If an employee under the NGP choose to stop the ADR process once elected, then the decision handed down by the step 2 official will prevail. This process was codified in the recently negotiated MOA with the local union (AFGE)

Contact
Nancy Corbin, 437 SVS/SV, 102 N. Davis Drive, Charleston AFB, SC 29404- Telephone (843) 963-4314, DSN 673-4314; Email Nancy.Corbin@charleston.af.mil

Air Force
Kirtland Air Force Base

ADR Technique: Mediation

How the ADR System Works
The mediation process is available through the Kirtland Air Force Base Mediation Program to help resolve workplace conflicts. It is a voluntary and confidential process, which may be initiated by either an employee or a management official. The program provides mediation services. The goal is to facilitate resolution of conflict before it reaches a formal dispute process such as a grievance or an EEO complaint. However, mediation is also available at any stage of a formal process and in no way impedes an employee's grievance or complaint rights. The time requirements for those processes are either held in abeyance or extended pending the outcome of the mediation. If necessary, mediation may encompass more than one meeting in an effort to achieve a resolution.

Background/Objective
The goal is to provide the Kirtland Air Force Base community with an alternative to traditional methods of resolving disputes and to provide a forum for those workplace conflicts that would not normally be available through a formal process. After a process action team evaluated the grievances and EEO complaints being handled on the base, a pilot program was established that has evolved into a mediation program that is functionally aligned under the base EEO Manager. The staff has received mediation skills training through Air University (Ira C. Eaker College for Professional Development), the Albuquerque Mediation Alliance, the Justice Center of Atlanta, CDR Associates (Boulder, CO), and previous job training and education.

Duration/Current Activity
The Office opened on 1 December 1993 as the Kirtland AFB Mediation Center. It became a permanent program in 1996, and was functionally realigned under the EEO Counseling Office in 1997. Over 600 disputes have been referred to the program since its inception, with a resolution rate approaching 70%.

Rules governing the Activity
Memoranda of Agreement (MOAs) were negotiated with the local unions (AFGE and LIUNA) allowing mediation of grievances. The MOAs provide that the unions will receive copies of settlement agreements with the written consent of participants who are bargaining unit members. Otherwise, the terms and conditions of all agreements resulting from the mediation process are confidential. Settlements of pending EEO complaints and grievances are reviewed by the base Judge Advocate, EEO, and Civilian Personnel offices to ensure legal, regulatory, and statutory compliance.

Contacts
G.M. 'Rav' Nicholson, - ADR Champion: 377 ABW/CCD, 2000 Wyoming Blvd. SE, Suite C-18, Kirtland AFB, NM 87117; Telephone: (505) 846-7552/5369; FAX: (505) 846-4192; e-mail: rav.nicholson@kirtland.af.mil.

ADR Technique: Mediation

How the ADR System Works
The Alternative Dispute Resolution Program provides for mediation of disputes between management and employees. The ADR Program staff receives EEO and grievance mediation referrals, contacts the parties to the dispute The ADR Program staff identifies the relevant parties to a dispute and provides a pre-mediation briefing at which all participants are introduced to the mediation process. At the subsequent mediation conference, trained in-house mediators guide the parties through the mediation process, assisting them to reach a mutually acceptable resolution, if at all possible. A substantial number of collateral duty mediators compose the mediator staff. When resolution is achieved, the parties are encouraged to prepare a brief, specific agreement. When resolution is not achieved, the parties are informed of their rights in continuing the processing of a grievance or EEO complaint should they so choose.

Background/Objective
The program is the outgrowth of efforts toresolve an impasse between management and labor contract negotiating teams. ADR, particularly mediation, was seen as a way to effectively resolve both this impasse and a variety of workplace disputes in general. The goals of the program include: (1) providing a simpler, friendlier, less costly, less adversarial and more timely avenue for resolving workplace disputes; (2) reducing the number of EEO complaints and grievances in processing; and (3) fostering improved labor-management relations through increased communication between employees and supervisors and between management staff and labor representatives.

Duration/Current Activity
Almost 350 mediations have been conducted since the program was instituted toward the end of Fiscal Year 1996 with a resolution rate of 70% or better. For FY 2002, the resolution rate has hovered around 73%.

Rules Governing the Activity
Cases referred to mediation may involve EEO issues, grievances submitted either through the Negotiated Grievance Procedure as provided by the labor agreement or through the agency grievance procedure, or other workplace issues and disagreements which have not been resolved. All mediators are agency employees and receive extensive training in ADR and mediation techniques.

Alamo Federal Executive Board Shared Neutrals Consortium (SNC)
Under the auspices of the Alamo Federal Executive Board of San Antonio, ADR-Lackland is the program coordinator for the SNC. The SNC provides Federal agencies operating and/or located in the San Antonio community access to mediation services at "No Cost" to them. Participating agencies are encouraged to make in-kind reciprocal contributions consisting of employees to serve as mediators, making available to other participants their own training resources, and assisting in the SNC program operations.

Since its inception in October 1999, the SNC has developed an extensive staff of 50-60 trained mediators, contributed by the 14 -15 participating agencies. A number of the more experienced mediators function as Lead Mediators, conducting mediations while introducing neophyte mediators to the "live" action, providing guidance and feedback on appropriate techniques and approaches, and evaluating their performance.

Of the 92 mediations conducted by SNC through Aug 2002, the issues and concerns presented have been resolved in 70% of the mediations conducted.

Among the clients for whom mediations have been conducted are the U.S. Department of Interior, U.S. Department of the Air Force, U.S. Army, Defense Finance and Accounting Service, Defense Commissary Agency, U.S. Department of Housing and Urban Development, Veterans Administration, U.S. Dept of Transportation, and the Federal Aviation Agency.

Contact
Norm Jacobson, ADR Manager, 37 TRW/CCD, 1701 Kenly Ave Lackland AFB, TX, 78236-5523. Telephone: (210) 671-4284; FAX: (210) 671-2162. Email: norman.jacobson@lackland.af.mil.

Air Force
San Antonio Uniformed Services
Health Education Consortium (SAUSHEC)

ADR Technique: Ombudsman

How the ADR System Works
The San Antonio Uniformed Services Health Education Consortium (SAUSHEC) Ombudsman Program provides for informal problem-solving services for uniformed medical, dental, and chaplain residents of graduate medical education programs at Wilford Hall Medical Center (WHMC) and Brooke Army Medical Center (BAMC). The Ombudsman Program staff responds to the needs of the residents by fostering access, hearing concerns, guiding problem-solving approaches, and employing conflict resolution techniques as indicated by the needs of the constituent party. The Ombudsman assists the resident reach a fair and equitable resolution, if at all possible. Four collateral-duty Ombudsmen compose the program staff. Parties are assisted directly or referred to appropriate agencies.

Background/Objective
The program is the outgrowth of efforts to meet the Accreditation Council for Graduate Medical Education (ACGME) requirements for grievance procedures and due process, and to support and assist residents negotiating the rigors of postgraduate training. ADR, particularly the service of an Ombudsman, was seen as a way to effectively address the needs of this population of uniformed officers. The goals of the program include: (1) creating a supportive environment in which residents can seek productive solutions to their problems, (2) providing direct access to nonjudgmental assistance in resolving problems and disputes; (3) facilitating the development of conflict resolution skills in the constituency; and (4) fostering improved relations through increased communication between residents and supervisors, ancillary staff members, and peers.

Duration/Current Activity
The SAUSHEC Ombudsman Program has evolved from informal faculty support and guidance to a formal program adopting standards of practice and ethical guidelines consistent with ADR. Current efforts are focused on enhancing awareness of the Ombudsman Program among residents, faculty and ancillary staff.

Rules Governing the Activity
Cases addressed by the Ombudsmen may involve personal, training or workplace issues and disagreements that have not been resolved through independent efforts by the resident. All ombudsmen are active duty military medical officers appointed to this collateral duty by the Dean, SAUSHEC, and receive initial and ongoing training in ADR techniques.

Contacts
Major Terri LRiutcel, SAUSHEC Chief Ombudsman, 59th MDOS/MMCU, 2200 Bergquist Drive, Suite 1, Lackland AFB, TX, 78236; Telephone: (210) 292-4356; FAX: (210) 292-2520; Email: terri.riutcel@lackland.af.mil

Air Force
Tinker Air Force Base

ADR Technique: Mediation/Facilitation

How the ADR System Works
ADR at Tinker Air Force Base is considered an umbrella spanning all complaint processes, accessible by referral. The employee or management official identifies a workplace problem. The employee/manager is encouraged to raise the problem through the chain of command/supervision. The employee/manager may contact his/her supervisor, the Equal Employment Opportunity Office, Civilian Personnel, Inspector General, Local Union, Chaplain, Employee Assistance Program Office or the Alternative Dispute Program Office about the Tinker ADR process. The official contacted refers the issue either to the appropriate office or the ADR office. The ADR Office discusses the matter with the employee/manager to determine the feasibility of using ADR to resolve the matter. The ADR Office determines whether to offer one of the methods of ADR for dispute resolution (mediation or facilitation). The parties agree to use the method offered or to use traditional dispute resolution procedures. If the parties choose ADR, they are briefed on their roles, responsibilities, what to expect, and how to be best prepared for ADR. The parties then attempt to resolve the disputed issue(s) in good faith and by full and open communication, respecting the rights of each party to present his/her perspective.

Background/Objective
The Tinker AFB ADR program began in 1998 with a design process outlined in the Air Force Materiel Command ADR Program Design Workshop at Wright-Patterson AFB OH. The Secretary of the Air Force General Counsel gave a presentation on the uses and benefits of ADR in workplace disputes. From that presentation, the Tinker AFB Chief Labor Law Officer presented the concept of ADR to the Tinker Commander and senior staff. The commander decided the benefits of ADR could enhance the working environment at Tinker, thus the Tinker ADR Program Office was established to handle employee and agency grievances. After the successes of the first year, the program was expanded to cover all complaint processes. The goals of the Tinker ADR program are to help manage conflict effectively by using ADR, when appropriate, to resolve military and civilian workplace disputes; promote consensual and non-adversarial resolution of workplace disputes; resolve problems giving rise to disputes, as well as resolving the disputes themselves; provide additional tools to resolve disputes at the earliest possible time and at the lowest possible organizational level; and avoid dispute processing costs whenever possible.

Duration/Current Activity
At Tinker AFB, mediation was used successfully in the EEO process beginning in 1994. In this setting, trained mediators working in the EEO office sat down with the complainant and respondent and, in many instances, reached a satisfactory conclusion that resulted in the EEO complaint being withdrawn by the complainant. In 1999, the Tinker ADR Program Office was established and mediation, as one form of ADR, was used in grievances along with other disputes such as those between coworkers. In 2000, the Tinker ADR Program Office became responsible for all ADR requests concerning workplace disputes. Additional Tinker ADR Program responsibilities are training of collateral mediators, workforce education on ADR, outsourcing of mediators, and various other program development concepts.

Rules Governing the Activity
A Memorandum of Agreement (MOA) was negotiated with the local union in accordance with the Air Force Materiel Command Master Labor Agreement allowing mediation of union grievances at the informal stage. The MOA established a partnership between management and union officers in the area of ADR. All agreements derived through the ADR process are confidential and reviewed by a representative from the Staff Judge Advocate Office, Equal Employment Office, and the Civilian Personnel Office before implementation to ensure legal and technical compliance.

Contacts
John Bilbury, Program Manager; Leigh Ann Bryson, ADR Assistant; Tinker ADR Program Office, OC-ALC/CCX (ADR), 3001 Staff Drive Suite 1AD83, Tinker AFB OK 73145-3001; Telephone: (405) 736-2151; FAX: (405) 734-8304.