ADR Technique: Multiple Techniques

How the ADR System Works
The National Guard Bureau (NGB) ADR program sets up a framework to promote the use of ADR within NGB and throughout the National Guard. The program requires an ADR Advocate in each state who is responsible, in coordination with other ADR personnel in the state such as the State Equal Employment Manager (SEEM), for promotion of ADR within that state Guard. The ADR Advocate also is responsible for ensuring that the ADR option is exercised when it is available and appropriate. In addition, the Advocate provides oversight and reports on collected data to ensure that ADR is being encouraged in all of the various programs in the state. For FY01, the data collected indicated that ADR techniques were used in approximately 285 instances within the National Guard family and that those efforts were successful in 85% of the instances.

The program allows the NGB and the state Guards to use all types of ADR techniques. Based on data collected for FY 01, the most popular approach is to use mediation. This approach is followed in descending order of use by: ombudsman, facilitation, conciliation, binding arbitration, early neutral evaluation, non-binding arbitration, summary trial, and settlement judge. The program covers all workplace disputes, including in theory those disputes between military personnel. While the prospect of the military-to-military ADR is being approached with a great deal of caution, it bears promise. The main issue there is how to use ADR in a fashion that will not diminish command authority. Individual disputes are handled according to the specific procedures established by the particular state or the particular NGB office.

Background/Objective
The NGB ADR program was formally initiated in April 2001. However, certain state National Guards already had existing ADR programs, and the NGB EO office had an existing ADR program at that time.

The overall goal of the program is to further the use of ADR. A related goal is having sufficient mediators trained throughout the Guard so as to provide a real choice of mediators from within the Guard family for any particular matter. If the participants are sensitive to whether the mediator is a member of the state Guard where the matter has occurred, it is a simple process to notify those neighboring states to see what mediators might be available from those states. The participants are then able to choose between individuals who do not face possible issues of neutrality because they come from different states.

Duration/Current Activity
As noted above, the NGB ADR program was initiated in April 2001. Awareness of the availability and use of the program has been expanding, and progress is being made in providing mediation and ADR training. Most recently, in July 2002, NGB arranged a training program, taught by a certified trainer who was also a Guardsman. The program produced 38 new trained and certified mediators who came from over 25 states as well as several NGB offices. In addition, the NGB-EO office has arranged for mediator training focusing on EO issues in FY 2003.

Rules Governing the Program
NGB ADR Regulation NGR 27-1/ANGI 51-12 was issued upon implementation of the program in April 2001. While the goal is to further the use of ADR, the NGB program regulations leave the specific implementation of the ADR effort within each state to each state Guard. Some states have published regulations and guidance while others have approached the ADR effort in a less formal fashion. Section 1-5 of the NGB ADR regulation lists the various obligations of the ADR Advocates. In this area too, the state Guards decide which offices will handle the task. Some states assigned the ADR Advocate role to a member of their legal office, while others have assigned it to their EO or HR offices. The regulation also provides that data will be collected each year on the number of ADR events, the type of ADR events, and the success rate, among other things.

Contact
James C. Hise; Chief Counsel and Agency Dispute Resolution Specialist; 1411 Jefferson Davis Highway, Arlington, VA 2202-3132; Telephone: (703) 607-2679; Fax: (703) 607-3682; Email: hisej@ngb.ang.af.mil.

ADR Technique: Facilitation, Co-Mediation

How the ADR System Works
The Arizona National Guard ADR program provides two tracks for alternative dispute resolution. The point of contact for an Equal Employment Opportunity (EEO/EO) related dispute is the State Equal Employment Office (State Equal Employment Manager and Equal Employment Specialist). The point of contact of all other employment related disputes is the Labor Relations Specialist. Both offices work in concert and coordinate ADR activities. Funding for ADR activities flows through the Human Resource Office (HRO). In every instance that a federal technician EEO complaint, military EO complaint, or personnel grievance is filed, mediation is offered. Mediators take a facilitation approach in seeking to resolve these conflicts. Top-level National Guard leadership and management personnel are briefed on ADR activities during quarterly Affirmative Action Advisory Council meetings. This council is chaired by the Adjutant General and comprised of general officers and commanders at the Colonel (0-6) level, or GS-13/14/15 equivalent. Since inception of a formal ADR program, the process of resolving EEO/EO complaints and personnel grievances has gone from requiring weeks and sometimes months to resolve a dispute, to resolution in as little as a matter of days. ADR is offered very early in the complaint process and in many instances the complaint is resolved before any further action is required, with a higher rate of success and long- term effectiveness

Background/Objective
The Arizona National Guard first implemented an informal Alternative Dispute Resolution process in 1989. However, the program failed to gain any momentum over ten years due to limited training resources and a general lack of awareness of the benefits of ADR. In 1999, in response to a call at the national level for full implementation of ADR, the Arizona National Guard State Equal Employment Office began a reinvigoration with the development and implementation of a more comprehensive training program. As a result, a new 40-hour training program was developed. The first formal 40-hour Arizona National Guard Mediation Training Program was conducted in January 2000. Since that time, seven 40-hour Mediation Training Programs have been conducted with 127 National Guard and State of Arizona personnel, as well community mediators, having been trained. In addition to providing training for mediators, to include both the basic 40-hour course and advanced training, a block of training on the use of Alternative Dispute Resolution has been incorporated into the Supervisors Training Program.

The program defined three basic objectives to promote the use of ADR within the Arizona National Guard. The first objective was to create an enhanced level of awareness. This has been accomplished primarily through numerous meetings with senior leadership and management personnel, ADR update presentations at the quarterly Arizona National Guard Affirmative Action Advisory Council (AAAC) meetings, and inclusion of a block of instruction in the Arizona National Guard Supervisor's Course. The second objective has been to identify and train a cadre of trained and qualified mediators. The Arizona National Guard is well on the way to accomplishing this objective through training accomplished to date. The third objective was to officially incorporate ADR into the established processes for resolving disputes. The Arizona National Guard has been fully committed to the implementation of an effective ADR program since the fall of 1999, and has not allowed budget issues or intervening events to impede ongoing efforts to ensure the development and implementation of the program. The Arizona National Guard ADR program is supported at the highest levels of leadership and management, and is now considered to be a permanent part of complaint procedures and dispute resolution processes.

Duration/Current Activity
As noted above, the Arizona National Guard began to promote ADR in 1989, but the program really took off after a more comprehensive training program was implemented in 2000. Most recently, in July 2002 the Arizona National Guard Mediation Training Program was conducted in a national setting in Arlington, Virginia. Thirty-seven National Guard mediators from many different states and territories participated, and these mediators are now certified to conduct mediations throughout the National Guard and other Department of Defense (DOD) activities.

Rules Governing the Program
In order to standardize procedures for implementation of the Arizona ADR program, the Arizona Department of Emergency and Military Affairs (DEMA) published a directive (DEMA Directive 25-1) that outlines procedural steps and primary offices responsible for program execution. An Arizona National Guard Policy Letter (10.01) dated 15 November 2001 formally incorporated "an Alternative Dispute Resolution/Mediation program" into the complaint procedure, stating that it "should be attempted prior to a formal complaint being initiated."

Contact
Technical Sergeant Barbara Busby, State Equal Employment Opportunity Specialist, 5636 East McDowell Road, Phoenix, AZ 85008-3495; Telephone: (602) 267-2319; Fax: (602) 267-2782; Email: barbara.busby@az.ngb.army.mil.

How the ADR System Works

ADR is a voluntary process in which parties agree to meet with a neutral, third party to resolve or prevent disputes. Disputes may be referred for ADR through contact with the director of the ADR program (ADRO) or by direct contact with a Facilitation and Mediation counselor (FMC). Upon receipt of the dispute, the ADRO or mediation counselor will decide if any of the ADR programs available are appropriate for purposes of addressing the dispute. If it appears that a program or process, within the mix of those offered by the Agency may address the dispute, the program, or process will be discussed with the parties and, upon their approval, scheduled.

Background/Objective
The long-term goal of the NIMA ADR Program is to create a world class ADR program to help NIMA reach its Strategic Goal of "shap[ing] [its] workforce and infrastructure to ensure mission success in the 21st century." To this end, those associated with the program have worked hard, under very short time lines, to build a program that not only provides excellent ADR services to employees that are flexible, cost-effective and non-adversarial, but also:

• Accounts for the evolving needs of a diverse group of NIMA employees and develops innovative solutions to accommodate their individual circumstances.
• Recognizes and implements technology improvements to make ADR training, services and information more accessible to all NIMA employees, regardless of location.
• Overcomes increasing budgetary constraints by encouraging partnership with outside agencies and organizations to lower costs.
• Continuously strives to increase management and employee awareness of the benefits of ADR.

Duration/Current Activity
Since its commencement by NIMA in 1999, ADR has been shown to offer a number of benefits, including: (1) improving communication and trust between employees; (2) encouraging expeditious, creative, and inexpensive resolutions to disputes (3) discouraging formal and rigid procedures; and (4) prioritizing the need for employee privacy and confidentiality. ADR services are available for resolving disputes in any subject matter area, including equal employment opportunity disputes.

Rules Governing the Activity
Any employee may elect to participate in NIMA's ADR program. NIMA bargaining unit members, however, may only participate upon the request of their bargaining unit representatives. Employees may choose the kind of neutral they would like to use. They may use an in-house neutral from either the FMC (NIMA's in-house ADR service) or NIMA's Roster of Mediators. Alternatively, employees may use neutrals from external governmental rosters of neutrals (e.g., Department of Defense Roster of Mediators) from private organizations specializing in ADR (e.g., Bowie State University).

ADR Technique: Ombudsman/Mediation - Dispute Resolution Center

How the ADR System Works
The Dispute Resolution Center (DRC) is the National Security Agency's (NSA) focal point for alternative dispute resolution (ADR). The DRC acts in an ombudsman role addressing employee issues and concerns, houses the Agency's Mediation Program, and administers the NSA Grievance Process. Our mediation process is voluntary: the goal is for both parties to reach an achievable solution satisfactory for all before the conflict is escalated into a formal and costly investigative procedure. The NSA Grievance Policy covers issues of employee concern or dissatisfaction in the workplace that are subject to control of Agency management. The DRC also benefits the workforce by creating a place for individuals to go with concerns and problems in the workplace that do not fit the criteria of rights-based formal systems, but are legitimate issues that threaten productivity and workforce morale.

Background/Objective
The implementation of the DRC followed a successful two-year Alternative Dispute Resolution (ADR) pilot program conducted by the Office of Equal Employment Opportunity (OEEO). OEEO's pilot mediation program was initiated in order to help reduce a backlog of EEO complaints and the high costs associated with formal EEO investigations. The pilot mediation program was so successful that the agency mentor for the program decided to expand the use of ADR to assist in resolving all types of workplace disputes and founded the DRC.

Duration/Current Activity
The Center has been in operation since November 1997 and has continuously marketed its services and the benefits of ADR. The DRC is in the process of coordinating with private organizations, and partnering with other DOD and federal government agencies.

Rules Governing the Activity
Rules governing the Grievance Policy are covered by agency regulation. Guidance for the mediation process adheres to the Justice Center of Atlanta's practices and is published in a mediation handbook.

Contact
Angela Volcy, Cathy Goffney, or Sandy Howe, The Dispute Resolution Center, , National Security Agency, 9800 Savage Rd. Ft. Meade, Suite 6618, MD 20755-6618; telephone: (410) 854-6228; Fax (410) 854-6052; Email: resolution@nsa.gov.