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Alternative Dispute Resolution (ADR)

 

VA Mediation Program Design

 

 

SIX PRINCIPLES OF DISPUTE SYSTEMS DESIGN
1.     DIRECT GROUP FOCUS ON THE INTERESTS OF THE FACILITY AND THE PARTIES.
2.     MAKE SURE YOUR PROGRAM HAS "LOOP BACKS" TO NEGOTIATIONS, SO THAT IF THE PARTIES STOP TALKING, THEY CAN GET INTO (OR BACK INTO) THE ADMINISTRATIVE PROCESS.
3.     PROVIDE LOW COSTS RIGHTS.
4.     BUILD IN CONSULTATION BEFORE AND DURING PROGRAM DESIGN AND FEEDBACK AFTER IMPLEMENTATION.
5.     ARRANGE MEDIATION PROGRAM PROCEDURES IN A LOW TO HIGH COST SEQUENCE.
6.     PROVIDE NECESSARY MOTIVATION, SKILLS AND RESOURCES FOR IMPLEMENTATION.

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VA MEDIATION PROGRAM DESIGN OVERVIEW

ANALYZE: WHAT ARE YOU TRYING TO ACCOMPLISH?
*    Further the facility's mission.
*    Provide an option.
*    Change a particular element of a program (resolve problems earlier, reducecases, eliminate complaints.
*    Change a culture (i.e., prevent disputes).
*    Create better relationships and working conditions.
*    Who needs to participate in the design process to buy into and use the program.

DESIGN: WHAT SHOULD IT LOOK LIKE?
*    Identify the underlying interests of the affected parties, seek union and management support.
*    Generally all parties who have a role in the present dispute process need to be considered and have a role in the new process.
*    Preventive mode = getting rid of problems versus
*    Settlement mode = getting rid of backlogs.
*    Do people want something new?
*    Perceived barriers/constraints.
*    Ways to maximize incentives.

IMPLEMENT: HOW DO YOU GET IT UP AND RUNNING?
*    Maintain integrity of mediation and EEO and grievance processes -
*    They are related but separate. One does not subvert the other.
*    Get direction from top management to line managers, giving support anddirecting usage.
*    Ensure union participation, buy-in and support.
*    Cultivate upper and middle management acceptance of program.
*    Find out who needs to buy-in and develop strategies to obtain buy-in.
*    Resolve problems as early as possible at lowest possible level, with as little bureaucracy as possible.
*    Provide guarantees against reprisals.
*    Analyze barriers/constraints/roadblocks and how to overcome them.
*    Properly train and educate all potential users, managers and those affected by the new program. Consider the type and depth of training or education,who delivers training how it is funded and available resources.
*    Periodically review program -- be honest and don't be afraid to make changes.
*    Keep the program evolving and flexible so that changes can be easily and readily made.
*    Publicize and support successful cases, mediators and support staff.

EVALUATE: DOES IT WORK?
*    What type of data is useful and should be collected.
*    Who is the audience for the evaluation.
*    Goals of the evaluation - why collect the data and for what purpose.

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VA MEDIATION PROGRAM DESIGN CONSIDERATIONS

FOR TOP MANAGEMENT

CONSIDER AND, WITH HELP FROM KEY INDIVIDUALS, DETERMINE THE ADVISORY GROUP THAT WILL BE EMPOWERED TO DESIGN THE PROGRAM. (PROGRAM DESIGN GROUP).

*    This group should be clearly named and their role, responsibility and empowerment should be made clear by the director of the organization, "I am tasking you to work together to come up with a plan and a proposed program to implement a mediation program at this facility. I have asked you to be here, and specifically picked you, because I believe you have an important leadership role at this facility and have a lot to offer in creating a mediation program. I intend to give your group recommendations great weight in ultimately deciding what to do. I will also ask the partnership council to help with this program."
*    The director, or a top management official representing the director, and withauthority to speak for the director should be present in the design session.All affected interests should have input in the design process.
*    Consider for the group a cross section of representation from upper and middlemanagement, union officials and stewards, EEO program coordinators and counselors, labor relation specialists, employees, and legal advisors.
*    Anyone who is affected who does not buy in to the program design may later affect its implementation. 
     Deal with problems up front while doing the initial program design.

*    Program design group should not be so large that it cannot operate effectively, more than 20 individuals
     becomes more difficult to facilitate.

*    Select an individual to facilitate group discussions, and individual to keep notes and an individual who will 
     be primarily responsible for drafting a plan.

*    Choose an individual to keep the group on track during group discussions.

CONSIDER (BUT DO NOT UNILATERALLY DECIDE) THE GROUP'S MISSION.

*    Try to anticipate what the group would define as a successful program.
*    Define the scope of the problems the group wants to address, i.e., informal EEO/personnel disputes,
     formal disputes, backlog cases.

*    Preventive mode (gets rid of problems) versus settlement mode (gets rid of backlogs).
*    Decide the coverage of the proposed program.
*    Changing a system takes more than figuring out what works and what does not. Change must take the
     environment, costs and the history of the organizationinto consideration.

FOR THE WORKING GROUP

CONSIDER AND DISCUSS THE INTERESTS OF THE AFFECTED PARTIES.

*    Identify the underlying interests of the affected parties, seek union support if appropriate.
*    Generally all parties who have a current role in the present dispute process need to beconsidered and/or
     have a role in the new process, otherwise they feel threatened.

REVIEW THE CURRENT EXISTING DISPUTE RESOLUTION MECHANISMS, WITH AN EYE TOWARD CORRECTING CURRENT DEFICIENCIES THROUGH THE USE OF MEDIATION.

*    What works/what doesn't work.
*    Strengths/weaknesses of the current systems.
*    Acceptance by users.
*    Decision making process.
*    Incentives/Disincentives.
*    Constraints.
*    Time frames.
*    Costs.
*    Advantages.
*    Why change.

CONSIDER, DISCUSS AND DECIDE WHEN IN THE CURRENT PROCESSES, MEDIATION COULD BE USED.

CONSIDER, DISCUSS AND DECIDE THE TYPE OF PROGRAM, SITE AND LENGTH, I.E., PILOT, SMALL SAMPLE, COMPLETE IMPLEMENTATION FOR TERM.

CONSIDER, DISCUSS AND DECIDE WHO SHOULD MAKE THE SUBSTANTIVE DECISIONS ABOUT THE MEDIATION PROGRAM.

*    Selection of mediators.
*    Training.
*    Administrative responsibility for the program.
*    Changes to the program.
*    Resources allocated to the program.

CONSIDER, DISCUSS AND DECIDE WHO WILL ADMINISTER (BE IN CHARGE OF) THE MEDIATION PROGRAM AND WHAT THAT MEANS.

*    Mediation programs do not run themselves, adequate resources must be committed, consider: paper flow,
     prompt response, contacts with parties, finding neutrals, scheduling issues, record keeping, advertising.

*    The program should be housed where it is taken seriously and given the appropriate significance, and the
     group agrees is a good place.

*    The persons and organization running the program must be perceived as neutral and acceptable to all 
      prospective users.

CONSIDER, DISCUSS AND DECIDE WHO SHOULD MAKE THE SUBSTANTIVE DECISIONS ABOUT THE MEDIATION PROGRAM.

*    Mediation Working Group.
*    Partnership Council.
*    Chairs of Partnership Council (Union and Management).
*    A group from Union and Management.
*    Facility director.

CONSIDER, DISCUSS AND DECIDE WHAT THE OUTSTANDING SUBSTANTIVE DECISIONS MIGHT BE.

*    Mediator selection.
*    Mediation Program Coordinator selection and administrative responsibility for the program.
*    Training.
*    Changes to the program.
*    Resources allocated to the program.

CONSIDER, DISCUSS AND DECIDE WHAT THE GROUP WANTS THE DIRECTOR TO DO TO SUPPORT THE MEDIATION PROGRAM.

*    Continue to empower the working group.
*    Issue an all employee letter introducing the program.
*    Direct managers to try the program.
*    Establish the degree of financial support the program can expect.
*    Support training and resource allocation to program.

CONSIDER, DISCUSS AND DECIDE WHAT THE GROUP WANTS MANAGEMENT TO DO TO SUPPORT THE MEDIATION PROGRAM.

*    Encourage and suggest mediation usage.
*    Participate in good faith.

DISCUSS THE ROLE THAT THE UNION(S) PLAY IN THE MEDIATION PROGRAM AND IN THE MEDIATION SESSIONS AND CONSIDER, DISCUSS AND DECIDE WHAT THE GROUP WANTS THE UNION TO DO TO SUPPORT THE MEDIATION PROGRAM.

*    Encourage, suggest and refer employees to mediation.
*    Participate in good faith.
*    Mediation advocate.
*    Train all union personnel in program and mediation advocacy.
*    The AFGE National Contract.

CONSIDER, DISCUSS AND DECIDE WHERE TO OBTAIN NEUTRALS. CONSIDER: NEUTRALITY, ACCEPTABILITY BY THE PARTIES, COSTS, ADMINISTRATIVE ISSUES, TRAINING, MENTORING.

*    VA facility.
*    VA sister facility.
*    Other Federal agency.
*    Private neutral.

CONSIDER, DISCUSS AND DECIDE HOW THE PROGRAM WILL BE IMPLEMENTED AND MARKETED AND HOW TO GET BUY-IN FOR THE PROGRAM.

*    Newsletters, announcements, flyers, posters, e-mails, word-of-mouth.
*    Skills training for mediators and key program personnel.
*    Module in Management training classes.
*    Seminars, classes and training for all employees.
*    Awards.
*    Published evaluations.

ENSURE THE AVAILABILITY OF PROGRAM FLEXIBILITY AND MECHANISMS TO FIX THE PROGRAM WHEN PROBLEMS ARISE.

*    Include flexibility for program expansion.

CONSIDER, DISCUSS AND DECIDE HOW THE SUCCESS OF THE PROGRAM WILL BE EVALUATED.

*    Make the decision on how to evaluate and build in evaluation factors at the time the program is designed.
*    Factors defining "success." Tangible success and intangible success (Cost, time, morale, relationships,
     work place)

*    Data needed.
*    How to collect data.
*    Quality of data.
*    How to analyze the data.
*    Goals of the evaluation - why collect data and for what purpose.
*    Who is the audience for the evaluation.

CONSIDER, DISCUSS AND DECIDE WHAT OVERSIGHT IS NEEDED AND BY WHOM.