U.S. DOD Form dod-opnavinst-5800-8
@
o
DEPARTMENT
OFFICE
OF
THE
OF
CHIEF
OF
THE
NAVAL
NAVY
OPERATIONS
2000
NAVY
I=EN7AG0N
WASHINGTON.
o.C.
20 S!50.2000
IN REP,”
REFER
TO
OPNAVINST 5800.8
N09BE
26 NOVEK8EN1998
———.
—
OPNAV INSTRUCTION MOO. &
From:
To:
Chief of Naval Operations
All Divisions
of OPNAV
Subj:
ALTERNATIVE DISPUTE RESOLUTION
Ref:
(a) Administrative
Dispute
Law 104-320
(b) SECNAVINST
5800.13
Encl:
(1) Request for Consideration
for Alternative
Resolution
(2) Alternative
Dispute Resolution
Agreement
Resolution
Act
of 1996,
Public
Dispute
To implement the provisions
of references
(a]
1.
Puruose.
and (b) and provide guidance to Office of the Chief of Naval
Operations
(OPNAV) managers
and employees contemplating
alternative
action to deal with employment
disputes.
2.
Policy.
It is Chief
of Naval
Operations
(CNO) policy
to:
a. Use Alternative
Dispute Resolution
(ADR) as an optional
method to resolve disputes for employees who have expressed
dissatisfaction
over a matter concerning
their employment.
b.
Ensure that, if ADR is used, it is voluntarily
into by all parties involved in the dispute.
entered
c.
Ensure that the rights of all parties accorded by
governing
regulation
and statutes will be fully protected
including the right of parties to revert back to the applicable
dispute resolution
process if the issue(s) is/are not resolved
thr&gh
ADR.
d.
Ensure that agreements
legal, binding and enforceable,
will
the impact the agreements
when
resulting
from the ADR process are
and will take into consideration
have on other employees.
e. Provide official duty time to the parties
they are participating
in the ADR process.
f. The parties to the dispute will
own representation
during the process.
bear
The provisions
3. ADDliCabilitV
and ScoDe.
aPplY to all OPNAV employees.
to the dispute
any cost
of this
for their
instruction
OPNAVINST
5800.8
98
24 NOV
4.
Objectives.
The use of ADR
should:
Create a nonadversarial
process
a.
can resolve disputes themselves.
b.
Allow
to facilitate
c.
5.
Reduce
for the intervention
open communications
litigation
and
whereby
involved
parties
of an impartial third party
and remedies for resolution.
improve
relationships.
Definitions
a. ADR Proqram.
A voluntary procedure
that parties agree
to use, in lieu of formal adjudication,
to resolve issues in
Selected techniques
could include mediation,
controversy.
neutral expert fact-finding,
or any combination
thereof.
The
primary responsibility
for the program rests with the Command
Deputy Equal Employment
Opportunity
(EEO) Officer
(N09BE).
b.
ADR Board.
A group comprieed of the EEO Officer
(N09B);
Command Deputy, EEO Officer
(N09BE); the Assistant
for Civilian
Personnel
and SES Policy (N09BD); and the Activity Dispute
Resolution
Specialist
(the designated
qualified
individual
within
the OPNAV staff).
c.
Mediation.
A process where an impartial third-party
assiste the disputants
in finding a mutually acceptable
solution
to their dispute.
The mediator has no power to impose a
settlement
but serves as a facilitator
to help the parties come
to agreement.
Mediation
is confidential
and voluntary.
It is
usually informal, non-adversarial
and binding only when the
parties reduce the resolution
to writing.
Decisions
reached
through the mediation
process will not be precedent-setting.
Nor will the process be used when the facts are in dispute or
the issues are technical.
d.
A process where an
Neutral Exo ert Fact-findinq.
impartial fact-finder
with subject matter expertise
investigates
of the dispute and submits a report of
and evaluates
the facts
findings.
The fact-finder
is authorized
to mediate disputee
after an investigation
if the disputant
and the ADR Board agree.
This technique
is best used where basic facts are in dispute or
there are technical
issues.
6.
Responsibilities
a.
Program
ADR Board
in OPNAV:
is responsible
for administering
2
the ADR
(1) Screening all cases for feasibility
of using ADR,
determining
the appropriate
techniques
and ensuring qualified
mediators
or neutral expert fact-findere
are appointed;
pertinent
b.
(2) Evaluating
and redesigning
factors, as appropriate.
Participants
(1)
are responsible
Complying
with
the program
based
on
for:
the provisions
of this
instruction;
and
(2) Participating
in the proceee
in the settlement
efforts.
cooperating
c.
Mediators
andfor
Neutral
in good
Fact-findere
faith
and
are responsible
for:
(1) Assieting
the parties in reaching
satisfactory
resolution
of a dispute; and
(2) Ensuring
7.
Criteria
they
for Usina
a mutually
are unbiaeed.
ADR
The ADR Program will be applicable
to matters which would
be s~iject to the OPNAV Administrative
Grievance
Procedure
or the
EEO Complaints
Procedure.
b.
The ADR Board will determine which caees are applicable
for the ADR process and the techniques
to be used in each caee
(e.g., mediation,
neutral expert fact-finding,
etc.) . Criteria
considered
include:
I
(1)
The dispute
involves
factual
or other
unprecedential
appear
unlikely
to resolve
issuee;
iseue
(2) Traditional
processee
ehort of litigation;
(3) The parties
good
want
(4) The parties wish
working relationships;
potential
or
to settle
the dispute
to maintain,
establish
(5) Importance
of the issue is minor
cost and disruption
if traditional
3
the
quickly;
or restore
compared to
processee
are used;
OPNAVINST
5800.8
24 NOV 98
(6) A neutral party
complexities
of the case.
c.
Generally,
ADR
ehall
is more
likely
not be used
to understand
when:
(1) A definitive
and precedential
resolution
and ADR processing
is not likely to be accepted;
who
will
8.
(2) The matter in dispute significantly
are not parties to the proceeding;
or
(3) A full public record
not provide that record.
the
is important
is reguired
affecte
persons
and the proceeding
Procedures
The ADR Program may be initiated any time during the
disp%e
resolution
procese
(e.g., before a grievance
is filed,
at the counseling
stage in an EEO matter, etc.) .
b.
Employees,
supervisors/managers,
Employee Relatione
Division staff and EEO staff may reguest a case be reviewed by
the ADR Board for inclusion in the AOR proceee by Submitting
a Requeet for Conei&eration
for Alternative
Dispute Resolution
Requests will be forwarded to the ADR Board
(enclosure
(l)).
via N09B, for review/action.
c.
The ADR Board will review
designate
an ADR technique.
the reguest
and,
if approved,
d.
If both parties agree to participate
in ADR they will be
reguested
to sign an ADR Agreement
(enclosure
(2)).
Refusal by
any party to the dispute to sign the Agreement
will result in
withdrawal
of approval to use the ADR process.
e. When ADR is elected, the Board
and administrative
arrangements.
will
make
all
logistical
traditional
processing
of
f. When ADR ie initiated,
The process will stop to give
dispute immediately
stops.
It is important
the parties time to attempt resolution.
that the clock is still
ticking
ae far as initiating
the
process;
i.e., 45 calendar days, 20 calendar days, etc.
parties are unable to resolve the dispute, the initially
procese will resume (i.e., counseling).
the
to note
informal
If the
selected
Procedures
will be informal and confidential,
except that
9.
final producte
such as reports or settlements
may be disclosed
to
those having a need to know.
4