State of Utah

Office of the Governor

Salt Lake City Utah

84114-0601

 

Michael O. Leavitt

 Governor

 

July 19, 2001

 

 

Terry Amsler

Program Officer

The William and Flora Hewlett Foundation

525 Middlefield Road, Suite 200

Menlo Park, California 94025-3495

 

Dear Terry:

 

            The opportunity to submit this letter requesting grant support for the establishment of a statewide mediation effort for all of Utah's state agencies is appreciated. In its preparation, I have discussed this initiative with Chris Carlson, from the Policy Consensus Initiative and have asked for her input. I ask you to consider the following in support of Utah's application for a grant:

 

  1. Objective: to assess, evaluate and implement the use of mediation and alternative dispute resolution (ADR) mechanisms in state government, internally, and in disputes external to agencies especially those between citizens and state agencies.

 

  1. Background

 

    1. Utah is especially well suited to begin an organized effort to implement ADR in state government. Many agencies have already embraced its principles since in the 2001 legislative general session, Representative Ralph Becker proposed, and through significant effort, passed legislation creating the mechanics for the establishment of a statewide mediation effort. A copy of that legislation is enclosed.

 

i.         The legislation encourages the use of ADR by state agencies, the development of agency ADR procedures, creating objective criteria to determine qualification to serve as a neutral and sets out other criteria to assure fairness in the ultimate process.

 

    1. In a recent retreat with his cabinet, Governor Leavitt made the deployment of statewide mediation services one of the main events of this term. It is a major part of his effort to streamline government by removing regulatory and administrative friction from public interaction with the state.

 

    1. As the Chief of Staff to Governor Leavitt, I am the appointed supervisor and liaison for the implementation of both the legislation creating a council for alternative dispute resolution. I feel some particular capacity, given my background and close association to ADR, generally and mediation, specifically. My role will be supervisory and will bring the full authority of the Governor's Office to the successful implementation of this effort.

 

I have practiced law in Utah since 1978. I have been actively involved in mediation, both as a mediator and as a participant, since 1990. I have studied it, practiced it, and taught it. Upon becoming commissioner of the Utah State Tax Commission, we implemented it as a standard tax practice in cases brought before the commission.

 

    1. My involvement with mediation and Alternative Dispute Resolution was a revelatory experience that has led to remarkable personal and educational experiences. I have found it to be a unique way to enhance the community at a time when so many forces operate to pull us apart. I am fully converted to its use, and as the governor's chief of staff, find myself in a unique position to move the statewide effort forward.

 

    1. The experience with ADR at the Utah Tax Commission has demonstrated a universal application of dispute resolution process. As I have stated frequently, if you can mediate a tax case, you ought to be able to mediate any dispute. Use began with I was a commissioner. To date, the commission has mediated more than 1,000 cases with a settlement rate of nearly 89%. The quality of the process matches our quantitative effectiveness. In support of that proposition, I enclose the following:

 

 

i.            A copy of the enabling rules of the Utah Tax Commission. (Sent under separate cover.)

 

ii.                   A copy of a report by James Holbrook which examines in detail the quality of the Tax Commission's effort.

 

    1. The governor anticipates executing an executive order to assure that the state is committed to ADR process. A draft, but not the final language, is attached.

 

  1. Budget

 

    1. Attached is a budget that reflects two options for the use of the $70 thousand grant (which does not reflect the fact that $5000 of the $75 thousand grant would be used s a contingency). The first option reflects hiring a full-time director as $40 thousand per year and the second, a part-time director paid at the rate of $70 thousand per year, but on an approximately ¾ times basis.

 

i.                     We process with some uncertainty about the profile of the person we will be able to attract to this position. For this reason we articulate two alternatives. Our preference would be to have a part-time person who has some breadth of experience with both state government and with ADR. We assume and proceed with some confidence that we can attract such a person. Preliminary discussions with knowledgeable ADR practitioners confirm this likelihood. In the event that we are not able to do so we will hire a full-time, but less experienced person.

 

    1. In the event that this grant is a one time grant, we will operate the program for one year and then replace the ADR director with a member of the state mediation council or alternatively create an internship from our Certified Management Program. In addition, we will explore the potential for funding in the following areas.

 

i.            Risk Management agency funds based on cutbacks in litigation, especially workplace disputes.

 

ii.                   Utilize agency funds for training and other ADR activities.

 

 

iii.                  Federal funds already designated for special education, vocational rehabilitation and agricultural mediation and the Department of Justice (DOJ) for certain child protection mediation programs.

 

iv.                 Exploration of pilot or demonstration projects available through federal agencies.

 

v.                   Review methodology for funding currently used in other states.

 

    1. If the grant is renewed we would anticipate re-evaluating the progress towards projected outcomes and determine how to best utilize the ongoing funds.

 

  1. Job Description of ADR Director

 

    1. A grant in the amount of $75,000 would provide support to fund a staff-person on at least a part-time basis, to shepherd the implementation of the legislation and ADR dispute resolution process. It is anticipated that the point person would have an office in the Governor's Office and would at minimum, do the following:

 

i.            Convene the state Mediation Council. The Council will have on representative from each agency. In most cases, that person will be the head of the agency.

 

ii.       Assess the status and availability of ADR services generally in each agency.

 

iii.      Develop a plan to meet the objective of having mediation services available and operating efficiently in each agency.

 

iv.     Report directly to Rich McKeown, Chief of Staff, who will serve in the role of supervisor and liaison to the governor.

 

  1. Opportunities to leverage with ADR community.

 

    1.  Utah has an active ADR community. This group of providers have agreed to assist with training, research and expertise on the assessment evaluation and development of ADR processes in each agency. We will use these community resources to the fullest extent possible. The providers and resources are as follows:

 

 

i.            Utah Dispute Resolution Inc, which focuses on mediation of disputes for the poor and is actively involved in training mediators.

 

ii.                   Utah council on Conflict Resolution – an association of ADR professionals committed to advancing the Commission on Criminal and Juvenile Justice which coordinates law enforcement statewide. They are also focused on community and restorative justice.

 

iii.            Private sector experts, many of whom have independently agreed to volunteer their expertise to the furtherance of the ADR at the state level.

 

    1. Additionally, the Policy Consensus Initiative has offered on-sight consultation, technical assistance, and efforts directed at facilitating collaboration between Utah and New Mexico to assist in the collaborative development and implementation of ADR processes applicable to states.

 

    1. Each agency will also allocate the resources of its staff to follow up on developmental processes.

 

  1. Projected Outcomes

 

    1. The objective of the Leavitt administration is to change the culture of interaction between citizens and Utah State Government. This objective includes a number of specific goals under the broad category of streamlining government, including e-government and encouraging more productive processes for resolving disputes between citizens in their interaction with government. A major component of this initiative relates to the assessment of possible places to use mediation as an alternative to standard hearing process and training which will change the way agencies interact regarding disputes internally as well.

 

Thank you for the opportunity to prepare this proposal. I am aware that it is short, and not particularly reflective of the way conventional grant applications are written. I have great confidence that approval of this grant will permit us to move this project at a much accelerated rate and to a successful conclusion.

 

            Please let me know if I can provide anything else that would help you evaluate this proposal.

 

                                                Sincerely,

 

 

                                                Rich McKeown

                                                Chief of Staff

 

RM:cm