Guidelines for Using the
“Agency ADR Assessment & Planning Tool”
Introduction -- The following guidelines are intended to assist the ADR Coordinator in assessing his/her agency’s* dispute resolution situation and needs. The goal is to aid the development of an ADR plan for the agency. These guidelines should be used in conjunction with the “ADR Assessment & Planning Tool”.
Prior to Beginning the Assessment -- It is advisable that before beginning this assessment, the ADR Coordinator meet with individuals within his/her agency that: a) are responsible for dealing with agency conflicts, b) will be directly affected by the agency’s ADR Plan, and c) can be a significant support for, or barrier to, implementation of the Plan. The purpose of these meetings should be to:
à explain the purpose of Executive Order #416 and the ADR Coordinator’s role,
à explain what the ADR Assessment and Plan are,
à request their assistance and input in:
§ gaining information about various kinds of conflicts they deal with, and
§ completing and implementing an ADR Plan for the agency.
How to Use the ADR Assessment & Planning Tool -- The tool can be used in a variety of ways, giving the ADR Coordinators flexibility to use it in ways that are comfortable and appropriate for their agency. Some may use the Assessment & Planning Tool to guide their thinking and conversations only -- without creating a document -- while others may distribute these questions to other important people within the agency for written responses. (Consider whether the creation of an “ADR Task Force” or the use of focus groups to gather information would be useful or appropriate for your agency.) However you choose to use this ADR Assessment & Planning Tool, remember it is intended, only for your agency’s internal use to inform the development of the agency’s ADR Plan. A form for submission of the ADR Plan, due September 10, 2001, will be provided to agencies at a later date.
Some questions are more difficult to answer than others. The level of detail needed to answer the question is dependent upon your needs and what is appropriate for your agency.
The information gathered through this assessment may be sensitive in nature and must be handled with discretion. To make this tool more comfortable to use, please avoid using personal names and instead refer to job titles, positions, or sections within the agency.
Conflicts and Disputes -- Often, a distinction is made between “conflicts” and “disputes.” Usually, disputes are considered to be conflicts that have crystallized to the point where the parties and issues can be clearly identified, such as in an administrative hearing or court action. For the following set of questions, we suggest you examine “conflicts,” as well as the more narrowly defined “disputes.”
I. ASSESSMENT
1. What is the agency’s mission? In other words, what does the agency do and why does it do it? In agencies where there are dissonant views of the mission, there are usually differing views of how conflicts should be handled. Is there a shared understanding of what the agency does, both within and outside the agency?
2. Does the agency have any policies, procedures, laws or regulations regarding the use of ADR? Are mediation or arbitration, for example, required or recommended in certain situations?Does the agency have parameters within which ADR must be used? How much flexibility to negotiate does your agency have?
3. List the various types of conflicts the agency experiences. Are they internal to the agency or do they involve external parties? Are they between employees? Between supervisors and staff? Are there conflicts between the agency and its customers or constituents.Do they occur in “the public eye”? Do they often involve media coverage? Roughly estimate the number of each type of conflict the agency might experience in one year.
4. Using whatever general measure you choose, how much time is spent on each type of conflict? Depending on your needs, this can be measured specifically, as in the number of staff hours, or in a general way, such as a percentage of staff time, or in relation to other agency activities. (For example, “We spend twice as much time dealing with administrative appeals than with all of our other casework.”) What types of conflicts are the most disruptive to the agency? What types of conflicts are recurring?
5. In each type of conflict, does your agency play the role of: a) disputant, b) interested third-party, c) enforcer of laws or regulations, d) other? The role your agency plays will help determine whether ADR options are appropriate and, if so, how those options should be structured.
6. For the most disruptive and/or recurring conflicts, who are the disputing parties? For each type of conflict on your list, identify the parties that are typically involved in the conflict. Depending on the conflicts, some likely answers might include citizens’ groups, attorneys, other public agencies.Also, examine the parties inside your agency -- internal parties might include human resources staff, legal counsel for the agency, executive director or agency head, for example. How organized are they? Are the external parties organized groups, such as citizens groups or unions? Are there other parties that frequently have a stake in the outcome of these conflicts? Do other agencies or groups frequently have an interest in, or play a role in, the resolution of these conflicts?
7. For the most disruptive and/or recurring conflicts, what conflict resolution methods does your agency typically use? This question refers to the forums in which conflicts are resolved. For example, do they get resolved by a supervisor’s decision? by the courts? in mediation or arbitration? Are most disputes resolved informally without resort to court or administrative remedies? Are there formal negotiations? Who makes decisions about which conflict resolution forum to use? It is important to note that the person who chooses the forum may not be the same person(s) with authority to settle the conflict. Why does your agency use these methods? For example: time, cost, history, consistency with mission, etc.
8. Do these conflicts get resolved? Do the resolutions last? Are the disputants generally satisfied with the resolutions? Using your best judgment, assess the quality of the results. What percentage of the conflicts are resolved (meaning the parties accept the resolution and the resolution lasts)? What percentage recur or continue to be fought in another forum (i.e. the courts, the media)?
9. For the most disruptive and/or recurring conflicts, what are the costs involved? staff time? expenses? Using your best judgment, estimate the costs involved for your agency. What are the monetary costs? How much time does it take? These questions seek to identify the tangible (money, promotions, and reinstatements) and intangible effects (bad publicity, interdivisional bickering, “turf wars”, morale problems). What effect do the results have on ongoing relationships? Think about relationships within and outside of the organization. on the organization’s mission? Do the results serve the mission or do they undermine it?
10. What is the earliest point and/or lowest level at which the agency regularly handles conflicts? Are there practices or systems in place to identify potential conflicts early? Some agencies have procedures or practices for screeningcertain types of cases.
11. Are agency meetings, both public and internal, effectively planned and facilitated? Are meetings productive, well-managed, and satisfying? Does everyone participate in the discussions? Do discussions stay on track? Are the goals of the meetings met?
12. Has the agency provided or sponsored training for its staff in meeting facilitation, negotiation, mediation, or some other aspect of ADR? What staff were trained? Were the trainings effective and useful to your agency?
The following questions are provided to help in the creation of an Agency ADR Plan, AFTER completing your assessment.
A. Having assessed the way conflict is handled in your agency, what is working well? What could be working better? What is missing?
B. What are the most important goal(s) for using ADR in your agency? Examples might include: building better relationships with the public, spending less staff time in adjudicatory proceedings, fostering better communications among staff, building better relationships with other agencies or the public.
C. How might ADR processes be used most effectively in your agency?
D. What obstacles or barriers to implementing ADR can you anticipate? Think about who may gain power and who may lose power if changes occur?
E. What resources, both within and outside your agency, are available for your use? Identify individuals in your agency who are “champions” of ADR? How will you use these resources in: a) the ADR assessment, b) the creation of an agency ADR plan, c) designing an ADR system for your agency, d) providing intervention, mediation, facilitation, regulatory negotiation or some other ADR services.
F. How can your agency build its in-house capacity and improve its understanding of ADR? What will be the role of the ADR Coordinator? Will there be an ADR Task Force or Committee?
G. Is there an interest or need for ADR training? If yes, what kind of trainings?
H. What systems or practices will the agency use to identify and review conflicts/disputes for ADR potential? What types of conflicts/disputes would such a system address? Describe how such an identification and review system would work. Who will implement this system or practice? How often will assessments take place?What will be the role of the ADR Coordinator in such a system? Will there be an ADR Task Force or Committee?
I. What benchmarks will you use to measure the success of your plan?