Towards A Conflict Competent Organization

P A T H W A Y S
TOWARDS
A CONFLICT
COMPETENT
ORGANIZATION
A Practitioner’s Guide to
Designing Conflict Management
Systems in Public Sector
Organizations
Author: Peter Sterne

PATHWAYS : Towards a Conflict Competent Organization
A Practitioner’s Guide to Designing Conflict Management Systems in Public Sector Organizations
Copyright © Department of National Defence, 2004

All rights reserved
C O N T E N T S
Acknowledgements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
– Why I wrote Pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
– The Department of National Defence/Canadian Forces model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
– What to expect from Pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
– How to use Pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
– A final word . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Volume I—A Practitioner’s Guide To Designing Conflict Management Systems In Public Sector Organizations
Chapter 1—Making A Case For A Conflict Management System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

– Setting the stage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
– Clarifying some concepts and terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
– How conflict is handled . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
– Rationale for a CMS based on ADR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
– Choosing a suitable process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
– “Selling” a CMS to decision makers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
– The DND/CF experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Chapter 2—Researching And Benchmarking Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
– Discover the wheel—No need to invent it . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
– Benchmarking other organizations—Some case studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
– Canada—The federal government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
– Australia—The Australian Defence Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
– United States government organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
– International—Professional associations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
– The DND/CF experience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Chapter 3—Getting Going . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

– The ADR Business Triad—A systems approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
– Make or buy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
– Contracting for services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
– Request for proposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
– Positioning the CMS initiative within the organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
– The American experience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
– The Canadian experience. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
– A collaborative approach to system design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
– Alignment with corporate culture and core values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
– The Executive Director Conflict Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
C O N T E N T S
Chapter 4—Building Awareness And Commitment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
– Getting beyond approval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
– Alignment with union roles, responsibilities and interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Chapter 5—Testing Models And Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

– Moving from concept to concrete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
– Select case mediation program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
– Pilot sites… building and testing the model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
– Facilitated design workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
Chapter 6—Communications Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

– The communications framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
– Key messages. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
– Communication products and tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
– Frequently asked questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
– The DND/CF CANFORGENs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
– More on the DND/CF experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Chapter 7—System Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

– Integrated conflict management systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
– Strategic alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
– Guidelines and principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
– The integrated CMS model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
– The DND/CF experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
– Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Chapter 8—Mediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
– Mediation in a public sector environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
– The process—Standards and practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
– The five-phase model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
– Roles, responsibilities and standards for the parties to a mediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
– Ethical standards for mediators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
– Mediation tools—The DND/CF experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Chapter 9—Coaching For Conflict Competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

– The conflict management spectrum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
– Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
– Core competencies for coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
– The DND/CF experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
P A T H W A Y S
TOWARDS A CONFLICT COMPETENT ORGANIZATION
Chapter 10—Workplace Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
– Workplace assessment as a conflict management tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
– Using external consultants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
– Workplace assessment guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
– Starting the process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
– Report and recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
– Implementation of recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
– The role of the CMS service provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Chapter 11—Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112

– Core training programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
– Make or buy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
– Training—What and for whom? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
– Continuous learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
– The DND/CF Mediator Qualification Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Chapter 12—National Rollout: Organization And Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

– From project to program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
– One step at a time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128
– Getting it done . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
– The consultative process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
– Resource tensions associated with the national rollout . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
– The structure of the program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
– Program governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
– Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
– Request for proposal: Training and interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
Chapter 13—Evaluation And Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
– Did we get it right? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
– The nuts and bolts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
– The four stages of evaluation: Planning, project, program and process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
– Steps in the evaluation process: A checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
– Evaluation framework: Issues and questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154
– Institutionalization of ADR in DND/CF . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Chapter 14—Systems Design: Trends, Innovations And The Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
– Where we are . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
– Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159
– Integrated CMS models as a cost-related continuum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
– New approaches to training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
– Innovative tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
– Alignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
– Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
C O N T E N T S
Volume II—The CMS Tool Kit
Tool 1—The Request for Proposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168
Tool 2—Staffing Notice for Executive Director of Conflict Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
Tool 3—Conflict Management Project Steering Committee—Terms of Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
Tool 4—FAQs About the Conflict Management Project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
Tool 5—DRC Brochure: What Is Alternative Dispute Resolution (ADR)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Tool 6—DRC Brochure: Frequently Asked Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
Tool 7—Internal Communications: Guidelines for DRC Coordinators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
Tool 8—Harassment Prevention and Resolution Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192
Tool 9—Internal Defence Alternative Dispute Resolution Practitioner’s Code of Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194
Tool 10—Sample Agreement to Mediate Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196
Tool 11—Sample Minutes of Settlement Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Tool 12—Annex to Minutes of Settlement: Full Settlement of Grievance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
Tool 13—Annex to Minutes of Settlement: Partial Settlement of Grievance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Tool 14—Sample Mediation Evaluation Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
Tool 15—Model—Mediation Fact Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
Tool 16—The Skill Sets of ADR Institute Charter Mediators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Tool 17—Sample: Speaking Notes to Course Instructors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Tool 18—Course Outline: Mediator’s Qualification Program, Phase 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Tool 19—Mediator Assessment Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
Tool 20—Sample MQP Qualification Memorandum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
Glossary of Terms and Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Recommended References and Web Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219
P A T H W A Y S
A C K N O W L E D G E M E N T S
Pathways is A Practitioner’s Guide to Designing Conflict The conceptual underpinnings and approaches reflected
Management Systems (CMS) in Public Sector Organizations. in Pathways owe a great deal to the influences of others in
It discusses the what-when-who-where-why-and-how of CMS the field. Roger Fisher, author of Getting to Yes, with whom
and uses the much-lauded Department of National Defence/ I had the privilege of working and being associated for
Canadian Forces (DND/CF) program as a case study and several years, and the Conflict Management Group (CMG)
model to anchor and exemplify some of the learnings. of Cambridge, Massachusetts, were instrumental in shaping
my understanding of the possibilities inherent in alternative
I called it Pathways because, in a way, it is both a travel log
dispute resolution (ADR) and the different ways it could
and a map. It describes a complex journey, through detours
be applied.
and side roads, with some unexpected stops along the way.
It explores alternate routes and recognizes the many possible Exchanging ideas and testing innovative approaches with
approaches to any destination. There were missteps, wrong colleagues from the CMG team were extremely helpful.
turns and dead ends. The landscape changed often; tempera- Rob Ricigliano, CMG’s former Executive Director and Senior
tures and environmental conditions fluctuated unpredictably. Advisor to the Harvard Negotiation Project; Doug Stone and
Sheila Heen, authors of Difficult Conversations; Joe Stanford,
But all along the voyage, there were people—warm and won-
the former Deputy Solicitor General of Canada, my colleague,
derful people—who offered support, inspiration and a wealth
friend and mentor; and other associates from the Harvard
of exceptional ideas. I’d like to take a moment to thank them.
Negotiation Project profoundly influenced the directions I
First of all I wish to acknowledge the contribution of subsequently pursued in CMS design.
Erik Adler in helping me edit and craft this publication.
The same was true of the associates at CDR Associates in
His assistance, enthusiasm, insights and skills were invaluable
Boulder, Colorado, such as Chris Moore and Bernard Mayer,
in ensuring that Pathways could be easily read and under-
who encouraged me to think of ADR in a more systematic
stood, and of practical use to the reader. His dedication to
manner. They were more than generous in sharing new
excellence is reflected in this publication, and for this I
approaches to old problems.
extend my utmost gratitude.
Many individuals contributed to this publication indirectly,
Pathways is, in many respects, the story of the DND/CF pro-
through the influence of their work in this field and through
gram and the vision of its proponents. Without the foresight
our various interactions and collaborations. These include,
and commitment of Jim Judd (DM), Monique Boudrias
among numerous others, Cathy Costantino, Christina
(ADM), Shirley Siegel (ADM), General Maurice Baril (Chief
Merchant, Frank Sander, Jennifer Lynch, Carole Houk, Mary
of the Defence Staff [CDS]), General Ray Henault (CDS),
Rowe, Cheryl Picard, Allan Stitt, Pierre Charron, Rick Weiler,
Lieutenant-General Romeo Dallaire (ADM), Lieutenant-
Richard Moore, David Lipsky, Michael Lang, Gordon Sloan
General David Kinsman (ADM), Lieutenant-General Mike
and my ERL colleagues.
Caines (ADM), Lieutenant-General Christian Couture
(ADM) and Vice-Admiral Greg Jarvis, there would be no Thanks as well to the Canadian government for its early leader-
story. But there is a story, and it is an exciting one indeed! ship in this domain. The Canadian Centre for Management
Development (CCMD) took a lead training and professional
For those involved at the very early stages of the project—
development role and encouraged me to develop and deliver
Lucie Morneault, Lieutenant-Commander Steve Levecque,
new training programs in negotiation and conflict manage-
Guy Baron, Major M.E. Timperon, Major-General Rick
ment for senior public servants. The Royal Canadian Mounted
Linden and Karen Hebert—this was more than just exciting,
Police, which participated in the CCMD training, introduced
interesting work. It was a mission, and they approached it
one of the earlier integrated system design initiatives and,
with the zeal, passion and dedication that carried the initia-
through its association with CCMD, generated further
tive from an idea to reality. This was subsequently continued
interest in CMS among other government departments.
under the thoughtful direction of Lucie Allaire.
A C K N O W L E D G E M E N T S i
Aside from the above, I have been involved in numerous CMS
design initiatives throughout North America and abroad—
in both the public and private sectors. While each of those
experiences has contributed, either directly or indirectly, to the
writing of Pathways, my role in assisting the Australian Defence
Force and other Australian organizations is of particular note. I
would like to extend my gratitude to my Australian colleagues,
Sir Lawrence Street AC KCMG QC, the former Chief Justice
of the Supreme Court of New South Wales, author and pre-
eminent ADR practitioner in Australia, and to Captain (Navy)
Helen Marks, Director of ADR and Conflict Management,
Australian Defence Force, both of whom are advancing new
applications of ADR in that country.
To all of them—and to those I may have missed—a heartfelt
thank you.
Peter Sterne
ii P A T H W A Y S
F O R E W O R D
WHY I WROTE PATHWAYS; DND/CF was early to recognize the potential of ADR in its
WHAT’S IN IT FOR YOU broadest context and made a strong commitment to institute
Over the past few years I’ve assisted both private and public it within the organization.
sector organizations in introducing innovative conflict man- It also recognized that the ADR process, in and of itself, was
agement systems—sometimes referred to as dispute resolution not enough to guarantee success. To maximize its potential,
systems (DRSs)—based on alternative dispute resolution it needed to be incorporated into a fully integrated system—
processes. These initiatives have helped to dramatically reduce one that could accommodate multiple approaches and offer
the magnitude of grievances, harassment complaints, litigation numerous points of access. It had to be flexible, fair and
costs and interpersonal disputes. The organizations have been client-centred.
able to shift workplace cultures from what might be described
With the support of its leaders and the involvement of
as dysfunctional to cultures that exemplify high levels of con-
a multitude of stakeholders, DND/CF set out to build a
flict competence.
world-class system.
Given the need for a better way to deal with conflict in the
It entrusted this task to the Executive Director Conflict
workplace, there is no doubt that more and more public and
Management (EDCM) team, whose vision, innovation,
private sector organizations will introduce CMSs into their
dedication, commitment and hard work helped create a
organizations in the near future.
CMS that has been described as “the industry standard.”
However, not all CMSs are created equal and not all best
At the end of a comprehensive benchmarking exercise, the
practices are appropriate in all situations. I have seen some
Australian Department of Defence concluded that “Canada is
systems—implemented with high hopes and best intentions—
currently the world leader in implementing a fully integrated
fall well short of anticipated outcomes. Over the years my
ADR program within a large Defence or government organi-
observations, analyses and experience have helped me
zation.” (Captain [Navy] H. Marks, Director of Alternative
understand why some systems work, while others fail.
Dispute Resolution and Conflict Management, Australian
In Pathways I will share these learnings, in the hope they will Department of Defence)
help organizations, particularly in the public sector, develop
In An Evaluation of the Conflict Management Project
and implement a better way to cope with conflict. I will also
(March 2001), Ajilon Canada described the DND/CF Conflict
provide alternatives and perspectives on the system design
Management Project (CMP) as “a leading edge system design
process that should allow practitioners to create a system
initiative, and the largest in North America … recognized as
that suits their specific needs.
being among the very best such initiatives in the world, and
as having long-term immense potential to influence signifi-
THE DEPARTMENT OF NATIONAL cant organizational, and perhaps societal, change. The
DEFENCE/CANADIAN FORCES process is state of the art.”
MODEL Also in 2001, I was honoured with the William M. Mercer
Although the model I will describe in Pathways is a composite Vision Award for an “exceptional degree of innovation in the
of several CMS design initiatives for government organizations, design and implementation of a successful human resources
it is largely based on the DND/CF Conflict Management program” (in both the public and private sectors).
System, for which I was responsible. I’ve chosen this as a As EDCM, I confess that I’m very proud of this recognition,
model because it is a comprehensive initiative that focuses though I fully appreciate that each of the dedicated members
on the prevention and resolution of workplace conflict at of the team who worked so hard to make the system a success
the earliest stage and lowest possible level through the use deserves a share of that recognition.
of ADR processes.
F O R E W A R D iii
Still, my role as Executive Director has given me a privileged The concepts segments examine the whys and wherefores
overview of how things unfolded. As the point man, I got to of each building block in the CMS design process. They
see how all the components fit, and when problems arose I got define the goals and relevance of each step and offer up
to call on my experience to find appropriate interventions. considerations and alternative approaches.
The DND/CF story is interesting, and since I know it so The experience/application segments look at how those
intimately, I’ve chosen it as a case study to demonstrate how concepts were applied in the real world—particularly at
key design concepts were applied in the real world. I will DND/CF.
highlight the successes and the failures. I will provide frank
Key learnings can be found in boxes that are interspersed,
observations, based on my reflections and experience.
where appropriate. They include observations, reflections
While the DND/CF experience is seminal, it is not unique. and perspectives related to specific elements in the text.
Various organizations have created their own CMS and
In some instances the above three components are presented
I’ve had the opportunity to study and participate in many
separately and labelled accordingly; sometimes they are
of them. Where appropriate I will draw from those experi-
interwoven.
ences as well.
Volume 2, The CMS Tool Kit, is made up of actual documents
and forms that have been used successfully in the implemen-
WHAT TO EXPECT FROM tation of CMSs. They have been reproduced here exactly as
PATHWAYS they were issued. Practitioners may use them verbatim or as
templates for designing their own tools. References to these
Pathways is intended as a straightforward, practical guide to
tools appear in appropriate spots throughout Volume 1.
CMS design, based on the DND/CF experience. Although it
is based on sound conceptual frameworks, I will not go into
the esoteric or theoretical details related to system design
A FINAL WORD
processes. Instead, I will focus on the personal reflections
of an individual who has studied it, seen it, and done it. He Pathways is the step-by-step what-when-who-where-why-
didn’t know it all then, doesn’t know it all now, but knows and-how of CMS design, with helpful tips, guidelines and
a lot more—and is happy to share some of his learning. key learnings thrown in. It is intended primarily for those
practitioners who may have an interest in, or who may
be tasked with, putting into place an integrated dispute
HOW TO USE PATHWAYS resolution system in a government organization.
Pathways is made up of two volumes: the first, A Practitioner’s That said, I believe that anyone interested in the design
Guide to Designing Conflict Management Systems in Public and implementation of any fully integrated system within
Sector Organizations; the second, The CMS Tool Kit. I’ve also a large organization will find this publication useful.
included a glossary of related terminology and acronyms.
Volume 1 traces the iterative steps required for instituting a
CMS, from genesis to full realization. Each chapter deals with
a key CMS design element and is usually broken down into
three basic components:
concepts
experience/application
key learnings
iv P A T H W A Y S
V O L U M E I
A PRACTITIONER’S
GUIDE TO
DESIGNING
CONFLICT
MANAGEMENT
SYSTEMS IN
PUBLIC SECTOR
ORGANIZATIONS
While some organizations acknowledge that
their system for dealing with conflict is either non-
C H A P T E R 1 existent or broken, they are hard-pressed to initiate

a better way. Some choose to deny the need for a
systematic approach to conflict resolution, hoping
that if they let it slide, problems will resolve them-
selves. Sometimes they’re right … but not often.
MAKING A On the other hand, many of the world’s best-performing
CASE FOR organizations realize that conflict is an integral part of their
vibrancy. They recognize that it can foster learning and
A CONFLICT creativity and they know how to surface and deal with it
constructively. These are “conflict-competent” organizations.
MANAGEMENT Not only have they learned to control the financial and human
costs of workplace conflict, but they have also figured out
SYSTEM how to use this learning to create happier, healthier and
more productive employees.
Conflict-competent organizations don’t happen by accident.
They get that way by recognizing there is no one-size-fits-all
process for resolving the multitude of disagreements that
may arise in the workplace. Through active leadership and
SETTING THE STAGE education, they create conflict-competent environments
Let’s face it. Conflict is normal. where people have both the will and capacity to deal with
discord at the earliest stage and lowest possible level. In
We sometimes try to deny it; often we’ll
those instances where discord escalates into a dispute—which
even jump through hoops to avoid it.
is inevitable no matter how conflict-competent people may
The truth is, conflict is not only normal, be—these organizations provide an array of appropriate reso-
it’s inevitable. lution mechanisms that are timely, accessible, flexible and fair.
Whenever people interact closely they are bound to “bump But wait. Before we can explore how to create a conflict-
into” each other. If they perceive that they have competing competent organization, we need to ensure we’re all speaking
interests, which is commonly the case, conflict may arise. the same language. So let’s take a small step back.
If individuals are feeling stressed—even if the stressors are
unrelated—the conflict will escalate. Count on it.
Unfortunately, in today’s frenetic and stressful workplace
CLARIFYING SOME CONCEPTS
the number and types of conflict appear to be increasing. We
AND TERMS
see it in the interpersonal disputes, grievances, harassment To ensure a common understanding of the terms used in
complaints, human rights charges, civil litigation and work- this publication, it is useful to clarify some of the terminology
place violence experienced by organizations far too frequently. and concepts.
It’s not surprising. It’s normal. And inevitable. Conflict is the process and condition of dissatisfaction,
which is often viewed as a general state of negative feelings.
Conflict in itself is neither bad nor good. It just is. It’s how
It is broader than a dispute and occurs where two or more
it is handled that is the key to individual well-being and
individuals perceive that they have competing interests.
organizational health.
A dispute is the outcome of unresolved conflict. It is a
Many conflict management processes which are based on the
manifestation or subset of conflict and requires resolution.
rights of individuals to pursue entitlements and perceived
It often occurs when people disagree on facts.
justice may not be working in the best interests of either
the individual or the organization. Many are highly con- The two words—conflict and dispute—are often used
frontational in nature and can easily exacerbate conflict. interchangeably; however, in Pathways I make a distinction
Some redress processes actually institutionalize procedures between them. Conflict, in this context, is viewed as the
that can encourage conflicts to escalate.
C H A P T E R 1
MAKING A CASE FOR A CONFLICT MANAGEMENT SYSTEM 1
broader, more macro term, incorporating in it notions of ADR is a dispute resolution process that falls outside the
prevention and cultural and behavioural change. Dispute is more traditional rights-based processes such as court
used in a narrower sense, referring to those elements directly adjudication. The term usually refers to interest-based,
related to a clash or divergence of opinion. consensus-oriented approaches to fields of human interaction
and includes, among others, processes such as negotiation
When discussing integrated systems, the same distinction
(self-resolution), mediation (third party assistance) and
holds true. While conflict management system and dispute
arbitration (third party decision making).
resolution system are often used to describe the same thing,
I tend to view CMS as having a broader, more ambitious
scope, dealing with not only how we handle disputes, but
KEY LEARNING
also how our daily interactions affect our work culture and
behaviours. As such, a DRS, which focuses primarily on COMMON LANGUAGE IS KEY
resolution, is only a component of a successful CMS, albeit TO COMMON UNDERSTANDING
a very substantial one. Establishing a common lexicon is essential when
In Pathways the term CMS includes all those elements disparate groups of people need to work together
normally related to a DRS. toward a common understanding or goal. That’s why
I took the time to explain the use of certain terms
A CMS is a comprehensive, broad-based approach to and concepts within the context of Pathways—to
the prevention, identification and resolution of workplace ensure we’re all reading from the same page, so
disputes. It is: to speak.
Integrated: Rights- and interest-based dispute resolution Because words often mean different things to
activities and institutions are linked in a coherent, “whole” different people, it is equally important to ensure
that terminology is clear to all stakeholders in an
system, with a logical “flow” or sequencing (like a road map)
organization that is putting a CMS into place.
with loop-back properties.
Try to avoid the distraction of ongoing intellectual
Systematic: A logical and progressive series of steps or stages, debate around the usage of the most “correct”
each with a clearly defined set of procedures, forms the process. terminology and definitions. The important thing is
to have a common understanding within your own
Institutionalized: Processes, practices and support structures
organization and to make this explicit. Review the
are operational. They are known, understood, accepted
most common usage of the various terms, determine
and used. what makes sense for your organization, decide
As a system it consists of a model or framework, supported on the definitions and publish a lexicon—in both
by organization-wide enablers. Enablers include interest- official languages.
based behaviours; training; senior management champions;
buy-in from leaders at all levels; stakeholder involvement;
collaborative processes; reward systems; and structures,
such as resolution centres, Web sites and system governance HOW CONFLICT IS HANDLED
mechanisms.
Conflict has traditionally been addressed through the use of
A CMS responds to the exigencies of all types of conflict, three processes. They are:
for all persons in the workplace. It is transformative and
results in a culture shift, founded on interest-based behaviour Power-based;
and the resolution of conflict at the lowest possible level. Rights-based; and
It incorporates multiple options (both rights- and interest-
based) and multiple access points. Interest-based.
Central to most high-quality CMSs is the implementation

of alternative dispute resolution.
2 P A T H W A Y S
A power-based process sets the context within which the an interest in establishing a precedent or a body of
conflict will be handled. It is based upon the perceived policy decisions;
strengths of disputants. This may include the power of
a threat to good order and discipline;
position or rank, physical or military might, economic or
financial leverage, or the ability to cause harm to the other a significant public-policy, procedural or legal issue;
party. The schoolyard fight, the union strike and the ultimate an issue that affects persons or organizations not party
manifestation, war, are all power-based processes. to the process; or
Many hierarchical, command-and-control organizations, an apparent abuse of process.
such as police and military organizations, rely extensively
on power-based processes. This was particularly evident to Interest-based processes focus on the underlying needs
me when, early in the DND/CF project, a major said to me, (including the hopes, beliefs, values, fears and concerns) of
“Conflict? What conflict? I’m a major; he’s a lieutenant. He disputants to resolve issues. Interests can take many forms,
behaves the way I say or I charge him with disobeying an including those of substance (what is needed), well-being
order. We have no conflict.” (needs of an individual-physical, emotional and psychological)
and procedure (need for comfort with how things are done).
Although there is an increasing recognition that in today’s
workplace power-based processes are less effective than in To find mutually satisfying outcomes, interest-based processes
the past, they remain well suited to certain situations, such tend to be more collaborative in nature than confrontational.
as large-scale reorganizations, corporate survival or crisis. Interest-based processes can include facilitation, coaching,
negotiation and mediation. In the workplace context, media-
Rights-based processes set the parameters within which tion is the process most commonly associated with ADR.
the disputants may wish to exercise their rights. These can
include exercising the right to submit a grievance under the
terms of a collective agreement, lay a charge of harassment RATIONALE FOR A CMS
consistent with regulatory policy, submit a discrimination BASED ON ADR
complaint through the Human Rights Commission or com-
mence a civil litigation action through the courts. Usually Most conflict-competent organizations have opted for a CMS
some form of adjudication is involved. Government employees based on ADR because they see significant positive outcomes
have these rights and the discretion to exercise them. in four key areas:
Rights-based processes seem to be the “default” mechanisms controlling the costs of workplace conflict
most commonly used in government organizations. The satisfaction with outcomes
culture is such that if there is unresolved workplace conflict
maintaining good working relationships
and the employee does not want to ignore it, the conditioned
response is to grieve. In many instances management’s view- minimizing the likelihood of dispute recurrence
crudely put-is: “If you don’t like it, lump it! If you don’t want
to lump it, then grieve it!”
CONTROLLING THE COSTS
Rights-based processes tend to be costly and time-consuming, OF WORKPLACE CONFLICT
and they frequently result in outcomes that are not fully satis- There are two major types of costs associated with workplace
fying to any of the disputants. In fact, rather than resolving conflict—financial and human. There are also other signifi-
conflict, they often generate additional conflict. cant costs, such as damaged reputation, missed opportunity
Still, there are occasions when a rights-based process is the and social costs. All are difficult to measure but are easily
most appropriate way to deal with a workplace issue. For understood.
example, DND/CF has determined that such situations Financial cost refers to the expenses the complainant incurs
exist when there is: in preparing a formal complaint, the defendant incurs in
a possibility that criminal behaviour has occurred; repudiating the complaint, and the organization uses to try
to sort it out. Although these costs are often reflected in
a need for a public record, and the public interest is terms of the time used to do this, monetary expenditures
best served by an open, transparent process; for professional assistance, including legal fees, are included.
C H A P T E R 1
Organizations responding to complaints such as grievances, Board (PSSRB), seldom produce outcomes that are fully satis-
harassment complaints, human rights violations and civil factory to any of the disputants. These processes result in one
litigation actions are often locked into time-consuming and person being perceived as winning and the other losing. The
enormously expensive review processes. When factoring “loser” may subsequently behave in a manner that has negative
in the time and effort involved to process the complaint, repercussions for all involved, both directly and indirectly.
conduct any necessary investigations, and take the required
Often both parties lose. Anyone who has been through
action, the costs can shoot through the roof. It is not uncom-
protracted civil litigation processes understands this. In some
mon for the cost of processing a grievance or harassment
circumstances the court award to the “winner” is less than the
complaint in organizations such as DND/CF to approach the
legal fees. In other situations it may be difficult to collect the
$40,000 range if all direct and indirect costs are considered.
award or judgment. In yet other instances, winning is unsatis-
If litigation is involved, the real costs can skyrocket into factory because what has been won does not respond to what
the stratosphere. the winner really wants or needs.
I recall, for example, mediating a high-profile case that had In most cases the parties themselves are in the best position
captured extensive media attention. It had been around for to make a determination concerning their own interests.
three years and had consumed several hundred thousand This leads to more satisfactory outcomes.
dollars in legal fees, yet no real progress had been made. In
fact, it was the tip of the iceberg, as several related cases were
about to unfold in federal court. Those proceedings would M A I N TA I N I N G G O O D W O R K I N G
R E L AT I O N S H I P S
have consumed hundreds of hours of the time of senior
The ability to work well together following a dispute is often
officers, who would be obligated to testify in the court pro-
dependent on the dispute resolution mechanism in place. If
ceedings, and it was unlikely that a satisfactory resolution
one individual feels he or she has “lost” as a result of a ruling
would result. Using mediation, the case was resolved to
or third party decision, it is likely the workplace relationship
the satisfaction of all parties within eight weeks.
will be strained. If the “winner” gloats, the effect is to exacer-
Though harder to measure, the human costs of workplace bate workplace relationships or even create new tensions.
conflict can be even more devastating than the financial
Such tensions not only affect the disputants, but also have a
ones. Emotional trauma on the part of disputants, and their
detrimental effect on those around them.
families, friends and workplace colleagues, can be overwhelm-
ing. For some, the issues become all-consuming and, as some However, if the parties have been able to negotiate a mutually
disputants have described, “take over their lives.” satisfactory outcome using interest-based processes, it is more
likely that they will be able to work together again productively.
Ill will and rancour are often infectious, contaminating
not only those involved in the dispute, but also those who
may simply find themselves in proximity. The destruction MINIMIZING THE LIKELIHOOD OF
caused by a poisoned work environment can linger for DISPUTE RECURRENCE
many years. Morale declines, staff turnover increases, When one party to a dispute believes that he or she is the
productivity decreases. “loser” and has not been treated fairly as a result of a rights-
based process, it is likely the dispute will recur, sometimes
disguised in another issue. Parties who negotiate a satisfactory
S AT I S FAC T I O N W I T H O U T C O M E S outcome themselves are more likely to respect the terms and
Very few of us like to have decisions imposed on us—not conditions of that outcome.
even if they are good decisions!
Furthermore, such an agreement is more likely to be respected
Traditional rights-based processes, such as redress of by all individuals—even those who have not been party to
grievance, harassment complaint investigations or any the dispute but may have formed opinions or taken sides
adjudication process that might be used by the Human nonetheless.
Rights Commission or the Public Service Staff Relations
4 P A T H W A Y S
CHOOSING A SUITABLE
PROCESS
In dealing with clients, I have often used the chart shown
below as a tool for considering suitable dispute resolution
processes and the merits of a CMS:
COSTS SATISFACTION RELATIONSHIP RECURRENCE

financial with outcome positive of dispute
& human (or negative) effect not likely
Determine
who is most
POWERFUL
Determine
who is
RIGHT
Reconcile parties’
INTERESTS
In such instances I ask the organization’s representatives to “SELLING” A CMS TO

consider a specific case which is of concern to them and DECISION MAKERS
which could be handled using power-, rights- or interest- To ensure that the appropriate effort and resources are devoted
based processes. They often choose situations involving to an ADR-based CMS initiative, proponents often need to
harassment, redress of grievance or civil litigation—cases “sell” the idea to the organization’s decision makers.
that have traditionally involved the use of rights-based
processes for resolution. No problem. All they have to do is cite the above-mentioned
advantages of such systems, and the indisputable logic of
After cases are selected I ask clients to fill in the above grid their proposals will overwhelm even the most ardent skeptic.
using a high (H), medium (M) or low (L) rating for each Add to that a cost-benefit analysis and a well-thought-out
category. The strengths and weaknesses of the different implementation strategy, and who in their right mind would
approaches become evident immediately. This can be even resist? Easy, right?
more obvious if several participants share their ratings with
each other (in such instances I sometimes use a consolidated Well, not quite.
matrix form).
This exercise is fast and simple and encourages decision A COMPELLING REASON
makers to reflect on the merits and underlying assumptions Logic and reason are often not enough to prompt a decision
attached to their current procedures. This often prompts to proceed with the design and implementation of a CMS.
them to further consider interest-based processes. There are other causal factors, a combination of which
usually forms a “compelling reason” for a CMS or the broad
use of ADR processes. I refer to them as the Six C Factors:
Costs: These are the economic, human and social costs
discussed earlier.
C H A P T E R 1
Compliance: The obligation to comply with legislative or
KEY LEARNING
regulatory directives can form a compelling reason. The
exigencies of Bill C-25 (human resource modernization) and OPPORTUNITY OCCURS WHEN
the mandatory mediation requirements for civil litigation A PROBLEM ENCOUNTERS
cases in Ontario are examples of this. A SOLUTION
Competition: Companies and organizations often compete Don’t focus on the merits of the proposal; focus on
to attract, recruit and retain the most talented employees— the needs of the client.
particularly those with highly specialized skills. Since No matter how compelling the technical advantages
conflict competence is a key factor in fostering happier, of a CMS may be, you will not get adequate buy-in
more productive employees, successful employers of choice unless decision makers can see a direct link to their
often recognize the value of a CMS as a means of enhancing immediate needs.
their competitiveness. Successful proponents present themselves as prob-
lem solvers rather than CMS/ADR advocates. They
Corporate culture: Corporate culture is a manifestation of recognize that the organization has a problem, which
the unique behavioural patterns of people in organizations. will eventually become the problem of individuals
When organizations merge, reorganize, form partnerships or within the organization. They then present ADR or
establish strategic alliances, they can suffer from corporate a system design initiative as a potential solution to
culture clashes. Planning for this, rather than reacting to it, this problem.
can minimize the negative effects of such clashes.
Creative urge: Some organizations have leaders who pride
themselves on being innovators of human resource or other
management practices. These individuals recognize the TIMING
potential of a CMS and aggressively champion the cause. Sometimes an organization’s need for a CMS precedes the
Crisis: Organizations periodically find themselves in crisis actual commitment to instituting a system by several years,
mode due to unresolved conflict. Symptoms may show up as: despite the acknowledged merits of such a system. As a result,
an excessive number of grievances or harassment complaints, proponents are often frustrated by their organization’s lack
a culture of inappropriate behaviour, litigation costs, the loss of responsiveness to the logic of their proposals.
of valued employees, or negative media reports impacting on While a cost-benefit analysis and implementation strategy
the reputation and public perception of the organization. are important tools in any pitch for a CMS, proponents with
Linking one or more of the Six C Factors to specific organiza- the greatest success in getting approval for such undertakings
tional issues can encourage decision makers to consider an are those who recognize when the time is ripe and act accord-
ADR-based CMS as a viable solution to their problems. ingly. They recognize that their organization may not be
ready for such a commitment if the compelling reason for the
This was the case for the RCMP when the huge number of initiative has not yet been identified. In those circumstances,
members’ grievances became a major catalyst for its ADR any proposal, no matter how logical, will seem premature.
project. At the Canada Customs and Revenue Agency
(CCRA), it was the high cost of dealing with harassment Proponents, though prepared with a suitcaseful of cogent
complaints and grievances that provided the incentive. At the arguments, may need to wait until the timing is right and
Human Rights Commission and Public Service Staff Relations the compelling reason for a CMS reveals itself.
Board, heavy caseloads prompted an increased interest in
ADR as a possible solution. In the case of DND/CF, the com-
bined factors of low morale, negative public perceptions and
the need for cultural change formed a “compelling reason.”
6 P A T H W A Y S
THE VALUE OF CREDIBLE, EXTERNAL What particularly concerned these senior officials was that
SPOKESPERSONS they might be faced with perfectly legitimate questions for
We sometimes accord more credibility or attention to the which they had no clear answers.
views and perceived wisdom of individuals from outside
an organization than to those within, though the insiders Another major concern was that these preoccupations were
may have as much, or more, knowledge about the subject. diverting the attention of these people. While their primary
responsibilities revolved around complex defence and peace-
I have served as an “external expert” in a variety of govern- keeping obligations and the related strategic thinking that
ment organizations in Canada, the United States, Bermuda, went with that, they were being distracted by relatively minor
New Zealand and Australia. In all instances it seemed ironic issues which should have been resolved by others at a much
to me that the organizations that had invited me to address earlier stage and at a much lower level.
senior officials had considerable technical internal capacity
to do so themselves. Nonetheless, they considered such The costs of such preoccupations can be easily understood,
presentations key to program acceptance. but not so easily measured.
Recognizing this, system design proponents may wish to When I suggested that a CMS might help alleviate some of
invite an external expert to speak to senior departmental their concerns, they became more receptive to the notion.
officials about ADR experiences and accomplishments in
organizations similar to theirs. At such presentations I have
KEY LEARNING
found that decision makers are often more interested in
anecdotal information and big-picture stories than in the MAKE PRESENTATIONS
technical aspects of systems design. RELEVANT TO YOUR
Several federal government departments and agencies, includ- TARGET AUDIENCE
ing Justice, Public Works and Government Services Canada In presenting the merits of a CMS to decision mak-
(PWGSC), CCRA and DND/CF, have brought in “outsiders” ers, the case can be far more compelling if they can
to give their views to senior officials. see its application in relation to specific cases with
which they may currently be struggling.
At DND/CF, J. Lynch, an external consultant, was asked to
As well, interactive presentations that cite typical
present a description of the RCMP ADR system to the Armed cases and link conceptual elements to practical
Forces Council. Her presentation was particularly effective applications will inevitably have greater impact.
not only because she is a well-respected subject matter expert,
but also because she was seen as neutral. The views of the
RCMP Commissioner concerning ADR further influenced
the views of senior DND/CF officers.
THE DND/CF EXPERIENCE
In the mid- to late 1990s, DND/CF fell victim to a series of
TA R G E T I N G T H E M E S S AG E
events, accusations and revelations that negatively affected
At one meeting with senior DND/CF officers, I posed the
both employee morale and public perception:
question, “What keeps you up at night?” They looked at me,
puzzled, so I added, “When you wake up at 4 a.m. and can’t The Federal Government Functional Review had led to
get back to sleep (like we all do at one time or another), what wholesale cutbacks and reduced resources, creating stress
is it that keeps rolling around in your mind and prevents you and increased workloads for everyone.
from going back to sleep?” The events in Somalia and their aftermath—the resultant
Nearly all those in attendance indicated that the issues keeping board of inquiry and the negative media attention attached
them awake were rarely technical, strategic or administrative to this—added to the malaise.
challenges. They were usually interpersonal disputes or com- A highly publicized scandal involving hazing in the Airborne
plaints, described in a voluminous file on their desks, that Regiment led to its disbandment and further damaged morale
might, on a slow news day, prompt media interest. In some and public image.
instances those files involved charges affecting their own
offices; in others they involved litigation.
C H A P T E R 1
A series of front-page articles in Maclean’s magazine raised As already mentioned, at an Armed Forces Council meeting
issues such as poor pay, squalid housing and sexual abuse, (in June 1997) a consultant delivered a presentation outlining
which further blemished the Canadian Forces image. the RCMP Alternative Dispute Resolution System. RCMP
Commissioner P. Murray was very enthusiastic about this
The DND/CF leadership was acutely aware of the disgruntle-
system, as it provided tools to assist all managers and leaders
ment and dissatisfaction that were brewing under the surface,
in managing conflict at the lowest possible level.
even before many of the above incidents came to light, and
began to consider ways of dealing with this. They recognized The Armed Forces Council recognized that if ADR worked
that many of the existing processes and procedures related at a hierarchical, command-and-control organization like the
to workplace conflict were outdated and inadequate and that RCMP, it could also have applications in DND/CF. Seeing an
there was a pressing need to find better ways of coping with opportunity to further enhance the serial 8 recommendation
underlying issues and challenges. of the Minister’s Report to the Prime Minister, the Council
subsequently directed that DND/CF would implement a
In the March 25, 1997 Minister of National Defence Report
system based on ADR principles and processes.
to the Prime Minister on the Leadership and Management of
the Canadian Forces, serial 8 recommended implementation In 1998, recommendations of the federal parliamentary
of the Office of the Organizational Ombudsman to provide Standing Committee on National Defence and Veterans
advice and guidance to personnel who are in need of help or Affairs (SCONDVA) also made reference to the need for
who believe they have been treated improperly. As well, citing enhanced approaches to conflict resolution.
the inappropriateness, slowness and lack of transparency of
The convergence of all these issues, challenges, recommenda-
the grievance system, the Minister indicated that he would
tions and crises led to the establishment of the Conflict
establish an independent Canadian Forces Review Board.
Management Project. There was no single rationale or cause
Furthermore, he proposed the creation of more effective
and it is doubtful any single reason, including cost savings,
conflict management processes to deal with conflict at the
would have generated enough interest to sustain the initiative.
lowest possible level. The Conflict Management Project
But together they formed a compelling reason.
was the outcome of this recommendation.
Authority to establish a Conflict Management Project Office,
In April 1998 the Minister released two internal studies (The
under the direction of Major-General R. Linden and with
Care of Injured Personnel and Their Families Review and A
the assistance of Lieutenant-Commander S. Levecque, who
Study of the Treatment of Service Members Released from the
played a pivotal role in the early stages of the Project, was
Canadian Forces on Medical Grounds) which would be used to
approved in June 1998. The function of this office was to
develop quality-of-life policies and programs. General Baril
prepare the way for the Project and the staffing of the EDCM,
found these studies “very disturbing, as they underline a high
who would have overall responsibility for the initiative. A
level of dissatisfaction and a feeling of abandonment on the
working group composed of key stakeholders was established
part of members and their families.” Other DND surveys
to help develop guiding principles for the initiative and
confirmed these concerns.
coordinate internal activities.
The need for alternative approaches to conflict resolution was
It is significant that the early stages of the DND/CF initiative
further supported by the increase in harassment complaints
were characterized as a “project,” to be tested and evaluated
following the implementation of the Standards for Harassment
before attaining program status. This created a comfort level
and Racism Prevention (SHARP) program and the unaccept-
among decision makers in that a thorough review would be
able length of time it was taking to resolve issues that should
undertaken before extensive, long-term resources would be
have been resolved at much lower levels.
committed to the initiative.
8 P A T H W A Y S
Benchmarking goes a step further. Using the above
analogy, benchmarking is the equivalent of “kicking
C H A P T E R 2 the tires” and making choices that will serve you

best. Finding that best buy might entail talking to a
few know-it-all friends, a visit to some dealerships, a
few test drives, a comparison of prices and options and
a look at reliability records. After narrowing the choices,
RESEARCHING you’ll still have to check with your spouse and kids and
parents to ensure their needs are being addressed; after
AND BENCH- all, the car needs to serve them too. And finally, you will
MARKING BEST get down to haggling for the best deal, looking for the right
option package, the best combination of aesthetics, utility
PRACTICES and value.
Even after you’ve plunked down your cash you may not
be quite finished. For example, the roof rack the dealer
offered may not suit your needs as well as the one at
Canadian Tire; the radio has poor speakers, but you can
get great ones for a song at the local audio shop; and the
upholstery is ugly, but your mother-in-law has promised to
DISCOVER THE
crochet seat covers in your favourite colours—green and
WHEEL—NO NEED
pink. That’s benchmarking… sort of.
TO INVENT IT
At the risk of oversimplifying, research is the process of
Designing a conflict management
information gathering; benchmarking involves the identifica-
system can be daunting. Fortunately,
tion of best practices through evaluation, comparison and
you’re not the first to attempt this and
application of that information to your own specific needs
there is much you can learn from others.
and resources. Or, to put it even more simply: research is
Researching and benchmarking best practices
getting the information; benchmarking is figuring out how
can help save time and money while encouraging the
best to use it.
adoption of innovative best practices that have already
been successfully tested and proven elsewhere. Although
no single source is likely to fulfill all needs, it is possible to WHERE TO LOOK AND WHY
mix and match approaches to create workable and appropri- The value of research and benchmarking is self-evident—
ate processes to serve your organization’s specific needs. there’s that “reinventing the wheel” cliché again—yet, despite
the obvious advantages, program designers sometimes
forget to go through these processes. And even when they
RESEARCHING AND BENCHMARKING—
W H AT ’ S T H E D I F F E R E N C E ? do remember, the processes they employ may not be the
We’re all familiar with research; we do it every day. When most effective.
we want to go to a movie we reach for a newspaper or do a Sometimes people are overly restrictive about where they
Web search and check out what’s playing, where and when. look. While benchmarking organizations that are similar to
To buy a car we go through a similar process. We find out our own may be most useful, we may also be well served by
what’s out there, which models suit our needs, how much broadening our field. Since CMS design is a relatively new
they cost and so on. If we’ve got kids and parents to cart field, looking in your own backyard may not reveal the very
around, chances are the Ferrari is out. On the other hand, best practices being used elsewhere. Expand the search to
the Rolls Royce has lots of room—but it’s beyond your budget, include organizations in both the public and private sectors.
so scratch that too. The Honda, Toyota and Chevy all meet Look at professional associations. Look at organizations in
the basic criteria, so you try to find out a bit more about other countries.
them. That’s research.
C H A P T E R 2
RESEARCHING AND BENCHMARKING BEST PRACTICES 9
Another common “error” is the “all-or-nothing” approach. The American Productivity and Quality Center reports on
That’s when folks dismiss a program because it doesn’t suit innovative best practices in a number of areas. While they
all their needs. A key to successful benchmarking can be the do not focus on conflict management systems in particular,
mixing and matching of best practices. visiting their Web site may be a good starting point when
first embarking on a benchmarking initiative. Many
public sector organizations are members of the Center,
KEY LEARNING so registration and access are free. Their Web address is:
http://www.apqc.org/portal/authentication/html/loginform.
NOT ALL PRACTICES ARE jsp;jsessionid=2X00ZTBFTEQZNQFIAJICFEQ`
BEST PRACTICES
Some practices look good on paper but don’t work
so well in the real world. A best practice is one that KEY LEARNING
has been used, has proven to be effective and has
produced successful results. Establishing clear RESEARCH AND
criteria—keeping your goals and client needs in BENCHMARKING ARE
mind—will help in evaluating which practices are ONGOING PROCESSES
best. Criteria may include: past successes, awards, Research and benchmarking should not stop once
panel reviews and interviews with users. a decision to proceed has been taken.
Note: Benchmarking does not necessarily mean Benchmarking is useful not only at the early stages
visiting. There is a surprising amount of readily of an initiative, to get a sense of what best practices
available research and information. might be applied to one’s own situation, but also
throughout the project, to provide guidelines around
specific implementation requirements such as budget
or number of employees/mediators.
There is also value in looking beyond specific functional areas Regular fine tuning and upgrades will keep a system
to glean appropriate best practices. While CMS designers are relevant, vibrant and efficient.
clearly focused on conflict management, they are likely to
find appropriate approaches in some programs that may have
little to do with dispute resolution. Many best practices are
important to the design of any program and these should be
BENCHMARKING OTHER
captured and considered. For example, the communications
ORGANIZATIONS—SOME
approach used in an ethics program may be applicable to a
CASE STUDIES
CMS program. The information being communicated will
be different, but the approach and tools may still be valid. When designing the CMS for DND/CF, we undertook a
fairly comprehensive benchmarking initiative. We looked at
the federal public service in Canada, but also studied relevant
KEY LEARNING approaches being used in Australia, the United States and
some international associations.
BENCHMARK POLICIES AND
PROCEDURES AS WELL AS
STRUCTURAL FRAMEWORKS
Organizations often benchmark ADR models and
design frameworks effectively. Benchmarking
processes are optimized when reviewers go into
further depth concerning policies and procedures
and possible applications in other organizations.
10 P A T H W A Y S
CANADA—THE FEDERAL Parks Canada Agency
GOVERNMENT
Public Service Commission of Canada
When DND/CF embarked on its benchmarking initiative,
Royal Canadian Mounted Police
development of CMSs in the federal government was rather
limited. Certainly there were no comprehensive, fully inte- Veterans Affairs Canada
grated systems in place consistent with the scope DND/CF
These organizations were examined in relation to:
was contemplating. Still, it was important to review current
systems to determine if innovations could be revealed general characteristics of the organization, including size,
and applied. location, mission, employee skill mix, and nature and
scope of union activity;
To get a sense of the various options considered and applied
by other organizations, 20 case studies from the Canadian use of interest-based and informal approaches to the
federal public service were undertaken and completed in resolution of conflict, including the focus of the conflict
July 1999 (Charron Human Resources Inc.). The organiza- management initiative, how the system design process
tions included: was conducted and what implementation approaches
were taken;
Canada Customs and Revenue Agency
communications strategy and approaches;
Canadian Environmental Assessment Agency
nature and scope of training;
Canadian Human Rights Commission
nature of the dispute resolution processes and how they
Canadian Human Rights Tribunal
were integrated, including any flow chart or diagram
Canadian Radio-television and Telecommunications which would illustrate the interrelationships; and
Commission
lessons learned.
Canadian Transport Agency
The lessons learned focused on the underlying assumptions
Correctional Service Canada relating to the CMS, such as: organizational issues, stakeholder
involvement, the planning process, design characteristics,
Department of Justice Canada—Dispute
leadership, communications, awareness and training, moni-
Resolution Services
toring and evaluation, and the challenges of changing the
Department of Justice Canada—Office of Harassment organization’s culture.
and Conflict in the Workplace
In March 2001, DND/CF commissioned the consulting firm
Environment Canada of Ajilon Canada to review its program. Ajilon identified the
Fisheries and Oceans Canada RCMP and CCRA as being the two Canadian government
institutions with the closest parallels to the conflict manage-
Human Resources Development Canada ment initiative of DND/CF. They were benchmarked to assess
Immigration and Refugee Board the organizational requirements and the numbers of service
providers that might be required by DND/CF. What follows
Indian and Northern Affairs Canada are some highlights from the Ajilon report’s description of
Indian and Northern Affairs Canada—Major these two organizations and some of the lessons DND/CF
Projects Branch took from this report.
Nova Scotia Joint Career Transition Committee/Learning

Centre Plus (Health Canada)
C H A P T E R 2
THE RCMP The representatives were provided with advanced interest-
In addition to the 27 regular members who already worked based training, including mediation training, and relied heavily
full-time in staff relations representing issues on behalf of on the process and the ADR system in working through griev-
members, the RCMP created roughly one new position for ance and discipline conflicts for the members they represent:
each 1,500 members and employees.
Approximately 222 persons (more than 1 per cent) had
In 1995 the RCMP began to test the use of mediation and received training in mediation skills, some in order to act
the implementation of their “ADR System” in three pilot sites. as internal mediators and others who, though not neutral
This included critical-mass training, implementation of a com- (e.g. personnel managers or Divisional Staff Relations
munication strategy, multiple options (including mediation, Representatives), employed these skills daily for resolving
coaching and other innovative processes) and the establish- personnel issues.
ment of a central office plus other offices across the country.
Well over 10 per cent of the members received two- or
In 1997, when the system was being rolled out RCMP-wide,
three-day training in interest-based negotiation.
the following resources were in place:
Training costs were shared equally between the centre and
A central office with six full-time employees, led by an exter-
the divisions, with the divisions also paying all travel and
nal consultant and an internal senior manager known as the
backfill costs for members and employees.
“ADR Advisor,” as well as others dedicated to training (using
principally external service providers), communications and Since the completion of the rollout, the central staff has been
select case mediation; reduced to two and the number of full-time employees within
the divisions has been reduced, with ADR coordinators gener-
An active National Steering Committee with high-level
ally serving by region (there are six) rather than by division
membership (Commissioner, Deputy Commissioner,
(there are 15). This continues to evolve.
Assistant Commissioners in charge of personnel, training,
finance and some divisions, plus the three most senior In summary, the RCMP’s system involved a variety of ADR
elected Divisional Staff Relations Representatives); processes complementing the existing rights-based processes.
The chart below illustrates these relationships:
A person designated as ADR Coordinator in each of
15 divisions and funded by those divisions, of which
seven were full-time new positions and the others were RCMP’s System
part-time, making a total of about 11 full-time employees
(or roughly one per 1,500 regular members);
Each division had its own ADR Advisory Committee Conflict
composed of local stakeholders, varying from very active
to relatively inactive; and Grievance Divisional
Advisory ADR
28 Divisional Staff Relations Representatives (averaging Board Coordinator
one per 650 members) that were funded nationally.
In addition to the union executives and stewards who advise
the public servants within the RCMP, there is a system of Level I
Commanding Customized
elected representation for the 17,000 “regular and civilian Inter-based Process
Officer RCMP
members” who are not unionized. This system is called the External coaching
Division Staff Relations Program. Every two years members in Review meditation
each division elect Divisional Staff Relations Representatives Level III Committee training
who represent their interests to management. The representa- Commissioner
of RCMP
tives serve full-time in this non-uniform position during their Office
mandates. The majority are staff sergeants (the highest non- of ADR
commissioned rank) and many serve for several elected terms. Advisor
Fed
Court
12 P A T H W A Y S
The RCMP review was particularly useful in providing a Regions that had launched their rollouts established a
framework around resource requirements and staffing Regional Advisory Committee and also designated a
implications. It also gave us a good sense of what could be full-time Dispute Resolution Coordinator (roughly
accomplished in a “command-and-control” organization one per 6,000-10,000 employees).
which faced many of the same challenges that DND/CF
In each relevant site (usually determined by geography
would be facing. The RCMP was probably the most appropri-
and averaging 250-1,000 employees) a project leader was
ate Canadian organization for us to review in light of the
selected-some part-time and some full-time-to form a
respective cultures of each organization.
local project team to assist and advise on the rollout.
A roster of qualified internal “neutrals” was created,
CCRA with 33 listed at that time and more planned.
The Ajilon report also reviewed CCRA and its CMS plan.
Every employee was to receive a one-day Demystifying
This included funding to each region to create one Dispute
Resolution Advisor position per 1,500 employees. Conflict Course and 10 per cent (managers and unions)
were to receive an additional three-day leaders’ course on
On November 1, 1999, the former Revenue Canada became conflict management, paid centrally, with regions paying
CCRA. Unions represented most of its 45,000 employees, employee travel and backfill.
with some elected union officials working full-time and
others part-time. The CCRA review provided a perspective that was different
from that of the RCMP. It allowed us to assess some of the
When the department was planning its strategy for the organizational, structural and administrative requirements
move to agency status, it created several planning teams associated with a large, geographically dispersed and highly
of managers, employees and unions. One such team, the unionized organization in the early developmental stages of
Recourse Design Team, made recommendations which laid the evolution of its CMS.
the foundation for the new integrated dispute resolution sys-
tem. This system had been tested in 12 pilot projects and was
just being rolled out across the Agency. It had the following AUSTRALIA—THE AUSTRALIAN
structure (as in the RCMP, this has subsequently evolved): DEFENCE FORCE
Centrally, the Office of Dispute Management administered The Australian Defence Force (ADF) had decided to establish
and advised on the rollout, with a staff of nine, led by an ADR program and before proceeding was examining
a director, and with persons responsible for the pilot different models being applied in other countries. The ADF
projects, communication, evaluation and mediations. benchmarked the DND/CF program and found it to be
Training was developed in conjunction with the Training the most suitable of its type and the most consistent with
and Learning Directorate and was delivered by a combina- ADF’s needs.
tion of internal and external resources.
ADF requested my assistance in designing and implementing
There was an active National Advisory Committee with an ADR system that would be suitable for its situation. I sub-
broad membership (a regional Assistant Commissioner sequently had the good fortune to work on this initiative with
and persons representing different levels, functions ADF officials in Australia. While I was able to contribute to
and locations). the ADF initiative, I was also able to glean ideas that could
Each of the six regions established a Regional Advisory enhance DND/CF’s program.
Committee, composed of employees representing different ADF defined three core facilitative processes that make up
levels, functions and locations. its ADR program:
The Office of Dispute Management’s original plan offered Mediation
funding for one full-time employee per 1,500 for the
Facilitated negotiation
launching fiscal year, which it contemplated would be used
to create the position of Dispute Resolution Advisor. In Workplace conferencing
practice, regions were allowed flexibility with the use of
that funding and some spread the funding over several
part-time positions or a combination of full-time plus
part-time positions.
C H A P T E R 2
Mediation: ADF defines this as a process in which the parties coordinate administration and advice in support of all
to a dispute, with the assistance of an impartial third party (the ADR requests;
mediator/s), identify the disputed issues, develop options, con-
provide advice and recommendations to commanders and
sider alternatives and try to reach an agreement. The mediator
managers on the suitability of ADR to resolve disputes
has no advisory or determinative role concerning the content
brought to their attention;
of the dispute or the outcome of its resolution, but may advise
on or determine the process of mediation used during the provide the coordination point for ADR issues between
dispute resolution attempt. Defence Groups, aggrieved parties, other government
departments and ADR practitioners;
Facilitated negotiation: ADF defines facilitated negotiation
as a process in which the parties to a dispute, who have nominate suitable ADR providers and coordinate
identified the issues to be negotiated, use the assistance of provision of ADR services in Defence;
an impartial third party (the facilitator) to negotiate the provide active management and support for ADR
outcome. The facilitator has no advisory or determinative practitioners;
role on the content of the matters discussed or the outcome
of the process, but may advise on or determine the process provide quality assurance of internal ADR activities;
of facilitation. provide statistical reporting on the use of ADR in Defence;
Workplace conferencing: This is defined by ADF as a liaise with and maintain a database of ADR service
meeting of people who have been affected by an incident or providers; and
dispute. The conference brings together those most directly
involved, along with management, colleagues and (sometimes) in cases where it is assessed as appropriate, use ADR at
family and friends. The conferencing forum provides an the earliest possible opportunity and at the lowest practical
opportunity for participants to discuss their issues and focuses level in the organization to prevent escalation and protrac-
on resolving disputed issues and poor communication. tion of disputes.
The use of workplace conferencing by ADF is quite innovative. The Instructions also included general guidelines around
Though it is not commonly used in workplace settings, ADF ADR as follows:
has used it very successfully and has demonstrated that it holds Wherever appropriate, ADR is to be employed before the
promise if applied by trained and experienced professionals. implementation of formal methods of dispute resolution.
ADR may be considered for use in certain circumstances
ADF INSTRUCTIONS before recourse to disciplinary action under the Australian
In initiating the program, Defence Instructions (General)— Defence Force Discipline Act 1982 or Australian public
outlining the use and management of ADR in Defence—were service disciplinary procedures.
issued and signed by the Secretary of Defence and the Chief
ADR will be employed only after approval by command/
of the Defence Force. This was very effective in communicat-
management and after DADRCM has conducted an
ing ADR policy throughout ADF. The document specified
assessment and deemed the dispute appropriate for
that all ADR interventions would be centrally administered
ADR intervention.
for ADF through the Office of the Director of Alternative
Dispute Resolution and Conflict Management (DADRCM). Command or management will normally initiate requests
for ADR; however, on occasion individuals may request
The Instructions described the DADRCM mandate to:
assistance with the resolution of a workplace conflict or
develop and manage the ADR and conflict management dispute. Requests will be managed in consultation with
program in consultation with stakeholders; the individuals, command and management.
develop and maintain Defence policy, guidance, standards
and protocols on the use of ADR mechanisms;
advise on and coordinate ADR awareness, conflict and
dispute management training and education for Defence;
14 P A T H W A Y S
The ADF CMS generally uses a four-step approach: Information disclosed to a mediator or ADR practitioner by
the parties cannot be disclosed unless specifically agreed to by
1. Assessment
all parties. At the conclusion of the intervention, the mediator
2. Intake gives back to the parties all records, reports and documents
3. Managing the intervention that were received. The mediator also destroys any notes
taken during the process.
4. Reporting
In ADF, where there is a clear breach of confidentiality this
Assessment: The commander or manager determines that is brought to the attention of the appropriate authorities and
an issue may be suitable for ADR and refers it to DADRCM, may result in disciplinary, administrative or performance
who conducts a preliminary assessment to determine whether management action.
ADR is suitable. If it is suitable, an ADR practitioner is
appointed to conduct the intake process. The Defence Instructions document includes an annex
devoted specifically to confidentiality and privacy. It covers:
Intake: The ADR practitioner interviews parties and provides
the significance of confidentiality in relation to the
advice on the feasibility of ADR in addressing the dispute.
Factors, including impact on command and control, disci- ADR process
pline arrangements and the goodwill of the parties, are given what is confidential
consideration in the formal intake process.
the obligations of the ADR practitioner
Managing the intervention: The designated ADR practition-
the obligations of the parties
er, in consultation with the parties and DADRCM, arranges
the time and confirms the venue for the ADR process. Further how statistical data will be used
guidance on the sequence of events in an ADR intervention
what information is provided to command or management
and the role of the various participants is subsequently
provided at the outset of the process. the Privacy Act
Reporting: Unless otherwise agreed by the parties, the ADR exceptions to confidentiality and privacy—notifiable incidents
practitioner will normally provide a brief report on the exceptions to privacy
process to the DADRCM Operations Manager, who distrib-
utes it to the parties’ commander or manager. This report breach of confidentiality
describes whether a process took place and whether an The Defence Instructions issued by ADF also include
agreement was reached. Any other information is subject four annexes, which go into further detail in each of the
to the agreement of the parties. following areas:
How the ADF deals with confidentiality issues: Confidentiality and privacy (as described above)
Confidentiality is key to the ADF program, but the approach Training and registration for internal mediators
may vary according to the process employed or the circum-
stances of the case. Parties agree on the scope of confidentiality Ethics
and sign a separate Confidentiality Agreement prior to Feedback, evaluation and complaints
an intervention. They also sign an ADR Consent Form.
(This differs from the DND/CF approach, which uses a
single Agreement to Mediation Form that incorporates
confidentiality issues.)
C H A P T E R 2
ADR program development and implementation
KEY LEARNING
garnering support for ADR: essential buy-in and
PUBLISH AND BROADLY program marketing
DISTRIBUTE, UNDER THE
SIGNATURE OF THE MOST creating a comprehensive ADR training program
SENIOR OFFICIAL IN obtaining neutral services
THE ORGANIZATION, THE
PROTOCOLS ASSOCIATED constructing pilot projects
WITH THE SYSTEM
supporting users of ADR
It is important to ensure, at the outset, that the
protocols associated with ADR are clear to all parties obtaining resources and developing contracts
and well understood, particularly in organizations
ethical considerations
that are large and complex in structure. Publishing
and distributing this broadly, in a manner such as evaluating ADR programs
that used by ADF, is important.
resources in dispute resolution law and standards
The issuance and broad circulation of a document
such as the ADF’s Instructions, outlining the use and bibliography
management of ADR, may be considered a best prac-
ADR on the Web: links and resources
tice and should be considered by any organization
establishing an ADR system.
US AIR FORCE
DND/CF examined several federal programs including
those in the US Army, Navy and Air Force. The US Air Force
UNITED STATES GOVERNMENT program initiative (www.adr.af.mil) was particularly useful.
ORGANIZATIONS For example, the US Air Force ADR Program Best Practices:
Mediating Civilian Workplace Disputes Report (which has
US FEDERAL INTERAGENCY ADR
WORKING GROUP been updated—www.adr.af.mil/compendium) is described
Without a doubt, one of the most useful sources of benchmark- in detail under the following headings:
ing and research information in the United States was the US Air Force ADR Program
Interagency Alternative Dispute Resolution Working Group.
Purpose
The Working Group was established to coordinate, promote
and facilitate the effective use of dispute resolution processes Organization
within federal agencies as mandated by the Administrative
Getting the Parties to the Table: Who is Responsible
Dispute Resolution Act of 1996 and the White House Presidential
for What?
Memorandum. Its Web site (www.usdoj.gov/adr/index.html)
and related links proved to be, and still remain, a wealth of Role of the Air Force Mediator
information for ADR practitioners.
Mediation Intake Guidance
The Federal ADR Program Manager’s Resource Manual
Agreement to Mediate
(available on the Internet at www.usdoj.gov/adr/manual)
is a very useful guide to systems design that you may wish Settlement Agreement Guidance
to examine. It provides considerable detail on: Mediation Reporting Requirements
developing a collaborative design approach ADR Statistics
designing an ADR program Mediation Resources
16 P A T H W A Y S
Attachments for the overly simple math I’ve employed here, we’re still
talking huge financial savings.
Sample Mediation Case Management Worksheet
Direct financial advantages can be measured; however, collat-
Sample Mediation Memorandum and Mediation
eral advantages—reaped through quicker resolution of issues,
Agreement
reduced emotional angst among parties, improved morale
Sample Settlement Agreement Cover Sheet and productivity—though harder to tabulate, may be even
Sample Settlement Agreement more significant.
ADR Usage Annual Report Form The guiding principles of the Alternative Dispute Resolution
Centers were:
Administrative Dispute Resolution Act of 1996
Collapse time frames
A review of the scope and depth of the US Air Force
Ensure quality customer service
program was very useful to DND/CF, and the published
material served as a model for what would eventually be Increase resolution rates
the Operations Manual of the DND/CF CMS.
Maximize resources
The Alternative Dispute Resolution Centers used the
US NAVY following ADR methods:
The US Navy Region Southwest Dispute Resolution Center’s
program in San Diego was described as a model for the Mediation
US Navy. This program was developed and subsequently Conciliation
reviewed in 1999, with the assistance of C. Houk, Navy
Facilitation
ADR Counsel.
Peer review
ADR policy was established by SECNAV Instruction 5800
Dec 1996, stating that: To deliver mediation services in San Diego, a mediator
ADR techniques shall be used to the maximum extent pool/roster was established from a wide range of Navy and
practicable; Marine Corps personnel in the southwest region. Mediators
(60 trainees) received extensive training and were evaluated
every conflict and issue in controversy is a potential and certified to provide part-time services. It is interesting to
candidate for ADR; and note that when DND/CF tested this part-time/additional duty
the goal is to resolve disputes at the earliest stage feasible, model, it had major problems in getting mediators released
by the fastest and least expensive method possible and at from their “real” jobs to conduct mediations and to be involved
the lowest possible organizational level. in the number of mediations that would enable them to develop
high levels of competence. As a result, DND/CF ultimately
It was interesting to note that the average time to process a elected to focus on a full-time mediator approach.
single civilian Equal Employment Opportunity complaint was
749 days, with an average cost of $40,000 (US funds). In the When the San Diego Center piloted its project in 1998,
Navy civilian workforce of 186,596 in 1998, there were 2,046 39 of the 50 cases referred to ADR were resolved (78 per cent
Equal Employment Opportunity formal complaints. That’s resolution rate).
$81,840,000! The US Navy model was of particular interest to DND/CF,
Alternative Dispute Resolution Centers, using mostly media- as it showed the importance of measuring outcomes and
tion, were effective in quickly resolving workplace disputes. evaluating programs throughout their implementation. The
Time frames were collapsed from intake to resolution within mediator certification/qualification process was also very
60 days, with a resolution rate of 75 per cent for cases mediated. useful and demonstrated the importance and feasibility of
assessing potential mediators to a suitable standard. We
An admittedly oversimplified extrapolation from the above were able to take this and build upon it for our own
figures suggests an overall saving of $56,469,600! Or nearly specific applications.
70 per cent! Even if we build in a significant margin of error
C H A P T E R 2
US GENERAL ACCOUNTING OFFICE: The American Bar Association—Section of Dispute
“BENCHMARKING OTHER BENCHMARKS” … Resolution (www.abanet.org/dispute)
P U B L I C A N D P R I VAT E S E C TO R S
As well as benchmarking specific organizations, we reviewed The Arbitration and Mediation Institute of Canada, which
the benchmarking reports that had already been conducted is now the ADR Institute of Canada (www.adrcanada.ca)
by other organizations. For example, the US General The US Government Interagency ADR Working Group
Accounting Office, in 1997, published Alternative Dispute (www.usdoj.gov/adr)
Resolution—Employers’ Experiences with ADR in the
Workplace, where the following organizations were CRInfo (www.crinfo.org) adding further links to
benchmarked: information sources
US Air Force
US Department of Agriculture THE DND/CF EXPERIENCE
US Department of State The lessons learned were reflected in the design of the
DND/CF CMS, particularly in relation to involving stake-
US Postal Service holders and designing guiding principles early in the process.
Brown and Root, Inc. As well, models or flow charts were outlined for most of the
organizations, which served to provide a “picture” of those
Hughes Electronics Corp.
organizations. This tool was subsequently used at DND/CF
Polaroid Corp. and was received very well.
Rockwell International Corp. The benchmarking process was not restricted to the early
phase of the project at DND/CF. It was an ongoing process.
TRW Inc.
This was based on the premise that the DND/CF initiative
Walter Reed Army Medical Center was iterative in nature and learning from best practices
Seattle Interagency ADR Consortium would be a continuous process.
Although it was useful to review systems in private sector

organizations, for DND/CF purposes public sector organiza-
tions provided the most relevant models for examination.
INTERNATIONAL—PROFESSIONAL
ASSOCIATIONS
RESEARCHING PROFESSIONAL
A S S O C I AT I O N S F O R G U I D E L I N E S
A N D S TA N DA R D S
As well as reviewing a number of organizations’ systems design
initiatives, we conducted background research on work that
had been published by various ADR professional associations.
The following organizations were of particular assistance:
Society of Professionals in Dispute Resolution (SPIDR),
which is now the Association for Conflict Resolution
(ACR) (www.acresolution.org)
18 P A T H W A Y S
how they interrelate to form a cycle. For example,
training creates an understanding of the advan-
C H A P T E R 3 tages of ADR, which often prompts participants

to request an intervention. The conduct of several
successful interventions may lead to a system design
initiative that would enable the organization to devel-
op an internal capacity to resolve disputes. The system
GETTING design initiative may, in turn, lead to further training to
enhance employee skills and aptitudes to prevent conflict
GOING or resolve it themselves. And so the cycle continues.
This interrelationship may be even more pronounced when
elements are directly linked. I have, for example, used training
as an intervention. In one instance I was asked to intervene
when the land claims negotiations between an Aboriginal
group and the federal government broke down. They would-
n’t even talk to each other. While the Aboriginal group, as
advised by their legal counsel, had no interest in pursuing
the negotiation any further, they did agree to participate in
a “training workshop.”
THE ADR BUSINESS
“TRIAD”— A I presented the workshop to the Aboriginal group, their
SYSTEMS APPROACH lawyers and the federal negotiators. My goal was to get
them communicating constructively and to explore several
The use of ADR processes as a means of
interest-based and collaborative processes they might use to
addressing conflicts has grown significantly,
approach their own negotiations. By the end of the workshop,
due in large part to court-connected initia-
participants had reopened their land claim negotiations.
tives (introduced over the past few years in
They adopted a process that, over the next several months,
provinces such as Ontario) that require media-
led to a satisfactory settlement. In this case the training was
tion for most civil litigation cases. As a result, the majority
really a group intervention.
of private sector ADR practitioners are lawyers, who provide
intervention (mediation) services, often dealing with civil The interrelationship may be depicted as a triangle, which
litigation and family law cases. I call the ADR Business Triad:
Some practitioners, however, focus on workplace ADR.
Though their practices may include actual interventions, ADR Business Triad
some are also extensively involved in training activities. These
professionals often provide conflict management, negotiation System Design
or mediation courses for those organizations wishing to
enhance ADR skills.
A very small, specialized group of practitioners are involved
in the field of ADR systems design, which focuses on the
institutionalization of ADR policies, procedures and behav-
iours in the organization. Interest- and rights-based processes
are integrated to form a comprehensive system. This is similar
to an organization development function, where change in
organizational culture may be an important factor.
Individuals establishing a conflict management program Training Interventions/
should have an appreciation and understanding of these three Mediation
elements—interventions, training and system design—and
C H A P T E R 3
GETTING GOING 19
MAKE OR BUY? External Provision of Services: This involves contracting
As noted above, there is currently a dearth of qualified with external individuals or organizations to provide the
ADR/CMS design specialists, so it is rare to find this capacity bulk of services necessary to meet program requirements.
within an organization. This begs the question: What work Combination of Internal and External Provision of
will be done by individuals employed within the organiza- Services: This combination of make-and-buy approaches
tion? What work will be done by contracted external service involves a small internal resource base of knowledgeable
providers? In other words, should we “make it” ourselves or individuals, complemented by external assistance as
“buy it” from external providers? required.
Organizations must address this key question early in the The primary advantages and disadvantages of each of these
project. Examining the pros and cons of the three basic options are summarized in the table below; however, some
options will help determine what and how much. organizations may wish to add factors that reflect their own,
Internal Provision of Services: This involves the use specific needs.
of existing individuals or the hiring of individuals who
become employees of the organization.
OPTION ADVANTAGES DISADVANTAGES
Internal Permits organization to build internal capacity Is expensive—particularly in the short term.
provision and resolve issues from within.
Is prone to “ownership” battles.
of services
Sends message of “importance” of the initiative.
Confidentiality, neutrality and impartiality may
Is more likely to provide an understanding of be (or appear to be) compromised.
unique corporate culture and to convey this
Required knowledge, skills and experience may
perception to users.
not be available.
Helps promote long-term behavioural change.
Provides less flexibility for the department.
Provides greater control.
External Is more cost-effective, especially in the May be seen as an “outsider.”

provision short run.
Provides less opportunity to build internal
of services
Provides greater flexibility to the organization. capacity, which may lead to greater long-term
costs.
Provides a choice of experts with required
skills, knowledge and experience. Diminishes likelihood of promoting long-term
behavioural change.
Provides enhanced confidentiality, neutrality
and impartiality (or at least the perception Contracting process may be long and onerous.
thereof).
Coordination can be problematic.
Avoids “empire building” or ownership battles.
Contracting delays may compromise timely
Allows several external providers to work access to expertise.
simultaneously on project components.
Combination Provides greatest flexibility in system

of internal and design process.
external provision
Accommodates acquisition and retention of
of services
internal capacity, while still allowing access
to necessary expertise.
20 P A T H W A Y S
An organization’s culture, needs and goals will be key to conflict resolution theory, principles and methods as
determining which option is best for them. For example, the they apply to the various conflict resolution mechanisms
internal provision-of-services option may be most practical typically part of conflict management systems?
when highly specialized organizations have difficulty finding
best practices in conflict management systems design?
qualified “outsiders” who can understand their needs, or the
organization’s culture is such that there would be resistance Skills:
to having someone from the outside come in to do the work. Can the consultant:
The make-or-buy decision will ultimately be a function of advise on and/or manage organizational change?
the nature and extent of the work to be conducted and the
internal human and financial resources of the organization. conduct a needs assessment?
Most organizations elect the combination approach. design and conduct adult training?
design and conduct assessment and evaluation of
program implementation?
CONTRACTING FOR SERVICES
facilitate groups and build consensus?
Most organizations will contract out for at least some system
design services. design a conflict management system or lead the
design process?
That said, the field of CMS design is relatively new and highly
specialized. There are numerous approaches that can be work collaboratively?
taken—some more effective than others. Professional standards assess the decision-making centres in an organization
in this field can be quite flexible—even vague—and profession- and gain the support and co-operation of the key
als offering services vary significantly in terms of approach, decision makers?
experience and capability. Furthermore, many very competent
professionals, while knowledgeable and capable, may have a design and implement communication strategies
style that is incompatible with the organization’s culture. within organizations?
understand the organization’s culture and work
appropriately in that context?
KEY COMPETENCIES OF CMS DESIGNERS
The Association for Conflict Resolution has identified and identify and incorporate reinforcement mechanisms
published what many consider the key competencies required into the change process?
of CMS design consultants. These relate to knowledge and
relate to diverse groups of persons?
skills, which are important in the process. The following check-
list will assist in assessing consultants under consideration: identify interest-based, rights-based and power-based
processes that are in place at the time of the system
design and integrate these into a CMS appropriately?
CHECKLIST
demonstrate strong interpersonal and communication skills?
Knowledge:
Does the consultant possess knowledge of:
THE REQUEST FOR PROPOSAL FOR THE CMS
laws and regulations that have an impact on conflict DESIGN PROJECT
management and on organizational functioning in areas To ensure the organization is well served, it is important to
related to conflict management? define, in detail, exactly what qualities and expertise are
the dynamics of organizational change? required and what deliverables are expected. In a public
sector environment, a request for proposal (RFP) that con-
the design and practice of workplace training, including forms to PWGSC guidelines, coupled with an appropriate
adult learning theory? evaluation tool, is essential.
C H A P T E R 3
GETTING GOING 21
Design of pilot projects: Contractors should outline their phi-
KEY LEARNING
losophy and approach to designing new, integrated programs
PLAN FOR THE CONTRACTING and to modifying existing projects as required. Contractors
OF SERVICES AND STANDING must also specify how needs assessment would be done and
OFFERS WELL IN ADVANCE describe who would be involved in pilot project design.
Organizations designing conflict management Communications and publicity: Contractors must
systems will need to avail themselves of consulting demonstrate the capability to develop a national level
services for certain components of the design and communications plan that includes activities and methods
training process. Build this requirement into the
for implementing the project. The contractor should also be
design process. It often takes several months to
able to assist stakeholders in developing their own specific
complete a comprehensive competitive contracting
process in accordance with the Department of Public communications plans.
Works and Government Services guidelines. This Select case mediations: Contractors must describe their
being the case, it is useful to create a comprehensive approach to conducting select case mediations and demon-
contract with the option of drawing upon certain strate a clear understanding of their role and importance.
components as required.
The creation of standing offers is particularly useful. Implementation plan for the CMS design: The proposal
It takes time but is well worth it. should specify timings, resource requirements, methods of
implementation and follow-up activities for the rollout of
the system, including a transition plan for handover to the
organization. Contractors must also demonstrate an under-
standing of change management and CMS design principles.
Over the years I have received numerous inquiries, from agen-
cies contemplating the contracting process, as to what should Training and education plan: Contractors need to indicate
and should not be included in an RFP. There is no simple how training would be conducted and managed, in accor-
answer, as each organization has its own, unique needs. dance with the organization’s training standards, for the
pre-implementation phase and pilot projects. The RFP
The following RFP description highlights, in some detail, the need not include requirements for direct delivery of training
key elements that need to be considered. It reflects the think- programs; however, it should identify target populations and
ing, concepts and requirements that went into the writing of the training required to address their needs.
the RFP used by DND/CF in the fall of 1998 and is consistent
with the requirements most public sector organizations Transition plan: Contractors must provide a detailed transi-
undertaking a system design process may want to consider. tion plan to enable the organization to assume responsibility
The completed DND/CF document shows how these notions for management of the project. This plan should include
were articulated and appears in its entirety in the CMS Tool timelines, methodology, communications and proposals for
Kit as Tool 1. transition or follow-up assistance as required. To address
attrition concerns, the plan must accommodate renewal
of conflict management skills and knowledge.
REQUEST FOR PROPOSAL Best practices: As part of the proposal, contractors
S TAT E M E N T O F W O R K must include a plan for gathering and analyzing relevant
The contractor is expected to articulate the proposed best practices.
approach (including timelines, resources and concepts) to
Administration and professional conduct: Contractors
the following areas of work. These are rated requirements.
must demonstrate their professionalism and administrative
Overall approach: Contractors must demonstrate an under- capabilities (e.g. reliability, timeliness, company competence).
standing of the work objectives, the intended end product
Project evaluation: Contractors must demonstrate how they
and the role of the system designer (including a willingness
plan to evaluate the success of the CMS. This plan should
to work in a co-operative, collaborative manner with stake-
include: when the plan would be developed, a general
holders). Also required is a demonstrated understanding
description of objectives to be measured, and the framework
of current approaches necessary to facilitate an effective
to be used.
and efficient CMS.
22 P A T H W A Y S
DELIVERABLES Capability to work in both official languages at a level
The above statement of work suggests some key deliverables equal to a Public Service Commission rating of CCC;
expected of the successful bidding contractor. While they
Experience in working with and implementing
are addressed within the above elements, it is important to
conflict management-oriented programs in large,
reframe them explicitly as deliverables. For example, the
complex organizations;
deliverables that might be extracted from the paragraph
related to “implementation plan for the CMS design” could Knowledge and experience with conflict management
be reframed as a “deliverable” to read… techniques and concepts;
Implementation plan: A detailed plan for the organization- Professional and personal qualifications that satisfy
wide implementation of the CMS should address timelines, the range of job requirements and activities implicit
resources, objectives and coordination with key stakeholders. in this project;
It must also cover proposals for inclusion and support of Excellence in presentation and communication skills,
existing and future pilot projects and related initiatives. As including the capability to address large audiences and
well, it ought to clearly show the business and cost impacts groups of very senior managers;
of various options.
Experience in training analysis, design, development,
This type of reframing should be done for all relevant ele- implementation, standards and evaluation and a knowl-
ments outlined above, including: training plan, communica- edge of sources of conflict management training across
tions plan, best practices review report, evaluation plan, and the country and internationally;
select case mediation plan.
Capability to provide hands-on and detailed administrative
Examples of other deliverables might include: support to the project, including managing a project
Project management plan: Contractors must submit an management office in partnership with departmental staff
initial detailed project management plan and regular updates and financial and project management;
that tie all project activities together and permit monitoring Availability for travel;
of key milestones and critical activities.
Excellent interpersonal and group skills, including
Reports: Contractors must submit regular written status discussion leader, facilitation skills and consensus
reports, at a minimum every month. Other reports are also decision making;
required periodically in the form of briefing notes, oral
presentations or ad hoc narratives. Meetings between Understanding of concepts inherent to cultural transforma-
contractors and the organization’s coordinator would be tion and organizational learning that would be applicable in
arranged on a mutually agreeable basis, as necessary. assisting with such change in the organization;
Resource inventory: The contractor must submit an Clear, long-term vision that will assist in formulating both
inventory of resources (materiel and human), used in a transition plan and a method to institutionalize the CMS
conflict management system design and training in negotia- within the organization; and
tion, mediation and conflict management. Inclusion of at least three senior-level references, of which
at least two must be from the public sector.
M A N DATO RY R E Q U I R E M E N T S
It is the bidder’s responsibility to provide sufficient E VA L UAT I O N C R I T E R I A
information to demonstrate that all mandatory conditions, All valid RFPs will be evaluated on a scale of 100, based on
as described below, are met: the contractor’s ability to demonstrate an effective, viable
High level of knowledge of the organization, its structure, approach that reflects the requirements outlined in the
culture and mandate; statement of work.
Familiarity with problems and pressures currently facing Proposals must include a chart demonstrating the break-
the Department; down of activities and how much time and money will
be dedicated to each.
C H A P T E R 3
GETTING GOING 23
PRICE POSITIONING THE CMS
The RFP indicates that the contract, if awarded, would INITIATIVE WITHIN THE
be awarded at $X to the bidder with the highest number ORGANIZATION
of points out of 100. Because the establishment of CMSs is a new area for many
The bidder must determine the number of person days public sector organizations, there is often uncertainty as to
required to do the job. where it should be located in the organization, at what level,
what titles might be used, how the duties can be described
The submission should identify proposed milestone
and how the position should be staffed.
payments.
S TA F F I N G T H E P O S I T I O N
E VA L UAT I O N
Finding the right person to design, lead and develop a CMS
Once it is determined that all mandatory requirements of
initiative is key to its success. Aside from the competencies
the RFP are met, the proposals must be assessed and scored.
normally required of executive leaders, this individual should
An evaluation grid that attributes weighted point values to
also have significant knowledge and experience related to the:
specific criteria articulated in the statement of work require-
ments is a valuable tool. design, implementation and coordination of a conflict
resolution system;
The template I developed is applicable in many situations and
can be modified to suit the organization’s specific needs. A delivery of training and development;
copy of the Scoring of Contractor Approach to Statement of application of conflict resolution, interest-based negotia-
Work Requirements was included as Annex A in the DND/CF tion, mediation and arbitration processes;
RFP, which can be found in the CMS Tool Kit as Tool 1.
coordination of broad conflict management policy issues
and the communication programs associated with those
KEY LEARNING issues; and
financial, materiel and human resources management.
ESTABLISH CLEAR RFP
REQUIREMENTS AND The ability to build consensus among disparate groups and
EVALUATION CRITERIA; individuals is also key.
PLAN FOR THE PROCESS
TO TAKE LONGER THAN
YOU INITIALLY EXPECT A TERM OR A PERMANENT POSITION?
It is important to be very clear with potential Different leadership and managerial attributes are often
contractors concerning the nature of the work, the required at different phases of major undertakings of this
deliverables and how the proposals will be evaluated. type. The skills required to “sell,” design, initiate and test a
An objective selection team, made up of at least CMS can be different from those required to maintain the
three individuals, should review and rate proposals. program once it has been established. Recognizing this, it
Check with PWGSC contracting authorities for advice can be advantageous to view the establishment of a CMS
throughout the process. in two phases: the project phase and the program phase.
Note that although the contracting process can be
complicated and time-consuming, it can also be very The first phase can take two to four years to complete,
useful in helping you reflect upon project needs in an depending on the size, complexity, culture, etc. of the organi-
objective, systematic and disciplined manner. zation. Consequently, the individual chosen to lead this phase
need not be hired on a “permanent” or “indeterminate” basis.
Indeed, there may be significant benefits to making this a
term position.
24 P A T H W A Y S
With the incumbent as a “term,” the potential cynicism KEY LEARNING
(inherent in any new venture of this type) around perceived
“ownership” or “empire-building” can be diffused. Since REPORTING RESPONSIBILITY
there is no concern over “vested interest,” the acceptance of SHOULD BE AT A SENIOR
the individual as someone committed to the development LEVEL
of a viable and appropriate program is strengthened. Ensure a high enough reporting level, particularly
during the developmental phase of the initiative.
This will not only facilitate the operational
KEY LEARNING exigencies related to the task, but also will also
bolster credibility and confidence in both the
SYSTEM DESIGN MAY REQUIRE leader and the initiative.
DIFFERENT SKILLS FROM
ONGOING OPERATIONS
The person(s) tasked to develop or design the
dispute resolution system is not necessarily the
best person(s) to manage the program once it is in T H E R E P O RT I N G R E L AT I O N S H I P …
ARM’S-LENGTH? WELL, SORT OF…
place. Build in flexibility to transition from the devel-
opmental function to the operational requirements. The credibility of a CMS is based upon the perceived objec-
tivity and neutrality of the unit responsible for the provision
Using a term employee or contracting with an
of services. No unit or individual can be 100 percent neutral
external system designer for the developmental
or impartial. The source of funding, or the direct reporting
phase may accomplish this.
relationship, may have a subtle underlying influence.
The greatest degree of neutrality will usually come with an
ADR organization external to the department and this option
should be given serious consideration. The advantages and
T H E R E P O RT I N G R E L AT I O N S H I P — disadvantages are similar to those that come into play when
AT W H AT L E V E L ?
It is important to establish a reporting relationship at the evaluating the make-or-buy decision outlined earlier in
highest possible level within the organization. However, while this chapter.
reporting to a DM might be ideal, it may not be feasible. A
reporting relationship at the ADM-equivalent level is usually
KEY LEARNING
more than adequate.
There are several reasons for establishing this reporting PERCEPTION OF INDEPEND-
relationship at a high level: ENCE, IMPARTIALITY AND
NEUTRALITY OF THE SERVICE
It demonstrates to others in the organization that senior PROVIDER IS CRITICAL
management recognizes the importance of the initiative The perception of independence and neutrality on the
and supports it. part of the conflict management office is important
It keeps the initiative from getting “lost” among to build trust among users. Situating the office in
competing priorities. an “arm’s-length” relationship with the organization
and practising behaviours that support the impartiality
It ensures the appropriate decision-making authority and neutrality of the office can enhance this.
is in place to deal with specific issues and cases in a When DND/CF initially established its project, there
timely manner. was no suitable arm’s-length external agency or
Some federal departments exploring ADR possibilities have organization to provide the necessary ongoing
services. This situation is changing and system
had to struggle to gain acceptance among stakeholders and
designers should give serious consideration to
employees, partially as result of not having the responsible
these options.
official at a senior enough level.
C H A P T E R 3
GETTING GOING 25
Choosing an internal approach to establishing a CMS ADR’s roots stem from alternative approaches to the adju-
may result in a perception that neutrality, confidentiality dicative, rights-based approaches used by courts, tribunals
and impartiality are subject to compromise. Having the and review boards. These rights-based approaches have
project leader report directly to the organization’s senior traditionally been the domain of legal professionals. This has
management may further encourage this perception. been the case in issues relating to workplace, commercial and
procurement s leading to litigation and related court action.
It is therefore important to establish an arm’s-length relationship
between the program and the organization. This may not be It is worth having a look at the impetus behind the advance-
possible structurally, but operationally there are some things that ment of ADR in government organizations in the United
can be done. For example, at DND/CF the Conflict Management States and Canada to see how these roots have influenced
Office was permitted to avoid involvement in some of the corpo- ADR “ownership” in public sector organizations.
rate or broad human resources (HR) activities in which other
operational units were expected to participate. Its offices were
intentionally located away from the DND/CF headquarters THE AMERICAN EXPERIENCE
offices. As well, the Office was upfront in explaining its reporting In the United States the Administrative Dispute Resolution Act
relationship and mode of operation to clients wishing to avail of 1996 required every executive agency to:
themselves of ADR services. The progressive views of the ADMs,
and their recognition that it was in both DND/CF’s and the designate a senior official as the dispute resolution
employees’/members’ best interests to allow the Conflict specialist of the agency;
Management Office to operate with some independence and in provide for training on a regular basis;
as impartial a manner as possible, resulted in a level of trust
toward the Office which was critical to its success. adopt an official ADR policy; and
review each of its standard contract agreements to
encourage the use of ADR.
WHO ASSUMES RESPONSIBILITY FOR THE
ADR FUNCTION? WHO “OWNS”IT? In 1998 the US Congress passed the Alternative Dispute
Organizations considering an ADR program are challenged Resolution Act, which required every district court in the
with determining where responsibility for the program country to devise and implement its own ADR program
should be placed within the organization. Who “owns” it? and to require that litigants in all civil cases consider the use
Far too often the answer to this question is based on how of an ADR process.
the initiative evolved—its history. The divergence of views On May 1, 1998, President Clinton sent a memorandum to
around this is often found between the legal services function the heads of executive departments and agencies. In it he stat-
and the human resources function. ed that, as part of an effort to make the federal government
operate more efficiently and effectively and to encourage the
consensual resolution of disputes (including the prevention
KEY LEARNING and avoidance of disputes), each federal agency must promote
greater use of:
EVERYONE IN THE
ORGANIZATION “OWNS” mediation, arbitration, early neutral evaluation, agency
THE SYSTEM ombuds and other alternative dispute resolution tech-
A good CMS should not be perceived as being niques; and
“owned” by any single organizational unit. Everyone negotiated rulemaking.
in the organization owns it.
The President further directed that an Alternative Dispute
While it can be situated with the human resources
Resolution Working Group, consisting of the Cabinet depart-
or legal services unit for administrative purposes, a
good CMS is “organic” in nature and is recognized as ments and, as determined by the Attorney General, agencies
being there for everyone in the organization, includ- with a significant interest in dispute resolution, be convened
ing the unions, employees and managers and, in the and designated as the interagency committee to facilitate and
case of DND/CF, the military contingent as well. Its encourage agency use of ADR.
ultimate manifestation is reflected in the behaviours
of all employees.
26 P A T H W A Y S
The working group was composed of representatives of the directives issued by it, every deputy head in the core public
heads of all participating agencies. It met as a whole or in administration must, in consultation with the bargaining
subgroups of agencies with an interest in particular issues agents representing employees in the portion of the core
or subject areas, such as disputes involving personnel, public administration for which he or she is deputy head,
procurement and claims. The Attorney General convened establish an informal conflict management system and
the group and designated a representative to convene and inform the employees in that portion of its availability.”
facilitate meetings of the subgroups. The Director of the
In this context “informal management system” refers to a
Office of Management and Budget periodically advised the
systematic approach to the prevention, management and
President on the group’s activities.
resolution of conflict through the use of ADR and other
The working group facilitated and provided coordination interest-based, collaborative processes in lieu of power- or
for agencies in such areas as: rights-based processes.
development of programs that employed ADR; Individual departments and agencies, recognizing the poten-
tial value of ADR in addressing workplace disputes such
training of agency personnel to recognize when and how
as grievances, harassment complaints and human rights
to use ADR;
complaints, initiated their own processes. The RCMP, Food
development of procedures that permitted agencies to Inspection Agency, CCRA and Parks Canada initiated ADR
obtain the services of neutrals quickly; and programs around workplace issues. As a result, human
record keeping to ascertain the benefits of ADR. resources practitioners tended to assume ownership of
the ADR function.
Federal executive agencies in the US currently dedicate over
400 full-time positions and $40 million each year to ADR.
All agencies have a senior official designated as their dispute A COLLABORATIVE APPROACH
resolution specialist, typically at the senior executive service TO SYSTEM DESIGN
level or higher.
As noted above, a successful CMS responds to the needs of
When the US Department of Justice ADR program began in all the organization’s members and is seen as belonging to
1996, the Department was using ADR in about 500 cases per everyone in that organization. The easiest and most effective
year. By 2002 it was using ADR in 3,000 cases a year. The way to achieve this is to seek out the input, advice and
Associate Attorney General, in April 2002, stated, “This pro- involvement of key stakeholders.
gram is helping transform the culture of the Department.”
Creating a conflict management project steering/advisory
Given the leadership role the Attorney General’s Office and group, with representatives from all key sectors of the
the US Department of Justice have played in advancing the organization, is an effective way to facilitate this. Bringing in
use of ADR in the US, a sense of ADR “ownership” by legal legal and human resources practitioners, management, union
practitioners in US government agencies is prevalent. representatives, etc. will ensure that a broad range of voices
and opinions are heard and that the needs of each group are
considered. Furthermore, their involvement and input will
THE CANADIAN EXPERIENCE promote a sense of ownership and will prompt them to
In Canada there is no ADR Act or similarly empowered encourage support from the groups they represent.
interagency working group to advance ADR usage among While the makeup of such a steering group may be different
government agencies. The Department of Justice has periodi- from one organization to the next (depending on structure
cally played a coordinating role, although not nearly to the and culture), the value of such a group should not be
same extent as its US counterpart. underestimated.
The Public Service Modernization Act (Bill C-25) does, however,
refer to conflict management (paragraph 207). It states,
“Subject to any policies established by the employer or any
C H A P T E R 3
GETTING GOING 27
ALIGNMENT WITH CORPORATE
KEY LEARNING
CULTURE AND CORE VALUES
HAVE MEANINGFUL STAKE- In order for a CMS to be accepted and integrated into the
HOLDER CONSULTATION day-to-day operations of an organization, the initiative
AND, IN PARTICULAR, UNION must be aligned with key principles governing the corporate
INVOLVEMENT culture and values of the organization. Furthermore,
It is important to have a structured forum to consult processes and leadership style must be congruent with
with stakeholders and develop consensus around the organization’s norms and behaviours.
how the project should proceed.
It is therefore important to determine what those elements
Broad and meaningful union representation is
particularly important; one should give serious are. This may be done, in part, by examining the mandate,
consideration to proceeding without this input. mission, vision and ethical standards of the organization.
These are usually published in the seminal documents and
It is critical that all stakeholders be clear about their
key communications produced by the organization and can
role, particularly in relation to whether the body is
advisory or has a broader decision-making authority. be found in policy documents, regulations, annual reports,
Web sites, etc. These statements reflect, either directly or
indirectly, the cultural and ethical behaviours that drive
the organization.
Having the steering group identify and articulate its mandate, While each organization will have articulated its own
roles and responsibilities will not only help to establish a principles, those in a public sector environment will also
common ground among members, but will also promote a adhere to principles emanating from central agencies and
collaborative approach. from the goals of the federal government. These can be found
in Treasury Board regulations, legislation, the annual Speech
from the Throne, and so on. Though these principles and
KEY LEARNING those of the individual departments may not be identical,
they are almost always complementary.
TRAIN STEERING/ADVISORY For example, DND/CF has developed its own statement
COMMITTEE IN EARLY PHASE of ethics. It is compatible with and complementary to the
OF PROJECT
Treasury Board policy on ethics in the Public Service, while
It is useful to have a workshop or training session simultaneously reflecting the unique characteristics that
with all the members of any project steering/advisory define the Department. This type of alignment is key to
committee early in its mandate. This creates a
the success of any program.
common understanding among diverse committee
members regarding their roles and mandates. It Similarly, when designing a CMS it is important to align its
also permits members to interact with each other principles and processes with the broader values, ethics and
constructively, as a team, and to form positive inter- behaviours of the organization.
personal relationships before proceeding with the
task at hand. This is especially important when
union and management officials are represented. KEY LEARNING
One of the first workshop tasks is to help prepare a
set of guiding principles for the conflict management PROGRAM VALUES AND
system. This is one of the most important elements PRINCIPLES SHOULD
in the system design process. It is essential to get it SUPPORT CORPORATE
right because it determines the future direction of CORE VALUES AND ETHICS
the entire initiative. There are broad corporate values, norms and
behaviours which should be not only supported by
conflict management programs and principles, but
also reinforced and enhanced by such initiatives. It
is important to ensure that the respective policies
and procedures are aligned.
28 P A T H W A Y S
THE DND/CF EXPERIENCE THE EXECUTIVE DIRECTOR
THE COMPLEXITY OF THE CHALLENGE CONFLICT MANAGEMENT
To say that DND/CF is a complex organization is a gross In the spring of 1998 DND began staffing action for
understatement. The Program was to serve, directly and Executive Director Conflict Management at the EX-3 level
indirectly, approximately 176,000 individuals. To develop with a competition notice that described the required duties
and institutionalize a fully integrated dispute resolution and experience. The notice appears in the CMS Tool Kit as
system covering all 58,000 Regular Force army, air force Tool 2.
and navy members; 30,000 Primary Reserve members;
70,000 cadets and rangers; and 18,000 civilians, across At the outset DND built in the expectation and capacity to
Canada and in operations abroad, was, to say the least, “pass the torch” from the “developmental official” to the “oper-
daunting. To the best knowledge of the broad base of ADR ational official.” EDCM was established as a three-year civilian
practitioners with whom I consulted, nothing of this scope, term position. At the end of the three years, requirements were
ambition or complexity had previously been attempted, or to be reviewed with the expectation that any permanent office
has since been attempted, in North America or abroad. would likely be headed at the director general level.
Adding to this were the following factors: The rationale for this was that the program development
The legislation and terms and conditions governing function required a more senior official to originate, test and
employment in DND/CF were different for military “sell” what might be perceived as somewhat unconventional,
members and civilians. In many instances civilians innovative approaches for a hierarchical organization like
worked under the direct supervision of military DND. It would also serve to generate project and subsequent
personnel and vice versa. program acceptance. Once the initiative was developed and
fully operational as a program, a director general, at an EX-2
The legal frameworks for military and civilian personnel level, would be most appropriate.
were different. The Code of Service Discipline in the
National Defence Act is at the heart of Canadian military EDCM, as an organizational unit within DND/CF, was allowed
justice. The military law and justice system, including insti- a unique degree of independence and operational flexibility.
tutions such as the Office of the Judge Advocate General Structurally, it was not an “arm’s-length” organization during
(JAG), the Military Police and the Military Police the development phase of the Project, but operationally it was
Complaints Commission, all added a unique dimension. as close to being one as possible.
Policies around grievances, harassment complaints and the

various redress processes were different for military and GETTING GOING
civilian personnel. It is interesting to note that DND/CF, made up primarily of
military personnel, elected to use a civilian employee to head
There were unique characteristics and cultures among the
up the Conflict Management Project. This may have been a
army, air force and navy, not to mention civilian groups.
function of ADR being a new field with few experienced
Twelve different unions represented civilian interests, with practitioners.
the Union of National Defence Employees (UNDE) being
One may legitimately have expected resistance or suspicion on
by far the largest.
the part of some military personnel. This was not my experi-
There was skepticism as to whether ADR could (or should) ence. Two factors helped mitigate this potential problem.
work in a military command-and-control organization of
The task of getting the project going was, in the early stages,
this type and whether it would undermine or diminish the
assigned to a major-general who had high credibility among
authority of the chain of command.
his peers. When I assumed my responsibilities as the EDCM,
The geographic dispersion of DND/CF members within he and I jointly made the key presentations and briefings to
Canada and around the world further complicated matters. senior officers. His advice and guidance were important in
ensuring that a neophyte in the military world did not make
New organizations such as the Canadian Forces Grievance
critical errors in judgment about “how things worked” in a
Board and the Office of the Ombudsman, with mandates
military setting.
under development, were being established at the same time.
C H A P T E R 3
GETTING GOING 29
In the longer term, after personal credibility was established, S TA K E H O L D E R I N V O LV E M E N T
being a civilian in a military environment had some substantial In response to the early interest in ADR on the part of
advantages, particularly when it came to perceived neutrality as the Armed Forces Council in February 1998, a meeting of
a result of not being within the military chain of command. internal stakeholders and interested parties was organized
to discuss ADR applications, including guiding principles
Periodic tensions are inherent in any organization composed
for the conduct of interventions and training standards.
of a predominately military presence supported by civilians.
All environmental commands and human resources staff
Naturally, the question arose as to where in the organization
units were represented. An expanded Conflict Management
the Program should be located.
Working Group became the nucleus of the Conflict
DND/CF chose to attach the ADR function to the human Management Project Steering Committee.
resources organizational units. For a workplace ADR system,
this is a reasonable “location” and works well. There is at the
same time a very close working relationship with the Legal THE CONFLICT MANAGEMENT PROJECT
STEERING COMMITTEE
Services and Judge Advocate General’s Offices to ensure that
EDCM held the view that stakeholder buy-in was critical
the appropriate legal interests are accommodated.
to ensuring broad-based “ownership” of the system and an
DND/CF has two Assistant Deputy Ministers responsible for inclusive, collaborative approach would be the best way to
the human resources function: ADM(HR-Mil) (for military proceed. More importantly, creating the best possible pro-
requirements) and ADM(HR-Civ) (for civilian requirements). gram could be achieved only through advice and input from
EDCM reported to both ADMs jointly. This dual reporting all stakeholders. For this reason the Steering Committee was
responsibility provided some comfort to both the military made up of approximately 25 members, with representation
and civilian components of the organization and, at the same from the key unions (including UNDE, the Professional
time, reflected the integrated nature of the initiative. Both Institute of the Public Service of Canada [PIPS] and the
ADMs were involved in staffing the EDCM position, estab- International Brotherhood of Electrical Workers [IBEW]),
lishing objectives and priorities, and annual performance all environmental commands, Office of the Ombudsman,
evaluation review. DND/CF Ethics Office, Legal Services, Judge Advocate
One might expect that this dual reporting relationship would General, Employee Relations, Chief Review Services,
be a source of problems, particularly for a new program. The Canadian Forces Grievance Board, pilot site representatives
exact opposite was the case. The initiative was, and continues and any other offices having a direct interest.
to be, strengthened by this relationship. While it required At one of its earliest meetings, a consultant presented a one-
somewhat more coordination among the parties, the ability to day ADR design workshop to the Committee, to familiarize
access directly both the military and civilian arms at a senior its members with ADR principles and processes. This was key
level when an issue arose was critical. As well, the support of to establishing a common vocabulary, a common understand-
two senior officials around the senior management table was ing of ADR and a common commitment to the task at hand.
very important, particularly in the early stages of the project.
The Steering Committee created a document outlining its
DND/CF has attempted to institutionalize an “organic” pro- terms of reference. Included were sections describing its
gram-one that is broadly based, reflects the interests of all purpose, mandate, reporting relationships, responsibilities,
stakeholders and is impartial in its orientation and mode of duration and membership requirements. This document is
operation. For that reason, all stakeholders were involved in reproduced in the CMS Tool Kit as Tool 3.
its development, implementation and ongoing modification.
The Steering Committee had its first meeting in January 1999
Dispute Resolution Centres (DRCs) were established across
and remained active until the project was ready to be rolled
the country with broad representation from Regular and
out as a national program. Its last meeting was held in
Reserve Force military members (army, air force and navy)
November 2000, just before going to the Defence
and civilian employees. As well, their reporting relationships
Management Committee for program approval.
were established within their respective chains of command.
One of the Steering Committee’s key outputs was an agree-
ment on the Guiding Principles to the Conduct of Dispute
Resolution Processes. This was a seminal document that
helped define the initiative and its goals.
30 P A T H W A Y S
Since the principles articulated in the document are not
KEY LEARNING
unique to DND/CF, I have inserted a copy of it below:
GUIDING PRINCIPLES TO THE CONDUCT OF DISPUTE GUIDING PRINCIPLES ARE
RESOLUTION PROCESSES IN DND/CF
ESSENTIAL EARLY IN THE
PROGRAM
1. Conflict management can be universally accessed by Clear guiding principles act as a filter and reference
all DND/CF and Non Public Funds (NPF) employees point that will help keep the project on track.
and members. Establishing these guidelines early will also help with
planning and implementation throughout the project.
2. Conflict management must occur at the earliest possible
When you’re in the thick of things and can see only
stage in the dispute and must include the appropriate
the trees, the document can help bring the forest
authorities with the appropriate competencies. Every back into perspective.
attempt possible should be made to resolve disputes
using interest-based processes in low- to high-cost
sequence. For example, a supervisor should recommend
that a disputant use self-help methods before implement-
ing a mediation process. ALIGNMENT WITH CORE VALUES AND
DEFENCE ETHICS FRAMEWORK
3. The use of conflict management does not take away the The Steering Committee made it clear that any conflict
right to use any other form of conflict management at a management initiative, irrespective of form, would have
later date. Members and employees and their supervisors to be consistent with, and support, the values and ethical
must be aware that by using interest-based dispute resolu- standards which were core to the organization.
tion processes, they do not give up the right to use more
formal processes as necessary. A fundamental element distinguishing the Canadian Forces
from all other organizations in the public sector is the notion
4. Conflict management will conform to accepted diversity of “unlimited liability.” This phrase refers to the fact that
principles and practices. This principle will ensure that CF members are obliged to respond to lawful orders, even if
current and future mandated and legislated diversity- those orders compromise their safety. This simple notion has
related issues are not compromised. huge implications on the ethos and values of the organization
5. The chain of command is obligated to facilitate and and its members. It can be found in the subtext of many
provide awareness and training and to promote the use CF policies and also has a tremendous impact on how the
of conflict management. This principle will help empower organization functions. For example, the special importance
the chain of command in the use of dispute resolution of discipline and authority inherent in the military chain
techniques as well as foster the institutionalization of of command is directly related to the organization’s ability
those processes. to address the exigencies related to unlimited liability. The
concepts of honour and ethical behaviour are naturally
6. All parties must have access to trusted and capable elevated when life-and-death decisions are elemental to
assistance. By providing parties with this support, the the organization’s mission.
use of conflict management will be encouraged.
These principles and obligations, among others, are reflected
7. The process is confidential within the constraints of in the Statement of Defence Ethics—both explicitly and in
existing and future legislation and policy. the subtext. It reads as follows:
8. Access and provision of expert capability: This principle Principles
is to support the chain of command by ensuring that it
has access to the expertise of practitioners in the field of Respect the dignity of all persons
conflict management. This expertise may be found within Serve Canada before self
DND/CF or externally. It is intended that practitioners
will be guided by a code of ethics. Obey and support lawful authority
9. Conflict management skills and commensurate obligations

are required at all levels. This principle will promote the
institutionalization of interest-based processes.
V C H A P T E R 3
GETTING GOING 31
Obligations matters in the same way that had served it so well in the past?
Would it take into account the unique nature of the CF as
Integrity—We give precedence to ethical principles and
reflected in the CF Ethos Statement below:
obligations in our decisions and actions. We respect all ethical
obligations deriving from applicable laws and regulations. We The Canadian Forces is a military organization dedicated to
do not condone unethical conduct. the service of Canada and the defence of Canadians. It is a
volunteer institution with a proud history, built through the
Loyalty—We fulfill our commitments in a manner that best
sacrifices of the hundreds of thousands of Canadian men and
serves Canada, DND and the CF.
women who have served their country in uniform for more
Courage—We face challenges, whether physical or moral, than a century. It possesses a unique readiness and capacity
with determination and strength of character. to serve Canada, in peace and in war, at home and abroad.
Honesty—We are truthful in our decisions and actions. The men and women who make up the Forces come from all
We use resources appropriately, and in the best interests of parts of our country. Their strength is drawn from our two
the Defence mission. official languages and the many different ethnic and cultural
Fairness—We are just and equitable in our decisions and communities in Canada. They understand and respect the
actions. same values which their fellow Canadians hold dear—fairness,
integrity and respect for the rule of law.
Responsibility—We perform our tasks with competence,
diligence and dedication. We are accountable for and accept They also know that the profession of arms places special
the consequences of our decisions and actions. We place the reliance on duty, honour, loyalty, discipline, courage, dedication
welfare of others ahead of our personal interests. and teamwork, without which no military organization can
be effective.
These are the pillars of ethical behaviour at DND/CF. They
apply equally to dealings around conflict management initia- The men and women of the Canadian Forces are committed
tives in general and the mediation process in particular. to fulfilling, to the very best of their abilities, their mission
as defined by the Government of Canada. They share a
The system design process at DND/CF took into account the commitment to integrity and excellence in everything they
implications of these principles and obligations before mak- do as members of the Forces.
ing assumptions around ADR applications. Representatives
from the ethics program served on the Steering Committee They know that the unique demands of the military profession
to provide guidance and advice. can only be met through leadership and conduct based on
respect for people.
Since mediation would play an important role in any
DND/CF ADR program, mediators would also require a Members of the Canadian Forces are accountable to their
code of ethical standards to govern their behaviour. These superiors up the chain of command that leads ultimately to
would include issues around impartiality and confidentiality. the Minister and the Government of Canada. Like all who serve
It was important to ensure that no inconsistencies existed their country, their vocation as servicemen and women obliges
and that the articulated ethical principles and obligations them to act in a way that meets the highest expectations and
supported each other. standards of Canadians.
The men and women of the Canadian Forces constitute a proud
and distinctive
ALIGNMENT WITH THE CANADIAN
FORCES ETHOS community within the Canadian family. They go forth to
In consulting with the environmental commands, it was do their duty for Canada, prepared if necessary to make the
evident that any initiative of this type would be intensively ultimate sacrifice, because they are confident in the values of
“scrutinized” within the context of the CF ethos. Canadians and the purposes for which their service is rendered.
A key concern for many was how this initiative would affect
the effective functioning of the chain of command. Would it
undermine the ability of the chain of command to deal with
32 P A T H W A Y S
SERVICE—HONOUR—COMMITMENT
KEY LEARNING
We serve Canada and Canadians on the land, at sea
and in the air PRESENTING ADR AS
We take pride in our unique contribution to our country
“JUST ANOTHER TOOL”
CAN MINIMIZE CONCERNS
and its people
ABOUT THE INITIATIVE
We are committed to the peace and security of our nation The introduction of a conflict management initiative
and its allies is often seen as something new and can be perceived
as a threat to traditional roles and modes of opera-
We honour the sacrifice of those who have gone before us
tion. These anxieties can be mitigated by pointing
We are dedicated to those who will follow out that the implementation of ADR is:
EDCM approached the CF ethos and chain-of-command discretionary—individuals can still choose
issue by presenting the initiative as the offering of some new other approaches;
tools, which seem to work exceptionally well under certain merely a new tool for resolving disputes that
circumstances and which could be used by the chain at its can be added to the already existing toolbox; and
own discretion. Whether or not it would be used was the effective in many circumstances and worth a try.
choice of the individual member and very much a “try it, Characterizing ADR in this way can lead to more
see how it works” scenario. rapid acceptance by reducing the discomfort that
The high success rate of mediations and other ADR interven- normally accompanies change.
tions led to rapid acceptance of the Project. The chain of
command embraced it, because it was both effective and
within their control. This was very important at the time,
as new organizations, such as the Ombudsman’s Office
and the Canadian Forces Grievance Board, were being
established outside the domain of the chain to deal with
workplace disputes.
C H A P T E R 3
GETTING GOING 33
INCREASED AWARENESS LEADS
TO INCREASED COMMITMENT
C H A P T E R 4 In Chapter one I spoke of the need for proponents

of a CMS based on ADR to “sell” the idea to decision
makers. I chose that word because it is, in a strict
sense, accurate; but I confess I’m a bit uncomfortable
with the connotations that might be associated with it.
BUILDING Far too often we correlate the word “sell” with notions
of manipulation, disingenuousness and self-interest. I do
AWARENESS not mean to suggest any of that. Proponents of ADR are not
AND Machiavellian salesmen making fantastic claims about the
curative powers of a bogus product. They are, for the most
COMMITMENT part, committed individuals who have a significant under-
standing of the processes employed in ADR. Their experience
and knowledge have shown them that it works. They want
to share this valuable tool with others because they believe
it will benefit them and the organization as a whole.
As noted earlier, there is significant objective evidence to
GETTING BEYOND demonstrate that ADR does work and that a CMS based
APPROVAL on its precepts can contribute significantly to improving
Approval for a CMS project is an impor- conditions in the workplace. As such, making others aware
tant first step. It indicates that decision of what ADR is and how it works can be the most effective
makers are convinced the idea makes good “selling” tool available to proponents.
sense and that they feel an initial invest- Raising awareness is therefore key to gaining acceptance. As
ment is warranted. Implicit is the notion that awareness spreads, grows and deepens, so will buy-in.
that they are adequately aware of what a CMS The more familiar people become with the concepts, practices
is and what benefits it may afford the organization. and successes associated with ADR, the more committed they
Now comes the tough part—moving from approval to will become to embedding it in the organization’s culture.
commitment and from concept to concrete. The two
transformations are interrelated and both demand the input
BRIEFINGS
and involvement of key stakeholders—not just from senior
Targeted briefings can be an excellent way to generate an
management, but also from all levels of the organization.
enhanced awareness and understanding of the initiative
and to gain support for the project and related resource
SENIOR LEVEL COMMITMENT requirements. Briefing the organization’s senior managers
It is fair to assume that decision makers are aware of ADR in the very early stages of the project is key. The nature
and its advantages, but the depth of that awareness should and focus of that briefing will vary according to the specific
not be overestimated. Senior level managers will sometimes interests and concerns of the audience and the unique
approve an initiative even when they do not fully understand circumstances of the organization at the time.
how it works. Though they may have a cursory knowledge
of what ADR entails, their decision to go ahead and try it
is often based on a combination of other factors: reports of KEY LEARNING
its success in other organizations; advice from trusted and
respected sources who have a more intimate understanding; COMMUNICATE FACE-TO-FACE
and, of course, a “compelling reason,” to name just a few. Face-to-face briefings were the most effective com-
munication devices used to generate interest in and
While approval is obviously key to getting the project off the disseminate key messages about the DND/CF Conflict
ground, it should not be confused with commitment, which is Management Project.
essential to the long-term success of any major initiative.
It is therefore important to build on the initial support of senior
managers by demonstrating the value of ADR.
34 P A T H W A Y S
Later in this chapter I will outline the briefing presented to The design of a conflict management workshop will vary
the DND/CF senior management team in the early stages of according to the specific needs of the organization, the
that project. Those wishing to design their own presentations workshop participants and the time allotted. That said,
may find it a useful model. there are some key components that should be considered:
While senior managers are a key target audience, there are
also other stakeholders and communities of interest that WORKSHOP OBJECTIVES
should be targeted early in the project development process. Review key CMP elements, policies and processes.
They include union representatives, HR practitioners, folks
Enhance awareness and understanding of ADR applica-
involved in other dispute resolution processes, legal advisors
and front-line managers, among others. tions to the organization’s workplace issues.
Establish a common “vocabulary” around ADR and
the CMP.
CONFLICT MANAGEMENT WORKSHOPS
Briefings can provide a general overview of the key elements Enhance the knowledge, skills and behaviours relating
related to the conflict management project; however, they to conflict management, interest-based negotiations
are by definition brief-and by extension somewhat limited in and mediation.
scope and effectiveness. Develop a common understanding of procedures
Augmenting those briefings with tailored, one- or two-day associated with moving the CMP forward.
workshops can help deepen awareness and commitment.
Giving participants an opportunity to gain a good under-
standing of what ADR is all about and determine whether
WORKSHOP TOPICS
The organization’s CMP, including: mandate;
they are comfortable with it can help them form opinions
components; the dispute resolution system; project
as to the value and viability of the project.
update; and action plan
In most instances the knowledge and comfort gained by
ADR, including: features; nature of workplace conflict;
participants through such workshops will strengthen their
different resolution approaches; ADR continuum; ADR
support for the project.
tools; and potential benefits
KEY LEARNING Interest-based negotiation, including: defining success; the
seven key elements; getting to “yes”; preparation strategies;
PROJECT COORDINATORS communicating to influence; and negotiation guidelines
CAN LEARN AS MUCH
FROM WORKSHOPS AS THE Mediation, including: an overview; when effective;
PARTICIPANTS, BUT THE mediator roles; six phases of mediation; dealing
LESSONS MAY BE DIFFERENT with difficult situations; and applications within the
Though remote, there is always a possibility that organization’s setting
workshop participants, after having gained a deeper Going forward, including: next steps
understanding of the project, will decide they are
uncomfortable with or have strong negative views
of the project or its processes. W O R K S H O P A P P R OAC H S H O U L D E M P L OY:
Analyzing their responses will permit system Highly experiential and interactive activities
designers to take corrective action. In some cases,
Cases relevant to the organization’s reality
the project’s viability may need to be revisited.
On the surface such a result might be deemed a Frank and open discussions
failure; however, if it leads to a better, more appropri-
ate approach, there is a significant net gain.
In those rare circumstances where no viable fix
exists, it may be better to save energy and resources
by terminating the project, rather than “flogging a
dead horse.”
C H A P T E R 4
BUILDING AWARENESS AND COMMITMENT 35
WORKSHOPS FOR OTHER INTERESTED It is not merely a matter of seeking their buy-in. Their
PA RT I E S A N D S TA K E H O L D E R S experience and interest make them excellent contributors to
Workshops similar to the one described above should also the CMS design team. The questions and concerns they raise
be presented to other key stakeholders and communities of will provide key insights and highlight issues that need to be
interest. Naturally, focus and content should be adjusted to addressed. Their understanding of their membership and
suit the needs of the organization and the participants, but their communication networks throughout the organization
most components will likely remain. will also be key.
While buy-in and commitment may not be the primary
KEY LEARNING reason for enlisting union involvement, these are likely to
be by-products of their collaboration. As they learn more
WORKSHOPS WORK, BUT USE about the project, they will recognize the advantages this
THEM JUDICIOUSLY option may afford them. If given the opportunity to con-
Short workshops involving key stakeholders work tribute fully and participate in the moulding of the program,
better than traditional communications processes in they will probably assume a significant degree of ownership
getting the message out and understood. However… and will be become strong proponents of the initiative.
Workshops can be very demanding on both presen-
ters and participants. For this reason they should be
carefully targeted at the early stages of the CMP. KEY LEARNING
Where possible, key stakeholders—such as members UNION INTERESTS NEED
of the CMP steering committee and union leaders— TO BE UNDERSTOOD AND
whose early input and support are critical should WELL SERVED… A GOOD
definitely participate in a workshop. For second-tier WORKING RELATIONSHIP IS
stakeholders and communities of interest, like front- PARAMOUNT; DON’T TAKE IT
line managers and some HR practitioners, briefings FOR GRANTED—WORK AT IT
may have to suffice until a training program can be CONTINUOUSLY
developed and rolled out.
Any organization considering a conflict management
system should understand the key role unions will
play and ensure that they are involved in a compre-
hensive and meaningful manner from the outset.
ALIGNMENT WITH UNION Their views should be heard and understood.
ROLES, RESPONSIBILITIES They will be “champions” for the initiative if they
AND INTERESTS are fully involved in a transparent and collaborative
One of the core elements of a well-designed CMS is the process and see that it can add real value to their
notion of inclusion (it is there for all employees within members.
an organization) and accessibility. Cultivate a good working relationship so that problems
can be surfaced as soon as possible, discussed
In most large organizations, and particularly those in the frankly and resolved to the satisfaction of all parties.
public sector, the majority of employees are union-affiliated.
Unions usually act as bargaining agents in contract negotia-
tions and have a vested interest in ensuring that terms and
conditions governing the workplace are respected. When
workplace conflicts occur, unions are often called upon to
represent their members in the resolution of those disputes.
It is therefore critical to involve union representatives in the
introduction, development and implementation of the CMP
at a very early stage. Without their involvement, proceeding
with an organization-wide CMS would be very difficult, if
not pointless.
36 P A T H W A Y S
THE DND/CF EXPERIENCE training (ADR training to provide conflict
A month after assuming my responsibilities as EDCM in resolution skills)
August 1998, Major-General Rick Linden and I briefed the implementation
Armed Forces Council.
What the conflict management initiative is not:
The Armed Forces Council is the most senior CF committee.
not a new program
Its mandate is “to advise the Chief of the Defence Staff (CDS)
in considering broad military matters related to operations, not outside the chain of command
command, control and administration of the CF and to assist
not “imposed from above”
the CDS in reaching decisions.” It is chaired by the CDS and
includes the following members: What the CMS is:
Chief of the Defence Staff a process that involves a wide array of dispute resolution
approaches (on a continuum)
Vice Chief of the Defence Staff
a process that provides operational skills in negotiation
Deputy Chief of the Defence Staff
and mediation
Assistant Deputy Minister (Human Resources—Military)
a process that promotes behavioural change
Canadian Forces Chief Warrant Officer
A CMS design:
Chief of the Maritime Staff (CAS)
designed by users
Chief of the Land Staff (CLS)
transparent
Chief of the Air Staff (CAS)
integrated
Chief Reserves and Cadets
known and understood
Judge Advocate General—ex officio
multi-option/multi-access
The briefing was used to enhance awareness and understand-
Features of a CMS for DND/CF:
ing of the initiative and to gain support for the Project and
related resource requirements. What follows is a description authority in the chain of command should be reinforced
of the key subject areas covered in the briefing and the topics
users at all levels should be provided with a process to
covered in each:
resolve issues at the lowest possible level
The project mandate:
system should allow for the timely resolution of complaints
design and implementation of an integrated CMS
system should be accessible
for DND/CF, including the establishment of a framework
and standards for the conduct of dispute resolution system should be cost-effective
interventions system should be able to effect change
establishment of DND/CF standards for training and Some ways conflict is handled:
education related to conflict management and ADR
power-based processes
review of new/existing initiatives to ensure consistency,
avoid duplication and create enhancements where rights-based processes
appropriate interest-based processes
The CMP components: The ADR continuum (different ADR “tools”):
diagnostic/situational analysis prevention
system design (integration of new and existing dispute negotiation
resolution initiatives in a CMS)
mediation
arbitration
C H A P T E R 4
P R O J E C T U P DAT E The decision of the Defence Management Committee to
Action plan (establishing the EDCM organization): participate in an off-site two-day conflict management
workshop was one of the early defining moments for the
contracting requirements
CMP. The value of the message that was sent by DND/CF’s
diagnostic requirements senior leadership through their participation in this work-
potential pilot sites for Dispute Resolution Centres shop cannot be measured, but it was enormous!
training programs Not only did the senior management team champion the
initiative, but all its members (including the CDS; the heads
“championing” the initiative of the army, air force and navy; and the Assistant Deputy
training the management team Ministers—both military and civilian) elected to spend two
days of their time exploring the nature of workplace conflict
Organizational structure (proposed): within DND/CF, how ADR can help and how the CMP might
the EDCM and Project Director positions be structured. This participation demonstrated, by example,
the importance of the initiative to the senior officials of
Systems Design and Implementation Manager DND/CF and did a great deal to dispel the possibility of the
Training and Organization Manager project’s being seen as just another “flavour of the month.”
System Integration Manager The workshop was important in demonstrating that the CMP
was a priority for DND/CF. An often-heard comment was: “If
Communication, Consultation and Liaison Coordinator
it’s important enough for them to spend two full days on this,
support staff positions then it’s got to be important for us too.”
Resources:
The financial and human resources required over three KEY LEARNING
years, while the Project was in its “piloting” phases, were
estimated at $1.5 million and eight persons per year. HAVING A “CHAMPION”
AT THE MOST SENIOR LEVEL
The Armed Forces Council gave its full support to the pro- IS CRITICAL
posed plan of action and to a two-day training/workshop for It is clear that a project champion, at the most senior
the senior DND/CF officials on the Defence Management level, is key to the acceptance or “buy-in” of individu-
Committee. als in any organization. The CMP was fortunate to
The Defence Management Committee is the primary source have the CDS, the DM and their management team
as champions.
of direction and advice on policy and strategic defence issues.
It meets regularly to consider all management matters affect- To be truly effective, championing an initiative of this
ing the strategic direction of defence and to enable the DM type goes well beyond verbal or written declarations
and CDS to reach or coordinate decisions and advice to the of support. It includes action. The participation of
the Defence Management Committee in the two-day
Minister. It is made up of the most senior DND/CF civilian
workshop was the kind of action to which DND/CF
and military officials.
employees and members relate and respond.
Successful system designers will seek a similar level
THE DEFENCE MANAGEMENT COMMITTEE of support from the organizations with which they
CONFLICT MANAGEMENT WORKSHOP— are working.
NOVEMBER 1998
Cynicism is a common reaction to any new program. It can
be even more pronounced if an organization has been under
stress or has introduced several new initiatives within a rela-
tively short period of time, as was the case with DND/CF. So
it was not unreasonable to anticipate some reservations or
cynicism. As it turned out, I believe this was minimal, and
that which did emerge was in fact helpful and constructive
and resulted in a stronger program.
38 P A T H W A Y S
Not only was the workshop a measure of the level of support WORKSHOP OUTCOME
within the organization, it provided senior officials with the Participants considered the workshop extremely useful, and
opportunity to test their initial impressions of the Project the viability of the CMP was confirmed. The CDS, in his
against a fuller understanding of what it entailed. It gave concluding remarks, stated that many of the concepts covered
them a chance to further form their own opinions regarding were issues of leadership as much as conflict management
the viability of the Project, what ADR was all about and and pointed out that these were closely interrelated. He
whether or not they were comfortable with this. indicated that these were core competencies to the CF and
that all members should have the appropriate training.
The workshop leaders were:
With their enhanced understanding of ADR in general, and
Peter Sterne—Executive Director Conflict Management,
mediation in particular, participants were invited, upon their
DND/CF
return to the office, to provide EDCM with specific cases with
Robert Ricigliano—Executive Director, Conflict which they were dealing that might be suitable for mediation.
Management Group (CMG), Cambridge, Massachusetts, These would be tested to see if mediation would really work
and Senior Advisor to the Harvard Negotiation Project in a hierarchical command-and-control organization such
at Harvard Law School as DND/CF. This became the genesis of our Select Case
Joseph Stanford—Chairman, Board of Directors—Conflict Mediation Program, which is described in the next chapter.
Management Group (CMG) Canada, former Deputy
Solicitor General of Canada, and former Canadian WORKSHOPS FOR OTHER INTERESTED
Ambassador to Israel and concurrently Canadian High PA RT I E S A N D S TA K E H O L D E R S
Commissioner to Cyprus. As well as providing awareness training as described above,
The Conflict Management Group of Cambridge was contract- EDCM embarked upon a series of training sessions for key
ed to assist EDCM because of its reputation as a world-leading interested parties. The objective of these one- or two-day
organization in the field of conflict management. Its associa- sessions was to familiarize individuals with the CMP and to
tion with the Harvard Negotiation Project at Harvard enhance their understanding of ADR and its role in relation
University was also appealing to participants. As well, the to their current responsibilities.
organization had done extensive work around the world, Training and detailed briefing sessions were provided within
including many of the countries where the CF workshop the first year to a wide range of groups such as:
participants had previously served in operational or
union executives
peacekeeping settings.
DND Legal Services
JAG
KEY LEARNING
Employee Relations Office
HAVE A WORKSHOP
WITH MANAGEMENT TEAM Harassment Advisors
(INCLUDING SENIOR HR Regional Service Centres
UNION REPRESENTATION)
EARLY IN THE PROCESS Canadian Forces Grievance Board
Having a workshop with the management team Base Commanding Officers
has an element of risk, but if done properly it can
be invaluable. National Defence College
At the same time, system designers may wish to think Military Police Complaints Commission
about it in a strategic fashion. This involves ensuring
that the organization’s influencers are in attendance;
that there is a clear “value-added” perception on the
part of participants; and, most important, that the right
people, with a high level of credibility, are leading
the workshop.
C H A P T E R 4
BRIEFINGS bilateral meetings with their senior officials to determine
In the first year of the Project, approximately 100 briefings how and to what degree they would want to participate in
and presentations were given to internal DND/CF groups. the development and implementation of the Project. Unions
were involved in all the key planning activities. This included:
U N I O N I N V O LV E M E N T I N T H E C M P membership on the CMP Steering Committee

DND has several unions which represent its employees. membership on the Pilot Site Advisory Committees
These include:
participation in the national and regional pilot project
Union of National Defence Employees design process (and all of the facilitated design workshops
The Professional Institute of the Public Service of Canada [FDWs])
the Federal Government Dockyards Trades and Labour input through the DND/CF Union Management
Council (East) Consultation Committee
the Federal Government Dockyards Trades and Labour training programs provided by EDCM to union executive
Council (West) committees, and union members as requested
the Federal Government Dockyards Chargehands participation of union representatives in the design
Association and provision of training modules covering the union’s
interests for DND ADR practitioners
International Brotherhood of Electrical Workers,
Local 2228 participation in the design of, and involvement in, the
Select Case Mediation Program
Canadian Merchant Service Guild
ongoing consultation
Association of Public Service Financial Administrators
In many respects the success of the program for the civilian
Canadian Military Colleges Faculty Association population was a function of the support and progressive
The largest union is UNDE, which, along with the thinking of DND’s union organizations.
other unions, took a very active role in development We did not take this support for granted. At the beginning
and implementation of the Project. of the Project some unions had valid questions and concerns,
At the very outset it was determined that the Project which included:
would cover all members of DND/CF. To accomplish Will ADR affect the integrity of the collective agreements?
this, union interests would be paramount, and unless
they were well served by the initiative there would be What does this do to our traditional roles and responsibilities?
little point in proceeding. Does it affect our power to remedy injustices?
In many ways the undertaking took the form of a partnership Is this some kind of management ploy?
with the unions. As a result, they assumed a significant degree
of ownership of the Project and in many respects viewed it It was acknowledged as a guiding principle, at the outset
as “theirs.” EDCM considered its relationship with the unions of the Project, that anything relating to or directly affecting
a priority and focused on forging a strong, collaborative collective agreements would not be undertaken without
working relationship. the direct involvement and concurrence of the union(s).
This precept was built into the ADR and mediator
This relationship was established through a variety of initia- training programs.
tives. Immediately following the establishment of EDCM, I
opened communication channels with the unions and held
40 P A T H W A Y S
In relation to any perceived potential threat to traditional That support continues to be strong to this day. In 2003,
roles, most unions focused on their core mandate, which they UNDE became the first Public Service union to agree to
defined as “adding value to their members.” They saw ADR participate in a Treasury Board-sponsored initiative called
as another instrument they could use, at their discretion, to the Joint Learning Program. This pilot project involves the
“add value.” partnering of labour and management in the co-development
and co-delivery of a comprehensive ADR/interest-based
The working relationships with the unions were generally
negotiation training program.
very good; however, there were instances that tested this
relationship. In one case, for example, UNDE elected to The collaborative efforts that are part of this program are not
withdraw its support until certain perceived deficiencies were only serving to improve the CMS within DND/CF, but are
corrected. These included issues around training, mediator also forging better labour/management relationships through
qualification and mediation practices. co-operation and common interest.
Fortunately we had good communication processes in place,
which enabled EDCM to hear and understand the concerns
and take corrective action. A few months later UNDE reaf-
firmed its support.
C H A P T E R 4
turn, will give decision makers and stakeholders
the chance to see actual results. At the same time,
C H A P T E R 5 system designers and ADR practitioners can assess

how their approaches might be modified to address
any problems that might arise.
TESTING KEY LEARNING

MODELS AND TEST PROCESSES IN
REAL—LIFE ENVIRONMENTS
PROCESSES Create opportunities to test processes in real-life
situations. Use services and tools you intend to
embed in the CMS to see if they are appropriate
and effective. Ensure processes are clear and
understood, but not too rigid. Leave things open
enough to permit adjustments “on the fly.”
MOVING FROM CON-

CEPT TO CONCRETE When designing and testing a CMS based on ADR, there
As decision makers and other key stake- are two initiatives that can provide excellent feedback:
holders learn more about ADR and its Introducing a select case mediation program can be
potential benefits, their support will usually invaluable for testing and evaluating the effectiveness
increase. That said, their understanding and appropriateness of mediation interventions within
of and faith in the theories and practices your organization.
related to ADR may still not be enough to
Establishing pilot sites in diverse geographic and/or
ensure real commitment.
functional locations can help test operational and
These are pragmatic people, who have a responsibility to administrative processes.
ensure that the limited resources they control are being
Both these limited-scale pilot projects can provide exceptional
expended in an efficient and effective way. While they may
learning opportunities. The result is a CMS design that best
accept that the concepts related to a CMS based on ADR are
reflects the specific needs and culture of the organization.
sound, they will want assurances that these concepts
They can help mitigate risk while contributing to knowledge,
and practices are applicable within their own environment.
confidence and buy-in among stakeholders.
Before fully committing to an initiative, they will want to
see concrete results—proof their investment is worthwhile.
This desire for hard evidence is reasonable—and beneficial— SELECT CASE MEDIATION
not just for decision makers and stakeholders, but for hardcore PROGRAM
believers, system designers and practitioners as well. W H AT A N D W H Y
Since each organization has its own, unique culture, it Select case mediations are a sampling of representative
stands to reason that what works in other places may not disputes which are mediated by experienced mediators
work here—wherever here happens to be. It is, therefore, to determine the applicability of mediation in specific
important to build a program in iterative stages, starting situations and environments.
small and building on successes, while mitigating failures. They are particularly useful in environments where, because
By creating opportunities to test models and processes in of an organization’s corporate culture, the viability and/or
real-life situations, it will be possible to determine how well effectiveness of mediation may be in doubt. For example,
some approaches work within a specific context. This, in how well would mediation work in a command-and-control
42 P A T H W A Y S
Type of dispute: Is the case already being addressed
KEY LEARNING
through another process? How far advanced is it? Is it
YOU WON’T KNOW IF between two people or are many people involved?
MEDIATION OR OTHER Type of case: Consider the nature of the dispute. For
INTERVENTIONS WILL WORK example—Is it related to harassment, discipline, perform-
UNTIL YOU TEST THEM
ance or some other issue? Are these issues typical of the
Assumptions around the suitability of mediation in types of disputes that arise within the organization?
different situations should be tested. This should
involve as broad a range as possible of different Geography: Does location or environment have an
types of mediation situations. Be careful not to fall impact on the dispute or its resolution?
into the trap of conducting several select mediations
Learning opportunities: Do the dynamics of the case
of an identical type and drawing broader conclusions
from this. afford CMS designers and/or stakeholders a chance
to test an unknown? Are there training, coaching or
mentoring opportunities?
organization like DND/CF? Each organization will have its own special concerns
and issues of importance and these will guide the selection
of cases.
A select case mediation program can help CMS designers
and stakeholders explore:
the viability of mediation in specific settings KEY LEARNING
situations where it would be most useful and work best SHARE LEARNINGS
instances where it may be inappropriate FROM SELECT CASES
WITH COLLEAGUES
learnings from the different mediations that could be A select case mediation program is useful not only
used in the training of mediators to establish the viability of mediation, but also for
the learning that occurs from the process. It is
important to capture this learning and to share it
SELECTION CRITERIA FOR THE SELECT with other mediators in the organization.
C A S E M E D I AT I O N P R O G R A M
Cases chosen for the select case mediation program should In the system design process, ensure that mediators
include a wide range of factors and variables that are represen- capture the lessons that have emerged from their
tative of the organization—its culture, make-up and needs. experiences, reflect upon them and share them
with peers.
Try to ensure a good balance of cases affecting individuals and
issues that are typical of the organization and reflect elements
that may have an impact on conflict. Aspects that should be
considered include:
CASES
Functional groups: Take into account the differences in
Each case has its own dynamics, just as each of the parties
classification, focus, rank and community of individuals.
involved in the case has a unique personality. When selecting
Examples include labour, management, civilian, military,
cases, some of the special characteristics that may come into
and professional communities such as scientists or teach-
play during the course of the mediation may not be apparent
ers. In some organizations large functional groups may
in related files or other data.
have a focus or responsibility that sets them apart from
the rest of the organization in some way.
Diversity: This includes gender, ethnicity, religious or
racial affiliation and culture.
C H A P T E R 5
TESTING MODELS AND PROCESSES 43
KEY LEARNING S E L E C T C A S E S — M A R K E T I N G A N D B U Y- I N
Aside from helping to determine the applicability of mediation
BE PREPARED FOR ANYTHING! to different circumstances, select case mediations can also
A good mediator will be flexible enough to be able affect buy-in from senior officials and key stakeholders, like
to respond to the unexpected. unions, by demonstrating the value of the processes employed.
There is, however, a risk. It’s true that a series of successful
mediations can provide decision makers and stakeholders
with evidence that their investment is worthwhile, but what
Some surprising circumstances can arise during mediations. if the mediations are not successful?
During the Select Case Mediation Program at DND/CF, media- It is therefore important to stress, at the start, that a select
tors had to cope with a variety of unexpected situations. Here case mediation program is not intended to “confirm” the
are some rather bizarre and unconventional examples: validity of the original CMS proposals; it is, rather, a means
A senior military officer ordered the participation of dis- of assessing how, when and where the proposed processes
putants; he even ordered that a successful outcome emerge. can best be applied. Couching the program this way ensures
its success, since the goal is not necessarily the resolution of
One party stacked the process by inviting several additional the selected cases but, instead, the learning that comes out
support persons to accompany him, without informing the of the process. While successful resolution of cases cannot be
other party or mediator beforehand. guaranteed, learning from the process is inevitable.
One party brought along the family dog (to which the That said, because we know that ADR and mediation do
other party was allergic). work, there is a reasonable expectation that the program
An unplanned “sit-in” protest by disputants was held will meet with success in resolving many of the test cases.
in my office. Highlighting those successes can certainly contribute to
greater buy-in and support from stakeholders.
One party brought a hidden tape recorder.
In one instance, muffins and sticky buns were thrown
with wild abandon. KEY LEARNING
An agreement was concluded by cellphone, while crossing SELECT CASE MEDIATION

the Halifax harbour bridge (not recommended). STRATEGY IS DIRECTLY
RELATED TO BUY-IN AND
In lieu of an apology, thousands of dollars in additional PROGRAM ACCEPTANCE
damages formed part of the settlement.
A well-planned select case mediation program should
The entire mediation was conducted by telephone. include, as a strategic objective, the enhanced support
and buy-in of senior officials and stakeholders. In
During a mediation where the parties really disliked each
systems design, this is as important as testing the
other, the power went out for an extended period of time. suitability of mediation under different circumstances.
The mediation room had no windows.
One of the parties arrived in a very intoxicated state.
A good mediator expects the unexpected! And finds ways
to accommodate it!
44 P A T H W A Y S
PILOT SITES … BUILDING AND
KEY LEARNING
TESTING THE MODEL
Since accessibility is a primary ingredient of a good CMS, it CONSIDER THE USE OF
stands to reason that most organizations will want to have PILOT SITES BEFORE
service delivery capacity where employees are located. Some IMPLEMENTING THE PROGRAM
of the larger, decentralized organizations will want to estab-
ORGANIZATION-WIDE
lish dispute resolution centres at various key locations within Test elements of the initiative through the use of
the organization. These DRCs will provide key ADR services pilot sites and experimentation before attempting
at the local level and will cater to the specific needs in that to implement the program in its entirety. It will not
only result in a better-designed system, but will
environment.
also add a comfort level for decision makers who
The type and nature of the services provided by the DRC will be reluctant to commit resources until there is
may vary from one organization to another and even from evidence of success.
one location to another within the same organization. Size,
facilities and practices may vary as well. It is therefore impor-
tant to determine what services and practices are best suited
to the specific environments.
SELECTION OF PILOT SITES
It is important to establish criteria for the selection of pilot
A N I T E R AT I V E A P P R OAC H sites. These criteria may vary according to the size, structure
Many initiatives fail because they have not been adequately and needs of an organization, but some fundamental principles
tested before full implementation. In some instances the will likely be common.
testing and implementation happen concurrently—also not Factors that should be considered when establishing
the best approach. criteria include:
The enormous cost of committing to a full-scale implementa- proximity to a large number of employees
tion that may be plagued with problems is a valid concern,
proximity to other units within the organization that
but it’s not the only disadvantage to the approach. There is
also the matter of how difficult it is to change direction once a deal with disputes and with whom collaboration may
juggernaut has been launched—like trying to turn a battleship be required
around in a narrow canal. And then there’s the frustration proximity to key stakeholders, so on-the-spot discussions
factor that is likely to affect everyone with an interest in the can take place when concerns arise
initiative—from stakeholder to practitioner to client. Even if
shared characteristics with other sites that may not be
problems are easily fixed, some folks will already be soured and
included in the pilot project, which permits extrapolation
will be unwilling or unable to overcome their negative views
from test data that will likely apply to areas where no
of the project.
testing has occurred
Starting with several pilot sites will not only save money and
an understanding of and support for related initiatives
frustration, but will also allow for testing and adjustments
already existing within the environment and providing
in a variety of environments while the size and scope of the
a foundation upon which to build
project are still quite manageable. An iterative process will
also allow individuals to get used to the changes a CMS based accessibility to the coordinating office, so advice and
on ADR will bring to the workplace. This acclimatization will support can be easily accessed
reduce the amount of anxiety normally associated with any
major change.
Establishing pilot sites where structures and processes can be
tried out, evaluated and adjusted will help to ensure that the
transition to a full-scale, comprehensive program is smooth.
C H A P T E R 5
KEY LEARNING KEY LEARNING
ENSURE THAT SITES IT IS USEFUL TO INITIATE

UNDER CONSIDERATION PILOT SITES SIMULTANEOUSLY;
ARE INVOLVED IN THE IF POSSIBLE, CONDUCT FDWS
SELECTION PROCESS WITHIN CLOSE TIME FRAMES
Select the pilot sites by how representative they are OF EACH OTHER
and their usefulness in testing different approaches. Presenting FDWs in a compressed time frame
Do not have senior officials at the “centre” make can create challenges with respect to organization
decisions unilaterally, without input from those sites. and delivery; however, the advantage of doing so is
significant, as it can create an organization-wide
momentum around the initiative and can promote
joint learning and sharing of information among
the various site participants.
Before establishing a pilot site, brief local stakeholders—
especially the pilot site’s senior officer—so they know what
to expect and can plan accordingly. Ensure you have the
necessary facilities and administrative support in place.
PA RT I C I PAT I O N
As much as possible, FDW participants should be a cross-
FACILITATED DESIGN section of those working in proximity to the pilot site and
WORKSHOPS should include individuals from representative functional
and cultural groups—management, labour, key professional
At the beginning of the project, FDWs should be presented communities and union representatives. All stakeholders,
at each pilot site. These three-day sessions strive to: which can be defined as anyone having a direct interest or
obtain the suggestions, views and perspectives of stake- who could be directly affected (and also anyone you cannot
holders in the design and implementation of the most afford to surprise!), should be represented.
suitable conflict management system for the organization;
develop consensus around the most appropriate system KEY LEARNING
and solidify commitment for its implementation and use;
understand stakeholder perspectives around the most
INVOLVE ALL KEY
STAKEHOLDERS IN
prevalent forms of workplace conflict and where attention
PILOT SITE FDWS
should be directed;
Ensure key stakeholders (especially unions) are a
enhance the awareness and understanding of stakeholders part of any FDW and that all stakeholders have an
in relation to project objectives and options; and equal voice. Manage expectations associated with
participation in an FDW, particularly around the
enhance understanding of the circumstances under which
issue of “recommending” roles versus “decision-
the application of various ADR tools is best suited. making” roles.
46 P A T H W A Y S
THE FDW COMPONENTS approaches—facilitative and evaluative
A neutral, independent facilitator, with extensive experience
narrow and broad problem definition
in ADR processes, should lead the FDW. Using the same
facilitator for all FDWs at all pilot sites can be advantageous mediation design issues
as it assures a common and consistent message. Systems design
Most FDW participants will have little or no understanding general principles—typical stages of systems design,
of ADR, let alone conflict management systems. For this the generic CMS and the effective CMS
reason, the first part of the FDW (one and a half to two days)
should focus on training and education—ensuring a common where emphasis should be
and adequate understanding of the principles and associated Having established among participants a common under-
language. Topics covered would include: standing of ADR and CMS principles, the second part of
Setting the stage the FDW can be tackled. This segment (one to one and
a half days) will focus on the gathering of information,
the project’s mandate, components and status opinions and ideas in order to design a suitable CMS for
features of the organization’s CMS—its capacities, the organization. The components of this segment of the
limitations and potential benefits FDW should include:
workshop guidelines and objectives Designing the organization’s system
Concepts situation assessment
conflict—traditional and non-traditional views, dispute determination of attitudes and behaviours

management, costs of poorly managed conflict and requiring change
response options development of basic guiding principles underlying
defaulting to collaboration the organization’s system
approaches to resolving disputes—power-, rights- and design of the organization’s system… what it looks like
interest-based; the sequenced approach; and the dispute establishing consensus
resolution stairway
implementation
ADR tools and approaches
going forward
prevention
negotiation, mediation and arbitration
third party binding rights-based approaches, third
T H E S E L E C T C A S E M E D I AT I O N P R O G R A M
party non-binding interest-based approaches and peer
In the early stages of the Conflict Management Project, there
review panels
was some uncertainty about the viability of mediation in a
Negotiation command-and-control organization such as DND/CF. The
communication organization adopted a Select Case Mediation Program as a
means of testing the effectiveness of mediation in cases that
interests—interest-based negotiations, relationships might typically crop up in the organization.
and BATNA
options, commitments and legitimacy
Mediation
benefits and suitability
mediator orientation
C H A P T E R 5
When selecting cases, a concerted effort was made to find racism issues
a broad range of situations that would meet as many of
collective agreement issues
the identified criteria as possible. Those criteria included:
workplace reintegration
military and civilian cases, including
large-group conflict
– military disputants only
EDCM completed approximately 40 such cases within the
– civilian disputants only
first year. The Select Case Mediation Manager, Guy Baron,
– military and civilian disputants and I conducted most of these early mediations. More than
80 per cent of them were successfully resolved and resulted
gender balancing, including
in outcomes that were satisfactory to all the parties involved.
– female only These success rates applied equally to all types and forms of
– male only mediations undertaken.
– male and female Apart from the cases chosen for the regular Select Case
Mediation Program, there were certain highly sensitive cases
type of dispute, including that had been identified at a very senior level. These cases
– cases where a rights-based initiative had already begun came to the fore when, at the conclusion of the Conflict
Management Workshop presented to Defence Management
– cases which were well advanced Committee members at the beginning of the Conflict
– cases which were in their very early stages Management Project, I had invited participants to nominate,
for resolution by mediation, some “typical” cases that were
– individual, small-group and large-group situations currently occupying their time.
geographic locations, including A dozen or so cases were brought forward over the next
– all provinces and territories across Canada several months, though none of them could be viewed as
“typical.” For the most part, they were exceptionally challeng-
– all Bases
ing cases, many of which had been around for years and
– operational settings would likely be around for a number more. Some had already
involved hundreds of thousands of dollars in legal fees and
environmental commands, including
costs. They were complex and time-consuming and were
– land staff, air staff and maritime staff taking a heavy toll on workplace morale.
– support agencies It was evident to me that there was a risk to the CMP by
undertaking these challenging and unique cases. If mediation
– reserves and cadets
efforts failed to bring about a reasonable number of success-
learning opportunities ful outcomes, then senior decision makers at DND/CF might
– testing an unknown question the legitimacy of the whole project. On the other
hand, if success emerged around these cases, support for the
– coaching or mentoring through co-mediation overall project would be greatly enhanced. It was a high-risk,
The following types of cases were mediated: high-payoff situation.
harassment charges I elected to proceed with the cases nominated by the CDS
or DM. Though these cases would be known as select cases,
grievances (military and civilian) they were not considered a part of the regular Select Case
discipline issues Mediation Program. I handled them personally, with the clear
understanding on the part of the senior officials concerned
litigation/claims against the Crown that if there was a low success rate, this should be considered
performance evaluations in the context of the nature of the undertaking and should
not jeopardize the Project.
48 P A T H W A Y S
I do not pretend to have been a fully neutral, impartial Camp Borden in southern Ontario was also a logical
mediator in those cases. I had a vested interest in helping the candidate. It was one of the largest training Bases, had a
parties involved successfully resolve their disputes. Success in largely transient population and, as a training Base, posed
these mediations would add credibility to the overall project unique challenges. Some other conflict management initia-
for which I was responsible. tives had been introduced there a few years earlier and it was
believed there was an opportunity to build on these. Among
I decided that the only way I could proceed was to be open
the initiatives was a Conflict Management Centre, which had
and transparent. I raised my interest with all parties involved.
been established on the Base to deal with harassment and
I also pointed out that I was, in the final analysis, a DND
other related workplace conflict. It was successfully using
employee. At the same time, I conveyed the fact that I had a
ADR practices to address workplace issues, and so it was a
considerable amount of arm’s-length autonomy and could
natural choice to use and build upon the work that had
act impartially.
been done there previously.
Parties had the opportunity to select or reject who would
To determine the remaining pilot sites, each of the three
mediate their cases. Their decisions were based upon the
environmental commands was asked to designate a Base.
credibility of, and trust in, the mediator. In most cases I
was retained as mediator. The Maritime Staff designated the Maritime Forces
Atlantic (MARLANT) organization in Halifax as a pilot
All the mediated cases, except one, were successfully resolved.
site. MARLANT was a logical choice because it already
One of the most useful outcomes of the select case initiative had in place a very successful conflict management initiative
was not only the determination of the applicability of media- which applied certain ADR processes to the resolution of
tion to different circumstances, but also the effect it had on harassment complaints. This had been fashioned after the
achieving buy-in from senior officials and other stakeholders, Royal Australian Navy’s “Good Working Relationships” pro-
such as the unions. Throughout the remainder of the Project, gram. As a pilot site for the DND/CF Conflict Management
their support was unflagging. Project, MARLANT could build upon its current Good
Working Relationships program.
T H E P I L OT S I T E I N I T I AT I V E The Land Staff designated the Edmonton Base as its choice.

In September 1998 the Armed Forces Council agreed that This was an army Base and highly operational. As well,
the CMP should proceed with the use of pilot sites to test the Base Commanding Officer was strongly supportive of
the applications and validity of ADR. This “testing” was to ADR applications.
be done for approximately 18 months, before committing to The Air Staff designated 17 Wing in Winnipeg, where some
the implementation of a full national program. ADR capacity existed and there was support for the initiative.
Initially, five pilot sites were chosen, each having several There was also interest on the part of several other Bases,
thousand CF members and DND employees. They were the including Esquimalt and Valcartier. These would be added a
National Capital Region (NCR) headquarters, Camp Borden, short time later as the success of the program became evident.
Halifax, Edmonton and Winnipeg.
A three-day FDW was presented at each of the five pilot sites.
The National Capital Region was a suitable pilot site for a They were held in 1999 within a tight time frame:
number of reasons. The DND/CF population in the region
exceeded 10,000 individuals and provided a good balance Winnipeg, April 13–15
of military members and civilians. Being a headquarters, it Edmonton, May 10–12
naturally contained organizational units that dealt with
Borden, June 7–9
disputes at an advanced level. As well, it contained other
offices, such as those of the Ombudsman or the Canadian National Capital Region, June 15–17
Forces Grievance Board, where collaboration was particularly
Halifax, June 21–23
important. The head offices of the unions were accessible.
The fact that EDCM was located in the National Capital
Region and was available to provide assistance as required
was yet another reason for this choice.
C H A P T E R 5
The overall objective of each FDW was to incorporate the In establishing pilot site DRCs, it was understood that
input of all stakeholders into the design of a system best because of the new approaches being put into place, a
suited to their needs. considerable amount of support would be required
from the Office of the EDCM in Ottawa. In the early,
critical phases of the Project, the nature of that support
OUTCOMES was as follows:
Each of the sites created similar models, with minor variations
to meet specific environmental needs. All sites elected to estab- A coordinator was identified within EDCM to identify
lish DRCs headed by an individual at the level of major (or common pilot site issues and provide guidance.
civilian equivalent, AS-6) with a combined military/civilian All sites were assigned an EDCM contact, who provided
staff of three to seven people. They supported the incorpora- coaching and guidance to pilot site personnel and DRC
tion of both rights-based (grievances, harassment complaints) Coordinators. As well, these individuals had regular on-site
and interest-based (self-help, negotiation, mediation) processes meetings with the pilot site teams to provide guidance
in the system, with loop-back provisions. around issues such as establishing the DRC, developing
a communications plan, developing terms of reference,
developing a training strategy and coaching on mediation
EDCM AND PILOT SITE BASE
COMMANDING OFFICER MEMORANDUM challenges.
O F U N D E R S TA N D I N G
A DRC coordinating committee was formed. Two
The DRCs reported directly through the chain of command
planning and coordination retreats were held in the first
at the pilot sites and functionally to EDCM. To ensure that
year. In addition, there were regular monthly telephone
roles and expectations were clear relating to EDCM and the
conference call meetings involving all pilot site coordina-
pilot sites, memoranda of understanding were signed by the
tors. Issues discussed included:
Base Commanding Officers and EDCM.
– training
These memoranda of understanding covered the nature of
the reporting relationships, respective roles and expectations – mentoring
around these, training, financial implications and support – business plans
by EDCM.
– regional versus command issues
– project evaluation
EDCM SUPPORT TO PILOT SITE DRCS
KEY LEARNING – mediator work descriptions
– communications
MEMORANDA OF UNDER-
STANDING CAN BE VERY – guidelines and ethical standards for the conduct
USEFUL WHERE THERE ARE of mediations
MULTIPLE RESPONSIBILITIES,
The three-phase mediator training program (this will
ACCOUNTABILITIES AND
FINANCIAL OBLIGATIONS be discussed in detail in Chapter 11—Training) was devel-
oped and offered to all pilot site mediators. Approximately
It is important to clearly outline expectations and
40 participants were involved in the initial training.
accountabilities of all parties involved in the pilot
process. Financing of pilot sites often involves EDCM provided regular mediator mentoring
contributions from several sources, with diverse and coaching.
perceptions as to authorities and potential outcomes.
Clarify the understandings in a memorandum of
understanding.
The process of drafting the memorandum of under-
standing is, in its own right, useful in creating a
common understanding around the project.
50 P A T H W A Y S
Specific guidance was provided in relation to:
KEY LEARNING
– best practices and innovations
PILOT SITES WILL RELY
– resources HEAVILY ON SUPPORT,
– preparation of communication strategies GUIDANCE AND ASSISTANCE
FROM THE “CENTRE”; ENSURE
– questions and answers about ADR, mediation THAT THE CAPACITY IS THERE
and conflict management TO PROVIDE SUCH SUPPORT
– sample business plans Ensure that support material and guidelines
are completed and available to pilot site DRCs
– activity report templates before they become operational. As well, consider
the contracting of coaches to provide the
– mentoring/co-mediation
necessary assistance in the areas where pilot
– evaluation sites are established.
Guidelines were provided to the pilot site DRCs for
the conduct of mediations within DND/CF, including:
Ethical Standards for DND/CF Mediators
Standards of Practice for DND/CF Mediators
Authorization to Serve as Mediator or Co-Mediator (letter)
Responsibilities in the Mediation Process
Mediation Process and Mediator Evaluation Form
Memo to be Sent after Completion of Mediation
Mediation Report Framework
Agreement to Mediate Template
Terms of Settlement Template
How to Write Terms of Settlement
Report on Confidentiality in Mediation
C H A P T E R 5
CMS designers are responsible for the creation
of a program that fulfills the ADR needs of the
C H A P T E R 6 organization. Their interest, expertise and core

responsibilities are naturally focused on the
processes or operational elements of the program.
That’s their job. They consider policy, governance,
infrastructure, resources, services, procedures, training
COMMUNICATIONS and all the other elements that go into an efficient and
STRATEGY effective system.
They also know that a key to any successful CMS is a
comprehensive communications strategy, which must be
prepared and implemented at the beginning of the project
design process. Done effectively, this will help to create
awareness about the initiative—its purpose, advantages,
services, locations, contacts and processes.
While CMS designers recognize the importance of a commu-
nications strategy, many feel their expertise in this area is
limited. As a result, they often turn to communications
experts for help. They may choose experts from the commu-
nications branch of their own organization (internal) or
they may contract out (external). There are advantages and
disadvantages to either choice. The table below highlights
some things to consider:
ADVANTAGES DISADVANTAGES
Internal Understands the organization and its culture Priorities are dictated by the organization
rather than its individual clients
Has vested interest in success (for the
organization) Is limited by internal resources, responsibilities
and processes
Is less expensive
Is on site and accessible
External Is dedicated to client’s needs Is more expensive

Is unencumbered by organization’s resources May not understand culture
and processes
Has restricted access to organization’s resources
Has vested interest in success (for future and communications networks
contracts)
52 P A T H W A Y S
Whatever the choice, CMS designers/administrators must – Provide the right amount of information to address
recognize that, despite their limited knowledge or interest, the needs of each target audience. (Avoid saturating
they cannot just delegate all responsibilities related to the audiences with too much information.)
design of a communications strategy. Communications
– Link the initiative to other relevant or related events
professionals, no matter how competent, will inevitably
and opportunities.
need input and direction from the program’s leaders.
– Create and sustain the momentum of communications.
Furthermore, while program leaders may have a clear
vision of what they think is needed, their vision must also – Identify and address—in a proactive way—
accommodate and reflect the needs, wants and opinions common concerns.
of all key stakeholders. It is therefore incumbent on CMS – Acknowledge skepticism and cynicism in order to
designers to consult with stakeholders to ensure their combat them.
concerns and suggestions are addressed, not only in the
CMS, but also in the manner in which information is – Optimize opportunities for face-to-face communication.
disseminated and communicated. Consultation and stakeholder participation
Timing
THE COMMUNICATIONS Situational analysis and strategic considerations, including:
FRAMEWORK
– culture change requirements (workplace behaviours)
THE BUILDING BLOCKS
A comprehensive communications strategy need not be – employee/member levels of trust, skepticism, optimism,
complex; however, the thinking that goes into the creation information overload
of that strategy must take into account a broad and complex
– managers’ resistance levels
range of factors—some notional, some specific—with many
of them interrelated and codependent. When designing a – scope of union support (or non-support)
communications strategy, ensure the following elements – vested and/or opposing interests of affected
are considered: organizations or individuals
Purpose and scope of the strategy – organization structures
Context in which the conflict management program – CMP coordinator’s role
is being developed and how that affects related
communications requirements – select case mediation impacts
Principles guiding a suitable communications initiative. – pilot project impacts

For example: – training plan
– Wherever possible use existing communication – perceptions around the use of ADR
vehicles and media to maximize efficiency.
– Ensure internal and external communications are
D I F F E R E N T S T R AT E G I E S F O R D I F F E R E N T
consistent in their messages. P H A S E S A N D D I F F E R E N T O R G A N I Z AT I O N S
– Ensure communication materials have a consistent As noted in earlier chapters, most CMS designs are rolled out
look and feel. in three phases:
– Ensure information is directed to the appropriate project initiation

audiences, at the right time and in a format and at project piloting or testing
a level the audience can understand.
national rollout
C H A P T E R 6
COMMUNICATIONS STRATEGY 53
Each of these phases will require its own, specific communi- TA R G E T AU D I E N C E S
cations strategies. Articulating the goals of each phase In the same way that the different phases of the initiative
will help determine what strategies should be considered. will require different strategies, so too will different audiences
For example: require different approaches. This does not mean that
select groups will receive different messages—only that the
Phase 1—Project initiation should:
presentation, focus and highlights may shift to respond to
officially announce the existence of the CMP; the special interests and concerns of specific audiences.
highlight the endorsement of the initiative by the It is therefore important to identify the key target audiences
organization’s senior leaders; and their concerns, so they can be appropriately addressed.
communicate the benefits of an ADR system within the Being demonstrably attuned to the interests of each group
organization; and will help bring them onside. As a result, leaders within these
groups will become advocates for the initiative and, through
raise awareness among pilot site personnel of the impor- their authority and influence, will support and even promote
tance of the CMP pilots and the objectives of the initiative. it among their constituents.
Phase 2—Project piloting or testing should: Some key target audiences include:
ensure pilot site personnel are aware of the positive senior management
impacts of participating in the pilot process;
stakeholders and partners
communicate how to use and administer the CMP
union leaders
within each pilot site;
pilot site implementation teams
communicate the success stories of the pilot implementa-
tion (select case mediation); project administrators
raise awareness of the existence of the CMP and public affairs/communications staff
secure widespread support of the CMP throughout the
HR professionals
organization; and
key functional communities (e.g. middle managers)
communicate the training strategy and explain the
various training courses and their goals. employees and members
Phase 3—National rollout should:
announce the introduction of services throughout KEY MESSAGES
the organization;
While the communications strategy may call for different
publicize points of access for information, training, tools and approaches for different phases or audiences, the
counselling or intervention; core messages must remain clear and consistent.
implicate leaders at all levels; Within DND/CF we identified several key messages. They
were clear, relevant and consistent with the goals of both
present ADR as a new, completely optional tool that
the organization and the initiative. Those messages are also
complements rather than replaces the organization’s
consistent with the aims of most CMS initiatives and should
other approaches to conflict management; and
be considered when creating a plan for your own organiza-
build on successes realized in the earlier phases. tion. Of course, each organization will have to adapt those
Naturally, each CMS communication strategy will be messages in accordance with their own needs.
modified and adapted to reflect and accommodate the
unique structure, culture and goals of each organization.
54 P A T H W A Y S
The DND/CF articulated its key messages as follows: Once implemented, CMP mechanisms will be incorporated
into DND/CF human resource practices and the training
The new CMP will be fair, flexible and fast.
system. Mechanisms will be sufficiently flexible to allow
The new CMP does not circumvent the chain of command them to evolve and thereby continue to meet the long-term
and supports unions’ roles, structures and processes. needs of the organization.
The CMP is flexible, less formal, voluntary and more DND/CF leadership expects the co-operation of all person-
confidential, saves costs and time, and helps build strong nel to ensure a successful project outcome.
working relationships.
The CMP will result in more timely and fair resolutions.
The leadership of DND/CF, in demonstrating a collabora-
Those using mediation as a means of resolving conflict can
tive attitude toward workplace conflict management, has
be assured that it is confidential, keeping in mind that it is
determined that interest-based dispute resolution methods
subject to the Access to Information Act and Privacy Act,
should be used where appropriate. DND/CF leadership is
special investigations and boards of inquiry.
firmly united in its support for the CMP and believes that
the new system will help resolve disputes in a timely and
cost-effective manner. Once implemented, interest-based
KEY LEARNING
dispute resolution mechanisms should be used as a first
step in resolving a conflict, unless there are compelling FOCUS ON WHAT YOU
reasons to do otherwise. CAN SHOW
The CMP model selected for DND/CF is an interest-based Before implementing a more elaborate, multi-media
dispute resolution system. It has been designed through plan and creating expectations which might not be
a collaborative process to ensure that it meets the needs met, build the capacity to deliver services and then
of all DND/CF personnel. The use of pilot sites, before promote the availability of those services. Rather
national implementation, is a proven method for designing than approaching it from the perspective of “what
is coming,” describe “what you have.”
a CMS and will help ensure that the model implemented
nationally is both relevant and effective for all commands.
The use of informal dispute resolution mechanisms does
not preclude an employee’s right to use formal (power-
or rights-based) forms of dispute resolution at a later
COMMUNICATION PRODUCTS
time. The CMP supplements and enhances formal conflict
AND TOOLS
resolution mechanisms. A bewildering number of products and tools (some of them
listed below) can be used to convey and disseminate key
The CMP does not circumvent the military chain of com-
messages. Many of these are applicable in a wide range of
mand or union-employee relationships, and all decisions
conditions; others are more effective in specific areas. Unique
resulting from informal processes will be consistent with
environments and cultures—even within an organization—
established DND/CF principles and policies.
can make some tools more appropriate than others.
The CMP is about providing personnel with the necessary
Within DND/CF, for example, computer-based messaging
tools to help them improve interpersonal relationships
(e-mail, Web sites, computer-based learning programs) may
and quality of life. Dispute resolution principles upon
be used effectively in a headquarters; however, in operational
which the CMP is based can also be applied to personal
environments, where computers are scarce, this approach has
or professional relationships.
very limited value.
C H A P T E R 6
promotional products (e.g. pens or stress balls with
KEY LEARNING
a Web address and/or phone number printed on them)
LOW-TECH DOESN’T training (while this is usually seen as “education,” it can
NECESSARILY EQUATE also double as an effective communications tool)
TO LOW RESULTS
These days there appears to be a tendency to seek special events (e.g. armchair sessions, conferences, town
out the most sophisticated and technologically hall meetings, brown-bag lunches)
advanced methods of doing business. kiosks at events sponsored by others
Beware!
Some of these approaches can be very expensive and
difficult to maintain. Furthermore, while many of KEY LEARNING
these tools are quite effective, limited accessibility,
compatibility and user capability may negate the USE COMMON KEY WORDS
benefits that might otherwise be achieved. AND PHRASES
Face-to-face briefings and learning events were, Using common words and phrases is important. Not
in my view, the most useful of the communications only does it facilitate understanding, but it can also
approaches applied in the early stages of the DND/CF help folks access the information you want them to
project. While this approach may be “low-tech,” get. This is especially true when creating Web-based
it remains the single most effective way to get information.
information and goodwill across. By including common key words and phrases in the
headers and documents you produce for the Web,
you will make it more likely for people using Web
search engines to be directed to your site.
No single approach can respond to all communications
requirements, so choose several different products and tools
and use them where best suited. Also ensure that the various
tools can support and complement each other. FREQUENTLY ASKED QUESTIONS
Below is a brief list of some of the products and tools you To respond to inquiries about the project thoroughly and
should consider: consistently, it may be beneficial to prepare responses to a
CMP-dedicated Web site (Intra- and/or Internet) series of frequently asked questions around:
inclusion in or links from other related Web sites the conflict management project;
(e.g. the organization’s HR site) alternative dispute resolution; and
official announcements by the organization’s most mediation.
senior executives
These questions and answers (Q&As) should address the
organization-wide communications vehicles (most organi- key messages identified in the communications goals of the
zations have such tools, but they are called different things project and should be given to key stakeholders and partners.
in different places—at DND/CF, CANFORGENs are used; This will permit them to gain a better understanding of the
the Australian Defence Force uses “Defence Instructions project and will help them respond to questions from peers
(General)” for the same purpose) and constituents clearly and consistently.
posters and pamphlets
CD-ROMs, audio and video tapes
information sheets answering “frequently asked
questions” (FAQs)
newsletters, feature articles, news releases
and announcements
56 P A T H W A Y S
During the next two years DND/CF will develop and imple-
KEY LEARNING
ment a stakeholder-driven dispute resolution system that:
PREPARATION OF Q&AS IS A incorporates an interest-based method of dispute
CRITICAL COMPONENT OF THE resolution as the preferred course of conflict management;
COMMUNICATIONS STRATEGY
reinforces the authority of the chain of command and
The preparation of Q&As will help ensure consistency
of messages, particularly in the early stages of sys- the union-employee relationship; and
tem design. The process is also helpful in getting the addresses the unique needs of DND/CF.
design team to reflect on some difficult questions
and to ascertain consensus and unity of approach. Other FAQs in this section included:
What is the objective of the Conflict Management Project?
Who heads the CMP?
These Q&As should also be posted on your Web site and be What is the mandate of the EDCM?
included, either in part or whole, with other communications How does EDCM carry out its mandate?
initiatives.
How did the pilot sites design their dispute
FAQs proved to be a valuable and effective tool at DND/CF, resolution systems?
where the Q&As were grouped into three categories (as
What is the mandate of the Conflict Management
described above). Below you will find some sample Q&As
from that project. I have included all the questions, as these Steering/Working Committee?
may act as a model for some of the questions you will want How can people access the Conflict Management Project?
to formulate; however, since each organization will have to
Where are the pilot sites?
prepare answers specific to itself, I have included only a
couple of the DND/CF responses here to show how those Will the CMP be replacing formal channels?
questions might be approached. The complete DND/CF
Will use of the Conflict Management Project be mandatory?
FAQs have been reproduced in the CMS Tool Kit as Tool 4.
(II) Frequently Asked Questions About Alternative
Sample FAQs from the DND/CF Project:
Dispute Resolution
(I) Frequently Asked Questions About The Conflict
What does the term “alternative dispute resolution” mean?
Management Project
Alternative dispute resolution refers to informal methods
Why does DND/CF need a conflict management project?
used to resolve disputes, such as negotiation and mediation,
The existence of the CMP is a recognition by DND/CF which are outside the formal grievance and discipline system.
leadership that a spirit of co-operation with respect to The objective of ADR is to offer a more efficient, effective and
workplace conflict leads to a more satisfying and productive friendly way for people to jointly work out a resolution to a
workplace environment. When workplace disputes do arise, a dispute at the earliest stage that leaves everyone satisfied with
collaborative approach is often a more effective and efficient the outcome.
means of dispute resolution than an adversarial approach.
What are the features of ADR systems?
In recent years DND/CF’s emphasis on using traditional, for-
The major features of ADR systems are as follows:
mal methods of dispute resolution has proven to be costly and
cumbersome. The growing number of harassment and other reinforces authority of chain of command
workplace complaints has further strengthened the need to
supports unions’ roles, structures and processes
design a complementary system for dispute resolution.
provides users at all levels with a process to resolve issues
at the lowest possible level
C H A P T E R 6
resolves complaints in a “safe,” flexible, timely and Well-designed, easy-to-navigate Web sites can be excellent
cost-effective manner communications tools, as they can host all kinds of informa-
tion. They are relatively easy to maintain and update (though
is easily accessible, with many options to choose from
far too often this is not done!) and they are accessible to people
and many access points into the system
in far-flung geographical locations. Statistical data, such as
Other FAQs in this section included: numbers of visits to the site, how long visitors stayed and what
What options are available in the Conflict sections they visited, is easy to capture. This data can be used
Management Project? not only to measure the effectiveness of the site, but also to
help determine how best to modify and improve it.
What are the benefits of ADR systems?
Web sites also allow individuals to seek information anony-
To what issues can ADR processes be applied? mously. This is particularly pertinent where conflict is
Won’t ADR processes just add a layer of confusion? concerned, since folks who are affected by conflict are
often feeling stressed and vulnerable. Given their emotional
(III) Frequently Asked Questions About Mediation state, they may be reluctant to approach others in person,
What is mediation? particularly if they are unclear about the processes involved
in addressing their conflict. Visiting a Web site can allow
It is a process in which an impartial third party (the them to get the information they need without having to
mediator) facilitates communication between disputing deal with the anxieties associated with talking to a stranger
parties and assists them to voluntarily reach, on their own, about a personal issue.
a mutually acceptable resolution to the conflict.
Most organizations use a “common look and feel” for Web
Other FAQs in this section included: sites on their Intranet, and the CMP site should conform to
Who will participate in the mediation session? this. It should also reflect the look and feel of other commu-
nications tools being used for the promotion of the CMP.
What types of cases are suitable to mediation?
This might include a colour scheme, a logo or a catchphrase.
What is the role of the mediator?
Will mediators come from within DND/CF or from out-
KEY LEARNING
side (other government departments, consultants, etc.)?
Who pays for external mediators? DON’T RELY TOO HEAVILY ON
A WEB SITE, NO MATTER HOW
How is a mediator chosen for a particular case? GOOD IT IS
Will mediation be available in the official language of While Web sites are excellent tools, they cannot
my choice? satisfy all the communications needs of any project
or program. Though they may be easy to use,
Is mediation confidential? comprehensive and attractive, they still require
What if mediation is not successful? the individual to actively connect to it.
Not everyone has access to the Net and some who
What is select case mediation? do are not comfortable using it. Time constraints
What happens during mediation? and lack of knowledge that the site exists may also
stop people from connecting to your site.
Use other communications tools to support and
WEB SITES complement your Web site. Include your Web address
The development and use of a Web site is important at both in those tools.
the project and program phases. Naturally, the contents and
approach will vary depending on the phase.
A detailed description of the Web sites created for the

DND/CF project appears later in this chapter.
58 P A T H W A Y S
BROCHURES C O M M U N I C AT I N G S U P P O RT O F S E N I O R
Brochures are an excellent and reasonably inexpensive, O F F I C I A L S A N D S TA K E H O L D E R S
low-tech way of conveying information about the project In launching a CMS (or any other major initiative), it
and responding to questions that are frequently raised con- is important to communicate as widely as possible the
cerning new programs of this type. They are compact, support accorded to the program by senior officials in the
attractive, unintimidating, easy to distribute and portable, organization. This demonstration of support and intent
so people can pick them up and read them later, on a bus or can immeasurably raise the profile of the initiative while
while waiting in line at the bank. conveying the message that “this is important.”
Information included on the brochures would also normally The vehicle used to convey this message can vary. Some
be included on the Web site. organizations, for example, send out a memo to all employ-
ees. Others may place a short note in the pay envelopes of
A brochure entitled What is ADR? was produced by DND/CF all employees. The RCMP used a Commissioner’s Broadcast.
for use by the Dispute Resolution Centres, to promote their
services. For reference I have included a copy of this brochure
in the CMS Tool Kit as Tool 5. THE RCMP COMMISSIONER’S BROADCAST
The RCMP wanted their first communication with employees
A brochure entitled Frequently Asked Questions was also
to be attention-grabbing and informative. They also wanted
prepared for the use of the DRCs. It appears in the CMS
to demonstrate the strong support of both senior manage-
Tool Kit as Tool 6.
ment and the employees’ representatives.
The Commissioner’s Broadcast, which the Commissioner
KEY LEARNING normally issues to all employees by e-mail or hard copy
on matters of importance to the Force, was used by the
SERVICE PROVIDERS WITHIN Commissioner to announce the new ADR project in 1995.
THE ORGANIZATION SHOULD It provided an overview snapshot of the project and confir-
HAVE BROCHURES PREPARED mation of his support for it. In it, he stated that the project
FOR DISTRIBUTION TO
was “one of the most important initiatives undertaken by
CLIENTS
the Force in a long time.” He explained the nature of the
Service providers will want to have brochures on ADR process and the objectives of the project and the pilot
hand for clients and stakeholders.
projects, and he pointed out that it was a joint initiative of
If the organization has several geographically dis- management and the employees’ representatives. The impact
persed locations across the country, it is important of the Commissioner’s Broadcast was felt immediately.
to ensure consistency of messages. For this reason it
may be useful to have a single brochure prepared.
Some organizations prefer to create brochures that THE DND/CF CANFORGENS
are unique to the region or location and contain
information about points of contact for that specific At DND/CF, CANFORGENs are sometimes used
region (DND/CF used this approach). If you use by the most senior officials to broadly disseminate
this approach, ensure that look and feel, as well as high-priority information.
message, are consistent across the organization.
The single most important communications initiative
undertaken over the course of the CMP was the issuance
of a CANFORGEN in January 2000. It was issued jointly
by the CDS and the DM. Its purpose was to:
officially “announce” the Project and describe its
key features;
indicate that it was a high priority;
C H A P T E R 6
convey the policy that ADR was the preferred approach 3. The Project is now underway in five pilot sites: Halifax,
to resolving workplace disputes; Borden, Ottawa, Winnipeg and Edmonton, where Dispute
Resolution Centres are being established. Employees and
announce the pilot sites; and
members at these sites have been involved in the design
confirm EDCM as the DND/CF authority for ADR. of dispute resolution systems that best serve their specific
The document was kept to a single page, with a clear, concise site’s situation and circumstances. Two new sites are
message. It read: planned for the next fiscal year, including one in Esquimalt
and the other in Valcartier.
CANFORGEN 018/00 CDS/DM 001 261350Z JAN 00
4. We are fully committed to this initiative and strongly
1. Several months ago the Department of National Defence encourage all members and employees at the pilot sites
and Canadian Forces (DND/CF) decided to proceed with to learn more about the Project and how you might
a new and promising initiative, the Conflict Management avail yourself of the opportunity to resolve disputes
Project, to more effectively deal with the challenges of in a more flexible and user-friendly manner should the
conflict in the workplace. This initiative reflects leadership’s requirement arise. For more information on this initiative,
commitment to strengthen our organization by introducing consult the Conflict Management Project Web site at
new approaches for the prevention and resolution of work- http://www.hr.dwan.dnd.ca/cmp.
place disputes. These approaches, generally referred to as
alternative dispute resolution (ADR) and often involving the
use of mediation, will reinforce the importance of employees KEY LEARNING
and members treating each other with common decency,
trust and respect in dealing with their differences. This will, THE PROJECT “CHAMPION”
in many instances, help to prevent conflict and lead to the SHOULD SEND OUT THE
resolution of disputes at the earliest possible stage, before MESSAGE ABOUT THE LEVEL
they escalate. This initiative is a priority for the DND/CF OF SUPPORT AT THE MOST
and is strongly supported by management and unions. SENIOR LEVELS
Wherever appropriate, the application of ADR is the pre- It is important that a clear, concise message be
ferred DND/CF approach to resolving workplace disputes. sent out from the most senior person(s) in the
organization, officially announcing the initiative
2. The Office of the Executive Director Conflict Management and describing the high degree of his/her personal
(EDCM), under the direction of Peter Sterne, is the support for it. This is most effective when the
DND/CF authority for ADR and is mandated to develop message is framed as a policy directive. Having the
and implement the conflict management system and related CDS and DM jointly stating that “the application of
training. This system will help to reinforce the authority ADR is the preferred DND/CF approach to resolving
of the chain of command and continue to support unions’ workplace disputes” sent a very strong message to
roles and structures. Through early ADR interventions employees and members (particularly given the
using voluntary processes such as mediation, employees strong hierarchical nature of the Department).
and members will be provided with ways of resolving
issues including harassment complaints and grievances,
in a flexible, timely and effective manner. The dispute
resolution system which is being put into place does not
replace existing recourse mechanisms but complements
them in a comprehensive, integrated system.
60 P A T H W A Y S
Following up on the program implementation phase, a
KEY LEARNING
second CANFORGEN was issued, in May 2003. This
one reiterated support for the initiative, reinforced the COMMUNICATE SUPPORT
momentum which had been built around the success of THROUGHOUT THE PROCESS,
the Program, increased awareness of the existence of the FROM PROJECT TO PROGRAM
DRCs and encouraged their use. It read: STATUS, AND NATIONAL
ROLLOUT
CANFORGEN ADMHR MIL/CIV
Although it is important to make explicit the level
SUBJ: CONFLICT MANAGEMENT PROGRAM (CMP) of support for the conflict management initiative
early in the process, it is equally important to
ref: CANFORGEN 018/00 CDS/DM 001 26135Z JAN 00
demonstrate that this support remains strong as
This CANFORGEN supersedes ref. this is a joint ADM the initiative advances from its project status phase
HR-MIL and to its program implementation phase and on to its
program delivery phase.
ADM HR-CIV CANFORGEN
Designers should ensure that there is an ongoing,
1. In August 2001, following the successful completion of clear and consistent message from senior officials
its three-year conflict management pilot project (1998), not only at the beginning of the project, but also
the DND/CF launched a Conflict Management Program throughout the “institutionalization” phase.
(CMP) to assist members, employees and the Canadian
cadet movement (CCM) in addressing workplace conflicts
early and constructively through the introduction of alter-
native dispute resolution (ADR) mechanisms. The Office of
MORE ON THE
the Executive Director Conflict Management (EDCM) has
DND/CF EXPERIENCE
been given the DND/CF authority to develop and deliver
ADR services and related training for workplace conflicts. P U B L I C AT I O N S
As part of the communications strategy at DND/CF, an
2. The establishment of the CMP underscores the DND/CF’s effort was made to identify appropriate publications where
strong commitment to resolving workplace conflicts in a information about the CMS could be printed. We identified
timely and co-operative manner. Through its network of two types of publications that would serve our purposes—
16 Dispute Resolution Centres (DRCs), the CMP offers those with a local or regional focus and those with a broader,
ADR services, which complement the rights-based process- cross-organization reach.
es and have been proven to be effective. DRCs provide
services in mediation, training, coaching, facilitation and It was especially important to identify the local publications,
group interventions. produced specifically for DND/CF personnel, that served the
regions where we had established our pilot sites. The Base
3. The ADR approach is designed to support the chain of newspapers proved to be ideal vehicles. They included:
command and unions by offering members, employees
Borden Citizen (Borden pilot)
and the CCM additional options that can be used to deal
with conflict early and with the greater participation and The Voxair (Winnipeg pilot)
input by those involved.
The Trident (Halifax pilot)
4. It is expected that when a conflict situation occurs, leaders
The Garrison, The Ram (Edmonton pilot)
and managers will make sure that their subordinates and
employees are given the opportunity to consider the various The Contact (NDHQ pilot)
ADR options available to deal with their disputes and are
provided assistance in making informed choices, particularly
at the first stage of the grievance process. It is therefore
incumbent upon all leaders and managers within DND/CF
to take advantage of the services offered by the DRCs
where appropriate.
5. For more information please visit the DRC’s Web site at
http://hr.dwan.dnd.ca/drc-crc
C H A P T E R 6
Publications that received DND/CF-wide The Office of the Executive Director Conflict Management
distribution included: (EDCM), under the direction of Peter Sterne, is the
DND/CF authority for ADR and is mandated to develop
The Maple Leaf (military; wide distribution)
and implement the conflict management system and related
Vanguard (commercial; wide distribution) training. This system will help to reinforce the authority
Canadian Government Executive (public sector of the chain of command and continue to support unions’
decision makers; wide distribution) roles and structures. Through early ADR interventions
using voluntary processes such as mediation, employees
Reserve Link (Naval Reserve publication) and members will be provided with ways of resolving issues
Legion publications including harassment complaints and grievances in a
flexible, timely and effective manner. The dispute resolution
D2000 newsletter system which is being put into place does not replace
Personnel Newsletter (civilian; wide distribution) existing recourse mechanisms but complements them in
a comprehensive, integrated system.
The Project is now underway in five pilot sites: Halifax
PROJECT AND PROGRAM WEB SITES
(Maritime Command), Borden (CFRETS), the National
Web site #1—The Conflict Management Project
Capital Region (CFSU), Winnipeg (Air Command)
When the DND/CF initiative was in its early project status and Edmonton (Land Force Command), where Dispute
phase, a CMP Web site was created and placed on the Resolution Centres are being established. Employees and
organization’s Intranet. Under the banner of “Working members at these sites have been involved in the design of
relationships that work,” the CMP Web site provided dispute resolution systems that best serve their specific site’s
information on the Project and how it could be accessed situation and circumstances. Two new sites are planned
and used effectively. It included the following sections: for the next fiscal year including one in Esquimalt and the
What’s new other in Valcartier.
This section included a letter from the DM and the CDS. It We are fully committed to this initiative and strongly
described their optimism and support for the initiative. This encourage all members and employees at the pilot sites
letter is reprinted below and is indicative of the important to learn more about the Project and how you might
role these individuals played as champions of the CMP: avail yourself of the opportunity to resolve disputes in
a more flexible and user-friendly manner should the
Several months ago the Department of National Defence requirement arise. For more information on this initiative,
and Canadian Forces (DND/CF) decided to proceed with consult the Conflict Management Project web site at
a new and promising initiative, the Conflict Management http://hr.dwan.dnd.ca/cmp.
Project, to more effectively deal with the challenges of
About the CMP
conflict in the workplace. This initiative reflects leader-
ship’s commitment to strengthen our organization by This section included:
introducing new approaches for the prevention and
an introduction by me as EDCM;
resolution of workplace disputes. These approaches,
generally referred to as Alternative Dispute Resolution a description of the EDCM team, including their
(ADR) and often involving the use of mediation, will responsibilities and contact points;
reinforce the importance of employees and members
the vision, mission and mandate of the CMP;
treating each other with common decency, trust and
respect in dealing with their differences. They will, in the project objectives; and
many instances, help to prevent conflict and lead to the
the role and composition of the Conflict Management
resolution of disputes at the earliest possible stage, before
Steering/Working Committee.
they escalate. This initiative is a priority for the DND/CF
and is strongly supported by management and unions. Pilot sites
Wherever appropriate, the application of ADR is the pre-
ferred DND/CF approach to resolving workplace disputes.
62 P A T H W A Y S
This included a description of their status and services. Links
Acts and policies This section included links to other related sites, such as
the Ombudsman, Members Assistance Program, Employee
This section described and provided reference points for
Assistance Program, Quality of Life Program, the Defence
further information relating to key legislation and policies,
Ethics Program and the sites of other federal government
including the Access to Information Act, the Privacy Act, the
organizations.
Canadian Human Rights Act, harassment policy, and griev-
ance policies and procedures. (Note: If the site were being Web site #2—Dispute Resolution Centre Focus
set up today, the Human Resources Modernization Act would
In the fall of 2002, when the Project obtained Defence
be added to the list.)
Management Committee approval for national rollout as a
Mediation full-fledged DND/CF program, a new Web site was created.
By focusing on the roles and coordinates of the 16 Dispute
This section described:
Resolution Centres, it reflected the operational requirements
the mediation process; of a program that was evolving at a rapid rate and delivering
responsibilities in the mediation process; services across the country.
the agreement to mediate; Under the banner of “Talking Solutions,” this Web site
described the parameters of the 16 territories and the locations
ethical standards for DND/CF mediators; and of the DRCs, including addresses and telephone numbers.
frequently asked questions about mediation. It also provided a description of ADR as a preventative
Training approach, a collaborative process and a complementary
option, working alongside rights-based processes.
This section described the three major training programs
associated with the CMP and their respective learning As well, a number of frequently asked questions were
objectives. The three programs are: prepared around what ADR is, the role of DRCs, training,
coaching, mediation and how to access services.
Conflict Management and Alternative Dispute
Resolution Processes;
I N T E R N A L C O M M U N I C AT I O N S …
Interest-based Negotiation and Dispute Resolution; and G U I D E L I N E S F O R D R C C O O R D I N ATO R S
the Mediator Qualification Program. In September 2002 a communications strategy for 2002/2003
was prepared for the use of the DRCs. This was a fairly
Frequently asked questions comprehensive outline, prepared primarily for the benefit of
This section addressed some of the anticipated questions DRC Coordinators, which provided guidance for advancing
around the CMP. These are outlined earlier in this chapter. communications objectives at the regional level while adher-
ing to a consistent national theme.
Glossary
The document is specific to the DND/CF initiative, but it
To ensure that all relevant terminology was clear to CMP
may serve as an example for other organizations that may
users, the following terms were described: alternative
be contemplating a similar undertaking. I have therefore
dispute resolution, arbitration, caucus, co-mediation,
reproduced the full document for the CMS Tool Kit, where
consensus making, conciliation, convening, early neutral
it is referred to as Tool 7. It is presented verbatim, in the
evaluation, facilitation, fact-finding, grievance procedure,
context of its “future orientation” at the time it was
hybrid ADR, interest-based negotiation, litigation, mediation,
initially prepared.
med/arb, mini-trial, neutral third party, negotiation,
non-binding arbitration, positional negotiation, principled
negotiation and stakeholder.
C H A P T E R 6
STRATEGIC ALIGNMENT
CMS designers strive to accommodate and
C H A P T E R 7 incorporate several different ways of dealing

with conflict—its prevention, management and
resolution. To achieve this, they often focus on the
adoption and/or development of innovative and
SYSTEM effective tools and processes.
This is a reasonable approach and can result in significant
INTEGRATION improvements to the way an organization deals with conflict.
However, if the tools are developed in silos, with some
processes operating independently, which is often the case,
their effectiveness will be severely limited. Furthermore, the
ability of those innovations to effect long-term change in
the organization’s culture will be confined.
A truly successful, integrated CMS goes beyond the imple-
mentation of the specific tools and processes that are part
of the system. It is predicated on a strategic alignment of the
system with the organization’s:
INTEGRATED institutions (organizational units whose mandates relate

CONFLICT MANAGE- to conflict management);
MENT SYSTEMS policies; and
TOWARD A CONFLICT behaviours.

C O M P E T E N T O R G A N I Z AT I O N
Without this alignment, it is possible to establish a useful
In Chapter one I went to some length to
DRS that is capable of addressing and resolving disputes;
distinguish between a dispute resolution system and
however, the long-term benefits afforded by a fully integrated
a conflict management system. In essence, that distinction
CMS may not be realized.
came down to this: A DRS focuses primarily on the resolu-
tion of disputes, whereas a CMS focuses not only on dispute
resolution, but also on how knowledge, behaviours and KEY LEARNING
attitudes can influence and encourage a conflict-competent
culture where conflict is surfaced early and resolved, before ORGANIZATIONS HAVE NOT
it escalates to the dispute level. ACHIEVED THEIR INTEGRATED
CMS GOALS UNTIL THERE
While we all know it’s impossible to completely eradicate IS AN ALIGNMENT OF
conflict in the workplace, it is possible to influence and INSTITUTIONS, POLICIES
promote a cultural shift around the way it is viewed and AND BEHAVIOURS
handled in an organization. It’s not easy and it takes time, Some organizations believe that by instituting
but if we take a strategic approach—by identifying, aligning conflict management structures, with the capacity
and integrating key components—we can create an integrated to deliver a variety of dispute resolution services,
CMS that will foster and facilitate long-term conflict compe- they have succeeded in creating an integrated CMS.
tence within the organization. They are mistaken.
An integrated CMS is more than the sum of its individual For example, if policies are not modified to reflect
components. What really makes it work is the alignment the introduction of interest-based processes,
of those components to form a symbiotic system in those processes, while available, may not be used.
which each element both supports and is supported by Similarly, workplace behaviours that promote frank
complementary elements. and open dialogue need to be in sync with the insti-
tution’s policies or the system will not attain a high
level of effectiveness.
64 P A T H W A Y S
ALIGNMENT WITH THE partnering on learning events and presentations—this
O R G A N I Z AT I O N ’ S I N S T I T U T I O N S can range from co-presentation/co-development of
In most large organizations conflict management falls under events to providing kiosk space or brochure distribution
the purview of several different institutions, each with its at appropriate conferences; and
own mandate, responsibilities and authorities. Each of these
providing links or references on Web sites or other
institutions provides services and programs that in some way
address conflict. communications vehicles.
Their ways of dealing with conflict may be formal or informal

and may take a wide range of approaches—from counselling ALIGNMENT WITH THE
to coaching to litigation. Employee assistance counsellors, O R G A N I Z AT I O N ’ S P O L I C I E S
harassment advisors, ombudspersons, union representatives, All organizations have articulated policies that both reflect
grievance boards and ADR-based dispute resolution centres all and govern how they function. These policies may be prom-
play a vital role in managing conflict within the organization. ulgated in many different ways, but in all instances there is a
hierarchical pecking order that dictates which policies take
As such, each of these institutions should be considered an precedence over others.
integral part of the CMS. They are more than stakeholders;
they are shareholders. At the top of the chain is legislation; below that is regulation;
and then administrative orders, directives and instructions.
Unfortunately they often function independently and in some At the unit level this may take the form of standard operating
instances are unaware of services, offered by others, that may procedures. To be effective, each policy in the chain must be
be more appropriate in dealing with certain types of situa- aligned with all other relevant policies, particularly those that
tions. Furthermore, because their resources and funding are come above it in the hierarchy.
often linked to the services they provide, they can be loath
to pass on some cases, fearing this might suggest they are In the public sector some policies originate within the central
incapable of dealing with the problem, which in turn might agencies and are expressed formally in legislation and regula-
negatively affect both their credibility and their funding. tion. In most instances departments and agencies will augment
those policies with their own administrative policies and
A concerted effort to create an environment of co-operation, directives. An example of this is the Treasury Board ethics
understanding and mutual support is necessary. Pointing out policy, which is augmented at DND/CF by its own code of
that each player has a common goal—the effective manage- ethics. While the DND/CF policy reflects the unique culture
ment of conflict within the organization—can be a good first of the organization, it remains consistent with the Treasury
step in getting the various players to co-operate and support Board policy and actually complements it.
each other, rather than compete. By identifying and aligning
the processes, goals and services of all these institutions, Policies can be disseminated in a number of ways. They
both the organization and its employees will be more can be set out formally and included in the organization’s
effectively served. administrative directives or they can be articulated in very
simple terms via widely-distributed announcements, issued
Various mechanisms and activities can help promote this by senior management. At the RCMP the initial policy
alignment. Examples include: statement came out in the Commissioner’s Broadcast; the
formal or informal gatherings to deal with common issues Australian Defence Force used its Defence Instructions
and concerns—this can include anything from a phone (General); and DND/CF used CANFORGENs. All these
call to a chat over coffee to the establishment of working simple statements were later fleshed out and developed
committees; in other documents.
cross-training and briefings to educate each other—aside Conflict management is addressed in the public sector
from the learning, which is itself valuable, this can lead to through various policies. At the federal level the recently
better client service and referral; passed Public Service Modernization Act makes the establish-
ment and accessibility of an informal CMS mandatory. The
law does not specify how this system should be designed or
administered; it leaves that to deputy heads.
C H A P T E R 7
SYSTEM INTEGRATION 65
Inevitably, each department or agency will have to develop Broad-based ownership and buy-in-When disparate groups
its own policies in order to enact the legislated requirement. take part in the development of a CMS, they assume own-
Those policies will not only have to complement and con- ership and promote it within their constituencies. When
form to the legislation, but will also have to be consistent constituents see that the behaviours are being promoted
with other related policies. by a wide range of interests—from union representatives
to senior managers—they are more willing to embrace it.
We must recognize, however, that while the legislation speaks
directly to the establishment of an informal CMS, it does not Policies and other communications—Raising awareness
discount or eliminate the many other, formal approaches about interest-based behaviours normalizes the process
that have been, and continue to be, used to deal with conflict. and makes it an option people will turn to in times of
They remain valid and useful and, as noted above, an integral need. Furthermore, well-articulated guidance that is
part of an integrated CMS. accessible, well known and trusted will help people
navigate and understand the process.
To accommodate the legislation, organizations will have to,
at a minimum, articulate the policies, goals and processes A CMS that works—A fair, transparent, trusted system
related to the informal aspects of the CMS. While this may that leads to satisfying resolutions to disputes will give
be done without actively affecting the policies articulated in people the comfort and confidence to access the system
support of rights-based processes, it is not advised. directly or to recommend it to others.
To create an effective integrated CMS, the interrelationships This last point is particularly interesting in that it speaks
among the various conflict management approaches should directly to the power of a well-designed and realized integrated
be clearly understood, particularly with respect to interest- CMS to act as a driver for cultural change. Medium and
and rights-based processes. By aligning all the relevant and message become one.
related policies, that understanding can be encouraged.
To better understand how this works, it may be helpful to
While I have framed the issue of policy alignment as a legal step back and examine the elements that make an integrated
requirement emanating from legislation, the real reason CMS effective.
for doing this is that it benefits both the organization and
its employees.
GUIDELINES AND PRINCIPLES
ALIGNMENT WITH THE Identifying the key components of an integrated CMS and
O R G A N I Z AT I O N ’ S B E H AV I O U R S establishing guiding principles for its implementation are
Creating a conflict-competent organization requires a cultural critical to the design process. Several comprehensive bench-
shift in the way conflict is handled within the organization. marking initiatives have produced seminal documents that
The corollary of that statement is: Cultural change can occur provide significant insights in these areas.
only when the behaviours of those in the organization change.
There are a number of elements that can influence and CHARACTERISTICS OF AN
facilitate that behavioural change. They include: E F F E C T I V E I N T E G R AT E D C M S
SPIDR (now ACR) and the Institute on Conflict Resolution
Education and training—Aside from demystifying ADR
identified six characteristics of effective integrated conflict
and providing information about the process, this gives
management systems, noting that they should:
people the knowledge, skills and confidence to test and
apply interest-based behaviours in the workplace. be all encompassing, by addressing all types of conflict
for all people in the organization;
Leadership—Support from leaders at all levels of the
organization will raise the profile of the initiative and will create a culture of “conflict competency” where conflict
give it credibility. Good leaders lead by example and walk can be surfaced in a “safe” environment, without worry
the talk; others, seeing this behaviour, will follow suit. of reprisal or retribution;
encourage the resolution of conflict at the lowest possible
level through direct interest-based negotiation;
66 P A T H W A Y S
provide multiple points of access in the organization, Voluntariness—Employees’ participation in the process
with readily identifiable, knowledgeable and accessible should be voluntary. For participants to make an informed
individuals who can be trusted for the provision of choice, they should be given appropriate information and
sound advice about the system; guidance to decide whether to use ADR processes and how
to use them.
provide multiple options, both rights-based and interest-
based, for addressing the conflict; and Representation—All parties to a dispute in an ADR
process should have a right to be accompanied by a
provide systemic support processes (such as training,
representative of their choice, in accordance with relevant
resources, incentives) and structures (such as a
collective bargaining agreements, statutes and regulations.
coordinating office, independent neutrals, policies).
Timing—Use of ADR processes should be encouraged at
the earliest possible time and at the lowest possible level
U S F E D E R A L A D R C O U N C I L’ S in the organization.
PRINCIPLES FOR NON-BINDING
WORKPLACE ADR PROGRAMS Coordination—Coordination of ADR processes is
The US Federal ADR Council, a group of high-level govern- essential among all agency offices with responsibility
ment agency officials chaired by the US Attorney General, for resolution of disputes, such as human resources
articulated a number of principles to help guide workplace departments, equal employment opportunity offices,
ADR programs. The principles are based on the combined agency dispute resolution specialists, unions, ombuds,
expertise of ADR specialists in federal agencies with active labour and employee relations groups, inspectors general,
ADR programs and identify the 10 essential elements that administrative grievance organizations, legal counsel and
must be present in any fair and effective ADR program. employee assistance programs.
They are:
Quality—Agencies should establish standards for
Confidentiality—All ADR processes should assure confiden- training neutrals and maintaining professional capabilities.
tiality at the highest possible level, while conforming to all Agencies should conduct regular evaluations of the effi-
relevant legislative or regulatory provisions. Neutrals should ciency and effectiveness of their ADR programs.
not discuss confidential communications, comment on the
Ethics—Neutrals should follow the professional guidelines
merits of the case outside the ADR process or make recom-
mendations about the case. Agency staff or management applicable to the type of ADR they are practising.
who are not parties to the process should not ask neutrals to
reveal confidential communications. Agency policies should SPIDR/ACR GUIDELINES
provide for the protection of privacy of complainants, At the same time that DND/CF was developing its program,
respondents, witnesses and complaint handlers. SPIDR’s ADR in the Workplace Track 1 Committee was
Neutrality—Neutrals should fully disclose any conflicts of preparing its Guidelines for the Design of Integrated Conflict
interest, should not have any stake in the outcome of the Management Systems Within Organizations. As a result of the
dispute and should not be involved in the administrative inclusive and collaborative approach Committee members
processing or litigation of the dispute. For example, they took, the DND/CF design team was able to provide input to,
should not also serve as counsellors or investigators in that and monitor the work emerging from, the Committee. We
particular matter. Participants in an ADR process should took considerable comfort in the fact that the DND/CF
have the right to reject a specific neutral and have another approach to systems design was consistent with the guidelines
selected who is acceptable to all parties. being proposed by the Committee.
Preservation of rights—Participants in an ADR process In 2001 SPIDR, in co-operation with the Institute on
should retain their right to have their claim adjudicated Conflict Resolution, published Designing Integrated Conflict
if a mutually acceptable resolution is not achieved. Management Systems—Guidelines for Practitioners and
Decision Makers in Organizations (www.acresolution.org).
Self-determination—ADR processes should provide
It is highly recommended reading for anyone wishing to
participants with an opportunity to make informed,
establish a CMS and covers the following subject areas:
uncoerced and voluntary decisions.
C H A P T E R 7
How conflict management evolves within an organization: While the characteristics identified by Ajilon speak specifically
to the creation of a fair and effective integrated CMS,
absence of defined dispute resolution processes
they also highlight the value of strategic alignment with
rights-based grievance process and adjudication institutions, policies and behaviours.
interest-based processes The qualities Ajilon identified as key to an effective integrated
integrated conflict management systems CMS include:
The five characteristics of integrated conflict Voluntariness—Disputants should be informed of the key
management systems: features of conflict management processes and given the right
to make an informed decision concerning their participation.
provides options for all problems and people in Participation by a complainant in any interest-based process
the workplace should be voluntary. Participation by other disputants should
welcomes good-faith dissent and encourages resolution be voluntary in any interest-based process involving a peer-
of conflict at the lowest level through direct negotiation to-peer conflict and other disputes among persons not in a
supervisory relationship.
provides multiple access points
While the value of mediation is maximized when participa-
provides multiple options for addressing conflict tion by all disputants is voluntary, organizations sometimes
provides systemic support and structures mandate participation by a supervisor when an employee
requests mediation over a dispute involving the supervisor.
Elements essential to a fair system:
Disputants should be informed that in any interest-based
general design considerations process, settlement is strictly voluntary and they may with-
design considerations specific to interest-based processes draw after commencement of the process without retaliation
and without prejudicing their legal rights.
design considerations specific to internal decision-making
processes
design considerations specific to arbitration KEY LEARNING
Other topics addressed in the report include: VOLUNTARY PROCESSES ARE
Does the organization need a system? WELL USED IF THEY ARE
FULLY UNDERSTOOD
phases and components of the design and implementation DND/CF elected to make its process fully voluntary,
of an integrated conflict management system including disputes involving supervisors. In some
How do you know when you have achieved an integrated situations, to encourage members to make informed
conflict management system? choices CF members were ordered to attend informa-
tion sessions where ADR approaches were explained.
critical elements in the evaluation and monitoring As well, the process included a voluntary provision
of systems for the participation of EDCM personnel. This gave
highlights of the evolution of conflict management systems EDCM the right to refuse to take a case even though
in the United States all disputants wished to proceed. The provision
ensured that, if there was an evident abuse of
a short bibliography of dispute systems design process and the integrity of the process would be
undermined, EDCM could opt out. It is useful to state
this right up front. It legitimizes the “good faith”
THE AJILON CANADA REPORT provisions of the ADR process.
DND/CF hired the consulting firm Ajilon Canada to
benchmark integrated CMS design processes. Their study
included the above-mentioned SPIDR publication, which
had identified several elements deemed essential to a fair
system. Ajilon described these as design safeguards and
framed them accordingly.
68 P A T H W A Y S
Protection of confidentiality and privacy—The organiza- KEY LEARNING
tion should protect the privacy of all disputants and assure
confidentiality of the conflict management processes IMPARTIALITY AND NEUTRALITY
to the fullest extent allowed by law. Those serving in a ARE CRITICAL; CONSIDER
neutral capacity should not be asked or permitted to reveal THE USE OF ARM’S-LENGTH
confidential communications, or permitted to comment or ORGANIZATIONS
make recommendations outside the conflict management Early in the DND/CF project there was an interest in
process. Disputants should be informed when limited linking some rights-based functions with interest-
disclosure will be necessary to authorize or implement the based processes. We tried this at a pilot site, where
settlement agreement. the Dispute Rresolution Centre shared facilities and
services with the Harassment Advisor’s Office.
A confidentiality agreement is useful to advise participants
It rapidly became evident that this was ill advised.
of their rights under organizational policy and relevant law.
Since the Harassment Advisor was often associated
with investigations, clients availing themselves of
ADR services feared that the close proximity to an
KEY LEARNING investigative body might affect impartiality.
THERE IS NO SUCH THING The arm’s-length requirement for the ADR Office is
AS FULL CONFIDENTIALITY critical and perception of impartiality is key. To
ensure impartiality, DND/CF considered establishing
Confidentiality provisions should not be exaggerated.
the Conflict Management Office as a special arm’s-
A military commander can “order” the revelation of
length or “external” operating agency. Because
certain information from a subordinate CF member,
of the unique nature of DND/CF, this was not the
particularly if s/he believes it important for opera-
preferred approach; however, in other organizations
tional effectiveness. Certain notes or documents may
this option may be appropriate.
be requested under the Access to Information Act
and in the event of a summary investigation or board
of inquiry.
Err on the side of caution.
Qualifications and training—The organization should be
responsible for the continued training of in-house mediators
and neutrals and ensure that they are well qualified and
follow the professional guidelines applicable to the process.
Impartiality of neutrals—Those who function as mediators
should not have a stake in the outcome of the disputes they
handle, nor should they generally be involved in the investiga-
KEY LEARNING
tion, administrative processing or litigation of these disputes.
OFF-THE-SHELF TRAINING
IS NOT AS EFFECTIVE AS
CUSTOMIZED, EXPERIENTIAL
APPROACHES
Organizations having unique requirements, such as
the CF, will need a customized training program for
its in-house mediators and neutrals.
As well, external mediators or service providers
will require training around the unique mediating
environment associated with specific organizations.
C H A P T E R 7
Diversity and accessibility—Any system should be seen KEY LEARNING
as legitimate, inviting and accessible to all employees and
managers. The methods and language used to inform the PROTECT THE INTEGRITY OF
workforce of its rights and options should reinforce the THE COLLECTIVE BARGAINING
principle of inclusion, including the accommodation of those PROCESS
groups identified in the Employment Equity Act. Diversity Since most large organizations in the public sector
should also be reflected in the cadre of mediators. are unionized, the prevailing interests of the unions
as bargaining agents must not only be recognized,
Reprisal—Reprisal or retaliation should be prohibited for but also be well understood.
bringing forward, in good faith, a concern for consideration
DND’s approach went beyond the concept of not
through the CMS; for engaging in any form in the process,
undermining the rights of the unions, to supporting
whether it be as a neutral or accompanying person; or for their roles and the collective bargaining process.
representing anyone using the system. This may be seen as a nuance; however, it was
critical in establishing a constructive working
relationship with the unions and obtaining their
KEY LEARNING enthusiastic support.
ENSURE THAT POLICIES

AGAINST REPRISAL ARE
IN PLACE
As well as having the appropriate support policies Workplace rights—The statutory or constitutional work-
in place, unless all members and employees know place rights of disputants cannot be undermined by the CMS.
and understand that it is in the organization’s and Participation in interest-based processes should not preclude
their own best interests to ensure that there are no access to rights-based processes. Submitting a dispute to an
reprisals around the use of the system, the system adjudicative process should not preclude access to the public
will not function well. This is particularly true in justice system or government agencies, unless the parties
any command-and-control organization. This voluntarily and knowingly agree otherwise.
requirement should be emphasized in all core
training and briefings.
KEY LEARNING
ENSURE THAT THE

“LOOP-BACK” PROCESS
Collective bargaining agreements—The system must IS WELL UNDERSTOOD
not undermine the contractual and legal rights of exclusive
The DND/CF provision for “loop-backs” between
bargaining agents, or result in outcomes which conflict
interest- and rights-based processes helped provide
with the collective bargaining agreement unless there is
maximum flexibility in the dispute resolution process.
concurrence from the union and management. At the same time, it created a comfort level among
potential users in that they felt they were not
being encouraged to take a route they did not fully
understand and could not abandon if they changed
their minds.
Although ADR practitioners may be very enthusiastic
about the advantages of ADR applications, they
should keep rights-based options on the table as
a viable option.
70 P A T H W A Y S
Representation in mediation—In some organizations, Opportunity to request information—A complainant
mediation will be credible only if complainants have the who requests mediation of a formal complaint involving a
opportunity to be accompanied by the person of their statutory or contractual claim should be informed of the
choice, such as a lawyer or union representative. right to request information about the claim and the right
to withdraw from mediation without prejudice.
Some organizations providing internal mediation encourage
disputants not to bring a lawyer. This is credible only if Disclosure—Mediators must disclose prior relationships
no participants are bringing a lawyer and disputants have that could cause a disputant to question their impartiality.
the time to confer with legal counsel or other advisor Neutrals should decline to serve if they have reason to
before executing an agreement. believe they cannot be impartial in a particular dispute.
KEY LEARNING THE INTEGRATED CMS MODEL

BE FLEXIBLE WHEN IT We have spoken much about the components of an effective
COMES TO ACCOMPANIMENT integrated CMS and how those components contribute to and
AT MEDIATIONS ensure confidence and commitment from both stakeholders
In the early stages of the CMP, DND/CF elected not and users. It is now time to look at the system framework and
to restrict accompaniment. In fact, we encouraged structure to determine where and how those components can
legal and union accompaniment if there was any best be integrated.
doubt whether accompaniment would be appropriate.
We found that this added great value to the delibera-
tions, as long as those individuals understood their THE “GENERIC” DISPUTE
RESOLUTION SYSTEM
roles in the mediation.
While each organization will strive to design a CMS that
The nature of the involvement and role of legal coun- suits its specific needs, the end result will usually be based
sel, for example, is different in mediation than in
on a generic dispute resolution system. In metaphorical
litigation. It was important to spend time with those
terms, this is a little like buying a car. You start with the
lawyers who were unfamiliar with the mediation
process to give them a common understanding of base-model, then add the options and accessories that
the process and how they might add most value, serve your special needs.
before proceeding. Similarly, the role of the union The diagram below illustrates how a generic dispute
representative is different in a mediation than, for resolution system functions:
example, a grievance hearing. Ensuring that process-
es and roles are clear is important in any mediation.
Generic Dispute Resolution System
Disputants often requested that their spouse, a friend
or a relative be allowed to accompany them to a Other Party(ies) Party with concern Existing Access Points
mediation. Our view was that this would be accept-
able if it provided a level of comfort to the individual
or provided another perspective that would be useful
to the discussion—unless the other party objected to
the presence of the individual. They would be subject
to rules of participation and be required to sign the
Agreement to Mediate, which included confidentiality
clauses. We found that, generally, their presence did
not impede the process, while it provided a comfort DIR Coordinator
level to the disputant(s). Again, the success of this is
a function of how their participation is “managed.”
Interest Based Rights Based
Third Party Third Party
Processes Processes
Resolution
C H A P T E R 7
In the diagram, interest-based processes and the more THE DND/CF EXPERIENCE
traditional rights-based processes (such as harassment SETTING GOALS
investigations and grievance redress processes that are Even in the conceptual stages of the Conflict Management
commonly used to address workplace disputes) co-exist Project, DND/CF was clear on what it wanted—an effective,
and even complement each other. comprehensive and integrated CMS that addressed not only
Parties with a concern can directly access either the rights- the resolution of disputes, but also the underlying causes of
or interest-based processes. If they choose a more traditional conflict within the organization. In fact, EDCM’s original
access route, such as immediate supervisors, union represen- mandate made direct reference to the design and implemen-
tatives or harassment advisors, their concerns can be referred tation of an integrated system that would reflect a systematic
to a rights-based process; however, if referees believe there approach to the prevention, management and resolution of
is merit in trying an interest-based approach, they may conflict. In articulating that vision, a number of elements
recommend this. If the party with a concern agrees, the were identified. They included:
issue can be referred to a dispute resolution coordinator. processes which result in problems being addressed as
A dispute resolution coordinator helps disputants understand early as possible and at the lowest possible level;
interest-based processes and procedures. Where appropriate, processes which are flexible, collaborative and user-
parties are encouraged to give serious consideration to the friendly, and are understood by all employees within
interest-based approach. It is a voluntary process and entirely the organization;
their choice as to what route they wish to pursue.
conflict resolution approaches which are collaborative in
A key element of this model is the “loop-back” provision. nature and are reflected in the culture of the organization;
This enables parties to change their minds and select a
processes which are comprehensive in that they cover the
different process if, during the course of a process, they feel
broadest possible range of issues for the broadest array of
another approach might be more effective. For example, an
people in the organization through a variety of structures
individual may have filed a formal grievance which is under
and functions; and
review in accordance with normal redress of grievance
processes. The individual may then decide that use of the alignment with the organization’s vision, mission and
mediation option is a better way to proceed. S/he may then values as it brings about behavioural change.
put the grievance on hold and loop back to the mediation
The aim was to bring about cultural change within the
process. If the mediation is unsuccessful in bringing about
organization by moving it away from highly confrontational
a satisfactory outcome, s/he may loop back again to the
workplace behaviours to more collaborative processes. In
grievance review process.
this way, the organization would become a more “conflict-
competent” entity.
KEY LEARNING
T H E I N T E G R AT E D C M S M O D E L F O R D N D / C F
ENSURE PROCESSES ARE In the early stages of the Project, at the facilitated design
CLEAR AND PROPERLY
workshops involving key stakeholders, the understanding of
FOLLOWED
what an integrated system really was needed clarification.
Some rights-based processes stipulate that dis- The generic integrated dispute resolution system presented
putants must register their intention to access the
earlier in this chapter was used as a model.
process within a given time. It may therefore be
prudent to first initiate a formal process, even when When we held this model up against our goals and then
an interest-based process appears to be a better factored in the institutions and practices that were already
approach. In those instances the formal process in place, we were able to develop and modify the model
would be placed “on hold” while the disputants seek significantly.
resolution through an informal method. If they find
that the interest-based approach is not working, they
can then loop back to the rights-based process even
if the time limit has been exceeded.
72 P A T H W A Y S
We added detail to the model. Where the generic model Recognizing that we wanted our CMS to deal with not only
referred to something only in general terms, we identified dispute resolution, but also prevention, we added this element
the specific components of those references as they applied to the model and gave it prominence.
to DND/CF and inserted them in the appropriate spots.
Once we completed this exercise, we had a model that,
For example, where the generic model referred to “existing
though based on a generic DRS, reflected our specific goals
access points,” we identified and inserted the actual DND/CF
and identified those components that were already in place.
access points where, in the organization and process, they
would be situated. The integrated CMS for DND/CF is characterized in the
following diagram:
Prevention
IF NO 4 CONFLICT
OPTIONS
AVOIDANCE INTEREST-BASED EAP/MAP CO RIGHTS-BASED

(No action by Disputants) APPROACH QR&Os APPROACH
Civ Grievance Process Harassment Ombudsman

5 levels Investigation
MECHANISMS AVAILABLE
(DIR-DG-DGER-PSSRB- (Mil & Cil)
• Self Help MPCC
• Coaching Fed Crt)
• Conciliation
• Negotiation
• Meditation (Internal, External) Fed Crt
• Early Neutral Evaluation Mil Grievance Process
2 levels:
RESOLUTION: NO RESOLUTION: CO or CO or Human Rights

END OF CONFLICT RIGHTS-BASED OPTIONS Initial Authority Initial Authority Commission
DCFGA (CDS) DCFGA (CDS)

(Final decision) (Referral Stage)
CFGB
(Recommending Body)
CDS
(Final decision)
C H A P T E R 7
The DND/CF model has a heavy emphasis on the roles and mandates of the primary rights-based authorities
prevention of conflict, which is demonstrated by its and institutions within the organization.
prominent placement right at the top of the diagram.
Understanding where the checks and balances are and
If prevention of the conflict fails and a dispute arises, there who does what to whom inevitably helped us create a more
are normally five different approaches that can be taken: integrated system. It also gave us the opportunity to promote
informal processes, and this prompted some institutions to
avoidance;
either add some of these processes to their arsenal of tools or
interest-based approach; to refer clients to ADR processes. It was also interesting to
the Employee Assistance Program (EAP) or, for military note that many of the rights-based institutions had already
personnel, the CF Member Assistance Program (MAP); identified and incorporated ADR processes into their own.
superior’s intervention (often guided by regulation); and As the DND/CF CMS has evolved, the value of alignment
and co-operation among institutions dealing with conflict
rights-based approach. has been recognized. For example, an initiative called the
Avoidance—This is where individuals tend to avoid the issue Good Grievance Network has been introduced. The network
and not do anything about it. They continue along and use is made up of representatives from institutions dealing with
internal coping mechanisms. They internalize the issue in the conflict resolution and brings them together to share infor-
hope that it will eventually go away. Issues usually resurface mation and seek better ways of delivering services through
at some later date, often in a more serious manifestation than education, coordination and referral.
the original issue. I have included a list of some of the primary DND/CF
Interest-based approaches—This refers to various ADR rights-based authorities, along with descriptions of their
approaches, which are shown in the above diagram. mandates, to show the range of responsibilities and how
they relate to each other. They are:
Employee Assistant Program or CF Member Assistance
Program—Employees and members sometimes avail Director General Employee Relations (DGER)—DGER is
themselves of these programs, where they get confidential the centre of employee relations expertise for civilians. It is
counselling to help them cope with conflict and other responsible for policy development and advice on employee
related matters. relations matters, including civilian discipline, compensation,
pensions, collective bargaining, consultation, harassment,
Superiors—Individuals often elect to approach their exclusions and designations, and strike management and
superiors for help. In most instances the superior will refer to contingency planning. DGER is also the final level in the
regulations, policies or directives for guidance. For military departmental grievance procedure, as well as the final depart-
members, the Commanding Officer may refer to the Queen’s mental level for National Joint Council grievances. As well, it
Regulations and Orders for the Canadian Forces (QR&Os) to represents departmental interests with central agencies.
provide direction around how certain issues must be handled.
The CDS’s Guidance to Commanding Officers and/or the Ombudsman—The Ombudsman, on the Minister’s behalf,
Defence Administrative Orders and Directives (DAODs) acts as a neutral and objective sounding board, mediator,
may also provide relevant guidance. investigator and reporter on matters related to DND/CF.
The Office acts as a direct source of information, referral and
Rights-based approaches—These are commonly used when education to assist individuals in accessing existing channels
there is a grievance, harassment complaint, human rights of assistance and redress within the DND/CF.
complaint and a whole array of other disputes.
The Ombudsman is independent from the management and
chain of command of DND/CF and reports directly to and
ALIGNMENT is accountable to the Minister.
ALIGNMENT WITH DND/CF INSTITUTIONS If a complaint is made to the Ombudsman about the han-
Like most CMS design initiatives, the DND/CF project sought dling of a complaint or complaints by or under certain
to introduce and integrate ADR processes to complement and existing mechanisms, the Ombudsman may review the
augment the rights-based processes that were already in place. process only, to ensure that the individual or individuals are
It was, therefore, important to identify and understand the treated in a fair and equitable manner. While conducting a
74 P A T H W A Y S
review, the Ombudsman will not interfere with or obstruct dispute. Should the grievor not be satisfied with the decision,
an authority responsible for administering an existing mecha- the grievor may submit the grievance to the CDS. The CDS
nism in the discharge of the authority’s statutory duties. must refer any grievance of the type described below to the
Board before giving a decision on the grievance. The CDS
The Ombudsman may investigate any matter referred to the
may also refer other types of grievances to the Board for
Ombudsman by written direction of the Minister and may,
recommendation. The CDS is the final grievance authority.
subject to these directives, on the Ombudsman’s own motion
after advising the Minister, investigate any matter concerning Grievances related to the following matters are reviewed
the DND/CF. by the CFGB:
The Ombudsman is bound by any general policy directives administrative action resulting in the forfeiture of, or
affecting the activities of the Ombudsman that are issued and deduction from, pay and allowances, reversion to a
made public by the Minister. lower rank or release from the CF
Judge Advocate General—JAG’s mandate is to provide the application or interpretation of CF policies relating
effective and efficient legal services in respect of military to the expression of personal opinions, political activities
law and to superintend the administration of military justice. and candidature for office, civil employment, conflict-
The JAG is statutorily responsible to the Minister of National of-interest and post-employment compliance measures,
Defence and “accountable” for the legal advice given to the harassment or racist conduct
CDS, the military chain of command and the DM. This clear
pay, allowances and other financial benefits
accountability structure was designed to enhance the integrity
of the Office of the JAG and ensure the independence of the the entitlement to medical care or dental treatment
JAG from the chain of command in the provision of legal any grievance in which the CDS is personally involved
advice in all areas including military justice.
Military Police Complaints Commission (MPCC)—
Office of the DND/CF Legal Advisor—The Office of the The MPCC was established as a quasi-judicial, independent,
Legal Advisor provides legal advice to DND/CF in all areas civilian agency to examine complaints arising from either
of the law, except those related to military law, military the conduct of military police members in the exercise of
discipline and the military justice system for which JAG policing duties or functions or from interference in or
is responsible. obstruction of their police investigations.
Areas of practice include alternative dispute resolution; The Chairperson of the Commission has the power to
civilian labour relations; claims and litigation support; investigate, to cause the Commission to conduct an investiga-
drafting legislation, regulations and directives; legal risk tion, convene public hearings, report its findings and make
management; materiel procurement, environment and real recommendations based on those findings. These findings
property; national security; pensions and finance; and public and recommendations are submitted to designated senior
law, including human rights, information and privacy, and officers in the Canadian Forces, the Deputy Minister of
intellectual property. National Defence, and the Minister of National Defence,
Canadian Forces Grievance Board (CFGB)—The Board is depending on the circumstances.
mandated to complete an objective and impartial review of each The designated officials are obliged to report in writing to both
grievance referred to it by the CDS. It makes recommendations the Minister and the Chairperson of the Commission, explain-
to the CDS with the goal of helping him redress grievances. ing the action they have taken or plan to take in response to
Although the Board’s findings and recommendations are not the Commission’s recommendations. Similarly, officials must
binding, the CDS must provide reasons, in writing, to the explain to the Minister and the Chairperson if action is not
Board and the grievor if he does not act upon them. taken on any of the Commission’s recommendations.
The Board intervenes at the second and final stage of the While the Commission does have significant powers, it
grievance review process. The grievor must first go through attempts at all times to resolve complaints as informally
the CF internal process by submitting the grievance to the and expeditiously as possible.
Commanding Officer, who has the opportunity to address the
C H A P T E R 7
ALIGNMENT WITH DND/CF POLICIES As an integral component of the DR range, the alternative
Like most large organizations, DND/CF has created a dispute resolution (ADR) mechanism:
collection of administrative directives designed to provide
supports the chain of command;
guidance to its employees and members. They are the DAODs
and they are accessible to everyone in the organization. supports the role and mandate of unions;
DAODs articulate the Department’s administrative policies, promotes unit cohesion and morale;
stipulate related requirements, identify the authorities
responsible for the policies and provide guidance on how contributes to operational effectiveness;
those policies ought to be managed within the Department. supports the priorities of the DND and the CF;
Ignoring or acting in a manner that is contrary to the guid-
ance provided in the DAODs can result in disciplinary action. provides users at all levels with a process to resolve issues
at the lowest level and at the earliest stage;
While the decision of the Defence Management Committee
and a subsequent CANFORGEN from the DM and the CDS complements other formal processes;
in January 2000 were instrumental in communicating that provides easily accessible, voluntary, multi-optional
ADR was a priority for DND/CF, strongly supported by processes that are integrated with existing processes; and
management, and that it was the preferred approach to
does not restrict the chain of command in its ability to
resolving workplace disputes, a subsequent draft DAOD
policy document was prepared. The DAOD was intended command and to take administrative or disciplinary action
to institutionalize the above message and clarify the as it sees fit in the circumstances.
responsible authorities. The draft document, in its The goal in implementing this ADR mechanism is to prevent
entirety, reads as follows: disputes from arising or escalating wherever possible, and
where they do arise, to facilitate their resolution informally
and quickly. The benefits of such a mechanism include
DEFINITION
improved morale and productivity and a reduction in the
Alternative dispute resolution means any process used to
number of formal grievances, as well as the time and money
resolve disputes, other than the more formal, traditional or
spent dealing with them.
legal methods of resolving disputes such as court adjudica-
tion, tribunals, the CF grievance process or the national ADR processes shall not replace existing formal, traditional,
standardized grievance process. legal methods of resolving disputes. Members continue to
have the right to use any other available dispute resolution
It includes a variety of processes such as:
process and to return to any of these processes even after
negotiation (self-resolution), ADR has been attempted.
mediation (third party assistance), and Detailed information on ADR, and when to use ADR, is
contained in the Conflict Management Program—Guidelines
coaching (of parties to a dispute).
for the Use of Alternative Dispute Resolution Processes.
POLICY DIRECTION
P O L I C Y S TAT E M E N T
Context
The DND and the CF are committed to:
The DND and the CF promote a working environment that
resolving workplace conflicts in a timely and
respects core ethics and values, builds morale and encourages
co-operative manner;
a high level of operational readiness. They recognize that in
order for this to occur, a range of dispute resolution (DR) establishing, promoting and utilizing ADR as the preferred
mechanisms must be available to address conflict that will approach to preventing the escalation of disputes and
inevitably arise. resolving workplace disputes wherever and whenever
appropriate; and
continuing their leadership role, within Canada and inter-
nationally, in promoting and expanding the use of ADR.
76 P A T H W A Y S
REQUIREMENTS ensure that ADR processes are aligned with the values and
The DND and the CF shall: ethics of the DND and the CF;
provide an ADR mechanism that is flexible and respects provide standardized ADR training for DND employees
the confidentiality concerns of participants and the chain and CF members in conflict resolution skills;
of command as well as current legislation;
provide standardized training leading to qualification of
ensure that all DND employees and CF members are authorized ADR practitioners of the DND and the CF,
well informed as to the ADR options available; including mediators; and
ensure that high quality ADR services are available to ensure that the qualified mediators of the DND and the
and accessible by all DND employees and CF members, CF adhere to the Code of Ethics for mediators in DND/CF,
employees of associated agencies (e.g. CFPSA) and the the Ethics Code for the Public Service of Canada and the
Canadian Cadet Movement on a voluntary basis, in a Code of Conduct for the CF as applicable to civilian and
timely manner and without fear of reprisal or retaliation; military mediators respectively.
provide easily accessible information concerning ADR
processes, principles and procedures so that all DND AUTHORITIES
employees and CF members may make informed decisions The following table identifies the authorities related to ADR:
regarding workplace conflict resolution;
THE… HAS/HAVE THE AUTHORITY TO…

ADM (HR-Mil) and approve of ADR policy and to delegate procedures to the DGCMP.
ADM (HR-Civ)
Director General Conflict approve ADR procedures;

Management Program
implement the Conflict Management Program;
oversee the activities of the Dispute Resolution Centres; and
act as departmental authority for ADR-related activities.
Level 1 advisors implement workplace dispute resolution policy and procedures for their organizations that
are consistent with this DAOD.
Managers and supervisors ensure that their subordinates are given the opportunity to consider the various ADR
options available to deal with their disputes.
SOURCE REFERENCES DAOD 5012-0, Harassment Prevention and Resolution

(http://hr.dwan.dnd.ca/harassment/)
Access to Information Act (http://laws.justice.gc.ca/en/A-1/)
CANFORGEN 064/03 ADMHRMIL 022 071545Z MAY 03
Canadian Human Rights Act
Conflict Management Program—Guidelines for the
(http://laws.justice.gc.ca/en/H-6/)
Use of Alternative Dispute Resolution Processes
Privacy Act (http://laws.justice.gc.ca/en/P-21/) (http://hr.dwan.dnd.ca/CMP)
Policy on the Prevention and Resolution of Harassment
in the Workplace, Treasury Board Secretariat
(http://www.tbs-sct.gc.ca/pubs_pol/hrpubs/
hw-hmt/hara1_e.asp
C H A P T E R 7
KEY LEARNING A key component of the harassment prevention and
resolution policy and related guidelines is the prominent
KEEP POLICY STATEMENTS positioning of ADR options.
SHORT AND TO THE POINT
A comprehensive ADR component was introduced into
Keep your ADR policy statement short and clear. Too
the guidance document. The opening paragraph of the
many organizations try to define, explain and provide
Harassment Prevention and Resolution Guidelines sets
detailed direction around their ADR initiative, to the
point where it becomes more like an operations the tone. It reads:
manual than a policy directive. It is well recognized that early resolution and/or use of
A letter from the Commissioner of the RCMP to all its ADR techniques usually provide for speedier and more
members became the core policy framework for the satisfying resolution to conflict situations in general
RCMP. The CANFORGENs issued jointly by the DM and and harassment situations in particular. DND/CF has
CDS for DND/CF members and employees captured therefore made a conscious decision to include these
the essence of the ADR policy in a dozen or so lines. mechanisms in its culture and leadership philosophy.
That’s all that was required to kick-start the initiative. In concert with this philosophy, DND/CF has decided
The balance can be covered off and institutionalized in
to make serious consideration of these techniques and
official collections (like the above DAOD), operational
offer their usage, unless there are compelling reasons not
policies and procedures manuals later.
to do so, one of the first steps in the resolution of any
harassment situation. Additionally, such techniques may
become appropriate at any time during the resolution of
a complaint and should be utilized.
DND/CF HARASSMENT POLICY AND ADR
The rest of the document, which I have included in the CMS
During the early stages of the CMP there were two separate
Tool Kit as Tool 8, goes on at length about the use of ADR in
harassment policies in place: one for civilians, the other for
the resolution process.
CF members.
This is an excellent example of how related policies can be
Among CF members there was a perception that whenever
aligned to help create a fully integrated CMS, where messages
there was an allegation of possible harassment, an adminis-
and processes are consistent and in keeping with the ultimate
trative investigation was obligatory. This often led to
goals of the organization.
confrontational, hard-line positions being taken and a
further expansion of the conflict. The results of the
investigation, or the decision of the responsible officer, REDRESS OF GRIEVANCE POLICIES
would often lead to individuals filing a grievance consistent AND ADR
with current grievance procedures. The redress of grievances policy is another example of
how rights-based policies can be aligned to reflect informal
Recognizing that this approach was counterproductive and
ADR processes.
that it was inconsistent with the goals of an integrated CMS,
EDCM worked with appropriate institutions to institute CF members who believe they have been aggrieved by a
change. After all, if you want to ensure the system will be decision, act or omission in the administration of the affairs
used effectively, it is important to synchronize policies of the CF for which no other process for redress is provided
with intended outcomes. under the National Defence Act, and that is not specifically
precluded in the Act or the Queen’s Regulations and Orders,
To change this cycle, the two harassment policies were com-
have the right to submit a grievance up to and including
bined. Strong, clear statements articulated how harassment
the effective date of their release from the CF.
should be handled. Among them were:
The Canadian Forces Grievance Manual makes reference
Leaders and managers at all levels have a duty to take
to ADR as another option for those considering, or having
immediate steps to stop any harassment they witness
already commenced, the grievance process.
or that is brought to their attention.
78 P A T H W A Y S
The published CF Grievance Process Matrix and flow Their endorsement has been echoed by other leaders within
chart has the following statement prominently displayed: the organization—union representatives, managers and the
Remember that Mediation Remains an Option Throughout. chain of command, not to mention the many disputants
who have availed themselves of these processes and been
The document also states:
satisfied—which has served to strengthen support for ADR
Potential Grievors are encouraged to seek a solution to their processes. The buy-in from so broad a base has sent the
concerns in the least formal and most appropriate means message that the process works and that it benefits everyone.
possible. The right to grieve does not preclude a verbal
An effective communications plan has helped raise awareness,
request for resolution directly to the Commanding Officer
and a series of well-designed training programs—catering
prior to submitting a grievance. Mediation is another option
to the unique needs of the organization and reflecting its
when both parties to the dispute agree to meet and seek
culture—has helped demystify ADR while also endowing
resolution. Even after a grievance is submitted, so long as the
participants with the knowledge and skills to apply interest-
relevant Grievance Authority has not yet rendered a decision,
based processes in their day-to-day interactions.
Grievors may still withdraw or suspend their grievances in
favour of an informal resolution. Those same interest-based processes have been applied in
contexts other than conflict resolution and have proven
successful. An example of this can be seen in the joint efforts
KEY LEARNING of labour and management in developing and promoting the
CMS. Both groups have recognized that a successful program
POLICIES DEALING WITH is in their best interests and have actively worked to satisfy
RIGHTS-BASED OPTIONS those interests—another example of alignment, this time
SHOULD INCLUDE REFERENCE
between message and action.
TO RELATED INTEREST-BASED
APPROACHES Finally, the integrity of the system has played a significant
If it is the intention of the organization to encourage role in promoting the program and its related behaviours.
the use of interest-based approaches, policies and Professionalism, openness, confidentiality, access, high ethical
guidelines for rights-based processes should include standards, impartiality and neutrality allow users to trust the
a thorough description of ADR options and processes. system and feel comfortable using it.
ALIGNMENT WITH DND/CF BEHAVIOURS

Senior leadership at DND/CF has been very visible in its
support for ADR processes. They have not only talked about
it, but have also actively participated in training and have
used the processes in their own dealings. This has gone a
long way toward making ADR a recognized and viable
option of choice.
C H A P T E R 7
Furthermore, within the workplace there is
often a wide range of perceptions concerning
C H A P T E R 8 the nature and scope of mediation. If confusion

about the mediation process is prevalent, it can
impede implementation of the project. For example,
at DND/CF mediation was initially seen by some as
a highly structured process, with narrow applications
MEDIATION and rigorous rules (sometimes internally referred to as
“big M” mediations); others viewed it as a very informal
process, with few guidelines (“small M” mediations). Often
these views stemmed from training that had been received
from different training providers who held varying views
about the subject. Other times it was a result of incomplete
knowledge gleaned, in snippets, from sources that were
themselves unclear on the concepts. Whatever the reasons,
the constant debate over what mediation really was and
how it should be approached made implementation and
acceptance difficult.
It is therefore critical to clearly define terminology at the
MEDIATION IN A
outset. For example, at DND/CF mediation was defined by
PUBLIC SECTOR
a number of characteristics, listed below. CMS designers
ENVIRONMENT
may find these characteristics consistent with the goals of
In simple terms, mediation can be their own programs. They are:
defined as a negotiation in which an
It is a negotiation between two or more parties that is
impartial third party assists disputants
facilitated by an organization-qualified or approved
in their attempts to reach a mutually
external, impartial mediator.
acceptable agreement.
It is voluntary for all parties.
In most conflict management programs, mediation tends
to be the ADR mechanism of choice and often is the key It is confidential within defined limitations.
driver of such programs, particularly in the early stages.
Parties agree on the selection of a mediator.
In the public sector, the public interest, the need for trans-
An Agreement to Mediate is signed before mediation
parency of process, legislative requirements (e.g. the Access to
begins.
Information Act and the Privacy Act) and the related interests
of central agencies (e.g. the Treasury Board or Public Service Minutes of Settlement are drafted and signed at the
Commission) can produce a mediation environment that is conclusion of the process if an agreement is reached
often more complex than in the private sector. between the parties.
In some cases the existence of a parallel culture can further

complicate the issue. This is very evident at DND/CF, where
the military, with its own justice system and regulations,
coexists with a civilian workforce that is subject to different
employment conditions and regulations. While DND/CF
is an extreme case, some similar conditions exist at the
RCMP and Foreign Affairs. In other organizations this
duality of cultures may be present between functional
groups (e.g. operational versus policy folks or labour
versus management).
80 P A T H W A Y S
The DND/CF model was strongly influenced by the work in
KEY LEARNING this area by leading mediators, including Chris Moore, Bernie
Mayer, Roger Fisher, Frank Sander, Cheryl Picard and Gordon
ESTABLISH A COMMON
VOCABULARY AND Sloan. The framework we developed consisted of five phases;
UNDERSTANDING AROUND however, we added an extra phase at the outset of the process,
THE TERMINOLOGY YOU which we called the pre-mediation preparation.
ARE USING; BE AS PRECISE
AS POSSIBLE
P R E - M E D I AT I O N P R E PA R AT I O N —
I’ve said this earlier, in a different context, but it THE CONVENING PROCESS
bears repeating. The pre-mediation preparation (sometimes referred to as
Because people have very different perceptions meta-negotiation) is an important phase that is often over-
about ADR and mediation, it is useful to have looked or given inadequate attention. It is in fact a key step
an upfront discussion with stakeholders, decide in the mediation process as it:
on operational definitions and standards, and
communicate this within the organization. sets the tone;
For example, at DND/CF we decided to use the clarifies the process;
term “mediation” only if there was an Agreement
defines the roles and responsibilities of all parties;
to Mediate signed by the disputants and where a
successful mediation would lead to the signing of provides an opportunity to establish trust; and
Minutes of Settlement. Other, more informal “assisted
negotiations” were referred to as interventions. This permits disputants to agree on some less contentious issues
proved very useful in moving the organization for- (this can set a precedent for later agreement on issues that
ward, beyond the distraction of semantic debate. may be more contentious).
DND/CF refers to the process whereby a third party neutral
determines if individuals wish to avail themselves of an ADR
process to help resolve their conflict as the convening process.
The need for clarity and understanding also goes beyond The convening process involves:
terminology. Standards, guidelines, roles, responsibilities intake;
and processes all need to be unambiguously articulated
and disseminated throughout the organization, so they assessment; and
are both accessible and well understood. planning.
THE PROCESS—STANDARDS T H E I N TA K E P R O C E S S
AND PRACTICES The intake process is where an impartial person, usually
the mediator:
Very early in any conflict management project, it is important
to develop a mediation model that will suit the organization’s determines if the parties are interested in resolving their
culture and establish an element of consistency while allow- issues through an ADR process;
ing for flexibility where necessary.
speaks to all parties involved in the conflict to understand
When designing that model there may be many options to the issues and the dynamics associated with the conflict;
consider, but a lot of these options are linked to the specific
explains the ADR process to the parties and explores
characteristics of the organization—its culture, institutions,
whether ADR is appropriate to the dispute and is preferred
size and so on. At the core, most models are based on the fun-
by the parties;
damental processes employed in common mediation practices.
ensures the parties have access to information on other
options if they choose not to pursue mediation; and
obtains the consent of the parties to proceed with ADR.
C H A P T E R 8
MEDIATION 81
The pre-mediation stage enables the mediator to get informa- not generalizing or stereotyping people;
tion on the problem and generally understand the conflict
acknowledging the legitimacy of the parties and issues;
(the characteristics of the file, the participants, the nature
of their conflict, their backgrounds). With this information, being open and transparent;
the mediator can structure a process that is most useful and clarifying communications; and
comfortable for the parties.
treating parties equally and fairly.
The mediator will establish a working relationship with
the disputing parties by: The mediator will make parties aware that any of the parties
involved in a mediation may, with the concurrence of the
contacting the parties and providing context for the other parties, have support persons or expertise during the
intervention; pre-mediation and mediation processes. A support person
building rapport with the parties; could be a union representative, harassment assistant,
HR advisor, legal counsel, spouse or friend. At the same
establishing personal credibility with the parties;
time, the mediator will encourage the parties to speak
informing the parties about the process and responding for themselves as much as possible rather than through
to related questions; a representative or supporting person.
providing a contextual understanding concerning ADR As well, the mediator will make all parties aware of the
and the organization; and confidentiality provisions.
enhancing the confidence of the parties with the At DND/CF, EDCM provided mediators with a checklist
mediation process. of intake guidelines. This document was not only helpful
in ensuring that mediators covered all key steps, but also
In collaboration with the disputing parties, the mediator will
served to establish a common standard of practice across
select a strategy to guide the mediation. This is a coordinating
the organization. It read:
function to ensure all parties understand the strengths and
weaknesses of different approaches. Introduce yourself and put the party at ease through
attentiveness and openness.
The mediator will collect and analyze background informa-
tion by: Get a general overview of the circumstances that have led
the person to approach the Dispute Resolution Centre.
reviewing relevant data about the people, dynamics and
substance of the conflict; and Determine if a rights-based process has been started, how
the individual became aware of the DRC, what informal
verifying points of contention and the accuracy of data.
attempts have been initiated to resolve the conflict, etc.
The mediator will prepare for the mediation by:
Provide information about ADR.
outlining strategies that will enable the parties to
Discuss the services available at the DRC. Provide an
move toward agreement; and
overview of the role of the third party neutral and the
identifying contingent approaches to respond to participants in various ADR processes.
specific situations.
Discuss the parameters of confidentiality.
The mediator will build trust and co-operation by:
Determine if the person requires information from process
listening to the disputants; experts and inform him or her of appropriate contacts.
ensuring ADR is understood and is an informed choice; Inform people that recourse to rights-based processes is
ensuring the right people are involved; not eliminated by a decision to try ADR processes.
If applicable, discuss the need to suspend or extend time-
building confidence and preparing the disputants
psychologically; lines for formal procedures (abeyance, in grievances).
Identify the people involved in the conflict.
managing strong emotions;
checking assumptions and perceptions;
82 P A T H W A Y S
Confirm how other people in the conflict will be Determine whether participants wish to have an assistant
approached to consider ADR. (e.g. a union representative or legal counsel) and/or
support person (e.g. friend, spouse) present in an
Clarify the level of involvement, if any, of the chain
ADR intervention.
of command.
Determine ADR process accommodations or adaptations
Arrange to meet the initial contact in person.
desired by the participants (forms of address, attire,
Provide participants with documents describing language, safety considerations).
ADR and DRC services.
Explain the agreement to participate in ADR interventions
Complete a data collection form to record the (Agreement to Mediate, Agreement to Conflict Coaching).
contact details.
Identify suitable third party neutrals (gender, civilian/
Open a file. military, rank, culture, particular expertise or experience).
Assessment Provide participants with a list of key questions that
Before proceeding with an ADR intervention, an assessment will assist them in preparing for an ADR intervention.
must be made to determine whether this is the most Planning
appropriate approach. Some assessment guidelines include:
Planning is where the third party neutral organizes the
Identify and understand the conflict issues and the mediation or other ADR intervention. Some planning
participants’ goals. guidelines include:
Encourage all participants to focus on their concerns Whenever more than one third party neutral is anticipated,
(regarding the conflict, as well as the ADR processes), determine the roles and responsibilities of each third party
interests and objectives. neutral and determine how feedback will be shared.
Help participants consider the implications of the best Design or co-design the appropriate ADR process.
and the worst possible outcomes of rights-based and
Determine responsible centre for data collection.
interest-based processes (BATNA and WATNA) for
themselves and the other people involved. Determine budget for ADR intervention, including cost
allocations and who is responsible for covering those
Timing: Explain how long an ADR intervention may
costs, as appropriate and as needed.
take and explore timing concerns and needs.
Ensure logistical preparations are in place (room,
Assess the motivation of people to resolve issues and
refreshments, flip charts).
their readiness to be open and honest.
Address specific needs identified by the participants
Identify those people whose advice, participation or
(health needs, breaks, etc.).
agreement could be required in an ADR process to
reach and follow through on an agreement. Inform all participants in the ADR process of the
arrangements made, preferably in writing.
Ask the participants to evaluate whether the situation
is appropriate for ADR. Getting agreement from all on the administrative and other
details will not only ensure that parties are comfortable and
Determine whether the situation warrants informing
prepared for the mediation, but will also establish, even
the CMS coordinator.
before the really contentious issues are raised, that there
Evaluate whether the situation is appropriate for are areas where the disputants can find accommodation.
ADR intervention. Though subtle, these minor agreements can help to create
a positive atmosphere that can encourage co-operation
and accommodation.
C H A P T E R 8
MEDIATION 83
THE FIVE-PHASE MODEL PHASE 3—EXPLORING INTERESTS
The 12-stage mediation model described by C. Moore in Interests are underlying needs that a person wants satisfied
his publication The Mediation Process served as a foundation or met. The mediator will uncover hidden interests of the
for the design of the DND/CF model, described below: disputing parties by:
identifying the interests and needs of the parties.
1. Introducing the process: Setting the stage
These include:
2. Identifying the issues: What needs to be resolved
a) substantive interests—money, time, goods or resources;
3. Exploring interests: What’s important and why
(priorities, expectations, assumptions, concerns, b) procedural interests—specific types of behaviour or
hopes, beliefs, fears, values) the way something is done; and
4. Generating options: Developing creative solutions c) personal interests—how one feels, how one is treated,
or conditions for an ongoing relationship;
5. Reaching agreement: Commitments that are realistic,
educating the parties about each other’s interests;
understood and operational
encouraging an exchange of information among the
parties through dialogue related to interests;
PHASE 1—INTRODUCING THE PROCESS
This phase sets the stage for a collaborative approach to exploring interests through the use of open-ended
the negotiation, establishes a positive climate and generates questions and listening skills; and
further confidence in the mediation process. gathering key interests into a statement of joint goals
The mediator: and inviting solution generating.
welcomes and encourages the parties;

begins with a positive tone; P H A S E 4 — G E N E R AT I N G O P T I O N S
This phase helps parties identify creative, tailored and
establishes the ground rules; durable outcomes. The mediator will help in the generation
gets agreement on behavioural guidelines; of options by:
attends to the signing of the mediation agreement using brainstorming techniques;

and answers questions in relation to its content; developing an awareness among the parties of the need
raises issues for discussion and addresses topics that for multiple options;
will not be covered; and moving parties away from fixed and limiting positions;
opens the negotiation among the parties. generating options using interest-based bargaining
approaches; and
PHASE 2—IDENTIFYING THE ISSUES reality testing alternatives.
This phase helps the parties explore what concerns
The mediator will help in assessing the options for
they expect the mediation to solve.
settlement by:
The mediator will assist in identifying issues and
using interests to assess options;
setting an agenda by:
using objective criteria or standards of legitimacy;
identifying broad topic areas which are perceived
to be of concern to the parties; assessing the costs and benefits of selecting options; and
getting agreement on the issues to be discussed; and assessing the costs of not reaching a settlement.
outlining the sequence for the handling of the issues.
84 P A T H W A Y S
PHASE 5—REACHING AGREEMENT EXTENT OF CONFIDENTIALITY
During the last phase the mediator helps the parties keep Open and honest communication is a fundamental principle
focused and draft the agreement they have reached in the of mediation. To achieve this, parties must trust that their
form of Minutes of Settlement. openness will not be used against them later. To that end,
mediation should not be used to gather facts or information
The mediator will assist the parties by:
for use in another process, such as a complaint, grievance or
verifying that the agreement is achievable and sustainable; legal process.
identifying procedural steps to operationalize the At the outset of a mediation, parties will be asked to agree
agreement; upon the extent of confidentiality. In most cases they specify
helping establish an evaluation and monitoring procedure; in the Agreement to Mediate that they will not discuss with
persons outside the process the issues discussed in the course
formalizing the terms of the agreement and drafting of the mediation.
the Minutes of Settlement;
Confidentiality issues often present a substantial number of
helping create an enforcement and commitment questions on the part of new mediators. Guidelines around
mechanism; the issues of, for example, the destruction of mediator notes
congratulating the parties; and following a mediation can be ambiguous and situational. On
this subject, section 5 of the National Archives Act states that
communicating administrative handling of Minutes no record under the control of a government institution
of Settlement. and no ministerial record shall be destroyed or disposed of
without the consent of the National Archivist of Canada.
However, the National Archives issued a document in 1990
KEY LEARNING entitled Authority for the Destruction of Transitory Records,
which states that certain transitory records can be destroyed.
DEFINE AND COMMUNICATE
THE CHARACTERISTICS OF Transitory records are defined as “those records required
YOUR MEDIATION MODEL AND only for a limited time to ensure the completion of a routine
RELATED STANDARDS OF action, or the preparation of a subsequent government
PRACTICE record. Transitory records do not include records required by
There are several different mediation models to government institutions or Ministers to control, support or
which organizations can subscribe. These include document the delivery of programs, to carry out operations,
transformative models (Bush and Folger, The Promise to make decisions or to account for activities of government.”
of Mediation), narrative approaches (Winslade and
Monk, Narrative Mediation) and interest-based DND/CF, like most government organizations, is sensitive
approaches (Sander, Fisher, Moore). Some are more to the destruction of material and this has resulted in a very
directive in nature than others. cautious approach. Still, it has been determined that where
For large, geographically dispersed organizations the contents of the mediator’s notes are reflected in Minutes
where there is a great deal of change (e.g. military of Settlement or other record, they may be considered transi-
posting cycles), it is possible to use different tory and be destroyed. A mediator’s initial views, if they are
approaches in different organizational units. It is not shared with anyone else and do not add value to the
important that the organization: mediation itself, may also be considered transitory.
consider the mediation options available to it; At DND/CF, information provided by the parties in a
test different approaches if necessary; mediation will be kept confidential by the mediator unless:
make a choice as to the most suitable model; and the matter raised is of a potentially criminal nature;
clearly define and communicate this throughout
the mediator learns that impending harm may occur
the organization. This should include the stan-
dards of practice that will be used. to the disclosing party or to another individual;
a violation of the National Defence Act is required to
implement the Minutes of Settlement where agreement
has been reached; or
C H A P T E R 8
MEDIATION 85
there is another predominant legal or policy obligation— Office of the DND/CF Legal Advisor—Directorate of
for example, those reflected in the National Defence Act, Claims and Civil Litigation
the Queen’s Regulations and Orders, and other legislation,
Judge Advocate General
such as the Access to Information Act and the Privacy Act.
mediators
As well, parties may elect to waive confidentiality requirements.
In some instances Agreements to Mediate include a clause
indicating that all parties agree that the mediator’s notes will T H E R O L E O F T H E M E D I ATO R
be destroyed. DND/CF and the Public Service Staff Relations A standard of practice should be established to which
Board currently use this clause. potential mediators can be trained. This is especially true
in large, diverse and geographically dispersed organizations.
It is critical where mediators are being developed, tested and
C L A S S I F I C AT I O N O F M E D I AT I O N qualified internally, particularly when this qualification is
DOCUMENTS reflected in their personnel files.
Documents pertaining to the mediation process, including
the case intake file, the Agreement to Mediate and the Clients interested in the mediation option are often particu-
Minutes of Settlement, should be classified at a minimum larly interested in the role the mediator would play. A simple
Protected B (when completed) and safeguarded accordingly. handout, summarizing what a mediator does and does not
do, can be a very helpful tool—for clients and mediators.
The handout used at DND/CF stated that the role of the
ROLES, RESPONSIBILITIES mediator is to:
AND STANDARDS FOR THE
be impartial, not take sides
PARTIES TO A MEDIATION
provide a thorough explanation of the mediation process
In the early stages of a conflict management project, there
is often confusion or, at least, a lack of familiarity with the and establish ground rules with the parties
roles and responsibilities of the organization’s institutions help everyone listen, communicate and stay focused on
and individuals as they relate to ADR and mediation. When the mediation
individuals—whether they are acting as representatives of an
shift the focus from one of blame to a creative exchange
organizational institution/Office or as an advocate for one or
between the parties
more of the parties—are brought into the mediation process,
their specific roles, responsibilities and standards of conduct help the parties clarify the important issues and interests
need to be clearly articulated.
help identify the interests of the parties
It can be helpful to identify individuals and institutions
shift the focus from the past to the future, from positions
that may commonly be asked to participate in the mediation
to interests, from wants to needs
process and to describe what they need to know and what
is expected of them. At DND/CF these descriptions included help develop realistic options
the roles of:
deal respectfully with all the parties
Executive Director Conflict Management
help the parties finalize their Minutes of Settlement
Dispute Resolution Centre Coordinators
The role of the mediator is not to:
environmental commands and group principals
take sides
Commanding Officers
give advice on the legal implications of the agreement
supervisors and managers
provide his or her own opinions
union representatives
take responsibility for the issues
human resources representatives
solve the issues
86 P A T H W A Y S
R E S P O N S I B I L I T I E S O F T H E PA RT I E S A N D not limit his or her role to regulating conflict or “keeping
M E D I ATO R S TO T H E M E D I AT I O N P R O C E S S the peace” at the bargaining table;
Entering into a mediation carries with it certain responsibilities
be prepared to assume the role of a resource person to
and standards of behaviour, for interested parties as well
as mediators. It should not be assumed that these will be assist the parties in successful negotiations by providing
intuitively understood or known. procedural or substantive recommendations when called
upon to do so;
As well as defining the general role of mediators, it is there-
understand his or her inherent authority and the responsi-
fore useful to prepare and distribute to interested parties
an outline of some of the responsibilities of the disputing bility that comes with it;
parties, and of the mediators, to the mediation process itself. understand that the mediator must demonstrate
An example of the outline used at DND/CF is reproduced integrity, objectivity and fairness to ensure an effective
below and can be adapted to the needs of your organization. mediation process;
demonstrate—in addition to positive character—
R E S P O N S I B I L I T I E S O F T H E PA RT I E S intellectual, emotional, social and technical attributes
TO T H E M E D I AT I O N P R O C E S S in written and oral communications to the parties;
Given that parties agree to the mediation process voluntarily,
not make false, misleading or unfair statement or claim as
the parties should:
to either the benefits of the mediation process or his or her
participate in the mediation in good faith using honest and skills, role or qualifications;
open communications;
reveal all monetary, psychological, emotional, associational
where possible, negotiate without the mediator’s assistance; or authoritative affiliations that he or she has with any of
where necessary, initiate an intervention; the parties that could cause a conflict of interest or affect
the mediator’s actual or perceived neutrality;
assume responsibility for the resolution of a dispute; and
recognize that if any of the parties feel that the mediator’s
respect all provisions as reflected in the Agreement background will have or has had a potential to bias
to Mediate. performance, the mediator should disqualify himself
or herself from the mediation process;
R E S P O N S I B I L I T I E S O F D N D / C F M E D I ATO R S demonstrate behaviour that is impartial and
TO T H E M E D I AT I O N P R O C E S S non-adversarial;
Given that mediation is a participatory process, the
recognize that information received in confidence or in a
mediator should:
private session, caucus or joint session with the parties is
educate the parties about the mediation process and confidential and should not be revealed outside the negoti-
encourage their involvement where appropriate; ations without the express consent of the party(ies);
understand that a specific mediation intervention is understand that if any of the parties require or are receiv-
important not only to the situation at hand, but also to ing psychological treatment, the mediation process should
future conflicts in which the parties may be involved; be suspended, as such treatment may impair the judgment
promote mediation as applicable in many, but not all, of the parties; mediation is not a substitute for therapy;
cases… it is not a universal remedy to resolve all disputes; recognize that the objective of mediation is to present and
be familiar with other dispute resolution mechanisms in promote a process that is seen as fair and equitable by all
the event that mediation is not appropriate; parties and to assist the parties to that end;
ensure that the resolution mechanism recommended to ensure that a written statement or the terms of settlement
parties is appropriate to the situation at hand and the of the mediation are signed by the parties;
desired outcome; understand that the mediator’s satisfaction with the
agreement is secondary to that of the parties;
C H A P T E R 8
MEDIATION 87
in the event of an agreement that the mediator feels is not attempt to mediate in an unfamiliar field;
illegal, grossly inequitable, the result of false information,
seek a co-mediator when required or refer cases to other
the result of bad faith or impossible to enforce, or which
qualified mediators who are trained or experienced in a
may not hold over time, pursue certain of the following
specific field, where this expertise is required; and
alternatives:
support the organization’s code of ethics.
– inform the parties of the difficulties seen in
the agreement,
– inform the parties of suggestions that may remedy I N D E M N I F I C A T I O N O F, A N D L E G A L
A S S I S TA N C E F O R , C R OW N E M P L OY E E S
the problems,
A common question asked by mediators working in a
– withdraw from the process without disclosing to public sector environment is: “How vulnerable am I to
any party the reason, and being personally sued?”
– withdraw from the process, but disclose in writing This is a legitimate concern since, as a result of the perform-
to all parties the reason for such action; ance of their duties, public servants can be instructed to
appear before the courts or other tribunals, be sued personally
not offer legal advice to any party but, instead, refer the
or be charged with an offence. In such cases they may be
parties to appropriate legal counsel;
entitled to legal assistance, including representation at public
make the parties aware of deadlocks in the mediation expense, or in the event of an award of damages against them,
process and recommend termination of the process to to indemnification by the Crown.
the parties where appropriate;
The provision of legal assistance to, and indemnification of,
not allow prolonged, unproductive discussions that result public servants is governed by the Treasury Board’s Policy on
in increased time and emotional costs for the parties; and the Indemnification of and Legal Assistance for Crown Servants.
avoid any appearance of disagreement with or criticism of The policy authorizes Ministers, Deputy Ministers and
co-mediators. Deputy Ministers’ delegates to approve the provision of legal
assistance, at public expense, to public servants on the advice
of the Department of Justice. The policy does not include
R E S P O N S I B I L I T I E S O F T H E M E D I ATO R persons engaged under a contract for services, with the
TO THE PROFESSION
Mediators are skilled professionals. They learn their profes- exception of Ministers’ exempt staff.
sion through a variety of opportunities, such as formal Public servants may request legal assistance when, arising
training or education, workshops, practical experience, from the performance of their duties, they are:
coaching and supervision. They adhere to strict codes of
required to appear before, or to be interviewed in connec-
conduct and ethical guidelines and act in a responsible,
tion with, any judicial or investigative tribunal, inquest or
appropriate and professional manner in the conduct of
other inquiry;
their duties. They recognize their responsibilities, not only
to their clients, but also to their profession. As such, they sued or threatened with a suit;
strive to:
charged or likely to be charged with an offence; or
meet the minimum standard for mediators in
faced with other circumstances that are serious enough
their organization;
to require legal assistance.
be responsible for upgrading their skills and theoretical
A deputy head may approve a request for legal assistance if
background and endeavour to better themselves and
satisfied that the request arises from the performance by
their profession through continuous learning;
the servant of his or her duties and the servant has met
promote the profession and make contributions to the field “reasonable departmental expectations.” The term “reasonable
by encouraging or participating in research, publishing or departmental expectations” is not defined in the policy and
other forms of professional and public education; is generally given a broad interpretation. The policy provides
that servants will be indemnified against personal civil liability
practise only in areas of mediation in which they are
incurred by reason of any act or omission within the scope of
qualified by either experience or training;
88 P A T H W A Y S
their employment or duties “so long as they acted honestly Self-determination is the fundamental principle of
and without malice.” mediation. It requires that the mediation process rely
upon the ability of the parties to reach a voluntary agree-
Unless there are extenuating circumstances, no legal assis-
ment. Further, any party may withdraw from mediation
tance at public expense is authorized for a mediator who
at any time.
has clearly stepped beyond the scope of assigned duties.
Impartiality
In civil cases the Department of Justice will, in most
instances, provide legal advice. The policy includes provisions A mediator shall conduct the mediation in an impartial
addressing the circumstances in which private counsel may manner.
be retained and the circumstances in which the public servant
The concept of mediator impartiality is central to the
may be personally responsible for payment of legal fees.
mediation process. A mediator shall mediate only those
When the Department of Justice has conducted the defence, it matters in which she or he can remain impartial. If at any
is the practice of the government to pay, out of public funds, time the mediator is unable to conduct the process in an
any judgment, including costs, against the servant, as long as impartial manner, the mediator is obliged to withdraw.
the servant is entitled to indemnification under this policy.
Conflict of interest
In cases involving offences, payment by the Crown does not
A mediator shall disclose all actual and potential conflicts
include any fine or costs of prosecution. The costs of legal
of interest reasonably known to the mediator.
assistance paid by the Crown will be recovered from the
public servant should it be determined, during the course A conflict of interest is a dealing or relationship that might
of the proceedings, that s/he was not acting within his or create an impression of possible bias. The basic approach
her scope of duties or employment. to questions of conflict of interest is consistent with the
concept of self-determination. The mediator has a respon-
sibility to disclose all actual and potential conflicts that are
ETHICAL STANDARDS reasonably known to the mediator and could reasonably be
FOR MEDIATORS seen as raising a question about impartiality. If all parties
agree to mediate after being informed of conflicts, the
It is important to establish, have approved and publish—early
mediator may proceed with the mediation. If, however,
in the project—the ethical standards expected of mediators.
the conflict of interest casts serious doubt on the integrity
These standards act as a “touchstone” to guide mediators in
of the process, the mediator shall decline to proceed. A
the fulfillment of their obligations.
mediator must avoid the appearance of conflict of interest
At DND/CF the ethical standards were prepared in collabora- both during and after the mediation.
tion with key stakeholders such as the Defence Ethics Office
Competence
and approved by the CMP Steering Committee.
A mediator shall mediate only when the mediator has the
The DND/CF Defence Ethics Program served as a starting
necessary qualifications to satisfy the reasonable expectations
point for the development of the mediation ethical standards.
of the parties.
The standards for mediators by the ACR, the American Bar
Association and the ADR Institute of Canada provided addi- Any person may be selected as a mediator, provided that
tional guidance in the preparation of DND/CF’s standards. the parties are satisfied with the mediator’s qualifications.
Training and experience in mediation, however, are often
The document outlining the DND/CF ethical standards for
necessary for effective mediation. A person who offers
mediators was approved and published and made available to
herself or himself as available to serve as a mediator gives
mediators as well as stakeholders. It represents a minimum
parties the expectation that she or he has the competency
of what can reasonably be expected of mediators providing
to mediate effectively and meets the appropriate DND/CF
services within the organization. The contents of that
standards.
document appear below:
Confidentiality
Self-determination
A mediator shall maintain the reasonable expectations of
A mediator shall recognize that mediation is based on
the parties with regard to confidentiality.
the principle of self-determination by the parties.
C H A P T E R 8
MEDIATION 89
The mediator shall meet the reasonable expectations of As organizations may wish to consider another framework
the parties with regard to confidentiality. The parties’ which can be modified to serve their own purposes, I have
expectations of confidentiality depend on the circum- included the Australian Defence Force description (taken
stances of the mediation and any agreements they may directly from their document) in the CMS Tool Kit as Tool 9.
make. The mediator shall not disclose any matter that a
party expects to be confidential unless given permission by
all parties or unless required by law or other public policy. KEY LEARNING
Quality of process IT IS IMPORTANT TO HAVE
A mediator shall conduct the mediation fairly, diligently A CODE OF ETHICS FOR
and in a manner consistent with the principle of self- MEDIATORS WHICH IS
determination by the parties.
COMPATIBLE WITH THE
ORGANIZATION’S BROADER
A quality process requires a commitment by the mediator STATEMENT OF ETHICS AND
to diligence and procedural fairness. There should be CAN SERVE AS A COMPASS
adequate opportunity for each party in the mediation to WHEN MEDIATORS ARE FACED
participate in the discussions. The parties decide when WITH ETHICAL DILEMMAS
and under what conditions they will reach an agreement The development of ethical standards for mediators
or terminate mediation. not only serves to provide guidance to mediators,
but also gives the mediator the authoritative
Advertising and solicitation framework to respond to demands which may
A mediator shall be truthful in advertising and solicitation be inappropriate (e.g. a senior official requests
for mediations. confidential information). Ensure these standards
are formally accepted at the senior decision-making
Advertising (or any other communication with parties) level of the organization.
concerning services offered or regarding the education, Furthermore, since the document is available to
training and expertise of the mediator shall be truthful. everyone within the organization, it speaks to
Mediators shall refrain from promises and guarantees all employees, not just mediators. As such, it is
of results. another effective communications tool that adds
to the integrity of the program while providing
Obligations to the mediation process
both information and reassurance.
A mediator has a duty to improve the practice of mediation.
Mediators are regarded as knowledgeable in the process
of mediation. They have an obligation to help educate
the public about mediation; to make mediation accessible MEDIATION TOOLS—
to those who would like to use it; to correct abuses; and THE DND/CF EXPERIENCE
to improve their professional skills and abilities.
As noted earlier, DND/CF made a distinction between the
terms “assisted negotiation,” which referred to very informal
CODE OF ETHICS: AUSTRALIAN interventions, and mediation, which described a more formal
DEFENCE FORCE (though not rights-based) third party ADR intervention.
The Australian Defence Force’s Defence Instructions include
an annex outlining a code of ethics with which registered This differentiation went beyond mere semantic hairsplitting.
defence ADR practitioners must comply. The code of ethics In fact, mediation was distinguished from more informal
described in the ADF Instructions go into greater detail interventions by the development and signing of key docu-
around specific standards of practice than does the DND/CF’s ments that helped articulate goals, understandings, processes
more general statement of ethics. Either model works well. and decisions. These documents lent weight, authority and
structure to the process and provided touchstones and
concrete evidence of progress within the mediation.
90 P A T H W A Y S
T H E AG R E E M E N T TO M E D I AT E Disclosure of Information
The Agreement to Mediate is the key document to the
Within the context of the Agreement to Mediate, the
commencement of the mediation process. Parties are normally
mediator will not disclose information discussed during
asked to sign an Agreement to Mediate at the first joint
the process unless the parties specifically and unanimously
session of all disputants. Copies are usually provided to
consent or, exceptionally, as ordered by an appropriate
them in advance of the mediation to assist in advancing
authority.
the process.
Indemnity and Compellability
This document gives the mediator the mandate to proceed
and confirms the parties’ willingness to proceed. The This clause confirms that the parties will not bring lawsuits
Agreement to Mediate provides the mediator with legal against the mediator, nor will the mediator be called upon
protection by DND/CF, provided that s/he is acting ethically, to testify at any subsequent proceedings.
in good faith and within the bounds of the Project’s prescribed A basic template was developed and modified as circum-
mediation process. It outlines roles and responsibilities of the stances warranted and I have included it in the CMS Tool Kit
mediator and participants and specifies the issues that are to as Tool 10.
be mediated.
The DND/CF Agreement to Mediate model was developed
MINUTES OF SETTLEMENT
by EDCM in collaboration with the Office of the DND/CF
Normally, the drafting and signature of the Minutes of
Legal Advisor and the Office of the Judge Advocate General.
Settlement concludes the mediation process. The mediator
Key items in the Agreement to Mediate include: will usually draft the minutes and present them to the parties
Authority to Settle for review and signature. The mediator does not usually sign
the Minutes of Settlement.
Generally the mediator will ensure that those who have
the authority to settle the dispute are involved in the A suitable agreement should normally be:
mediation process. Occasionally, if the responsible Substantive. It will define specific tangible exchanges
authority cannot be at the table, the mediator can make (money, services, labour and so forth) that will result from
arrangements to ensure that the parties have access by the negotiations.
telephone or some other means to this person.
Unambiguous. It will be worded clearly and precisely.
Without Prejudice Communication
Achievable and legal. It will be possible to implement and
This means that the information exchanged during the meet all legal requirements.
mediation process cannot be used in any future proceed-
Comprehensive. It will address all key issues in a dispute.
ings regarding the issue in question. In other words, if a
mediation does not result in an agreement between the Enduring. It will be sustainable over the long term.
parties, the parties have the right to continue with any
Final. It will include all elements in their final form and
other redress processes that may help them resolve
constitute full and final settlement of the complaint.
their complaint. However, the information provided
and discussed during the mediation cannot be used in Clear about implementation time frames. Items for action
any of those proceedings. Mediation cannot be used as by specific participants in the mediation include dates for
a fact-finding tool by any of the parties. completion.
Termination of the Mediation Unconditional. It will provide for the termination of the
dispute without the requirement of future conditional
In keeping with the concept of self-determination, any
performance.
party may terminate the mediation at any time in the
process. Similarly, if the mediator feels parties are not Binding. It will bind the parties and, where possible,
acting in good faith, or for any other reason, he or she identify the consequences if a party does not comply.
may choose to terminate the process.
C H A P T E R 8
MEDIATION 91
The agreement will often include the term “for valuable con-
KEY LEARNING
sideration.” In legal terms, this means: “…that which is given,
done or forborne in return for the promise or act of another ENSURE ALL MEDIATION
party. Consideration may be a promise to do or forbear from DOCUMENTS/TEMPLATES AND
doing something, or some loss or detriment suffered. It is RELATED PROCESSES ARE
normally a payment, transfer of goods, provision of services PREPARED IN COLLABORATION
or surrender of another legal claim. It is not anything which WITH, AND REVIEWED BY,
the individual is already under an obligation to do. It must THE APPROPRIATE LEGAL
be of some value, but not necessarily value equivalent or AUTHORITIES
adequate to the promise.” It is important that the mediation process be
conducted in a manner that can withstand all
Once agreed to, the minutes are signed by the parties affected legal scrutiny and that all related documentation
by the agreement and they are provided with a copy. A sealed be prepared within the parameters of sound legal
copy is kept in the Dispute Resolution Centre. standards. For this reason we considered it very
important to prepare templates in collaboration
Since the mediator has no involvement in the execution
with the Offices of the Legal Advisor and Judge
of the agreement, the mediator does not sign the Minutes
Advocate General to cover specific recurring situa-
of Settlement. Support persons (such as union representatives tions, particularly in relation to elements included in
or legal representatives) would normally be asked to sign to the Agreement to Mediate and Minutes of Settlement.
signify their agreement to respect the confidentiality of the
The correct legal terminology is very important, and
settlement. In some cases, they also commit to clauses in
the preparation of templates, language and clauses
the Minutes of Settlement. Once signed, the Minutes of acceptable to departmental legal authorities is
Settlement become a contract between the parties. critical, particularly where practitioners have limited
When completed and signed, the Minutes of Settlement are legal backgrounds. Bring in Legal Services (if the
annotated “Protected B” and safeguarded accordingly. A sample program is not housed within that organizational
unit) early in the process.
Minutes of Settlement relating to the conduct of a hypothetical
grievance is included in the CMS Tool Kit as Tool 11.
RETENTION OF DOCUMENTS
A D M I N I S T R AT I V E C L O S U R E
The to Mediate and the Minutes of Settlement are retained by TO T H E M E D I AT I O N F I L E
the DRC or EDCM for a minimum of five years. Signatories Where administrative action is required as an outcome
are given a copy. If persons who are not present at the of a mediation, parties obligated to take action will require
mediation need a copy of the Minutes of Settlement or the direction. In some instances, with the concurrence of the
Agreement to Mediate for administrative purposes, all parties parties to the mediation, the Minutes of Settlement will
to the mediation agree to the release of the document and be provided to the appropriate individuals within the
make note of this in the Minutes of Settlement. organization, even though they may not have been directly
As part of the monitoring function, the CMS program involved in the mediation.
authority (at DND/CF this is the Director General Conflict If, for example, the responsible officer, as specified under the
Management Program) may review the Minutes of Settlement organization’s harassment or grievance policies, requires a
to ensure that professional standards are being maintained. copy of the Minutes of Settlement in order to bring closure
Contracts awarded to external service providers indicate to the process, this should be discussed between the parties
that the intervention will be conducted in accordance with at the beginning of the mediation and so indicated in the
DND/CF guidelines and that the supplier will use the stan- Minutes of Settlement. For certain grievances the Canadian
dard Agreement to Mediate and Minutes of Settlement. As Forces Grievance Authority will accept a signed annex to
well, the external supplier provides a copy of the Agreement the minutes, which contains specified agreed-upon clauses.
to Mediate and the Minutes of Settlement to the responsible Examples of documents used in instances where there is full
DRC or to DGCMP. or partial settlement of a grievance have been included in the
CMS Tool Kit as Tool 12 and Tool 13 respectively.
92 P A T H W A Y S
The completion of these evaluation forms enabled program
KEY LEARNING
managers to analyze and determine strengths and areas
SEPARATE TEMPLATES for improvement.
SHOULD BE DEVELOPED The type of analysis conducted is demonstrated in the
FOR THE CLOSURE OF FILES following two graphs. These are based on the returns of
RELATED TO DIFFERENT 68 questionnaires which were completed at the conclusion
REDRESS APPLICATIONS of a series of mediations. They provide useful information
OR THE REQUIREMENTS OF
on both the mediation process and the mediators.
DIFFERENT UNITS WITHIN
THE ORGANIZATION
Evaluation of Mediation Process
Different organizational units may have their Based on 68 Returns
own, unique requirements in order to close files.
Templates will need to take these requirements 100
90% 87% 86% 86%
into consideration. 81%
80 74%
60
40
A D M I N I S T R AT I V E C L O S U R E — I N F O R M I N G
THE MANAGER 20
To provide administrative closure to a mediation requested by
a manager or unit, the mediator will send a memorandum or 0
letter to that unit and provide the following information: I received a good explanation about the process.
The mediation was worth the time and effort.
The mediation between Party A and Party B was conducted The mediation facilities were adequate.
on (date) to address (identify issue that was mediated); I would recommend mediation to others.
I understand the other party’s perspective better.
The matter was resolved to the satisfaction of all parties; or The other party understands my perspective better.
It was not resolved and is therefore referred to the

appropriate administrative mechanism; Evaluation of Mediator
at Based on 68 Returns
No further involvement is required on the part of the DRC
mediator; and 100 94% 93% 93% 93% 90%
89% 88% 86% 85%
Questions may be referred to the DRC. 80
All such correspondence is classified and marked
60
PROTECTED B.
40
E VA L UAT I O N O F M E D I AT I O N S 20
A N D M E D I ATO R S
To ensure that individual mediations meet program standards 0
and that mediators meet expectations, all mediations are Dealt respectfully with all.
evaluated by the participants. This generates feedback that Acted in accordance with guidelines.
Good explanation of process.
will enable continuous program improvement and enhance
Fair and impartial.
the skill levels of mediators. These learnings are shared Helped everyone listen.
among other program officials and mediators who make up Clarified issues and interests of parties.
the community of practitioners. An evaluation form and Satisfied with minutes of settlement.
Facilitated realistic options.
return pre-addressed envelope are given to the parties at the
Identified common interest.
conclusion of the mediation. A sample evaluation form is
included in the CMS Tool Kit as Tool 14.
C H A P T E R 8
MEDIATION 93
KEY LEARNING KEY LEARNING
EVALUATE THE MEDIATION PREPARE AND DISTRIBUTE

PROCESS IMMEDIATELY UPON FACT SHEETS ON THE
THE PROVISION OF SERVICES MEDIATION PROCESS
There is a tendency in many conflict management EARLY IN THE PROGRAM
programs to wait until a number of mediations have DEVELOPMENT PROCESS
been conducted before initiating an evaluation regime. Clients often want only a simple, straightforward
As well, mediators are often reluctant to recognize overview of what the mediation process is all about
the importance of this and either neglect to hand out so they can assess its appropriateness for their
evaluation forms or fail to convey the importance of situations or better prepare themselves for an inter-
this to the participants, who should be completing vention in which they will be involved. The use of
and mailing them to the coordinating office. fact sheets based on questions and answers can
Completing an evaluation of the mediation is very fulfill this need very effectively.
important to ensure the quality of the process and
sustain ongoing modifications and improvements.
The evaluation process should begin early in the
program, as soon as the first mediation is conducted.
With the start of the conflict management program, M E D I AT I O N C H E C K L I S T S
managers should implement a monitoring process to At DND/CF we found it useful to prepare checklists for
ensure evaluations are completed. Mediators should officials who might have an overall responsibility or accounta-
understand that facilitating the completion and return bility for the provision of mediation services, either directly or
of evaluation forms is their responsibility and that indirectly, within their organizations. These individuals found
they will be held accountable for this requirement. it helpful to have these clear guidelines around the process.
A good example of this is the checklist prepared for Base
Commanders. The following summary of the Commanding
Officer’s Checklist for Mediation was in the Chief of the Defence
Staff Guidance to Commanding Officers workbook. This was
M E D I AT I O N FAC T S H E E T S B A S E D O N distributed to all Base Commanders to provide guidelines to
F R E Q U E N T LY A S K E D Q U E S T I O N S ensure the consistent application of the process. It read:
At DND/CF potential users of the mediation process
Commanding Officer’s Checklist for Mediation:
frequently made inquiries about the process and how
they might use it to address their own circumstances. Based Have the parties agreed to attempt mediation?
on these inquiries, we prepared fact sheets with frequently
Are all directly interested parties (to the degree possible)
asked questions, which could be distributed to interested
at the table?
parties. These were also included on our Web site.
What additional people will be present at the mediation?
An example of one of these fact sheets, prepared at an
early stage of the Project, is included in the CMS Tool Kit Should the mediator be empowered to bring other people
as Tool 15. into the process if he/she feels that their presence would
enhance the mediation?
Are the parties at the table represented by people with
enough authority to agree to a final resolution?
Have the issues to be mediated been identified?
Has a process to select a mediator been established?
94 P A T H W A Y S
Is there a mechanism for selection if the parties are not T H E M E D I AT I O N P R O C E S S A N D M E D I ATO R
able to agree on a mediator? COMPETENCIES
In the chapter on training I described a number of mediator
Does the mediator need to be bilingual? competencies which form the basis for the training and
Has a mediation agreement been entered into which qualification of mediators. This includes, among others,
includes: competencies identified by the ADR Institute of Canada.
The Institute’s competency framework also gives a good
– the mediator’s mandate,
perspective of effective mediation processes. Viewing
– a provision for a written agreement if the dispute is mediator competencies in relation to processes makes
resolved, and sense, as good mediation processes are largely a function
of good mediator skill sets.
– the confidentiality of the process?
The skill sets of ADR Institute Charter mediators are
Have the date and time of the mediation been determined?
presented in four areas:
Has a neutral location been chosen?
administrative
Have limits been set on how long the mediate session
procedural
will take?
relationship
Have any special requirements been met (i.e. translation,
wheelchair accessibility)? facilitation
Has a procedure to be followed been established and Key recommendations, supported by specific actions,
agreed upon by all parties? are presented within each area. An outline of the
document follows:
Does the mediator have the authority to set the
mediation procedure?
Is there a provision for disclosure? A D M I N I S T R AT I V E
Organize and conduct the practice of mediation in an
Will the disclosure be in advance or as required by efficient and effective manner.
the mediator?
Organize and maintain office systems.
Is it established who will draft the agreement?
Work within the system/rules governing the accepting
Will any eventual agreement be subject to independent and handling of engagements.
legal advice?
Allocate time, effort and other resources.
Organize the required needs of the mediation.
KEY LEARNING
Bring the engagement to completion.
CHECKLISTS CAN BE VERY
USEFUL FOR A SUMMARY
PROCEDURAL
REVIEW OF RESPONSIBLE
PARTIES; DIFFERENT PARTIES Recognize the nature of the dispute and establish clear
WILL HAVE DIFFERENT understandings, concerning the process, with and between
NEEDS, SO THEY SHOULD the parties.
BE CUSTOMIZED FOR EACH Determine legitimacy and jurisdiction.
USER GROUP
Establish clear understandings.
Mediation checklists are useful as reference points
for stakeholders; however, these should be designed Supervise the preliminary meeting.
separately and customized for different stakeholder
groups such as commanders, legal counsel, unions Deal with preliminary matters.
and mediators to reflect their specific needs.
C H A P T E R 8
MEDIATION 95
R E L AT I O N S H I P
Instill and maintain a positive relationship and good
communication.
Maintain a positive relationship.
Listen effectively.
Speak effectively.
Maintain a conducive atmosphere during the session.
FAC I L I TAT I O N
Conduct the mediation session using fair, flexible and
effective procedures, skills and techniques.
Conduct a fair session.
Promote an assertive tone.
Deal with high emotion.
Organize and analyze data.
Deal with the issues.
Surface needs and interests.
Advance the process.
Bring closure and achieve settlement.
The complete document is worth reading. It appears on the
Institute’s Web site (www.adrinstitute.ca), but for the sake of
convenience I have also included it in the CMS Tool Kit as
Tool 16.
96 P A T H W A Y S
KEY LEARNING
C H A P T E R 9 CONSIDER COACHING AS
A KEY COMPONENT WHEN
ESTABLISHING A CMS AND
RELATED SERVICES
Organizations considering a comprehensive CMS
COACHING based on ADR should consider the inclusion of
conflict coaching. This would include consideration
FOR CONFLICT of standards of practice, qualification standards,
training, operational policies and procedures.
COMPETENCY Many organizations add coaching or similar
processes to their client services after the mediation
function is in place and well grounded. While it may
represent a substantial capacity-building challenge
for system designers, developing a coaching program
(and other services) at the same time as the media-
tion program can help both stakeholders and clients
better understand how all the services within the
CMS relate to each other.
THE CONFLICT
MANAGEMENT
SPECTRUM
Mediation and arbitration are often An effective CMS makes use of a wide spectrum of activities,
considered the centrepieces of ADR-based ranging from interest- to rights-based processes. Coaching
systems. When evaluating those systems we may play a role in several of these functions, especially
tend to measure their success by the extent around self-directed or third-party-assisted initiatives, as
to which rights-based processes such as griev- illustrated below.
ances, harassment complaints and litigation are replaced
with interest-based interventions, particularly mediation.
This is a narrow view of ADR and does not allow for the
full potential of an integrated CMS.
Conflict Management Specrum
Interest-Based Rights-Based
Prevention initiatives Self-directed Third party assistance Advisory processes Adjudicative

• training “issue-resolution” • mediation • early neutral processes
• Ombudsperson initiatives • facilitation evaluation • arbitration
• ADR centres • negotiation • coaching • peer panel • management
• teambuilding • coaching • workplace • mini trial decision
• dialogue/consultation conferencing • litigation
• collaborative inquiry • conciliation • board/tribunal
C H A P T E R 9
COACHING FOR CONFLICT COMPETENCY 97
COACHING F O U R A P P L I C AT I O N S F O R
CONFLICT COACHING
The term “coaching” can mean different things to different
In the context of any conflict management program, a
people. For some it conjures up images of some edgy guy in
number of conflict coaching applications or models may
a too-tight sports jacket pacing behind a players bench while
be implemented. I have identified four major applications
barking instructions in clipped, staccato bursts. Well, yes …
in this domain and characterize them as follows:
and no.
Client-focused conflict coaching—This refers to the
While that may be accurate in a hockey arena, it has little
coaching function that may be applied in an ADR practition-
to do with coaching in a conflict management context.
er/client relationship, where a qualified individual provides
Other people may picture a silver-haired gentleman in a coaching services to a client who is experiencing difficulties
$500 suit sententiously doling out advice based on years of in dealing with conflict, either broadly or around a specific
experience, but that image is more suited to mentoring, a situation or issue. The client-focused conflict coach may
term which is often confused with coaching. focus upon long-term competency enhancement or a
shorter-term, specific issue.
A mentor provides advice and answers to questions that are
based on his or her own experiences; a coach coaxes and Mediator competence coaching—This coaching function is
guides, so that the coachee can better develop and access his used to enhance the capacity of another ADR practitioner,
or her own competencies. It’s about helping others see things normally a mediator. The mediator competence conflict
they don’t normally see about themselves and the culture coach normally focuses the coachee on knowledge, skill
around them. It empowers the coachee to realize his or her and actions.
own potential. By enhancing individual competence, it
Mediation coaching—In this application the focus is on
increases organizational capability.
coaching one of the parties involved in a mediation, beyond
In practice, conflict coaching is similar to the emerging field that level of support normally provided by the mediator.
of executive coaching and draws heavily upon its principles; This application may also be characterized as “negotiating
however, while executive coaching usually takes a broad and mediation” coaching. In this capacity the coach provides
approach, dealing with a multitude of competencies related assistance in preparing the party for the mediation and its
to leadership and good management, conflict coaching is various interest-based processes. This coach may also attend
more targeted and specialized in application. the mediation with the party and assist the individual and his
or her representatives (e.g. lawyer or union representative)
Coaching, in the context of ADR and conflict management, is
in being most effective in the mediation. This commitment
a relatively new discipline with largely undefined standards of
involves a much shorter time frame, as it centres on a specific
practice. Many conflict management practitioners have been
mediation. Since this practice is usually dispute-specific and
conscripted as coaches and have been very effective in helping
concentrates largely on process advice around a particular
parties reflect on their approaches to conflict and create
issue, it tends to be more consultative in nature, rather than
enhanced awareness and skill sets to address the conflict
focusing on a long-term, competency-enhancing relationship.
with which they must deal. However, the function appears
to be used more as an informal service than as a rigorous The peer conflict coaching circle—Peer coaching circles
discipline. With the emerging importance of coaching in bring peers together to reflect on specific workplace conflict
a conflict management context, there is considerable work challenges and to consider how best to manage them. This
to be done in articulating the conceptual underpinnings practice leads to enhanced learning about conflict and about
and practice standards around this discipline. themselves as conflict-resolvers. The peer conflict coaching
circle may include mediators as peers, or individuals as a
group or team within an organization. Coaching circles are
consistent with the principles of a learning organization and
may be viewed in that context as action learning groups.
98 P A T H W A Y S
D I F F E R E N T I AT I N G F E AT U R E S O F Directed to what/whom—The coaching intervention
THE FOUR CONFLICT COACHING may focus on the needs of the individual, the organization,
A P P L I C AT I O N S / M O D E L S
or a group or team within the organization. Often it is a
The four conflict coaching applications or models can be
combination of these elements; however, the client-focused
differentiated as follows:
intervention will have more of an individual orientation than,
Focus—The focus of a coaching intervention can vary. It may for example, the peer coaching circle, which will be more
centre on a client wishing to enhance conflict management team-oriented.
competencies, or on mediators and their need to enhance and
Accountability—In all four models both the coachee and
sustain their mediation abilities, or on peers wishing to help
coach assume accountabilities for the outcomes. Peer coach-
each other through coaching circles.
ing circles assume a broader, collective accountability.
Scope—The scope of an intervention can vary from coaching
Contribution to results—The coach and coachee will
around anything within the ADR spectrum to coaching
contribute to the results of the intervention to different
directed only on mediation.
degrees, according to the model. The client may play a
Orientation—The orientation of an intervention can be more significant role in the client-focused model, whereas
around accomplishing a specific task/resolving a specific the coach’s role may be more significant in the mediation
issue, or enhancing long-term performance/behaviour. coach model.
Time frame—The time frame for an intervention can be
short if it is around a specific mediation or long if it is
KEY LEARNING
related to enduring competency enhancement.
Service delivery—The way a coaching intervention is BE CLEAR ABOUT COACHING
delivered may differ according to the needs each application OBJECTIVES AND ENSURE
demands. In some client-focused coaching interventions,
COACHING MODEL(S) ARE
COMPATIBLE WITH THOSE
the client may need extensive face-to-face contact … in peer
OBJECTIVES
coaching situations, e-mail might suffice. In most instances a
combination of face-to-face, telephone and e-mail approaches Before deciding which application/model is most
appropriate, consider your objectives. A clear
is appropriate; however, this will be a function of the circum-
understanding of your requirements will dictate
stances at play.
the model you choose.
Relationship—The nature of the coach/coachee relationship
will vary from one which requires a high degree of trust
(client-focused), to one which is more directive (mediation),
to one of joint learning (peer). Trust is key in all these models.
Confidentiality—Although confidentiality is central to all
coaching relationships, it plays a more prevalent role in
some models (e.g. client-focused) than others (e.g. peer
coaching circles).
C H A P T E R 9
The following chart illustrates some of the different features
of the four models. It is important to note that this demon-
strates tendencies, not absolutes, and that each case will be
different according to each situation.
D I F F E R E N T I AT I N G F E AT U R E S O F T H E F O U R C O N F L I C T C OAC H I N G A P P L I C AT I O N S / M O D E L S
CLIENT- MEDIATOR MEDIATION PEER CONFLICT

FOCUSED COMPETENCE COACH COACHING
COACH COACH CIRCLE
Focus Client-oriented Mediator- oriented Client- oriented Peer-oriented
Scope ADR spectrum Mediation Mediation ADR spectrum
Orientation Performance/ Task Issue Performance/Behaviour

Behaviour
Time frame Medium-Long Medium Short Medium-Long
Service delivery In person, phone In person, In person, In person, e-mail

e-mail, phone e-mail, phone
Relationship Partnership, Authority, More Authority, More Partnership,

High levels of trust advisory, expertise directive Joint learning
Confidentiality High Medium High Medium-Low
Directed to: Individual Individual and Individual Team/group and

individual/organization Organization Individual
Accountability Joint Joint Joint Collective
Contribution Client plays Coach and mediator Coach plays Peers play significant
to results significant role play significant role significant role role jointly
THE CONFLICT COACH enhancing long-term, enduring capabilities in preventing

Conflict coaching is a relationship of mutual commitment, and dealing with conflict, as well as shorter-term client
dedicated to improved client performance in the prevention interests around specific issues;
and resolution of conflict. Although this is generally focused
facilitating the journey of client self-discovery and
on conflict of a specific nature, where coaching clients wish
self-correction capacities;
to improve their dispute resolution abilities it can also take
in the broader aspects of conflict management. developing client capacity for continuous self-learning
and improvement in conflict management;
The conflict coach focuses on:
ensuring clients hold themselves responsible for their
developing a coach-client relationship based on trust,
own progress in reaching goals;
mutual respect and open, candid communication;
providing a framework for self-reflection and perspectives
that will lead to enhanced conflict competency; and
100 P A T H W A Y S
ensuring a practical, outcome-based approach to In the intake process an agreement describing the coaching
addressing the conflict raised by the client. relationship should be established. It may include:
The conflict coaching process generally helps individuals coach’s and client’s respective responsibilities;
(coaches/clients) to:
what is, and is not, included;
attain a higher level of performance;
the coaching methodology;
clarify their conflict competency objectives (around
logistics and scheduling;
a specific conflict or conflict in general);
who will be involved;
understand and measure how well they are currently
doing in attaining their goals; time frames;
recognize what impediments exist to the attainment of confidentiality; and

these objectives; professional standards and ethical guidelines.
decide what constructive actions they will take to overcome Establishing the coaching relationship—A good relation-
these impediments; and ship between the coach and client is the foundation of
determine what steps they will take to self-correct and conflict coaching success. The coach will engage in a series
enhance their capacity to deal with similar circumstances of steps to build a good rapport with the client. This will
in the future. involve creating a coaching environment that is safe and
supportive and leads to trust and respect for each other.
In doing this the coach will:
THE PHASES OF CONFLICT COACHING
demonstrate sincere concern for the welfare of the client;
There may be several approaches to conflict coaching;
however, most of them are based on seven phases: allow for freedom of expression and candid conversations;
background and intake ensure confidentiality;
establishing the coaching relationship demonstrate integrity and honesty;
diagnosis and assessment seek permission to explore sensitive issues;
alignment and commitment live up to his/her word;
coaching be flexible;
communication be open-minded and non-judgmental;
follow-up and accountability validate progress being made by the client;
Background and intake—This initial phase involves an exam- deal with emotional or difficult issues in a
ination of the background to the conflict and those factors that sensitive manner; and
led an individual to consider the conflict coaching option. This
adhere to standards of conduct and ethical guidelines
will influence the nature of the coaching intervention. If, for
(such as those of the International Coaching Federation).
example, the client is interested in coaching because s/he
recognizes a deficiency in the handling of conflict, the coaching The depth of the coaching relationship and the commitment
relationship will be different from one in which the “interest” of the parties will influence the scope of the process. This
is the result of a direct “suggestion” from his or her supervisor, could include such things as giving advice, resolving a
or there is a business need. conflict, improving a skill or changing personal priorities.
Conflict coaching usually emerges from a situation where Diagnosis and assessment—This normally focuses on
an individual is immersed in a particular conflict and seeks two things: the client and the conflict.
assistance. The client recognizes the value of this assistance
in a broader context, and this often leads to a longer-term
coaching relationship.
C H A P T E R 9
In relation to the client, the coach will want to gain a Coaching—The coaching conversation can take different
better insight into the client’s: forms, depending upon the coaching objective. This can vary
from enhancing a specific conflict management competence
understanding of, and ability to prevent and deal
to bringing about fundamental change. It will usually involve:
with, conflict;
confirming that the client wishes to pursue a particular
interests and concerns around interpersonal behaviours;
direction/topic;
daily operating environment and mode of operation;
understanding the client’s desired outcome;
assumptions and perceptions;
examining the thinking behind the behaviour/
goals and motives for having these goals; and communication that was exhibited;
definitions of success. looking at other behavioural options; and
In relation to the conflict, the coach will seek to understand: reviewing the supporting measures the coach may provide.
what happened; Conversations may relate to the exploration of new possibili-
why the client thinks it happened; ties, relationships and courses of action.
what the client’s reaction was and if this is typical; Communication—The communication skills that conflict
coaches demonstrate are similar to those demonstrated by
what the client’s perception was of the appropriateness effective mediators. They include:
of this reaction;
the capacity to surface difficult issues in a sensitive manner;
the reactions of others;
empathetic, attentive listening;
the consequences; and
constructive feedback;
interests and options.
questioning, to encourage further self-reflection on the
Alignment and commitment—Before proceeding with the client’s part;
coaching process, the coach will want to ensure that there
speaking in a clear, direct, but compassionate manner in
are no false assumptions and that there is alignment among
the coaching goals, the process and procedures, the responsi- order to bring about constructive outcomes; and
bilities of all parties and the commitments all parties are observing body language.
prepared to make.
Follow-up and accountability—Conflict coaching is a
The clarification of objectives will include an enhanced well-defined process, with start and end points. It involves a
understanding of: shared commitment on the part of all parties, and progress
priorities of the client; should be evaluated on an ongoing basis.
where coach and client should start;

the most pressing issues;
what needs to happen;
what success looks like; and
short- and longer-term considerations.
102 P A T H W A Y S
CORE COMPETENCIES
KEY LEARNING
FOR COACHING
T H E I N T E R N AT I O N A L C OAC H I N G HAVE WELL-DEFINED
F E D E R AT I O N STANDARDS OF PRACTICE
The International Coaching Federation has identified FOR COACHING AND
11 coaching competencies which it uses as the foundation SPECIALIZED TRAINING
for its coach credentialing process. These core skills, with TO ENSURE APPROPRIATE
the addition of ADR skills, are also applicable to conflict COMPETENCIES ARE IN PLACE
coaching. They include: When coaching is introduced as a component of an
organization’s conflict management and is offered
Meeting ethical guidelines and professional standards.
as a service to clients within the organization, it is
In this regard, the Federation has published standards
important to ensure that standards of practice for the
of conduct and guidelines, as has the ADR Institute of coaching function are well defined and articulated
Canada, for mediation and arbitration. and that appropriate coaching competencies either
Setting the foundation and establishing the coaching exist within the unit providing services or can be
agreement. This deals with process and relationship issues. readily accessed externally.
Some organizations believe that because individuals
Co-creating the relationship, including establishing trust are well trained in conflict management and are
and intimacy with the client. This involves demonstrating qualified mediators, they are qualified to be conflict
integrity, honesty and genuine concern for the client’s coaches. This is not necessarily the case. Conflict
welfare. coaches require specialized training according to
rigorous, well-defined training standards.
Creating a coaching “presence” with the client. This
includes a style which is confident, open and flexible.
Active listening, to understand the client’s objectives,
values and needs. This involves the words that are
spoken, how they are said and the body signals that THE DND/CF EXPERIENCE
add to further understanding. The DND/CF Conflict Management Program’s objective was
Powerful questioning that stimulates further insight to prevent or resolve conflict at the earliest stage, at the lowest
and clarity. possible level. We anticipated that as the Program matured,
we would see increased movement from rights- to more
Clear, articulate, direct and appropriate communication. interest-based processes and the prevention of disputes. In
Facilitating learning and creating further awareness on effect, this would be a movement from the right to the left
the part of the client. The coach will make interpretations side of the spectrum, described earlier in this chapter.
from several sources of information and not rely solely We expected mediation to reduce, for example, the focus on
on the client’s interpretation of the facts. grievances or harassment redress procedures. Similarly, we
Designing actions that will most likely lead to the results anticipated that with proper training and coaching, over time
sought from the coaching intervention. This may include individuals would be equipped to resolve disputes themselves
brainstorming, experimentation, testing assumptions and rather than relying on the assistance of a mediator. Part of
advocating the consideration of new approaches. this training would be interest-based negotiation and conflict
resolution. We also recognized that in many instances coach-
Developing and implementing an effective, measurable ing would be necessary. This has subsequently proven to be
and attainable coaching plan with the client. the case.
Managing the progress of the intervention so as to move
the client closer to the intended goals and ensure that
accountabilities are respected.
C H A P T E R 9
In the early stages of the DND/CF Conflict Management As the DND/CF project moved on into the program stage,
Project, I assumed the role of the conflict coach, but these a conflict coaching component was added.
interventions were usually case-specific and provided only
It is also interesting to note that, as I write this, a Conflict
to senior executives who were facing particularly challenging
Coaching for Managers Course is being developed as a direct
issues. In these instances coaching was used in the place of
response to a request made by the DND Managers’ Network
a mediation.
and its ADM Champion, who see this as an essential manage-
The DND/CF Conflict Management Project did not, however, ment tool.
include a comprehensive conflict coaching component,
though elements of this were included in the training for the
Mediator Qualification Program (see chapter on training).
In retrospect, I believe we should have considered conflict
coaching as a service right from the beginning, and I would
recommend this course of action to those considering a CMS
for their own organizations.
104 P A T H W A Y S
Workplace assessments are a valuable tool in
conflict competent organizations, as they can often
C H A P T E R 10 help resolve issues that are at the root of workplace

conflicts. In resolving the root problems, many of
the interpersonal disputes that plague an organiza-
tion can be prevented at the source. This, in turn,
normally leads to a healthier workplace, with
WORKPLACE improved satisfaction and productivity.
ASSESSMENTS In a continuous learning environment, healthy organizations
consider workplace assessments a best practice, which permits
management to monitor the workplace with respect not only
to work practices, but to the overall work culture as well. An
assessment allows an organization to establish a benchmark
on a range of issues, set clear targets for the future and assess
the progress over time.
The capacity to assist managers in organizing workplace
assessments should be addressed in the establishment of an
integrated CMS. For a variety of very valid reasons, most
WORKPLACE organizations will choose not to conduct such assessments
ASSESSMENT themselves. Still, they will want to take a leading role in
AS A CONFLICT determining the model and related standards most appropri-
MANAGEMENT TOOL ate to the organization. They should also assume a role in the
facilitation of the workplace assessment process for clients.
Conflict usually manifests itself in disputes
among individuals and is commonly There are many differing perceptions of what a workplace
focused on specific issues, relationships or assessment is, what it might accomplish and how it should be
circumstances; however, in some environments conducted. An array of private service providers offer a broad
conflict may be quite pervasive, affecting an entire organi- range of approaches, and choosing the one that is best for
zation or unit within the organization. The disputes arising you can be daunting.
within these environments may seem, on the surface, to be
Understanding the needs, goals and expectations of the
interpersonal in nature or issue-specific, but this is not always
organization can help determine the type of intervention
the case. Symptoms, such as an increased use of sick leave,
that is most appropriate.
grievances, harassment complaints, high attrition rates, mis-
trust and poor performance, often indicate that underlying
sources of friction are at the root of a broader malaise. USING EXTERNAL CONSULTANTS
When conflict in the workplace negatively affects employees Workplace assessments are usually undertaken by experienced,
and detracts from a healthy and constructive work environ- external consultants. Their neutrality, both perceived and real,
ment, managers may wish to identify the nature and causes of is key to the success of the activity. Employees and managers
these problems in a comprehensive and objective manner. A seem to be reassured when independent, professional consult-
workplace assessment, which can be done with small teams or ants with a reputable track record undertake workplace
large work units of several hundred employees, provides man- assessments. Consultants are perceived as being more neutral,
agers with the means to identify the sources of the conflict and objective and independent than departmental officials.
the actions necessary to improve the health of the organization.
C H A P T E R 1 0
WORKPLACE ASSESSMENTS 105
Furthermore, being external to the organization is an asset in include time to develop questionnaires and other tools.
assuring confidentiality. This is particularly true in public Another phase could include time for completion and
service organizations, where openness from employees might return of questionnaires, focus groups or interviews. A
be curbed because of concerns over Access to Information Act final phase could outline the time required by the consult-
and Privacy Act requests. While a workplace assessment ant to analyze information and prepare a final report. In
report, once submitted to management, is accessible through the end, the proposal should clearly specify the deadline
the Access to Information Act, the information provided to the for submission of the report to management.
consultant in the data-gathering phase would not be subject
The communications strategy—The consultant should
to a request.
indicate how and what information is to be communicated
The selection of the consultant usually depends on the size to employees/members and how their concerns are to be
of the group, the level of financial resources available and addressed to ensure the widest participation. The proposal
the time frame in which the project must be completed. should specify if the consultant is to be involved with
Consultants should be familiar with the principles of research management in explaining the reasons for the assessment
design and organization development to ensure the method- and whether the consultant will be required to draft letters or
ology is sound. e-mails to employees/members for management’s signature.
Methodology—The consultant should indicate which
tools will be used to obtain information from employees/
KEY LEARNING
members, how the participants will be selected for
WORKPLACE ASSESSMENTS focus groups or interviews and how confidentiality
SHOULD BE CONDUCTED will be ensured.
ONLY BY AN INDIVIDUAL OR The report—The proposal should specify the deadline
CONSULTING FIRM EXTERNAL for the submission of the report to management and
TO THE ORGANIZATION
employees. It should also specify the form of the report,
Any workplace assessment should be done by a neu- whether it will be bilingual, whether it will be made
tral external party for it to be viewed as a credible available to employees in paper or electronic format,
process by employees. Ensure that full confidentiality
and when it would be provided to employees.
is built into the process.
Proposed cost—The submission should outline the
proposed cost of undertaking the assessment.
If you are planning to create a request for proposal, it may
be worthwhile to review the sample RFP contained in the
H I R I N G E X T E R N A L C O N S U LTA N T S —
REQUEST FOR PROPOSAL CMS Tool Kit as Tool 1. While that RFP was designed for a
Where a workplace assessment is to be undertaken by an different purpose, many of the elements remain applicable.
external consultant, written proposals should be requested.
Proposals should include the following:
COSTS
The goal of the assessment—What the workplace Since workplace assessments are undertaken to provide
assessment is attempting to achieve. information to management about the nature and cause of
conflicts in the workplace, the organizational units should
Time frames—Start and end dates, as well as timings for
assume the costs associated with the study. Management is
critical phases of the project, should be stipulated. For
also responsible for the implementation of the findings and
example, there could be a design phase during which the
recommendations and any associated costs (the need to
consultant meets with management and possibly union
retain the services of organizational consultants to deal
representatives to discuss reasons for the workplace assess-
with leadership or management training, coaching, etc.).
ment and the issues to be addressed. This phase would
106 P A T H W A Y S
WORKPLACE ASSESSMENT environment. At their best, such assessments not only lead to
GUIDELINES the resolution of existing conflicts, but also make it possible
At DND/CF, EDCM, with assistance from the consulting for teams to discuss how future conflicts can be either avoided
firm Watson Wyatt, developed guidelines to help both service or dealt with more effectively.
providers and clients navigate through the process. These Sources of workplace conflict may include:
overarching guidelines, while DND/CF-specific, are applicable
the personal behaviours of supervisors, managers,
in most situations.
co-workers or clients in the workplace;
organizational issues (communications, staffing and
W H AT I S A W O R K P L AC E A S S E S S M E N T ? classification; ratios of supervisors to employees, etc.);
A workplace assessment is an objective study of the percep-
tions of all employees, including managers and supervisors, other issues unique to the workplace (such as shift work,
to determine what impact a number of different problems or use of consultants);
issues have on the work environment. Workplace assessments work practices;
measure an organization’s “health” by identifying what works
well and what doesn’t. The information gathered often opens the culture of the workplace—positive and
the door to implementing concrete measures to improve negative aspects;
leadership and human resource practices. the incidence of discrimination, harassment or abuse
Management may undertake workplace assessments when of power; and
there are symptoms of organizational or interpersonal con- how well the team or group work together and
flict. These may include a significant number of grievances why or how.
or harassment complaints, or conflicts between supervisors
and employees, those between peers, or those between units
within the organization. Union representatives may also voice METHODOLOGY—THE TOOLS
their concerns during union-management consultations or The three most common methods or tools used to obtain
during informal discussions with management. information from employees about workplace conflicts are
questionnaires, interviews and focus groups.
A workplace assessment can be completed within four to six
weeks in smaller organizations, within two to three months Questionnaires are cost-effective tools for gathering
in larger ones. comprehensive information, especially where the group
being surveyed is large. They consist of a series of closed and
open-ended questions. Because open-ended questions allow
HOW DOES IT WORK? respondents to elaborate or to raise matters not otherwise
A workplace assessment allows an organization to: specifically addressed, they often provide valuable insights
identify the underlying reasons for the conflict; into the sources of discontent within an organization.
Responses are always kept confidential.
determine the extent of the conflict in the organization;
One-on-one interviews by the consultant with all or a
validate the results by team members; representative sample of employees and supervisors can
discuss issues that give rise to the conflict in an open and be most effective if the participants are concerned about
constructive manner; and confidentiality or there is a need to probe deeper into the
issues identified in a survey. Where the group is large,
identify and agree on how to resolve the conflicts. interviews are usually conducted with a randomly drawn,
Workplace assessments are especially effective because they stratified, representative sample. To ensure the sample is
are not designed to point fingers at specific individuals. not biased, the consultant generally makes selections based
Rather, they are a means of compiling information provided on information provided by management.
by employees and managers to produce a report that focuses Focus groups are less resource intensive than interviews since
on problem trends and patterns—the bigger picture. several employees can meet with a consultant at one time to
Workplace assessments enable people to discuss difficult discuss workplace issues. Focus groups can be held with or
matters constructively to find ways of improving the work without the prior completion of a written questionnaire.
C H A P T E R 1 0
Depending on the size and nature of the workplace, focus Leadership or management style may be identified as a
groups can be structured in different ways; however, source of discontent or conflict. While individuals are not
managers, supervisors and employees are usually placed identified in the report, it may be apparent to whom the
in separate groupings so that each group can feel free to reference applies if management or leadership style is
express its views openly. Groups can be composed of employ- identified as an issue, particularly in smaller work units.
ees from the same section or, if the organization is large
If management commits to taking action based on results
enough, across the different sections of the organization. In a
of the workplace assessment, failure to implement changes
workplace where employees are from both official language
will likely lead to greater dissatisfaction and poorer morale.
groups, it may be appropriate to hold separate focus groups. In
a conflict-ridden workplace where employees are concerned
about the confidentiality of their views, focus groups may STARTING THE PROCESS
not be appropriate.
Once a manager has decided to undertake a workplace
In small groups (less than 20), interviews could be held assessment, steps should be taken to solidify buy-in and
with all or most employees, supervisors and managers. participation in the process, both of which are key to the
In order to cover the same ground with all participants, success of the initiative.
consultants should use a prepared list of questions.
Identifying a champion—A management champion
In medium to larger groups, all employees, supervisors and should be appointed to steer and promote the workplace
managers could be asked to complete a confidential question- assessment. The level/position of the champion may signal
naire. In addition, either one-on-one interviews of employees the level of management commitment for the initiative.
or focus groups could be held to enable participants to expand
on the information provided in the questionnaire. In both Conveying key information—Before a workplace
cases, use a set list of questions. Participants should come from assessment begins, management should address and try to
a stratified, randomly selected group of employees, usually mitigate any employee feelings of fear, distrust or skepticism
selected by the consultants. by communicating to everyone (through e-mail, memoran-
dum or meeting) the rationale behind the assessment, as
well as its objectives, the steps required, the approach and
BENEFITS the time frame. Time permitting, information sessions with
There are numerous benefits associated with workplace the consultant are a useful means of describing the process
assessments, including: in greater detail and of answering questions. Such openness
improved morale; will tend to mitigate negative perceptions about the process.
Confidentiality—Employees are likely to seek reassurance
identification of areas that work well, upon which
employees and managers can build; that the information provided to the consultant during the
research phase would be confidential.
quick identification of sources of conflict so that remedial
Management commitment—Management should state
action can be taken;
clearly its intent to act on the findings of the assessment.
improved conflict competence within the organization; and
Participation—A high participation rate is important,
tailor-made approach—the assessment can be tailored to particularly in small and medium-sized organizations, to
the needs of each workplace. ensure that the views of the full team are captured. When
participation is low, results can be difficult to interpret.
For example, does the assessment reflect only the views
RISKS
of those who are most satisfied or dissatisfied?
Despite the many benefits related to workplace assessment,
management should be aware that there are some risks Management buy-in—Getting buy-in from middle
involved: managers and supervisors at an early stage is key. They
should be informed of the objectives of the workplace
Assessments may not satisfy all employees; some sources
assessment and have the opportunity to voice concerns.
of discontent or conflict may be individual and not
Middle managers and supervisors may have valuable
widely shared.
views about the assessment, especially about the
108 P A T H W A Y S
information-gathering and action-planning phases. Any REPORT AND
concerns that the workplace assessment will point a finger RECOMMENDATIONS
at certain individuals should be dispelled. If convinced the Based on the information extracted from the data-gathering
workplace assessment is beneficial, managers are more phase, the consultant prepares a report which is submitted to
likely to also become its champion. management. The results are usually shared with employees
Union consultation—In a unionized environment, the and supervisors as soon as possible. If time and resources
manager should consult with union representatives about all permit, the consultant may present the findings to supervi-
aspects of the assessment. By representing their members’ sors and employees and address any questions that might
concerns, union representatives provide valuable input into arise. It may be necessary to provide the report in both
the process. Their endorsement of the workplace assessment official languages, depending on the linguistic profile of
may increase the level of participation and confidence of the employees.
employees in the process. Also, union representatives will A typical report usually includes an executive summary, an
likely play a significant role in the implementation of the introduction, and the consultant’s findings regarding such
action plan following the release of the report. areas as leadership, management style, work practices and
Validation of information—Employees should be given an interpersonal interactions. The report normally concludes
opportunity to ensure the areas to be probed by the consult- with a summary and a number of recommendations.
ant are relevant to their workplace. If the team is small, all A typical table of contents would appear as follows:
team members can comment on the questions that will be
posed during the information-gathering phase. In larger Executive Summary
teams or organizations, a small advisory committee of Introduction
employees and managers can be consulted. Employees who
are not part of the advisory committee can provide input Context and Purpose
by means of a suggestion form. Involving employees in Methodology
this initial stage gives them tangible signs of both the
Information-gathering Process
transparency and inclusiveness of the process.
Section 1—Leadership
D I AG N O S I S — G AT H E R I N G I N F O R M AT I O N Quantitative Results
Consultants and management usually meet to determine Qualitative Results
whether the appropriate methodology to be used for collect-
ing information will be the anonymous questionnaire, the Summary of Results
one-on-one interview, the focus group or a combination Recommendations
thereof. Whatever the choice, however, it should ensure that
the widest possible cross-section of employees is consulted. In Section 2—Management Style
very small groups it may be preferable to gather information Quantitative Results
through individual interviews, since there may be insufficient
Qualitative Results
numbers of participants to get the necessary quantitative
information through a survey. Summary of Results
It is usually best to have this phase well planned and done as Recommendations
quickly as possible to minimize any operational disruptions
Section 3—Work Practices
and reduce any anxiety employees may have regarding the
assessment. Because workplace assessments may generate fear Quantitative Results
and concern among managers and employees, which in turn
Qualitative Results
may affect productivity and morale, the workplace assessment
should be completed as soon as possible. Employees may also Summary of Results
be concerned about the time they will need to devote to this Recommendations
initiative, especially if their workload is high and the unit
is understaffed.
C H A P T E R 1 0
Section 4—Interpersonal Interactions If the cause of organizational conflict is related to systemic
problems (such as leadership, communication, culture,
Quantitative Results
management training), help with the action planning
Qualitative Results phase and with the implementation of specific human
Summary of Results resource initiatives could come from organization
development consultants, who can provide assistance with
Recommendations team-building, coaching for leadership development and
Section 5—Conclusions communications skills.
Appendix A—Questionnaire Management may wish to reassess the workplace at a

future time to determine how much progress and improve-
Appendix B—Focus Group/Interview Questions ment has been made. Such a formal follow-up workplace
assessment should not be undertaken any earlier than
6-12 months after the report has been tabled, as most
IMPLEMENTATION OF changes take time to implement.
RECOMMENDATIONS
Management is ultimately responsible and accountable for
taking action on the findings and recommendations outlined KEY LEARNING
in the report. The initiatives they will have to take will
depend on the results of the assessment; however, manage-
DON’T CONDUCT A WORK-
PLACE ASSESSMENT IF
ment should consider the following principles:
THERE IS NO COMMITMENT
Having committed at the outset to act on the consultant’s TO TAKE ACTION ON THE
findings, management is expected to implement some or RECOMMENDATIONS
all of the recommendations or risk even lower morale, If you conduct a workplace assessment, you create
more conflict and skepticism from the employees. expectations that action will be taken. If no action is
taken, more damage will occur than if the workplace
Management should regularly inform employees of the assessment had not been undertaken.
progress of implementation. Over the following months
employees should receive periodic progress reports until
the organization has implemented the necessary changes.
Management may wish to involve employees and supervi-
THE ROLE OF THE CMS
sors in the implementation process. In a small team all
SERVICE PROVIDER
could be involved; in larger work units a committee of
employees and managers could be established to advise Where management intends to undertake a workplace assess-
management. For example, teams or a committee might ment for the purpose of identifying the sources of conflict in
prioritize issues and recommend to management that a a workplace, local CMS service providers (at DND/CF this is
limited number of issues be addressed immediately, the DRC) can offer advice and support to management and
while others are delayed until these are implemented. unions in matters related to the processes. In doing so, they
should maintain their role as neutral third parties.
Where the findings point to a need for conflict resolution
advice, training or interventions, managers should be Local CMS service providers can:
encouraged to consult with their local CMS resource.
provide the name or names of qualified consultants;
(At DND/CF this is the local Dispute Resolution Centre.)
assist in the evaluation of proposals from consultants and
advise on contracting procedures;
advise on the communications strategy; and
at the request of management, provide specific conflict reso-
lution services in response to the report’s recommendations.
110 P A T H W A Y S
If local CMS service providers are uncertain about their roles At DND/CF a CANFORGEN regarding human subject
or the type of advice best suited to the circumstances, they research was issued in December 2002. It stipulated that all
should consult with the CMS central authority to discuss any research activities involving humans—including surveys—
problems or seek advice on different aspects of the request. would have to be approved by the Director Human Resources
Research and Evaluation. In accordance with this directive, a
process was established whereby DRCs contacted EDCM to
KEY LEARNING report that a workplace assessment was being requested and
discussed any problems or sought advice on different aspects
IT IS USEFUL TO HAVE of the request. Once informed, EDCM acts as the conduit
UNIFORM, CONSISTENT between the DRC and the Director Human Resources Research
STANDARDS FOR WORKPLACE and Evaluation in order to have the methodology approved.
ASSESSMENTS ACROSS
THE ORGANIZATION Throughout the process DRCs maintain their role as neutral
If you elect to include workplace assessments as a third parties while providing advice and support to manage-
service offered by your organization, ensure that you ment and unions in matters related to workplace assessments
have clearly defined policies and service standards processes. The DRC support consists of:
associated with these initiatives. There is a tendency
provision of the name or names of qualified consultants;
for large organizations to have different versions
of workplace assessment processes. This should assistance in the evaluation of the proposals from
be avoided. consultants;
advice on contracting procedures under the Conflict
Management Program National Master Standing Offer;
recommendations on the communications strategy; and
at the request of management, provision of specific
As noted earlier, DND/CF chose to include workforce conflict resolution services in response to the report’s
assessment as a component of its CMS. Recognizing the recommendations.
significant advantages to having this activity run by an
external consultant, DND/CF focused on its capacity to
assist in the process rather than deliver it.
Because DRCs were being established across the country to
provide conflict resolution advice, training or interventions,
they were in an ideal position to provide advice on workplace
assessments. Their reputation for confidentiality, profession-
alism and knowledge related to conflict resolution made
them an obvious point of contact for managers who might
be concerned about conflict situations within their units.
EDCM provided all DRCs with the Workplace Assessment
Guidelines (outlined earlier in this chapter) and briefed DRC
staff to ensure they understood when to recommend assess-
ments and how to assist managers in implementing them.
DRCs were encouraged to consult with EDCM to discuss
problems or seek advice on different aspects of the request.
C H A P T E R 1 0
KEY LEARNING
C H A P T E R 11 PREPARE DETAILED TRAINING

FRAMEWORKS AND OUTLINES
TO GUIDE LEARNING PRO-
GRAMS; “OFF-THE-SHELF”
PROGRAMS WILL NOT
TRAINING GENERALLY SUFFICE FOR
GOVERNMENT ORGANIZATIONS
WITHOUT SUBSTANTIAL MODI-
FICATIONS; DON’T PROCEED
WITHOUT THE COMPLETION OF
TRAIN-THE-TRAINER PROGRAMS
One of the biggest challenges for large organizations
initiating training to a critical mass of individuals
in dispersed regions and organizational units is
consistency. Although many providers characterize
their training programs as, for example, interest-
based negotiations, in many respects they are quite
different. We benchmarked many of these offerings.
CORE TRAINING All were valid in their own contexts, but different.
PROGRAMS If you expect to meet a standard across a large
organization, you will need to provide direction
Broad-based and specialized training are
around the key themes and messages you expect
key components of any successful CMS
to be covered. Do not provide a rigid and inflexible
and should be included very early in the “script.” This stifles the trainers’ creativity and
project. The effect on the organization will the unique value they bring to the group. Still, it
go well beyond learning; it will also have an is necessary to provide detailed resource material
impact on the overall acceptance of the program (including case studies and simulations) around
and will plant the seeds of behavioural and cultural change. the subject matter you need covered.
In considering a training program, several factors will need to In addition to the provision of the appropriate
be addressed. What type of training is required? How much material to trainers, it is important to have a train-
and to what level? Who will deliver it? What are the target the-trainer session for all trainers, including those
who may be experienced in a particular functional
audiences? How do you assure accessibility and consistency
area but not necessarily in the context of a specific
in large non-centralized organizations? Who pays for what?
government department or agency.
MAKE OR BUY?
Once again the question of make or buy arises, and once
again there are advantages and disadvantages to either While this resolves the capacity dilemma, it may not address
option. That said, the options in this case may be limited— the issues of consistency or specific organizational needs.
particularly in the initial stages. Many external providers will offer ADR training, but
approaches may vary widely from one to the next. And
Training is key to a CMS from its inception, so the first while they may know the policies and behaviours prevalent
challenge will likely be capacity. How and where do you in some environments, they may not fully understand the
find enough competent trainers to meet the substantial unique culture of your organization.
and immediate needs of the organization—especially if it
is geographically dispersed and culturally and functionally To resolve these issues, CMS designers will have to establish
stratified? Since the project is still in its infant stages, the their own standards and have service providers trained to
chances of finding that capacity from within the organization these standards. Working with stakeholders and contractors,
are negligible. Contracting out may be the only viable option. they will determine the approaches they wish to embed in
their training programs. Establishing, approving and/or
112 P A T H W A Y S
contributing to course curricula will be necessary. In effect, TRAINING—WHAT AND
the organization will be training the trainers they hire, FOR WHOM?
by providing them with direction and insights into the While there are many courses and training programs worth
organization’s policies, procedures and culture. instituting, it’s best to keep things simple in the initial stages.
Ongoing evaluation, consultation with stakeholders and Three core training courses/programs should be considered:
benchmarking of training programs will help in the Conflict Management and ADR Processes
development and standardization of training.
Interest-Based Negotiation and Dispute Resolution
Maintenance of a training program delivered entirely by
external service providers may be expensive, so building Mediator Qualification Program (MQP)
internal capacity should be part of the long-term CMS As well, organizations may want to add two support
plan. As training evolves and course benchmarks and content programs—one on conflict coaching and the other on
are solidified, standards for trainers should be established. group interventions and facilitation.
Organizations that have set up dispute resolution centres as
part of their CMS infrastructure may wish to develop internal When contemplating these courses/programs, determine
trainers and offer courses from within these local service the goals, scope and target audience for each offering. In
delivery centres. the development of training products, be sure to align
content with the organization’s needs, policies, procedures
and culture.
KEY LEARNING
NOT EVERYONE HAS THE CONFLICT MANAGEMENT AND

ADR PROCESSES COURSE
THE APTITUDE TO BE
A GOOD TRAINER The objective of this course is to provide participants with an
understanding of workplace conflict, ADR processes (with a
In today’s workplace we often hire people for their
focus on mediation) and the application of these processes to
expertise in one area while assuming they have
workplace disputes within the organization. It is a knowledge-
competencies in others. For example, we may hire
an engineer for her expertise in avionics, but we based training event with limited skill/attitudinal modules.
also expect her to manage the project. The two In most instances this is a one-day session.
skills aren’t necessarily compatible. While project
management can be learned, aptitude and experience
will certainly influence performance. KEY LEARNING
The same applies to trainers. Being an excellent
KEEP TRAINING EVENTS
mediator or administrator doesn’t necessarily ensure
SHORT AND WELL FOCUSED
the individual can also be an excellent trainer.
Workload has been the number one concern of
Since training is a key element in the promotion and
public servants for many years and the situation is
development of a CMS, it is important to ensure that
not likely to change dramatically in the foreseeable
trainers are exceptional. When training internal train-
future. It is also a high priority in the private sector.
ers be sure to choose candidates who demonstrate
As a result, individuals are often torn between the
the appropriate competencies, aptitudes and interest.
long-term benefits of training and the short-term
cost of leaving work to pile up while on course.
Limiting course length can be key to accessibility
and participation. Finding the balance between
course length and content is therefore essential.
In some cases breaking course elements into
stand-alone modules can help to resolve this.
C H A P T E R 1 1
TRAINING 113
This is an orientation or introductory course and would
KEY LEARNING
usually be a prerequisite to any further training. The target
audience is broad-based—ADR users, particularly those DON’T TRY TO DO TOO MUCH
who may be recommending/advising or participating in IN AN ORIENTATION COURSE;
mediations. The course is intended to provide participants KNOWLEDGE AND AWARENESS
with an understanding of: ARE MORE IMPORTANT THAN
SKILLS DEVELOPMENT
the organization’s integrated CMS;
This is an orientation session to familiarize potential
the relevant policies and procedures; users with ADR concepts. It provides context; it does
not focus on skills. Don’t aim for skill enhancement
the dispute resolution (DR) spectrum;
with a course of this type. Focus on awareness
the role of effective communication skills in DR processes; enhancement.
the key processes in the DR spectrum;
the types and causes of conflict;
the interest-based negotiation (IBN) process; T H E I N T E R E S T- B A S E D N E G O T I AT I O N A N D
DISPUTE RESOLUTION COURSE
the mediation process;
The objective of this course is to provide participants with
how to access the mediation process; and a basic understanding of the IBN process and where it fits
within the organization’s CMS. It should also introduce and
how to use the mediation process.
permit the practice of basic negotiating skills. Participants
TIME EVENT REMARKS
0830–0900 Introductions and opening remarks
0900–0930 Policies overview Context
0930–1015 Understanding conflict in an organizational context Conceptual
1015–1030 Health break
1030–1100 Understanding conflict cont’d
1100–1200 Communication skills Practical
1200–1300 Lunch
1300–1430 Interest-based negotiation Role Play
1445–1615 The mediation process within the organization Video
1615–1630 Wrap-up
114 P A T H W A Y S
should take part in several negotiation role plays (the The course is intended to provide participants with an
DND/CF course uses four of these), one of which will understanding of:
involve multi-parties.
relevant policies and procedures (review);
Since there may be a significant time lapse between this
the DR spectrum (review);
course and the prerequisite Conflict Management and ADR
Processes Course, the policies and DR spectrum segments will effective communication skills (part review, part new);
need to be reviewed. As well, some new theoretical concepts how to apply effective communication skills;
will be taught. However, this course should focus mainly on
developing the initial skills necessary for participants to take the role of IBN in the DR spectrum;
part in interest-based negotiations. the types and causes of conflict and how they relate
This is normally a two-day course, but some organizations to IBN;
may wish to deliver it immediately following the Conflict the IBN process—key elements and approaches;
Management and ADR Processes Course. With this approach,
theory from the first session need not be reviewed, as it is still how to conduct the IBN process using the appropriate
fresh in the participants’ minds. The time saved can be used IBN planning framework; and
to add another activity. the relationship between negotiation and mediation.
This course is designed for employees who wish to develop Outlined below is a sample of a typical schedule template
their conflict prevention skills or are trying to resolve dis- for this type of course:
putes themselves. In addition, HR professionals, leaders at all
levels and individuals providing advice to leaders will
benefit from this course.
Day One
TIME EVENT REMARKS
0830–0900 Introductions and opening remarks
0900–0930 Definition and overview of negotiation Introduce 7 stages
0930–1015 How policies apply in IBN
1030–1100 DR spectrum overview
1100–1200 Negotiation Styles—Kilmann Instrument Principled vs competitive vs co-operative
1200–1300 Lunch
1300–1415 Communicating in IBN
1430–1530 Moving from positions to interests, BATNA
1530–1630 Role play #1 Includes debrief
C H A P T E R 1 1
TRAINING 115
Day Two
TIME EVENT REMARKS
0830–0930 Generating options and applying legitimate criteria
0930–1015 Preparing for a negotiation
1200–1300 Lunch
1300–1400 Role play #3 Multi-party negotiation
1415–1430 Relationships in IBN
1430–1600 Role play #4 Complete negotiation
1600–1630 “Parking Lot” items and wrap-up
T H E M E D I ATO R Q UA L I F I C AT I O N P R O G R A M are unique and operations are geographically dispersed.

Some organizations will want to develop a cadre of qualified There are also disadvantages. The table below highlights
mediators from within their own ranks. This approach has some factors CMS designers will want to consider before
clear advantages, particularly where organizational cultures instituting an MQP:
Advantages and Disadvantages of an MQP
ADVANTAGES DISADVANTAGES
● Ensures mediators are qualified to the organization’s ● Investment in developing mediators is lost when
standards. individuals leave the organization.
● Mediators are more likely to know and understand the ● Disputants may feel more uncomfortable with “one
organization’s policies, procedures and culture. of their own.”
● Disputants may feel more comfortable with “one of ● Mediator responsibilities may conflict with core
their own.” responsibilities.
● Mediators are available locally and can respond to ● May not be cost-effective.
issues quickly.
● Has potential long-term cost benefits. ● Requires significant maintenance.
● Helps promote a conflict competent culture. ● May present serious difficulties with perceptions
of neutrality/impartiality.
116 P A T H W A Y S
Most organizations, even if they recognize the value of an provision of bibliographies;
MQP, choose not to go that route. However, because of its
Web-based discussion groups and virtual networks; and
size, complexity and unique culture, DND/CF did decide to
institute the program. Since such programs are uncommon, armchair sessions.
I will discuss the design and structure of the DND/CF DRCs are ideally placed to provide leadership in this area.
program in detail later in this chapter.
For individuals whose interest in ADR is more than casual,
additional learning should be promoted. This is particularly
SUPPORT PROGRAMS—CONFLICT true in organizations that have instituted an MQP.
COACHING AND GROUP INTERVENTIONS
A N D FAC I L I TAT I O N At the end of a session, once mediators have been qualified
As discussed in a previous chapter, conflict coaching as members of a community of practitioner learners, they are
can be an important tool in developing a viable integrated expected to continue their own learning and to contribute
CMS. Training in this area is generally aimed at professional to the learning of colleagues. They may do this through:
practitioners.
regular meetings and conferences—such as those run by
Because target audiences for this type of training will be the Association for Conflict Resolution, the American Bar
smaller, training is often focused specifically on the needs and Association and the ADR Institute;
characteristics of the target group. Individual coaching and
one-on-one learning—by linking up with one or two
customized courses are not uncommon.
mediators to share learning on a regular basis;
Informal approaches (e.g. peer coaching circles, virtual
formal and informal mentoring and coaching relationships;
networks and communities of interest) can augment formal
training and should be encouraged and facilitated. distance learning and conference calls—where they can:
Training for group interventions and facilitation will also be – share information,
aimed primarily at professional practitioners. The training
– discuss issues of concern,
elements will be closely akin to those used in organizational
development. – review pre-determined topics, and
– share lessons learned;
CONTINUOUS LEARNING keeping a mediator’s journal—where, after a mediation,

they would enter information such as: One thing I
In some instances formal training programs and courses
learned…One question I have…What I handled well ….
merely act as a stimulant for further learning. Some partici-
This will facilitate introspection and encourage the indi-
pants find great value in what they have learned and are eager
vidual to become familiar with his or her own issues,
to expand their knowledge and practise the techniques they
strengths and weaknesses;
have acquired.
regular bulletins—to address substantive mediation issues
Organizations should encourage this type of learning by
and provide written guidance on issues such as confiden-
creating opportunities for people to pursue their interest in
tiality or breach of contract;
ADR. By sponsoring informal activities or providing relatively
simple and inexpensive resources, organizations can foster mediator’s hotline—where mediators can call experts
continuous learning. Some informal activities worth consid- with specific questions, as required;
ering include: external opportunities—such as shadowing an external
brown-bag lunch-and-learn activities, such as discussion mediator to gain or broaden experience;
groups and role-play practice sessions; specialized training course modules—developed for
subject-relevant lending libraries of books and audio and various learning requirements as appropriate;
video tapes; coaching;
C H A P T E R 1 1
TRAINING 117
teaching—which is an excellent way to learn. By volunteer- THE CONFLICT MANAGEMENT AND
ing as a teacher’s aide on formal courses, both students and ADR PROCESSES COURSE
volunteers benefit; and EDCM worked with some leading consultants in the field
to establish course content and a presentation framework.
learning plans—which can help individuals focus on learn- Consultants brought their own approaches and experience to
ing needs and order their learning in a methodical way. the table, and these were augmented by organization-specific
Such plans should be discussed with supervisors, mentors information about policies, procedures and culture.
and coaches—all of whom can make valuable suggestions.
Initially it was primarily consultants who delivered the course
(as internal capacity grew, some sessions were also delivered
KEY LEARNING by DRC personnel). DRCs normally handled consultant
hiring and contracts, course-related communications and
LEARNING, TRAINING AND administration.
PROFESSIONAL DEVELOPMENT
Most sessions ran for one day and followed the template
DOES NOT END AT THE
CONCLUSION OF THE FORMAL presented at the beginning of this chapter. In some locations
TRAINING AND QUALIFICATION courses ran for two days and included a bit more on IBN.
COURSES
A community of practitioners will form peer coaching T H E I N T E R E S T- B A S E D N E G O T I AT I O N A N D
groups and live the principles inherent in a “learning DISPUTE RESOLUTION COURSE
organization.” The IBN and DR course, like the one above, was developed
by EDCM in collaboration with several external consultants.
A variety of internal and external consultants delivered the
course, which normally ran for two days and followed the
THE DND/CF EXPERIENCE template presented earlier in this chapter. In some instances,
the IBN and DR course was tacked on to the prerequisite
As noted in earlier chapters, at the outset of the Conflict course, described above, to create a three- or four-day package.
Management Project, customized training workshops were
designed and delivered to key stakeholders within DND/CF. To ensure consistency across diverse regions and commands,
These sessions were very successful, as participants learned a series of overhead slides were developed by EDCM for
about ADR, how and why it worked. They also gained some the use of all instructors, who embellished them with their
skills to help them apply what they had learned. own material.
A secondary but equally important benefit that came out of To ensure a degree of consistency among service providers, a
this training was that it galvanized the stakeholder commit- framework and fairly detailed instructor’s notes accompanied
ment to support and promote an ADR-based CMS within all course material. To show the level of detail used in these
the organization. notes, I have included—in the CMS Tool Kit as Tool 17—the
speaking notes that accompanied some course slides related
A Conflict Management and ADR Processes Course, aimed at to conflict theory and the DR spectrum.
a broader audience, was introduced early in the Project and
this was complemented by an Interest-Based Negotiation and Information of this type was provided to all instructors for
Dispute Resolution Course. all components of all three programs. This kind of detail is
necessary for any training program that is designed to meet
As well, a Mediator Qualification Program was put in place. a specified standard and may need to be delivered under a
This program not only provided training and development variety of circumstances to large numbers of individuals in
for prospective mediators, but also signalled the Department’s geographically dispersed regions.
commitment to ADR and particularly to mediation as a key
tool in the organization’s CMS.
118 P A T H W A Y S
CONFLICT COACHING The following is a prioritized list of key factors that were
As noted in an earlier chapter, DND/CF did not institute considered when selecting candidates for mediation training:
a Conflict Coaching Course. EDCM did, however, provide
Directly linked to pilot sites. It was important that candi-
one-on-one coaching to some senior managers on an
dates be selected strategically in terms of how they would
as-needed basis.
add the greatest value to the dispute resolution initiative
Coaching is also used in the MQP to help mediators in the long term. With that in mind, priority was given
develop skills. to those individuals who had been assigned as Dispute
Resolution Centre staff or played a key role in the DRC
It may be worth noting that, as the Project progressed,
mediation strategy.
interest in this type of training has been expressed among
non-professional practitioners. For example, the DND Cross-section of military and civilian members and
Managers’ Network recently requested a Conflict Coaching employees. Since conflict impacts on the entire depart-
Course for its constituents, and as I write this a pilot is ment, it was important to have a good mix of military
being developed. and civilian mediators.
Cross-section of military ranks as well as regular and
reserve components. The selection of a mediator is
THE DND/CF MEDIATOR
very much dependent on agreement of the parties.
QUALIFICATION PROGRAM
It was deemed useful to have a variety of rank levels
This three-phase program (over several months) provides and components from which to select mediators.
potential DND/CF mediators with the knowledge, skills and
Cross-section of civilian employees. Again, this
attitudes required to conduct mediations to the prescribed
cross-section was important to facilitate the provision
DND/CF standard.
of mediation services to a broad population.
Phase 1 is a knowledge and skills-based one-week course.
A diverse mix of people reflecting employment
Phase 2 is an on-the-job-training/practicum component, equity criteria.
in which candidates must complete two co-mediations
Availability of candidates to mediate. Candidates and
and a research activity. During Phase 2 candidates receive
their supervisors needed to realize the extent of the
individual coaching.
commitment required on the part of individuals selected
Phase 3 consists of advanced mediation training for mediator training.
and evaluation.
Long-term availability. It was important that candidates
be selected based on the long-term strategic requirement.
T R A I N I N G S TA N DA R D F O R T H E M Q P : In general, individuals about to retire or be transferred
Aim—The aim of the Mediator Qualification Program is to were not considered for training.
qualify participants in the mediation process. Upon comple- Professional experience. Candidates should have had
tion, participants will be able to mediate disputes between some experience in dealing with people and human
individuals in a DND/CF workplace environment. resource-related issues.
Course pre-requisites—Candidates for this training must In addition to these criteria, we established a list of personal
have completed the ADR Processes and Interest-Based characteristics deemed to be helpful in enabling candidates to
Negotiation courses or their equivalents. Equivalencies become effective mediators. The following is a prioritized list
are evaluated case by case by EDCM. of personal attributes that were considered when selecting
Candidate selection—Initially in the Conflict Management candidates for mediation training:
Project, candidates were nominated from different units acceptance and tolerance of individual differences
within the organization for mediation training.
ability to remain objective when presented with differences
To identify appropriate MQP candidates, DND/CF estab-
lished a list of key factors and personal attributes that it patience
deemed desirable in nominees. Since not all candidates would ability to remain non-judgmental
fit all these criteria, the list was used only as a broad guide.
C H A P T E R 1 1
TRAINING 119
ability to be impartial understand effective communication skills
as much as possible, to be free from conflict demonstrate effective communication skills
a high degree of personal integrity describe the key processes in the DR spectrum
flexibility and creativity in problem solving describe the interest-based negotiation process
strong communication skills conduct interest-based negotiations
ability to tolerate high levels of conflict understand the mediation process
ability to deal with emotions and anger conduct mediations
ability to perform under stressful conditions
ability to stay focused and not get sidetracked PHASE 1 OF THE MQP—CLASSROOM
This phase is five days long and combines theory and skills.
a high degree of self-esteem For those interested in the course content, a table outlining
“presence” which leads to inspiring confidence the learning objectives, teaching points and time allotted for
each is included in the CMS Tool Kit as Tool 18.
M Q P C O U R S E D E TA I L S The following is a sample schedule for Phase 1 of the MQP.

The MQP learning objectives are described as follows: The learning objectives and teaching points would normally
be covered within the parameters of this schedule:
understand the relevant DND/CF policies and procedures
understand the dispute resolution spectrum
Phase 1 Schedule:
Day One
TIME TITLE COMMENTS
0800–0900 Welcoming remarks and introductions EDCM in auditorium
0900–1015 Government policies and procedures
1030–1200 Understanding conflict and the DR system This is a refresher only Debrief Kilmann here
1200–1300 Lunch
1300–1415 Effective communication for mediators
1430–1600 Effective communication cont’d Includes practical
Note: Thomas Kilmann tests are completed by participants before arrival.
120 P A T H W A Y S
Day Two
TIME TITLE COMMENTS
0830–1015 Interest-based negotiation process
1030–1200 IBN role play #1 Includes debrief
1200–1300 Lunch
1300–1415 Introduction to mediation Includes ethics and responsibilities
1430–1630 Intro to mediation cont’d
Note: Hand out roles for role plays 3 and 4.
Day Three
TIME TITLE COMMENTS
0830–1015 Mediation demo Includes Q&As
1030–1200 Mediation techniques
1200–1300 Lunch
1300–1430 Role play #1
1445–1600 Pre mediation/convening Includes demo
1600–1630 Day 4 preparations
Note: Mediation preparations are done in the evening.
C H A P T E R 1 1
TRAINING 121
Day Four
TIME TITLE COMMENTS
1030–1200 Terms of settlement Includes practical
1200–1300 Lunch
1300–1415 Moving from issues to interests
Note: Mediation preparations are done in the evening.
Day Five
TIME TITLE COMMENTS
0800–1030 Mediation role play #4 Includes pre-mediation
1045–1200 MQP Phase 2 and 3 outline/Q&As
1200–1300 Lunch
1300–1500 Evaluation and wrap-up
PHASE 2 OF THE MQP— A Web site was created that included a newsgroup for
D I S TA N C E L E A R N I N G candidates. It allowed candidates to exchange ideas and
This phase is approximately 4–6 months in duration. It information and also provided access to EDCM staff for
consists of a research activity and requires the involvement of guidance and mentoring. Candidates are required to lead
the candidate in at least two co-mediations or other directly a classroom discussion on their research activities during
related DR processes. Phase 3 of the MQP.
R E S E A R C H P R O J E C T O R R E L AT E D AC T I V I T Y M E D I AT I O N S / D R P R O C E S S E S
Candidates are required to conduct a research activity related The mediations/DR process involvement may consist of
to ADR and DND/CF. If the candidate chooses to write a any one of the following or a combination thereof:
research paper, topics are available from EDCM. Candidates
co-mediation
may also choose an alternative activity, such as developing
specific ADR training, creating a video or writing role plays. coaching
Candidates discuss their ideas with EDCM training staff
before beginning their research.
122 P A T H W A Y S
mentoring PHASE 3 OF THE MQP—ADVANCED
M E D I AT I O N A N D A S S E S S M E N T
advising PHASE—CLASSROOM
Upon completion of each mediation/DR process, the candi- This phase consists of a 4-day classroom session, with
date must complete a self-assessment and submit it to EDCM. extensive one-on-one coaching and evaluation/assessment
conducted by coaches. The following schedule shows the
flow of the session:
Day One
TIME TOPIC REMARKS
0800–0830 Opening remarks
0830–1000 Round-table discussion of research activity
1015–1200 Micro-skills/mediation open space technology session
1200–1300 Lunch
1300–1415 Mediation process refresher
1430–1530 Role play preparations
Day Two
TIME TOPIC REMARKS
0800–1015 Role play #1 This is a practice role play and is not formally
evaluated; however, an evaluation form
is completed
1015–1030 Health break—Preparation for role play #2
is completed
1200–1300 Lunch
is completed
1415–1430 Health break—Preparation for role play #4
1430–1600 Role play #4 This is the first formally evaluated role play
1600–1630 Wrap-up and day 3 preparations
C H A P T E R 1 1
TRAINING 123
Day Three
TIME TOPIC REMARKS
0800–1015 Role play #5 Evaluated role play
1030–1200 Role play #6 Evaluated
1200–1300 Lunch
1300–1400 Debrief role plays to date (Q&As)
Day Four
TIME TOPIC REMARKS
1030–1200 Role play #9 Evaluated (last one)
1200–1300 Lunch
1300–1330 Multi-party mediations
1330–1500 Role play #10 Multi-party practice
1500–1530 Wrap-up and closing
This session is heavily oriented toward evaluating and M E D I ATO R E VA L UAT I O N C R I T E R I A

assessing the knowledge, skills and behaviours of potential Candidates are evaluated using a detailed evaluation form.
mediators. It is a key component in determining whether a The form is filled out in duplicate, with the candidate receiv-
candidate will be qualified as a mediator or whether further ing a copy on completion of the role play and the second
work is required. copy submitted to the EDCM Course Director. A copy of the
Mediator Assessment Form is included in the CMS Tool Kit
as Tool 19.
124 P A T H W A Y S
understand and deal with power imbalances;
KEY LEARNING
preserve parties’ autonomy;
ENSURE THAT MEDIATOR
QUALIFICATION PROGRAMS understand the negotiating process and the elements
HAVE A RIGOROUS of effective negotiation;
ASSESSMENT PROCESS earn trust and develop rapport;
AND THAT ALL PARTICIPANTS
ARE AWARE OF THE CRITERIA uncover parties’ needs and interests through questioning;
BY WHICH THEY WILL BE
screen out non-mediable issues;
EVALUATED
Participants respect a rigorous learning program help parties invent creative options;
and have a good sense of confidence in meeting
help parties identify principles and criteria to guide
the challenges of the task at hand. They do need
their decision making;
to know and understand the conditions by which
they will be assessed. help parties assess their non-settlement alternatives;
help parties make their own informed choices; and
help parties assess whether their agreement can
be implemented.
C O M P E T E N C I E S I N M E D I AT I O N …
ADR INSTITUTE OF CANADA The above list is similar to that used by DND/CF and
The ADR Institute of Canada has identified competencies provides a useful assessment framework.
and desirable qualities for mediators which form the basis of
skill assessment for chartered mediator certification by that
organization. The competencies include the ability to: KEY LEARNING
describe to the disputants the importance of confidentiality ENSURE YOU HAVE A
in the mediation process and how that be will maintained; STRUCTURED MEDIATOR
listen actively; ASSESSMENT INSTRUMENT
Some organizations have a good understanding of
question the parties effectively and get the facts and
what they are looking for in a mediator. When this
perceptions out on the table; is articulated clearly, it adds credibility to the
deal with complex factual material; assessment process and the quality of the outcomes.
analyze problems, identify and separate the issues involved,

and frame these issues for resolution or decision making;
use clear, neutral language in speaking and in writing;
MQP “CONVERSION COURSE”
be sensitive to the strongly felt values of the disputants, Before the CMP was established at DND/CF, a number of
including gender, ethnic and culture differences; employees and staff had been trained externally in the field
of mediation or dispute resolution and in some cases were
treat the parties equally and fairly;
conducting mediations. There was a need to recognize the
act in an honest, dignified manner that demonstrates training and mediation experience those individuals had
respect for the parties and ability to create and maintain completed. To that end, it was deemed appropriate to “grand-
control of a diverse group of disputants; father” those individuals as qualified DND/CF mediators.
identify and separate the mediator’s personal values
from issues under consideration;
C H A P T E R 1 1
TRAINING 125
The Director General Conflict Management Program reviewed Day Two
more than a dozen private sector courses to compare their
0800–0900—Legal issues in mediation
learning objectives to those of the MQP. For the most part,
they met MQP objectives as well as the two DND/CF-designed 0900–1030—Simulation #2
prerequisite courses; however, in all cases these private sector 1030–1045—Break
courses were found lacking in that they had no:
1045–1200—Simulation #3
convening/pre-mediation segment;
1200–1300—Lunch
DND/CF policies segment; and
1300–1330—Mediation techniques
drafting of terms-of-settlement segment.
1330–1500—Simulation #4
DND/CF recognized its review was not all-inclusive and
looked at other programs case by case. 1500–1600—Wrap-up and Q&As
A two-day Conversion Course, designed to help participants

convert to the DND/CF standard, was established to enable
KEY LEARNING
those who had taken other training to pick up the elements
they might have missed. At the end of this course successful USE TRAINING ORGANIZATIONS
individuals would qualify as DND/CF mediators. OUTSIDE GOVERNMENT TO
DELIVER CUSTOM TRAINING
The schedule and flow of the course is described below:
PROGRAMS; PROVIDE THEM
Day One WITH INFORMATION RELATED
TO THE PUBLIC SECTOR
0830–0900—Intros CONTEXT FOR INCORPORATION
0900–1030—DND/CF policies INTO THEIR PROGRAMS
There are many private sector training organizations
1030–1045—Break
which offer very good mediation training courses and
1045–1200—Mediation model certify successful participants. Although these are
useful courses, in many instances they do not cover
1200–1300—Lunch subject areas consistent with the unique require-
1300–1345—Pre-mediation/convening ments of government organizations. As well, the
material covered, the depth of coverage and the
1345–1430—Drafting terms of settlement models of mediation promoted vary dramatically.
1430–1445—Break Most government agencies will require a standard
that can be applied equally across their organiza-
1445–1600—Simulation #1 tions. They will require some customization of their
1600–1630—Wrap-up training programs. Most certainly, they will need to
define the nature of the mediation model to which
they subscribe and design their training accordingly.
126 P A T H W A Y S
AWA R D I N G O F T H E D N D / C F M E D I ATO R M Q P Q UA L I F I C AT I O N M E M O R A N D U M
Q UA L I F I C AT I O N It is useful to have a standardized format that can be used to
The DND/CF mediator qualification is awarded by EDCM award the mediator qualification. At DND/CF a memoran-
upon successful completion of the MQP. Partial qualifications dum is provided to those participants of the MQP who have
may also be awarded. For example, where a candidate successfully met all the qualifications to serve as a mediator
may need more experience or additional tutoring, the in the Conflict Management Program. A sample copy of that
qualification would be awarded pending completion of memorandum is included in the CMS Tool Kit as Tool 20.
the annotated requirements.
Once a candidate is qualified as a DND/CF mediator, the
qualification is entered into the ITMIS/PeopleSoft database.
DND/CF mediators must conduct a minimum of two
co-mediations/mediations over a two-year period; otherwise
the qualification will lapse. Those mediators whose qualifica-
tions have lapsed and who wish to maintain their qualification
must contact EDCM to discuss a requalification plan.
C H A P T E R 1 1
TRAINING 127
E VA L UAT I O N
Testing, performance measures and evaluation are
C H A P T E R 12 integral elements of the project stage. That’s why

we ran the Select Case Mediation Program and
established pilot sites. We also built evaluation,
monitoring and feedback mechanisms right into the
design of most of our activities—course evaluation
NATIONAL forms, and evaluations of the mediation process and
ROLLOUT: mediators, are just a few examples. We’ve gathered the
data, assessed it and made adjustments accordingly.
ORGANIZATION In many instances, however, this data was examined only in
its own context—course evaluations were reviewed to help us
AND improve and fine-tune the quality of our courses; feedback
on the mediation process helped us streamline and improve
GOVERNANCE those processes.
It is now time to take a bird’s-eye look at all the data, to
synthesize it and get the “big picture.” We need to test our
assumptions and see how individual initiatives fit together
FROM PROJECT to contribute to our broader goals.
TO PROGRAM
Aligning activities and services with the organization’s
As we have seen, most large organiza-
policies and the ideological goals of the CMS is critical.
tions start with a limited-scope conflict
Choosing an organizational and governance model that
management project before committing
can accommodate and promote that alignment is also key.
fully to the institutionalization of an organ-
ization-wide program. During the project While CMS designers may be well qualified to do a compre-
stage, structure, capacity, approach and service hensive evaluation, their involvement in the project will
delivery are set out and tested. Pilot sites and select case likely skew their perspective. Once again, objective, qualified
mediations are used to help determine what works and what consultants can help with this process and can produce
doesn’t. Processes are tested, modified and retested. Training framework options for a structural model.
and other awareness-building initiatives are put into place.
Alignment, alliances and stakeholder co-operation are
carefully nurtured.
C O N S U LTAT I O N
As in the initial stages of the CMP, comprehensive consultation
Now it’s time to move to a full-fledged, organization-wide with all stakeholders remains critical—only, now the stakes
program. It’s a big step and the ultimate success of the CMS may be higher, the interests more pronounced and, with the
depends on doing it right. expansion of the initiative, the number of players larger.
Initiatives promoted from the “centre” are often funded by
ONE STEP AT A TIME the centre in the project stage, but when the project expands
and becomes a more permanent fixture, funding and
In moving to the rollout of an organization-wide program, resources often get decentralized. While regional authorities
CMS designers will normally go through an iterative are often willing—even eager—to assume control of program
five-step process: services delivered in their jurisdictions, they rarely want to
evaluation assume the associated costs.
consultation As well, stakeholders have a tendency to look out for their

own constituents, while being somewhat less concerned
presentation/approval about the needs of others.
organization
implementation
128 P A T H W A Y S
Grappling with the many competing interests, financial It is now time to look at what you’ve actually got and to
implications and concerns over authority and accountability design the organizational structure you will need to put
will be a test. Count on it. (You may want to bone up on it in place to make the model and the program work.
your IBN skills for this.)
You will need to be specific and detailed in defining the
Just remember, it’s not enough to accommodate each components of the organization. You will have to determine
stakeholder. The real trick will be in finding or creating a the number of people you will need, at what level, with what
consensus that can lead to a viable organizational model authorities, responsibilities and accountabilities—not only
that not only accommodates the needs of stakeholders, but at the centre, but also in your satellite service centres.
also is aligned with policies and overarching CMS goals.
You will also need to clearly establish reporting lines and
governance principles. You may even want to create a team
P R E S E N TAT I O N / A P P R OVA L charter that reflects the philosophies and norms of the unit.
With a well-designed and viable model in hand, it’s time to
approach decision makers for approval to move on to the
I M P L E M E N TAT I O N
program stage.
Going from a limited-scope project to an organization-wide
While the presentation to decision makers has the same goals program will place significant stress on resources. Even with
as when you first went to them for approval of the project, high-level approval and an adequate budget it will take time
its format and content will not be the same. to staff and train key positions. Office space and equipment
will also have to be arranged.
In the initial presentation, decision makers wanted overview,
concepts and prospects for success. Numbers and data, though In the early stages of implementation you will likely require
important, were suspect because they had not been tested help from external service providers. Build this into your
within the organization. Furthermore, the limited scope of the plans and processes. As internal capacity rises, readjust.
project mitigated some of the long-term and financial risks
As you roll out the organization-wide CMS, you will want
associated with approval. As a result, they were more focused
to complement and promote the initiative with an effective
on anecdotal assurances from respected sources.
communications plan. The processes and considerations
But times and conditions have changed. You now have data discussed in the chapter on communications will apply here.
to present that is directly relevant to the organization. You
can show what worked and what didn’t—and what it cost.
GETTING IT DONE
Do your homework. Present your options and link them
directly to a well-developed business case, complete with The steps described above are logical, simple and maybe even
management controls and financial breakdowns. self-evident-at least on paper. Getting it done is, however,
another story.
O R G A N I Z AT I O N In the following segment, as I have done in other chapters, I

If and when approval from decision makers does come, it will will present the DND/CF experience to show how the above
usually be somewhat different from what you originally asked principles were applied.
for. They will make suggestions about structure, reporting
relationships and any number of other things. And financial
allotments will almost always be less than you had requested.
C H A P T E R 1 2
NATIONAL ROLLOUT: ORGANIZATION AND GOVERNANCE 129
Since this segment will also present a comprehensive picture 3. EDCM as a central control with services provided by DRCs
of the DND/CF Conflict Management Program as it was
4. chain-of-command control over DRCs
initially implemented, I have been a bit more detailed than
in previous chapters. CMS designers, while focusing on the 5. DRCs reporting to EDCM for a transition period of
rollout of the program, may also want to look at this segment 1 to 3 years, and then reporting to the chain of command
as a benchmarking model from which some elements may 6. DRCs reporting to the chain of command, with a strong
be extracted. functional reporting relationship to EDCM
Ajilon recommended option 6, based on the assumption
THE DND/CF EXPERIENCE that cultural transformation was the organization’s strongest
T H E C O N S U LTA N T ’ S E VA L U AT I O N R E P O R T S interest. Option 5 was also considered a strong choice as it
Before we implemented a national program, the consulting responded to the organization’s second strong interest-that
firm Ajilon Canada thoroughly evaluated the pilot project of developing a trusted system that was seen to be neutral
and pilot sites to identify strengths and weaknesses and to and confidential. The report noted that option 6 could also
determine which of these might apply across the board. meet this second concern if EDCM’s role was made extremely
Ajilon prepared four separate reports: strong and clear and if EDCM closely monitored the system
and made adjustments where necessary.
The Dispute Resolution System and the Design Process
The Dispute Resolution System: Launching the Pilot Sites
KEY LEARNING
Recommendations for the DND/CF-wide Rollout
Summaries and Appendices
ALIGN ORGANIZATIONAL
STRUCTURE WITH LONG-TERM
PROGRAM GOALS
THE DISPUTE RESOLUTION SYSTEM Structural models are often based on financial,
AND THE DESIGN PROCESS operational and short-term considerations. While
This measured the DND/CF system and design process these are essential elements, when designing and
against industry standards. These standards included the choosing a model it is equally important to look
five key features of integrated CMSs, support mechanisms, beyond immediate functional efficiencies to the
safeguards and the system design components within EDCM. long-term effect you are trying to achieve with the
institution of the CMS. Try to find a balance between
pragmatic and idealistic interests.
THE DISPUTE RESOLUTION SYSTEM:
LAUNCHING THE PILOT SITES
This included findings from the five initial pilot sites
located at Canadian Forces Base Borden; 17 Wing Winnipeg;
Maritime Forces Atlantic (MARLANT), Halifax; Land The report envisioned the overall role of EDCM as that of
Force Western Area, Edmonton; and the National Capital champion or “keeper of the flame.” It also recommended
Region, Ottawa. that EDCM provide central project management and direct
the design of the rollout, as well as its administration and
support. In addition, EDCM would, on an ongoing basis:
R E C O M M E N DAT I O N S F O R
THE DND/CF-WIDE ROLLOUT determine resource allocation;
This report described six rollout structure options, recom- oversee communication;
mendations to EDCM, and Dispute Resolution Centre
support requirements. The rollout structure options were: be involved in training development and standards;
1. EDCM as a central organization providing all services assess the qualification of neutrals and DRC staff;
2. all services provided by an external, arm’s-length, select case mediation;

neutral agency mentor neutrals;
maintain rosters;
130 P A T H W A Y S
handle complex and sensitive cases; THE CONSULTATIVE PROCESS
organize alignment and integration; Although we had a good understanding of the model that
would work well for DND/CF nationally, we considered it
gather documentation and establish policies;
important to get further input from stakeholders. We recog-
set best practices; and nized that the acceptance of the initiative would be directly
related to the process we used to put it into place. In the fall
assume the departmental authority for ADR.
of 2000, many consultations took place—some formal, some
informal. Some key consultations included:
SUMMARIES AND APPENDICES Union Management Consultative Committee—The
This report summarized the three previous reports, highlight- Committee discussed the status of the project and national
ing their issues and recommendations. It evaluated interview rollout options. The union confirmed its support.
questions and indicated benchmarks and guidelines (SPIDR)
for the design of integrated CMSs. The Minister of National Defence—After the Minister and
consultants reviewed the nature, scope and success of the
These four reports are described in greater detail in a process, the Minister expressed interest in fast-tracking the
subsequent chapter on evaluation. initiative.
The overall results of the Ajilon evaluation as described in Environmental Commands—Issues relating to the structure
report 3 were as follows: and location of DRCs, reporting relationships, accountabili-
ADR was working within DND/CF, and there was clear ties, equitable treatment and resource implications were of
evidence it was efficient and effective. particular concern.
The introduction of an integrated CMS within DND/CF Base Commanders—The Base Commanders Forum
had strong potential to foster positive culture change. reviewed approaches relating to the organization, structure,
function and reporting of the DRCs.
The design process was consistent with industry standards
and in many aspects had provided groundbreaking CMP Steering/Advisory Committee—The purpose of these
enhancements to those standards. meetings was to report on the status of the Project, to review
Ajilon’s evaluations and recommendations and to consider
All the key features and components of an integrated national rollout options.
system existed at least at the planning stage or beyond.
Pilot Site DRC Coordinators—to review structural and
The strength of individual features and components logistical requirements for the national rollout.
varied with each stage of development and with the
resources available. Senior Human Resources Management Committee—to
review human resource implications before proceeding.
EDMC was fulfilling its mandate extremely well and
was on plan to meet its objectives. Defence Management Committee—In December 2000,
EDCM made a presentation to DMC outlining the recom-
mended national program and related resource requirements.
KEY LEARNING The elements of this key presentation included:
ANY BROADLY BASED the background and genesis-Why a CMP?

PROGRAM IMPLEMENTATION the response of DND
SHOULD BE BASED ON A
THOROUGH REVIEW OF THE project mandate
PILOT SITES AND ALL RELATED
the ADR continuum
ACTIVITIES TO THAT POINT
Before implementing an organization-wide system, key features of a DND/CF conflict management system
use pilot project initiatives to test and evaluate
the DND/CF integrated CM system
preferred models. Have an external independent
organization evaluate both the system design process the project overview
and the pilot projects. Seek recommendations. Be
the pilot sites
open to learning and prepared for surprises.
C H A P T E R 1 2
functions of DRCs CMP MANAGEMENT CONTROLS
Consistent with the DMC directive, EDCM presented the
what we learned from the pilot sites
CMP management controls to DMC in May 2001. The
anecdotal comments from senior officials who had management controls were divided into four main categories:
used the system evaluation, reporting, performance measures and criteria
results of the consultations held to date for managing and administering the CMP.
the national rollout options considered The following is an outline of that presentation:
national rollout recommendations Evaluation—is ongoing in four main areas. They are:
The mediation process (mediators)
number and location of DRCs
core DRCs’ resourcing and region of responsibility DND/CF mediators are evaluated to ensure they meet the
standard to which they were trained. As well, the mediation
satellite DRCs’ resourcing process is monitored and amended as required.
the DMC decisions requested ADR interventions (DRCs)
the distribution of resources among The overall activities of DRCs in the conduct of interest-
environmental commands based ADR interventions are evaluated. This ensures that
DRC activities are conducted in a manner consistent with
national program objectives.
KEY LEARNING
ADR training
CONSULT WITH STAKEHOLDERS This process involves the evaluation of the core ADR
IN A MEANINGFUL WAY courses to ensure standards are being maintained and
BEFORE MAKING NATIONAL
are consistent with national objectives.
ROLLOUT DECISION
Ensure all stakeholders are fully informed about Communications
all options—and that they support the initiative. Communications activities are reviewed quarterly to
If they don’t, take all precautions to ensure that
ensure they are in line with the departmental communica-
they won’t oppose it in decision-making and
tions approach. DRCs may opt for communications tools
resource-allocation forums.
not outlined in that approach provided they receive prior
approval from EDCM.
Each domain is evaluated for effectiveness and efficiency.
Evaluations are done annually (except where indicated),
THE DEFENCE MANAGEMENT
COMMITTEE RESPONSE and where there are deficiencies EDCM provides corrective
DMC, which is made up of the most senior departmental guidance until a broader evaluation capacity can be devel-
officials, is a key player in the decision-making process. oped. EDCM staff evaluates mediators, while EDCM retains
the evaluation responsibility for interventions and training.
While DMC supported the national rollout project as pre-
sented by EDCM, it requested that the resource requirements Reporting requirements—are managed on an ongoing basis
for full implementation be further scoped out in the business in four main areas:
planning process. As well, DMC asked that the Program’s DRC reporting lines–operational and functional reporting
staffing plan and management controls be outlined at a
subsequent DMC meeting. Each core DRC reports operationally to the highest level in
its respective area. For example, the Halifax DRC reports
directly to the Commander MARLANT. The Edmonton
DRC reports directly to the Commander of Land Force
Western Area. Satellite DRCs report directly to their
respective Base Commanders. DRCs also have an ongoing
technical and functional reporting requirement to EDCM.
132 P A T H W A Y S
Operational reporting ensures that ADR services are being Performance measures and standards—are a key compo-
provided to client organizations and that day-to-day DRC nent of a unit’s business plan. The use of performance
operations are effective and efficient. To this end, the local measures assists EDCM in determining how a unit is
Commander writes annual evaluations on DRC staff, with performing in relation to program objectives. To facilitate
input from EDCM. this measurement the following indicators apply:
Functional reporting ensures that the overarching national – DRCs report operationally to highest level in region;
DRC principles and practices are being met and that DRC
– DRCs report functionally and technically to EDCM;
linkages with national program objectives are achieved.
– business plan submitted;
Funding allocations
– resources allocated;
Based on the annual review of DRC business plans, EDCM
distributes the funds as required. Assistant Deputy Minister – regional provision of ADR services;
(Human Resources – Military) may, pending the results of – development of comprehensive training,
evaluations, distribute resources from its annual operating communications and mediation strategies;
budget as baseline funding.
– provision of ADR services as they relate to
DRC quarterly reports to EDCM include: workplace disputes;
– the number of mediations and other interventions – alignment with program objectives;
and their results
– delivery of Conflict Management and ADR Processes
– the extent and nature of training (one day) and Interest-Based Negotiation and ADR
– the challenges and recommended solutions Processes (two days) courses;
The DRC submits business plans to EDCM for review before – conduct of briefings as identified in strategies;
final submission. The review entails an assessment of how – ADR coaching services; and
appropriately national resources are allocated. Where
necessary, EDCM will redistribute resources. – referral of cases to appropriate agencies (i.e. harass-
ment/grievance cells, Director General Employee
EDCM reporting activities include: Relations, regional service centres, chain of command,
– EDCM reviews DRCs’ business plans, and if these reveal unions, EAP/MAP).
inconsistencies with program objectives and principles, Training Standard
EDCM will direct corrective action.
Training is an essential component of the CMP. EDCM
– EDCM convenes an annual DRC Coordinators’ has developed three core courses that form the basis of
Workshop to ensure that all DRCs are in alignment ADR training for DND/CF. They were designed as either
with program objectives and to provide professional stand-alone courses or to be given in a modular format.
development opportunities to the DRC Coordinators. They form the minimum required standard and should
– EDCM convenes the Conflict Management Steering be augmented where necessary to address specific local
Committee annually. needs. The courses are:
– EDCM provides input to local Commanding Officers – Conflict Management and ADR Processes
on writing performance appraisals of DRC staff. – Interest-Based Negotiation and ADR Processes
– EDCM reports to ADM (HR - Mil) and ADM (HR - – Mediator Qualification Program
Civ) quarterly.
The Conflict Management and ADR Processes Course and
– EDCM reports to Defence Management Committee/ the Interest-Based Negotiation and ADR Processes Course
Armed Forces Council annually or as directed, on may be delivered locally and are subject to regular audits
behalf of ADM (HR - Mil) and ADM (HR - Civ). by EDCM staff to promote consistency and compliance
– EDCM promotes alignment and consistency of related with the standard. EDCM staff organize the Mediator
DND/CF policies and procedures. Qualification Program. EDCM maintains and amends
the standards for all three courses.
C H A P T E R 1 2
Mediation Standard – maintaining a functional and technical relationship
with DRCs
Mediation forms the cornerstone of the CMP. It is crucial
for consistency of service and protection of departmental – developing inter-Environmental
and individual liabilities that mediations be conducted Command/Area/Formation/Base memoranda
within guidelines and adhere to an appropriate standard. of understanding
EDCM has adopted a five-stage mediation model. The
– training DND/CF mediators
MQP, or EDCM-endorsed equivalent, ensures the standard
outlined below is maintained. All mediators must: – maintaining DND/CF mediation training
and procedural standards
– meet the MQP standard
– providing input on DRC staff performance reviews
– have the appropriate training
– ensuring that interest-based processes are conducted
– have conducted co-mediations
in such a way that they do not interfere with rights-
– have completed a research project/activity based processes
– have completed a skills assessment by EDCM
or delegated authority
KEY LEARNING
– conduct two mediations over a two-year period
to maintain the qualification standard HAVE PROGRAM MANAGEMENT
CONTROLS CLEARLY DEFINED
– use the DND/CF five-stage mediation model AND INCLUDED AS PART OF
– use approved DND/CF agreement-to-mediate THE PROGRAM APPROVAL
and terms-of-settlement frameworks PROCESS
It is useful to have the management controls
Criteria for managing and administering the CMP associated with program delivery clearly specified
This criteria relates to EDCM’s fulfillment of its ongoing before seeking program approval or resources from
responsibilities. decision-making authorities.
The selection of appropriate staff for DRCs is paramount.

EDCM developed a national staffing strategy for civilians
and coordinates it centrally for all positions. Military
staffing, however, is particularly challenging because of RESOURCE TENSIONS
posting cycle requirements. The role of a mediator or DRC ASSOCIATED WITH THE
Coordinator is outside the normally defined boundaries NATIONAL ROLLOUT
of known military occupations. To facilitate the career The success of the initial five pilot DRC sites led to requests
management posting process, EDCM developed criteria for the establishment of two other DRCs (Valcartier and
for military staff selection that take into account personal Esquimalt) before full national rollout—a request the Armed
attributes and skill sets as part of the selection protocol. Forces Council approved in September 1999.
EDCM’s ongoing roles and responsibilities: Although EDCM had been providing some funding assistance
– assuming departmental authority for ADR until fiscal year 1999/2000, the Armed Forces Council further
directed that starting in 2000/2001, DRCs would obtain
– monitoring and maintaining the CMP funding through the normal business planning process. This
– reviewing and commenting on DRC business plans meant that each environmental command would provide the
resources for its own DRCs, at least until the pilot project
– conducting evaluations phase was completed. Since EDCM had been providing
– amending program components as necessary additional assistance with this up to 1999/2000, this resource
issue would relate to subsequent national rollout proposals.
– allocating resources
– ensuring that ADR services are being provided regionally
134 P A T H W A Y S
All environmental commands wanted to ensure that they the provision of ADR services from a large single national
would benefit from the ADR initiative and national rollout central office (EDCM);
plans in a fair and equitable manner. They were particularly
the creation of a new arm’s-length external agency with
interested in the initiative if this involved new resources
separate employer status;
from the centre (Defence Services Program Vote 1). They
were concerned that the resources (particularly Regular Force the establishment of DRCs on Bases reporting through
military personnel requiring position offsets) might have to the regular chain of command; and
be found from within their own organizations. the establishment of DRCs on Bases reporting
In the end, the DMC decision to provide new funding from through EDCM.
the “centre,” while requiring environmental commands to The option of having core DRCs serving a broad geographic
contribute military personnel (at least one Regular Force area was deemed most suitable.
officer for each DRC) to the DRCs they would be operating,
was considered appropriate. Core pilot site DRCs that had been established in Halifax,
Valcartier, Borden, the National Capital Region, Winnipeg,
Edmonton and Esquimalt remained in place. New core DRCs
KEY LEARNING were added in:
Gagetown, New Brunswick
SOME SEED FUNDING WILL
LIKELY HAVE TO COME Saint-Jean/Montreal, Quebec
FROM THE CENTRE OF AN
ORGANIZATION IN ORDER Petawawa, Ontario
FOR A COMPREHENSIVE Trenton, Ontario
PROGRAM TO BE INITIATED
New “satellite” DRCs were created in:
The decision to allocate new funding for the initiative
was critical in ensuring acceptance and support Greenwood, Nova Scotia
for it. The fact that senior management considered
the Program important enough to find new funding Kingston, Ontario
sent an important signal to other levels within the Cold Lake, Alberta
organization. As well, the model where DRCs would
support geographic regions and serve environmental Wainwright, Alberta
commands which may not be “their own” would have
Comox, British Columbia
been extremely difficult to implement. This helped
create a situation where greater co-operation and As well, because of the unique characteristics and require-
highly effective horizontal management among the ments of the reserves and cadets, resources were provided
commands became evident. for ADR services specifically for these groups.
THE STRUCTURE
OF THE PROGRAM
EDCM assessed several options before structuring the
national program. These included:
the establishment of core DRCs at larger Bases to provide
services on a geographic basis (smaller satellite centres
would receive services from the core centres); these would
be linked functionally to EDCM;
C H A P T E R 1 2
C O R E D R C S TA F F I N G P E R S O N Y E A R S A N D in brackets after each city indicate the responsible
GEOGRAPHIC SUPPORT RESPONSIBILITY environmental command: CMS is navy, or maritime;
The number of persons (PYs or person years) dedicated CLS is army, or land; and CAS is air force.
to each geographic site are shown below. The letters
Halifax (CMS) 5 PY NS, Nfld & Labrador, PEI, (Greenwood)

Gagetown (CLS) 4 PY NB
Valcartier (CLS) 4 PY Valcartier, Bagotville, East Quebec
Saint-Jean (CLS) 4 PY Montreal, West Quebec
NCR 5 PY National Defence Headquarters, international sites
Petawawa (CLS) 4 PY Petawawa, North Bay, Northeast Ontario
Trenton (CAS) 4 PY Initially supported Kingston (now core DRC)
Borden 5 PY Toronto, Southwest Ontario
Winnipeg (CAS) 5 PY Northwest Ontario, Sask, Man
Edmonton (CLS) 5 PY Alta, NWT, Yukon, Nunavut (Cold Lake/Wainwright)
Esquimalt (CMS) 4 PY BC (Comox)
Each of the five satellite sites was initially allocated one person (PY):
Greenwood (CAS) 1PY supported by Halifax

Kingston (CLS) 1 PY initially supported by Trenton (later a core DRC)
Wainwright (CLS) 1 PY supported by Edmonton
Cold Lake (CAS) 1 PY supported by Edmonton
Comox (CAS) 1 PY supported by Esquimalt
Director General Reserves and Cadets was assigned 2 PYs. EDCM was allocated 12 PYs.
R E S O U R C E U S E B Y E N V I R O N M E N TA L C O M M A N D
A balancing of resources among the various environmental commands was completed with the following allocation:
CLS 23 PY (5 military) $2.3 million

CAS 12 PY (2 military) $1.2 million
CMS 9 PY (2 military) $860 thousand
CFRETS 5 PY (1 military) $471 thousand
NCR 2 PY (1 military) $470 thousand
DGCR 2 PY (0 military) $219 thousand
EDCM 12 PY (3 military) $1.5 million
In summary, the national program was established with 68 persons and a budget of $6.7 million per year.
136 P A T H W A Y S
Manager, Evaluation (EDCM 2)—is responsible for
KEY LEARNING
developing the methodology and the tools used to assess the
FUNDING ALLOCATIONS CAN success of the CMP. Such tools include means of evaluating
OFTEN BE AN ISSUE; HAVE organizations (DGCMP and DRC), individuals (mediators)
PARTIES AGREE ON THE and processes (mediation), as well as the impact of ADR serv-
CRITERIA TO BE USED FOR ices in DND/CF. This person works closely with stakeholders
ALLOCATIONS (RATHER THAN to validate the integration of the CMP within DND/CF.
THE ACTUAL ALLOCATIONS)
BEFOREHAND Executive Assistant to DGCMP (EDCM 3)—assists DGCMP
in the day-to-day program management functions, including
In large multi-functional, regionally dispersed
the coordination of activities within DGCMP to meet objec-
organizations, where there are resource implications
attached to a proposed program, it is important to tives, such as business planning, budgeting and allocation
form a consensus among the key stakeholders of funds to DRCs. This person also prepares quarterly and
regarding what, where, who, and how the program end-of-year reports on the activities of the Conflict
will be put into place. Stakeholders need to under- Management Program.
stand what resources will flow to (or be contributed
Manager, Select Case Mediation (EDCM 4)—is responsible
by) each organizational unit before going forward for
for the integrity of all mediations and interventions conducted
full program approval. There should be very little
room for ambiguity. If the parties do not understand within the context of the Conflict Management Program.
who gets (or gives up) what, they are unlikely to There is a close relationship with the Office of the DND/CF
support the decision-making process of the program Legal Advisor and the Judge Advocate General in providing
as a whole. recommendations on various legal issues related to ADR
interventions.
Administrative Assistant (EDCM 5)—reports to DGCMP
and provides business services, advice and recommendations
PROGRAM GOVERNANCE in areas such as human resources, training and finance. This
EDCM/DGCM STRUCTURE person is responsible for preparing budget forecasts, adminis-
As noted early in this book, the skills and responsibilities tering budgets and coordinating all other financial activities,
required at the inception of an initiative may well be different such as contracts, invoices, salary, operations and maintenance.
from those required for its maintenance. This understanding The Administrative Assistant supervises the military clerk.
was recognized and built into the design of DND/CF’s CMP. Clerk (EDCM 5-2)—supports the Administrative Assistant
As we moved to an organization-wide program, we intro- in providing business services to DGCMP staff. Activities
duced the position of Director General Conflict Management include making travel arrangements and processing claims,
Program. The following describes the initial EDCM and maintaining the filing system, ensuring the protection of
subsequent DGCMP organizations. sensitive documents, ordering and keeping track of supplies
Executive Director Conflict Management (EDCM)—is and maintaining the library.
recognized as the departmental authority for all aspects of Director, National Operations (EDCM 6)—is responsible for
ADR, including mediations and ADR training in DND/CF. the initial staffing of all DRC positions and for coordinating
EDCM provides expertise on conflict management in the the operations of the DRCs. The Director is also responsible
workplace and advice on select interventions. for convening the DRC Coordinators’ meeting on a regular
Director General Conflict Management Program basis. As well, the Director is responsible for developing tools
(DGCMP)—ensures the CMP is managed within the used to monitor DRC activities to ensure that a standardized
boundaries of its mandate, monitors the delivery of ADR level of service is maintained nationally. The Director liaises
services, evaluates the Program regularly and modifies the with the DRCs and DGCMP so that DGCMP can provide
Program where necessary. DGCMP also coordinates the important materials, such as guidelines and manuals, to
staffing of DRCs and the distribution of funds to DRCs the DRCs.
through the business planning process. As required, DGCMP
is responsible for providing appropriate responses where new
or unusual circumstances persist (e.g. a question on ethics
or confidentiality).
C H A P T E R 1 2
Manager, Special Projects (EDCM 7)—manages unique
projects not directly related to any of the other functions EDCM Team Charter
within DGCMP, but necessitating close attention to advance
As professionals we are self-motivated, supportive of
the Conflict Management Program. Some projects are based
each other, and committed to the success of team goals.
on research and development; others are large in scope and
We will:
require full-time attention for periods of several months.
Respect each other’s values, differences, ideas
Manager, Training (EDCM 8)—evaluates and amends
and goals;
existing ADR training, reviews needs assessments to deter-
mine additional training needs and monitors the qualification Strive to demonstrate respect by:
of DND/CF mediators through the Mediator Qualification – using appropriate language,
Program. The Manager helps integrate ADR training with
other military and civilian courses and provides linkages – valuing each other’s concerns and opinions,
with database input in PeopleSoft and the Individual Training – demonstrating active listening behaviour, and
Management Information System (ITMIS).
– being patient with one another;
Manager, Communications (EDCM 9)—develops compre-
hensive communications strategies and operational plans Exchange appropriate information in a timely
to support the CMP and to coordinate all communications fashion;
products. The Communications Manager works closely with Model the principles and practices of ADR
DGCMP, the DGCMP team and the regional and local DRC practitioners in our behaviour;
Coordinators to assess the CMP’s communications needs
Contribute to the DND/CF community of ADR
and deliver the appropriate tools.
practitioners;
Strive for excellence as individuals and as a team,
THE EDCM TEAM CHARTER
in a continuous learning environment;
In designing the CMS and preparing for the national program
rollout, the EDCM team realized that although this was a Commit to getting to know each other better
particularly exhilarating task, it would be logical to expect as people on a social level;
some tensions within our own work environment. At the Be open to opportunities for developing the team;
same time, the task presented a unique opportunity to create
a workplace that reflected the values and beliefs we were Provide and seek out constructive feedback on
advocating in our program. a regular basis, as individuals and as a team;
This led to discussions around the ways we wanted to work Foster an environment that is supportive of profes-
together. In effect, it was a discussion of our organizational sional and personal aspects of our lives;
culture and our behavioural norms. We decided to prepare a If there is a perception or feeling of conflict with
“team charter” outlining these norms. We reached consensus someone, take the initiative and commit to resolving
and all members of EDCM signed the following “charter”: the conflict early, seeking the help of others as
necessary; and
Maintain a positive attitude.
We will review our performance as it relates to this
charter on a quarterly basis.
138 P A T H W A Y S
In general terms, DRCs are the primary access points
KEY LEARNING
for ADR services across the country. ADR services include
A TEAM CHARTER OR providing interest-based options such as self-help, coaching,
OTHER INSTRUMENT, WHICH negotiating and arranging for the services of impartial
ENCOURAGES DIALOGUE third party neutrals and mediators to help resolve disputes.
AMONG MEMBERS OF YOUR Its function as well is to train appropriate personnel in
DESIGN TEAM, CAN HELP interest-based techniques.
CREATE A “CONFLICT
COMPETENT” TEAM DRCs do not replace any rights-based custodians such as
those associated with grievances, harassment or collective
A process that allows a working group to discuss
agreements, nor are they mandated to provide advice or
behavioural norms in a transparent and safe manner
can be very useful. It promotes a culture of dialogue guidance on rights-based processes. They may, however,
and conflict competency. It’s not so much the out- provide general information on rights-based mechanisms and
come or product emerging from the process that refer clients to related advisors such as union representatives
creates value, but the process itself. and HR advisors.
EDCM’s team charter helped establish a common
understanding; however, the discussion, clarification
D R C O R G A N I Z AT I O N A L S T R U C T U R E S
and frank communications that were necessary to AND POSITIONS
draft the charter were useful and enduring.
Sample Organizational Chart
This approach also has practical applications in
group interventions dealing with dysfunctional
behaviour. Coordinator
AS-07/Major (Res./Reg. Force)
Admin. Support
DISPUTE RESOLUTION CENTRES CR-07
The composition of the DND/CF population was a key
factor in defining the structure of DRCs. The aim was to
have a balance of military (both Regular and Reserve Force) Senior Mediator Mediator Mediator
and civilian staff. AS-06 Capt. AS-05
(Res./Reg. Force)
Each regional DRC is provided with a Regular Force PY at the
major/lieutenant-commander or captain/lieutenant(N) rank.
DRCs with a regional responsibility have a minimum of three
staff and a maximum of five. DRCs with a local responsibility
(satellite centres) are staffed by one major (Reserve Force) DRC Coordinator—is responsible for ensuring that the
or an AS-06. Centre provides appropriate and timely ADR services to its
Normally each regional DRC has a major/lieutenant- clients. The Coordinator is responsible for ensuring that:
commander or AS-07 as the Coordinator, an AS-06 or financial and human resources (regional) are planned
captain/lieutenant(N) as Senior Mediator, one or two AS-05s and managed;
or captains/lieutenants(N) as Mediator and a clerk at the
CR-04 or master corporal level. The actual filling of the the use of interest-based processes in the resolution
positions depends on how the Coordinator position is filled. of disputes at the earliest stage and the lowest level
If the Coordinator is a major/lieutenant-commander, then the of the dispute is being promoted at the DRC;
Senior Mediator should normally be an AS-06. Conversely, if confidential and impartial assistance to stakeholders,
the Coordinator is an AS-07, then the Senior Mediator should regardless of position, rank or role, is being provided;
normally be a captain/lieutenant(N). The Regular Force PY
offset can be used in either the Coordinator, Senior Mediator
or Mediator role.
C H A P T E R 1 2
ADR training is both adequately and appropriately AUTHORITIES
facilitated and coordinated; In any national rollout process it is important to ensure
ADR services are monitored and reported to the Base that the appropriate authorities are clear.
Commander and DGCMP as required; The DND/CF conflict management system is governed by
communications strategies, plans and products are three main authorities:
developed and implemented; and Operational Authority—oversees the provision of ADR
complex, sensitive cases with legal or political ramifications services to client organizations. Base, Wing and Formation
are brought to the attention of DGCMP. Commanders have operational authority for the DRCs.
Senior Mediator and DR Specialist—is responsible for: Functional Authority—ensures that the overarching
national DRC principles and practices are met and that
encouraging the use of interest-based processes in the
the DRC linkages with national program objectives are
resolution of disputes at the earliest stage and the lowest
achieved. Functional authority rests with EDCM/DGCMP.
level of the dispute;
Technical Authority—provides subject matter expertise
providing confidential and impartial assistance and advice
and guidance in ADR-related activities. Technical authority
to stakeholders, regardless of position, rank or role;
rests with EDCM/DGCMP.
providing ADR services, in particular for complex and
sensitive cases;
REQUEST FOR PROPOSAL:
coaching mediators in dispute resolution skills;
TRAINING AND INTERVENTIONS
facilitating and coordinating ADR training and delivering N AT I O N A L R O L L O U T A S S I S TA N C E I N
briefings and information sessions; and TRAINING AND THE CONDUCT OF ADR
INTERVENTIONS
conducting trends analyses on internal disputes and In planning for the national rollout we anticipated that
identifying potential areas of conflict. there would be a substantial requirement for training and
Mediator and DR Specialist—assumes responsibilities mediation services. A request for proposal was issued to
similar to but somewhat less complex than the issues acquire these services from external service providers.
handled by the Senior Mediator. The Mediator would: We put forth the following requirements:
encourage the use of interest-based processes in the preparing and delivering training programs
resolution of disputes at the earliest stage and the lowest
level of the dispute; optimizing program delivery processes
provide confidential and impartial assistance and advice assessing and testing of participants
to stakeholders regardless of position, rank or role; preparing manuals
provide ADR services; mentoring
facilitate and coordinate ADR training; and developing training materials such as case studies
deliver briefings and information sessions. and role plays
anticipating delivery and set-up requirements for
each process element
providing assistance and support to other team
members to ensure that all elements are delivered
at the optimum level
140 P A T H W A Y S
preparing the delivery team to ensure common focus,
KEY LEARNING
clarity of roles and expectations, agreements for working
together, clarity of assignments and facilitation of the ORGANIZATIONS IMPLEMENTING
team’s daily feedback and orientation sessions CMSS WILL BENEFIT FROM
recording and summarizing feedback and insights
EXTERNAL ASSISTANCE FROM
ADR SPECIALISTS; IF RFPS
evaluating program effectiveness and providing advice ARE GOING TO BE USED,
on desirable changes START THE PROCESS EARLY
designing and conducting train-the-trainer sessions related Start the RFP process early and be as broad in scope
as possible to permit maximum flexibility.
to the learning program (as required)
The RFP also requested submissions for services dealing with
dispute resolution interventions as follows:
organizational diagnosis, action planning, implementation
and evaluation of interventions
gathering and analysis of data about an organization to
help identify symptoms, problems and possible solutions
defining the nature, scope and impact of problems
facing organizations
joint planning with the client to determine specific
prescriptions for action, including the appropriate
change method and schedule for those actions
conducting interventions such as focus groups, facilitating
workshops and groups, team-building workshops and
exercises, business simulations (experiential learning),
surveys, questionnaires, workplace assessments, coaching,
mentoring and mediation, early neutral evaluation and
other ADR initiatives
Note: While the RFP in the CMS Tool Kit (Tool 1) was
created for a different purpose, layout and wording may
be relevant to the writing of any RFP.
C H A P T E R 1 2
THE NUTS AND BOLTS
WHY BOTHER?
C H A P T E R 13 Organizations evaluate conflict management

systems for one or more of the following reasons:
to ensure things are working as they should
to establish measures of impact
EVALUATION
to continually improve
AND to be administratively accountable
MONITORING to determine, assess or justify resource levels
to increase awareness and support
T Y P E S O F E VA L UAT I O N S
There are generally three types of evaluations:
quantitative
qualitative
DID WE GET
IT RIGHT? anecdotal
Energy, money, time, commitment
and a sincere desire to improve conflict Q UA N T I TAT I V E E VA L UAT I O N S
competence in the workplace are all Quantitative evaluation is the approach most commonly
key ingredients in creating an effective used. It deals with elements that can be counted or measured.
integrated CMS. But how do you know if all It is straightforward, easily understood and easily presented.
that effort has paid off? You and your team have Quantitative data is usually seen as neutral and irrefutable
been working full tilt, carefully piecing together the many and, therefore, is also seen as credible. Results are often
elements that go into the system. For many months you’ve depicted using graphs, statistical data or numbers.
been eating, drinking and breathing this. Do you really have
enough perspective to assess what you’ve achieved and have Quantitative evaluations are particularly useful for cost-
yet to achieve? benefit analyses and for building strong arguments for
funding. Senior officials will often require a strong business
Evaluation and monitoring mechanisms that provide case and a clearly identified return on investment before
ongoing, relevant, accurate and timely feedback are crucial authorizing further funding.
to determining the effectiveness of a system. They need
to be transparent, appropriate and neutral and should be In the context of CMSs, quantitative evaluations often
introduced into the system from its inception. In fact, they address efficiency issues and cover:
should be considered an essential and integral component the cost factor—which measures the costs to the
of the CMS plan. Instituting evaluation and monitoring organization (and disputants) of using ADR to resolve
mechanisms directly into the CMS can mitigate the frustra- disputes instead of the traditional rights-based processes.
tion of backtracking to retrieve data that may now be lost These costs may be measured in dollars, lost productivity,
or obscure, as well as concerns over perspective. absenteeism and legal fees.
The evaluation process can serve several objectives and take
many forms. Methodologies will vary, depending on what is
being evaluated and when. No single approach or template
fits all circumstances. There are, however, some basic frame-
works that apply.
142 P A T H W A Y S
the time factor—which measures the time taken to deal To address these questions, qualitative evaluations
with the issue using ADR as opposed to rights-based will often use:
processes such as investigations, hearings, inquiries
document reviews, such as reports, minutes and
and litigation.
correspondence to access information about the
the satisfaction factor—which measures the extent to chronology of decisions and actions or the response
which the parties are satisfied with final outcomes and and opinions of individuals affected by the system;
the degree to which agreements tend to “hold” or remain
expert opinion, by seeking the views of outside experts
intact. Once again, these measures are normally based
on various initiatives; and
on a comparison of interest- and rights-based processes.
case studies which focus on representative or
similar situations.
Q UA L I TAT I V E E VA L UAT I O N S
Qualitative evaluations are more descriptive. They assess what
has taken place in relation to industry standards, guidelines A N E C D OTA L E VA L UAT I O N S
or other benchmarks. The DND/CF project was evaluated in Although not widely acknowledged as an evaluation tool,
relation to the standards for designing integrated conflict anecdotes are one of the most important feedback mecha-
management systems established by SPIDR. nisms—particularly in the very early stages of a system
design exercise. Anecdotes are the stories people tell about
While the quantitative approach normally focuses on gathering
their experience with, or understanding of, the initiative.
and analyzing data to determine efficiencies, qualitative evalua-
They can take the form of comments in public forums,
tions tend to find answers to questions about the effectiveness
discussions around the water cooler, person-to-person
of a system or its components. As such, qualitative evaluations
comments and correspondence.
are often a matter of asking the right questions.
There is very little structure to such “evaluations”; however,
Qualitative evaluations frequently deal with concerns such as:
these anecdotes can have a profound impact on stakeholders’
the suitability factor—wherein pertinent questions acceptance of the program—particularly when they come
might include: Is the system effective in this particular from people whose views are well respected.
organization? Is it appropriate?
To understand the impact of this approach, think for a
the structural factor—wherein relevant questions might moment about movie ads or book jackets where quotes
include: Does the system cover all people and all types of from highly respected critics and authors are displayed.
workplace problems? Does it focus on conflict resolution These testimonials can be quite powerful, particularly when
at the lowest possible level? Does it provide multiple the source is an impartial authority. The stamp of approval
access points? Are there multiple interest- and rights-based from a recognized expert carries a lot of weight. If many
options for employees? Are there effective support experts reiterate this approval, the overall effect is cumulative.
structures within the organization?
Anecdotal “evidence” is not restricted to expert testimonials.
the fairness factor—to which designers might ask: Anecdotes often come from people who have had personal
Does the system ensure fairness through the inclusion of experience with the system. Their observations are therefore
voluntary participation, confidentiality, privacy, accessibility extremely valuable—not just as a selling tool, but as a learn-
and impartial, well-trained neutrals? Does it respect ing tool. Their comments will help designers understand the
collective bargaining agreements and rights? Does it experience of clients, which can help to direct modifications
respect the diversity of individuals? Does it serve the to the system.
needs of individuals from both official language groups?
Does it permit access to rights-based processes if requested
by disputants?
C H A P T E R 1 3
EVALUATION AND MONITORING 143
Over the course of the DND/CF project implementation
KEY LEARNING
phase, I kept a record of some of these comments, particularly
those that were unsolicited. Sample comments, which ANECDOTAL COMMENTS CAN
on occasion I incorporated into some strategic briefings BE VERY USEFUL; CAPTURE
and presentations to DND/CF officials, are quoted below: THEM IN A SYSTEMATIC WAY
“The Centre has had tremendous success mediating throughout Capture anecdotal comments in a systematic
(the organization), probably reducing formal investigations by manner early in the project phase. It’s easy for them
over 95%.”—Base Commander, army to get lost or forgotten. Their use in getting program
acceptance at a later date can be substantial, some-
“This is a helluva lot better than having a grievance where times having an even greater impact than what some
the employee wins but is not happy and the manager is would consider more scientific, empirical evidence.
upset because he lost …or, we lost and the workplace is
a shambles.”—union spokesperson
“(The) system is a good one ... imperative that it be
supported from the top (by people like me who are close THE FOUR STAGES OF
to the troops). I’ve used it and I can stand up in front of EVALUATION: PLANNING,
the troops and categorically state that the process works PROJECT, PROGRAM
for the betterment of all.”—senior army officer AND PROCESS
“If this matter had gone to trial, and whether or not we Each stage in the CMS development process presents different
eventually won the legal fight, the costs to the institution in goals and challenges. Accordingly, the nature and scope of an
financial and especially human terms would have been enor- evaluation process will often shift, depending on where you
mous … the settlement allowed us to avoid all of that … a are in the system design process.
truly good one for the personal defendants as well as for the
institution.”—former DND/CF Legal Advisor
P L A N N I N G S TAG E
“These were not easy cases, clearly beyond the point of being The planning stage is the period when the system designer
solved by traditional administrative processes. (The process) has a broad mandate to seek approvals for the testing and
helps find solutions that are positive and work for the institution implementation of initiatives. During this stage the designer
instead of against it.”—former Chief of the Air Staff will need to develop an evaluation plan that explains the
“I don’t believe that X and I are operating under any illusions what-how-when-where-who of a proposed evaluation process.
that two strong-willed individuals as passionate about their Early in the planning phase you will want an evaluation plan
work as he and I will never disagree with each other in the that addresses:
future, but we now have the tools to ensure that it does not
conflict management project goals—Are they being
escalate beyond a healthy discussion of differing points of
view.”—unsolicited letter to Vice Chief of the Defence Staff achieved? What is working? What could be improved?
How can useful approaches be sustained?
“A leading edge system design initiative ... recognized as being
dispute resolution system goals—What is effective in
among the very best such initiatives in the world. The process
is state of the art.”—Ajilon Canada enhancing the system?
critical system design success factors—What is required for
the system design project to be implemented effectively?
critical ADR success factors—What is required for the
ADR process to work well? What is required for the further
development of the evaluation tools?
144 P A T H W A Y S
In February 2000 the DND/CF Chief Review Services organi- The evaluation at the project phase should address:
zation helped us prepare an evaluation framework internally.
the return on investment—a cost-benefit analysis;
This framework established the parameters within which a
more comprehensive evaluation could be conducted. It whether the system works and is making a difference;
included three components: the scope of its impact;
conflict management project design the nature and sources of conflict;
pilot project design emerging patterns of workplace conflict and
pilot project performance systemic issues;
The framework proposed methodologies, data sources and what works particularly well and what needs
information that we would need to collect to help us assess to be changed;
how to “do the right thing” and how to “do it right.” whether to proceed; and
how to proceed.
KEY LEARNING
INCLUDE THE EVALUATION P R O G R A M S TAG E

PLAN WITH THE CONFLICT This is the stage where the full program has been implemented
MANAGEMENT PROJECT and now requires ongoing assessment and monitoring.
PROPOSAL
At the program stage, the evaluation should address:
A comprehensive evaluation plan, presented in
concert with the conflict management project pro- program elements that require modification;
posal, adds clarity on how success is viewed and on systemic problems (How can they be corrected?);
how to define accountabilities. It also significantly
enhances the comfort level and buy-in of approving resource distributions among program components
authorities. Develop the plan in consultation with or centres (Should they be shifted?); and
key stakeholders.
efficiency and effectiveness.
P R O C E S S S TAG E
P R O J E C T S TAG E The process stage, from an evaluation perspective, is a subset
The system design process in large organizations normally of the other stages and focuses on the various ADR processes
includes a pilot project or testing phase, which is undertaken which occur within those stages. These processes include the
before implementing the full program. This enables the conduct of mediations, workplace assessments, coaching and
organization to make modifications to the proposed model facilitation interventions and training.
as required. It allows the organization to determine how well Evaluation objectives include an enhanced understanding of:
ADR processes work within the context of its unique culture,
client satisfaction levels with regard to mediations and
to better assess the costs and benefits, and to better determine
other ADR interventions;
the level of investment the organization wishes to make.
quality control of the mediation process, ADR and
The project evaluation normally covers both the broad
training; and
conflict management project and the individual pilot site
initiatives. This is one of the most critical steps in the system training and professional development requirements.
design process. It will heavily influence the nature, scope and
For example, DND/CF monitors all interventions and
level of funding for the overall system.
evaluates all training programs, each mediation and
mediator performance.
C H A P T E R 1 3
STEPS IN THE EVALUATION Establish criteria for the selection of an evaluator. Things to
PROCESS: A CHECKLIST consider include:
An effective evaluation process for an integrated CMS will – objectivity (evaluator should normally be external
take into account the procedures identified by groups such as to the organization);
the Association for Conflict Resolution, the Administrative
– evaluation experience;
Conference of the United States, and the US Federal Inter-
Agency Working Group, which have published guidelines – technical expertise (with both evaluation and ADR);
on this subject. Readers may find the following evaluation and
checklist useful:
– an understanding of organization and context within
which the program operates.
I. COMPLETE PRE-DESIGN PLANNING Determine most relevant timing:
A N D P R E PA R AT I O N
Define the conflict management system’s goals and related – Has the program been operational long enough to
measures of success: provide meaningful data and resolve start-up problems?
– What would a successful program “look like”? – What are the decision-making milestones for which
information would be most useful?
– What are the measures of success (e.g. program use,
cost savings, time savings, user satisfaction and – What stage (planning, pilot, program) of the initiative is
enhanced relationships)? being evaluated?
Define the objectives of the evaluation. How will it be used? Establish the evaluation budget and allocate costs. These
Evaluation objectives should be consistent with: will be a function of:
– the system’s objectives and be able to indicate the degree – the type of evaluation design used;
to which these objectives are being met and what
– the complexity and number of the performance
changes should be made; and
indicators measured;
– the interests and expectations of the audience to whom
– availability of data; and
the evaluation is directed.
– the person(s) or organization conducting
Define the clientele for the evaluation and their respective
the evaluation.
interests. Focus on the most “important” audience. These
may include:
– program champion(s); I I . P R E PA R E T H E E VA L UAT I O N D E S I G N
The evaluation design process may help users gain a thorough
– program officials and managers; understanding of the conflict management program being
– key stakeholders, including unions, HR professionals, evaluated by means of:
legal services; – document reviews; and
– program users, clients, disputants; and – interviews with key mangers and stakeholders.
– other federal agencies (e.g. Treasury Board, the Clarify goals and objectives and establish measurable
Public Service Commission, the Public Service performance indicators. Depending on the program
Staff Relations Board). objectives, these indicators may include:
– settlement rates of claims;
– reduction of formal complaints;
– reduction of time to resolve complaint;
– cost savings; and
– enhanced relationships.
146 P A T H W A Y S
Establish a research methodology, data collection and analysis Consider other program design and administration
plan. Include: (structure and process) indicators, including:
– time-cost benefit analysis, comparison group designs, Program organization:
experimental design with control group; and
– program structure and processes—consistent with
– case studies, status reports, time series collections, laws, departmental policies, regulations;
surveys, evaluation forms, personal interviews.
– directives, guidelines and standards—sufficient to
Clarify program effectiveness measures designed to assess allow proper program administration;
the impact of the program on users and on the attainment
– staff and user responsibilities—well delineated;
of goals. These indicators can be broken down into three
categories: – sufficient and appropriate staff; and
Efficiency (ADR as compared to traditional dispute – coordination with key external and internal
resolution processes) organizations and individuals.
– cost to government; Program quality:
– costs to disputants; and – appropriateness of staff and user training;
– time required. – relationship between training and dispute

outcomes; and
Effectiveness (ADR versus traditional dispute
resolution methods) – neutrals—user perceptions concerning selection
process, competence, objectivity.
– number of settlements;
Service delivery:
– nature of the outcomes;
– user access to ADR—awareness of program,
– durability of the outcomes (compliance);
availability, ease of use;
– rate of dispute recurrence;
– user understanding of procedural requirements,
– size of caseload inventory; how the program works; and
– level at which disputes are resolved; – case selection criteria and participants’ perceptions
of appropriateness and fairness.
– the stage at which disputes are resolved; and
Consult with and confirm approach with stakeholders.
– public/management perceptions.
User satisfaction
I I I . I M P L E M E N T T H E E VA L UAT I O N D E S I G N
– perceptions of fairness, appropriateness and usefulness; Collect the data from:
– perceptions of participants’ control over their – case files, archival data, databases;
own decisions;
– mail surveys;
– satisfaction with outcomes;
– telephone surveys and interviews;
– impact on relationship between parties; and
– personal interviews;
– willingness to use ADR again.
– evaluation forms;
– expert opinion; and
– anecdotal testimonials.
C H A P T E R 1 3
Analyze and interpret the data using:
KEY LEARNING
– descriptive statistics—percentages and frequencies; and
AN EFFECTIVE EVALUATION
– analytical statistics—measurement to explain significant PROCESS DOES NOT HIDE
differences in a given comparison factor. DEFICIENCIES
In the presentation of evaluation findings, be clear,
honest and direct. Do not attempt to hide deficien-
I V. W R I T E T H E R E P O R T
cies. The credibility of the program will be enhanced
The report will normally include:
if the principles of openness and transparency are
– a description of the conflict management program, reflected in the evaluation reporting process.
including background, goals and objectives, how it
works and current status;
– the goals and objectives of the evaluation;
– a description of the methodology that was used
and why it was used; In March 2001 Ajilon Canada reported on three evaluations
that PDG Inc. had conducted on its behalf over the previous
– an outline of evaluation findings;
several months. These three reports were:
– a description of program strengths and where
The Dispute Resolution System and the Design Process
improvements must/should be made;
Launching the Dispute Resolution System: The Pilot Sites
– a discussion of program administration implications;
Recommendations for the DND/CF-Wide Rollout
– recommendations and follow-up requirements; and
– an executive summary.
METHODOLOGY FOR CONDUCTING
T H E T H R E E E VA L UAT I O N R E P O RT S
V. D I S S E M I N A T E R E S U LT S All work was conducted externally, at arm’s length.
It is important to have a communication strategy addressing Interpretive research techniques formed the base of data
the dissemination of evaluation results. This will identify: gathering for these reports and were used to collect qualitative
– to whom the results will be disseminated: Who will information regarding the meaning and perceptions of the
make this decision? The continuous oversight body or individuals involved. Where possible, empirical research tech-
program steering committee will need to be informed niques were used to discern objective and quantifiable facts
early and throughout the process. Ongoing feedback and to relate them to the author’s experience and knowledge
to key stakeholders is very important. of external best practices. The evaluation process focused on
three data-gathering techniques:
– how widely results should be disseminated: This will
be a function of level of interest and costs. Normally 1. interviews
the policy of transparency, and therefore broad distri- 2. data review
bution, will serve the program well.
3. case studies
– how the results will be disseminated: This could
include memorandum, CANFORGEN, presentations, I have included the comprehensive list of questions the
reports, publication in the organization’s newsletter evaluator used both to demonstrate the type and depth
and electronic distribution. of the inquiries and to provide a template for evaluation
queries that designers may wish to employ within their
own organizations.
148 P A T H W A Y S
1. INTERVIEWS Does the DRC add value or have the potential to be good
The core data-gathering technique consisted of individual value? Explain.
interviews with some 60 stakeholders representing a
Is it being used and do people find it is working? Is the
broad range of interests and involvement in the system
Program changing people’s behaviour?
design process and pilot sites. They provided factual data,
perceptions and opinions. They included: Is the establishment of a conflict management system
across DND/CF still relevant to meeting the needs of
EDCM staff;
the organization?
members of the Conflict Management Steering Committee,
Are there procedural, administrative, financial or other
Pilot Site Dispute Resolution Coordinators, staff and some
factors beyond the Project’s or pilot site’s control that
former staff, and superiors in all pilot sites;
influence it, and to what extent do they support or hinder
union representatives; the Project?
mediators; How should the system be implemented? Regionally?
By command?
individuals involved in related human resources
or grievance initiatives; and Taking postings into account, do you have any recom-
mendations on how to establish and maintain ADR
members and employees who had been users of
capacity (finding, qualifying and retaining the appropriate
the new system.
human resources)?
Do you have any concerns about service level gaps?
INTERVIEW QUESTIONS
Questions were grouped by topic and posed by the Are the mission, vision and values within DND/CF
evaluator as follows: supported by the conflict management processes?
Design Process
PROJECT MANAGEMENT
What is your role and experience?
How is the Project managed at your site?
What was the design process?
Is there a critical path that outlines budget and resources?
What stakeholder groups were actively involved? Do you have adequate resources (trained staff, funding,
Were there any stakeholders absent during any infrastructure) to fulfill your mission?
key decision making? Is there a link with stakeholders to promote trust
Was there sufficient follow-up and feedback and buy-in?
to participants? Is there sincere and visible championship by
To what extent has the design from the facilitated senior managers?
design workshop been implemented? Is there sincere and visible championship by
What framework for conducting interventions has labour leaders?
been established? Is there an advisory or steering group overseeing
What is your opinion of how the pilot site has developed? the system?
In what areas is the Project excelling?
Where have you excelled?
What lessons have you learned?
What have been the challenges?
What recommendations would you make for rollout?
What is your perception of Base/Wing reaction to
the DRC?
C H A P T E R 1 3
NEEDS ASSESSMENT P R O B L E M S O LV I N G : S E L E C T C A S E
What diagnostic tools were developed to assess M E D I AT I O N
CMP needs? Have you selected deadlocked and backlogged
cases for mediation?
What workplace assessment was conducted?
What degree of satisfaction has there been with
What lessons have you learned? the process?
What recommendations would you make for rollout? What degree of satisfaction has there been with
the outcomes?
O R G A N I Z AT I O N A L A L I G N M E N T What effect has the process had on relationships?
What steps did you take to identify systemic issues
How durable are the results?
and problems?
Are other problem-solving mechanisms emphasized,
What, if any, policy changes occurred?
such as coaching, listening and referral?
What were the institutionalized incentives?
Do you have any recommendations for moving from
What lessons have you learned? third party interventions (such as mediation) to conflict
What recommendations would you make for rollout? prevention and self-resolution initiatives?
Is there any evidence of conflict prevention?
C O M M U N I C AT I O N What lessons have you learned?

What communication strategy was developed?
What examples can you provide of how you implemented
this strategy?
D O C U M E N TAT I O N
What lessons have you learned? Have you developed policies, guidelines and reports?

BEST PRACTICES
Are you staying abreast of external and internal
TRAINING
What training needs have you identified?
best practices? How?
Do you have any best-practice innovations to share?
What training standards have been developed?
Is there an effective mechanism in place for sharing best
How did you develop your confidential neutrals?
practices with all stakeholders, among pilot sites and
How many people were trained and in what capacity? EDCM? How?
Evaluation: Did you notice any changes in behaviour
because of training?
E VA L UAT I O N
Do you have recommendations for establishing Have you developed an evaluation process?
and maintaining national standards (e.g. mediator
Is the evaluation process being implemented?
qualifications, training)?
Do you have any recommendations on how to evaluate
In what areas have personnel working within EDCM
intangibles such as prevention?
or DRCs received training and advanced training?
What lessons have you learned?
150 P A T H W A Y S
SAFEGUARDS What access points are provided? Are you providing access
Have you ensured that participation is voluntary? points for persons in conflict? Are persons who are access
points trained in conflict management?
Have you ensured the protection of privacy
and confidentiality? Do you have internal, independent, confidential neutrals?
Is there a central coordinating office?
Have you ensured the qualifications and training
of neutrals?
Has your process respected and reflected diversity? 2 . DATA R E V I E W
The consultant reviewed the available data and documenta-
Have you instituted safeguards against reprisal tion provided by DND/CF relating to:
and retaliation?
the design process and planning undertaken to date and
Have you respected collective bargaining agreement? related documentation from EDCM and pilot sites; and
Have you respected statutory and workplace rights? the facilitated design workshops held in each pilot site.
Have you respected need for accompaniment
or representation?
3. CASE STUDIES
Have you provided the opportunity to The consultant examined case studies of ADR interventions
request information? and of the pilot sites and presented preliminary findings and
Is your method for selecting a mediator fair? recommendations to the Conflict Management Steering
Committee on November 21, 2000.
In relation to the standards against which the Project was
F I V E F E AT U R E S F O U N D evaluated, the evaluator concluded:
I N I N T E G R AT E D C M S S
Is your system broad enough in scope for all problems The Conflict Management Project within the Department
and people? of National Defence and Canadian Forces is a leading-edge
Does it foster a positive culture for raising conflict? system design initiative, and the largest in North America. It
Can you give examples? has begun to receive deserved recognition as being amongst
the very best such initiatives in the world, and as having
Does it provide an opportunity for these options long-term immense potential to influence significant
and functions: organizational, and perhaps societal, change. The process
– listening; being used is state of the art, and those who are championing
and implementing it deserve enormous credit for having
– referral; included every key feature, safeguard and component in
– giving and receiving information; the design process.
– coaching, reframing and developing options;

REPORT 1—THE DISPUTE RESOLUTION
– someone to act as informal go-between; SYSTEM AND THE DESIGN PROCESS
– classical mediation; This report evaluated the dispute resolution system and
the process that was used for its design, comparing it
– ad hoc generic training;
against industry standards in three areas:
– systems change;
1. features;
– support of all parties during conflict,
2. safeguards; and
including co-workers;
3. design components.
– rewarding good behaviour (and bad behaviour
is not rewarded); and
– upward feedback?
C H A P T E R 1 3
The report findings were articulated as follows: 3. DESIGN COMPONENTS
Design components are the initiatives launched to put in
place a complete and integrated CMS. Once launched,
1 . F E AT U R E S seven of the 10 components, marked by asterisks (*) below,
all encompassing. All people, regardless of their role within
become permanent features of an integrated CMS. The
the organization, will be able to access the system for all 10 components are:
types of problems.
assessing the need and will for change
a culture of “conflict competency,” in which all conflict can
be safely raised and support will be provided. The “default project management*
reaction” changes from one of shrugging off or escalating best practices*
conflict to accepting it positively and encouraging early,
low-level solutions. system design through pilot projects
multiple access points. The organization will ensure that alignment and integration initiatives*
there are knowledgeable people in the system to approach evaluation*
for help.
communications*
multiple options—rights- and interest-based. Interest-
critical-mass training*
based options are expanded well beyond mediation
to include many prevention processes and providing problem resolution processes, e.g. “select case mediation”*
skilled people, including confidential neutrals, to listen,
transition
to coach for the direct approach and to refer, as well as
conducting traditional processes such as mediation. In summary, this report examined the key elements that
went into the design of an integrated CMS and compared
supporting processes (critical-mass training,
the overall DND/CF Conflict Management Project’s design
communications, sincere and visible internal champi-
process and the product it developed against industry stan-
onship, institutionalized incentives, resources, alignment
dards. It identified where the DND/CF system excelled and
initiatives) and structures (coordinating office, oversight
where it needed strengthening. The report focused on the
group, independent confidential neutrals, policies,
centre—the activities of the Office of EDCM—addressing
feedback, monitoring and evaluation mechanisms).
questions related to the system, the process and the mandate
and objectives. The questions included:
2. SAFEGUARDS Does the Project have, or propose to introduce, the
voluntary participation key features of a healthy system?
privacy and confidentiality Does it incorporate essential safeguards (voluntary
neutrals: impartial, qualified, fairly selected and participation, confidentiality, etc.)?
reflecting diversity Is each of the 10 key design components in place?
respect for collective agreements and other rights Does the process itself model the “interest-based”
respect for diversity principles it espouses?
protection against reprisal Has the EDCM met its mandate and objectives?
access to disclosure/information
the right of accompaniment/representation
152 P A T H W A Y S
REPORT 2—LAUNCHING THE DISPUTE All the key features and components of an integrated
RESOLUTION SYSTEM: THE PILOT SITES system exist at least at the planning stage or beyond.
This report evaluated the pilot sites and ADR usage within
The strength of individual features and components
DND/CF. Its focus was on the status of the DND/CF Conflict
Management Project as of autumn 2000 in five pilot sites: naturally varies due to the stage of development and
Canadian Forces Recruiting, Education and Training System resource issues.
at Borden; Land Force Western Area in Edmonton; 17 Wing EDMC is fulfilling its mandate extremely well and is
in Winnipeg; the National Capital Region in Ottawa; and on plan to meet its objectives.
Maritime Forces Atlantic in Halifax.
Six possible rollout structure options were examined:
Recognizing that the pilot sites were experimental, the
1. EDCM as a central organization providing all ADR
evaluation was not a “pass/fail report card.” Rather, it served
services across the country
to support the rollout by:
2. all services provided by an external neutral agency,
providing a basic status report on ADR implementation in
either a new committee or a contracted alternative
each pilot site, its design process and the extent to which
service delivery provider
each incorporated the features, safeguards and components
of a system; identifying innovations and internal best 3. EDCM as a central control organization with services
practices; identifying the usage of interest-based dispute provided by regional DRCs
resolution options in the pilot sites with comments and
4. DRCs established with normal chain-of-command
observations of the consultant;
responsibilities and controls
surfacing lessons learned—areas to be strengthened and
5. DRCs reporting to EDCM for a transition period and then
issues that arose and needed to be dealt with in the
transferred to the normal chain of command in the regions
rollout; and
6. DRCs reporting to the chain of command with a strong
providing a summary of the consultant’s conclusions: Was
functional reporting relationship to EDCM
ADR being used within DND/CF? Was it working? What
was its potential? Could it foster positive cultural change? These options were reviewed in the context of stakeholder
interests and it was determined that the initiative should:
The overall conclusions of this evaluation were that:
have a positive impact on the chain of command’s require-
the two-year pilot of the CMP was an outstanding success;
ment to lead and manage;
the Dispute Resolution Centre concept is suitable as a
recognize environmental needs, differences and cultures;
structure in the future;
respect collective agreements and the union role;
ADR works; and
be flexible and sensitive, responding to local realities and
the system can foster positive cultural change.
existing capabilities;
take permanent root to foster a culture change that
REPORT 3—THE CONFLICT MANAGEMENT improves workplace wellness, morale and productivity;
P R O J E C T: R E C O M M E N D AT I O N S F O R
DND/CF-WIDE ROLLOUT provide consistent service, access and standards for all
The overall results of the Project and pilot site evaluation members and employees;
concluded that:
be trusted to be neutral and confidential and to ensure
Alternative Dispute Resolution does work within DND/CF, no reprisals;
and there is clear evidence that it is efficient and effective.
be understood; and
The introduction of an integrated CMS within DND/CF
offer early solutions and ensure they are fair.
has strong potential to foster positive culture change.
The design process is consistent with industry standards
and in many aspects has been groundbreaking.
C H A P T E R 1 3
The consultant’s recommendation of option 6, wherein Do DRCs have access to qualified mediators as required
DRCs would report to the chain of command with a strong by the demand for services?
functional reporting relationship to EDCM, was subsequently
Have awareness-building activities been undertaken
accepted with minor modifications. (For more on this see
as required?
Chapter 14.)
Have communications activities been undertaken
as planned?
EVALUATION FRAMEWORK: Have coordination mechanisms been put in place?
ISSUES AND QUESTIONS
Do DRCs provide appropriate, timely and effective
In April 2002 the consulting group Beals, Lalonde and
ADR services?
Associates suggested that an evaluation framework should
address key questions related to the following areas:
relevance; SUCCESS (ACHIEVEMENT OF OBJECTIVES)
Has ADR become the preferred approach to resolving
progress (implementation and operations); workplace disputes?
success (achievement of objectives); and Are DND/CF staff aware of the CMP and of its relation-
cost-effectiveness. ship to rights-based dispute resolution processes?
Do DND/CF staff know how to access the ADR services
offered through the CMP?
RELEVANCE
Does the Program continue to be consistent with Do DND/CF staff have the skills required to participate
departmental and government-wide priorities, and effectively in the ADR methods championed by and/or
does it realistically address an actual need? offered through the CMP?
Does the CMP respond to an identified need within Do DND/CF staff have access to a full range of expertly
DND/CF? delivered services, including mediation, consultation,
coaching and training?
Does the CMP duplicate activities of other programs?
Are conflicts settled as early and as close to source
as possible?
P R O G R E S S ( I M P L E M E N TAT I O N
A N D O P E R AT I O N S ) Have innovative approaches to conflict management
Is the Program making progress toward the achievement been explored and developed?
of the final results?
Has morale improved as a result of the implementation
Is the Program effective in meeting its intended outcomes, of the CMP?
within budget and without unwanted negative outcomes?
Has systemic integration of ADR approaches been
Are plans/policies/procedures in place? achieved in:
Has appropriate, timely and effective training been – institutions;
developed and delivered?
– policies, programs and processes; and
Are mechanisms in place to monitor the need for additional
– behaviours?
training for mediators and to provide that training?
Has DND/CF capacity to deal constructively with
Are mechanisms in place to monitor, amend and adapt
conflict increased?
the CMP?
Have the direct costs of conflicts been reduced?
Have DRCs been established to serve appropriate
geographic areas and numbers of member/civilian staff? Have the indirect costs of conflicts been reduced?
154 P A T H W A Y S
C O S T- E F F E C T I V E N E S S assessing the scope of ADR incorporated into Canadian
Are the most appropriate and efficient means being used Forces leadership training.
to achieve outcomes, relative to alternative design and
The methodology used was opinion sampling.
delivery approaches?
Was the budget for the Program appropriate to achieve
its objectives? BASELINE SURVEY
To get a profile of the general levels of awareness, individual
Has the Program been implemented and operated using training, and opinions regarding the services provided by
the most cost-effective means? EDCM through its network of DRCs, a baseline survey was
Two types of evaluations—formative and summative—were transmitted to a sample of 7,000 military members and
recommended for the CMP: civilians across DND/CF in November 2002. Findings of this
survey were to be used to guide EDCM in the development
of future policies and training strategies. The survey was also
F O R M AT I V E meant to be a monitoring instrument that could be applied
The focus would be almost solely on the issues identified in future to measure progress. The survey received a response
under Progress (Implementation and Operations) and it rate of almost 40 per cent.
would consist of a mid-term evaluation to examine:
The survey posed questions covering the following topics:
how the Program was being implemented;
How familiar were respondents with rights-based processes
whether adjustments are necessary; and for resolving workplace disputes (e.g. grievances, harass-
whether progress toward the achievement of the results ment complaints)?
was occurring. Were they aware of the DND/CF Dispute Resolution Centres?
An RFP was issued for this. How did they first learn of the existence of the DRCs?
How familiar were they with ADR processes (coaching,
S U M M AT I V E negotiation, mediation)?
This final evaluation would include a strong focus on all Did they know who was entitled to use the services
issues identified above, except those identified under Progress of the DRCs?
(Implementation and Operations). It would examine the
degree to which the intended results have been achieved and Of which DND/CF ADR services were they aware?
determine how much the Program contributed to those Of which ADR training courses were individuals aware?
achieved results.
Which internal courses had they attended?
Which external courses had they attended?
INSTITUTIONALIZATION
Who paid for the ADR training courses?
OF ADR IN DND/CF
When they had an issue, had they contacted a DRC? If so,
An evaluation was conducted on March 31, 2003, to deter-
mine the extent to which ADR was being institutionalized for what purpose? If not, why not?
in the Canadian Forces, particularly in relation to how it To what extent were they satisfied with the level of service
was being reflected in the broad array of Canadian Forces received from the DRC?
training programs for officers and members. Specifically,
How did they think their supervisors reacted to their use
its focus was on:
of a DRC?
assessing the general awareness of ADR in the
How effective were DRCs in providing ADR services?
Canadian Forces
To what extent did respondents support the ADR system
defining the leadership challenge in having ADR
at DND/CF?
accepted as a leadership tool and institutionalized
in the Canadian Forces What were the respondents’ location, first language,
gender, rank and position?
C H A P T E R 1 3
The survey indicated that approximately one-half of the The most commonly used techniques were (1) coaching,
respondents were aware of the DRC in their region, that two- which accounted for 61 per cent of interventions and
thirds were supportive of the ADR system and that two-thirds (2) mediation with a neutral third party, which accounted
of users were generally or very satisfied with the services they for 31 per cent of interventions. Group interventions and
had received from the DRCs. workplace assessments were also carried out, but with much
less frequency (accounting for 5 per cent and 3 per cent
respectively).
KEY LEARNING
BEHAVIOURAL AND ATTITUDINAL A D R I N T E R V E N T I O N S DATA

CHANGE IS DIFFICULT TO COLLECTION FORMS
MEASURE; CONSIDER THE We captured information on the nature and scope of the
USE OF BASELINE SURVEYS interventions through the use of ADR Interventions Data
A baseline survey of an organization’s conflict man- Collection Forms and Information About the Parties Involved
agement program should be implemented to monitor Forms. The responsible DRC official completed these forms,
program progress and attitudinal change over time. which also provided the following information:
The timing is important. It is best initiated after the
Method by which the initial contact was made
program is up and running, but before it has had the
opportunity to become “entrenched.” (e-mail, in person, telephone)
Dates (contact, intervention, completion)
Organization where individual works
How person became aware of DRC (Web site, briefing,
I N T E R V E N T I O N S A N D N AT U R E O F I S S U E S advertising/promotion referral)
In 2002/2003, 643 interventions were conducted
Nature of the issue (working relationship, performance
by DRCs. The types of interventions are indicated
in the following graph: evaluation, discipline, grievance, harassment)
Type of intervention (coaching, group intervention,
mediation, workplace assessment);
Types of Interventions For
the 643 Interventions Conducted Mediator (name[s])
Apr 02–Mar 03
Language of intervention
450
394 Agreement to Mediate (usage)
400
350
Minutes of Settlement (completed or not completed)
300
250 Outcome (issue fully resolved, partially resolved,
202
200 not resolved)
150
100
50 31 16
0
Coaching
Mediation
Group Intervention
WCA
156 P A T H W A Y S
The resulting broad array of information was collected and TRAINING:
analyzed as follows: Evaluation processes are applied to the various training
initiatives undertaken by EDCM. The strengths and weak-
nesses of all training courses are reviewed at the conclusion
M E D I AT I O N R E S U LT S : of each course.
Results of Mediations As well, information on the type of ADR course offerings and
Apr 02–Mar 03 the number of participants attending each is collected on an
180 169 ongoing basis. The chart below outlines this:
160
140
120 Total of 3750 Personnel
100 Received ADR Related Training
80 Apr 02–Mar 03
60 1800
40 1600
13 20
20 1400 1327
0 1200
751
Fully Resolved 1000
Partially Resolved 800
Not Resolved 503
600
400
200 262 546 361
0
Customized CM/ADR IBN
PA R T I E S I N V O LV E D :
Civilians
Military
Parties to the 643 Interventions
Apr 02–Mar 03
400 The chart shows that courses were delivered to target groups
338 Total of 643 interventions in three different ways:
350
were conducted
300 Conflict management/ADR courses (one day), which were
250 provided to 546 employees and 751 members (total 1,297)
200 and served to provide participants with a better under-
153 143
150 standing of the ADR approach and encourage them to
100 tap into the DRCs’ services;
50
5 4 Interest-based negotiation courses (two days), which were
0
Mil-Mil offered to 503 members and 361 employees (total 864)
Civ-Civ interested in developing greater competencies in communi-
Mil-Civ cations and problem-solving techniques; and
Cadet
Other Customized ADR courses that were tailored to accommo-
date 1,327 members and 262 employees (total 1,589) with
specific requirements.
C H A P T E R 1 3
KEY LEARNING
EVALUATION IS A
CONTINUOUS PROCESS;
IT NEVER STOPS!
In a well-designed conflict management program,
evaluation is an ongoing activity.
Too often evaluation is viewed as a periodic program
used to justify resource requirements, rather than as
a process of continuous review leading to ongoing
refinement and renewal.
158 P A T H W A Y S
TRENDS
THE MARRIAGE OF SYSTEMS DESIGN
C H A P T E R 14 A N D O R G A N I Z AT I O N D E V E L O P M E N T
Early forms of conflict management systems often
had one or two rather straightforward objectives at
their core. For example, an organization might have
offered mediation as an option to resolve disputes.
SYSTEMS This was the organization’s “system” and the objective
DESIGN: was singular—to lower transactional costs as compared to
other redress processes. Its orientation was that of problem
TRENDS, solving. Mediation practitioners in this context tended to be
people with legal backgrounds.
INNOVATIONS Systems using mediation models that focus on changing the
behaviour of individuals involved in conflict—often referred
AND THE to as transformative mediation (as described by Bush and
FUTURE Folger in The Promise of Mediation)—have more ambitious
objectives. These often entail a “personal transformation”
approach. Practitioners frequently include individuals with
a background in law and the behavioural sciences.
When organizations look to conflict management and
interest-based processes as instruments for bringing about
large-scale cultural change in organizations, we move closer
WHERE WE ARE to the domain of organization development (OD).
CMS design is a relatively new field of
The language of OD uses terms such as “cultural change,”
practice and it continues to evolve at a very
“conflict-competent organizations” and “integrated systems.”
rapid rate. The conceptual underpinnings have
The term “systems design” itself has a greater comfort level
developed substantially over the past 10 years as more
among OD professionals than among many ADR lawyers.
and more organizations have experimented with different
In fact, many of the diagnostic tools and processes used for
approaches. They have shared their experiences and learnings
the conduct of workplace assessments emanated from OD
with other ADR practitioners. The Federal Inter-Agency
practices. As well, instruments such as the Myers-Briggs
Working Group in the United States is a prime example of
Type Inventory, the Thomas-Kilmann Instrument and
how government organizations have been able to explore
360-degree feedback instruments, used for many years by
approaches and share their knowledge about system design
OD practitioners, are increasingly being used in the field
issues. In Canada the federal government’s informal Federal
of conflict management. Group interventions, and related
Coordinating Committee has, to a more modest degree,
facilitation processes concerned with conflict in groups,
performed a similar function.
bring the fields of conflict management and OD closer
Reports published by the Association for Conflict Resolution together. Systems design practitioners may now include
provide guidelines for designing integrated conflict manage- those who serve as management consultants to organizations
ment systems. These are very useful and are constantly being and are involved in broad change-management or other
refined by practitioners. OD initiatives.
As the practice of systems design evolves, the best practices Even in the early stages of its Conflict Management Project,
of today will serve as the foundation of those of tomorrow. DND/CF characterized the Project as an organization-
development, change-management initiative. The goal was
much broader than simply initiating a more effective way
of dealing with specific disputes.
C H A P T E R 1 4
SYSTEMS DESIGN: TRENDS, INNOVATIONS AND THE FUTURE 159
Collaborative Design Processes—ensure that stakeholders
KEY LEARNING
have a direct role in the design of the system and its associated
SYSTEMS DESIGN REQUIRES policies and practices. The stakeholders participate in initia-
A MULTI-DISCIPLINARY tives, such as facilitated design workshops, from which
APPROACH recommendations for the system emerge. This was the
Workplace system design processes benefit from process used by DND/CF.
input from various professional, ideological and Partnership—is where all directly affected stakeholders have
practical perspectives. In the future we will likely
an equal say in the design of the system and related policies
see a greater use of multi-disciplinary teams, made
and procedures. This implies a more collective ownership of
up of individuals with a variety of backgrounds.
These might include, among others, legal, organiza- the system than earlier models. The Parks Canada conflict
tion-development, industrial-psychology and management program has elements of this.
labour-relations professionals.
KEY LEARNING
THERE IS A TREND TOWARDS

NEW MODELS OF OWNERSHIP DEVELOPING SYSTEMS
When organizations raise the possibility of implementing a IN A TRANSPARENT AND
CMS (and related systems design undertakings), “stakehold- COLLABORATIVE MANNER
ers” sometimes get a little nervous. This is normal. They’re “Co-development” leads to greater acceptance and
not yet sure what impact this will have on them and the use of such systems by stakeholders.
work they do.
Parties will want to understand where this new system “fits”
in the organization: “Who will be designing the system?” and
“ Who owns it? Where does it fit within the organization’s WHO OWNS THE SYSTEM?
structure?” Legal counsel/legal services units and the human resources
units generally take a very strong leadership interest in
WHO DESIGNS THE SYSTEM? managing the system. The legal unit sees the initiative in
System designs normally come into being in one of the context of ADR and its relationship to legal redress
four approaches: processes. The human resources group sees it as a workplace
employer-employee relations concern.
imposition;
Responsibility for the conflict management programs
consultation; varies by organization. Many government agencies in
collaborative design processes; or Canada link such initiatives to the human resources
function. In the United States and Australia, organizations
partnership. have tended to affiliate their programs more closely with
Imposition—is where management imposes a process, the legal-services function.
which is usually based on research it has conducted and Future ownership models, in my view, are those in which a
an understanding, from its perspective, of what would be CMS is seen as being “owned” by everyone in the organization.
most appropriate for the organization. It may be “housed” in a particular organizational unit in
Consultation—occurs when key stakeholders are consulted order to meet operational and administrative requirements;
about their views regarding the options under consideration. however, there is a general understanding that this is a
Stakeholders may include unions, managers, legal counsel corporate-owned initiative. Such programs tend to be more
and human resources personnel. “organic” to the organization, thus generating higher levels
of buy-in from employees.
Some organizations will arrange for the delivery of services
160 P A T H W A Y S
through external service providers to minimize internal 1. Personal Mastery—learning to expand our personal
ownership issues and maximize the neutrality and impartiality capacity to create results we most desire and to create an
of service delivery. Some departmental employee-assistance organizational environment which encourages this growth.
programs have these characteristics.
CMSs should facilitate the continuous enhancement of
DND/CF involved all stakeholders throughout the design and the conflict competencies of individual employees and of
implementation of its program, through formal committees organizations as a whole. Mediators, for example, will be
and informal processes. We established a dual reporting in a continuous learning mode and will share that learning
relationship for the Conflict Management Program, with with each other.
the Executive Director Conflict Management reporting jointly
2. Mental Models—reflecting upon, continually clarifying,
to two Assistant Deputy Ministers responsible for Human
and improving our internal pictures of the world and
Resources—one civilian, the other military. This sent a strong
seeing how they shape our actions and decisions.
signal about the broadly based nature of the program’s
ownership. At the same time, we agreed on an arm’s-length, Conflict-management interventions continually test the
independent operational approach. validity of mental models of disputants.
3. Shared Vision—building a sense of group commitment by
developing shared images of the future we seek to create,
KEY LEARNING and the principles and guiding practices by which we hope
to get there.
AN EFFECTIVE CONFLICT
MANAGEMENT SYSTEM IS NOT The system design process will help build consensus around
“OWNED” BY ANY PARTICULAR the nature of the system and what it will look like in the
ORGANIZATIONAL ENTITY; future. Facilitated design workshops play an important role
EVERYONE WITHIN THE in this.
ORGANIZATION OWNS IT
4. Team Learning—transforming conversational and collec-
When the CMS is meant to change the way people
relate to each other and how they deal with conflict tive thinking skills, so that groups of people can reliably
in the organization, employees are more receptive to develop intelligence and ability greater than the sum of
system designs that have been inclusive and are not individual members’ talents.
seen as the domain of any single organizational unit. This is particularly useful in the development of mediators
Everybody in the organization owns the system.
and other practitioners. The mediators at DND/CF refer to
themselves as a “community of practitioners.”
5. Systems Thinking—a way of thinking about, and a lan-
guage for describing and understanding, the forces and
SYSTEM DESIGN AND THE interrelationships that shape the behaviour of systems.
L E A R N I N G O R G A N I Z AT I O N
Just as the system design process adopts many organization Systems thinking is at the core of CMS design. It requires
development approaches, it also often embraces many of the that the interrelationships among all parts of the system be
principles of what is commonly referred to as the “learning defined and well understood. There should be alignment
organization.” Peter Senge describes these in his book among organizational units, policies and behaviours, so
The Fifth Discipline: The Art and Practice of the Learning they operate in a comprehensive manner.
Organization. Senge suggests that there are five “learning
disciplines” that are at the core of a learning organization.
In fact, a good CMS adopts approaches and behaviours
that complement and promote Senge’s learning disciplines.
If we examine these, we can see the strong parallels.
C H A P T E R 1 4
MODEL 2: BASIC PLUS
KEY LEARNING
Purpose: to resolve specific disputes and address
CONFLICT COMPETENT broader organizational issues
ORGANIZATIONS ARE Organization ombudsperson or a similar Office
LEARNING ORGANIZATIONS
Suasion and informal processes prevail; there may
Continuous learning becomes the norm in organiza-
tions that deal with conflict effectively. also be an array of ADR processes chosen, depending
on the situation
Broader scope of conflict and more users; concerned
with broad organization-wide systemic issues
INTEGRATED CMS MODELS AS Centralized, “powerful” single-access point
A COST-RELATED CONTINUUM
Small Office; contracts out for most third party
With the advent of the Public Service Modernization Act we neutral services
are likely to see an array of informal CMSs with different
Low-moderate costs
configurations. One might envision these configurations
as a continuum in relation to the breadth of the program’s
objectives and its cost. MODEL 3: CONVENTIONAL
As a general rule, the more ambitious and complete the Purpose: to resolve disputes and develop capacity
system, the greater the cost; however, if you were to put it for self-resolution
on a graph, the line would not necessarily be straight. Multiple access points: interest- and rights-based,
Below are five system models. The descriptions are not with “loop-backs”
written in stone, and there are likely areas of overlap and Several options: conciliation, interest-based
elements that may be transferred from one to another to negotiation, coaching, mediation, early neutral
form a model that suits the specific requirements of different evaluation, mediation-arbitration
organizations. That said, these models present a systems
spectrum—from basic to comprehensive—that may help Comprehensive: all conflicts, all employees
clarify choices. Three or four small Offices with basic technical capacity
Collaboration with stakeholders and decision makers is Decentralized capacity (some select centralized services)
critical in determining the model best suited to your
organization’s needs. Contract externally for most services
Moderate costs
MODEL 1: BASIC
Purpose: to resolve specific dispute(s) only MODEL 4: CONVENTIONAL PLUS
Limited categories of disputes and client groups Purpose: includes prevention and identification
of systemic issues
Limited number of interest-based options such
as conciliation/mediation Multi-option/multi-access
Limited number of access points, such as one Training (skill-based) is more prevalent
redress official Central direction and coordination, e.g. standards
Centralized (services from the “centre”) of practice
ADR coordinator administers process Decentralized service delivery
Mediators and interveners sourced externally Internal and external provision of services
Limited infrastructure and support mechanisms Significant costs
Low costs
162 P A T H W A Y S
MODEL 5: COMPREHENSIVE INNOVATIVE TOOLS
Purpose: includes broadly based cultural/behavioural change MAPPING SYMBOLS
Incorporates group and OD processes System designers are becoming more creative in the develop-
ment and use of innovative tools to enhance the system
Fully integrated design process and make it more user-friendly for clients.
Alignment of institutions, processes, policies, behaviours The use of “mapping symbols” is an example of this.
Extensive training/internal capacity building For several years I have used symbols, representing both
interest- and rights-based processes, that parties can arrange
All employees, all issues to visually demonstrate the structure of their systems as
Internal (with some external) service provision they design them. Symbols can be very useful in presenting
a picture of various design options and can highlight
Full range of decentralized as well as centralized services structural interfaces.
Substantial costs For example, I use sharp-cornered symbols (a triangle or
square) to represent rights-based processes such as litigation.
Soft-cornered symbols (an oval or circle) represent interest-
NEW APPROACHES TO TRAINING based processes such a conciliation or mediation. A whole
Off-the-shelf training provided by various external training array of symbols can be used, depending upon the scope of
organizations often does not meet the unique needs of the system. I refer to this as the “sharp-soft corner” mapping
organizations. Custom training programs will become more symbol process.
prevalent. To leverage resources, train-the-trainer programs
will be in greater demand.
Mediator training will likely become more rigorous, with
more comprehensive standards of practice put into place.
Training will take many different forms, including self-
directed distance-learning processes, practicum, mentoring,
coaching and e-learning, as well as some of the more
traditional processes.
The use of mapping symbols has been refined by organiza-
Coaching will continue to evolve and be used more frequently
tions such as the Personnel Direction Group. The Lynch
in the development of mediators. This will assume many of
Mapping Symbols system uses colour-coded symbols in
the characteristics of executive coaching, but will be more
an innovative and effective way to assist in the system
directive and task-specific. Variations of peer coaching
design process.
circles, communities of practice and virtual networks will
become more prevalent.
Because training will require more time, system designers MAPPING SOFTWARE
will need to be aware of potential capacity deficiencies if New computer software programs that can map conflict
the system is based exclusively on internal interveners. management processes and portray them in a clear, visual
manner will continue to make the system designer’s task
The training of system designers is continuing to develop at a easier. When charting the various options and related
rapid pace. A few years ago very few conflict-management or loop-back processes with stakeholders, I often use a laptop
ADR programs in universities or other learning institutions and projector.
included comprehensive systems design components. Now
most programs have this as a key curriculum element.
C H A P T E R 1 4
GROUP DECISION SOFTWARE ALIGNMENT
Organizations such as DND/CF have group decision centres, Early integrated systems often focused on the relationships
which can assist greatly in consensus-building processes. and linkages between interest- and rights-based processes and
Group decision centres may take a number of different forms, related organizational structures. These organizations were
but they generally employ large rooms with computer sta- conveyed in the context of a system with clearly understood
tions for each participant. Participants can input their ideas mandates and roles.
and opinions simultaneously, and these are shown on a large
screen at the front of the room. Participants can rate, score, Alignment in the future will focus on more holistic approaches,
rank, consolidate or vote on the various options before them. with a broader perspective of what the system should
embody. The system needs to ensure that there is alignment
Group decision software can be used in a number of ways, with corporate values and that policies and behaviours are
including brainstorming to determine the critical principles consistent with the processes and structures being put into
of an effective system, deciding who should be involved, place. In some instances policies will need to be rewritten.
looking at training options and preferences, and forming Modifying behaviours will take more time!
consensus around the most appropriate model.
The software can be especially useful if there is a large
I T E R AT I V E C O N F L I C T M A N AG E M E N T
number of participants who need to convey their views in SYSTEMS
a short time frame. As well, it is useful when anonymity is CMSs of the future will be iterative in nature. They may,
important, particularly for those who want to put forward an in fact, be referred to as iterative (rather than integrated)
unpopular opinion. Because everyone has an equal say, it also conflict management systems.
encourages diverse points of view, reducing the tendency of
people to defer to the most senior person in the room. For Continuous change is a reality of today’s organizations.
those comfortable with the use of technology, it can speed To reflect changing realities and circumstances, CMSs need
up the system design review process by up to 50 percent. to be flexible and adaptable and have the capacity to change
as required. Change processes should be viewed as a core
element of the system. If the organization is a “learning
INTERNET organization,” this will not pose a challenge.
The Internet is having as much impact on system-design
Many organizations, however, after institutionalizing a
processes as it has had on so much else. It can help in areas
suitable CMS are reluctant to change what they perceive as
such as:
a good thing. As a result, the system will not be responsive
benchmarking best practices; to changing circumstances and will slowly die. If, however,
providing background research in all of the domains the organization recognizes that a system is supposed to
of systems design; change to accommodate evolving needs and attitudes, this
expectation creates a climate where change and innovation
system design templates; can flourish. The system designer must recognize this need
presenting evaluation methodologies; for change and build it into the system.
providing information on service providers; and

training.
Expect more ADR interventions to be conducted through
the Internet and video conferencing in the future. On-line
mediation services today are common and will be more
prevalent for certain types of disputes. New systems will
take into consideration the role the Internet can play.
164 P A T H W A Y S
The “pathways” to high performing conflict management
KEY LEARNING
systems are not well-trodden roads. They are like narrow,
PROGRESSIVE SYSTEM winding footpaths through forests, swamps and underbrush.
DESIGNERS WILL UNDERSTAND Sometimes parties need to “hold hands” to get through to
THAT EMERGING TRENDS WILL the desired end point without getting lost.
CONTINUE TO INNOVATE AND
This publication is not a prescriptive road map. My objective
CONTRIBUTE TO THE BODY OF
KNOWLEDGE IN THE FIELD was to provide something more like a topographical map, to
show the lay of the land and offer readers the opportunity
Systems design is a relatively new domain. There is
to choose from the many different paths that can lead to the
much room for creativity and innovation.
destination of their choice. Understanding the “terrain” of
conflict management systems design will enable you to forge
your way through the inherent hazards in a more effective
and certainly more pleasant manner.
CONCLUSION
Enjoy the trip!
As a discipline, the design of informal or integrated conflict
management systems will continue to evolve. System design-
ers will need to be “reflective practitioners,” to build upon
their learning and to share their knowledge with colleagues.
It will indeed be an exhilarating time for those in the field.
I have seen many exciting advancements in this discipline
and have been grateful for the opportunity to make a small
contribution and help advance some of the thinking that is
shaping its future direction. And the journey continues…
C H A P T E R 1 4
V O L U M E I I
THE CMS TOOL KIT
TOOL 1 6. Proposals mailed via Canada Post must be POST
THE REQUEST FOR PROPOSAL MARKED by midnight the day prior to closing to
be considered. The mailing address is:
1. The Department of National Defence reserves the right
not to award a contract, regardless of the responses Directorate Materiel Group Corporate Policy 6
received. Current plans are to award a contract for a Department of National Defence
period of 12 months. It is estimated that the level of MGen George R. Pearkes Building
effort will be in excess of 175 person days but it is 101 Colonel By Drive
the bidder’s responsibility to make a more accurate Ottawa ON K1A 0K2
determination. A contract, if awarded, will be awarded 7. Responses received after the closing date/time will be
at $250,000 to the bidder who achieves the highest returned unopened.
number of points in the evaluation.
8. Bidders are to ensure that the solicitation number
2. The General Conditions for Services used by Public (DND-98/0198), closing date (02/11/98) and time
Works and Government Services Canada known as 9676 (1400 hours) are clearly marked on their envelopes
19960501 will form part of the resultant contract, with the or parcels.
only modification being the definition of “Minister” which
will be the Minister of National Defence. 9. Proposals may be submitted in either English or French.
3. Bidders must provide 3 hard copies of their technical 10. Proposals will not be returned.
proposal and, in a separate document, one copy of 11. Contractors will have an opportunity to ask for clarifi-
their financial proposal. cation at a Bidders’ Conference to be held 08 Oct 98 at
4. It is the bidder’s responsibility to ensure the response National Defence Headquarters, 101 Colonel By Drive.
fully addresses all mandatory and evaluated criteria. Please confirm your attendance by fax. Time and specific
The basic response must meet all conditions specified. location will be announced at a later date. Contractors are
Options within the proposal will not be evaluated. requested to submit questions in writing prior to the date
of the Bidders’ Conference. Questions may be mailed to
5. Responses must be delivered and received at the following the above address or faxed to (613) 992-1463. All ques-
location by 02 Nov 98, 1400 hours, Eastern Standard tions and answers will be provided to all contractors who
Time. Bidders, please instruct couriers and/or your have requested a bid set via MERX.
firm delivery personnel to contact the DMGCP Bid
Drop Off Unit at 293-0400, once at one of the points 12. The Department of National Defence reserves the right
of entry, to arrange for the proposals to be picked to negotiate with suppliers on any procurement.
up. If contacting the DMGCP Bid Drop Off Unit from 13. Any proposal must remain open for acceptance for a
a telephone at one of the points of entry, please dial period of not less than 60 days after the closing date of
8-293-0400. The suggested point of entry for delivering the RFP. After the RFP closing date, no amendments to
proposals is the lower level North End Entrance (lower the proposal will be accepted.
level from the MacKenzie King Bridge (across from the
Rideau Centre)): 14. All contractors submitting bids will be advised of the
outcome of the evaluation process as soon as completed.
DMGCP Bid Drop Off Unit Contractors should allow at least 30 days after bid closing
National Defence Headquarters for results to be known. Requests for information on the
MGeneral George R. Pearkes Building status of the evaluation will not normally be provided
101 Colonel By Drive until process completion.
Ottawa, Ontario
15. This procurement is subject to the Procurement Chapter
of the Agreement on Internal Trade.
16. Treasury Board Policy prohibits contracting with individ-
uals or individuals who have incorporated themselves
where the contract duration exceeds 20 weeks.
168 P A T H W A Y S
BACKGROUND increase in the number of formal and informal harass-
17. The Department of National Defence and the Canadian ment complaints, which placed a significant burden
Forces (DND/CF) is a large federal government depart- on the existing processes (see Annex A for additional
ment with a mandate to protect Canada and its citizens information on the SHARP programme). While it is
from challenges to their security. It is comprised of three recognized that the formal systems are still effective and
Environmental Commands: Chief of Maritime Staff necessary, there is a need to make every effort to resolve
(Navy), Chief of Land Staff (Army) and Chief of Air issues at the lowest possible level before they escalate to
Staff (Air Force), and a fourth Command structure, the the formal process level. To help mitigate the problem,
Canadian Forces Recruiting, Education and Training the Minister announced that the DND/CF would imple-
System (CFRETS). Each of these organizations contains a ment an Office of the Organizational Ombudsman as
reserve and regular force component. The Commanders well as streamlining the redress of grievance system.
of these organizations are located centrally at National 21. To assist in these initiatives, in June 1997, the Armed
Defence Headquarters in Ottawa, Ont, with the exception Forces Council gave its support to the development of a
of the Commander CFRETS who is located at CFB Conflict Management system for the DND/CF. While
Borden, Ont. The CF currently totals approximately conflict management techniques are used widely in the
61,000 regular force and 53,000 reserve force members private and judicial sectors, they are still relatively new
based across the country and overseas. Civilian employees to the department. The system that will be used must be
total approximately 20,000, are mostly unionized and are tailored to meet DND/CF’s unique and diverse mandates.
also located across the country and overseas. While a Conflict Management system may be conceptually
18. The DND/CF has several methods available to its members simple, it must be understood that the implementation
and employees to air grievances and complaints. For of such a programme would result in a fundamental
military members, the redress of grievance procedure cultural transformation to the DND/CF’s traditional,
is a formal process members may use if they feel they hierarchical structure. The aims of a Conflict
have been wronged in any way. It is a cumbersome, time- Management system will include, but are not limited
consuming process that has many levels of review. Another to the following key points:
process is the formal harassment complaint process. This a. the system must be perceived as impartial and not
mechanism deals with all forms of harassment and is as another “management initiative.” To foster this per-
guided by a harassment policy. The chain of command ception, a private sector contractor will be selected to
is also an effective tool for raising issues, but all military assist with programme design and an implementation
personnel have the right to seek assistance and guidance plan. It is expected that the system will be planned
outside the chain of command. and developed in partnership with the successful
19. The civilian component also has access to the same types Contractor and the DND/CF;
of mechanisms, but is guided by different policies with b. the system must respect the concepts and beliefs of the
minor differences from the military component. In military and civilian components within the DND/CF;
addition, civilian employees have access to Employee
c. the system must lead to a clear case advantage over
Assistance Programmes, third party review processes such
existing methods of dispute resolution. Results must
as the Public Service Staff Relations Board and union
show a reduction in time spent on dispute resolution,
assistance. There are other mechanisms of voice avail-
resolution of previously deadlocked cases, or a reduc-
able, but they shall not be discussed in this document.
tion in formal grievances/complaints being submitted;
20. Over the past several years it has become obvious to
d. the system would be assessed through four pilot
senior management that the existing mechanisms are
projects and if successful, would be implemented
no longer adequate to meet the needs of the DND/CF’s
across the DND/CF;
members and employees. The grievance systems are
far too cumbersome and often escalate minor issues e. the system must be capable of being monitored,
to a senior level. In addition, the introduction of the evaluated and improved and permit intervention
Standards for Harassment and Racism Prevention when required by the Steering Committee, to ensure
(SHARP) programme in 1996 brought about a dramatic DND/CF objectives are met;
V O L U M E I I — T H E C M S T O O L K I T 169
f. the system must be adaptable to current processes as also intended to continue that policy when the pilot
well as easily adaptable to any new initiatives that projects and the Conflict Management System are
may be implemented; and developed and implemented.
g. the system must eventually become an accepted and 25. DND/CF conflict management training courses that
ongoing part of DND/CF training and day-to-day are or have been presented are listed below. With the
activities. exception of (d, f), most are conducted out of service:
a. Interest Based Negotiation;
PROJECT OBJECTIVE b. Mediation Skills;
22. The primary objective of the project is to design a conflict c. Labour Relations;
management system for the DND/CF.
d. Some environmental commands have developed
their own non-accredited mediation courses;
PILOT PROJECTS AND EXISTING ACTIVITIES e. Third Party Neutral Skills; and
23. Each environmental command has implemented or will
implement a pilot project. The sites were selected by f. Conflict Resolution Course and Labour Management
the environmental commanders to ensure that as major Relations Enhancement Course.
stakeholders, their needs would be met. The Navy has
implemented a programme in Halifax and CFRETS has a
Conflict Resolution Centre in place at CFB Borden, Ont.
PROJECT MANAGEMENT
For the purposes of this proposal, it must be understood
OF THE CONFLICT
that these pilot projects must in no way be undermined,
MANAGEMENT SYSTEM
and a DND/CF Conflict Management System must 26. The Conflict Management System will be set up under
endeavour to support existing and future initiatives. a separate project management office (PMO) that will
These initiatives include but are not limited to, the mili- receive direction from a National Steering Committee
tary and civilian grievance systems, harassment complaint that will be formed. The Executive Director for Conflict
systems, the SHARP programme, chains of command, Management (EDCM) from the DND/CF will supervise
the Employee Assistance Programme, the Defence Ethics day-to-day operations. The PMO will remain in place
Programme and the Office of the Organizational until such time as the Conflict Management System is
Ombudsman. The contractor will be required to under- in place and functioning, at which time the day-to-day
stand and adapt to the wide variety of needs that will be operations will be devolved to the environmental com-
found throughout the DND/CF to prepare a corporate mands. The successful contractor will work with the
conflict management framework. DND/CF PMO in planning and developing a Conflict
Management System.
27. The PMO will be staffed and structured to meet
TRAINING FOR THE CONFLICT
the following requirements:
MANAGEMENT SYSTEM
a. Financial Management—the DND/CF has a require-
24. The SHARP programme and the DND/CF harassment
ment to monitor, manage and control any funds that
policies directed that the resolution of disputes should be
are allocated to the use of the PMO. This process
conducted at the lowest possible levels whenever possible.
includes status reports and expenditure forecast plans
As a result, the DND/CF have a number of members
that are submitted on a regular basis to the DND/CF
and employees who have undergone formal conflict
Project Manager. The PMO is responsible for managing
management training from recognized private sector
funds that include, but are not limited to, travel,
organizations. Although no concrete statistics are available,
salaries, communications and miscellaneous equip-
it is believed that the department has approximately
ment, not including capital equipment purchases. A
100-200 trained negotiators/mediators. This training is
financial management plan is important because it
managed at local levels and while it is intended to develop
will ensure that there will not be any non-approved
a national standard for conflict management training, it is
170 P A T H W A Y S
expenditure of funds and close control can be STATEMENT OF WORK
maintained over current and forecast expenditures 28. The contractor will be expected to clearly demonstrate in
to ensure that the project remains within budget. the proposal the approach, including, timelines resources,
Normally, requests for funds will be submitted to the and concepts, that are proposed for the following areas
PMO well in advance of the activity. In some cases of work:
approval is required from the Steering Committee or
higher authority and will be sought through a formal a. Overall Approach—this description must demon-
presentation to the appropriate authority; strate a logical understanding of the objectives of
the work and the intended end product and an
b. Project Administration—the PMO contains a small understanding of the role of the system designer. It
staff dedicated to the administration of the Conflict must also demonstrate in detail, a current approach
Management project. It is expected that the PMO will that clearly demonstrates an understanding of the
be a small, multi-skilled organization; innovative approaches necessary to facilitate a
c. PMO Duties—the PMO will be structured to perform systematic, effective and efficient conflict management
the following specific functions: system. The Contractor must demonstrate a willing-
ness to work in a cooperative and collaborative
i) clerical assistance to the office in arranging and
manner with stakeholders in the DND/CF;
coordinating program activities. This will include
filing, correspondence control, preparation of cor- b. Design of Pilot Projects—pilot projects for the navy
respondence, completion of travel arrangements and CFRETS will be designed to work within existing
and other administrative matters as they arise; conflict management structures in Halifax and
Borden. New pilot programs will be designed for the
ii) a supervisory capability for any staff engaged in
army and air force with possible sites in Gagetown
office related duties;
and Winnipeg respectively. In general terms (that is,
iii) a communications management capability without getting into location-specific scenarios),
to meet the requirements of the contractors must outline their philosophy and
communications plan; approach to designing the new, integrated programs
and to modifying the existing projects. The contractor
iv) a financial management capability to effect
should specify how needs assessment will be done and
financial management activities;
generically describe who should be involved in pilot
v) a project director (PD) responsible for project design. Annex B contains additional detail;
detailed planning, coordination, liaison and
c. Communications and Publicity—it will be necessary
execution of program activities to meet
for the Contractor to develop a national level commu-
the program’s objectives;
nications plan that includes scope, activities and
vi) the capability of providing status reports, briefing methods to assist in implementing the project while
papers or notes and presentations to various levels building on successes to date. The Contractor must
of the DND/CF on activities connected with the demonstrate previous experience in communicating
Conflict Management project; programs and issues surrounding conflict management.
The Contractor will be required to assist Environmental
vii) the capability to assist with system design and the
Commanders in developing their own specific
implementation of pilot projects;
communications plans using existing DND/CF
viii) the capability to supervise and conduct training communications tools;
and organizational development functions; and
d. Select Case Mediations—will be important to the
ix) the capability to supervise and research new and overall success of the system. The Contractor must
existing conflict management systems within the describe his approach to the conduct of select case
DND/CF. mediations and demonstrate an understanding of
their role and importance;
e. Implementation Plan for the Design of the Conflict Command, the Contractor will be expected to conduct
Management System—this will involve the complete a best practices analysis. As part of the proposal, the
roll-out of the System across the DND/CF. The Contractor must include a plan for gathering and
proposal must clearly indicate timings, resources analyzing relevant best practices. Every effort will be
required, proposed methods of implementation, made to keep travel to a minimum;
follow up activities including select case mediation
i. Administration and Professional Conduct—the
activities, and a transition plan for hand over of the
Contractor must demonstrate his ability to meet
project to the DND/CF. The proposal should include
requirements for the administration and professional
specifics as to how the Contractor will incorporate
conduct necessary for the completion of this project.
the distinct and varying requirements, the different
This will also include the demonstrated reliability
cultures and geographical and structural circum-
and competence of the company overall; and
stances of each Environmental Command. The
Contractor must demonstrate his understanding j. Project Evaluation—as with any project, there must
of change management and conflict management be some way of measuring success. The Contractor
system design principles; must demonstrate how he plans to evaluate the success
of the conflict management system. This plan must
f. Training and Education Plan—conflict management
include when the evaluation plan will be developed, a
training is an essential component of this project and
general description of the objectives to be measured
is applicable across the DND/CF. The Contractor must
and the framework to be used.
indicate how training will be conducted and managed
in accordance with DND/CF training standards for
the pre-implementation phase and pilot projects. This DELIVERABLES
RFP does not include the direct delivery of training
programs. When training is developed/delivered, the 29. The Contractor shall provide all deliverables, where appli-
DND/CF will retain the authority to approve any cable, in hard copy and on 3.5-inch diskette in Word 6.0
trainers. Consideration must also be given to the or WP 6.0 format. Project deliverables will include:
use of internal DND/CF resources currently in place a. Implementation Plan—the implementation plan
for the training and education of the department in will include a detailed plan that discusses proposals
conflict management. This training plan must include for DND/CF wide implementation of the Conflict
the general identification of target populations and Management System. The plan will include timelines,
the training that may be required for them; resources and objectives. The implementation plan will
g. Transition Plan—for long-term success, it is include extensive coordination with Environmental
important that over the term of the contract, the Commands and the Steering Committee. The imple-
Conflict Management System move from Contractor mentation plan will discuss the proposals for including
to full DND/CF management of the initiative. The and supporting existing and future pilot projects and
Contractor must provide a detailed transition plan related initiatives. The implementation plan will be
that will enable the DND/CF to manage the project. expected to clearly show the business and cost impacts
This transition plan must include timelines, method of the various options;
of preparation for hand over, communications and b. Training Plan—the training plan will involve a
proposals for transition or follow-up assistance as detailed description of what objectives will be target-
required. Understanding that attrition is a reality in ed, to what standard they will be achieved and how
any large organization, the plan must also consider the training will be conducted. The plan will also be
the concept of the renewal of conflict management expected to indicate how the training will be designed
skills and knowledge; and developed. For planning purposes, it should be
h. Best Practices—over the past several years many understood that training shall be conducted in both
organizations within and external to the DND/CF official languages;
have implemented similar initiatives. As part of assess-
ing the need for the DND/CF and each Environmental
172 P A T H W A Y S
c. Communications Plan—communications will be REVIEW AND ACCEPTANCE
one of the most crucial elements in the cultural OF DELIVERABLES
transformation that will occur. The plan will contain 30. The Contractor shall provide one hard copy and one
detailed methods of publicity, both internal and exter- electronic copy of each deliverable to the DND/CF
nal to the DND/CF, resources required, schedules and Project Manager. The Contractor shall revise all deliver-
assessment methods to determine the effectiveness of ables to incorporate comments and concerns at no cost.
the communications strategy. The contractor will also Milestones shall be completed in accordance with the
be expected to prepare some materials for internal approved implementation plan. The Crown retains
and external presentations as required; copyright to all deliverables and intellectual property
d. Project Management Plan—the Contractor will be associated with the contract.
required to submit initial and regular updates to a
detailed project management plan that ties all project
activities together and permits the monitoring of key PROJECT MANAGEMENT
milestones and critical activities; 31. The Project Manager and Technical Authority
e. Best Practices Review Report—the Contractor will (PM/TA) shall:
be required to submit a report, that meets DND/CF a. liaise with the Contractor to ensure that the project is
standards for publication, to include a description and completed in accordance with the statement of work;
an analysis of best practices in the area of conflict
management; b. arrange Contractor visits as required; and
f. Evaluation Plan—the evaluation plan will include c. receive all deliverables on behalf of the department.
a clear description of measurable objectives to
determine the success of the project;
GOVERNMENT FURNISHED
g. Select Case Mediation Plan—select case mediations INFORMATION
will be crucial to the overall success of the project.
The contractor must include a plan that describes the 32. Upon request, the PM/TA shall provide the Contractor
circumstances and how and where these events will with relevant DND/CF orders, regulations and manuals
occur. These should include case examples that could needed to complete the tasks described in this statement
be used for subsequent training activities; of work.
h. Reports—the Contractor will be required to submit

regular written status reports, at a minimum of every TIMELINES
month, to the EDCM. Other reports may be required
33. The following timelines will be adhered to as closely
from time-to-time in the form of briefing notes, oral
as possible:
presentations or ad hoc narratives. Meetings between
the Contractor and the DND/CF will be arranged on a. contract award–November 1998;
a mutually agreeable basis as necessary; and
b. submission of proposed work plan to the EDCM
i. Resource Inventory—the contractor will be required within 3 weeks of contract award;
to submit an inventory of models and resources,
c. submission of communications and training plans for
materiel and human, used in conflict management
pre-implementation phase and pilot projects within
system design and training in negotiation, mediation
4 weeks of contract award; and
and conflict management.
d. delivery of an implementation plan within 12 months
of contract award.
PROPOSED PAYMENT SCHEDULE g. demonstrated excellence in presentation and commu-
34. The Contractor must propose a payment schedule that is nication skills including the capability to address
clearly and directly tied to the delivery and acceptance of large audiences and groups of very senior military
the deliverables identified at paragraph 29. The schedule and civilian managers;
must specify payment based on a monthly rate as sub- h. demonstrated experience in the training analysis,
stantiated and accompanied by a detailed breakdown of design, development, implementation, standards
per diem charges for project staff. Costs for travel should and evaluation and a knowledge of sources of
not be included as these will be billed as approved in conflict management training across the country
advance by the DND/CF in accordance with Treasury and internationally;
Board directives.
i. demonstrated capability to provide hands on and
detailed administrative support to the project
SECURITY including managing a project management office in
partnership with departmental staff, financial and
35. All correspondence and documentation associated with project management;
this project will be unclassified.
j. availability for travel;
k. demonstrated excellent inter-personal and group
M A N DATO RY R E Q U I R E M E N T S
skills including discussion leader, facilitation skills
36. It is the bidder’s responsibility to ensure sufficient infor-
and consensus decision making;
mation is clearly provided to verify that all mandatory
conditions are met. Responses failing to do so will be l. demonstrated understanding of the concepts inherent
ruled non-compliant and will not be evaluated further. to cultural transformation and organizational learning
In order to be compliant, the following mandatory that would be applicable to assisting with such change
requirements must be met: in large hierarchical organizations such as the
DND/CF;
a. demonstrated high level of knowledge of the DND/CF,
its structure, culture and mandate; m. demonstrated clear, long-term vision that will assist
in formulating both a transition plan and a method
b. demonstrated familiarity of problems and pressures
to institutionalize the conflict management system
facing the department in today’s climate;
within the department; and
c. demonstrated capability to work in both official
n. proposals are to include at least three senior level
languages. To meet this, the Contractor must have
references, of which at least two must be from the
the capability of providing service at a Public Service
public sector, that may be consulted during the
Commission rating of CCC;
evaluation process.
d. demonstrated experience in working and implement-
ing conflict management oriented programs in large
complex organizations; E VA L UAT I O N C R I T E R I A
37. All proposals meeting the mandatory requirements will
e. demonstrated knowledge and experience with conflict be further evaluated against a possible score of 100 based
management techniques and concepts including on the Contractor’s ability to demonstrate an effective,
practical experience of successful problem resolution viable approach that takes into account ALL of the
and case mediations (in military or paramilitary requirements outlined in the Statement of Work. Options
organizations); within the proposals will not be evaluated. It is important
f. demonstrated professional and personal qualifications that proposals be detailed enough to allow the evaluation
that can be applied against the range of job require- team to be able to determine whether a specific bid
ments and activities required for this project; can meet departmental needs. For example, when
a project evaluation plan is required, it is expected that
174 P A T H W A Y S
there will be a detailed description of what objectives PRICE
are to be evaluated and to what standard, as well as 39. A contract, if awarded, will be awarded at $250,000 to the
what instruments will be used to conduct the evaluation. bidder who has the highest number of points out of 100.
Proposals must include a chart demonstrating the It is estimated that the level of effort will be in the 175
breakdown of activities and how much time and to 250 person days but it is the bidder’s responsibility
money will be dedicated to each. to make a more accurate determination. The financial
submission will identify proposed milestone payments
38. The evaluation criteria are attached at Annex A.
relating to the deliverables required.
Mandatory Requirements
ITEM DESCRIPTION MET (Y/N) COMMENTS
A Demonstrated level of knowledge of DND/CF

structure, culture, mandate. For example, the
DND/CF is geographically diverse, hierarchical,
contains military/civilian/reserve components,
varied mission, and roles, peacekeeping,
domestic emergencies.
B Demonstrated familiarity of pressures and

problems in dept. Some examples are, additional
missions/fewer resources, low morale,
re-organization, low pay, postings, bad publicity
C CCC rating min
D Demonstrated experience in working and

implementing CM programs in large organiza-
tions. Clearly shows where they have done the
work, names of companies and type of work
done. Must have completed at least 2 projects
in last 3 years.
E Demonstrated knowledge and experience with

CM techniques and concepts including practical
experience of successful problem resolution
and case mediations in military or paramilitary
organizations. Must clearly show that they are
familiar with ADR spectrum AND show that
they have conducted at least 3 mediations in
the last year.
ITEM DESCRIPTION MET (Y/N) COMMENTS
F Demonstrated professional and personal

qualifications as compared to requirements
and activities in this project. Must have at
least 3 years experience in field and have taken
ADR training.
G Demonstrated excellence in presentation and

communication skills to large, senior audiences.
Must state that they have delivered briefings/
presentations to large, senior audiences.
H Demonstrated experience with Systems

Approach to Training, and knowledge of CM
training sources across country and internation-
ally. Must demonstrate that they understand
the concept of a systematic approach to
training and quote at least 2 other sources
of CM training.
I Demonstrated capability to provide hands

on administrative support to project. Must
clearly state that they can support the project
administratively.
J Demonstrated availability for travel. Must clearly
state that they are willing and able to travel.
K Demonstrated excellent inter-personal, facilita-

tion, consensus building skills. Should tie in
with item G.
L Demonstrated understanding of cultural trans-

formation and organizational learning concepts
as they apply to large hierarchical organizations.
Must clearly show that they are familiar with
change management strategies in large organi-
zations. This will be based largely on anecdotal
descriptions.
M Demonstrated clear long term vision to formu-

late a transition plan to institutionalize the CMS
in dept. There should be a clear discussion as to
how they propose to transfer the responsibility
of managing and maintaining the CMS to the
DND/CF.
N Three senior level references that can be checked.
Were all Mandatory Requirements met? Yes/No If YES move on to Part 2.

If NO stop here. The evaluation is complete.
176 P A T H W A Y S
ANNEX A
APPROACH
ITEM DESCRIPTION SCORE COMMENTS
A. Is there a demonstrated overall approach /25 Max 5 points per item.

indicating a logical understanding of : 0 = not demonstrated
a. the objectives of the work 1 = vague demonstration
b. the intended end product 3 = detailed demonstration and basic
c. system designer’s role understanding of what is required
d. innovative, systematic yet flexible approach 5 = comprehensive demonstration, and
to facilitate an effective and efficient a very concrete understanding of
CM system what is required.
e. willingness to work in a collaborative,
cooperative manner with stakeholders.
B. Is there a comprehensive demonstration of how /9 Max 3 points per item

the pilot projects will be conducted, to include 0 = not demonstrated
a. needs assessment 1 = vague demonstration
b. Philosophy and approach to designing new 2 = detailed demonstration with some
systems and modifying existing projects discussion of assessment, philosophy and
c. Who should be involved in pilot project approach and who should be involved
design? 3 = comprehensive demonstration with very
detailed discussion of assessment, philosophy
and approach and who should be involved
C. Is there a demonstration of a comprehensive /9 Max 3 points per item

communications and publicity plan to include: 0 = not demonstrated
a. Scope, activities and methods 1 = vague demonstration
b. Previous experience in communicating 2 = detailed discussion
programs and issues surrounding CM 3 = very detailed plan that includes examples
c. Willingness to work with Environmental
Commanders in developing their own
specific communications strategies.
D. Is there a demonstration and understanding of : /6 Max 3 points per item

a. The role and importance of select case 0 = no understanding or demonstration
mediations 1 = vague understanding
b. The approach and conduct of select 2 = clear understanding and demo
case mediations.
E. Is the implementation plan for the CMS design /12 Max 2 pts per item
complete? Plan must demonstrate: 0 = no demonstration
a. Timings 1 = vague demonstration
b. Resources 2 = comprehensive demonstration that
c. proposed methods of implementation clearly indicates the intentions of
d. follow up activities the consultant
e. transition plan for hand-over to DND/CF
f. understanding of change management and
CM system design principles.
ITEM DESCRIPTION SCORE COMMENTS
F. Is there a clear demonstration of a training and /8 Max 2 points per item

education plan that includes: 0 = no demonstration
a. how training will be conducted and managed 1 = vague demonstration
clearly demonstrating an understanding of 2 = detailed demonstration of the use of SAT,
a systems approach to training (SAT) DND/CF resources
b. An adherence to DND/CF training standards? 3 = comprehensive demonstration of how train-
c. Consideration of the use of internal ing will be conducted, the use of internal
DND/CF resources resources, adherence to DND/CF standards,
d. Identification of target populations and ID of target pops and design workshops
recommended training, to include
pre-implementation design workshops.
G. Is a transition plan demonstrated that takes /10 Max 2 points per item
into account: 0 = no demonstration
a. Timelines 1 = vague demonstration
b. method of hand-over preparations 2 = detailed demonstration that includes
c. communications a clear understanding of the need for a
d. follow-up assistance transition plan
e. skills and knowledge renewal
H. Is the requirement demonstrated for a best /6 Max 3 points per item

practices review that includes: 0 = not demonstrated
a. plan for gathering and analyzing the data 1 = vague demonstration
b. current knowledge of best practices 2 = detailed demonstration that includes a
comprehensive plan
I. Does the proposal demonstrate the ability to /9 Max 3 points per item
meet professional and administrative require- 0 = not demonstrated
ments to complete the project that include 1 = vague demonstration
a. having appropriately qualified people to 2 = detailed demonstration
complete the project 3 = comprehensive demonstration that
b. having a balanced team that can handle includes highly qualified people in a well
the different aspects of the project balanced team, supported by references
c. demonstrated reliability and competence of
the company by having completed similar
work for large organizations
J. Is there a clear demonstration of how the /6 Max 2 points per item

project will be evaluated including: 0 = not demonstrated
a. when the evaluation plan will be developed 1 = vague demonstration
b. general description of the objectives to 2 = detailed demonstration clearly showing
be achieved an understanding of the importance of
c. the evaluation framework to be used. an evaluation plan
Total /100
178 P A T H W A Y S
ANNEX B one day session either as part of the sensitization or lead-
Background Information on Conflict Management ership courses. It is intended to complete this initial phase
Projects Underway by September 1998. The next phase of the program is to
incorporate relevant modules of the sensitization and
1. At present there are several projects relating to conflict leadership courses into existing core training. To date the
management currently in progress or about to be imple- DND/CF has educated approximately 70% of the target
mented within the DND/CF. These descriptions do not population. The Defence Ethics Program advocates a
include long-standing mechanisms such as military and strong process of expectations, leadership, dialogue and a
civilian grievance systems or the chains of command. It broad and flexible range of voice and compliance mecha-
must be remembered that this list is not exhaustive, but nisms as part of its program. Improvements in conflict
will give Contractors an indication of the extent and types management capabilities will greatly contribute to the
of initiatives underway. This annex in no way absolves the aims of the program.
successful Contractor from conducting its own research
in the area of conflict management in the DND/CF. 4. The policy stated that each unit was responsible for
creating its own harassment advisor or HA organization.
The role of the HA is to advise Commanding Officers and
HARASSMENT PREVENTION potential complainants regarding the harassment policies
2. In 1993, the DND/CF undertook an unprecedented and possible courses of action. At present some environ-
initiative to stem the number of harassment complaints. mental commands are in the process of formalizing the
This enterprise began with the development of a compre- harassment complaints resolution process within their
hensive harassment prevention policy. This policy, while organizations. In fact some are extending the areas of
based on Treasury Board guidelines, was amplified to take responsibilities of their organizations to include all
into account the special requirements of the DND/CF forms of conflict, not just harassment.
brought about by its mission and role in Canadian society
and the impact the DND/CF has on Canadian Foreign
policies. Because of the mix of civilian and military ARMY
components and the different legal implications, each 5. Leadership in a Diverse Army (LDA) Program. The Army
component has its own policy. One of the common is presently developing a comprehensive program to
elements of the two policies is the emphasis placed on address leadership issues with an emphasis on issues
the need to make every effort to resolve conflict, regard- surrounding a more diverse organization. The program
less of the type, at the lowest possible level. is scheduled for initial delivery in Feb 98 with full scale
training to commence in April 98. The LDA encompasses
3. At the same time as the policy was being developed, policy changes, consultation support to commanding
the DND/CF contracted to design and implement an officers, four targeted leadership two day training
education program to augment the policy. This program sessions, conflict resolution training and ultimately the
was called the Standards for Harassment and Racism development and implementation of ADR centres at
Prevention or SHARP program. Its purpose was not selected Army bases.
necessarily to train the contents of the harassment policy,
but rather to act as a catalyst to begin attitudinal and
behavioral change throughout the DND/CF. It is a video- AIR FORCE
based, modularized program conducted in groups of 6. Harassment Elimination Program (HELP). This program
12-15 participants using the guided discussion methodolo- was implemented in 1992 by the air force with the intent
gy. The program was developed centrally with input from to provide personnel with:
each of the major stakeholders and subsequently devolved a. an awareness of harassment issues and air force policy;
to each of the environmental commands and CFRETS
for implementation. CFRETS was designated as the lead b. a framework by which they can come forward with
managing authority for the maintenance of the training issues concerning behaviour in the workplace; and
standards and amendments of the SHARP program. c. a protocol that can be used to ensure that concerns are
The intent of the program was to have each person in addressed as quickly and efficiently as possible, in other
the DND/CF (approximately 100,000 people) attend a words, at the lowest level possible.
CFRETS O F F I C E O F T H E O R G A N I Z AT I O N A L
7. Conflict Resolution Centre (CRC). In CFRETS, the focus OMBUDSMAN
of preventative and corrective measures will be broadened 9. This initiative will involve the appointment of an organi-
to encompass all forms of conflict. When harassment arises, zational ombudsman. The role of this person has yet to be
the prescribed harassment policies and investigating defined, but the office will act in a neutral, informal and
practices will be followed to the letter. There are several advisory capacity to the complainants and the DND/CF.
distinct roles within the CFRETS workplace conflict The actual structure of the organization has yet to
management structure. Some of these roles include a be determined.
Unit Workplace Conflict Management Coordinator,
a Workplace Conflict Coach as well as investigators
PILOT PROJECTS
and mediators.
10. At present the plan is to implement four pilot projects
across the country, representing each environmental com-
STREAMLINING OF THE CF REDRESS mand. The likely geographic locations are Halifax, N.S.,
OF GRIEVANCE PROCESS Gagetown, N.B., Borden, Ont. and Winnipeg, Man. It
8. Although it was mentioned that this document will not must be stressed that these pilot sites are subject to
discuss long-standing mechanisms of voice, it is impor- change, and it is anticipated that they will be underway
tant to mention that the military redress of grievance in some form, prior to contract award.
process is undergoing significant change. Primarily, it is
being streamlined to attempt to reduce the amount of
time it takes to resolve a grievance as well as to keep the
level of review at an appropriate level depending on the
degree of grievance. There is little additional information
available because the legal aspects of amending this
process are still under review.
180 P A T H W A Y S
TOOL 2 Ensure that all programs and initiatives are coordinated
STAFFING NOTICE FOR in a fashion that will achieve corporate goals, enhance
EXECUTIVE DIRECTOR OF morale and foster good working relationships within
CONFLICT MANAGEMENT DND/CF.
Below is a copy of the “required duties and experience” Experience
as described in the Competition Notice for the Executive
Experience in the design, implementation, and coordina-
Director Conflict Management (EDCM) at DND/CF. The
tion function of a conflict resolution system, and for
position was set at the EX-03 level.
coordinating associated training requirements
Duties
Experience in the application of processes such as conflict
Accountable for the overall design, implementation, resolution, interest-based negotiation, mediation and
and coordinating function of a conflict resolution arbitration
system and for coordinating training requirements to
Experience in the coordination of broad conflict manage-
provide employees and military personnel (reserve and
ment policy issues and the communication programs
regular force) with an opportunity to obtain confidential,
associated with those issues
neutral and informal advice and services in an effort to
resolve Human Resource issues in a manner that will Experience in the management of financial, material and
benefit both parties. human resources
Chair several steering committees and working groups

that will analyze, design and develop a comprehensive and
effective conflict management system for the Department
of National Defence and Canadian Forces (DND/CF),
while at the same time promulgating training and profes-
sional development.
TOOL 3 coordinating and participating in facilitated design
CONFLICT MANAGEMENT PROJECT workshops and other activities related to the pilot projects
STEERING COMMITTEE—TERMS advising the chain of command on CMSC activities
OF REFERENCE
developing dispute resolution and training frameworks
Purpose
and standards where necessary
This committee has been created to provide strategic guid-
providing advice on the preparation of policies
ance to Conflict Management Project (CMP). In addition, the
and procedures documents
members of the Conflict Management Steering Committee
(CMSC) will act as the conduit for the project team into assisting EDCM in formulating a full-scale national
the necessary areas within the Environmental Commands, implementation plan
CFRETS and the NCR as they pertain to the CMP. This com-
providing updates to the committee on pilot
mittee will serve the needs of the military (regular and reserve
project activities
forces and CIC) and civilian components. It will be chaired
by the Executive Director Conflict Management (EDCM) Duration
under the authority of the Chief of the Defence Staff (CDS) The CMPSC will be in place until the completion of the CMP.
and the Deputy Minister (DM).
Member Prerequisites
Mandate
must be familiar with dispute resolution processes and
The mandate for the CMPSC will be to provide strategic techniques
guidance and Environmental Command expertise and advice
to EDCM and the chains of command during the design, must be familiar with respective pilot project
development and implementation phases of the CMP. must be committed to the initiative
Responsible to must have necessary authority to represent
ADM Human Resources—Military and ADM Human various stakeholders
Resources—Civilian through EDCM
Responsible for
on behalf of the respective pilot sites, the coordination
of project activities
on behalf of the respective pilot sites, provide a
strategic vision consistent with the needs and mission
of the organizations
182 P A T H W A Y S
TOOL 4 What is the mandate of the EDCM?
FAQS ABOUT THE CONFLICT EDCM, through ADM HR (military) and ADM HR (civilian),
MANAGEMENT PROJECT is the departmental authority for ADR processes and all
(I) Frequently Asked Questions About The Conflict aspects of mediation. EDCM received its mandate to establish
Management Project and implement a Conflict Management Project from Armed
Forces Council (AFC) and the Defence Management
Why does DND/CF need a conflict management project?
Committee (DMC) in 1998. The mandate is as follows:
The existence of the CM Project is a recognition by DND/CF
As an organizational development initiative, design and
leadership that a spirit of cooperation with respect to
implement an integrated conflict management system for
workplace conflict leads to a more satisfying and productive
DND and CF. This includes
workplace environment. When workplace disputes do arise, a
collaborative approach is often a more effective and efficient To establish a framework and standards for the conduct
means of dispute resolution than an adversarial approach. of dispute resolution interventions.
In recent years, DND/CF’s emphasis on using traditional, To establish DND/CF standards for training and
formal methods of dispute resolution has proven to be costly education related to conflict management and dispute
and cumbersome. The growing number of harassment and resolution (DR).
other workplace complaints has further strengthened the need
To review new/existing initiatives to ensure consistency,
to design a complementary system for dispute resolution.
avoid duplication and enhance where appropriate.
During the next two years, DND/CF will develop and imple-
To ensure consistency across the DND/CF as the depart-
ment a stakeholder-driven dispute resolution system that:
mental authority on Alternative Dispute Resolution.
incorporates an interest-based method of dispute resolu-
How does EDCM carry out its mandate?
tion (DR) as the preferred course of conflict management;
The Conflict Management Project is designed around
reinforces the authority of the chain of command and the
four components:
union-employee relationship; and,
Diagnostic/Situational analysis: This component diagnosed
addresses the unique needs of DND/CF.
and analyzed the formal and informal systems by gathering
What is the objective of the conflict management data in such areas as the length of time and cost of disputes,
project (CMP)? and satisfaction or dissatisfaction with the existing processes.
The objective of the CMP is to improve the efficiency and System Design — The Pilot Sites: The knowledge gained from
effectiveness of dispute resolution within DND/CF. This the Diagnostic/Situational Analysis will be applied to the
would be accomplished by resolving disputes, where possible, system design of the pilot sites. The five pilot sites are
through early intervention by using such methods as negotia- representative of DND/CF — Halifax (Maritime Command),
tion and mediation. Disputes can range from interpersonal Borden (CFRETS), NCR (CFSU), Winnipeg (Air Command)
difficulties with co-workers to problems that sometimes and Edmonton (Land Force Command). The pilot sites have
arise with supervisors. Basically, any situation or issue each designed their own dispute resolution systems and will
such as harassment complaints and grievances that causes be implementing and testing them over an 18-month period
or could lead to disputes should try to be resolved in an ending in February 2001.
informal manner.
Training in DR processes such as negotiation and mediation
Who heads the CMP? will take place over the next several years.
The CMP is led by the Executive Director Conflict Department-wide Implementation and Evaluation of the
Management, Mr. Peter Sterne, who reports directly to CM Project is planned to begin early in 2001.
both ADM HR (Mil) and ADM HR (Civ).
How did the pilot sites design their dispute resolution systems? (II) Frequently Asked Questions About Alternate
Dispute Resolution
Intensive three-day workshops have been held at each of the
pilot sites in which approximately 40 people participated, What does the term “Alternate Dispute Resolution” mean?
including representatives from the chain of command,
Alternate Dispute Resolution (ADR) refers to informal
unions, members and civilians. At the workshops, each
methods used to resolve disputes, such as negotiation and
site designed a DR system that offers a variety of ways to
mediation, which are outside of the formal grievance and
resolve disputes at the earliest stage while respecting the
discipline system. The objective of ADR is to offer a more
chain of command.
efficient, effective and friendly way for people to jointly work
What is the mandate of the conflict management out a resolution to a dispute at the earliest stage that leaves
steering/working committee? everyone satisfied with the outcome.
The mandate of the Conflict Management Steering What are the features of ADR systems?
Committee is to provide strategic guidance and EC expertise
The major features of ADR systems are as follows:
and advice to EDCM and the chains of command during the
design, development and implementation phases of the Reinforces authority of chain of command
Conflict Management Project. Supports unions’ roles, structures and processes
How can people access the conflict management project? Provides users at all levels with a process to resolve
The following are some of the access points: Chain of com- issues at the lowest possible level
mand, EAP/MAP, Ombudsman, Grievance Process, Harassment Resolves complaints in a “safe”, flexible, timely and
process, Regional Service Centres, and the CWO Net. cost-effective manner
Where are the pilot sites? Easily accessible with many options to choose from
Halifax (MARLANT) and many access points into the system.
Borden (CFRETS) What options are available in the Conflict

Management Project?
NCR (CFSU Ottawa)
Common options in ADR systems include: self-help,
Winnipeg (17 Wing)
coaching, counselling, negotiation, mediation, and
Edmonton (LFWA) neutral evaluation.
Will the CMP be replacing formal channels? What are the benefits of ADR systems?
No. The Conflict Management Project does not replace the Flexible
existing systems. It provides a more informal way of solving
Less formal
problems. For example, if mediation does not succeed, then
the case can return to formal channels. Voluntary
Will the use of the conflict management project be mandatory? Parties retain decision-making authority
No. It is voluntary and a complementary system to the More confidential

formal system. The Conflict Management Project offers Saves costs
other options and the opportunity to resolve disputes at
the earliest stage. Saves time
Helps to maintain working relationships
Higher compliance rate
Agreements are more “win-win”
Agreements tend to hold over time
184 P A T H W A Y S
To what issues can ADR processes be applied? Let the parties know that their concerns are understood.
ADR processes, such as negotiation and mediation, are not Promote a productive level of emotional expression.
appropriate in all cases but generally can be applied to:
Identify and narrow issues.
grievance, discipline, performance, harassment complaints,
and any other situation of dispute. Help parties realistically evaluate alternatives to settlement.
Won’t ADR processes just add a layer of confusion? Suggest that the parties take breaks when negotiations
reach an impasse.
ADR processes are proven in the vast majority of cases to be
efficient, effective and faster than traditional formal systems. Encourage flexibility and creativity.
The Conflict Management Project does not replace, nor is it Shift the focus from the past to the future.
another layer - it is complementary to the formal system.
Shift the focus from one of blame to a creative exchange
(III) Frequently Asked Questions About Mediation between the parties.
What is mediation? Propose solutions that meet the fundamental interests
It is a process in which an impartial third party (the media- of all parties.
tor) facilitates communication between disputing parties and Will mediators come from within DND/CF or from outside
assists them to voluntarily reach, on their own, a mutually (i.e. other government departments, consultants, etc.)?
acceptable resolution to the conflict.
The choice of whether to use external or internal mediators
Who will participate in the mediation session? will be determined by the Pilot Projects.
Usually, the parties that are in conflict will be at the table. Who pays for external mediators?
Occasionally, other interested parties might also be requested
to participate. It is a case by case approach when it comes to Units and/or pilot project sites pay for external mediators.
decide who should be attending. How is a mediator chosen for a particular case?
What types of cases are suitable to mediation? Mediation is a voluntary process. One of its advantages is the
Interpersonal relationship issues, harassment, abuse of control given to the parties to select the mediator. The choice
authority, discrimination, performance evaluation, discipline of a mediator must be mutually agreed upon by all parties
and application of various policies are some examples of based on criteria such as neutrality and level of experience.
cases that can be mediated. Will mediation be available in the official language of
What is the role of the mediator? my choice?
The role of the mediator varies depending on the personali- Yes.

ties of the people involved, mandate given to the mediator by Is mediation confidential?
the parties, and the degree of emotions present at mediation.
This results in a spectrum ranging from a mediator who is The privacy of individuals involved in mediation will be
completely neutral and value-free; to a mediator who takes respected and is subject to the Access to Information Act
a more active role in shaping the eventual outcome. The and Privacy Act.
latter borders on a mediator as advisor. Regardless of what What if mediation is not successful?
techniques are used by the mediator to assist the parties
in reaching a solution, the mediator is not empowered Then the case could enter the existing formal systems
to render a decision. already in place.
In various situations, the mediator may attempt to: What is select case mediation?
Encourage exchanges of information. Select Case Mediation is one component of the Conflict
Management Project where representative disputes within
Help the parties understand each other’s view. DND/CF are mediated by experienced mediators to deter-
mine the applicability of mediation to DND/CF situations.
What happens during mediation? has to ensure fairness. Each party will have an opportunity to
present their side of the story. During these various presenta-
THE PROCESS OF MEDIATION INVOLVES
tions, issues will be identified. The parties and the mediator
THE FOLLOWING ACTIVITIES:
will then be able to ask questions or clarify issues with an
objective to identify the needs and interests of each party to
P R E - M E D I AT I O N
resolve the case.
Prior to the mediation session, the mediator will usually
contact the parties on an individual basis. This initial contact
can be done either by phone or by a face-to-face meeting. G E N E R AT I N G O P T I O N S
This first contact has different purposes. Initially, it allows for The generation of options is usually conducted in two phases.
an introduction of the mediator and provides an opportunity The first phase is a brainstorming session. During this
for the mediator to explain the mediation process to the session, all parties are requested to generate as many options
parties. Further, it provides an opportunity for the parties to as possible with a view to resolve the case. The second phase
explain to the mediator the dynamics of the conflict. At the will be to evaluate these options. Each option submitted
end of this initial contact, all parties will agree to mediate will be evaluated by the parties. They will determine which
to attempt to resolve the outstanding issue(s). options are viable and which ones meet their needs and
interests. Further negotiations may also result in the
creation of additional options.
JOINT OR INDIVIDUAL SESSION
Having had an opportunity to discuss the situation with the
parties, the mediator will be in a position to determine with REACHING COMMITMENT
them as to how to proceed. At least three options can be This task is one of the most critical aspects of the mediation
presented to the parties: process. From the evaluation of the options, parties will put
1. A joint session which will involve all parties at the table together the foundation of a potential agreement. They will
at the same time assess the viability of these options, will determine if they
satisfy their needs and meet their interests. Upon a review
2. Separating the parties in different rooms of the options, the parties will embark on a final negotiation
3. A combination of both and an agreement will be reached.
The combination is most commonly used. Further, and

before proceeding, the parties will be requested to sign a DRAFTING OF THE TERMS OF SETTLEMENT
mediation agreement. It is a very simple document that A N D I T S I M P L E M E N TAT I O N
details the rules that will guide the process. Here are The practice has been that the mediator will draft the terms of
some examples: settlement unless the parties agree otherwise. While drafting the
agreement, the mediator will ensure that the parties identify
one person will speak at one time;
who is supposed to do what, who needs to be involved in
respect and civility; the implementation of the agreement and how it will be done.
After careful review of the terms of settlement, the parties will
open and honest communications;
be requested to sign the agreement. Each party will have a copy.
confidentiality, i.e. what is said during the process remains The signing of the terms of settlement legally binds the parties.
within the process. It is considered to be a valid contract between the parties. Each
party will receive a copy of the terms of settlement. A copy of
Other guidelines can be suggested by the parties.
the terms of settlement will be kept by the DRC as a “Protected
Understanding the Issue(s) B” document.
Upon the agreement of the parties, the mediator will usually
ask the person who requested the mediation or the com-
plainant to open the discussions with a brief description of
the issues or a statement. As part of the process, the mediator
186 P A T H W A Y S
TOOL 5 A complementary Option
DRC BROCHURE: WHAT IS The Dispute Resolution Centre works alongside rights-based
ALTERNATIVE DISPUTE processes, such as grievances. ADR can be considered at any
RESOLUTION (ADR)? stage in a conflict, even if another process has already been
A Preventative Approach initiated. However, if the conflict cannot be resolved through
ADR, the parties retain the option of using relevant rights-
The Dispute Resolution Centre encourages the use of the
based processes.
ADR approach at any stage in a conflict, starting at the earli-
est and lowest levels. By producing timely results, ADR can Whether a situation involves an interpersonal issue or any
help the parties reach a satisfying solution and move forward. other type of conflict, the Dispute Resolution Centre can
be of assistance as part of a multi-option system.
To help personnel improve their conflict management skills, a
series of courses have been developed. The Dispute Resolution
Centre can also make presentations upon request. One-on-
one assistance in the form of coaching is available as well.
A Collaborative Process
The Dispute Resolution Centre facilitates ADR processes that
help parties design their own solutions. By resolving their
conflict constructively, the parties have the opportunity to
rebuild trust and restore their working relationship.
Personal commitment to any ADR process is essential and
the involvement of all the parties is always on a voluntary
basis. By actively generating options, the parties are jointly
responsible for the resolution of the conflict.
TOOL 6 What is coaching?
DRC BROCHURE: FREQUENTLY Coaching is available to anyone seeking to develop skills to
ASKED QUESTIONS better deal with a conflict. For example, an individual may
What is ADR? wish to consult a Dispute Resolution Centre in preparation
for a difficult conversation with a colleague.
Within the DND/CF context, Alternative Dispute Resolution
is any voluntary conflict management method where choices What is mediation?
are made by the parties themselves and decisions are not
This voluntary ADR process is guided by a mediator who
imposed by a third party. ADR encourages parties to deal
assists parties in reaching a mutually acceptable solution.
with conflict constructively and to find their own mutually
The mediator remains impartial and does not have any
satisfying solutions.
decision-making power. The mediator’s key role is to help
Why is ADR an option? the parties focus on generating solutions.
By having access to both ADR and rights-based processes, Who chooses the mediator?
such as grievances, individuals can make the choices that
Mediators are assigned on a case-by-case basis and the
are appropriate for them.
choice must be acceptable to all the parties.
What is DND/CF’s ADR policy?
Is ADR a confidential process?
Wherever appropriate, ADR is the preferred approach to
Open communication is a fundamental principle of ADR.
resolving workplace disputes and should be explored as an
To ensure ADR is not used as a means to gather facts and
option for a wide range of situations.
information for other processes, confidentiality is agreed
What is the role of the DRC? upon by the Dispute Resolution Centre and all the parties.
The key role of the Dispute Resolution Centre is to provide Can other processes be explored?
ADR services such as mediation and facilitation. Another
ADR can be considered at any stage in a conflict. However, if
important function is training. By helping DND/CF person-
ADR does not produce the desired results, parties can pursue
nel learn more about ADR, the DRC can promote prevention
applicable rights-based processes.
and encourage parties to deal with conflict through open
communication. How can I contact a DRC?
What training is available? Dispute Resolution Centres have been established to serve
members, employees and cadets across Canada and abroad.
A series of introductory courses in ADR, conflict manage-
You may call the DRC nearest you or drop by if convenient.
ment and interest-based negotiation are available to DND/CF
employees and members. The Dispute Resolution Centre can
design special presentations that are of particular interest to
certain groups and conflict resolution workshops can also be
tailored for specific audiences upon request.
188 P A T H W A Y S
TOOL 7 Theme:
INTERNAL COMMUNICATIONS: The theme “TALKING solutions”/“PARLER pour s’entendre”
GUIDELINES FOR DRC will be considered for this year’s campaign. It supports the
COORDINATORS crucial message that dialogue can help bring about resolution.
Background: A description of –
Graphics:
Reasons for the CMP and EDCM mandate
The general look will be a slight departure from the more
Conflict Management Program’s evolution. traditional DND/CF material. The visual feel will strive to
capture the “alternative” and “innovative” qualities of the
Diagnostic phase
Dispute Resolution Centre services. The word “resolution”
System design phase will be emphasized.
Project evaluation phase GRAPHICS FROM OPS MAUAL-COMMUNICATIONS-
Program status ANNEX 6
Official rollout phase- awareness campaign carried out to Phase I — Development and network building — April to
promote DND/CF’s network of Dispute Resolution Centres September 2002
Communications—a three-phase approach: This preliminary phase began when the Conflict Management
Project was approved as a Program and will be carried out
Phase I. Development and network building (April to until the official national rollout. Promotion of the Conflict
September 2002) Management Program has been carried out on a reduced
Build the program’s credibility and get support from scale to allow for the establishment of the Dispute Resolution
stakeholders and access points. Centres and to provide ample opportunities for dialogue
with all the stakeholders and access points at the early stages
Phase II. Rollout promotional campaign (October to of development.
December 2002)
The aim has been to:
Promote the Dispute Resolution Centre services and
their benefits. Demonstrate the value of the Conflict Management
Program with the successful results of the pilot project.
Phase III. Expanded outreach initiatives (January to
March 2003) Inform CF and DND leadership of the program’s rollout
and reaffirm the importance of their support.
Extend the campaign to increase interaction with
targeted audiences. Engage in constructive dialogue with all the stakeholders
to build an integrated conflict management system.
Regional communications:
Liaise with access points across the country to ensure
Based on this common Communications approach, the they understand the program’s potential benefits.
Dispute Resolution Centres, as well as the offices of
EDCM/DGCMP, will devise a communications plan with Audiences (internal only):
specific activities to promote the program to build and Senior Management
maintain strong ties with stakeholders and access points.
Area/Base/Wing Commanders
Branding:
Union representatives
The focal point for most communication initiatives will
Human Resource Service Centres
be the Dispute Resolution Centres - the entity that will
be branded from a service point of view. The Conflict Human Resource Business Managers
Management Program as such will be acknowledged in
Employee Assistance Program
certain communications but will not be targeted for
increased awareness by the general DND/CF audience. Member Assistance Program
Chaplains
Chiefs’ Network Products & Activities:
Harassment Advisors Official announcement—One vehicle that could be consid-
ered is a CANFORGEN from the DM and CDS. The last
Ombudsman
CANFORGEN was issued at the project phase. Now that
Military Police Complaints Commission the project has become an operational program, there
Canadian Forces Grievance Board could be a need for an update.
Intranet—A new service-oriented site will provide practical
Products:
information. There will also be information on training
Customized Powerpoint presentations. opportunities. The site will be supplemented with articles
Information handouts. on Alternative Dispute Resolution, the leadership role
being played by the Conflict Management Program in the
Promotional items (posters, post-its, pens, highlighters, field of mediation, etc.
mugs and kit folders).
Email to employees and members—Explore the possibility
Activities: of sending a general email using the distribution lists for
Briefings to Area/Base/Wing Commanders. each of the ADM groups; this email would essentially
invite civilian and military staff to visit the new Intranet
Meetings with stakeholders. site. To be determined: The ADM (HR-Civ) and ADM
Presentations to access points. (HR-Mil) may wish to send a co-email to Level 1’s inform-
ing them in advance of this email distribution initiative.
Initial presentations to DND/CF members and employees.
Note: Prior to the general email, the Union representatives
Phase II — Rollout promotional campaign — October to will also receive a courtesy copy.
December 2002
Promotional material—The Dispute Resolution Centres, as
By fall 2002, the network of Dispute Resolution Centres will well as the offices of DGRC and EDCM/DGCMP, will be
be operational. By this time, the Centres will be capable of responsible for distributing the material to their own target
providing Alternative Dispute Resolution services across audiences. Information packages (poster, both pamphlets
the country. A promotional campaign will be launched in and cover letter) should be provided to all access points
October to stimulate awareness of this new national service. and stakeholders. Access points will also require additional
packages of posters and pamphlets.
The aim will be to:
A poster will serve to stimulate interest and provide basic
Promote the program’s services to members and employees
service information.
and to the Canadian Cadet Movement.
Two pamphlets will target the employee and member
Communicate DND/CF’s commitment to the program’s
population.
potential of fostering a healthier workplace.
The primary pamphlet will focus on the Dispute
Work with the stakeholders to build on the foundations
Resolution Centre services.
of a well-integrated conflict management system.
The complementary pamphlet will include FAQs.
Actively demonstrate the program’s benefits to
access points. Promotional items will include post-its, pens and mugs.
Audiences (internal only): Stakeholder/Access Point bulletin — An electronic bulletin
will be developed to keep access points and stakeholders well
Regular and reserve members; employees of DND and
informed. The bulletin will be an attachment in an email
associated agencies; Canadian Cadet Movement
and the sender (Dispute Resolution Centres, DGRC or
Chain of command, management EDCM/DGCMP) will be able to introduce the bulletin with
a personal message. The goal is to create quarterly bulletins.
Union representatives, access points, stakeholders
HR-Civ, HR-Mil
190 P A T H W A Y S
The HR Civ Source/Le coin des RH-Civ — Inquire about At this point, we could also create a limited-access Intranet
providing input for this bimonthly email bulletin from site for the DND/CF mediation community. This site
ADM (HR-Civ). Note: This email vehicle targets HR would provide a medium for professional development
Civ staff. and information sharing (technical bulletins, book reviews,
discussions, etc.).
Phase III—Expanded outreach initiatives—
January to March 2003 Activities:
With new promotional material available, the Dispute Develop a concept for the first annual report (to be
Resolution Centres will have more tools to expand their finalized spring 2003).
direct contacts with members and employees. Suggestion:
Start exploring ideas for a fall 2003 promotional video.
At the beginning of the New Year, the theme “a good
resolution/une bonne résolution” could be woven Key messages:
into presentations. Positive and durable—The preferred approach
The aim will be to: Alternative Dispute Resolution is recognized for providing
Build on the momentum of the fall 2002 rollout positive and durable results and, wherever appropriate, it is
promotional campaign. the preferred DND/CF approach to resolve conflict in the
workplace. Supported by the chain of command, manage-
Generate increased awareness of the Dispute Resolution
ment and unions, this initiative reflects a commitment to a
Centres and their services.
process that puts people first and focuses on a healthy and
Target strategic audiences and explore multiple forums productive work environment.
for presentations, briefings, meetings, etc.
Collaborative and empowering—A voluntary process
Audiences (internal only):
The Dispute Resolution Centre facilitates voluntary proce-
Regular and reserve members; employees of DND and dures that fully support the participants’ personal choices.
associated agencies; Canadian Cadet Movement These alternatives to third-party decisions empower the
parties to reach agreements of their own design through
Chain of command, management
better understanding of each other’s viewpoints.
Union representatives, access points, stakeholders
Early and timely—A preventative method
HR-Civ, HR-Mil
The Dispute Resolution Centre encourages conflict manage-
Products: ment at the earliest stage and strives to avoid lengthy
Feature articles will be written for publications such as processes, which can sometimes further strain already difficult
The Maple Leaf, Civ News, Canadian Forces Personnel relationships. By helping parties deal with workplace conflict
Newsletter and Area/Base/Wing newspapers. There has before it can escalate, the Dispute Resolution Centre promotes
been discussion with DGPA to include an article in Civ early resolution and prevention.
News with the theme “a good resolution/une bonne Complementary and flexible—An integrated system
résolution” for the January 2003 issue.
The Dispute Resolution Centre works alongside the rights-based
Powerpoint presentation templates could be updated processes and is part of an integrated conflict management
to be consistent with the latest promotional material. system that provides great flexibility. For example, if a conflict
Kiosk telescopic stands (with pull-up banner) could cannot be resolved through Alternative Dispute Resolution,
be ordered for greater visibility at conferences. the parties retain the option of using rights-based processes.
Similarly, parties have access to Alternative Dispute Resolution
There will be Intranet updates on a regular basis. at any stage in a conflict, even if another process has already
been initiated.
TOOL 8 facts, not judgements, and relate the impact of the situation
THE HARASSMENT PREVENTION experienced by the potential complainant. The letter should
AND RESOLUTION GUIDELINES mention the conduct expected (i.e., “I would like this
behaviour to stop.”). If possible, the letter should be delivered
General
in person and a copy kept by the potential complainant.
It is well recognized that early resolution and/or use of ADR
Persons using the self-help process should keep a record of
techniques usually provide for speedier and more satisfying
all the incidents and of the way in which they were handled.
resolution to conflict situations in general and harassment
This record will help the accurate recollection of events and
situations in particular. DND/CF has therefore made a con-
how they were managed over time.
scious decision to include these mechanisms in its culture
and leadership philosophy. In concert with this philosophy, Supervisor Intervention
DND/CF has decided to make serious consideration of these
If self-help is unsuccessful or inappropriate, then help in
techniques and offer their usage, unless there are compelling
resolving the situation using some other ADR method may
reasons not to do so, one of the first steps in the resolution of
be sought from the potential complainant’s immediate
any harassment situation. Additionally, such techniques may
supervisor, or someone higher in the chain of command,
become appropriate at any time during the resolution of a
if the potential respondent is the immediate supervisor.
complaint and should be utilized.
In dealing with harassment situations, supervisors are
DND employees or CF members who either decide on their
encouraged to seek the services of their HA.
own, or request assistance of their RO to resolve a situation
using ADR methods, are either: trying to solve the problem Supervisors can be instrumental in the resolution of
on their own through self-help methods; enlisting the help alleged harassment situations because of their considerable
of their supervisor; or seeking mediation or other third leadership/managerial experience and their knowledge of
party intervention. the parties.
ADR procedures that are sanctioned by a RO will involve However, because of the requirement for a trained neutral
official decisions, and may include written documents such third party in the role of a mediator and the need for the
as an Agreement to Mediate and Minutes of Settlement. absence of bias, real or perceived, supervisors are not normally
in a position to mediate a situation involving their own
The use of any ADR process does not preclude seeking advice
subordinates (or other persons, as applicable).
from a supervisor, or any other trusted person or program
within or outside the unit or organization. This includes an Supervisors’ ongoing responsibilities provide the following
Employee Assistance Program (EAP) representative, the opportunities for coaching aimed at behavioural change:
Canadian Forces Member Assistance Program (CFMAP) assisting parties in conflict with the identification of the
and the DND/CF 1-800 number. issues and problem-solving approaches; assisting with the
development of a resolution plan; and, initiating team
Self-Help
development activities. These three processes constitute
Early resolution of any harassment situation at the most the main supervisory tools for effective intervention.
appropriate level is strongly encouraged. Individuals who
Supervisory actions may also include initiating dialogue
experience perceived harassment situations are strongly
among other supervisors or planning the presentation
encouraged to take direct action by communicating with the
of an awareness session in the workplace on acceptable
potential respondent at the earliest time possible. Situations
workplace behaviours.
that involve interpretation of interpersonal communications
or matters requiring some clarification between persons may
be quickly and effectively resolved if the parties take the M E D I AT I O N
opportunity to communicate with each other in a confiden- Overview
tial setting.
Mediation is a voluntary process in which a trained impartial
If verbal communication is not possible, the potential com- third party, the mediator, facilitates communication between
plainant may then choose to communicate dissatisfaction parties and assists them to reach, on their own, a mutually
or concern to the potential respondent in writing. Such acceptable resolution to a dispute.
communication should describe the incident(s) by relating
192 P A T H W A Y S
The use of mediation to resolve harassment situations is Any notes or records created during the mediation process
strongly encouraged, even after a traditional investigation must be secured as Protected B material and retained in
has been initiated. If mediation is chosen, the parties will accordance with the provisions of the Access to Information
be informed by the HA, their Assistants, the appropriate Act and Privacy Act.
Dispute Resolution Centre, or a mediator as to the
Resolution Procedures
mediation procedure.
Where a complaint has been submitted to the RO, the media-
The decision to participate in a mediation process requires
tor shall expeditiously forward a report to the RO stating
that both parties sign an Agreement to Mediate prior to
that the mediation between the parties has been resolved/
mediation and the Minutes of Settlement at the end of
not resolved, and that there is no further involvement of the
the process. Mediation is a voluntary process and can be
mediator necessary. The report shall identify the parties to the
terminated by either of the parties at any time.
mediation, and state the issues resolved by the mediation. It
Mediators must also include a signed statement from the Complainant
and the Respondent that the complaint has been resolved
Once the parties have agreed to mediation, a mutually
and closed.
agreeable mediator will be provided as soon as possible.
When necessary, assistance in the selection of a mediator may There may be instances where the potential Minutes of
be obtained from the appropriate Dispute Resolution Centre Settlement could include issues over which the parties to the
or the Office of the Executive Director, Conflict Management. complaint have little or no authority. In such a case the RO
should ensure that someone with the requisite authority and
The role of the mediator involves keeping the channels of
mandate participates during the mediation process, usually
communication open, helping the parties express their needs,
the RO personally. Where this is not possible, a tentative
identifying issues that need to be addressed, and facilitating
settlement can be reached, subject to the approval of the RO
problem solving.
or other requisite authority. In such a case, if the RO believes
In some cases, the use of co-mediation or mediation teams that the Minutes of Settlement are not satisfactory, the matter
is appropriate. Co-mediation occurs when two mediators, may be sent back for further mediation or, the RO may direct
often of different gender, culture, professional backgrounds or that the matter be resolved by administrative investigation.
skills, work together to help negotiations between the parties
Where a complaint has not been submitted, but the parties,
in conflict. This team approach works best when there are a
through self-help or supervisor intervention, have decided
number of parties involved, the issues are complex, or when it
that mediation would be suitable, these requirements may
is important to recognize gender, racial or cultural differences
not be present.
in order to inspire confidence in the mediation process.
Administrative Closure
Other Interested Parties
Closure is an important part of any ADR resolution process.
Usually it is the parties in conflict that are at the table with
In cases where supervisor intervention is utilized, closure may
the mediator. Occasionally, other interested parties might
include any appropriate administrative or disciplinary action
also be at the table for the purpose of providing moral
deemed necessary by the supervisor or the RO.
support to the parties or perhaps, because part of the Minutes
of Settlement or Agreement to Mediate requires approval If mediation results in resolution of the complaint, the signed
from an official authority. A case-by-case approach is used Minutes of Settlement will constitute administrative closure
in deciding who is required at the table. of the complaint for all parties. If an agreement is reached
between the parties, the Minutes of Settlement will constitute
Treatment of Information
full and final settlement of the complaint. If an agreement
All information exchanged during this entire procedure shall is not reached, all parties have the right to pursue the appro-
be regarded as “without prejudice” communications for the priate administrative investigation, or other resolution
purpose of settlement negotiations. Subject to the disclosure mechanism. A copy of the report from the mediator, and
requirements of the Queen’s Regulations and Orders, Access to the withdrawal of the complaint, where applicable, will be
Information Act, Privacy Act, and any other applicable law, the placed on the complaint file. The parties and the RO,
parties agree to keep all information exchanged during the where required, will ensure that the Minutes of Settlement
mediation process confidential. are followed.
TOOL 9 If the practitioner considers that action is warranted,
INTERNAL DEFENCE ALTERNATIVE they may then consider implementing one or more of
DISPUTE RESOLUTION PRACTI- the following:
TIONER’S CODE OF ETHICS when it is appropriate, include a support person and/
Ensuring effective participation by parties. or an adviser;
Depending upon the ADR process used, the practitioner may enable the provision of technical assistance, information
need to ensure that the parties are given the opportunity to or expert advice;
have their say, make decisions about time frames and venues,
adjourn the process; and/or
and understand the issues and the implications of choosing
one outcome over another. In facilitative ADR, it is important terminate the ADR process and refer the parties to a
that the practitioner be aware of the criteria which grievance process.
suggest that it would not be appropriate for the parties to
Eliciting information
participate in an ADR process, or to do so only with special
adaptations to the process. The ADR practitioner should Most ADR processes rely on developing a clear understanding
ensure that the parties are fully informed of the possible of the reasons for the dispute. To achieve this the parties must
legal implications of ADR and where necessary refer be encouraged to describe their own perceptions and needs
the parties to DADRCM (Director of ADR and Conflict clearly and as completely as possible. ADR practitioners must
Management) to coordinate the provision of independent be aware of the scope of their duties to elicit relevant infor-
legal advice to the parties. mation, and encourage the parties to obtain, check and
share information.
A practitioner may need to consider whether any action
is required by them in the following situations: Where facilitative ADR processes are being used (mediation,
workplace conferencing, facilitated negotiation), the ADR
the parties lack an adequate level of understanding of
practitioner may need to consider issues such as:
the issues and implications of the possible outcomes
whether the ADR practitioner should contradict a party
the parties lack sufficient time to assess any
(eg by physical evidence or prior inconsistent statement)
proposed outcome
whether there is scope for discrediting a party in front of
there is the possibility of undue practitioner influence
his or her colleagues (on the same side of the dispute) in
the process is inappropriate to resolve the parties’ dispute order to verify the relevant facts
the physical safety of the parties, practitioner or third the kinds of information that may only be raised for
parties has been or may be at risk discussion in private sessions
strategies that are inconsistent with the ADR process are whether recommendations or decisions may be restricted
being pursued by one or other of the parties to agreed issues in dispute, or may be open to other related
issues as well
a party has undertaken the ADR process in order to gather
information to be used in furtherance of the dispute managing continuation or termination of the process.
one or more parties is unable to participate and negotiate Some ADR processes end with an expert recommendation
effectively in the process and not a final decision. In others, the parties or the ADR
practitioner make decisions with a view to facilitating an end
the appropriate parties are not present to explore the issues
to the dispute or the process. In all cases the ADR practitioner
effectively or to ensure effective negotiation
is expected to perform their duties diligently and within a
a significant power imbalance between the parties is likely reasonable time frame. Terminating an ADR process is a
to prejudice the outcome for one of the parties responsibility the ADR practitioner has to both parties.
Depending on the ADR process involved, the ADR practitioner
the parties are not willing to participate in good faith
may need to consider whether to:
discourage the parties from abandoning the process when
the practitioner believes settlement is possible;
194 P A T H W A Y S
abandon (or threaten to abandon) the process in order to personal values, experiences or knowledge that might
induce agreement; and substantially affect their capacity to act impartially, given
the nature of the subject matter and the characteristics of
try to restrict the number or scope of settlement options
the parties.
by reference to similar case experience, expert intellectual
knowledge or legal principles. Having made the disclosure, the practitioner must also
decide whether he or she should
Exhibiting lack of bias (neutrality and impartiality).
withdraw, or, with the express permission of all the parties,
ADR practitioners need to demonstrate independence and
continue with the ADR process.
lack of personal interest in the outcome, and approach the
subject matter of the dispute with an open mind, free of Maintaining confidentiality
preconceptions or predisposition towards either of the
It is important that the practitioner and parties in any
parties. The importance of exhibiting lack of bias is that
ADR process have, as far as possible, a clear and common
the parties can be satisfied that they can trust the ADR
understanding of the extent and limits of confidentiality in
practitioner to conduct the process fairly. This has usually
accordance with these Instructions. Confidentiality may
been referred to as a requirement of neutrality.
require an ADR practitioner to:
‘Neutrality’ refers to interest, while ‘impartiality’ refers to
not disclose information provided by one of the parties to
behaviour. DADRCM recognizes that absolute neutrality is
the other party (in mediation, information may be con-
impossible, since any practitioner has a degree of interest in
veyed to the practitioner during a separate private session)
the outcome of the dispute. However, what is important is
that the process is conducted in an impartial manner that not disclose information about the dispute to third parties,
ensures that it is fair for the all of the parties. subject to any Defence regulations, common law, contrac-
tual or statutory requirements
Impartiality requires the ADR practitioner to:
However, in all cases the ADR practitioner should make clear
conduct the process in a fair and even-handed way
to the parties the limits on disclosing information that apply
generally treat the parties equally to the parties and the practitioner.
give advice and allow representation, support or assistance Compliance with legislative requirements.
equally to the parties
Depending on the context, the outcome of an ADR process
act in a manner that does not communicate noticeably may need to comply with certain requirements, including
different degrees of warmth friendliness or acceptance legislation (for example the Australian Public Service Act 1999,
when dealing with individual parties Financial Management and Accountability Act 1997 and
Defence Act 1903) and natural justice. In particular, an
be independent to the process of command/management
ADR practitioner may need to consider or obtain advice
organize the venue, times and seating in a way that suits on whether:
all parties
the interests of third parties are appropriately protected,
not accept advances, offers or gifts from parties or at least not unnecessarily or unjustifiably threatened
Exhibiting lack of bias requires that the ADR practitioner the outcome is fair for both of the parties
disclose to all parties:
an agreement condones an illegal activity
any existing or prior relationship or contact between
an agreement is legally void or voidable
the ADR practitioner and any party;
an agreement should be referred to a delegate for a
any interest in the outcome of the particular dispute;
final decision
any likelihood of present or future conflicts of interest; and
any advice, agreement or decision involves unlawful or
unjustifiable discrimination.
TOOL 10 the issues through mediation, or if the mediator has
SAMPLE AGREEMENT TO reason to believe the parties are not mediating in good
MEDIATE TEMPLATE faith. The mediator will convey the reasons for termina-
tion to the parties.
PROTECTED B
9. In the event that no agreement is reached, or an agree-
AGREEMENT TO MEDIATE
ment is reached on some issues only, the mediator will
THIS IS AN AGREEMENT TO MEDIATE made on the provide a report stating that no agreement was reached
day of ____________________________________________________, on some or all of the outstanding issues.
BETWEEN: _______________________________________________ 10. The mediator is free to caucus with the parties individu-
ally at any time, in order to improve the chances of
AND _____________________________________________________
reaching a mediated settlement. The parties to the
The signing of this document is evidence of the agreement mediation may request an individual caucus with the
of the parties and the mediator to conduct this mediation mediator at any time. Any confidential information
process in a bona fide and forthright manner and to make revealed to the mediator during a caucus may only be
a serious attempt to resolve the outstanding matters. The disclosed to the other party with the disclosing party’s
parties wish to mediate these matters in accordance with express consent.
the following terms:
11. It is agreed that the mediator will not disclose the content
1. will, with the concurrence of the parties, serve of the discussions that took place during the mediation in
as mediator. any subsequent proceedings except
2. The mediator is a neutral facilitator who will assist the in accordance with the Queen’s Regulations and Orders,
parties to reach their own settlement. The mediator the law or where ordered to do so by judicial authority
does not offer any legal advice. The mediator has no
for research or educational purposes on an
duty to assert or protect the legal rights of any party, to
anonymous basis
raise any issue not raised by the parties themselves or
to determine who should participate in the mediation. to any person designated or retained by any party, as
deemed appropriate or necessary by the Mediator.
3. The parties agree to mediate the following:
12. The parties further agree never to sue personally,
4. The parties attending the mediation will have full,
subpoena or otherwise compel the mediator to testify
unqualified authority to reach a settlement in this matter
in any proceeding.
or, will have a mutually acceptable and rapid means of
obtaining the requisite authorization. 13. During the course of the mediation, the parties agree
to take no new steps in any legal action between them,
5. All information exchanged during this entire procedure
which concerns the same matter, as is subject of the
shall be regarded as “without prejudice” communications
mediation.
for the purpose of settlement negotiations. Subject to
the disclosure requirements of the Queen’s Regulations 14. It is agreed that where a settlement is reached in the dis-
and Orders, Access to Information Act, the Privacy Act, pute, the mediator will draft the terms of the settlement
and any other applicable law, the parties agree to keep unless the parties agree otherwise.
all information exchanged during the mediation
15. The mediation shall be held in (city), (province) at the
process confidential.
premises of the (location).
6. It is understood that in order for mediation to work,
I, ______________________________________________, consent to
open and honest communications are essential.
act as Mediator in accordance with the foregoing agreement.
7. Participation in the mediation process is voluntary. If
Parties sign here
either party refuses to mediate in good faith, or fails to
comply with the terms of this Agreement, the other party Date
may terminate the mediation.
PROTECTED B
8. The mediator may terminate the mediation at any time if
the mediator determines that it is not possible to resolve ___________________________________________________________
196 P A T H W A Y S
TOOL 11 The Parties:
SAMPLE MINUTES OF 7. Agree to maintain the Minutes of Settlement confidential
SETTLEMENT TEMPLATE except as required on a need-to-know basis, or for admin-
PROTECTED B istrative purposes, or as required by law.
MINUTES OF SETTLEMENT IN WITNESS WHEREOF the agreement has been executed
by their respective signatures.
BETWEEN: _______________________________________________
Captain A
Major B, in his Capacity as A’s Assisting Officer Dated at _______________________________ this ________ th day
AND of _________________________, ______________________________
Lieutenant-Colonel X
Her Majesty the Queen in Right of Canada, as represented by, ___________________________________________________________
Name of Lawyer, Captain A
Office of the DND/CF Legal Advisor, Claims and
Civil Litigation
___________________________________________________________
HAVING REGARD TO the decision of the parties to deal, Major B in his capacity as Assisting Officer to Captain A
by mediation, with the Grievance presented by Captain A
Lieutenant-Colonel X Agrees to:
___________________________________________________________
1. Clause 1 Lieutenant-Colonel X
2. Clause 2
3. Clause 3 ___________________________________________________________
Lawyer, D/Law Claims
Her Majesty the Queen in Right of Canada Agrees to:
4. Provide $1000.00 in the form of general damages to
Captain A upon Captain A’s withdrawal of his Redress PROTECTED B
of Grievance dated __________________________________
___________________________________________________________
5. It is expressly understood and expressly agreed that Her
Majesty the Queen in Right of Canada does not admit any
liability to Captain A by acceptance of these Minutes of
Settlement or by payment of the said sum of $1000.00.
Captain A Agrees to:
6. Withdraw his Redress of Grievance date _________________,
and release and forever discharge Her Majesty the Queen,
Her present and former officers, employees, servants and
agents from all manner of actions, causes of action, claims,
demands, complaints and grievances of whatsoever kind
or nature and which Captain A now has, ever had, or may
hereafter have against each and every one of them, sepa-
rately or jointly that originated from the processes and
events set out therein.
TOOL 12
ANNEX TO MINUTES OF
SETTLEMENT: FULL
SETTLEMENT OF GRIEVANCE
Sample Template—Annex to Minutes of Settlement:
Full Settlement of Grievance
Subject to receipt of (compensation, revised PER, promotion
notification etc), (Party A)
agrees to withdraw his/her grievance, DCFGA file 5000-12
TD xxxxxxx, and release and forever discharge Her Majesty
the Queen, Her present and former Officers, employees, ser-
vants and agents from all manner of actions, causes of action,
claims, demands, complaints and grievances of whatsoever
kind or nature and which (Party A) now has,
ever had, or may hereafter have against each and every one of
them, separately or jointly, that originated from the processes
and events in the grievance.
___________________________________________________________
(Party A signature)
___________________________________________________________
Dated:
___________________________________________________________
(Party B-Person authorized to take agreed action)
___________________________________________________________
Dated:
198 P A T H W A Y S
TOOL 13
ANNEX TO MINUTES OF
SETTLEMENT: PARTIAL
SETTLEMENT OF GRIEVANCE
Sample Template—Annex to Minutes of Settlement:
Partial Settlement of the Grievance
Subject to receipt of (compensation, revised PER, promotion
notification etc), (Party A)
agrees to withdraw those portions of his/her redress applica-
tion in DCFGA file 5000-12 TD xxxxxxx, that pertain to
__________________________________________________, namely:
___________________________________________________________
and __________________________________________________ and
agrees to release and forever discharge Her Majesty the
Queen, Her present and former Officers, employees, servants
and agents from all manner of actions, causes of action,
claims, demands, complaints and grievances of whatsoever
kind or nature and which (Party A) now has,
ever had, or may hereafter have against each and every one
of them, separately or jointly, that originated from the
processes and events in the grievance.
The member undertakes to advise DCFGA (or IA) in writing
of outstanding grievance items still sought. Upon receipt, the
grievance will be staffed to adjudicate the outstanding items.
___________________________________________________________
Party A signature
___________________________________________________________
(dated)
___________________________________________________________
Party B-Person authorized to take agreed action
___________________________________________________________
Dated:
TOOL 14 11. I would recommend mediation to others.
SAMPLE MEDIATION EVALUATION 12. Your comments on the mediation process
QUESTIONNAIRE
___________________________________________________________
Sample Mediation Evaluation Questionnaire
13. Was the mediation conducted in your (official) language
Evaluation of the Mediation Process and Mediator(s)
of choice? Yes or No
As part of the ongoing evaluation of Conflict Management
14. I decided to participate in this mediation because
across the DND/CF we are seeking your opinions on the
mediation process in which you participated and on the ___________________________________________________________
quality of service you received from the mediator(s). Only 15. Were minutes of settlement signed? Yes No
the information you provide in sections C and D will be (If yes go to question 17.)
shared with the mediator(s). Please use the return addressed
envelope provided. 16. If you answered no to question 15, was some progress
made that may help lead to an eventual agreement?
Section A: To be completed by mediator. Yes or No
1. The Centre sponsoring the conduct of this mediation- Section D: The Mediator(s)
2. Lead Mediator: ________________________________________ Using the following scale, rate your agreement with
Other: ________________________________________________ each statement.
Section B: For statistical purposes only, please complete strongly disagree

the following background information. disagree
3. Status—Military or Civilian neither disagree nor agree
4. Gender—Male or Female agree
5. First Official Language—English or French strongly agree
Section C: The Mediation Process 17. The mediator(s) was (were) fair and impartial.
Using the following scale, rate your agreement with 18. The mediator(s) provided a good explanation of the
each statement. process and ground rules.
strongly disagree 19. The mediator(s) helped everyone listen, communicate
disagree and stay focused on the process.
neither disagree nor agree 20. The mediator(s) was (were) able to clarify the important
issues and interests of the parties.
agree
21. The mediator(s) helped identify common and compatible
strongly agree
interests of the parties.
6. I received a good explanation about the process before
22. The mediator(s) facilitated the development of
participating in the mediation.
realistic options.
7. Whether the issues were resolved or not, this mediation
23. The mediator(s) dealt respectfully with all parties.
was worth the time and effort.
24. I was satisfied with the drafting of the minutes of
8. I understand the other party’s (parties’) perspective better
settlement (if not applicable, leave blank).
as a result of the mediation.
25. The mediator(s) acted in accordance with the guidelines
9. The other party(ies) understand(s) my perspective better
supplied in the handout prior to the mediation.
as a result of the mediation.
26. Your comments on the mediator(s):
10. The facilities used for the mediation were appropriate.
THANK YOU FOR YOUR FEEDBACK
200 P A T H W A Y S
TOOL 15 9. Shift the focus from the past to future
MODEL—MEDIATION FACT SHEET 10. Shift the focus from one of blame to a creative exchange
What is mediation? between the parties
It is a process in which an impartial third party (the media- 11. Propose solutions that meet the fundamental interests
tor) facilitates communication between disputing parties and of all parties.
assists them to voluntarily reach, on their own, a mutually What happens during mediation?
acceptable resolution to the conflict.
The process of mediation involves a series of six activities:
Who will choose the Mediator?
1. Pre-mediation
Mediation is a voluntary process. One of its advantages
is the control given to the parties to select the mediator. Prior to mediation session, the mediator will usually contact
the parties on an individual basis. This initial contact can be
Who will participate in the mediation session? done either by phone or by a face-to-face meeting. This first
Usually, the parties that are in conflict will be at the table. contact has different purposes. Initially, it allows for an intro-
Occasionally, other interested parties might also be requested duction of the mediator and provides an opportunity for the
to participate. It is a case-by-case approach when it comes to mediator to explain the mediation process to the parties.
decide who should be attending. Further, it provides an opportunity for the parties to explain
to the mediator the dynamics of the conflict. At the end of
What types of cases are suitable to mediation?
this initial contact, the mediator will get a commitment from
Interpersonal relationship issues, personal harassment, abuse all parties to attempt to resolve the outstanding issue(s) by
of authority, discrimination, sexual harassment, performance mediation.
evaluation, discipline and application of various policies are
2. Joint or individual session
some examples of cases that can be mediated.
Having had an opportunity to discuss the situation with the
What is the role of a Mediator?
parties, the mediator will be in a position to determine with
The role of the mediator varies depending on the personali- them as to how to proceed. At least three options can be
ties of the people involved, mandate given to the mediator by presented to the parties: 1) a joint session which will involve
the parties, and the degree of emotions present at mediation. all parties at the table at the same time or; 2) separating the
This results in a spectrum ranging from a mediator who is parties in different rooms or; 3) a combination of both. The
completely neutral and value-free; to a mediator who takes combination is most commonly used. Further, and before
a more active role in shaping the eventual outcome. The proceeding, the parties will be requested to sign a mediation
latter borders on mediator as advisor. Regardless of what agreement. It is a very simple document that details the rules
techniques are used by the mediator to assist the parties which will guide the process. Here are some examples: one
in reaching a solution, the mediator is not empowered to person will speak at one time; respect and civility; open and
render a decision. honest communications; confidentiality i.e. what is said
during the process remains within the process. Other
In various situations, the mediator may attempt to:
guidelines can be suggested by the parties.
1. Encourage exchanges of information
3. Understanding the issue(s)
2. Help the parties understand each other’s view
Upon the agreement of the parties, the mediator will usually
3. Let the parties know that their concerns are understood ask the person who requested the mediation or the com-
plainant to open the discussions with a brief description of
4. Promote a productive level of emotional expression
the issues or a statement. As part of the process, the mediator
5. Identify and narrow issues has to ensure fairness. Each party will have an opportunity
6. Help parties realistically evaluate alternatives to settlement to present their side of the story. During these various
presentations issues will be identified. The parties and the
7. Suggest that the parties take breaks when negotiations mediator will then be able to ask questions or clarify issues
reach an impasse with an objective to identify the needs and interests of each
8. Encourage flexibility and creativity party to resolve the case.
4. Generating options 6. Drafting an agreement and its implementation
The generation of options is usually conducted in two The practice has been that the mediator will draft the
phases. The first phase is a brainstorming session. During this terms of settlement unless the parties agree otherwise.
session, all parties are requested to generate as many options While drafting the agreement, the mediator will ensure that
as possible with a view to resolve the case. The second phase the parties identify who is suppose to do what, who needs
will be to evaluate these options. Each option submitted to be involved in the implementation of the agreement and
will be evaluated by the parties. They will determine which how it will be done. After careful review of the terms of set-
options are viable and which ones meet their needs and tlement, the parties will be requested to sign the agreement.
interests. Further negotiations may also result in the Each party will have a copy. The signing of the terms of
creation of additional options. settlement legally binds the parties. It is considered to be a
valid contract between the parties. Each party will receive
5. Reaching commitment
a copy of the terms of settlement. The mediator will keep a
This task is one of the most critical aspects of the mediation copy for the Executive Director Conflict Management
process. From the evaluation of the options, parties will put Office’s file.
together the foundation of a potential agreement. They will
assess the viability of these options, will determine if they
satisfy their needs and meet their interests. Upon a review
of the options, the parties will embark on a final negotiation
and an agreement will be reached.
202 P A T H W A Y S
TOOL 16 e. Bring the engagement to completion
THE SKILL SETS OF ADR INSTITUTE – has a good understanding of closure techniques and
CHARTER MEDIATORS the settlement process
(Note: this is drawn directly from material published by ADR
– understands the importance of working co-operatively
Institute of Canada. See www.adrinstitute.ca)
to draft the memorandum of understanding/settlement
Administrative agreement
Organize and conduct the practice of mediation in an – submits fee billing in accordance with terms of
efficient and effective manner engagement or within a reasonable time
a. Organize and maintain office systems Procedural
– appointment system Recognize the nature of the dispute and establish clear
understandings, concerning the process, with and between
– correspondence system
the parties
– engagement file system with monitoring feature
a. Determine legitimacy and jurisdiction
b. Work within the system/rules governing the accepting
– reviews contracts between the parties (if they exist)
and handling of engagements
– ensures the issues in dispute are covered by the
– records details of appointment (terms, conditions
mediation clause or are suitable for mediation
and fee)
– determines that he/she possesses adequate knowledge
– confirms appointment in writing (engagement letter
of the business or industry encompassing the dispute
or contract)
– ensures there is no reason for parties to challenge
– ensures all pertinent correspondence, sent and received,
the appointment
is provided to both parties
– ensures that the appointment is not inconsistent
– demonstrates a clear understanding of the applicable
with the applicable laws or institutional rules
Rules and Ethics
b. Establish clear understandings
c. Allocate time, effort and other resources
– clearly explains the role of the mediator
– expeditiously reviews and deals with documents and
information received – clearly defines and explains the mediation process
– develops an overall perspective of the engagement – emphasizes the “mutually agreed to solution principle”
– draws up timetable for dealing with preparatory matters – emphasizes the “rights of the parties to withdraw”
and conduct of the mediation
– emphasizes the “confidentiality principle” and explains
d. Organize the required needs of the mediation its limitations
– adequacy of session room to accommodate the parties – determines that those persons, who hold the decision
and others making power, will be at the table
– capability to provide privacy for private consultations – reviews the engagement letter/agreement to mediate
and caucusing
– in cooperation with the parties, estimates time that
– suitability of the location in terms of minimizing will be required for the mediation
external distractions or interruptions
– formalizes the engagement in writing
– capability of session accommodation facility to meet
special needs of participants
c. Supervise the preliminary meeting b. Listen effectively
– supervises conduct of the meeting – listens to both parties in a passive and active manner
– explains the purpose and content of the meeting – exhibits an understanding of the importance of body
language to the listening process
– brings the parties to agreement on procedural matters
– intervenes selectively to obtain clarification, assist in
d. Deal with preliminary matters
understanding or maintain order
– holds preliminary meeting if required or requested
– exhibits patience and does not interrupt except in
– provides assistance to the parties in preparing for the most serious circumstances
the mediation
c. Speak effectively
– determines if legal counsel, witnesses, experts or
– uses clear diction and collateral body language
other parties will be involved
– asks succinct questions when necessary
– ensures all parties have a clear understanding of
how the mediation session will be conducted and – is direct but not intimidating
settlement effected
– speaks in a clear audible voice
– ensures all necessary procedural steps have
– uses simple language
been completed
– utilizes terminology that is common to the
Relationship
parties’ industry
Instil and maintain a positive relationship and
d. Maintain a conducive atmosphere during the session
good communication
– uses civil language
a. Maintain a positive relationship
– permits humor which is beneficial to the process
– acts with courtesy, respect and patience and encourages
the parties to do the same – displays understanding of the factual material
and submissions
– separates mediator’s personal values from issues
of the mediation – puts parties and witnesses/collaborating presenters
at ease
– earns trust
– avoids distracting body movements or facial expressions
– builds rapport
– discourages an excessively adversarial climate
– compliments progressive behavior
– shows empathy
– indicates empathy for the issues
– does not pre-judge the parties on the issues
– is modest in attitude held towards others
– exhibits sensitivity to strongly held values of
the disputants, including ethnic, gender and
cultural differences
– devotes appropriate care and attention towards
the parties
204 P A T H W A Y S
Facilitation d. Organize and analyze data
Ability to conduct the mediation session using fair, flexible – develops an overall perspective of the engagement
and effective procedures, skills, and techniques
– understands the sequence and nature of events
a. Conduct a fair session contributing to the dispute
– maintains neutrality and impartiality – exhibits the ability to deal with complex factual material
– understands the nature of power imbalances and – organizes data into a logical library format
how to deal with them
– determines the most effective and efficient way to utilize
– treats parties fairly and equally the data to complement the mediation process
– preserves parties’ autonomy – utilizes ancillary tools such as flip charts and white
boards to assist understanding
– allows each party an opportunity to examine
witnesses/collaborating presenters e. Deal with the issues
– allows parties to make objections and respond – possesses an adequate knowledge of the business/
fully to objections industry related to the dispute
– allows parties adequate time to deal with surprises – assists the parties to clarify and identify the issues
– deals expeditiously with parties’ questions on – isolates those issues that are of no or little relevance
procedural matters
– separates the parties claims and issues
– keeps interruptions to a minimum
– assists the parties to establish an objective
– imparts and encourages courtesy and respect methodology to evaluate claims
– accepts criticism in a constructive manner – reconstructs the issues in terms that will
assist understanding
b. Promote an assertive tone
– screens out non-mediable issues
– speaks in an assertive manner
f. Surface needs and interests
– encourages the parties to conduct themselves in an
assertive manner – exhibits an understanding of the importance of
surfacing needs and interest and
– assists the deliberations by rephrasing accusatory or
aggressive statements into an assertive form – conveys this importance to the parties
c. Deal with high emotion – exhibits an ability to identify symptoms
– recognizes the need for and advantage of venting – asks probing questions directed to uncover potential
needs and interests
– calls a recess to diffuse negative circumstances
of high emotion – asks open ended questions directed to uncover
potential needs and interests
– holds a caucus to deal with severe negative
circumstances of high emotion – encourages candid responses
– holds caucuses focused on uncovering needs
and interests
g. Advance the process h. Bring closure and achieve settlement
– empowers the parties to own and actively participate – recognizes the optimum moment when the parties
in the process express a desire to deal/compromise
– separates the people from the problem – assists the parties to bargain a solution
– assists parties to maintain focus and momentum – utilizes appropriate tools and techniques to
achieve closure
– assists the parties to evaluate submissions and
the relevant material – assists the parties to move from closure to settlement
– is open and flexible to suggestions and ideas – assists the parties to assess whether their proposed
presented by the parties settlement terms can be implemented
– assists the parties to generate creative options – assists the parties/their advisors to draft their
memorandum of understanding /settlement agreement
– assists the parties to evaluate their positions using
BATNA’s and Reality Checks
– assists parties to make their own informed choices
– utilizes appropriate tools and techniques to break
impasse, achieve understanding and steer the
process to settlement
206 P A T H W A Y S
TOOL 17 Related Learning Objectives:
SAMPLE: SPEAKING NOTES LO 401, LO 403
TO COURSE INSTRUCTORS Teaching Points:
An example of the speaking notes provided to course
1. Response Options
instructors. This example applies to the learning objec-
tives related to conflict theory and the DR spectrum. 2. Approaches to Conflict
EXAMPLE: 3. Focus on Interests
DR Spectrum Overview 4. ADR Continuum/Spectrum
Time: 30 Min 5. ADR Toolbox
Objective: To provide a refresher on basic conflict theory and

the DR spectrum
Speaking Notes
SLIDE # SPEAKING POINTS
34 In this segment we will talk about some of the different response options people typically use when dealing
with conflict. As well, we will discuss various approaches to conflict and finally revisit the ADR continuum
or spectrum. This model is drawn from an instrument developed by Thomas and Kilmann.
35 – 37 Speak to slide
38 Interests are the focal point of “Interest Based Negotiation”. Most people will typically start out in a positional
approach. The objective in IBN is to get people to consider the interests or the “why” behind positions. In most
negotiations there will be some overlap of interests which may serve as a stating point for discussion.
39 So…as shown on this slide, we want to try and focus on the interests.
40 This slide should be familiar to you. As you can see, the self-help bubble is where negotiation is foremost.
Notwithstanding, negotiation plays a major role in prevention and mediation functions as well.
41 This slide gets into a little more detail as to what processes are available to ADR practitioners. Speak to slide.
Supplementary information as shown in the example below The dotted arrow between the interest and rights based
was also provided as guidance to instructors to indicate key processes means that a party can move between the two
points to be emphasized. processes with their complaint, but not at the same time.
DR Spectrum Overview Supplementary Notes Example: A person decides to file a grievance. Once the
grievance is in the system it is essentially out of the hands of
Systems Approach
the party. The party may opt to use mediation as a vehicle to
Emphasize that in order for a DR initiative to be effective, resolve the grievance. In order to do so, the party must agree
it must be implemented using a systems approach that to hold the grievance in abeyance until the interest based
aligns with, among other things, the ethics and values process is complete. Similarly, if a party chooses an interest-
of the organization. based process but finds that it is not working, they may at
Discuss multi-option multi access and the follow-on any time elect to file a grievance. AT NO TIME WILL TWO
to EDCM. PROCESSES BE UNDERWAY AT THE SAME TIME FOR
THE SAME ISSUE.
Discuss the features of the DND/CF DRS with a focus on the
reinforcement of the chain of command and the supporting Integrated CM System
of union roles, structures and processes and how the DRS The idea of this slide is to show how it all fits together. It is a
cannot be a stand-alone initiative and must be integrated road map. Walk through it briefly and do not spend a lot of
with new and existing processes. time on it at this point in time.
Generic Dispute Conflict Theory
Walk through the Generic Dispute Resolution System. Discuss the definition of conflict and the difference between
Take a sample party with concern and show how the party conflict and dispute. Discuss what conflict can do and
has several options; to approach the other party involved the costs of poorly managed conflict. Briefly mention the
(self help), contact the local DR Centre or to use an 5 response options as they will be discussed in detail with
existing access point. the Kilmann review. Discuss the Power, Rights and Interest
Other Party Based approaches with the focus on moving to interests.
If the other party is contacted and the issue was resolved, ADR Continuum
there is no further need to do anything else. Note that it is also referred to as a “spectrum.” Begin with the
DR Centre focus on prevention being the preferred option. Given that
prevention is not always possible, the next choice would be
If the DR Centre (DRC) is contacted, the person at the DRC to encourage people to handle their own issues through the
will assist the party with the concern to generate a number negotiation process. If that fails then a third party neutral
of options available to them. The DRC will make every effort (mediator) may be called to assist. Finally if none of the
to try and keep the dispute within the chain of command previous options work, then a person with decision-making
while at the same time respecting the party’s concerns of authority would decide the outcome of the dispute. The
confidentiality. IT MUST BE UNDERSTOOD THAT THE “Tools” slide is merely an expansion of the previous slide.
DRC IS NOT AN ADVOCATE FOR COMPLAINANTS,
THEY ARE THERE TO HELP THEM SELECT THEIR In order for DR processes to be successful, they need to
OWN PROCESS. The DRC may offer options in include skills, a system within which to practise those skills
rights-based or interest-based processes. and then finally the fundamental component of the pillars
is leadership, and that means leadership at all levels, and
Existing Access Points everyone is a leader in some capacity.
These are means that may be used by a party to resolve their
concerns. Existing rights based processes, such as grievances,
harassment complaints etc may be used. Alternatively the
party may choose an interest based process such as mediation.
208 P A T H W A Y S
TOOL 18
COURSE OUTLINE: MEDIATOR’S
QUALIFICATION PROGRAM, PHASE L
O U T L I N E O F T H E M E D I ATO R ’ S Q UA L I F I C AT I O N P R O G R A M ( M Q P ) C O U R S E — P H A S E 1
LO#* DESCRIPTION TEACHING POINTS HOURS COMMENTS
401 Understand relevant Treasury Board policies, CFAO 1.25 There may be some local
Gov’t/DND/CF policies and 19-34 (harassment), CPAO 7.14, policies that apply here and
procedures and legal framework. Grievance CFAO/CPAO 7.07, they should be included.
CHRA, ATIP, CBA,MPCC regs, Guest lecturers may be used.
PSP policies.
402 Understand the DR Spectrum Definitions of Conflict and 1.5 Participants should self
Dispute, Sources of Conflict administer the Kilmann
(hot 3), Costs of Conflict, Kilman test prior to arrival
Model (5 types), Positions vs
Interests, Rights Based Approach,
Power Based Approach, Interest
Based Approach, Spectrum to
include: Prevention, Self Help,
Coaching, Counselling, interest
based, Negotiation Mediation.
403 Understand Effective What is Neutrality, Creating a safe, 2.75

Communicating Skills neutral environment, Understand
concepts of: impartiality, respect,
being impersonal, empathy,
Understand open and closed
questioning techniques, Give
neutral feedback (reflect, correct
misunderstandings, identify
issues), Understand the effects of
body language to include: positive/
negative, own, others, Understand
things to avoid: jumping to con-
clusions, rushing to judgement,
giving unwanted advice, changing
subject, talking about yourself.
Understand Listening Skills,
Understand framing/reframing
404 Demonstrate Effective Create safe environment (intro- This is a practical exercise.
Communicating Skills ductions, welcome), Demonstrate Include under LO 403.
appropriate body language,
use appropriate questioning
techniques, Demonstrate
respect, empathy, understanding.
Demonstrate effective listening
skills, Demonstrate framing/
reframing.
405 Describe the Key Processes in Describe the main components 1.5
the DR Spectrum (prevention, self, other), Describe
prevention (defns, trg, education,
awareness), Describe Self Help
(defns, communication, empathy,
collaboration), Describe Coaching
(defn, advisory vs reflective, tech-
niques, executive coaching, peer
coaching), Describe Counselling
(defn, limitations, when to refer
to a professional), Describe
Negotiation (defn, 7 steps, when
to use, difference between negotia-
tion and mediation), Describe
Mediation (defn, when to use/not
use, principles, conditions for
mediation), Describe Arbitration
(defn, when to use, principles,
difference between arbitration/
mediation) Describe Group
process (consensus building)
406 Describe the Interest-Based Understand various approaches 3.5

Negotiation Process to negotiation (relationships,
problem-solvers, fairness,
substantive results, avoiders),
Describe negotiation styles
(competitive, cooperative, princi-
pled), Understand the 7 elements
of IBN (alternatives (BATNA),
Interests, Options, Legitimacy,
Communication, Relationship,
Commitment), Understand tactics
for dealing with difficult people
(steamrolling, assumptions, guilt,
emotions, positions), Understand
how to move from positions to
interests (defns, obtain clarification,
look at other points of view)
210 P A T H W A Y S
407 Conduct Interest-Based Use 7 Elements, Conduct role This will be part of LO 406
Negotiations plays, Conduct debrief
408 Understand the Mediation Know the benefits of mediation 28.5

Process (parties own solution, parties
feel heard, focus on interests, less
expensive, fast, confidential).
Understand the need for effective
communication skills. Know the
limitations of mediation (not
for all, requires good faith and
commitment, unfamiliar to
some). Understand the need for
pre-mediation assessment (is
case appropriate, prepare parties,
logistic requirements). Know the
mediation process (prep, establish
guidelines, define issues, explore
interests, generate options,
commit, follow up). Understand
Ethics and Code of Conduct for
Mediators. Understand how to
convene a mediation. Understand
mediation styles and approaches.
Define a successful mediation.
Understand power imbalances.
Understand how to deal with
emotions. Understand how to
deal with anger. Understand
how to deal with values
* LO = Learning Objective
TOOL 19
MEDIATOR ASSESSMENT FORM
M E D I ATO R A S S E S S M E N T F O R M
Individual elements are scored on a scale of 1 to 5, with 1 being unsatisfactory, 3 being satisfactory and 5 highly satisfactory.
1. Pre-mediation
a. explanation of process 1 2 3 4 5
b. explanation of roles and responsibilities 1 2 3 4 5
2. Understanding of 5 stages of mediation 1 2 3 4 5
3. Introduction of participants and process 1 2 3 4 5
4. Explanation of Confidentiality 1 2 3 4 5
5. Confirmation of Authority to Settle 1 2 3 4 5
6. Communication Skills
a. active listening 1 2 3 4 5
b. reframing 1 2 3 4 5
c. paraphrasing 1 2 3 4 5
d. managing speaking time 1 2 3 4 5
e. positive and future focused 1 2 3 4 5
7. Clarification of Issues 1 2 3 4 5
8. Identification of Interests 1 2 3 4 5
9. Generate and Explore Options 1 2 3 4 5
212 P A T H W A Y S
10. Effectiveness of Transition between stages 1 2 3 4 5
11. Listening Skills 1 2 3 4 5
12. Demonstration of Empathy 1 2 3 4 5
13. Overall Assessment of Mediator’s Performance 1 2 3 4 5
TOTAL SCORE: /90 Unsatisfactory Satisfactory Highly Satisfactory (circle one)

Highly Sat: 70–90
Unsat: < 54
To reach the total score out of 90, add the circled scores in each category.
TOOL 20
SAMPLE MQP QUALIFICATION
MEMORANDUM
Sample copy of the MQP Qualification Memorandum
1000-5 (EDCM 8)
Date
Distribution List
MEDIATOR QUALIFICATION
PROGRAM (MQP)—QUALIFICATION AWARD
1. As the Departmental Authority on Alternate Dispute Resolution (ADR), it is a pleasure to hereby award you the
Mediator Qualification as of XXXXXX .
2. You are invited to work closely with your local Dispute Resolution Centre (DRC) as this organisation provides profes-
sional development opportunities, co-mediations and eventually, the opportunity to work more independently. As a
qualified mediator of the Conflict Management Program, I invite you to participate fully in promoting ADR as an
effective means of resolving our workplace conflicts. As mentioned during the qualification program, you can only
carry out ADR interventions when assigned to a case by your DRC.
3. To keep qualification code 07934 active, you must perform a minimum of two DRC-sponsored ADR interventions
every two years.
4. Your qualification records will be amended by my office through the Individual Training Management Information
System (ITMIS) in order to reflect this qualification.
5. Should you have any questions, please contact the DGCMP Training and Development Manager through your
local DRC.
Director General,
Conflict Management Program
Distribution List
Member
Member’s CO1000-5 (DEGC 8)
214 P A T H W A Y S
G L O S S A R Y O F T E R M S
A N D A C R O N Y M S
ACR Association for Conflict Resolution (formerly Society of Professionals in Dispute Resolution [SPIDR]).
ADF Australian Defence Force.
ADM Assistant Deputy Minister.
ADR See alternative dispute resolution.
Alternative any process used to resolve disputes other than rights-based processes. It includes methods for preventing
Dispute conflict, coaching, negotiation (self- help), mediation (third party neutral assistance) and neutral evaluation.
Resolution
Arbitration Arbitration involves a neutral person (or a panel of neutral persons) rendering a decision/opinion after
hearing each party’s presentation of evidence and argument. Parties agree in advance whether or not the
decision is binding or non-binding.
AS Public Service Administrative Services Group.
BATNA Best Alternative To a Negotiated Agreement.
CANFORGEN Canadian Forces General Message.
CAS Chief of the Land Staff.
CCMD Canadian Centre for Management Development.
CCRA Canada Customs and Revenue Agency.
CDS Chief of the Defence Staff.
CFGB Canadian Forces Grievance Board.
CFPSA Canadian Forces Personnel Support Agency.
CFRETS Canadian Forces Recruiting, Education and Training System.
CLS Chief of the Land Staff.
CMG Conflict Management Group.
CMP conflict management project/program.
CMS Chief of the Maritime Staff.
CMS See conflict management system.
Coaching a process designed to provide parties in a dispute with confidential, one-on-one assistance in the resolution
of the dispute. A coach is not a representative for the party, but rather a person who helps the party develop
skills and confidence to use interest-based approaches such as self-help in the resolution of their dispute.
Coaching can occur at different points in a dispute. It can be sought at the beginning to promote a negotia-
tion between the parties or it can be used when a resolution process such as a mediation is underway.
G L O S S A R Y O F T E R M S A N D A C R O N Y M S 215
Conflict the process and condition of dissatisfaction, which is often viewed as a general state of negative feelings.
It is broader in nature than a dispute and occurs where two or more individuals perceive that they have
competing interests.
Conflict a comprehensive, broad-based approach to the prevention, identification and resolution of workplace
management disputes. It is:
system Integrated: Rights- and interest-based dispute resolution activities and institutions are linked in a
coherent, “whole” system, with a logical “flow” or sequencing (like a road map) with loop-back properties.
Systematic: A logical and progressive series of steps or stages, each with a clearly defined set of
procedures, forms the process.
Institutionalized: Processes, practices and support structures are operational. They are known,
understood, accepted and used.
Convening a process where a neutral person (the convenor or mediator) undertakes to determine if parties have an
interest in attempting to resolve their issue(s) by using the most appropriate ADR process. The convenor
identifies the issues and parties having an interest in the dispute and often serves to inform/educate parties
as to their ADR options.
CR Public Service Clerical and Regulatory Group.
DADRCM Director of Alternative Dispute Resolution and Conflict Management.
DAODs Defence Administrative Orders and Directives.
DCFGA Director Canadian Forces Grievance Administration.
DGCMP Director General Conflict Management Program.
DGER Director General Employee Relations.
Dispute the outcome of unresolved conflict. It is a manifestation or subset of conflict and requires resolution. It often
occurs when people disagree on facts.
Dispute a systematic approach focusing primarily on the resolution of disputes.
resolution
system
DM Deputy Minister.
DND/CF the Department of National Defence and the Canadian Forces.
DR dispute resolution.
DRC dispute resolution centre.
DRS See dispute resolution system.
EAP/MAP Employee Assistance Program/Member Assistance Program.
EDCM Executive Director Conflict Management (at DND/CF).
EX Public Service Executive Group.
Facilitation procedural assistance to enable participants to communicate more effectively and move towards agreement.
The facilitator is an impartial “process manager” and can help parties communicate in a structured way,
following an agenda and an agreed-upon process. It can be used in small or large group settings.
216 P A T H W A Y S
FAQS frequently asked questions.
FDW facilitated design workshops.
Grievance a legislated right available to employees and members that provides them with a redress mechanism to
formally resolve complaints. It is considered a rights-based process.
Grievance a procedure (agreed to by the organization) through which employees seek redress of complaints.
procedure
HR human resources.
IBEW International Brotherhood of Electrical Workers.
IBN See interest-based negotiation.
Impartial anyone who is external to a dispute and who holds no personal stake in the outcome. The role of the
third party impartial third party is to help the disputants identify issues and enable them to come to a resolution.
Mediators, facilitators, arbitrators and judges are examples of impartial third parties.
Interest-based (also known as “principled negotiation”)—a process in which parties focus on their underlying interests
negotiation (e.g. concerns, hopes, expectations, assumptions, priorities, beliefs, fears, values) rather than on their
positions, in an attempt to understand what is really important to the other party, and propose options
to meet as many interests as possible. It is often considered a means of self-help.
ITMIS Individual Training Management Information System.
JAG Judge Advocate General.
Kilmann Thomas-Kilmann Conflict Mode Instrument (conflict management assessment/tests).
MARLANT Maritime Forces Atlantic.
Mediation a voluntary process in which an impartial third party assists disputants to negotiate a mutually acceptable
solution to their issue(s). The mediator must be acceptable to all parties and has no decision-making power.
In DND/CF, a mediation is defined as a process that involves the signing of an Agreement to Mediate and if
a resolution is reached, the signing of Minutes of Settlement.
MPCC Military Police Complaints Commission.
MQP mediator qualification program.
NCR National Capital Region
Neutral anyone who is external to a dispute and who holds no personal stake in the outcome. The role of a neutral
third party third party is to help the disputants identify issues and enable them to come to a resolution. Mediators,
facilitators, arbitrators and judges are examples of a neutral third party.
NPF Non Public Funds.
OD organization development.
PIPS Professional Institute of the Public Service of Canada.
PSSRB Public Service Staff Relations Board.
PWGSC Public Works and Government Services Canada.
G L O S S A R Y O F T E R M S A N D A C R O N Y M S 217
Q&As questions and answers.
QR&Os Queen’s Regulations and Orders for the Canadian Forces.
RFP request for proposal.
Rights-based any process for resolving a dispute where control over the outcome is given to a decision maker. Within
processes DND/CF these include such mechanisms as harassment complaints, military and civilian grievances,
summary trials and courts martial.
SCONDVA Standing Committee on National Defence and Veterans Affairs.
SHARP Standards for Harassment and Racism Prevention.
SPIDR Society of Professionals in Dispute Resolution (now Association for Conflict Resolution [ACR]).
Stakeholder any person or group of persons who have a stake in the outcome of a dispute. They may be directly
or indirectly affected.
UNDE Union of National Defence Employees.
WATNA Worst Alternative To a Negotiated Agreement.
218 P A T H W A Y S
R E C O M M E N D E D R E F E R E N C E S
A N D W E B S I T E S
SELECT SYSTEMS DESIGN REFERENCES SELECT WEB SITES
Administrative Conference of the United States, (1995), ABA Section of Dispute Resolution
Dispute Systems Design Working Group, Evaluating ADR http://www.abanet.org/dispute
Programs: A Handbook for Federal Agencies, Washington,
ADR Institute of Canada
DC: Administrative Conference of the United States.
http://www.adrcanada.ca/
British Columbia Ministry of Attorney General, Justices
American Arbitration Association
Services Branch, Reaching Resolution: A Guide to Designing
http://www.adr.org/
Public Sector Dispute Resolution Systems, Victoria, BC: BC
Ministry of Attorney General, Justices Services Branch, 2003. Association for Conflict Resolution
Available online at http://www.ag.gov.bc.ca/dro/publica- http://www.acresolution.org/
tions/guides/design.pdf Center for Analysis of ADR Systems
Costantino, C.A. and C.S. Merchant, Designing Conflict http://www.caadrs.org/
Management Systems: A Guide to Creating Productive Conflict Resolution and Information Network
and Healthy Organizations, San Francisco: Jossey Bass http://www.crinfo.org/
Publishers, 1996.
Conflict Resolution Network Canada
Dictionary of Conflict Resolution, compiled and edited by http://www.crnetwork.ca/
Douglas H. Yarn, San Francisco: Jossey-Bass, 1999.
CPR Institute for Dispute Resolution
Lipsky, David B., Ronald L. Seeber and Richard D. Fincher, http://www.cpradr.org/
Emerging Systems for Managing Workplace Conflict: Lessons
from American Corporations for Managers and Dispute Mediation Information and Resource Center
Resolution Professionals, San Francisco: Jossey-Bass, 2003. http://www.mediate.com/
Slaikeu, Karl A. and Ralph H. Hasson, Controlling the Costs of National Arbitration Forum
Conflict: How to Design a System for Your Organization, San http://www.arbitration-forum.com/
Francisco, CA: Jossey-Bass Publishers, 1998. National Association For Community Mediation
Stitt, Allan J, Alternative Dispute Resolution for Organizations: http://www.nafcm.org/
How to Design a System for Effective Conflict Resolution, Network of Communities for Peacemaking and
Toronto: John Wiley & Sons Ltd., 1998. Conflict Resolution
Ury, William, J.M. Brett and S.B. Goldberg, Getting Disputes http://www.apeacemaker.net/
Resolved: Designing Systems to Cut the Costs of Conflict, San Ombudsman Association
Francisco, CA: Jossey-Bass Publishers, 1988. http://www.ombuds-toa.org/
US General Accounting Office, ADR: Employers’ Experience Policy Consensus Initiative
with ADR in the Workplace, (Report GAO/GGD-97-157), http://www.policyconsensus.org/
Washington, DC: GAO, 1997.
U.S. Department of Justice Office of Dispute Resolution
A detailed bibliography can be found at http://www.usdoj.gov/adr/
http://www.peacemakers.ca/bibliography/bibintro99.html
Victim Offender Mediation Association
http://www.voma.org/
R E C O M M E N D E D R E F E R E N C E S A N D W E B S I T E S 219

Towards A Conflict Competent Organization

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Towards A Conflict Competent Organization

Uploaded by

Copyright:

Available Formats

P A T H W A Y S

Author: Peter Sterne

Copyright © Department of National Defence, 2004

Chapter 1—Making A Case For A Conflict Management System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Chapter 3—Getting Going . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Chapter 5—Testing Models And Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

Chapter 6—Communications Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

Chapter 7—System Integration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64

Chapter 9—Coaching For Conflict Competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

Chapter 11—Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112

Chapter 12—National Rollout: Organization And Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128

Glossary of Terms and Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

Recommended References and Web Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219

C H A P T E R 1 existent or broken, they are hard-pressed to initiate

Central to most high-quality CMSs is the implementation

COSTS SATISFACTION RELATIONSHIP RECURRENCE

In such instances I ask the organization’s representatives to “SELLING” A CMS TO

C H A P T E R 2 the tires” and making choices that will serve you

Nova Scotia Joint Career Transition Committee/Learning

Although it was useful to review systems in private sector

C H A P T E R 3 tages of ADR, which often prompts participants

OPTION ADVANTAGES DISADVANTAGES

External Is more cost-effective, especially in the May be seen as an “outsider.”

Combination Provides greatest flexibility in system

Policies around grievances, harassment complaints and the

9. Conflict management skills and commensurate obligations

C H A P T E R 4 In Chapter one I spoke of the need for proponents

U N I O N I N V O LV E M E N T I N T H E C M P membership on the CMP Steering Committee

C H A P T E R 5 system designers and ADR practitioners can assess

TESTING KEY LEARNING

MOVING FROM CON-

An agreement was concluded by cellphone, while crossing SELECT CASE MEDIATION

ENSURE THAT SITES IT IS USEFUL TO INITIATE

workshop guidelines and objectives Designing the organization’s system

Concepts situation assessment

conflict—traditional and non-traditional views, dispute determination of attitudes and behaviours

T H E P I L OT S I T E I N I T I AT I V E The Land Staff designated the Edmonton Base as its choice.

C H A P T E R 6 organization. Their interest, expertise and core

External Is dedicated to client’s needs Is more expensive

Principles guiding a suitable communications initiative. – pilot project impacts

– Ensure information is directed to the appropriate project initiation

A detailed description of the Web sites created for the

C H A P T E R 7 incorporate several different ways of dealing

INTEGRATED institutions (organizational units whose mandates relate

TOWARD A CONFLICT behaviours.

Their ways of dealing with conflict may be formal or informal

ENSURE THAT POLICIES

ENSURE THAT THE

KEY LEARNING THE INTEGRATED CMS MODEL

AVOIDANCE INTEREST-BASED EAP/MAP CO RIGHTS-BASED

Civ Grievance Process Harassment Ombudsman

RESOLUTION: NO RESOLUTION: CO or CO or Human Rights

DCFGA (CDS) DCFGA (CDS)

THE… HAS/HAVE THE AUTHORITY TO…

Director General Conflict approve ADR procedures;

SOURCE REFERENCES DAOD 5012-0, Harassment Prevention and Resolution

ALIGNMENT WITH DND/CF BEHAVIOURS

C H A P T E R 8 the nature and scope of mediation. If confusion

In some cases the existence of a parallel culture can further

welcomes and encourages the parties;

attends to the signing of the mediation agreement using brainstorming techniques;

outlining the sequence for the handling of the issues.

It was not resolved and is therefore referred to the