DEPARTMENT OF THE NAVY

OFFICE OF THE SECRETARY

1000 NAVY PENTAGON

WASHINGTON, D.C. 20350-1000

SECNAVINST 5800,13A

OGC

SECNAV INSTRUCTION 5800.13A

From: Secretary of the Navy

DEC 22 2005

Subj: ALTERNATIVE DISPUTE RESOLUTION (ADR) POLICY AND

MISSION OF THE DON ADR PROGRAM OFFICE

Ref: (a) Administrative Dispute Resolution Act of 1996

(b) DOD Directive 5145.5 of 22 Apr 96

(c) SECNAVINST 5430.25E

(d) SECNAVINST 5215.1D

(e) Federal Acquisition Regulations Part 33

(f) E.O. 12988

(g) EEOC Management Directives MD-110 and MD-715

(h) E.O. 12979

(i) Civilian Human Resources Manual, Subchapter 773

(j) 5 U. S. C. 7121

1. Purpose. This instruction provides a comprehensive

Department of the Navy (DON) policy for the use of

Alternative Dispute Resolution (ADR) , and defines the

authority, mission and functions of the Assistant General

Counsel (ADR) and the DON ADR Program Office. This

instruction has been substantially revised and should be

reviewed in its entirety.

2. Cancellation. SECNAV Instruction 5800.13.

3. Scope and Applicability. This instruction applies

throughout the DON.

4. Background. ADR techniques can efficiently resolve

issues in controversy, and enable the DON to more

effectively devote its resources and personnel to its

overall mission. References (a) and (b) require the DON to

adopt an ADR policy and to designate a senior official as

the "Dispute Resolution Specialist," charged with

implementing the ADR policy and ensuring appropriate

training. Reference (c) assigns the management of the DON

ADR Program to the General Counsel, and this instruction is

issued under the authority found in reference (d).

References (e) through (i) are examples of how the Federal
SECNAVINST 5800.13A

Government increasingly uses ADR in a wide range of

judicial and administrative contexts.

5. Definitions

a. "Alternative Dispute Resolution" or "ADR." Any

procedure that is used in lieu of a formal administrative

process or litigation to resolve issues in controversy,

including, but not limited to, partnering, conciliation,

facilitation, mediation. using ombudsmen, fact finding,

mini-trials, neutral evaluation, and arbitration or any

combination thereof. For purposes of this instruction,

arbitration entered into under reference (j) is not

included in this definition.

b. Issue in Controversy. Any issue material to a

departmental decision that gives rise to a disagreement

between the DON and a person(s) outside the department or

between persons within the department. See reference (a),

at 5. U.S.C. 571(8). The term includes, but is not limited

to, a work related issue between co-workers that adversely

affects mission accomplishment or morale.

c. In-house Neutral. A civilian employee of the

Department of the Navy, or a milit~ry member of the United

States Navy or United States Marine Corps, who serves in

the capacity of a neutral, as described in reference (a) at

5 U.S.C. 571 and 573.

6. Organization. The Assistant General Counsel (ADR) and

the DON ADR Program are part of the Office of the General

Counsel. The Assistant General Counsel (ADR) shall report

to the Principal Deputy General Counsel. Personnel within

the DON ADR Program shall report to the Assistant General

Counsel (ADR).

7. policy

a. Using ADR to the Maximum Extent. ADR techniques

shall be used as an alternative to litigation or formal

administrative procedures to the maximum extent

practicable. Use of these techniques may resolve the

entire issue in controversy or a portion of the issue in

controversy. The goal is to resolve disputes and conflicts

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SECNAVINST 5800.13A

at the earliest stage feasible, by the fastest and least

expensive method possible, and at the lowest possible

organizational level prior to litigation. Every issue in

controversy, regardless of the subject matter, is a

potential candidate for ADR.

b. Agreements to Use ADR. Subject to an order, rule

or practice of an administrative forum or court, and prior

to participating in a dispute resolution proceeding, agency

representatives shall execute an appropriate agreement to

use ADR. Such agreements generally define the nature of

the proceeding, pertinent procedures, and include a

statement regarding confidentiality. Such agreements

themselves are not confidential under reference (a).

c. Confidentiality for Administrative ADR. Reference

(a) applies to ADR used for administrative programs. It

establishes general confidentiality rules that prohibit

parties and neutrals from disclosing dispute resolution

communications. See reference (a), at 5 U.S.C. 574. There

are significant exceptions. For example, a statement by

one party that is available to all other parties is not

deemed confidential under the statute. DON representatives

wishing to vary the statutory confidentiality rules for a

specific ADR proceeding shall consult with, and obtain the

approval of, the Assistant General Counsel (ADR).

d. Use of Binding Arbitration. Except for labormanagement grievance arbitrations under reference (j), the

use of binding arbitration requires additional DON guidance

beyond the scope of this instruction. DON personnel may

not require the use of binding arbitration as a condition

of entering into a contract with the DON or obtaining other

benefits. See reference (a) at 5 U.S.C. 575.

8. Authority and Responsibilities

a. The General Counsel shall:

(1) Appoint the Assistant General Counsel (ADR);

and,

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SECNAVTNST 5800.13A

(2) Provide budgetary and other necessary support for

the Assistant General Counsel (ADR) and the DON ADR

Program.

b. The Assistant General Counsel (ADR) , under the

direction of the General Counsel and the Principal Deputy

General Counsel, shall promote the efficient and effective

use of ADR techniques in the DON. To that end, the·

Assistant General Counsel (ADR) shall:

(1) Serve as the Dispute Resolution Specialist (see

reference (a), sec. 3) for the Department of the Navy;

(2) Be responsible for the coordination, approval

and implementation of ADR polity within the Department of

the Navy;

(3) Act as the DON· point of contact on ADR matters;

(4) Serve as the DON member on the Department of

Defense ADR Coordinating Committee established by reference

(b) ;

(5) Serve as the DON member (or delegate membership

as appropriate) on other interagency ADR working groups,

committees or organizations of interest to the DON;

(6) Provide legal and business advice on the use of

ADR; and,

(7) Supervise the DON ADR Program.

c. The Department of the Navy Alternative Dispute

Resolution (DON ADR) Program Office is an organization

within the Office of the General Counsel. Under the

direction of the Assistant General Counsel (ADR) , it shall:

(1) Coordinate ADR policy and initiatives within

the DON at all levels to ensure consistency, effectiveness,

compliance with law and executive policy, and avoidance of

duplicate effort;

(2) Assist activities in securing or creating cost

effective ADR techniques or local programs;

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SECNAVINST 5800.13A

(3) Promote the use of ADR, and provide training in

negotiation and ADR methods;

(4) Serve as legal counsel for in-house neutrals

used on ADR matters. This role is intended to avoid

organizational conflicts of interest faced by command

counsel serving in an advisory or advocacy capacity for the

parties in an issue in controversy. The ADR-Program shall

have no other role in a particular issue in controversy if

used in this capacity; and,

(5) For matters not involving an in-house neutral,

assist DON attorneys and other representatives concerning

issues in controversy that are amenable to using ADR.

9. Actions

a. Commanders and heads of shore activities at the

Echelon 1 and 2 levels shall:

(1) Designate an activity dispute resolution

specialist (ADRS) , who will promote the use of ADR within

that activity, and serve as the principal liaison to the

DON ADR Program. (Activities may enter into an agreement

with another part of the DON to meet this requirement or

may assign the responsibilities as a collateral duty.);

and,

(2) Provide training and necessary support for the

ADRS and selected personnel.

b. Commanders and heads of all activities shall:

(1) Periodically review their existing approaches

to dispute resolution, and, where feasible, foster the use

of ADR by identifying and removing unnecessary barriers,

including encouraging the inclusion of ADR clauses into

collective bargaining agreements when those agreements are

renegotiated;

(2) Coordinate ADR initiatives and policy, prior to

implementation and routinely thereafter, with the

appropriate Echelon 1 and 2 ADRS and with the DON ADR

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Program. The purpose of the coordination is to establish

that training, procedures and uses of ADR are consistent

with law, regulation, policy and recognized professional

ethics; and,

(3) Report the use of ADR techniques as directed by

the Assistant General Counsel (ADR). Reports shall be in a

format specified by the DON ADR Program Office or by using

data collection systems developed by the DON ADR Program

Office.

10. Reports. The reporting requirement contained in

paragraph 9.(bl (3) is exempt from reports control by

SECNAVINST 5214.2B.

Alberto J. Mora

General Counsel

Distribution:

Electronic only, via Navy Directives Web site

HTTP://NEDs.DAPS.DLA.MIL

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