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National Geospatial-Intelligence Agency

INSTRUCTION

NUMBER 5400.1

17 March 2021

Ombudsman

SUBJECT: Ombudsman

References: See Enclosure 1.

1. PURPOSE.

a. This Instruction establishes policy and assigns responsibilities for the NGA

Ombudsman in accordance with (IAW) References (a) and (b).

b. Rescinds NGA Instruction 5400.1, “Ombudsman,” 05 October 2012,

Administrative Update 2, 26 September 2018.

2. APPLICABILITY. This Instruction applies to all NGA civilian employees, military

service members, other Government agency personnel assigned to NGA, and 

contractors, hereinafter referred to as personnel.

3. DEFINITIONS. See Glossary.

4. POLICY. It is NGA policy:

a. That disputes are resolved at the earliest possible stage of conflict and at the

lowest possible level. Any conflict or dispute, regardless of subject matter, is a potential 

candidate for alternative dispute resolution (ADR) IAW References (b) and (e).

b. That in addition to the ADR services available from the Office of Diversity,

Inclusion, and Equal Employment Opportunity (ODE), the NGA Ombudsman provides a 

safe, accessible place for the workforce to discuss the resolution of any workplace 

issue. The Ombudsman uses non-adversarial problem resolution methods, improved 

communication, and collaborative efforts to increase transparency and equitable 

outcomes IAW References (e).

c. That the Ombudsman is free to operate without interference while independently

using broad and flexible resolution techniques, conducting informal inquires, issuing 

reports, and providing recommendations for positive organizational change. 

d. That the Ombudsman, in performance of their official duties, has access to all

personnel, facilities, and records relevant to the issue raised IAW Reference (k).
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e. That the Ombudsman engages personnel to discover alleged improprieties, 

identify complaint patterns and systemic trends, explore non-adversarial approaches for 

resolving concerns, promote better communication, foster constructive dialogue, 

increase collaboration, improve transparency, and facilitate equitable outcomes.

f. That reprisal, in any form, against personnel who exercise their right to use or 

decline formal and informal dispute resolution procedures will not be tolerated.

g. That discussions with the Ombudsman are consensual and confidential so that 

personnel may raise concerns without fear of reprisal. The Ombudsman will elevate

concerns when necessary, and within the boundaries of confidentiality, to the 

appropriate level.

h. To maintain and protect all personally identifiable information collected during the 

course of an ADR IAW References (b) and (c). 

5. RESPONSIBILITIES. See Enclosure 2.

6. EFFECTIVE DATE. This Instruction is effective on the date of signature.

Ernest B. Markham

Chief of Staff

Enclosures

1. References

2. Responsibilities

3. Alternative Dispute Resolution Techniques

Glossary
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TABLE OF CONTENTS

CHANGE LOG ...................................................................................................................... 4

ENCLOSURE 1: REFERENCES......................................................................................... 5

ENCLOSURE 2: RESPONSIBILITIES ................................................................................ 6

Director, NGA .............................................................................................................. 6

Chief of Staff................................................................................................................ 6

NGA Ombudsman........................................................................................................ 6

General Counsel........................................................................................................ 10

Director, Mission Oversight and Compliance............................................................... 10

Senior and Executive Leadership, Supervisors, and Managers ................................... 10

Personnel .................................................................................................................. 10

ENCLOSURE 3: ALTERNATIVE DISPUTE RESOLUTION TECHNIQUES................... 12

GLOSSARY ........................................................................................................................ 14
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CHANGE LOG

Change Change 

Date

Revised 

By

Pages 

Affected Change Description
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ENCLOSURE 1

REFERENCES

(a) 5 USC § 571-584

(b) DoD Instruction 5145.05 “Alternative Dispute Resolution (ADR) and Conflict 

Management,” 27 May 2016

(c) NGA Instruction (NGAI) 5401.1, “Privacy and Civil Liberties Program,” 

26 January 2020

(d) NGAI 8040.2, “Records Management Program,” 21 October 2020

(e) Director, NGA Memorandum for Record, NGA-U-2019-00007, “Policy Statement on 

Alternative Dispute Resolution,” 11 February 2019

(f) NGA Ombudsman Annual Report for Fiscal Year 2011, January 2012

(g) National Archives and Records Administration, “Request for Records Disposition 

Authority, Records Schedule: DAA-0537-2014-0001, NGA Ombudsman,” 

30 March 2016

(h) International Ombudsman Association, “International Ombudsman Association Code 

of Ethics,” https://www.ombudsassociation.org, January 2007

(i) International Ombudsman Association, “International Ombudsman Association 

Standards of Practice,” https://www.ombudsassociation.org, October 2009

(j) American Bar Association, “Standards for the Establishment and Operation of 

Ombuds Offices,” 9 February 2004

(k) Administrative Conference of the United States, “The Use of Ombuds in Federal 

Agencies,” 15 December 2016
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ENCLOSURE 2

RESPONSIBILITIES

1. Director, NGA (D/NGA).

a. Appoints the NGA Ombudsman IAW References (a) and (b).

b. Promotes cooperative responses to conflict throughout the Agency to support 

agency core values (Excellence, Accountability, Respect, Teamwork, and Honesty),

infuse diversity of viewpoints, value, flexibility, and adaptability into business decisions.

c. Mandates cooperation with the NGA Ombudsman by Senior Executive 

Leadership, Supervisors, and Managers.

d. Encourages personnel to bring the full scope of organizational issues to the NGA 

Ombudsman, including, but not limited to the mission, organization, strategies, policies, 

and procedures.

2. Chief of Staff (CoS).

a. Provides administrative support through Corporate Operations to the NGA 

Ombudsman.

b. Supports the independence of the NGA Ombudsman’s role and operations, 

whereby the NGA Ombudsman:

(1) Has direct access to D/NGA; the Deputy Director, NGA; CoS; Senior and 

Executive Leadership; Supervisors; Managers; and all personnel. 

(2) Is assigned duties, roles, or responsibilities that are consistent with the 

responsibilities established within this Instruction and IAW References (h) through (k). 

(3) Exercises sole discretion to accept or decline to act on personnel complaints, 

concerns, or questions.

(4) Does not serve in formal compliance or oversight functions.

c. Supports and protects broad and mandatory confidentiality of communications 

between the NGA Ombudsman and personnel IAW Reference (a), other related laws, 

and generally accepted professional standards to the maximum extent permissible by 

law.

3. NGA Ombudsman.
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a. Serves as a designated Agency neutral for personnel and point of contact for 

external consumers of NGA products that provides confidential, neutral, informal and 

independent mechanisms to informally facilitate resolution of individual and systemic 

problems IAW References (a) and (b). 

b. Strives for impartiality, fairness, and objectivity in the treatment of people and the 

consideration of issues. The Ombudsman shall not advocate for any individual or group. 

Neutrality does not preclude the Ombudsman from advocating for changes deemed 

necessary to improve working environments.

c. Operates independently from the organizational structure and is authorized to 

address issues at all levels within NGA. (Reference (f))

d. Ensures support staff receive appropriate training and certification.

e. Holds all communications with those seeking assistance in strict confidence and 

takes all reasonable steps to safeguard both anonymity and confidentiality IAW 

references (a) and (b), whereby the Ombudsman will:

(1) Protect the identity of any individual contacting the Ombudsman, to include 

taking no action that would reveal information provided in confidence that could lead to 

the identification of any individual contacting the Ombudsman, without that individual’s 

permission. Action on the information may be taken when done in a manner that 

safeguards the identity of the individual contacting the Ombudsman.

(2) Protect information provided “in confidence." The “in confidence” standard 

exists for the effectiveness of NGA’s Ombudsman program as a whole, not just for 

individual cases. Personnel often give the Ombudsman broad permission to widely 

share their concerns (and their names), including to the agency head. However, the 

NGA Ombudsman has a duty to protect information provided “in confidence” (including 

the standard itself) to maintain the integrity of the program, while complying with the 

legal requirements of Ref (d).

(3) Pursue systemic issues in a way that safeguards the identity of individuals.

(4) Maintain information (e.g., notes, phone messages, calendar appointments) 

in a secure location and manner, protected from inspection by others (including 

management), and have a consistent and standard practice for the destruction of such 

information, while complying with the legal requirements of References (d) and (g). 

(5) Prepare any data and/or reports in a manner that protects anonymity, which 

may include generally accepted ombudsman reporting categories.

(6) Protect the confidentiality of any dispute resolution communication or any 

communication provided in confidence, with the exception of where there may be the 

possibility of imminent harm, or full admission or direct evidence of criminal conduct, 

and IAW any applicable law, regulation, or policy.
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f. Maintains records IAW References (d) and (g).

g. Observes exceptions to confidentiality, including instances where:

(1) In the Ombudsman’s sole determination, there appears to be imminent risk of 

serious harm and there is no other reasonable option; or 

(2) There is a full admission or direct evidence of criminal conduct, rather than a 

general allegation of fraud, waste, or abuse.

(3) In the above instances, the Ombudsman will encourage the individual to raise 

the issue with the appropriate authority. If necessary, the Ombudsman will raise the 

issue to the appropriate authority without identifying the individual who provided the 

information. 

h. Helps personnel explore options and develop new ways to solve problems 

themselves to the maximum extent appropriate. 

i. Identifies issues, trends, and systemic issues, and provides recommendations for 

responsibly addressing them to appropriate Agency leaders.

j. Supplements, but not replaces, other avenues of redress. Use of the Ombudsman 

is voluntary, and is not a required step in any grievance, complaint, or investigatory 

process. 

k. To the extent permitted by law and regulation, observes the following limitations

IAW Reference (h), (i), and (j), whereby the NGA Ombudsman will avoid, if possible:

(1) Participating in or conduct any formal investigative or adjudicative 

procedures. Employees raising matters of waste, fraud, abuse, or corruption will be 

reminded of the employee’s duty to report such matters to the Office of Inspector 

General.

(2) Serving as a witness or testify in any formal process. 

l. Observes the following limitations IAW Reference (h), (i), and (j), whereby the NGA 

Ombudsman shall not:

(1) Serve as part of any formal grievance or complaint process.

(2) Accept notice on behalf of, or act as an agent for NGA.

(3) Make binding decisions, mandate policies, or adjudicate issues for NGA.

(4) Compel anyone to take specific action resolve a workplace issue.
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m. Acts IAW generally accepted ethical guidelines and professional ombudsman 

standards of practice of independence, neutrality and impartiality, confidentiality, and 

informality. (References (h) through (k))

n. Considers the legitimate concerns and interests of all personnel affected by a 

matter under consideration or review. 

o. Refrains from official, financial, or personal conflicts of interest with respect to any 

issues in controversy, unless such interest is fully disclosed in writing to all parties and 

all parties agree that the Ombudsman may serve.

p. Shares information on both informal and formal means available to address 

complaints or concerns IAW Reference (k), such as the administrative grievance 

process, equal employment opportunity, and Merit Systems Protection Board, as 

applicable. When appropriate, individuals will be referred to the appropriate place where 

formal notice of an alleged violation can be made. Individuals specifically raising 

allegations of discrimination will be advised to make timely contact with ODE to 

preserve their rights under equal employment opportunity complaint processing 

guidelines. Issues pertaining to task orders and procurement integrity will be referred to 

the individual designated to handle those types of concerns. 

q. Assesses the appropriateness of the dispute resolution process and ensures all 

parties are able to participate effectively and in good faith. Processes to facilitate 

dialogue and early resolution are generally not appropriate in cases when:

(1) A definitive or authoritative resolution of the matter is required;

(2) The matter involves or may bear upon significant questions of Government 

policy that require additional procedures before a final resolution may be made; and

(3) A full public record of the proceeding is important.

r. Utilizes informal means such as listening, providing and receiving information, 

identifying and reframing issues, developing a range of responsible options, and 

engaging the parties in a third-party intervention. The Ombudsman primarily serves as a

designated agency neutral and may also utilize ADR and related techniques such as, 

but not limited to those cited in Enclosure 3 of this Instruction. The Ombudsman may 

utilize an external third party neutral option as needed or upon request by the individual. 

Such options include, but are not limited to, the Defense Office of Hearings and 

Appeals, Center for ADR, and the Federal Mediation & Conciliation Service Shared 

Neutral Program. 

s. Ensures dispute resolution sessions are conducted with the utmost integrity and 

IAW best practices, including legal and regulatory timeframes. This may include making 
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parties fully aware of the process and coordination with formal Agency resources, 

including; but not exclusive of Human Development and Office of General Counsel.

t. Remains conscious of professional conduct needed to maintain high trust levels to 

serve in the position of Ombudsman. Maintain professional competency by pursuing 

continuing education and providing opportunities for staff to pursue professional training

IAW Reference (b).

u. Actively engages DoD, Intelligence Community (IC), and Federal officials, to 

include ombudsman partners, to address issues of common concern that transcend 

organizational boundaries IAW Reference (b). 

v. Serves as an NGA representative on the DoD ADR Coordinating Committee, 

Interagency ADR Working Group, Coalition of Federal Ombudsman, and IC Ombuds 

Forum IAW References (a) and (b).

4. General Counsel provides legal guidance as needed.

5. Director, Mission Oversight and Compliance provides guidance on matters regarding 

the protection of individual privacy rights and civil liberties, as needed, IAW References 

(b) and (c).

6. Senior and Executive Leadership, Supervisors, and Managers.

a. Cooperate and share information with the NGA Ombudsman within the confines 

of law and security requirements.

b. Encourage a positive dispute resolution climate through appropriate conflict 

management practices consistent with NGA, DoD, and IC policies.

c. Promote voluntary use of the NGA Ombudsman and make policies, procedures, 

and related materials available to personnel upon request.

d. Encourage personnel to address conflicts early and at the lowest possible level.

e. Prohibit retaliation against personnel for seeking NGA Ombudsman assistance.

7. Personnel.

a. May bring the full scope of organizational issues to the NGA Ombudsman, 

including, but not limited to the mission, organization, strategies, policies, and 

procedures.

b. Resolve disputes in good faith and in a manner that reflects NGA’s core values of 

excellence, accountability, respect, teamwork, and honesty.
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c. Are free to use other avenues of redress at any time, as applicable.
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ENCLOSURE 3

ALTERNATIVE DISPUTE RESOLUTION TECHNIQUES

The Ombudsman may utilize the following techniques such as, but not limited to: 

Conciliation A process in which a third party helps restore damaged 

relationships between disputing parties by bringing them 

together, clarifying perceptions, and pointing out misperceptions. 

This process often is used prior to other processes such as 

facilitation and mediation.

Conflict Coaching Assisting individuals to determine behaviors and actions that will 

help them reach their objectives in terms of how they approach 

and resolve specific problems or overarching conflict.

Facilitated SelfAssessmentA large group process that identifies shared interests, 

differences, problems, and opportunities for resolution and/or 

positive organizational change. Personnel are typically asked 

three broad questions: what is working well (and why); what isn‘t 

working well (and why); and what changes should be made. 

While maintaining confidentiality, this method highlights 

organizational successes, areas of concern, and specific 

recommendations from staff. Further, it is a proactive way to 

bring issues to the forefront and allow leadership to address 

problems before they escalate.

Facilitation A process in which a skilled neutral offers structure and 

procedural guidance to enable individuals or groups to achieve 

shared goals.

Group Facilitation A variety of techniques to help work groups clarify goals, 

improving the flow of communication, and achieving specific 

group objectives.

Informal Inquiry An informal fact-finding process to help gain a general 

understanding of the situation, where the Ombudsman gathers 

the range of perceptions by the affected parties, helps analyze 

the complex issues, identifies trends and underlying systemic 

problems, and provides recommendations about possible 

resolution options. An informal inquiry is not an investigation 

process, which determines facts that serve as the basis of 

proving or disproving wrongdoing by a preponderance of 

evidence.
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Mediation A facilitated negotiation to allow parties to reach an acceptable 

resolution of issues in dispute.

Negotiation A give and take process between two parties with different goals 

and viewpoints seeking to discover common ground to reach an 

agreement to settle a matter of mutual concern or resolve a 

conflict.

Other The NGA Ombudsman may develop and implement new, 

unique, interest-based approaches as needed.

Partnering An agreed method of working together as a team, based upon 

mutual trust, sharing risks and rewards. Used to improve working 

relationships by seeking to prevent disputes before they occur.

Shuttle Diplomacy Serving as an intermediary between involved parties in dispute 

without those individuals being in direct contact with one another 

(e.g., a mediator “shuttling” back and forth).

Training/Education Educating parties on the causes of conflict and using experiential 

opportunities to teach practical skills for handling resolution in a 

respectful and positive way.
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GLOSSARY

Alternative 

Dispute 

Resolution 

(ADR)

Any procedure that is used as an alternative to litigation or formal 

administrative adjudicatory proceedings to resolve issues in 

controversy, including, but not limited to, facilitation, conciliation, 

partnering, mediation, fact finding, early neutral evaluation, minitrials, arbitration, and the use of ombuds or any combination 

thereof. The term does not include unassisted negotiations. 

(Reference (b))

Dispute 

Resolution 

Communication

Any oral or written communication prepared for the purposes of a 

dispute resolution proceeding, including any memoranda, notes or

work product of the neutral, parties or nonparty participant; except 

that a written agreement to enter into a dispute resolution 

proceeding, or final written agreement or arbitral award reached as 

a result of a dispute resolution proceeding, is not a dispute 

resolution communication. (Reference (a))

DoD ADR 

Coordinating 

Committee

The group consisting of the Dispute Resolution Specialists or 

designees of the DoD Components and, at the discretion of the 

Deputy General Counsel (Legal Counsel) or designee, other DoD 

officials with ADR-related responsibilities or representatives of DoD 

Component ADR programs, whose purpose is to promote among 

the DoD Components the exchange of information on ADR and 

conflict management program design and implementation. 

(Reference (b))

In confidence Information that is provided with the expressed intent of the source 

that it not be disclosed, or under circumstances that would create 

the reasonable expectation on behalf of the source that the 

information will not be disclosed. (Reference (a))

Neutral An individual who, with respect to an issue in controversy, functions

specifically to aid the parties in resolving the controversy. 

(Reference (a))

Ombudsman Ombuds (1) identify significant new issues and patterns of concerns 

that are not well known or being ignored; (2) support significant 

procedural changes; (3) contribute to significant cost savings by 

dealing with identified issues, often at the earliest or pre-complaint 

stages, thereby reducing litigation and settling serious disputes; (4)

prevent problems through training and briefings; (5) serve as an 

important liaison between colleagues, units, or agencies; and (6) 

provide a fair process for constituents. (Reference (k))
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Redress To set right; rectify or remedy, often by making compensation for (a 

wrong, grievance, etc.). (Definition created by NGA for NGA 

purposes only)