ADR Technique: Ombusman

How the ADR System Works
The responsibility for the ombudsman program rests with a two person office that reports to the Director of the International Broadcasting Bureau. The ombuds has the authority to deal with matters that come up anywhere within the Bureau. These matters may involve individuals or they may involve systemic or policy issues not necessarily related to specific individuals. The ombuds works to ensure that systems or policy issues are addressed by the appropriate agency officials and that individuals are fully informed about their rights concerning the appropriate forum for resolving workplace disputes in given circumstances. While not taking the place of the formal processes, e.g., discrimination complaint process, the ombuds works as a "neutral, impartial, and informal channel available to assist employees, managers and supervisors . . . in resolving any work-related problem or issue that cannot be easily resolved through normal channels." The ombuds works closely with other officials in the agency, such as those in the employee assistance program, in resolving workplace issues. Critical elements of the success of the program have been the consistent maintenance of confidentiality concerning any matter brought to the attention of the ombuds and the maintenance of strict neutrality on the part of the ombuds.

Background/Objective
The process for setting up the current ombudsman program at the agency began in 1988 in response to employee perceptions that the formal processes were not adequately addressing workplace problems and in response to an increase in the numbers of workplace disputes. In addition, the program was set up to function as an "early warning system" to alert agency management of potential problems.

Duration/Current Activity
The program has been in effect since 1988 and has decreased the numbers of potential discrimination complaints. The ombuds spends about 80 percent of his time addressing individual matters and about 5% of his time addressing systemic or policy issues.

Rules Governing the Activity
The rules governing the activity have not been codified; however, information about the program is contained in a brochure used by the ombuds.

Contact
Bob Henry, Ombudsman, International Broadcasting Bureau, Broadcasting Board of Governors, 330 Independence Avenue, SW, Washington, DC 20237; Telephone: (202) 619-2012; FAX: (202) 619-0085; Email: rhenry@ibb.gov.

ADR Technique: Mediation

How the ADR System Works
Employees who believe they have a workplace issue that might be amenable to mediation may contact the ADR Program Manager. The ADR Program Manager will ascertain whether the issue falls within the scope of the Agency's ADR mediation criteria. Employees may self-refer, or enter the program through referral.

Background/Objective
An ADR Working Group was created in 1995 to evaluate the experiences of both public and private sector ADR programs and to explore the availability of training. In addition, the Administrative Dispute Resolution Act of 1990 required federal agencies to use co-mediation with teams consisting of an Agency mediator and a professional mediator from the private sector. Employee-mediators received training in general mediation skills and techniques with the ultimate goal of creating a trained cadre of employee mediators.

The ADR Program was established as part of the Agency Ombudsman's Office to convey to employees the neutrality of the Program and to remove any perceived stigma associated with contacting the ADR Program Office. The primary goals of the Program have been to make employees aware of an alternative to the traditional/formal processes for setting workplace disputes and to encourage employees to become active participants in resolving their own disputes.

Duration/Current Activity
Based upon the successful conclusion of an 18-month pilot ADR Program, the Agency approved a permanent ADR Program in February 1997. Initially, all Agency mediation were conducted in conjunction with mediators provided by the Northern Virginia Mediation Service (NVMS). However, the Agency now has a cadre of trained and certified mediators who may mediate cases without the assistance of NVMS mediators. The Agency ensures that its employee-mediators remain neutral by selecting mediators who do not work in the same directorate or report to the parties involved in the dispute.

Rules Governing the Activity
The Agency opened its ADR Program to all employees, including those with EEO and grievance issues. However, several areas are not subject to ADR. These include, but are not limited to, security adjudications, exercises of the Director's statutory termination authority, Department of Labor compensation claim decisions, and decisions of various disciplinary and administrative payments boards.

Contact
The Central Intelligence Agency's Alternative Dispute Resolution Program Manager, (703) 482-0782, fax (703) 482-1715.

ADR Technique: Multiple Techniques

How the ADR System Works
The Commission's Alternative Dispute Resolution (ADR) Program was established in May 1999. Employees experiencing a workplace dispute may contact the Commission's Mediation Coordinator who is responsible for providing guidance on appropriate ADR methods. While the Commission employs various ADR techniques to resolve disputes including cooperative problem solving, conciliation, facilitation and fact-finding, mediation is the key focus of the program. Mediation is voluntary, confidential, available to all employees for most types of workplace disputes and can be terminated at any time. Mediators cannot impose any outcome on the parties and resolutions are binding. Mediation is available at any stage of any administrative dispute process. Mediators are selected from the Department of Health and Human Service's Shared Neutrals Program.

Background/Objective
Historically, formal dispute resolution at the Commission was time consuming, expensive and in many cases counter productive to our mission. In 1997 the Commission established a pilot program. At the conclusion of the pilot program the Commission conducted a comprehensive review and established a permanent ADR Program. The primary objective of the permanent ADR program is to give managers and employees a structured and positive environment to resolve workplace disputes expeditiously. The ADR Program is an integral part of the administrative and negotiated grievance procedures, and the Commission's EEO complaint process.

Duration/Current Activity
In the fifteen months since the program was established, the Commission has been involved in nineteen dispute-related matters. All matters have been successfully resolved, with one exception. In the matter that was not resolved, a settlement agreement was reached regarding some of the issues, and mediation enabled the parties to identify, and clarify other issues in the dispute. Mediation successes have translated to additional requests for mediation. Employees and managers depend on the ADR program to help them create remedies for resolving disputes.

Rules Governing the Activity
The rules governing the ADR program are found in the Commission's Alternative Dispute Resolution and Grievance Procedure policy directive and in negotiated agreements with labor organizations.

Contact
Daryl Stephens, Employee Relations Specialist, CFTC, Three Lafayette Centre, 1155 21st Street, NW. Washington, D.C. 20581; Telephone: (202) 418-5017; FAX: (202) 418-5530; Email: dstephens@cftc.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
The Corporation for National and Community Service ("Corporation") ADR program is available to all its employees and managers. The ADR program is intended to assist employees and managers to resolve most workplace and equal employment opportunity disputes informally, without having to resort to formal litigious processes. The Corporation uses an outside contractor, ADR Vantage, Inc., for the day-to-day coordination of the program. Although mediation is the primary ADR technique used, the program coordinator may suggest other approaches such as conciliation, facilitation, fact-finding, and the use of an ombudsperson, depending upon the nature of the dispute. Once the ADR process is complete, participants in the process are asked to fill out a "Participant Survey," evaluating the process and its outcomes. The Corporation evaluates the ADR program annually.

Background/Objective
Recognizing the potential value of alternative dispute resolution in the Corporation, the Director of Human Resources, the Director of Equal Opportunity, and the General Counsel convened a workgroup to address all aspects of implementing an alternative dispute resolution process for the Corporation. Representatives of several Corporation units and the union served on this workgroup, and the workgroup solicited the input of other employees. The Corporation implemented a pilot program in January 2000, and the current ADR program in April 2001.

Duration/Current Activity
The Corporation's ADR program began with a pilot program on January 1, 2000. The Corporation firmly established ADR as part of the Corporation's culture with the implementation of a revised ADR policy in April 2001. In 2000, the first year of the pilot program, 36 employees contacted the Program Coordinator to learn more about the ADR process. A total of 23 employees chose to use the ADR process as a tool for resolving workplace disputes. Of the 23 cases in which employees chose to pursue ADR, 10 were resolved at intake, 8 were resolved successfully using an ADR approach, primarily mediation, 4 were not resolved, and 1 was still pending at the end of the year -- representing an 82% resolution rate when considering both those cases resolved at intake, and those resolved successfully through the use of an ADR process.

Rules Governing the Activity
The Corporation has implemented a comprehensive ADR program policy. Participation in the program is voluntary for employees and managers, but the Corporation expects its managers to participate when sorequested by an employee seeking to resolve a dispute. The employee retains the right to file a formal complaint or grievance.

Contact
Nicola Goren, Dispute Resolution Specialist, Corporation for National and Community Service, 1201 New York Avenue, N.W. 8th floor, Washington, DC 20525; Telephone: (202) 606-5000 ext. 259; FAX: (202) 565-2796; email: ngoren@cns.gov

ADR Technique: Mediation

How the ADR System Works
It is the Defense Contract Audit Agency's (DCAA) policy to consider the use of ADR in all EEO cases in the informal stage when deemed appropriate by management. The stage of any individual case at which ADR is used and the ADR procedure to be followed is also subject to the discretion of management.

While any form of ADR may be considered and used, if appropriate, special consideration is given to the use of mediation. DCAA's policy is that government mediators be used whenever possible but permits use of someone outside the government.

Background/Objective
DCAA's program is limited to EEO cases. DCAA's experience has been that the use of ADR for resolving EEO cases results in faster, less expensive, and less contentious resolution of issues in controversy. Accordingly managers are encouraged to use ADR as an alternative to litigation or formal administrative procedures to the maximum extent possible.

Duration/Current Activity
Initial ADR activity began with a pilot program in two of DCAA's regions. Based on the results obtained during the pilot program, DCAA developed procedures to implement ADR agency-wide and assigned a program manager to manage that program as a collateral duty. The program became fully operational in April 1999.

Rules Governing the Activity
The rules governing this program are in DCAA Regulation 5145.1 "Alternative Dispute Resolution for Equal Employment Opportunity Cases."

Contact
John M. Farenish, Defense Contract Audit Agency, Office of General Counsel, 8725 John J. Kingman Rd., Suite 2135, Fort Belvoir, VA 22060-6219; Telephone: (703) 767-3219; DSN 427-3219; E-mail: john.farenish@dcaa.mil.

ADR Techniques: Multiple Techniques

How the ADR System Works
It is DLA's policy to consider the use of ADR in every situation where unassisted negotiations do not resolve the issues in controversy. A management decision not to use ADR, where unassisted negotiations have not been effective, is made only after its possible use has been fully evaluated and discussed.

While all forms of ADR are considered, DLA's technique of choice is mediation. A cadre of DLA employees serve as neutrals in a collateral duty capacity. Additional sources of neutrals include other federal agencies and the private sector.

Background/Objective
DLA has a broad based program that encourages the use of ADR techniques as an alternative to formal procedures in all matters of dispute including personnel, EEO, labor, procurement, sales, and environmental concerns. Parties are encouraged to resolve disputes at the earliest possible stage, although ADR techniques are available during the later stages as well.

Duration/Current Activity
Initial ADR activity began in 1992. Parts of the program became operational in 1993 and in 1995. The program became fully operational in 1997.

Rules Governing the Activity
Principal rules governing this program are in DLA Directive 5145.1.

Contact
Beth Broidy Lagana, Defense Logistics Agency Office of Counsel Columbus Region, P. O. Box 3990, Columbus, Ohio 43216-5000; Telephone: (614)692-1859; DSN: 850-1859 E-mail: blagana@ogc.dla.mil.

ADR Technique: Mediation

How the ADR System Works
The Defense Reutilization and Marketing Service (DRMS) Alternative Dispute Resolution Program was designed to offer mediation at any stage of the EEO complaint process and any stage of a contract dispute. There are plans to expand the program to include union grievances and conflicts between managers. Employees access mediation through their union, EEO, Legal Office and the Employee Assistance Program (EAP). To promote ADR awareness, the Office of Counsel established an ADR Working Group. The Office of Counsel has teamed with the Battle Creek Medical Center Veteran's Administration to "Share Neutrals." The DRMS Program's emphasis is "Early Detection is Early Correction."

Background/Objective
The goal of the program is to resolve a variety of workplace and contract disputes using mediation. It is the program's philosophy that the organization and the individual benefit through alternatives to litigation. The ADR Program is informal and voluntary and if resolution can't be reached, the individual or firm is encouraged to use formal channels. A key emphasis is making the workforce aware that DRMS offers an effective, inexpensive, time saving and informal process to resolve conflict.

Duration/Current Activity
An ADR Counsel was appointed in 1999 in the Office of Counsel. The ADR Working Group was established in March 2000. The Office of Counsel offers ADR advisory services, seminars and symposiums and hosts mediation training. ADR is briefed during the annual Ethics briefing to employees at the Battle Creek Federal Center as well as at field offices. The Office of Counsel has a segment of its webpage devoted to ADR and offers an expanse of ADR links.

Rules Governing the Activity
The DRMS Office of Counsel designed its program after its headquarters, Defense Logistics Agency's (DLA) ADR Program. The DLA ADR Counsel, Attorney Beth Lagana, helped to initiate the DRMS program in early 2000 by conducting training for over 350 employees. Defense Logistics Agency Directive 5145.1 and Defense Reutilization and Marketing Service Directive 5145.1 govern the DRMS ADR Program.

Contact
Reba Harrington, Assistant Counsel, DRMS-G, 74 Washington Avenue North, Suite 6, Battle Creek, Michigan 49017-3092; Telephone: Commercial (616) 961-5808; DSN 932-5808; FAX: (616) 961-5069; DSN FAX: 932-5069; Email: ebaharrington@drms.dla.mil.

ADR Technique: Multiple Techniques

How the ADR System Works
The Defense Threat Reduction Agency (DTRA) has established an ADR program to handle discrimination complaints as well as other complaints associated with misconduct and performance. DTRA encourages the use of ADR when the issues are well understood, the dispute revolves around facts, each party involved has a valid argument, each side can easily assess its strengths and weakness without conducting extensive research, the parties need to vent their frustrations, and all involved desire a speedy resolution. ADR techniques such as mediation, factfinding, and negotiated/alternative discipline are used to assist parties informally resolve many of their disputes. Shared neutrals and ombudsmen also assist in the early resolution of conflict and the agency is considering establishment of an ombudsmen program. If any issue remains unresolved at the conclusion of the ADR process, an employee may still pursue the issue through the more traditional grievance process.

Background/Objective
The ADR program is designed to be used as a tool that can assist both managers and employees to resolve problems without costly and timely litigation. The early and less costly resolution of disputes result in an enhanced working relationship between the parties involved. The most common techniques used to achieve DTRA's ADR objective are mediation and factfinding.

Duration/Current Activity
The well-established program has been in operation with DTRA's predecessor agencies for ten years and has been adopted by the recently established DTRA. DTRA is also incorporating the use of negotiated discipline. The key features of the program will include fostering a healthier relationship between management and employees while still addressing acts of misconduct, reducing paperwork and time spent by all parties on disciplinary actions, and encouraging employees' acceptance of the program and willingness to participate in the selection of a negotiated penalty.

Rules Governing the Activity
The rules governing this program are in DTRA's Discipline and Adverse Action Instructions.

Contact
Dominick Brognano, Assistant General Counsel, Defense Threat Reduction Agency, 45045 Aviation Drive, Dulles, VA 20166-7517, Telephone: (703) 810-4561; Email: Dominick.Brognano@DTRA.MIL.

ADR Techniques: Multiple Techniques

How the ADR System Works
An employee must contact the Informal Dispute Resolution Center (IDR) within 45 calendar days of the alleged discriminatory act, personnel action, or other basis of complaint, or the date he/she became aware of the matter that is the basis of the complaint. A counselor meets individually with the involved parties and assists them in attempting to resolve the dispute. The IDR Center will try to resolve the matter informally within 30 calendar days from the date of the initial contact. If necessary, the employee may request an additional 60 days for further counseling or to pursue mediation. If the dispute is not resolved, the IDR Center provides a written notice of right to file a formal grievance.

Background/Objective
The IDR Center was established May 1996. It provides employees, applicants, and managers with an informal process to resolve disputes, disagreements, or complaints on a wide range of work-related matters. The IDR Center was set in motion on the following inducements: it provides quick resolution; promotes creative problem solving; encourages open communication; allows parties to resolve disputes themselves; uses an impartial third party to assist the involved parties in resolving disputes; may improve working relationships; and may avoid lengthy litigation.

Duration/Current Activity
The services provided by the IDR Center include counseling and mediation offered in an informal setting to assist employees in resolving complaints in an expeditious and impartial manner. The IDR Center is staffed by trained counselors who are available to discuss a wide variety of employment disputes. Trained mediators are also available to assist participants in reaching a voluntary agreement that resolves EEO and other work related disputes.

Rules Governing the Activity
In many situations, bargaining unit employees may elect to use the IDR Center or the Collective Bargaining Agreement's Problem Resolution Procedure.

Contact
David Wortham, Department of Education, 490 E. L'Enfant Plaza, SW, Washington, DC 20024; Telephone: (202) 619-9724; FAX: (202) 708-4549; Email: david_wortham@ed.gov. Informal Dispute Resolution Center, 490 L'Enfant Plaza, SW, Suite 2100A, Washington, DC 20024, Telephone: (202) 619-9700; TTD: (202) 619-9731; FAX: (202) 619-9726; Email: idr_center@ed.gov.