ADR Technique: Mediation

How the ADR System Works
The Early Resolution of EEO Complaints (EREC) program offers mediation as an option in the informal and formal stages of the EEO complaint process:
Informal stage — During the initial interview with complainant, the EEO counselor describes the EREC option, along with the traditional counseling process and the complainant's rights and responsibilities. If the complainant elects mediation (by signing an agreement to extend counseling and to mediate), the counselor does an expedited, limited factfinding and forwards the counselor's report to DOL's Coordinator of Counselors (COC), who convenes a meeting of the EREC Team (which includes the responding agency's EEO manager) to consider broad options for resolution. Subsequently, the COC names the mediator, who schedules the mediation, and the agency EEO manager selects the agency Settlement Official from a list of officials (usually SES) to whom the Assistant Secretary of the responding agency has delegated authority to negotiate a resolution and commit the agency to it. The Settlement Official replaces the responding official in the mediation process to ensure that proposed resolutions can be implemented. Where issues are resolved in mediation, resolution is captured in a settlement agreement signed by both parties. Where issues remain unresolved, the complainant is given a notice of right to file and has 15 days to file a formal complaint on the unresolved issues.
Formal stage — The complainant is informed in the letter accepting the formal complaint that he/she may request mediation at any stage in the formal process. The option is offered again in the letter transmitting the completed investigative file to the complainant and offering the complainant the choice of an agency decision or an EEOC hearing/decision. Should the case be accepted for mediation at this stage, mediation (see informal process above) proceeds in parallel with the agency's drafting of the decision or the request for hearing to EEOC.

Background/Objective
The Civil Rights Center (CRC), organizationally located within the Office of the Assistant Secretary for Administration and Management, developed the EREC program in response to recommendations of the National Performance Review. The program complies with recent revisions to 29 CFR Part 1614. EREC objectives include: allowing parties to resolve disputes themselves; encouraging open communication in a nonthreatening environment; using a neutral third party to help parties clearly identify the problem and underlying interests as a basis for resolution; avoiding administrative process time/costs and protracted litigation; and improving workplace relationships.

Duration/Current Activity
Fully implemented in the informal process in DOL (headquarters and all regions) as of 10/1/96, and in the formal stage of the EEO process effective 11/9/99.

Rules Governing the Activity
CRC Policy Memorandum 6 describes the EREC program.

Contact
Lynne Pratico, Chief, Office of Mediation, Counseling, and Evaluation, Civil Rights Center, U.S. Department of Labor, 200 Constitution Avenue NW, Room N4123, Washington DC 20210. Phone 202/219-8927. E-mail: pratico-lynne@dol.gov.

ADR Technique: Mediation

How the ADR System Works
The Library of Congress has established ADR agreements with its non-bargaining unit employees, American Federation of State, County, and Municipal Employees, Locals 2477 and 2910, and the Congressional Research Employees Association. Each agreement recommends the use of mediation to resolve workplace disputes whether they are equal employment opportunity complaints, grievances, or a category designated as "other." The LOC encourages parties involved in a dispute to resolve it directly through informal discussions, or through mediation facilitated by conveners in its Dispute Resolution Center. Parties retain the option, in certain limited circumstances, of using a peer panel process outlined in the negotiated agreements and the regulation.

Background/Objective
It is the policy of the LOC that disputes be settled informally at the lowest level possible. The LOC also encourages the use of ADR to devise interest-based resolutions to disputes. When possible, systemic problems are identified and recommendations are made for their resolution.

Duration/Current Activity
The Dispute Resolution Center was established on October 11, 1991. Since the Center's inception, it has proven to be very instrumental in the LOC's efforts to resolve disputes before they reach the formal stages of investigation, hearings, or District Court litigation.

Rules Governing the Activity
The rules governing this program are found in an LOC regulation and in negotiated agreements with the labor organizations.

Contacts
Andre C. Whisenton, Library of Congress, 101 Independence Ave., SE, Room 626, Washington, DC 20540; Telephone: (202) 707-4170. Cortez Austin, Library of Congress, 101 Independence Ave., SE, Room 624, Washington, DC 20540; Telephone: (202) 707-9403.

ADR Technique: Mediation

How the ADR System Works
All ten NASA Centers have Alternative Dispute Resolution (ADR) programs in place that employ mediation to attempt settlement of complaints at the informal stage of the complaints process. NASA also has an ADR program at the formal stage of the complaint process that employs mediation. It can be used at any time after a complaint is filed up until a hearing, agency decision, or the filing of a civil action. The program at the formal stage uses contract mediators that have been certified as meeting the requirements of the Equal Employment Opportunity Commission's (EEOC) Management Directive (MD) MD-110.

Background Objective
The objective of ADR is to obtain resolutions of employment disputes at the earliest possible time in the process and at the lowest organizational level. In addition, ADR may resolve disputes before positions harden, and it may highlight poor personnel or management practices that can be corrected before employees and managers become further polarized.

Duration/Current Activity
NASA began a pilot program in ADR at Goddard Space Flight Center (GSFC) in December 1991, and all NASA Centers had adopted some form of ADR for use at the informal stage by 1994. When new EEOC regulations were proposed in 1998, that required ADR at both the informal and formal stages of the complaint process, NASA undertook a review of its existing ADR programs. As a result of that review, NASA's Office of Equal Opportunity Programs conducted an ADR/Mediation/Conference to provide a framework for the refinement of existing programs or development of new programs at the NASA Centers for the informal stage as well as the development of an Agency Program for the formal stage of the process. Following EEOC's issuance of its final rule, NASA put in place an Agencywide ADR mediation system consisting of individual Center mediation programs at the informal stage of the process and a centrally operated Agencywide mediation program at the formal stage of the process.

The overall program has been operational since February 2000. All NASA Centers are reporting varying levels of activity and success. The Office of Equal Opportunity Programs has developed an ADR evaluation system which all Centers are using; however, the new programs and the evaluation system have not been in effect long enough to provide meaningful data.

Rules Governing the Activity
The Agency as well as the Center ADR mediation program have written procedures in place for the mediation processes, which define the role and responsibilities of all parties. The program is voluntary for both the complainant and the Center or Agency, and no rights are sacrificed during the processes. Settlement agreements are reduced to writing and signed by all necessary parties.

Contact
Jim Starnes, NASA Headquarters, Office of Equal Opportunity Programs (Code EC), Washington, DC 20546-0001; Telephone (202) 358-2180.

How the ADR System Works

ADR is a voluntary process in which parties agree to meet with a neutral, third party to resolve or prevent disputes. Disputes may be referred for ADR through contact with the director of the ADR program (ADRO) or by direct contact with a Facilitation and Mediation counselor (FMC). Upon receipt of the dispute, the ADRO or mediation counselor will decide if any of the ADR programs available are appropriate for purposes of addressing the dispute. If it appears that a program or process, within the mix of those offered by the Agency may address the dispute, the program, or process will be discussed with the parties and, upon their approval, scheduled.

Background/Objective
The long-term goal of the NIMA ADR Program is to create a world class ADR program to help NIMA reach its Strategic Goal of "shap[ing] [its] workforce and infrastructure to ensure mission success in the 21st century." To this end, those associated with the program have worked hard, under very short time lines, to build a program that not only provides excellent ADR services to employees that are flexible, cost-effective and non-adversarial, but also:

• Accounts for the evolving needs of a diverse group of NIMA employees and develops innovative solutions to accommodate their individual circumstances.
• Recognizes and implements technology improvements to make ADR training, services and information more accessible to all NIMA employees, regardless of location.
• Overcomes increasing budgetary constraints by encouraging partnership with outside agencies and organizations to lower costs.
• Continuously strives to increase management and employee awareness of the benefits of ADR.

Duration/Current Activity
Since its commencement by NIMA in 1999, ADR has been shown to offer a number of benefits, including: (1) improving communication and trust between employees; (2) encouraging expeditious, creative, and inexpensive resolutions to disputes (3) discouraging formal and rigid procedures; and (4) prioritizing the need for employee privacy and confidentiality. ADR services are available for resolving disputes in any subject matter area, including equal employment opportunity disputes.

Rules Governing the Activity
Any employee may elect to participate in NIMA's ADR program. NIMA bargaining unit members, however, may only participate upon the request of their bargaining unit representatives. Employees may choose the kind of neutral they would like to use. They may use an in-house neutral from either the FMC (NIMA's in-house ADR service) or NIMA's Roster of Mediators. Alternatively, employees may use neutrals from external governmental rosters of neutrals (e.g., Department of Defense Roster of Mediators) from private organizations specializing in ADR (e.g., Bowie State University).

ADR Technique: Ombudsman/Mediation - Dispute Resolution Center

How the ADR System Works
The Dispute Resolution Center (DRC) is the National Security Agency's (NSA) focal point for alternative dispute resolution (ADR). The DRC acts in an ombudsman role addressing employee issues and concerns, houses the Agency's Mediation Program, and administers the NSA Grievance Process. Our mediation process is voluntary: the goal is for both parties to reach an achievable solution satisfactory for all before the conflict is escalated into a formal and costly investigative procedure. The NSA Grievance Policy covers issues of employee concern or dissatisfaction in the workplace that are subject to control of Agency management. The DRC also benefits the workforce by creating a place for individuals to go with concerns and problems in the workplace that do not fit the criteria of rights-based formal systems, but are legitimate issues that threaten productivity and workforce morale.

Background/Objective
The implementation of the DRC followed a successful two-year Alternative Dispute Resolution (ADR) pilot program conducted by the Office of Equal Employment Opportunity (OEEO). OEEO's pilot mediation program was initiated in order to help reduce a backlog of EEO complaints and the high costs associated with formal EEO investigations. The pilot mediation program was so successful that the agency mentor for the program decided to expand the use of ADR to assist in resolving all types of workplace disputes and founded the DRC.

Duration/Current Activity
The Center has been in operation since November 1997 and has continuously marketed its services and the benefits of ADR. The DRC is in the process of coordinating with private organizations, and partnering with other DOD and federal government agencies.

Rules Governing the Activity
Rules governing the Grievance Policy are covered by agency regulation. Guidance for the mediation process adheres to the Justice Center of Atlanta's practices and is published in a mediation handbook. A policy directive for the ADR Program is in final draft.

Contact
The Dispute Resolution Center, APS20, National Security Agency, 9800 Savage Rd. Ft. Meade, MD 20755-6862 Suite 6862; telephone: (410) 854-6228; Fax (410) 854-6052.