ADR Technique: Peer Review

How the ADR System Works
A Labor Management Committee (LMC) comprised of three union-appointed members and three management-appointed members hears grievances on a variety of topics which have not been resolved after initial review by supervisors and management officials in the bargaining unit involved. After interviewing individuals and reviewing documentation, the LMC issues a written report with its recommendations. When consensus cannot be achieved, recommendations are determined by secret ballot, with the majority position adopted. If both parties accept the recommendation, it is implemented. If either party rejects the committee's recommendation, the grievance may be moved to arbitration. In arbitration, the case is assigned in rotation to one of five arbitrators who have been previously accepted by both the union and management. The arbitrator's decision is normally binding on both parties but may be appealed under limited conditions. This committee also serves as a mechanism to conduct impact and implementation bargaining using interest-based negotiations.

Background/Objective
In 1992, the Employee and Labor Relations Division and the American Federation of Government Employees, Local 32, negotiated a collective bargaining agreement which includes an ADR option as part of the grievance procedure. The objective of the program is to minimize the use of third parties to resolve disputes.

Duration/Current Activity
Operational since October 1992, the committee has reached a consensus on every case that it has reviewed--never has a secret ballot vote been necessary. Over that period, it has reviewed performance based actions, disciplinary actions, and impact and implementation bargaining cases.

Rules Governing the Activity
Rules are contained in the June 1992 Collective Bargaining Agreement between the Employees and Labor Relations Division and the American Federation of Government Employees, Local 32.

Contact
Suzanne Giannetti, Team Leader, Employee Relations and Performance Management Team, Office of Personnel Management, 1900 E Street, NW, Washington, DC 20415-0001; Telephone: (202) 606-2310, FAX: (202) 606-2996; Email: smgianne@opm.gov.

ADR Technique: Mediation

How the ADR System Works
REDRESS is an EEO mediation program. The acronym stands for Resolve Employee Disputes Reach Equitable Solutions Swiftly. A complainant who contacts an EEO counselor is offered mediation with an approved outside mediator in lieu of counseling. If the complaint does not settle during that process, the complainant may continue through the traditional process.

Background/Objective
REDRESS began in 1994 with a pilot project in three Florida cities. It has two objectives: to resolve individual disputes quickly and effectively, by empowering the parties to find their own solutions; and to address underlying issues and improve the workplace climate.

Duration/Current Activity
REDRESS is currently available in all 85 Postal Service performance clusters. An evaluation completed with the help of Indiana University has found: the majority of complaints mediated under REDRESS settle, diminishing the number of complaints proceeding to the formal stage; the REDRESS process is significantly faster; supervisors who have been through the mediation process manage workplace conflict more successfully; and employees, union representatives, and supervisors show high and equal satisfaction with all aspects of the program.

Rules Governing the Activity
Complaints may not be mediated if there is an active criminal or other Inspection Service investigation, or if an active Office of Workers Compensation Programs (OWCP) file is pending. Prospective mediators must go through a three-part application process, which includes a mandatory training segment and selection criteria. Only mediators on the resulting pre-qualified roster may be used, and they must abide by established Postal Service standards to retain this status.

Contacts
Laree Martin, Manager, Equal Employment pportunity; Email: lmartin5@email.usps.gov.; Kevin Hagan, Redress Program; Email: mailto:khagan@email.usps.gov. U.S. Postal Service, 475 L'Enfant Plaza, SW, Washington, DC 20260-0004; Telephone: (202) 268-3991.

How the ADR System Works
REDRESS II is an extension of the Postal Service's REDRESS (Resolve Employment Disputes Reach Equitable Solutions Swiftly) EEO mediation program. REDRESS mediation is offered to complainants in lieu of counseling in the informal complaint process. If a complaint becomes a formal complaint and it is appropriate for ADR, mediation will be offered under REDRESS II.

Background/Objective
REDRESS II began in 2000 as part of an effort by the law department to expand the use of ADR in Equal Employment Opportunity cases whenever appropriate. Its objective is to resolve individual disputes quickly nd effectively by empowering the parties to find their own solutions through better understanding and recognition of each other's viewpoints. In turn, it is expected that this will improve the overall workplace climate.

Duration/Current Activity
REDRESS II is currently available through all of the Postal Service's aw department and labor relations field offices. Staff attorneys have been schooled in effective mediation advocacy skills and work closely with their clients to address cases in the most effective manner. The goal is to increase the use of mediation so that it is offered in all appropriate cases. This program is ongoing and continues to grow.

Rules Governing the Activity
Complaints may not be mediated if there is an active criminal or ther Inspection Service investigation, or if an active Office of Workers Compensation Programs (OWCP) file is pending. Mediators re not employees of the Postal Service and must complete a three-part application process including screening for minimum qualifications, training and skills assessment. Only mediators on the pre-qualified roster are used to mediate cases in conformance with established Postal Service standards.

Contacts
Karen Intrater, Managing Counsel, Employment and Labor Law; United States Postal Service Law Department; 475 L'Enfant Plaza SW, Room 6436, Washington DC 20260-1150; Email: kintrate@email.usps.gov; Telephone: (202) 268-3026

Traci Gann, Acting Chief Counsel, ADR; United States Postal Service Law Department; 475 L'Enfant Plaza SW, Room 6514, Washington DC 20260-1150; Email: tgann@email.usps.gov; Telephone: (202) 268-8029

ADR Technique: Ombudsman

How the ADR System Works
Most cases come to the attention of the Ombuds through personal contact by employees from throughout the agency. The Ombuds handles a wide variety of cases that might otherwise be resolved in some formal resolution process. The Ombuds always makes sure that the individuals involved know about these other processes that might be available in a given situation. In some situations, cases are referred to the Ombuds by other offices. For example, the equal employment opportunity office refers individuals when it turns out that they do not have discrimination complaints. If the Ombuds is working with an individual in cases where a discrimination matter is involved, the Ombuds notifies the EEO office of this fact and keeps that office informed of any progress toward resolution (without disclosing the names of individuals involved unless there is specific authorization to do so). If the individual prefers that the Ombuds not attempt resolution of the discrimination matter, the Ombuds refers the individual to the EEO office. Other referrals come from the employee assistance program (EAP). The Ombuds may act as a mediator in resolving a matter. If a matter is covered by the union contract and involves a bargaining unit employee, the Ombuds will notify the union and will discontinue resolution efforts if the union wishes to take on the case.

Background/Objective
The Ombuds program was set up in part in 1977 to provide relief to some of the agency's employees who didn't enjoy the protections that Title 5 Federal employees had and to address the belief that some disputes involved issues that didn't really fit under established procedures. The Ombuds is intended to be a neutral party to whom employees can bring any work-related problem, concern or complaint that could not be resolved through normal channels.

Duration/Current Activity
About 75% of the Ombuds' time is spent on individual employee cases and 5% is spent on cases involving systemic matters. Between 220 and 250 cases per year are processed by the Ombuds.

Rules Governing the Activity
The Ombuds works within the Office of the Under Secretary for Finance and Administration of the agency and operates under The Ombudsman Association code (which requires confidentiality of all proceedings unless there could be physical harm to the individual or others). Information about the program is contained in a brochure.

Contact
Chandra Heilman, Smithsonian Institution, 900 Jefferson Drive, SW, Room 2101, Washington, DC 20560-0425; Telephone: (202) 357-3261; FAX: (202) 786-2528; Email: heilmanc@ops.si.edu.

ADR Technique: Multiple Techniques

How the ADR System Works
SSA's ADR program covers a wide range of issues including employment disputes, EEO complaints, partnership disputes and any other issue involving third parties. The program encourages the use of a variety of techniques, including arbitration, conciliation, facilitation, mediation, factfinding, and expedited arbitration. ADR may be used to resolve the entire issue or a portion of the issue. Some examples where ADR is used at SSA include: partnership agreements, grievance procedure, ULP process, negotiations, and EEO matters.

Background/Objective
There are a variety of ADR procedures that have been used to resolve disputes at SSA. SSA plans to allow the parties to a dispute the greatest flexibility possible and therefore, does not prescribe a detailed set of ADR procedures. Deputy Commissioners and Regional Commissioners are permitted to design and implement ADR procedures for their components, either on a pilot or full implementation basis. If a component chooses to participate in the ADR process, the component may determine specific procedures to be used for all disputes. Alternatively, the component may treat each dispute on an ad hoc basis and select whatever type of process appears to be best for a particular dispute. The only limitation on the use of ADR procedures is that both parties agree to use just those procedures. Parties include the employee who files the grievance and the grievance official involved. Note: The declination of the Stage one Official to use ADR procedures does not preclude the use of those procedures by the Stage two Official. Each component pays any expenses incurred by the use of ADR. Office of Labor Management and Employee Relations maintains a list of arbitrators with arbitration/mediation experience whose services may be procured as needed. In addition, SSA's Ombudsman's Office in the Office of Human Resources is available to assist in resolving grievances. There is no charge for its services.

Duration/Current Activity
The ADR program was developed in 1993 and became operational in 1994. SSA has implemented key aspects of ADR in every component. SSA plans to continue and will expand implementation of ADR during the next year.

Rules Governing the Activity
The rules governing ADR are contained in partnership agreements, memorandum of understandings, the agency collective bargaining agreements, and other agency documents.

Contact
Michael J. Hoover, OGC, Social Security Administration, Woodlawn, MD 21235; Telephone: (410)966-5737; FAX: (410) 966-6486; Email:mailto: Michael.Hoover@ssa.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
WNPSC created the Roundtable Alternative Dispute Resolution Process as a joint union-management partnership adjunct to the Employee Assistance Program (EAP). This ADR process is used as an early intervention to resolve conflicts involving performance, attendance, conduct, tardiness and interpersonal disputes. The Roundtable process may be initiated by an employee, supervisor or union representative. The complaint is reviewed by a "screener" who determines if the complaint fits into the process. The Roundtable is made up of a cadre of managers and bargaining unit employees. The cadre does factfinding, clarifies and defines problems and facilitates agreements on mutual solutions.

Background/Objective
The program was developed to reduce the number of adverse actions, resolve disputes more quickly and increase staff productivity. ADR helps to resolve workplace issues in a positive manner. At a time when workloads are increasing, staff resources are diminishing, and the number of managers shrinking, the WNPSC found it is necessary to refocus this attention on positive and proactive dispute resolution.

Duration/Current Activity
The Roundtable process operates under an informal agreement between management and the local union representative. The Roundtable process began in April 1998, and has continued since that date.

Rules Governing the Activity
This ADR process was developed in consultation with an EAP counselor who assisted in training a cadre of union and management screeners. There is a Roundtable Oversight Committee (another union/management group) charged with monitoring and evaluating the process.

Contacts
Stephen Breen, Assistant Regional Commissioner, Western Program Service Center, SSA, 1221 Nevin, P.O. Box 4119, Richmond, CA 94804; Telephone: (510) 970-1400; Fax: (510) 970-1415; Email: sf.arc.peo@ssa.gov or steve.breen@ssa.gov.

ADR Technique: Ombudsman

How the ADR System Works
The Ombudsman for Civil Service Employees and a special assistant provide answers to employee questions about career opportunities, training, and other work-related matters. The Ombudsman has an open-door approach to individuals contacting the office and, once contacted, protects the individual's confidentiality. A primary focus of the Ombudsman's office is systemic issues in the workplace which affect Civil Service employees. The office also provides confidential counseling for employees on matters of concern but does not supplant other dispute processes such as the grievance procedure and the Equal Employment Opportunity discrimination complaint process. The Ombudsman or special assistant occasionally, and with the individual employee's consent, engage with management on the employee's behalf in an effort to resolve the employee issue or concern.

Background/Objective
In the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (PL-100-204), Congress established the Office of Ombudsman for Civil Service Employees in the Office of the Secretary of State to advise the Secretary and senior management on Civil Service issues, to assure the ability of Civil Service employees to contribute to the agency's mission, and to ensure that the career interests of these employees are adequately represented via a vis the Foreign Service. By law, the Ombudsman must be a career member of the Senior Executive Service and reports directly to the Secretary of State.

Duration/Current Activity
About 70% of the office's time is spent on policy and systemic issues and about 20% on individual issues and concerns. The Ombudsman is a collateral duty and takes up about 20% of the incumbent's total time. The special assistant is available on a full-time basis. The office does not maintain statistics on individual cases.

Rules Governing the Activity
The rules governing the office and Ombudsman activities are prescribed in Section 172 of the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (PL-100-204).

Contact
Ted A. Borek, Ombudsman for Civil Service Employees, U.S. Department of State, S/CSO, Room 5815A, Washington, DC 20520; Telephone: (202) 647-2182; FAX: (202) 736-7968; Email: ombudsmacs@state.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
ADR has been used successfully in a number of areas including various labor disputes, contract disputes, and litigation cases. In addition, TVA has used mediation to resolve EEO complaints and considers using other ADR procedures when appropriate. An in-house ADR training program is used as an awareness and overview program for TVA personnel.

Background/Objective
All TVA offices have been informed that TVA encourages the use of ADR where appropriate and feasible to achieve consensus decisions which resolve disputes fairly and economically. There is no separate budget or staff for ADR activities. ADR activities instead are funded as components of various agency program budgets - primarily that of the Office of the General Counsel, whose attorneys handle most ADR proceedings as a part of their legal work for TVA. TVA uses both its own attorneys with specialized training in mediation and arbitration as well as outside arbitrators and mediators. ADR is reflected in performance appraisals of attorneys who are responsible for ADR training and implementation.

Duration/Current Activity
Types of ADR that have been used in various disputes include mediation, arbitration, partnering, and initrials. In July 1999, TVA implemented a new ADR pilot program which includes mediation and arbitration for various claims against TVA including claims for personal injuries and property damage. This program has led to the successful resolution of a number of claims ince the program was initiated. The pilot program has been made a permanent component of TVA's ADR procedures.

Rules Governing the Activity
There are no formal written rules governing when ADR is to be used. It is used on an ad hoc basis when it appears appropriate to do so. ADR is conducted in accordance with mediation rules and procedures used by the Federal courts and established arbitration rules and procedures.

Contacts
James E. Fox, Deputy General Counsel, 400 West Summit Hill Drive, Knoxville, TN 37902-1401; Telephone: (865) 632-4151; Email: jefox@tva.gov. William L. Osteen, Jr., Associate General Counsel, 400 West Summit Hill Drive, Knoxville, TN 37902-1401; Telephone: (865) 632-4142; Email: wlosteen@tva.gov.