ADR Technique: Multiple Techniques

How the ADR System Works
The Bureau of Engraving and Printing's Alternative Dispute Resolution Pilot Project became operational on January 3, 1997, as a joint venture with the Joint Labor-Management artnership Council. The program includes a committee comprised of an equal number of members from labor and management. The primary ADR techniques used are mediation, factfinding, and facilitation. The issues that are resolved are mostly those that arise in the informal and formal EEO and labor-management relations complaint processes (of the issues addressed, 38% involved grievances and 29% involved EEO complaints). The mediators are drawn from a cadre of in-house mediators trained specifically for the program and external mediators. In addition, management and labor officials have received mediation and conflict resolution training. The BEP ADR Program was the recipient of the 1999 Office of Personnel Management Director's Award for Outstanding ADR Programs; honorable mention for the 1998 John N. Sturdivant Partnership Award; and the BEP Quality Achievement Award.

Background/Objective
The purpose of the Alternative Dispute Resolution Program is to resolve conflict at the lowest level within the agency, restore productivity to areas impacted by conflict and improve working relationships among affected parties. The objective is to change the agency's culture in a way that promotes managing conflict promptly and informally.

Duration/Current Activity
The Alternative Dispute Resolution Pilot Project has helped improve employee morale and satisfaction and has improved management-employee relationships. Where employees have agreed to use the mediation or factfinding processes, 83% of the cases were resolved within approximately 15 days (versus 180 days or more through the traditional complaint process) after the dispute was brought to the project. ADR has reduced processing time and transaction costs associated with processing informal and formal complaints through the administrative, grievance, and EEO processes. Over the past three years, the ADR program has processed more than 120 cases with an estimated cost avoidance of over $2,500,000. The project has been widely advertised and marketed through brochures, news articles, and through the internal network news.

Rules Governing the Activity
Department of Treasury Order 107-06; Title 5 of the U.S. Code Section 301; Administrative Dispute Resolution Act of 1996; and, (d) Alternative Dispute Resolution Act of 1998.

Contacts
Linda Bradford-Washington, Alternative Dispute Resolution Staff, Room 735-5-PD, 14th & C Streets, SW, Washington, DC 20228; Telephone: (202) 874-6046; FAX: (202) 927-1817; Email: linda.washington@bep.treas.gov.

ADR Technique: Mediation

How the ADR System Works
The Public Debt Early Resolution Process was permanently established in October 1998 after the successful completion of a pilot program that started in April 1997. Public Debt has made a conscious decision to always extend the offer of alternative dispute resolution (ADR) to aggrieved person(s) through the equal employment opportunity (EEO) process when the requested resolution is within Public Debt's authority. As situations arise, Public Debt evaluates each on a case-by-case basis to determine whether the use of ADR would be appropriate. Public Debt has an interagency agreement with the Federal Mediation and Conciliation Service for mediation services. Whenever Public Debt needs a mediator, the EEO Office makes arrangements directly with the mediator. Therefore, no additional staff within the EEO Office is required. Public Debt is very supportive of the ADR program and has approved a generous budget to ensure that every individual who expresses interest in ADR will be able to participate in the program.

Background/Objective
Advantages of the ADR process include: 1) Public Debt gains an additional opportunity to resolve EO complaints at a lower level and more autonomously; 2) the ADR process diminishes formal complaint activity and thus the expenses incurred in connection with the Regional Complaints Centers; and 3) time spent in mediation is significantly less than time spent on formal complaints. These advantages immediately translated into goals and objectives for the ADR program at Public Debt.

Duration/Current Activity
In 6.3% of the total complaints filed in Fiscal Year 1999, ADR was used to help mediate resolution that resulted in 100% resolution rate with a direct cost savings to the bureau of $8,594.00. The cost of a mediation session is approximately 8% of the cost to process a complaint through the formal process. For fiscal year 2000 year to date, 9.1% of total documented complaints have requested ADR.

Rules Governing the Activity
Public Debt Issuance 71-02--Public Debt Early Resolution Process.

Contacts
Cheryl D. Adams, EEO Officer, Bureau of the Public Debt, 200 Third Street, P.O. Box 1328, Parkersburg, WV 26106; Telephone: (304) 480-6527; FAX: (304) 480-6074; E-mail: cadams@bpd.treas.gov.

ADR Technique: Mediation

How the ADR System Works
The United States Customs Service and National Treasury Employees Union (NTEU) implemented an Alternative Dispute Resolution Procedure for bargaining unit employees to process Equal Employment Opportunity (EEO) disputes. The procedure gives the parties 90 days to informally resolve the dispute through mediation. When a bargaining unit employee requests mediation under the negotiated process, the parties have agreed to participate in at least one mediation session. If there is no resolution during the informal process, the employee can then elect to pursue his complaint either through the statutory process or the negotiated ADR process. If the employee elects the negotiated ADR process, the parties have the opportunity to resolve their dispute through mediation. The process also features an optional panel review process at the formal stage. Customs also has implemented an ADR process (mediation) for non-bargaining unit employees at both the informal and formal stages of the EEO complaint process in compliance with 29 C.F.R. 1614. To use the mediation process effectively, Customs has established an internal cadre of mediators. These collateral duty employees, trained and certified through the Justice Center of Atlanta, are located throughout the Customs Service.

Background/Objective
The objective of the ADR program is to 1) resolve informal EEO disputes prior to filing a formal EEO complaint and 2) improve communication.

Duration/Current Activity
Both the Negotiated and Statutory ADR process have been in effect since October 1, 1999. Under the current process, over 50 disputes have been mediated with a resolution rate of approximately 65%.

Rules/Governing the Activity
The ADR process has been incorporated under Article 18 of the Bargaining Agreement between NTEU and Customs. In addition, Customs has issued written implementation guidance for both the negotiated and statutory process.

Contacts
Alfred Furrs, Equal Employment Specialist, U.S. Customs Service, 1300 Pennsylvania Avenue, NW, Room 3.2A, Washington, DC 20229. Telephone:(202) 927-0246; FAX:(202) 927-1476; email: alfred.e.furrs@customs.treas.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
In 1993 IRS management and the National Treasure Employees Union (NTEU) jointly established the Conflict Management Initiative and the Center for Conflict Management, and adopted the interest-based approach based on Getting To Yes (Fisher, Ury and Patton). The Initiative consists of three strategies: education; leadership and partnering; and conflict management systems.

Education: provides interest-based skills, tools and techniques to everyone in the organization. To date, an estimated 35,000 people have been trained.

Leadership and Partnering: fosters an interest-based approach within IRS. Beginning with the establishment of the Initiative and the Center, management and NTEU have advocated using the interest-based approach in a variety of settings, including several pilots to demonstrate its impact. External partners include dispute resolution experts and professional associations, as well as taxpayers.

Conflict Management System: incorporates the interest-based approach into grievance resolution and negotiation processes as part of an integrated conflict management system for the IRS.

The Initiative has influenced the use of the interest-based approach nternally and externally, as well as formally and informally. Examples include Fast Track Mediation for certain tax disputes, negotiation of the Restructuring Agreement, revision of some Internal Revenue Manual procedures, a change in core competencies to reflect managing conflict, and inclusion of an ADR clause in the union contract.

Background/Objective
The Center was established to provide training, consulting and support services, and resource/clearinghouse information. The objective is to change the way the IRS deals with conflict by promoting a culture that manages and resolves conflict at the source, both within the Service and with taxpayers.

Duration/Current Activity
Education efforts are now geared toward customizing courses to meet specific business needs. The Center is working with an external contractor to design a conflict management system for the IRS.

Rules Governing the Activity
There are no restrictions on the issues organizations and individuals can bring to the Center.

Contacts
Deborah Landen, Team Leader, Phone: (404) 338-7028, Fax: (404) 338-7029, E-mail: Deborah.Landen@m1.irs.gov; Maxine Hess, Organization Development Consultant, Phone: (404) 338-7027, Fax: (404) 338-7029, E-mail: Maxine.Hess@m1.irs.gov; 401 W. Peachtree Street, Room 2031, Atlanta, GA 30308-3539.

ADR Technique: Mediation

How the ADR System Works
The ADR Program at the Internal Revenue Service's Kansas City Service Center was established as an early intervention process to be used during the initial stages of an informal EEO complaint. The option of selecting ADR is afforded to every complainant upon initiation of an informal complaint. If the complainant selects ADR, an ADR Panel will be convened and meet with the parties within seven to ten days. If settlement is not reached during this meeting, the case continues under the normal EO process. The program utilizes employee neutrals for its ADR Panel, consisting of two management officials and two NTEU representatives. There are six members on the management cadre, with an equal number on the NTEU cadre, and they rotate to serve on the panel. Panel members receive training in mediation and new panel members sit in and observe several ADR sessions prior to serving on a panel y themselves. This program has worked very smoothly with much of the credit due to joint efforts between management and NTEU, whose officials have demonstrated genuine support of the program.

Background/Objective
The program was established as a six-month pilot program, and due to its success, continues to the present time. Its objectives are to facilitate resolution of EEO complaints as soon as possible at the source, encourage open ommunication in a non-threatening environment, encourage parties to take responsibility for resolving their dispute, allow neutral third parties to assist the parties in identifying the underlying causes of the dispute and create remedies for resolution, improve workplace relationships, and avoid lengthy litigation.

Duration/Current Activity
Since its establishment in April 1994, 190 cases have been handled through the ADR program. Reports completed for each informal complaint filed at the service center show approximately a 2:1 benefit in terms of resolution rates, cost of resources, and time spent when comparing the ADR program with traditional counseling.

Rules Governing the Activity
The agency has established procedural steps consistent with 29 CFR 1614, roles of participants in the process, and ground rules for the ADR Panel.

Contact
Robert M. White, Assistant to the Director for Diversity and Equal Opportunity, Internal Revenue Service, Kansas City Service Center, KCSC Stop 1010MB, Kansas City, MO 64131; Telephone: (816)926-5488; FAX: (816) 926-5932; Email: robert.m.white@irs.gov.

ADR Technique: Mediation

How the ADR System Works
The North-South Carolina District of the IRS has developed a peer mediation process in which a neutral third party, the peer mediator, facilitates problem solving between two or more individuals or groups in resolving their EEO related dispute. This is a voluntary process in which the mediator helps the parties identify their interests, develop options for resolution, and arrive at a jointly acceptable agreement of the parties' own choosing. The peer mediator has no decision making authority and cannot impose a decision. Peer mediators serve all levels within the North-South Carolina District, assist the parties in as informal a manner as possible, and are present only to facilitate the process.

Background/Objective
In the early 1990's, the agency requested that offices place an emphasis on reducing the number of formal EEO complaints. The district's EEO staff and EEO Advisory Committee took on the challenge to identify ways to impact the number of formal EEO complaints. The result was the Peer Mediation Process. The process provides: 1) a non-threatening, non-intimidating environment for employees to communicate dispute issues; 2) an environment where the disputing parties can discuss interests and options to reach a mutually satisfactory resolution; 3) an avenue to retain the employee's rights under the statutory omplaint process; and 4) a way to maintain or improve employee-employer working relationships.

Duration/Current Activity
The peer mediation process was implemented in 1996 when nine employees were selected from strategic geographic locations in North and South Carolina and provided training in conflict management and facilitation skills. Each year, approximately 20 employees are invited to choose the option of using the Peer Mediation Process to resolve potential complaints. About a third of the contacts choose the process. Written settlement agreements are not always the end result. However, in every case, the process results in improved communication between the employee and the manager, which fosters a more harmonious working relationship.

Rules Governing the Program
The Peer Mediation Process was developed locally based on several mediation models used by public and private organizations. However, the final product was developed by the North-South Carolina District's EEO staff, he local EEO Advisory Committee with support from the local organizational development specialist, and concurrence by the National Treasury Employee's Union, Chapter 50 and Chapter 55.

Contact
Gwendolyn L. Pearson, Chief, EEO and Diversity, Internal Revenue Service, North-South Carolina District, 320 Federal Place, Room 229, Greensboro, NC 27401; Telephone: (336) 378-2488, FAX: (336) 378-2086.

ADR Technique: Multiple Techniques

How the ADR System Works
The ADR program is currently operated by the U.S. Mint at all of its locations and uses mediation and binding arbitration to provide employees with a "fast track" alternative to resolving most employment disputes and EEO complaints. Within 15 days of a decision or event that raises a dispute, employees ubmit their requests to an ADR Intake Coordinator who schedules mediation, maintains records, and processes requests for arbitration (if mediation is unsuccessful). For EEO complaints, EEO Counselors offer ADR as an option at the beginning of the pre-complaint stage. For non-EEO discrimination disputes processed through the Mint's ADR Program, the claimant waives their statutory and regulatory rights to pursue their issue in other forums. Waiver of these rights is informed and voluntary on the part of claimant. If mediation is unsuccessful, claimants may either discontinue their grievance or progress to binding arbitration. For EEO complaints, if ADR is selected in the pre-complaint stage, the mediator has up to 90 days to attempt resolution of the issues. If the issues are unresolved, the complainant has the option of (a) selecting binding arbitration under the Mint's ADR Program; or (b) receiving the Notice of Right to File a Formal Discrimination Complaint. Arbitration must be completed within 30 days of the appointment of an arbitrator. The arbitrator has 60 days to issue a final written decision, which is binding on all parties. In disputes alleging discrimination, arbitrators determine only if discrimination occurred; a three-arbitrator panel holds hearings to determine damages.

Background/Objective
In January 1998, the U.S. Mint created an ADR pilot project that involves the use of mediation and binding arbitration to resolve all types of employee disputes, including Equal Employment Opportunity (EEO) complaints. The pilot program was launched at the Denver and Philadelphia Mints. The American Federation of Government Employees (AFGE) local bargaining units at each location were co-creators of the ADR program and continue to participate in the implementation and evaluation of its operation.

Duration/Current Activity
Since its inception in 1998, the most significant positive results of the program have been the reduction in EEO complaints. The Mint's ADR Program has substantially reduced the amount of funds the Mint would have otherwise expended in connection with defending work-related disputes under the statutory process. Almost all of the employee disputes have been resolved through mediation. Of the total cases processed through ADR since the program's inception, only 3 have gone forward for arbitration. Evaluations indicate that both management and employees were very atisfied with the ADR process, and both parties felt a fair decision had been reached. Disputes have been appropriately addressed in an early intervention mode and the ADR Program has significantly contributed to a healthier work environment.

Rules Governing the Activity
Election of ADR to address disputes is voluntary on the part of the employee. Management participation is mandatory unless compelling circumstances in an unusual case dictate otherwise. Mint employees, who were provided training by the Justice Center of Atlanta and/or the Federal Mediation & Conciliation Service (FMCS) in dispute resolution, conduct the mediation. Staffing for the program at each facility includes collateral duty ADR Intake Coordinators and Mediators. Arbitrators are obtained from external sources (i.e., FMCS) if needed. Each Mint facility is responsible for their respective costs associated with the program. All ADR Intake Coordinators, Mediators, and employees are granted official time to participate in the program. Program management and administration is conducted by an ADR Committee which consists of representatives from the Mint's Office of Chief Counsel, Office of Equal Opportunity, and the Mint Council (AFGE) National President. The ADR Committee is responsible for overall program development, establishment of program policy, and administrative procedures and evaluation.

Contact
Connie Brannon, Equal Opportunity Manager, U.S. Mint, 801 9th Street, NW, Washington, D.C. 20220. Telephone: (202) 354-7260; FAX: (202) 756-6150; Email: cbrannon@usmint.treas.gov.

ADR Technique: Ombudsman

How the ADR System Works
It is the policy of the Secret Service that all employees will have access to a work environment in which they are treated fairly and impartially. It is essential that there exists a mutual trust between employees and management along with a trust in the integrity of the communications process within the Secret Service. In an effort to enhance the ability of the Secret Service to provide such an environment, the position of Ombudsman was established. The Ombudsman provides a mechanism through which employees at all levels may seek answers to questions involving work related activities and programs. Additionally, the Ombudsman provides informal and impartial assistance to employees and managers attempting to resolve work related concerns.

Background/Objective
The Ombudsman program is designed to encourage an open atmosphere in which human relationships may be improved. The program encourages employees to raise an employment concern without fear of reprisal. The success of the program depends on the Ombudsman performing his or her duties with utmost discretion by assuring employees that every effort will be made to keep information confidential unless the affected employee agrees that other parties must be informed in order to facilitate resolution. The Ombudsman program is not intended to be a panacea for all concerns and complaints, rather it is intended to keep lines of communication open among all elements of the Secret Service.

Duration/Current Activity
All Ombudsmen are appointed by the Director with appointments renewable on a two year basis.

Rules Governing the Activity
The following rules are published in the agency's administrative manual. All employees, including supervisors, may contact any of the designated Ombudsmen for assistance. The Ombudsman will listen to the employee's concern, review it, and advise the employee of available options. The Ombudsman, using personal judgment, will facilitate conflict resolution through counseling, mediation, conciliation or other appropriate means. Under most circumstances, an employee with an issue or concern should first discuss the matter with those involved. If the situation is not resolved, the employee should, in most cases, discuss the issue with his or her immediate supervisor. The employee or supervisor may contact an Ombudsman to discuss the pertinent facts and possible resolutions. The Ombudsman does not have decision-making authority in issues brought to his or her attention. The Ombudsman's function is to make suggestions or recommendations to the individuals involved in order to resolve an issue.

Contact
Special Agent Paul B. Imbordino, Special Assistant to the Director, Office of the Director, Treasury, U.S. Secret Service, 950 H Street, NW, Washington, DC 20223; Telephone: (202) 406-5555; FAX: (202) 406-5246; Email: ssombud@usss.treas.gov.