ADR Techinque: Multiple Techniques

How the ADR System Works
FDIC's ADR Program has eight major parts: conflict management systems design, ADR advice and consultation; mediation and facilitation services; ADR policy and legislative analysis; outreach and work in the federal sector; ADR training and education; evaluation and tracking; resources and references; and support for the Corporate ADR Steering Committee. The FDIC's current ADR policy strongly encourages the use of ADR and is committed to continuing to expand its use both internally and with those outside the Corporation. The current ADR policy is outlined at 62 Fed.Reg. 66370 and the Arbitration Policy at 66 Fed. Reg. 18632.

Background/Objective
In 1989 during the height of the banking and thrift crisis, the FDIC (which then also had responsibility for the Resolution Trust Corporation (RTC)) adopted ADR policies in response to the increasing number of cases in which the FDIC and RTC found themselves on opposite sides of a lawsuit with few, if any, other disputants. The FDIC's Legal Unit used trained FDIC and RTC personnel to resolve these disputes. This led to the establishment of the ADR Unit whose purpose is to develop, implement, and coordinate ADR programs for use in preventing disputes from occurring and resolving those which do occur in the most timely and least costly manner.

Duration/Current Activity
In addition to the negotiation, mediation and arbitration used in various internal disputes, the FDIC has also used mediation, minitrials, early neutral evaluation, non-binding and in rare cases, binding arbitration, to resolve disputes with outside parties. These cases have included creditor claims, real estate disputes, commercial matters, and professional liability cases. The FDIC also has a mediation program to resolve EEO disputes, both in the formal and informal stages. The FDIC also uses ADR techniques in labor-management matters.

Rules Governing the Activity
In disputes involving internal FDIC parties, members of the ADR Unit are often asked to provide conflict management system design services or mediation/facilitation services. In disputes arising among entities controlled by the FDIC, ADR coordinators encourage negotiation and mediation. For cases involving outside parties, the Legal Division has guidelines to determine whether a case is appropriate for ADR and what type of ADR should be used. Approval to use ADR with an outside party may be given at the field level if proper monetary delegations of authority are present. Special procedures govern the use of binding arbitration and the selection and payment of neutrals, and approval by Headquarters is required. The FDIC has also participated for years in court-ordered ADR.

Contact
ames Lantelme, Dispute Resolution Specialist, Assistant General Counsel, Legal Division, Federal Deposit Insurance Corporation, 550 17th Street, NW, H-3123, Washington, DC 20429; Telephone: (202) 736-0120 Email: jlantelme@fdic.gov.

ADR Technique: Mediation

How the ADR System Works
The Early Intervention Program is a joint initiative of the agency EEO Director, Personnel Director, and EEO counselors to use ADR techniques to resolve employee concerns that might otherwise result in the filing of a formal EEO complaint. Prior to filing an EEO complaint, employees may voluntarily agree to meet, separately or jointly, with the EEO Director, Personnel Director, EEO Counselor, and/or the party allegedly responsible for the discrimination or other wrongdoing. The EEO Director establishes ground rules for the resolution meeting, facilitates the discussion, recommends options, reduces the terms of the informal resolution to writing, coordinates the document with the Personnel and Staff Directors to obtain agency approvals, issues the approved resolution agreement to the appropriate parties, and schedules follow-up meetings to measure progress and ensure full compliance with the negotiated terms. If resolution attempts are unsuccessful, the employee may proceed with EEO counseling and the filing of a formal complaint.

Background/Objective
The initiative began in March 1994, as an attempt to bring about more timely and complete resolution of employee concerns.

Duration/Current Activity
During the period March 1994 through April 1997, the agency resolved 100% of the 26 issues employees brought voluntarily before the EEO Director. Based on the EEOC's 1996 estimates, the total cost to process an EEO complaint from precomplaint counseling to litigation is between $162,390 and $310,390. The agency has therefore recognized substantial savings. Before initiation of the Early Intervention Program, the agency carried from two to five formal EEO complaints at any given time.

Rules Governing the Activity
The program is entirely voluntary, and there are no formal rules.

Contact
Patricia A. Brown, EEO Director, Federal Election Commission, 999 E Street, NW, Room 436, Washington, DC 20463; Telephone: (202) 694-1228; FAX: (202) 219-0260; Email: pbrown@fec.gov.

ADR Technique: Mediation

How the ADR System Works
The mediation program at the General Accounting Office (GAO) is strictly voluntary. GAO employees are encouraged to consider mediation for all work related issues including issues raised in discrimination complaints or grievance processes. It is also used to resolve difficulties in working relationships between a staff member and a supervisor, or between two or more individuals working together. Mediation is introduced to an employee during the precomplaint stage and is most frequently used before a formal complaint is filed. However, if all parties agree, mediation may be used at any stage in the process. GAO has trained over 35 employees as collateral duty in-house mediators.

Background/Objective
GAO's mediation program was established in fiscal year 1989 as a pilot. The objective was to clear up a backlog of Equal Employment Opportunity (EEO) complaints. The agency also was looking for a way to process employee disputes without formal complaints. The pilot program became a formal mediation program in November 1990.

Duration/Current Activity
There is no time limit on the duration of the current program. 135 cases have been processed and the level of activity varies from year to year with the high being 26 in one year.

Rules Governing the Activity
GAO Order 2713.2, Discrimination Complaint Process, Chapter 2, Mediation Program, December 2, 1997.

Contact
Dolores H. Crawford, Program Manager, General Accounting Office, Civil Rights Office, 41 G Street, NW, Room 6F08, Washington, DC 20548; Telephone: (202) 512-4715; FAX: (202) 512-4818; Email: crawfordd@gao.gov.

ADR Technique: Mediation

How the ADR System Works
GSA attempts to resolve EEO complaints at the earliest stage possible. GSA offers ADR, primarily through mediation, at both the informal pre-complaint stage and the formal EEO complaint stage of the Federal sector EEO process. In accordance with 29 C.F.R. Part 1614, if ADR is opted for at the pre-complaint counseling stage, the period for counseling is 90 days.

Background/Objective
The ADR concept was established in 1990 by the EEO Office as an Informal Resolution Process (IRP) as a means of resolving disputes throughout the complaint process using informal resolution techniques. In 1998, the EEO Office re-invigorated the ADR program by training mediators and participating in nationwide awareness briefings.

Duration/Current Activity
Since 1990, an ADR process has been offered to resolve EEO complaints.

Rules Governing the Activity
The process is voluntary. Current operating procedures offering guidelines for the use of ADR for EEO complaints are under review.

Contact
Regina M. Budd , General Services Administration, Office of the General Counsel, 18th and F Streets, NW, Washington, DC 20405; Telephone: (202) 501-4571; FAX: (202) 208-0085.

ADR Technique: Mediation

How the ADR System Works
The General Services Administration (GSA) in the Greater Southwest Region provides mediators for any requested Government mediation. The mediators (Cadre members) volunteer to spend their resources (mileage, time, and parking) to mediate a requested case within the Dallas/Forth Worth metroplex area. Additionally, when an agency, or service of GSA is willing to fund the travel expenses, a GSA volunteer mediator will fly to another region. The mediators assume mediation responsibilities in addition to normal assigned work responsibilities. Each mediator realizes that mediation opportunities are provided by the volunteer process.

The FussBuster program was deigned to simplify a mediation request. First, a request for a mediator is sent to the Regional Counsel (RC). Often the parties will first contact a contracting officer, supervisor, or EEO Officer who then forwards the request to the office of Regional Counsel. Second, the parties involved in the mediation are required to sign an authorization of agreement to mediate in good faith, and to provide two optional dates and times for the mediation. Third, the mediator sends the request to one of the three volunteer mediator schedulers who arrange a place and find two co-mediators who are available to mediate that case. The scheduler (there are three volunteers) handle the necessary scheduling work in notifying the parties of when, where, and who will mediate.

The regional Counsel's office, with the requester, will determine whether a GSA mediator or a Dallas Fort Worth/Federal Executive Board/Alternate Dispute Resolution committee (DFW/FEB/ADR) mediator will be requested. Because GSA mediators in this region will also mediate through videoconference, telephone or mediate in other cities and states, flexibility is available by use of GSA mediators. In on-site EEO cases, a mediator from the FEB/ADR program may be requested.

In summary, this GSA region actively supports the Greater Southwest Region GSA Mediation program, the DFW/FEB/ADR program, and contractor mediators in order to meet varying mediation requests.

Background/Objective
The objective of the GSA volunteer Cadre is to provide an EASY TO ACCESS resolution method to disputants. The goal of the GSA Cadre mediators is to mediate. The only way to mediate is to have disputants request mediation. The ease of accessing the process was determined to be critical to the success of the program. The volunteer Cadre members perform many "behind the scene tasks" to keep the program alive and accessible. The disputants need only bring a dispute to the Cadre.

Duration/Current Activity
The Greater Southwest Region Cadre began in The Greater Southwest Region Cadre began in 1995 with several mediators meeting informally to discuss a GSA mediator program. The mediators were strongly supported by management and were provided funds to make a video advertising the GSA "Fuss Buster" program as it was then named. Record keeping charts were started in 1996. (The Cadre is also largely responsible for the organization and continued support of the DFW/FEB/ADR program). While the first class of GSA trained mediators was numbered at 40, with Government downsizing and increased workload, the current Fuss Buster Cadre is presently comprised of 15 trained and experienced mediators. While the number of mediators has decreased, the experience and success of the present GSA mediators has increased.

The Cadre plans to meet once a month and has established a permanent "brown bag" luncheon on the third Wednesday of each month (this goal is not always met). An advertising campaign promoted a new and active program for agencies and tenants of the Fritz Lanham Federal Building at 819 Taylor Street in Fort Worth, Texas. A "fall kick off" program was held in the lobby during 2000 with the mediators providing refreshments, a video written and produced by the mediators, and written information. That program is scheduled to be repeated during the fiscal yearl of 2003. The primary accomplishment of the program is the consistent use of mediation in GSA issues. Contract issues have a high degree of successful settlement. Personnel issues have a 50/50 percentage of settlement.

Rules Governing the Activity
The Cadre is defined as an actual working The Cadre is defined as an actual working democracy. The members are voluntary; the chairperson of the monthly meetings is a different volunteer each month. The meeting format is presented by the chairperson, and generally includes an update on new members, mediation statistics (settlements, numbers) and includes shared tales of experiences for mediators. When a need arises, a volunteer is requested. New educational training opportunities are presented. A report on the DFW/FEB/ADR program is presented when that group has met. The written rules are non existent, the goal is to keep a functioning group of mediators available when needed.

Summary of Results

The Greater Southwest Region's Mediation program is active and functions with little cost to the Government. Minimal awards to GSA mediators have been granted for the last five of the six functional years. There are sufficient GSA mediators (15) trained and experienced in the process to meet all requests in this and other GSA regions, and to assist in the DFW/FEB/ADR program. The GSA managers in the GSA Greater Southwest Region are knowledgeable about the program and many have participated in mediations personally. The legal staff promotes the process and has trained four of the six attorneys in advanced mediation. The volunteer mediators from all of the GSA services provide sufficient backgrounds to effectively mediate any type of case.

During the calendar year of 2001, this GSA region participated in 25 mediations. The attached chart shows the case number, mediators, subject, date set and actual date, disposition and service. During the calendar year of 2002, the GSA committee statistics show GSA involved in the mediation process as either a mediator or as a participant in mediation in 32 cases. Two of these mediations were held in Denver, Colorado, and one in San Antonio, Texas.

The volunteer program of the Greater Southwest Region's mediation program, "The Fuss Busters" has been enabled because of the unusual dedication to the concept of mangers as well as mediators. The Fuss Busters are very proud of its mediation program and believes the dedication of managers and mediators shows a proud record of accomplishment in dispute resolution.

Contact
Jerry Ann Foster, Regional Counsel (GSA) Telephone: 817-978-2325 FAX: 817-978-4924 or Liz Taylor Telephone: 817-978-2779, FAX 817-978-7017; Linda Langston (7PWS) 817- 978-3897: 819 Taylor, Room 11A31, Fort Worth, TX 76102. Email: mailto:jerryann.foster@gsa.gov; or liz.taylor@ gsa.gov; or linda.langston@gsa.gov