Duration/Current Activity
In 2002, the Department updated the publication, re-titled the Department of Commerce Alternative Dispute Resolution: EEO Mediation Guide, to reflect policy and procedural improvements in the ADR program. All employees entering the EEO process are given a copy of the Guide. In addition, the Department revised all Notices of Acceptance for Investigation correspondence issued to complainants at the formal complaint stage to elaborate on the rights and responsibilities of complainants with respect to ADR. Each Notice mailed includes a copy of the EEO Mediation Guide. As a result, election of mediation has increased significantly, particularly at the formal complaint stage.

The Department continues to evaluate policy and regulation requirements, as well as bureau training and briefing needs. The Department conducts on-going Best Practices studies to identify the ADR program structure of successful programs with high mediation election and resolution rates. And, the NOAA ADR program offers conflict prevention and resolution workshops for employees, supervisors and managers, and work teams.

Rules Governing the Program
Participation in mediation is voluntary for both employees and managers. Agreements must be mutually acceptable to both parties. If no agreement is reached, the dispute is returned to the original dispute process. Discussions and settlement proposals are confidential and are not used to influence a decision should a settlement not be reached. The Office of General Counsel developed settlement agreement templates for all Department ADR mediations. Final settlement agreements are reviewed by the Human Resource Management Office and the Office of General Counsel to ensure regulatory and legal sufficiency.

Contact
Roslyn Hoover, DOC ADR Program Manager, Office of Civil Rights, Room 6003, Department of Commerce, 14th and Constitution Avenue, NW, Washington DC 20230; Telephone: (202) 482-8122 Fax: (202) 219-8661; Email: rhoover@DOC.gov.

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
The ADR program is very successful and exceeds the Commission's expectations as a vehicle to resolve workplace disputes and facilitate the accomplishment of CFTC's regulatory responsibilities. In three years since the program was established, the agency has managed thirty-six dispute-related matters, including grievances and EEO complaints. With the exception of pending cases, all matters were successfully resolved as a result of early intervention, cooperative problem solving, conciliation, facilitation, fact-finding and mediation.

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,Human Resources 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. Since its inception, the ADR program's resolution rate for cases filed has been over 80%. The Corporation has focused much of its ADR resources this past year on training activities, and on developing ways to better inform Corporation staff about the ADR program.

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
The Office of Complaint Investigations (OCI) offers ADR at multiple stages during formal Equal Employment Opportunity (EEO) case processing, either before an investigation begins or at any time during the investigation whenever resolution appears promising.

OCI's ADR team, composed of seven volunteer certified mediators, concentrates its efforts exclusively on mediation of complaints before the investigation of a complaint. The ADR team does not participate in any subsequent investigation of the complaint. This process is initiated by contacting the EEO Point of Contact (POC) to offer the use of ADR. The program is strictly voluntary on the part of the parties. It follows a true mediation model, where mediators act as neutrals; guiding parties through difficult communication issues; asking probing questions during caucus, when necessary; stimulating the parties to suggest creative options; shifting focus from strongly held positions to more realistic interests; but taking no authority to make decisions or push outcomes.

All OCI investigators are certified mediators. If during the course of investigation, the parties are interested in settlement, investigators assigned to investigate the complaint may initiate settlement discussions and work toward that aim. This process follows a problem solving model with the interest of the parties taken into consideration, but does not precisely follow a mediation model. The investigators typically meet with all the parties together, guide the discussions, keep parties on target, ask them to consider evidence that has been or will be presented, and encourage brain-storming of possible solutions. ADR is also promoted during fact-finding conferences. This technique begins with a settlement conference prior to the investigation, during which options for resolutions are explored and discussed. If a settlement cannot be reached, a fact gathering procedure is used that requires parties to present "their side" of the dispute and allows them to state their position and interests in the matter. After hearing the other's evidence and position, the parties often reevaluate the strengths and weaknesses of their own position, which may lead to further settlement discussions.

Background/Objective
Recognizing the impact ADR could have on the approximately 4,000 complaints OCI processes annually, the Office moved to a focus on the use of ADR. This shift sought to reduce the current and potential EEO case inventory, improve relationships between complainants and their DOD employers, reduce processing time, and free up investigator's time to quickly investigate those complaints that could not be settled. The program has met with a great deal of success since its inception.

Duration/Current Activity
OCI began to move its focus to establishing an outstanding ADR program beginning in October 1998. Since that time, OCI has processed 14,755 complaints, with its ADR efforts leading to the following results:

• Trained & certified 87 mediators;
• Offered resolution on 100% of all cases processed;
• Resolved 48% of all ADR attempts;
• Reduced processing time 27.5%;
• Avoided between $240 million and $940 million in cost; and
• Reduced OCI inventory of Equal Employment Opportunity (EEO) cases 40%.

Rules Governing the Activity
"Resolution as the Solution" was adopted as OCI's corporate strategy in 1999. It involved a "shift in thinking" away from investigations, and toward resolutions, as the preferred method of processing EEO cases. Under the program, the Military Departments and Defense agencies are required to provide ADR in the pre-complaint phase of an EEO case. ADR efforts include mediation, facilitation, and fact-finding conferences that require the parties' voluntary participation, as well as a willingness to open the lines of communication. Open communication allows the parties to hear the other side of the dispute, and hearing begins to break down the barriers of misunderstanding.

Contact
Joanne Harty, Director, Office of Complaint Investigations (OCI), 1401 Wilson Boulevard, Suite 1009, Arlington, VA 22209; Telephone: (703) 696-1584; Fax: (703) 696-7731.

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; Email: 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 and the One Book

Contact
Beth Broidy Lagana, DSCC-G, P. O. Box 3990, Columbus, Ohio 43216-5000; Telephone: (614)692-1859; DSN: 850-1859 Email: Beth.Lagana@dscc.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 Collaborative Resolution Program (CRP) is located within the Office of the Secretary of Defense's (OSD) Washington Headquarters Services (WHS) and offers mediation and facilitation as the primary techniques to resolve workplace disputes. Participants are encouraged to utilize the CRP at the earliest possible point of intervention and lowest level of managerial involvement. Mediation, however, is also offered during formal administrative complaint processes.

Background/Objective
WHS has utilized mediation for years in EEO cases, but its use expanded to include administrative grievances, unfair labor practice complaints, and all other various workplace disputes. One full time ADR Specialist serves as the senior mediator, facilitator, and trainer. The CRP functions to help resolve overt conflicts directly and to teach employees, managers, and executives about concepts of dispute resolution and conflict management skills. The CRP plans to incorporate peer paneling as an additional tool for informal dispute resolution.

Duration/Current Activity
Mediation was used in January 1995 to help resolve a complex, multi-party EEO complaint and has been utilized within the agency ever since. Furthermore, several Senior Executive Service members received mediation training from the Justice Center of Atlanta and have served as mediators for workplace disputes. The CRP was officially announced in March 2001 and has continued to play an important role in providing timely and cost-effective services. Based on statistics from the Equal Employment Opportunity Commission, the CRP could be directly attributed to saving OSD between $77,000 and $105,000 in EEO complaint processing costs. The average duration for each ADR case was 21 days, which was 20 times faster than the formal EEO complaint process at 425 days.

Rules Governing the Activity
Employee participation with the CRP is completely voluntary and information provided is kept confidential. Neutrals trained by the CRP receive thorough class instruction, practice opportunities, and mentoring. In addition, they are expected to adhere to ethical responsibilities similar to those outlined by the Association for Conflict Resolution.

Contact
Scott M. Deyo, ADR Specialist; Collaborative Resolution Program, OSD/WHS/P&SD/EEOPD, 1777 North Kent Street, Suite 12063, Arlington Virginia, 22209; Telephone: (703) 588-0451; Email: deyos@psd.whs.mil.

ADR Technique: Multiple Techniques

How the ADR System Works
The Defense Threat Reduction Agency (DTRA) established an ADR program available to all civilian and military personnel assigned to DTRA. The program addresses workplace disputes, issues and controversies. DTRA encourages the use of ADR when the issues are well understood by the parties, the disputes revolve around facts, each party involved has an interest in resolving the dispute and reaching an agreement, and all parties involved desire a speedy resolution.

The DTRA uses ADR techniques such as mediation, facilitation and fact-finding to assist parties resolve disputes. If any issue remains unresolved at the conclusion of the ADR process, an employee may still pursue the issue through the formal Equal Employment Opportunity (EEO), Administrative Grievance System (AGS) or Inspector General (IG) process, as appropriate. The most common techniques used to achieve success under the DTRA ADR program are mediation and fact-finding. Matters relating to the procurement process are not covered under this system.

Background/Objective
The ADR program was designed as a tool to assist both managers and employees to resolve problems without costly and lengthy litigation. The program has worked to reduce costly, adversarial and time-consuming formal grievances and EEO complaints, improve morale, save resources, and has enhanced mission accomplishment.

The objective is a program that (1) is voluntary, fair, confidential and neutral; (2) is legal and enforceable; (3) does not abrogate an individual's rights under other forums if ADR is elected; (4) does not exceed 90 days for most situations; and (5) designates an agency ADR Advisor.

Duration/Current Activity
As a follow-on to the Dispute Resolution Act of 1990 and guidance from other Federal agencies, the DTRA began a one-year pilot program in October 2000 for civilian employees in the NCR. The current program is applicable to civilian and military personnel worldwide.

Rules Governing the Activity
The applicability and scope of this program is set forth in DTRA Instruction 5145.5.

Contact
Kimberly Loder-Albritton, ADR Advisor, 8725 John J. Kingman Drive, (MSC 6201), Fort Belvoir, VA 22060-6201; Telephone: (703) 767-5896; E-mail: kimberly.loder-albritton@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 complaint or 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.