ADR Technique: Multiple Techniques

How the ADR System Works
The Bureau of Engraving and Printing's Alternative Dispute Resolution (BEP ADR) Program became operational on January 3, 1997, as a joint pilot project with the Joint Labor-Management Partnership Council. The current Program still includes a steering committee comprised of members from labor and management. The primary ADR techniques used are mediation, fact-finding and facilitation. The issues that are resolved arise mostly in the informal and formal EEO and labor-management complaint processes (of the issues addressed, 49% involved alleged discrimination cases and 51% involved non-EEO complaints). In the past fiscal year, the ADR Staff has moved to a more proactive conflict prevention/management approach by providing organizational conflict and development facilitations by its ADR Staff. For mediations, the collateral-duty mediators are drawn from a cadre of in-house mediators trained specifically for the program and external mediators. In addition, management and labor officials receive mediation and conflict resolution training on an ongoing basis. The BEP ADR Program received 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 provide early and effective conflict prevention, management and resolution services to BEP employees. The objective is to change the Bureau's culture in a way that promotes managing conflict promptly and informally.

Duration/Current Activity
The Alternative Dispute Resolution Program has helped improve employee morale and satisfaction, as well as management-employee relationships. Where employees have agreed to use the mediation or fact-finding processes, 85% 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 five years, the ADR program has processed more than 165 cases with an estimated cost avoidance ranging from $2.6 to $4.1 million $. The Program has been widely advertised and marketed through brochures, news articles, internal network news and orientation training classes.

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
Marlene Lovelace Shaw, ADR Program Manager, Room 735-3A, 14th & C Streets, SW, Washington, DC 20228; Telephone: (202) 874-6046; FAX: (202) 927-1817; Email: marlene.lovelace@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 EEO 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 29% of the total complaints filed in Fiscal Year 2001, ADR was used to help mediate resolution that resulted in 40% resolution rate. The cost of a mediation session is approximately 8% of the cost to process a complaint through the formal process.

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
Catherine Cheyssial, ADR Coordinator, U.S. Customs Service, 610 West Ash Street, San Diego, CA 92101. Telephone: (619) 557-5360; FAX:(202) 927-1476; email: Catherine.M.Cheyssial@customs.treas.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
The EEO Counselor conducts the initial interview with the aggrieved party and obtains all relevant information about the alleged discriminatory act. During this interview, the Counselor explains and issues the ADR program brochure. If the aggrieved party agrees to mediate, the management official is contacted and is invited to participate in mediation in order to resolve the issue. If both parties agree to participate, then mediation is scheduled and a trained, certified mediator from either the IRS cadre of mediators, or with a mediator from the Treasury Shared Neutrals program is assigned to conduct the mediation. The mediation process is voluntary, and may be used by any employee (or applicant) who contacts the EEO Counselor for the purposes of initiating an EEO pre-complaint. IRS employees who initiate their claims as part of the informal EEO grievance process may also participate in ADR.

Background/Objective
In November 2000, the IRS and the National Treasury Employee's Union (NTEU) signed a Letter of Understanding (LOU) and a Memorandum of Understanding (MOU) both of which outlined the EEO ADR process. The features of this process include the party's right to be informed of the availability of ADR during the initial interview with an EEO Counselor; mediators certified by the Department of the Treasury will be used; if the parties resolve their issues during the settlement conference, then an agreement is prepared and executed by all parties; if no agreement is reached, then the EEO regulatory process will continue, or a bargaining unit employee may elect to pursue a formal grievance. The objectives of the mediation process are to open lines of communication between parties, and to allow the parties an opportunity to participate jointly in a process designed to give them control over how the issue is resolved. ADR offers parties the opportunity for an early, informal resolution of disputes in a mutually satisfactory fashion. ADR usually costs less and uses fewer resources than traditional administrative or adjudicative processes. Resolving issues early ultimately costs the government less money because there is very little accrual of compensatory damages, and attorney fees. In addition, employee morale is generally enhanced when issues are resolved early.

Duration/Current Activity
Marketing of the ADR program began in March 2001 with several initiatives: (1) Straight Talk, A Newsletter for Managers, published an article entitled, "The Service Has A New Way to Handle EEO Complaints;" (2) the National Director of EEO and Diversity sent a pre-recorded voicemail message to all IRS employees announcing the start of the ADR program; and (3) the national headquarters EEO webpage contained information in the form of Frequently Asked Questions. The IRS ADR program was launched in April 2001. Since then, over 200 IRS employees have been given training to serve as mediators. During FY 02, there were 133 mediations held, and 73 resolutions (54.9%). Post-mediation survey feedback has indicated that an overwhelming majority of participants rated the process as highly favorable inasmuch as participants were Satisfied (rating of 4) or Very Satisfied (5) on a scale of 1-5. The survey comments received generally indicated that the "process was helpful," and that it was a "very beneficial tool to resolving workplace conflicts".

Rules Governing the Activity
In November 2000, the IRS and the National Treasury Employee's Union (NTEU) signed a Letter of Understanding (LOU) that outlined the EEO ADR process, and also signed a Memorandum of Understanding (MOU) which outlined ADR during the informal EEO grievance procedure. These documents specify that only non-mixed and individual complaints can be considered for the process. ADR Program Operational Procedures were subsequently developed and distributed to all EEO specialists and managers.

Contacts
Roslyn D. Brown, Director, Discrimination Complaint Review Unit, Internal Revenue Service, 1111 Constitution Ave., NW, Room 2422, N:EEO, Washington, D.C. 20224; Telephone: (202) 927-2743; Fax:(202) 622-4454; Email: Roslyn.D.Brown@irs.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
The ADR program currently operates at all United States Mint locations and uses mediation and binding arbitration to provide employees with a "fast track" alternative to resolving most employment disputes, including Equal Employment Opportunity (EEO) complaints. Within 15 days of a decision or event that raises a dispute, employees submit their requests to an ADR Intake Coordinator, who schedules mediation, maintains records, and processes requests for arbitration (if mediation is unsuccessful and the case is eligible for arbitration). Eligibility for arbitration is based on whether the case is appealable through a relevant statutory process.

EO Counselors offer ADR as an option at the beginning of the pre-complaint stage of the EEO process. If the complainant elects ADR in the pre-complaint stage, the parties have up to 90 days to attempt resolution of the issue(s) with a mediator. 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.

For non-EEO disputes processed through the Mint's ADR Program, the claimant waives statutory and regulatory rights to pursue the issue in other forums. Waiver of these rights is informed and voluntary on the part of claimant. If mediation is unsuccessful, claimants may either withdraw the case from the ADR Program or progress to binding arbitration, should their case be eligible.

Background/Objective
In January 1998, the U.S. Mint launched an ADR pilot project allowing for mediation and, where appropriate, binding arbitration to resolve virtually all types of employee disputes, including EEO complaints, internally. The pilot program was implemented 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 and grievances. The Mint's ADR Program has substantially reduced the funds that the Mint would have otherwise spent in connection with defending work-related disputes under the statutory process. Evaluations indicate that both management and employees were satisfied with the ADR process, and both parties believe their agreements are fair. Disputes have been appropriately addressed in an early intervention mode and the ADR Program has significantly contributed to a healthier work environment.

The Mint's ADR Program is currently undertaking a Conflict Management initiative aimed at providing employees and management with tools for resolution prior to mediation. The initiative will utilize conflict consultants who function in the capacity of facilitator or one-on-one coach as needed. Rollout of the program is scheduled for the beginning of FY 03. The anticipated benefits of the initiative are informal and earlier resolutions and as well as improved communication among employees of the Mint.

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. The Justice Center of Atlanta and/or the Federal Mediation & Conciliation Service (FMCS) train internal mediators in mediation. Staffing for the program includes collateral duty ADR Intake Coordinators and Mediators as well as the ADR Program Manager located at Headquarters. The ADR Program Manager, who collaborates with the Mint's Office of Chief Counsel, Office of Equal Opportunity, and the Mint Council (AFGE) National President, is responsible for program management, administration, and evaluation. Arbitrators are obtained from external sources, such as FMCS, as needed. Each Mint facility is responsible for its own costs associated with the program. All ADR Intake Coordinators, Mediators, and employees are granted official time to participate in the program.

Contact
Erin Byrnes, ADR Program Manager, U.S. Mint, 801 9th Street, NW, 7th Floor, Washington, D.C. 20220. Telephone: (202) 354-7803; FAX: (202) 756-6108; Email: ebyrnes@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 yearly 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 in Charge James Yarosh, Ombudsman Program, Office of The Assistant Director, Human Resources and Training, United States Secret Service, 950 H Street, NW, Suite 3100, Washington, D.C. 20223; Telephone: (202) 406-5555; Email: ssombud@usss.treas.gov.