ADR Technique: Mediation

How the ADR System Works
The Early Resolution of EEO Complaints (EREC) program offers mediation as an option in the informal and formal stages of the EEO complaint process:
Informal stage — During the initial interview with complainant, the EEO counselor describes the EREC option, along with the traditional counseling process and the complainant's rights and responsibilities. If the complainant elects mediation (by signing an agreement to extend counseling and to mediate), the counselor does an expedited, limited factfinding and forwards the counselor's report to DOL's Coordinator of Counselors (COC), who convenes a meeting of the EREC Team (which includes the responding agency's EEO manager) to consider broad options for resolution. Subsequently, the COC names the mediator, who schedules the mediation, and the agency EEO manager selects the agency Settlement Official from a list of officials (usually SES) to whom the Assistant Secretary of the responding agency has delegated authority to negotiate a resolution and commit the agency to it. The Settlement Official replaces the responding official in the mediation process to ensure that proposed resolutions can be implemented. Where issues are resolved in mediation, resolution is captured in a settlement agreement signed by both parties. Where issues remain unresolved, the complainant is given a notice of right to file and has 15 days to file a formal complaint on the unresolved issues.
Formal stage — The complainant is informed in the letter accepting the formal complaint that he/she may request mediation at any stage in the formal process. The option is offered again in the letter transmitting the completed investigative file to the complainant and offering the complainant the choice of an agency decision or an EEOC hearing/decision. Should the case be accepted for mediation at this stage, mediation (see informal process above) proceeds in parallel with the agency's drafting of the decision or the request for hearing to EEOC.

Background/Objective
The Civil Rights Center (CRC), organizationally located within the Office of the Assistant Secretary for Administration and Management, developed the EREC program in response to recommendations of the National Performance Review. The program complies with recent revisions to 29 CFR Part 1614. EREC objectives include: allowing parties to resolve disputes themselves; encouraging open communication in a nonthreatening environment; using a neutral third party to help parties clearly identify the problem and underlying interests as a basis for resolution; avoiding administrative process time/costs and protracted litigation; and improving workplace relationships.

Duration/Current Activity
Fully implemented in the informal process in DOL (headquarters and all regions) as of 10/1/96, and in the formal stage of the EEO process effective 11/9/99.

Rules Governing the Activity
CRC Policy Memorandum 6 describes the EREC program.

Contact
Lynne Pratico, Chief, Office of Mediation, Counseling, and Evaluation, Civil Rights Center, U.S. Department of Labor, 200 Constitution Avenue NW, Room N4123, Washington DC 20210. Phone 202-693-6536. Email: pratico-lynne@dol.gov.

ADR Technique: Mediation

How the ADR System Works
The Library of Congress has established ADR agreements with its non-bargaining unit employees, American Federation of State, County, and Municipal Employees, Locals 2477 and 2910, and the Congressional Research Employees Association. Each agreement recommends the use of mediation to resolve workplace disputes whether they are equal employment opportunity complaints, grievances, or a category designated as "other." The LOC encourages parties involved in a dispute to resolve it directly through informal discussions, or through mediation facilitated by conveners in its Dispute Resolution Center. Parties retain the option, in certain limited circumstances, of using a peer panel process outlined in the negotiated agreements and the regulation.

Background/Objective
It is the policy of the LOC that disputes be settled informally at the lowest level possible. The LOC also encourages the use of ADR to devise interest-based resolutions to disputes. When possible, systemic problems are identified and recommendations are made for their resolution.

Duration/Current Activity
The Dispute Resolution Center was established on October 11, 1991. Since the Center's inception, it has proven to be very instrumental in the LOC's efforts to resolve disputes before they reach the formal stages of investigation, hearings, or District Court litigation.

Rules Governing the Activity
The rules governing this program are found in an LOC regulation and in negotiated agreements with the labor organizations.

Contacts
Andre C. Whisenton, Library of Congress, 101 Independence Ave., SE, Room 626, Washington, DC 20540; Telephone: (202) 707-4170. Cortez Austin, Library of Congress, 101 Independence Ave., SE, Room 624, Washington, DC 20540; Telephone: (202) 707-9403.

ADR Technique: Mediation

How the ADR System Works
How the ADR System Works:
All ten NASA Centers have Alternative Dispute Resolution (ADR) programs in place that employ mediation to attempt settlement of complaints at the informal stage of the complaints process. NASA also has an ADR program at the formal stage of the complaint process that employs mediation. It can be used at any time after a complaint is filed up until a hearing, agency decision, or the filing of a civil action. The program at the formal stage uses contract mediators that have been certified as meeting the requirements of the Equal Employment Opportunity Commission's (EEOC) Management Directive (MD) MD-110.

Background Objective
The objective of ADR is to obtain resolutions of employment disputes at the earliest possible time in the process and at the lowest organizational level. In addition, ADR may resolve disputes before positions harden, and it may highlight poor personnel or management practices that can be corrected before employees and managers become further polarized.

Duration/Current Activity
NASA began a pilot program in ADR at Goddard Space Flight Center (GSFC) in December 1991, and all NASA Centers had adopted some form of ADR for use at the informal stage by 1994. When new EEOC regulations were proposed in 1998, that required ADR at both the informal and formal stages of the complaint process, NASA undertook a review of its existing ADR programs. As a result of that review, NASA's Office of Equal Opportunity Programs conducted an ADR/Mediation/Conference to provide a framework for the refinement of existing programs or development of new programs at the NASA Centers for the informal stage as well as the development of an Agency Program for the formal stage of the process. Following EEOC's issuance of its final rule, NASA put in place an Agencywide ADR mediation system consisting of individual Center mediation programs at the informal stage of the process and a centrally operated Agencywide mediation program at the formal stage of the process. The overall program has been operational since February 2000. All NASA Centers are reporting varying levels of activity and success. The Office of Equal Opportunity Programs is continually evaluating these programs to access their effectiveness.

Rules Governing the Activity
The Agency as well as the Center ADR mediation program have written procedures in place for the mediation processes, which define the role and responsibilities of all parties. The program is voluntary for both the complainant and the Center or Agency, and no rights are sacrificed during the processes. Settlement agreements are reduced to writing and signed by all necessary parties.

Contact
Andrea M. De Coteau, NASA Headquarters, Office of Equal Opportunity Programs (Code EC), Washington, DC 20546-0001; Telephone (202) 358-2180; Email: adecotea@hq.nasa.gov.