ADR Technique: Peer Review

How the ADR System Works
A Labor Management Committee (LMC) comprised of three union-appointed members and three management-appointed members hears grievances on a variety of topics which have not been resolved after initial review by supervisors and management officials in the bargaining unit involved. After interviewing individuals and reviewing documentation, the LMC issues a written report with its recommendations. When consensus cannot be achieved, recommendations are determined by secret ballot, with the majority position adopted. If both parties accept the recommendation, it is implemented. If either party rejects the committee's recommendation, the grievance may be moved to arbitration. In arbitration, the case is assigned in rotation to one of five arbitrators who have been previously accepted by both the union and management. The arbitrator's decision is normally binding on both parties but may be appealed under limited conditions. This committee also serves as a mechanism to conduct impact and implementation bargaining using interest-based negotiations.

Background/Objective
In 1992, the Employee and Labor Relations Division and the American Federation of Government Employees, Local 32, negotiated a collective bargaining agreement which includes an ADR option as part of the grievance procedure. The objective of the program is to minimize the use of third parties to resolve disputes.

Duration/Current Activity
Operational since October 1992, the committee has reached a consensus on every case that it has reviewed--never has a secret ballot vote been necessary. Over that period, it has reviewed performance based actions, disciplinary actions, and impact and implementation bargaining cases.

Rules Governing the Activity
Rules are contained in the April 1999 Collective Bargaining Agreement between the Employees and Labor Relations Division and the American Federation of Government Employees, Local 32.

Contact
Janet Smith, Labor Relations Specialist, Employee Relations and Performance Management Team, Office of Personnel Management, 1900 E Street, NW, Washington, DC 20415-0001; Telephone: (202) 606-4473; FAX: (202) 606-1732; Email: jsmith@opm.gov.

ADR Technique: Mediation

How the ADR System Works
REDRESS is an EEO mediation program. The acronym stands for Resolve Employment Disputes Reach Equitable Solutions Swiftly. A complainant who contacts an EEO counselor is offered mediation with an approved outside mediator in lieu of counseling. If the complaint does not settle during that process, the complainant may continue through the traditional process.

Background/Objective
REDRESS began in 1994 with a pilot project in three Florida cities. It has two objectives: to resolve individual disputes quickly and effectively, by empowering the parties to find their own solutions; and to address underlying issues and improve the workplace climate.

Duration/Current Activity
REDRESS is currently available to all Postal Service employees and applicants. An evaluation completed with the help of Indiana University has found: the majority of complaints mediated under REDRESS settle, diminishing the number of complaints proceeding to the formal stage; supervisors who have been through the mediation process manage workplace conflict more successfully; and employees, union representatives, and supervisors show high and equal satisfaction with all aspects of the program.

Rules Governing the Activity
REDRESS is operated pursuant to the requirements outlined in 29 CFR &#sect; 1614 and the EEOC's Management Directive 110. The Postal Service has decided that it is unwilling to mediate complaints where there is an active Inspection Service, Inspector General or other criminal investigation, or when the employee's real complaint is based on issues outside the Postal Service's jurisdiction such as workers' compensation or disability retirement issues.. Prospective mediators mustmeet established qualification standards and participate in transformative mediation training. Only mediators on the resulting pre-qualified roster may be used, and they must abide by Postal Service standards of practice to retain this status. Current and former Postal Service employees are not eligible to become REDRESS mediators.

Contacts
Stephanie Webster, Manager, Equal Employment Opportunity; Email: swebste1@email.usps.gov; Patricia Boylan, REDRESS Program Manager; Email: pboylan1@email.usps.gov; U.S. Postal Service, 475 L'Enfant Plaza, SW, Washington, DC 20260-0004; Telephone: (202) 268-7400. Website: www.usps.com/redress

How the ADR System Works
REDRESS II is the Postal Service's mediation program for formal EEO complaints. If a complaint is not resolved during the informal stage and the employee goes on to file a formal complaint, mediation may be offered under REDRESS II.

Background/Objective
REDRESS II began in 2000 as part of an effort by the law department to expand the use of ADR in Equal Employment Opportunity cases whenever appropriate. Its objective is to resolve individual disputes quickly and effectively by empowering the parties to find their own solutions through better understanding and recognition of each other's viewpoints. The Postal Service believes this type of interaction will improve the overall workplace climate.

Duration/Current Activity
REDRESS II is currently available through all of the Postal Service's law department and labor relations field offices. Staff attorneys have been trained in effective mediation advocacy skills and work closely with their clients to address cases in the most effective manner. The goal is to increase the use of mediation so that it is offered in all appropriate cases. This program is ongoing and continues to grow.

Rules Governing the Activity
The same rules apply to REDRESS II that are applicable to REDRESS as the only distinction between the two programs is the stage of the EEO process in which they are used. Additionally, the Postal Service has collaborated with the EEOC to begin a mandatory mediation program for Postal Service complaints at the hearing stage. When a complainant requests a hearing from the EEOC, the EEOC judge will order the parties to participate in mediation within 90 days. The Postal Service has agreed to pay for the mediation, using mediators from the REDRESS roster.

Contacts
Karen Intrater, Managing Counsel, Employment and Labor Law; United States Postal Service Law Department; 475 L'Enfant Plaza SW, Room 6436, Washington DC 20260-1150; Email: kintrate@email.usps.gov ; Telephone: (202) 268-3026
Geoff Drucker, Chief Counsel, Dispute Resolution and Prevention; United States Postal Service Law Department; 475 L'Enfant Plaza SW, Room 6514, Washington DC 20260-1150; Email: GDrucker@usps.com; Telephone: (202) 268-5121>

ADR Technique: Ombudsman

How the ADR System Works
Most cases come to the attention of the Ombuds through personal contact by employees from throughout the agency. The Ombuds handles a wide variety of cases that might otherwise be resolved in some formal resolution process. The Ombuds always makes sure that the individuals involved know about these other processes that might be available in a given situation. In some situations, cases are referred to the Ombuds by other offices. For example, the equal employment opportunity office refers individuals when it turns out that they do not have discrimination complaints. If the Ombuds is working with an individual in cases where a discrimination matter is involved, the Ombuds notifies the EEO office of this fact and keeps that office informed of any progress toward resolution (without disclosing the names of individuals involved unless there is specific authorization to do so). If the individual prefers that the Ombuds not attempt resolution of the discrimination matter, the Ombuds refers the individual to the EEO office. Other referrals come from the employee assistance program (EAP). The Ombuds may act as a mediator in resolving a matter. If a matter is covered by the union contract and involves a bargaining unit employee, the Ombuds will notify the union and will discontinue resolution efforts if the union wishes to take on the case.

Background/Objective
The Ombuds program was set up in part in 1977 to provide relief to some of the agency's employees who didn't enjoy the protections that Title 5 Federal employees had and to address the belief that some disputes involved issues that didn't really fit under established procedures. The Ombuds is intended to be a neutral party to whom employees can bring any work-related problem, concern or complaint that could not be resolved through normal channels.

Duration/Current Activity
About 75% of the Ombuds' time is spent on individual employee cases and 5% is spent on cases involving systemic matters. Between 220 and 250 cases per year are processed by the Ombuds.

Rules Governing the Activity
The Ombuds works within the Office of the Under Secretary for American Museums and National Programs of the agency and operates under The Ombudsman Association code (which requires confidentiality of all proceedings unless there could be physical harm to the individual or others). Information about the program is contained in a brochure.

Contact
Chandra Heilman, Smithsonian Institution, 900 Jefferson Drive, SW, Room 2101, Washington, DC 20560-0425; Telephone: (202) 357-3261; FAX: (202) 786-2528; Email: heilmanc@ops.si.edu.

ADR Technique: Multiple Techniques

How the ADR System Works
SSA's ADR program covers a wide range of issues including employment disputes, EEO complaints, partnership disputes and any other issue involving third parties. The program encourages the use of a variety of techniques, including arbitration, conciliation, facilitation, mediation, factfinding, and expedited arbitration. ADR may be used to resolve the entire issue or a portion of the issue. Some examples where ADR is used at SSA include: partnership agreements, grievance procedure, ULP process, negotiations, and EEO matters.

Background/Objective
There are a variety of ADR procedures that have been used to resolve disputes at SSA. SSA plans to allow the parties to a dispute the greatest flexibility possible and therefore, does not prescribe a detailed set of ADR procedures. Deputy Commissioners and Regional Commissioners are permitted to design and implement ADR procedures for their components, either on a pilot or full implementation basis. If a component chooses to participate in the ADR process, the component may determine specific procedures to be used for all disputes. Alternatively, the component may treat each dispute on an ad hoc basis and select whatever type of process appears to be best for a particular dispute. The only limitation on the use of ADR procedures is that both parties agree to use just those procedures. Parties include the employee who files the grievance and the grievance official involved. Note: The declination of the Stage one Official to use ADR procedures does not preclude the use of those procedures by the Stage two Official. Each component pays any expenses incurred by the use of ADR. Office of Labor Management and Employee Relations maintains a list of arbitrators with arbitration/mediation experience whose services may be procured as needed. In addition, SSA's Ombudsman's Office in the Office of Human Resources is available to assist in resolving grievances. There is no charge for its services.

Duration/Current Activity
The ADR program was developed in 1993 and became operational in 1994. SSA has implemented key aspects of ADR in every component. SSA plans to continue and will expand implementation of ADR during the next year.

Rules Governing the Activity
The rules governing ADR are contained in partnership agreements, memorandum of understandings, the agency collective bargaining agreements, and other agency documents.

Contact
Michael J. Hoover, OGC, Social Security Administration, Woodlawn, MD 21235; Telephone: (410)966-5737; FAX: (410) 966-6486; Email: Michael.Hoover@ssa.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
The Department of State (DOS) Alternative Dispute Resolution (ADR) program is administered by the Office of Civil Rights, which reports to the Secretary. The program receives funding through the Office's budget. The ADR alternative to formal administrative processes has been publicized through training and intra-departmental advertisements. Participation in ADR is required for management officials if the employee elects mediation. The Department is the first in the federal government to require a responding management official and a resolving management official to be present during mediation.

The ADR process begins when an employee elects mediation. The Department employs negotiations, consultations, and mediation as the primary method of ADR. The Department reserves final authority in deciding whether a case is appropriate for mediation. Mediation of a formal complaint is coordinated with the Department's contract mediators and the Office of Civil Rights. The Department uses trained professional mediators through a contract with the Justice Center of Atlanta, a nationally known GSA-approved firm to provide services. This organization has an extensive roster of experienced, accredited professionals and has over 20 years of experience having handled over 60,000 referrals with a 65 percent settlement rate. The Office of Civil Rights ADR section is responsible for coordinating mediation sessions, and maintains space conducive to group mediation sessions, break-out sessions, and informal discussions in a State annex building in downtown Washington, D.C. Mediations are held over a period of several days combining several cases.

Background/Objective
The ADR program is a focal point of Secretary of State Collin L. Powell's initiative to be more responsive to employee concerns and complaints. The primary goal is to make the Department customer service oriented and responsive to employee complaints, and the program reflects the administration's commitment to resolving complaints at the earliest level. Under Secretary Powell's leadership, the use of ADR was expanded and used to resolve the substantial number of backlogged complaints the agency was facing.

Duration/Current Activity
The Department's ADR program for FY02 was very successful in resolving employee complaints and concerns. At present, the Department's resolution rate that results in a signed settlement agreement achieved through ADR is between 72 and 76 percent. The ADR program saves approximately $4,000 per case by obviating the need for a formal investigation and compilation of a Report of Investigation. In addition, EEO complaint cases filed in FY02 were being processed within only 60 days when the employee elected mediation.

Rules Governing the Activity
All workplace dispute issues potentially are eligible for resolution through the program, except for those involving criminal conduct or malfeasance. Management is required to participate in employee elects ADR. The Department reserves final authority on whether an issue is appropriate for ADR.

Contact
Szu-Nien Su, Special Assistant, Office of the Undersecretary of State for Management, Department of State, 2201 C Street, NW, Washington, D.C. 20520-4216; Telephone: (202) 647-9295; Fax: (202) 647-4969; Email: SuS@state.gov.

ADR Technique: Ombudsman

How the ADR System Works
The Ombudsman for Civil Service Employees and a special assistant provide answers to employee questions about career opportunities, training, and other work-related matters. The Ombudsman has an open-door approach to individuals contacting the office and, once contacted, protects the individual's confidentiality. A primary focus of the Ombudsman's office is systemic issues in the workplace which affect Civil Service employees. The office also provides confidential counseling for employees on matters of concern but does not supplant other dispute processes such as the grievance procedure and the Equal Employment Opportunity discrimination complaint process. The Ombudsman or special assistant occasionally, and with the individual employee's consent, engage with management on the employee's behalf in an effort to resolve the employee issue or concern.

Background/Objective
In the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (PL-100-204), Congress established the Office of Ombudsman for Civil Service Employees in the Office of the Secretary of State to advise the Secretary and senior management on Civil Service issues, to assure the ability of Civil Service employees to contribute to the agency's mission, and to ensure that the career interests of these employees are adequately represented via a vis the Foreign Service. By law, the Ombudsman must be a career member of the Senior Executive Service and reports directly to the Secretary of State.

Duration/Current Activity
About 70% of the office's time is spent on policy and systemic issues and about 20% on individual issues and concerns. The Ombudsman is a collateral duty and takes up about 20% of the incumbent's total time. The special assistant is available on a full-time basis. The office does not maintain statistics on individual cases.

Rules Governing the Activity
The rules governing the office and Ombudsman activities are prescribed in Section 172 of the Foreign Relations Authorization Act, Fiscal Years 1988 and 1989 (PL-100-204).

Contact
Ted A. Borek, Ombudsman for Civil Service Employees, U.S. Department of State, S/CSO, Room 5815A, Washington, DC 20520; Telephone: (202) 647-2182; FAX: (202) 736-7968; Email: ombudsmacs@state.gov.