In the Federal dispute resolution process, four key agencies adjudicate appeals arising from workplace disputes. These administrative appeals agencies are the Federal Labor Relations Authority (FLRA), the Equal Employment Opportunity Commission (EEOC), the Merit Systems Protection Board (MSPB), and the Office of Special Counsel (OSC). Each has its own statutorily-based areas over which it has authority to adjudicate. MSPB also has appellate jurisdiction over additional matters as authorized by the U.S. Office of Personnel Management (OPM). In addition, while not an "administrative appeals" agency, this section also discusses the Federal Mediation and Conciliation Service (FMCS) since much of what that agency offers for dispute resolution cross-cuts the entire Government, including the four agencies above.

In general, each agency has consistently been faced over the years with demands for quicker resolution of disputes, often at times when they are faced with limited resources to meet those demands. As a result, the administrative appeals agencies experimented with various techniques to carry out their missions. MSPB's settlement initiative was one of the earliest and most concerted efforts to streamline its adjudication process and has led to the present-day statistic that over one half of its appeals are resolved through the settlement process. EEOC has been a leader in encouraging agencies to use ADR techniques to resolve workplace discrimination disputes. FLRA has been instrumental in streamlining the formal adjudicatory process for considering labor-management relations issues and FMCS has been the Government's long-time "go-to" agency for obtaining the services of mediators. Each of the administrative appeals agencies is now using ADR techniques to adjudicate matters over which it has jurisdiction, and each is engaged in substantial outreach efforts to encourage potential litigants to use their respective ADR processes.

This section provides a short summary of the various ADR initiatives each of the four administrative appeals agencies and FMCS are using (or planning to use) at this time. In addition to describing initiatives, the summaries provide the names and contact information for individuals at each agency who can provide more detailed information if needed.

The EEOC is an independent agency charged with nationwide leadership in anti-discrimination efforts and enforcement of related laws. Within the agency, the Office of Federal Operations (OFO) conducts these activities for Federal employees. The regulations that govern Federal sector Equal Employment Opportunity (EEO) programs are found at Part 1614 of 29 CFR and the EEOC's Management Directive (MD)-110 (November 9, 1999).

As of January 1, 2000, all federal agencies are required to establish or make available an ADR program at both the pre-complaint and formal complaint stages of the EEO process. OFO is committed to assisting Federal agencies with technical guidance on their ADR program to ensure its consistency with EEOC's regulations and its MD-110.

Another important function of OFO is to act as a clearinghouse for ADR information in the Federal sector, including statutory and regulatory documents, best practices, sources for neutrals, training opportunities, and ethical issues. In this regard, OFO has developed an ADR webpage to provide agencies with easy access to its ADR clearinghouse, ADR questions and answers, and links to other ADR resources. The web address is http://www.eeoc.gov/federal/adr/index.html.

In an effort to assist small Federal agencies in the Washington, D.C. area, OFO has also established the Federal Sector Mediation Services (FSMS) pilot program to provide mediation services so those agencies can comply with the ADR requirements of Part 1614. To participate in this program, an agency must enter into a memorandum of understanding with the EEOC, whereby the agency would compensate the EEOC for the hourly wages and benefits of the lead mediator and any related administrative costs, pursuant to the Economy Act, 31 U.S.C. 1535.

Most EEOC field hearing offices will make some attempt to encourage pre-hearing settlement of disputes that come to them, but each office takes its own approach. In some offices, the administrative judge assigned to the case will personally conduct settlement discussions with the parties, and then proceed to hearing if these discussions are not fruitful. In orders, the judge who guides settlement exploration is not the same judge who would hear the case. Many EEOC hearing offices offer pre-hearing mediation programs. Except for the FSMS pilot program, which is currently limited to the small agencies in the Washington, D.C. area, the EEOC does not normally have any means to become involved in the resolution of a complaint until it has been assigned for hearing, but agencies are encouraged to contact the local field office if they wish to explore joint ways they can encourage earlier resolution of disputes.

In accordance with the EEOC's goal of fostering ADR at all levels of the federal sector EEO process, OFO has also established the Federal Appellate Settlement Team (FAST) pilot program to resolve disputes in the appellate process. The neutrals in the FAST program are EEOC employees who are experts in federal employment discrimination law and the administrative EEO process. Participation in the FAST program is voluntary for both parties and there is no cost for the mediation services.

For further information, please consult the EEOC's web page at http://www.eeoc.gov/federal/adr/index.html or contact: Donald J. Names, Director, Special Services Staff, EEOC, Office of Federal Operations, 1801 L Street, N.W., 5th floor, Washington, D.C. 20507. Telephone: (202) 663-4591; Fax: (202) 663-4939.

The Federal Labor Relations Authority (FLRA) is an independent agency responsible for administering the labor-management relations program for 1.9 million Federal employees world-wide, approximately 1.1 million of whom are exclusively represented in 2,200 bargaining units. The Authority is actively engaged in labor-management collaboration and other ADR efforts dedicated to reducing the costs of conflict in the Federal service.

The Authority has set up an agencywide program known as the Collaboration and Alternative Dispute Resolution Program (CADR). This program joins all three independent components of the FLRA (the Authority, the Office of General Counsel, and the Federal Service Impasses Panel (FSIP)) to reduce the cost of conflict in the Federal workplace.

CADR helps resolve disputes before they become cases. The CADR program provides interest-based conflict resolution services in pending unfair labor practices, negotiability, representation, and impasse bargaining disputes. CADR has been designed to assist the parties in integrating appropriate ADR techniques into their dispute processes to focus on early resolution. The program also focuses on facilitation and training in relationship building. CADR staff works with labor and management in developing collaborative relationships and constructive approaches to conducting their relationships. When parties voluntarily choose to use CADR's services, the case remains with the particular FLRA component (the Authority, the Office of General Counsel or FSIP). In most circumstances, the case is held in abeyance at the parties' request while attempts are made to informally resolve the dispute.

Within the FLRA Regional Offices, the General Counsel has implemented the Facilitation and Intervention Training and Education Policy (FITE) program. This program allows FLRA employees to use their labor law and problem solving expertise to assist Federal employees, unions and agency management in resolving disputes and enhancing labor-management relationships. FITE allows Federal agencies to partner with Federal unions to deliver the highest quality services that enhance the quality of worklife.

For further information, consult the agency's home page at www.flra.gov, or contact: Andrew Pizzi, CADRO Program; Federal Labor Relations Authority, 607 14th Street, NW, Fourth Floor, Washington, DC 20424-0001; Telephone: (202) 482-6690 ext 408; Fax 202-482-6574. David Feder, FITE Program; Federal Labor Relations Authority, 607 14th Street, NW, Washington, DC 20424-0001; Telephone: (202) 482-6608.

The Federal Mediation and Conciliation Service (FMCS) is an independent agency of the Federal Government established in 1947. The Service, headquartered in Washington, DC, has 210 mediators located in 75 field offices (divided into ten sub-regions) across the country. FMCS is best known for its role as "Peacemaker" in collective bargaining disputes; however, its commitment to dispute resolution extends beyond the labor-management table.

The term "Alternative Dispute Resolution" (ADR) is used to describe a variety of approaches that are alternatives to courtroom litigation or agency adjudication and rulemaking. Under the Administrative Dispute Resolution Act of 1996, FMCS was officially authorized to share its expertise in all aspects of dispute resolution with Federal agencies, including third-party dispute resolution assistance; dispute resolution training for agency personnel; and consultation/systems design. Additionally, FMCS consults with and assists Federal agencies and their designated dispute resolution specialists develop dispute resolution policies.

FMCS has become a leading authority on mediation techniques and offers mediation and facilitation services, consultation, in-house training and development programs to Federal, state and local governmental bodies mediators and agency personnel who structure program content based on the specific needs of the parties. Among these programs and processes currently offered to improve problem-solving, understanding and resolution of disputes are:

ADR Mediation/Facilitation
FMCS can offer trained mediators/facilitators to assist in resolving disputes in a variety of areas. FMCS mediators have resolved complex disputes involving environmental issues, educational grants, agriculture, age discrimination, and other ADR matters for Federal, state and local agencies.

Negotiated Rulemaking
Under the Negotiated Rulemaking Act, FMCS has been authorized to convene and facilitate complex multi-party negotiated rulemaking procedures. As a neutral Federal agency, it works with the regulatory agency involved and all the interested parties who would be covered to help produce a consensual draft rule. This rule is then sent out for public comment. FMCS has mediated rulemaking negotiations for the Federal Aviation Administration, Department of Transportation, Environmental Protection Agency, Occupational Safety and Health Administration, Department of Interior, Department of Housing and Urban Development, and the states of Tennessee, New York and Arizona, among others.

Systems Design Consultation
FMCS mediators are available to work with governmental agencies to design systems for internal or external dispute resolution. Such work normally entails a needs assessment and diagnosis and may involve a site visit. Systems design also includes a "procedures audit" of how issues and problems are currently resolved, what options are available for improvement, and how any new program can be implemented, maintained, and evaluated.

Mediation in Age Discrimination Disputes
Based upon an interagency agreement with the Department of Health and Human Services, FMCS offers mediation to all individuals who file complaints alleging discrimination on the basis of age, in regard to any Federally-funded program (e.g. food stamps eligibility, public housing, education) covered by the Age Discrimination Act of 1975. When a complaint alleging age discrimination is filed with a Federal agency, it is forwarded to FMCS where a mediator has 60 days to assist the parties in reaching agreement. If no settlement is reached at the end of that period, the complaint is returned to the responsible agency for investigations and formal enforcement proceedings.

For further information or assistance, contact the Federal Mediation and Conciliation Service, International and Dispute Resolution Services, ADR Coordinator, 2100 K Street, NW, Washington, DC 20427; Telephone: (202) 606-5445; FAX: (202) 606-3679; Website address: www.fmcs.gov.

The U.S. Merit Systems Protection Board is an independent agency in the Executive branch of the Federal Government that serves as the guardian of Federal merit systems. The Board's mission is to ensure that Federal employees are protected against abuses by agency management, that Executive branch agencies make employment decisions in accordance with the merit system principles, and that Federal merit systems are kept free of prohibited personnel practices. A key function is hearing and deciding employee appeals from agency actions. The Board handles close to 10,000 cases each year.

Under MSPB regulations, individual administrative judges at the regional level "may initiate attempts to settle the appeal informally at any time." As part of the Board's settlement program, the judge assigned to the case uses standard language requesting the parties to attempt to resolve and settle the matter in the judge's first correspondence after an appeal is filed. After being assigned a case, some judges will immediately contact the parties by telephone to initiate settlement discussions. Prehearing conferences also may be used to help achieve resolution of an appeal or, at least, help define and sometimes narrow the scope of formal proceedings. In some cases, a regional office may assign another judge to act as a "settlement judge" at the request of the parties to facilitate resolution. In most cases, settlement agreements are entered into the record with the Board retaining enforcement authority. Overall, more than half of the appeals filed with the Board are settled.

MSPB also operates a settlement program at the full Board level to attempt resolution of appeals involving petitions for review of initial decisions. Under this program, a small cadre of individuals in Washington select a limited number of cases which appear to have the most potential for settlement. Once a case is selected, the Board's settlement attorneys formally contact the parties in the case to initiate the resolution process. The Board may use the services of an outside neutral to facilitate settlement. Approximately 25% of the cases selected at this level for special attention are ultimately settled.

Over the years, the Board has constantly sought to modify and streamline the formal appeals process so that an ever-increasing number of appeals can be adjudicated in a timely fashion in spite of ever-increasing budget restraints. A new effort in 1998 to conserve the resources of the Board and individual agencies involved in employee appeals was to use video conferencing technology in hearings in employee appeals. In selected cases, direct testimony from witnesses may be obtained through video links between the appellant, the agency, and the judge without incurring the travel costs normally associated with conducting a hearing at a set location. The Board notes that it has saved up to $2500 in a single case while preserving the quality of the hearing process. The program received a 1998 Hammer Award for its significant contributions in support of reinventing Government principles.

In 1998, MSPB, in partnership with the Public Administration Forum (PAF) and George Washington University, developed a joint program of instruction for Dispute Resolution Specialists who can help intercept and resolve cases prior to adjudication by MSPB.

During 1998 and 1999, MSPB, in partnership with the Public Administration Forum (PAF) and the George Washington University, developed a joint program of instruction for Dispute Prevention Specialists who can help intercept and resolve cases prior to adjudication by MSPB. The goals of the program are to help agencies anticipate, manage and reduce workplace conflict and tension, so that productivity and job satisfaction are increased while agency resources spent directly and indirectly on issues related to conflict (including case management) are reduced. The integrated 8-day education package provides extensive training on how to anticipate and avoid conflict and facilitate early case resolution, how to help organizations develop better management and communication structures which promote less conflict, and provides instruction on federal personnel law principles, including MSPB case law. The Dispute Prevention Specialist could perform multiple roles in an agency, all related directly or indirectly to early conflict resolution and avoidance.

On May 24, 1999, MSPB amended its rules to provide an automatic extension of the regulatory time limit for filing an appeal with MSPB where an appellant and agency mutually agree, prior to the timely filing of an appeal, to attempt to resolve their dispute through an ADR process. MSPB made this change to ensure that its filing requirements do not deter potential appellants from first attempting to resolve their disputes through an agreed-upon ADR process at the agency level. This revision can be viewed in the Federal Register at 64 F.R. 27899.

Finally, in support of its efforts to make its formal dispute resolution system work better, MSPB conducts an aggressive outreach program to help educate those who might be involved in Board matters. This program makes administrative judges and other agency officials available to speak in various forums, e.g., seminars, workshops, conferences, and symposia. Often, opportunities are provided for practitioners before the Board to participate in skills-building training sessions which may include exercises in settling appeals as an alternative to formal litigation. [See Section V on ADR Training and Assistance Sources for more information on the Board's training offerings.]

For further information on MSPB's ADR initiatives, see the agency's web homepage at www.mspb.gov or contact:

Regional Level Settlement Program:
Darrell Netherton, Director, Regional Operations, U.S. Merit Systems Protection Board, 1615 M St., N.W., Washington, DC 20419; Telephone: (202) 653-6772, Ext. 1186; FAX: (202) 653-8911.

Board Level Settlement Program:
John Murphy, Associate Director, Office of Appeals Counsel, U.S. Merit Systems Protection Board, 1615 M St., NW, Washington, DC 20419. Telephone (202) 653-6772, Ext. 1245; FAX: (202) 653-2260.

Certified Appeals Resolution Advisor Program:
John Settles, Director of Program Development, Public Administration Forum, 225 Reinekers Lane, Suite 590, Alexandria, VA 22314; Telephone: (703) 684-4799; FAX: (703) 836-7953.

Video Conferencing Program:
Bently Roberts, Regional Operations, U.S. Merit Systems Protection Board, 1615 M Street, NW, Washington, DC 20419; Telephone: (202) 753-6772, Ext. 1143; FAX: (202) 653-7655.

Outreach Program:
Darrell Netherton, Director, Regional Operations, U.S. Merit Systems Protection Board, 1615 M Street, NW, Washington, DC 20419. Telephone: (202) 653-6772, Ext. 1186; FAX: (202) 653-7655.

The U.S. Office of Special Counsel (OSC) is an independent federal investigative and prosecutorial agency. Under the Civil Service Reform Act and the Whistleblower Protection Act, the OSC's primary mission is to safeguard the merit system by protecting federal employees and applicants from prohibited personnel practices, especially reprisal for whistleblowing. To that end, OSC investigates allegations of prohibited personnel practices (PPPs) and other improper employment practices within its jurisdiction, and seeks appropriate corrective or disciplinary action.

The OSC offers Alternative Dispute Resolution (ADR) to resolve selected PPP complaints. ADR, used in appropriate circumstances, can yield results that are faster, less expensive, and less contentious than traditional OSC complaint processing. The ADR Program also enables OSC to concentrate its investigative and prosecutorial resources on a smaller percentage of cases, thereby increasing its effectiveness as a law enforcement agency.

The parties risk nothing by mediating their OSC complaint. If mediation does not lead to resolution, the complaint is assigned to the OSC Investigation and Prosecution Division, as it would have been had the parties not tried mediation.

For further information, contact Linda Myers, ADR Specialist, OSC, 1730 M Street, NW, Suite 300, Washington, DC 20036; Telephone: (202) 653-0003; Email: lmyers@osc.gov. Additional information about OSC's ADR Program may be accessed at OSC's Website: www.osc.gov.