Purpose

The Equal Employment Opportunity Commission (EEOC) requires all agencies to establish or make available an alternative dispute resolution program. The program must be available for both the pre-complaint process and the formal complaint process. In line with this requirement, the Office for Equal Opportunity has established its ADR Program for the use by all Office of the Secretary employees, former employees and applicants for employment. The specific ADR processes which may be available for Office of the Secretary employees are mediation, facilitation, ombudsman, or a combination of techniques.

Settlement Authority

Title VII of the Civil Rights Act of 1964, as amended, (prohibits employment discrimination on the basis of race, color, religion, sex, national origin), the Rehabilitation Act (protects qualified Federal employees with disabilities against discrimination), the Age Discrimination in Employment Act (protects employees age 40 and over form discrimination) and the Equal Pay Act (guarantees equal pay to men and women performing substantially equal jobs) authorize agencies to enter into settlement agreements concerning claims brought under these statutes. In addition, settlement authority is authorized for complaints of employment discrimination brought under amendments to Executive Order 11478: EO-13087, issued 5/28/98, prohibiting discrimination based on protected genetic information, and Executive Order 13152 prohibits discrimination based on an employee's status as a parent.

Remedies available to applicants, employees and former employees are limited to the statutes, regulations or Departmental authority for which the alleged employment issues are raised. It is the policy of the Federal government, including the Department of the Interior, to encourage resolution of employment disputes without litigation.

Alternative Dispute Resolution

Alternative Dispute Resolution (ADR) is a term used for a wide variety of dispute resolution processes that are alternatives to investigations and litigation. Types of ADR include Mediation, Facilitation, Fact Finding, Peer Review, and Settlement Conferences. ADR saves time and money for the employee and agency. Through ADR a dispute can be settled in a matter of days while litigation can last for months, even years.

Mediation

In mediation, a trained, impartial third party helps two or more parties negotiate to resolve their dispute. The objective of mediation is to assist the parties to voluntarily reach an acceptable resolution of the issues in dispute. Mediation, unlike litigation and other adversarial processes, does not focus on who is right or who is wrong. The participants become the decision makers by understanding and listening to each other, and by working together to develop options and solutions to their concerns.

Facilitation

Facilitation differs from mediation in that the Facilitator plays no substantive role in identifying possible solutions, but simply assists the communication process. Facilitation is essentially a process of clarifying the viewpoints of each side so as to maximum the opportunity for resolution through enhanced understanding.

Ombudsman

Ombudsmen are individuals who rely on a number of techniques to resolve disputes. These techniques include counseling, mediating, conciliating, and fact-finding. Usually, when an ombudsman receives a complaint, he/she interviews parties, reviews files, and makes recommendations to the disputants. Typically, ombudsmen do not impose solutions. The power of the ombudsman lies in his/her ability to persuade the parties to accept his/her recommendations.

Combinations of Techniques

Often various techniques may be combined to provide the advantageous aspects of more than one method. For example, if during mediation the mediator finds that the parties are able to speak directly to each other in a productive way, the mediator may utilize the facilitator role and follow up with the mediator role later. In some cases, fact-finding may precede a facilitation or mediation session.

Who can initiate ADR

An aggrieved employee or applicant who contacts an EEO Counselor regarding his/her belief that an action or situation in the workplace occurred due to alleged unlawful discrimination will be advised of the EEO/ADR (EEO-Plus) program. By memorandum date June 7, 2000, the Assistant Secretary - Policy, Management and Budget signed the Department of the Interior's ADR Policy. This policy requires the mandatory application of ADR by all managers for EEO cases. Once ADR is elected, the 30-day informal counseling period will be extended to 90-days to allow for the completion of the ADR. If ADR is elected after the formal complaint is filed, the administrative processing time will be extended up to ninety days.

The EEO Counselor will explain the ADR process to the aggrieved person and discuss with the aggrieved person available remedies.

A supervisor, manager, or the Director, Office for Equal Opportunity may also refer parties to the ADR Coordinator to explore possible resolution of issued in dispute. The ADR Coordinator for the Office of the Secretary is Alton W. Jordan.

Who do I call for ADR

Aggrieved persons who want to explore ADR should call Alton W. Jordan, ADR Coordinator, at 202-208-3854. The ADR Coordinator will:
 

• determine, in discussion with the aggrieved person and the management official, the type of ADR to be used;

 
• make arrangements for the ADR session and notify the parties of the place, date and time.

 
• ensure that the ADR sessions are conducted consistent with EEOC guidance and DOI Policy.

The Office for Equal Opportunity has identified four available services it will use in conducting ADR. They are, but are not limited to, the following:

• Department of the Interior, Land and Minerals Mediation Program (LMMP): a group of trained mediators employed by the Office of Surface Mining, the Minerals Management Service, and the Office of the Secretary. In order to maintain neutrality, mediators will not conduct mediation for their respective organizations. There is little or no cost involved in the use of LMMP.

 
• U.S. Department of Health and Human Services Shared Neutrals Program. The Shared Neutrals Program provides low cost, high quality mediators to Federal agencies. Shared Neutrals operate through a pool of trained and experienced neutrals, from a variety of Federal agencies, who provide mediation services to one another on a collateral duty basis. Over 25 Federal agencies, including DOI, currently participate in the Shared Neutrals Program. There is little or no cost for this service.

 
• Federal Mediation and Conciliation Service (FMCS). The FMCS is an independent agency of the government created by Congress in 1947 to provide mediation and conflict resolution related services to its clients. These services are delivered by the agency's nearly 200 full-time mediators. FMCS has been providing ADR services for over twenty year, dating back to the early 1970's when the agency was asked to mediate a land dispute between the Navajo and Hopi Indian tribes. FMCS offers full-time professional mediators to assist in convening, mediating and facilitating dispute resolution program in such areas as employment, EEO, public policy, enforcement, educational grants, agricultural, age discrimination and others. There is a cost for this service.

 
• Private or outside conflict resolution services. These are mediators procured to perform ADR services for the Department who are trained and skilled in mediation. They are Certified Mediators with a background in equal employment opportunity. There is a cost for this service.

Procedures

• When an aggrieved person contacts an EEO Counselor to discuss a dispute in the Office of the Secretary, the EEO Counselor will inform the person about the ADR process. There is a choice between ADR and the EEO counseling process.

 
• If the aggrieved person agrees to ADR, he/she must complete and sign the ADR Election Form. The EEO Counselor will then notify the Office of the Secretary ADR Coordinator. The election to enter ADR is final.

 
• The ADR Coordinator is responsible for making arrangements for the ADR session, notifying the parties of the place, date and time, providing the mediator, and ensuring the availability of appropriate management officials who have authority to resolve the issue(s).

 
• EEOC regulations allow 90 days to complete the ADR. However, every effort will be made to complete the ADR successfully as expeditiously as possible.

 
• The ADR Coordinator will meet with the aggrieved person and explain how the ADR process works. The ADR Coordinator will also assist the aggrieved person in identifying possible and appropriate remedies to his/her complaint. The ADR Coordinator will help the aggrieved person think through the possible remedies that might be considered.

 
• The ADR Coordinator will also meet with the management official who will be at the ADR process and answer any questions he/she might have regarding the process. The ADR Coordinator may also discuss with the manager possible solutions to the complaint.

 
• The ADR process is voluntary, secure and confidential. The ADR session will not be recorded.

 
• The ADR process will be managed and conducted consistent with the Federal EEO regulations and guidance and Departmental policies.

• If a resolution is reached, the terms of the settlement will be reduced to writing and signed by the aggrieved person and the management official and both will receive a copy of the settlement agreement. A copy of the settlement agreement will also be kept in the Office for Equal Opportunity official complaint files.

 
• If ADR fails, the EEO Counselor initially contacted by the aggrieved person will issue the Notice of Final Interview (NOFI), after which the aggrieved person will have the right to file a formal EEO complaint (15 calendar days after receipt of the NOFI).

 
• If the complaint is in the formal stage of the process, ADR may still be used. A manager or complainant may request to enter ADR in the formal process, with the ADR Coordinator. The ADR Coordinator will approach the non-requesting party to see if ADR is possible, and the ADR Coordinator will make arrangements, for the ADR session. After a complainant has requested a hearing, the ADR session will be coordinated with the Agency Representative. ADR attempts may also be made by the EEOC Administrative Judge prior to scheduling a hearing. Unless a particular case is determined to be inappropriate for ADR, ADR may be offered at all stages of the EEO process.

Title 29 CFR, Part 1614
Title VII of the Civil Rights Act of 1964, as amended
Age Discrimination in Employment Act of 1967 (ADEA), as amended
Rehabilitation Act of 1973, as amended
Fair Labor Standards Act of 1938, as amended (Equal Pay Act of 1963, EPA)
Sexual Orientation, DM 373, Chapter 7
EEOC Management Directive 110, Chapter 3
Executive Order 11478, as amended by Executive Order 13145, 13081 and 13152