Alternative Dispute Resolution Issuance
Animal and Plant Health Inspection Service
Civil Rights Enforcement and Compliance
Internal Policy Issuance #: 1
Civil Rights Enforcement and Compliance
Operating Guidelines
Alternative Dispute
Resolution
I. INTRODUCTION
This issuance outlines the policies and procedures used by the APHIS Alternative
Dispute Resolution (ADR) Center to provide counseling and mediation (informal
and formal), in complaints of employment discrimination raised by employees,
former employees or applicants for employment.
II. REFERENCES
29 Code of Federal Regulations (CFR) 1614
The Equal Employment Opportunity Commission (EEOC)
Management Directive 110
III. COVERAGE
These procedures apply to complaints raised by current employees, former employees
and applicants for employment with the Animal and Plant Health Inspection Service.
IV. POLICY
EEOC regulations require an agency to offer ADR. It must advise the aggrieved
individual of the right to choose between ADR and traditional EEO counseling.
If an employee chooses to participate in ADR, the pre complaint processing
time automatically extends the period at the informal stage to 90 days. After
90 days, if the case has not been resolved, the agency must issue the notice
of Right to file (NRF). This notice must be in writing and must inform the
employee of the right to file a formal complaint, location for filing and the
time limit for doing so. The EEO Intake Specialist, generally, will be the
first point of contact when an individual makes contact with the APHIS ADR
Center, and expresses an interest in filing a complaint of employment discrimination.
The Intake Specialist obtains information necessary to process the complaint
by asking questions that will solicit in detail (1) what happened, (2) when
it happened, (3) who was responsible, and (4) why the individual believes he
or she was discriminated against. The case will then be assigned to a Counselor
or a Mediator. During the informal complaint process, at the counseling stage,
the complainant has a right to anonymity, up until the Agency decides to offer
a serious proposal to resolve the issues presented. EEOC has established six
clear defined duties that must be performed for each completed counseling session:
(1) advise the complainant of the EEO Complainant process under 29 CFR 1614;
(2) assist in determining the issues (s) and basis(es) of the potential complaint;
(3) conduct a limited inquiry for the purpose of furnishing information for
settlement/resolution efforts and determining jurisdictional questions if a
formal complaint is filed; (4) seek resolution at the lowest possible level;
(5) document the resolution or advise the complainant of their right to file
formal complaint if resolution fails; and (6) prepare a report sufficient to
determine that the required counseling actions have been taken and resolve
any jurisdictional questions that may arise. If mediation is elected during
the informal process, the Intake specialist will assign a mediator. However,
during the formal process the Civil Rights Employment and Compliance (CREC)
Specialist, for a designated program area of responsibility, sends out a request
to complainants who have filed a formal complaint, inquiring whether the complainant
would be interested in participating in a mediation session to have their issues
addressed at mediation. All mediations are normally scheduled for a full day.
During the mediation session, the mediator set forth the ground rules that
would govern the mediation session, the mediator facilitates separate and joint
meetings. If necessary, a separate caucus may be convened with one or both
parties to clarify issues, explore possible remedies, discuss interests, assess
potential outcomes, and help create realistic expectations. A caucus may also
be called if the parties come to an impasse. All conversations in the caucus
are confidential, unless either party gives permission to have what is said
in a caucus used in the open discussions. At anytime during the mediation session,
settlement offers can be presented by the Complainant, Responding Management
Official, or the Resolving Official. When a settlement is not reached, the
Mediator is required to provide a brief written summary of the mediation session
indicating the outcome of the mediation session, in the event a formal compliant
is filed. If a proposed settlement is reached, the Center Manager is alerted,
and the draft agreement is forwarded to the Employment Complaints Manager and
Director for review and approval. After the settlement agreement has been approved,
it is then forwarded back to the mediator to obtain final signatures from the
parties that participated in the mediation session, complainant, responsible
management official and resolving official. If there is no agreement at either
the conclusion of the informal traditional counseling process or the ADR process,
the counselor/mediator is required to furnish the employee with a notice of
final interview (NRF). There is an opportunity for the complainant to voluntarily
withdraw their complaint before a NRF is issued. However, the notice of final
interview informs the complainant of his or her right to file a formal complaint
of discrimination with the agency. This notice officially notifies the complainant
of the end of the pre complaint (informal) stage.
Last Modified:
March 1, 2007
FY 2009 Civil Rights Performance Report
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