BASIC OVERVIEW OF ALTERNATIVE DISPUTE RESOLUTION

The Workplace Dispute Section session, "Basic ADR Overview," was held on Tuesday, 2 February 1999 in the Auditorium at the Federal Deposit Insurance Corporation, 801 17^th Street N.W., Washington, D.C. The session was chaired by Martha McClellan, Counsel, FDIC, and attended by representatives of 17 federal agencies. The session was opened at 9:10 a.m. and closed at 12:00 noon.

INTRODUCTION AND OVERVIEW OF SESSION

Martha McClellan, Counsel
FDIC

Welcomed the group then explained the purpose, process, and overview of the meeting.

The purpose of the first training session sponsored by the Workplace Disputes Section (WPDS) is to respond to requests for an introduction and overview of Alternative Dispute Resolution (ADR) and the spectrum of conflict resolution options. The session is designed to enable participants to select an appropriate ADR method and to introduce them to ADR's opportunities and pitfalls.

The session is divided into two sections. The first section is conducted as an interactive lecture to define what ADR is and what it is not, and to introduce the ADR models. The second section consists of a three-member panel, which discusses the practical applications of ADR. Based on the methods used by their agencies, the panel members address how to choose and use ADR in workplace disputes.

The participants are referred to the course materials, which are outlines of the presentations and have room for note taking on each page.

Introduced speakers and panel members.

Dolores Crawford, Manager, Mediation Program, Civil Rights Office, General Accounting Office, manages a successful mediation program for EEO/workplace diputes, serves as mediator for the federal shared neutrals program, and is active in interagency ADR efforts, including evaluation and workplace disputes committees.

Charlotte Kaplow, Counsel, FDIC, was an original ADR Unit member (1990-1996), and helped design the FDIC ADR course from which this presentation was derived. She is presently a counsel with the Commercial Litigation Unit.

Linda Washington, Senior ADR Specialist, Department of the Treasury, Bureau of Engraving and Printing, co-developed and implemented a successful ADR pilot project, and has extensive background in management and contracting.

Dorethea Taylor-Kennedy, Program Director, Office of Research Services, Center for ADR, NIH, directs a successful mediation and ADR program, was a full-time mediator at FDA prior to NIH, is a mediator with DC Superior Court and the federal shared neutrals program.

INTRODUCTION TO ADR

Dorethea Taylor-Kennedy
ADR Specialist, NIH, Office of Resource Services

1. Definition of ADR

ADR includes all forms of dispute resolution other than court adjudication.

ADR is not appropriate to every dispute or the solution to all dispute problems.

Interest-based and rights-based types.

ADR reduces cost of dispute resolution, length of time for dispute resolution and court congestion by settling cases earlier, increases involvement of participants and level of compliance.

5. Primary Dispute Resolution: Adjudication.

Adjudication is involuntary, public, binding, subject to appeal, and the decision is imposed by a third party decision-maker (judge). Adjudication is formalized and structured by roles and procedures, and gives each party an opportunity to present proof and argument. It provides a principled decision, supported by reasoned opinion that articulates and develops the law, and establishes precedent.

Charlotte Kaplow
Counsel, FDIC

1. ADR Models

a. Negotiation:

Negotiation is a voluntary process in which parties work to reach a mutually acceptable resolution of the issues without the assistance of a third party.

b. Mediation:

Mediation is a private process by which a neutral third party assists the disputants to reach a voluntary negotiated settlement.

c. Arbitration:

Arbitration is a private process in which each party presents its case, usually at a hearing conducted by a neutral or panel of neutrals who hear the facts and arguments presented by each side and render a non-binding opinion or binding decision in light of relevant laws and procedures.

Voluntary, binding; Voluntary, non-binding; Compulsory, non-binding (court-annexed arbitration, usually on damage or monetary issues).

1. Eight Hybrid Processes
a. Mediation-Arbitration
b. Private Judging
c. Neutral Expert Fact-Finding
d. Early Neutral Evaluation
e. Mini-Trial
f. Summary Jury Trial
g. Ombudsman
h. Negotiated Rule-Making

2. Spectrum of ADR Procedures
a. Preventive ADR
b. Negotiated ADR
c. Facilitated ADR
d. Fact-finding ADR
e. Advisory ADR
f. Binding ADR

CHOOSING AN ADR METHOD

Panel Members addressed the following questions about their agencies' EEO/Workplace dispute programs:

1) What ADR method(s) did their agency choose?

2) Why did they choose that method?

3) How well has the method worked?

Dorethea Taylor-Kennedy
ADR Specialist
NIH, Office of Resource Services

1) Mediation, Facilitation, Neutral Evaluation, and Fact-Finding

2) Chose these methods in order to address interpersonal workplace and EEO disputes as early as possible in the least intrusive way and to resolve the disputes while maintaining and improving relationships.

3) Settlement rate is high and their experience shows that providing a spectrum of services promotes the maintenance of workplace relationships and remains cost effective.

Delores Crawford
Manager, Mediation Program
Civil Rights Office, GAO

1) Facilitation and Mediation: facilitators and mediators are pulled from across the agency and receive intensive training. They do not mediate within their own office or division.

2) Because GAO is small and has a low turnover rate, it is necessary to maintain cordial working relations.

3) Settlement rate is high.

Linda Washington
Alternative Dispute Resolution Specialist
Bureau of Engraving and Printing

1) Fact-finding, Mediation, Counseling, Conciliation, and Facilitation

2) There is a need for an informal method to resolve workplace disputes and non-EEO complaints as well as a desire to improve communications through face-to-face meetings.

3) Settlement is rate high while facilitating open communication and improving workforce relationships.