BONNEVILLE POWER ADMINISTRATION

**HUMAN RESOURCES, DIVERSITY AND EEO**

**Portland, Oregon**

**PERSONNEL LETTER NO. 900-1 DATE: August 24, 2001**

**SUBJECT:** Policy on Alternative Dispute Resolution (ADR) for
Workplace Disputes and Conflicts at the Bonneville Power Administration

# I. PURPOSE

To establish a policy and procedures for expeditious, cost effective,
and early resolution of workplace disputes and conflicts utilizing
Alternative Dispute Resolution (ADR) techniques, thereby supporting:

> A. The prevention or minimization of the escalation of disputes and
> conflicts;
>
> B. Efficient and effective operations;
>
> C. A respectful and harassment-free work environment;
>
> D. Great Place to Work and High Performing Organization goals.

Bonneville Power Administration (BPA) acknowledges that conflict is a
natural product of people working dynamically together. Properly
managed, conflict can be a powerful force for productive solutions and
better communication. It is the objective of BPA to address conflicts
and disputes in a manner that maximizes the constructive nature of
conflict while reducing the negative consequences of prolonged
unresolved conflict. This policy neither supercedes nor alters
obligations of employees and managers to conduct themselves
appropriately in the workplace, including to follow the requirements of
BPA's Harassment-Free Workplace Policy.

## REFERENCES

> A. Public Law 104-320, Administrative Dispute Resolution Act of 1996,
> (110 Stat. 3870) (ADRA). Specific goals of the ADRA are to:

1.  Promote voluntary informal and consensual dispute resolution.

2.  Promote creative, efficient, and sensible outcomes in dispute
    resolution.

3.  Reduce the tangible and intangible costs, in time and resources,
    associated with dispute resolution.

> B. President of the United States Memorandum, Alternative Means of
> Dispute Resolution, May 1, 1998.
>
> C. Part 1614 of 29 CFR and the Equal Employment Opportunity
> Commission's Management Directive (MD) 110 (November 9, 1999).

## POLICY

BPA managers and employees are urged to use ADR to resolve workplace
disputes whenever any of the following purposes may be achieved:

> A. Address issues simply, quickly and cost effectively;
>
> B. Increase productivity;
>
> C. Improve work relationships;
>
> D. Enhance communication;
>
> E. Clarify issues or claims in dispute, including those that arise
> under BPA's Harassment-Free Workplace Policy;
>
> F. Reduce confrontations by allowing parties to work collaboratively
> toward mutually agreeable solutions;
>
> G. Foster creative, efficient, and sensible options for employees,
> BPA, and its managers; and
>
> H. Resolve issues in dispute, in whole or in part.

See Appendix A for general ADR guidelines and for using ADR to address
workplace disputes outside of the EEO complaint process, and Appendix B
for procedures and guidelines for using ADR to address issues that arise
within the EEO complaint process.

## GUIDANCE

> A. Definition of Alternative Dispute Resolution:
>
> ADR is a collaborative, voluntary, and consensual dispute resolution
> approach consisting of a variety of processes ranging from less
> formal, cooperative, decision-making processes, such as mediation or
> facilitation, to more formal processes such as early neutral
> evaluation and fact-finding. In order for a technique to be considered
> ADR, it *must* include all of the following:

1.  ***The use of a trained neutral*** -- an unbiased third-party (other
    than a judge or hearings officer during adjudication or litigation);

2.  ***Voluntary participation*** by all parties;

3.  ***Confidentiality,*** consistent with the provisions of the ADRA.
    The ADRA provides that communications (including a neutral's notes
    and documents prepared for the proceedings) among the neutrals and
    parties must be kept confidential and free from retaliation by the
    neutrals and the parties, except:

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a)  By the mutual consent of all parties;

b)  When a court requires disclosure of such information, but only if it
    is necessary to prevent a manifest injustice, help establish a
    violation of law, or prevent harm to public health or safety. The
    injustice, violation, or harm must be of a sufficient magnitude in
    the particular case to outweigh the integrity of the dispute
    resolution proceedings; and

c)  When other Federal laws impact the confidentiality of information in
    specific cases.

##### B. No Creation of Rights

> The choice of when and how to use ADR does not create any right to
> judicial review involving the compliance or noncompliance with the
> policy. In addition, the policy does not obligate BPA or its employees
> to offer funds to settle any case, to accept a particular settlement
> or resolution of a dispute, or to alter any existing delegation of
> settlement or litigation authority. The policy does not create any
> obligation by BPA to pay or compensate any party or their
> representative to participate in any ADR event (except for the
> services of a neutral as described elsewhere in this Personnel Letter)
> unless otherwise prescribed by law, regulation, or agreement.

##### C. Who is Covered

1.  Full and part-time employees of the Bonneville Power Administration
    except where specifically prohibited.

2.  Non-employees who are covered by 29 CFR 1614, such as applicants for
    employment to BPA or contractors who are making an EEO claim against
    BPA.

3.  Contract employees who are involved in a dispute or issue covered by
    BPA's Harassment-Free Workplace policy or other processes.

> D. Who may Participate in ADR with the Mutual Consent of All Parties:

1.  Representatives of individuals in dispute to the extent allowed by
    law, regulation, or bargaining unit agreement; this can include, but
    is not limited to, union representatives and attorneys representing
    clients.

2.  Other persons who have a material stake in the outcome and/or who
    have information or a perspective that could be helpful to the ADR
    proceedings.

3.  The ADR service provider(s).

4.  Witnesses, experts, and others who have information or guidance that
    could be useful to the ADR process.

## RESPONSIBILITIES

> **A.** **The Manager, Human Resources, Diversity, and Equal Employment
> Opportunity**, as assisted by the Dispute Resolution Coordinator, is
> responsible for:

1.  Overseeing BPA's ADR program;

2.  Assisting and advising BPA in maintaining compliance with the ADRA;

3.  Monitoring and evaluating dispute resolution program execution, the
    neutrals themselves, and their results and ensuring neutrals are
    qualified and operating within the scope of their practice; this
    would include providing all individuals who participate in an ADR
    process the opportunity to confidentially evaluate that process;

4.  Identify those neutrals who are not effective and either retrain
    them or remove them from their duties as a neutral;

5.  Identifying barriers to the use of ADR and working for their
    removal;

6.  Identifying the need for amendment of existing policy directives, to
    provide for or facilitate the use of ADR;

7.  Recommending appropriate training to educate employees and managers
    about ADR and other conflict management options and processes so
    that they will be able to use conflict resolution skills, understand
    the theory and practice of ADR, and access ADR appropriately;

8.  Providing managers and employees objective information about ADR and
    other related policies so that they can make informed choices about
    the course of action which would best suit their needs;

9.  Providing advice and assistance in obtaining neutrals and making
    other arrangements for ADR events as necessary;

10. Managing BPA's participation in the Oregon Federal Executive Board's
    Shared Neutrals program;

11. Representing BPA on ADR policy matters, except those relating to
    negotiated bargaining agreements;

12. Providing management, employees, and the unions with information
    about the constructive use of conflict resolution techniques,
    including those techniques which do not meet the fundamental
    requirements of ADR (voluntary, neutral, and confidential);

13. Providing all employees who (1) are covered by the AFGE bargaining
    agreement, and (2) who request information about ADR, with a
    statement prepared by AFGE regarding AFGE's position on ADR, and
    whom in AFGE to contact for more information about ADR and other
    conflict resolution options at BPA;

14. Providing unions with all summarized evaluation reports routinely
    prepared on both the effectiveness of the ADR program as a whole and
    the neutrals who practice ADR at BPA; and

15. Keeping a roster of currently practicing and available ADR trained
    individuals and Shared Neutrals participants on file for use by the
    ADR Coordinator or his/her designee.

> > **B.** **Managers** are responsible for:

1.  Encouraging employees to use ADR or some other approach to improve
    communication and clarify issues when there is a reasonable
    expectation that those approaches may be an effective means to
    resolve a workplace dispute or conflict;

2.  Suggesting the use of ADR as a primary option to resolve disputes
    when there is a reasonable expectation that ADR may be the most
    effective means to resolve a perceived harassment issue or other
    workplace conflict;

3.  Considering requests by employees to resolve workplace disputes or
    conflicts consistent with BPA's ADR Policy and its attendant
    guidelines and procedures;

4.  Consulting as necessary with the Dispute Resolution Coordinator to
    consider whether or not ADR is appropriate;

5.  Funding payment for ADR services and related expenses and to
    allocate resources to support training and other components of ADR;

6.  Participating in ADR in good-faith when BPA enters into the use of
    ADR to resolve a dispute or conflict;

7.  Maintaining the confidentiality of any ADR event; and

8.  Remaining neutral as to an employee's choice to participate or not
    in any ADR procedure.

> > **C. Employees** (including team leads when they are involved in an
> > ADR process) are responsible for:

1.  Suggesting to management the use of ADR processes when such
    processes may help improve the work environment or resolve issues in
    dispute, recognizing that a suggestion to improve communications
    does not imply that any party is deficient in communication skills;

2.  Suggesting to management the use of ADR processes when such
    processes may improve the work environment or resolve issues in
    dispute;

3.  Following the necessary requirements, including time limits, of any
    process or procedure they may be engaged in regardless of whether or
    not they elect to enter into an ADR procedure under this policy; and

4.  If ADR is elected, participating in good faith.

> > **D. Neutrals** are responsible for:

1.  Acting within the standards of practice of the ADR procedure they
    offer and abiding by the principles and standards of conduct
    consistent with their particular role and BPA policy. Mediators who
    are not also on the Shared Neutrals roster, for example, should be
    members of, and follow generally recognized standards of conduct of,
    a national or state mediation association;

2.  Providing objective information to parties and/or potential parties
    about the process they offer, including the participants' rights and
    responsibilities before, during, and after any proceedings;

3.  Providing participants an opportunity to confidentially evaluate the
    ADR service provided;

4.  Respecting the self-determination of all parties in their decisions
    to resolve their dispute, and to refrain from being directive or
    judgmental regarding the issues in dispute, and offering suggestions
    and options for settlement or resolution;

5.  Limiting themselves solely to the role of a neutral and refraining
    from giving legal advice or therapeutic information or practicing
    any other role while conducting the ADR proceeding;

6.  Maintaining neutrality toward all parties during all stages of the
    proceeding;

7.  Encouraging positive momentum to achieve the purpose(s) of the
    process; and

8.  Recusing themselves if (a) parties are at impasse; or (b) they are
    no longer able to act in a neutral manner toward all parties.

**VI. RELATIONSHIP TO OTHER PROCESSES**

ADR is intended to supplement, not replace, existing procedures. This
policy does not, therefore, supersede collective bargaining agreements
or other statutory, regulatory, or contractual dispute resolution
procedures. Except as noted in the next paragraph, parties in dispute
are responsible for ensuring that they follow the necessary requirements
of any other process or procedure they may elect to follow regardless of
whether or not they elect to enter into an ADR procedure under this
policy.

If the dispute is one that could be pursued in a labor relations forum,
both parties to the dispute must reach agreement on how the use of ADR
will impact their rights to subsequently pursue the dispute in any such
forum if the ADR intervention is not successful (such as a grievance
procedure time frame under a negotiated grievance procedure). This may
include extension or tolling of deadlines, whether they stem from
regulations or applicable bargaining agreements. If agreement on such
issues is not reached, either party can withdraw their support to using
ADR without prejudice to the merits of their position.

Godfrey C. Beckett

Manager, Human Resources, Diversity and EEO

### APPENDIX A

### GENERAL ADR GUIDELINES AND PROCEDURES FOR DISPUTES OTHER THAN EQUAL EMPLOYMENT OPPORTUNITY CLAIMS

I.  **OVERVIEW**

The following supplements the policy on Alternative Dispute Resolution
(ADR) for Workplace Disputes at the Bonneville Power Administration.
Appendix A covers general guidelines for all ADR activities at BPA and
procedures for disputes arising outside the Equal Employment Opportunity
(EEO) program. Appendix B covers guidelines and procedures for disputes
arising under the EEO program.

II. **CONSIDERATIONS FOR WHEN ADR IS APPROPRIATE**

A threshold inquiry should be whether ADR will be more cost effective,
faster or will enhance the opportunities for a better result than with
traditional processes or unassisted negotiation. Even if the threshold
inquiry is negative, consideration should still be given to whether ADR
can be of benefit to a case even if it does not settle or entirely
resolve the matter. For instance, if ADR can narrow the issues or
expedite communication, then ADR should be considered.

Several factors should be considered in making the decision to use ADR.
Some factors may favor the use of ADR while others may weigh against it.
Although not intended as an exhaustive list, the following may be
considered:

A.  ***Identifiable parties*.** There are identifiable people with
    interests (the parties) so that all reasonably foreseeable interests
    can be represented.

B.  ***Good faith*.** The parties are willing to participate in good
    faith.

C.  ***Communication*.** The parties are interested in seeking
    agreement, but poor communication arising from personality
    conflicts, cultural, or other differences adversely affect
    negotiations that would benefit from a particular ADR process.

D.  ***Continuing relationship*.** A continuing relationship between the
    parties is important and desirable.

E.  ***Issues*.** There are issues that are ready or "ripe" for a
    mutually satisfactory solution. This includes sufficient information
    or facts such that the parties can make informed choices about the
    case.

F.  ***Sufficient areas of compromise*.** There are sufficient areas of
    compromise to make ADR worthwhile.

G.  ***Expectation of agreement*.** The parties expect to agree
    eventually, most likely before reaching the courtroom or engaging in
    other adversarial processes.

H.  ***Timing*.** There is sufficient time to negotiate and ADR will not
    unreasonably delay the outcome of the matter in dispute. There is
    likelihood that the parties will be able to reach agreement within a
    fixed time. There are no statutory or judicial deadlines that are
    adversely affected by the process. ADR may result in an earlier
    resolution of the dispute.

I.  ***Resources*.** The parties have adequate resources (budget and
    people) and are willing to commit them to the process.

> ADR may not be appropriate when:

A.  ***Precedent***. A definitive or authoritative resolution of the
    matter is required for precedential value, and such a proceeding is
    not likely to be accepted generally as an authoritative precedent.

B.  ***Policy.*** The matter involves or may bear upon significant
    questions of Government policy that require additional procedures
    before a final resolution may be made, and such a proceeding would
    not likely serve to develop a recommended policy for the Agency.

C.  ***Affects non-participants*.** The matter significantly affects
    persons or organizations that are not parties to the proceeding or
    are not being represented by the parties to the proceeding.

D.  ***Public record*.** A full public record of the proceeding is
    important, and a dispute resolution proceeding cannot provide such a
    record.

E.  ***Bad faith.*** One of the parties is not committed to the good
    faith use of ADR (e.g., misleading others, telling "half-truths," or
    outright lying).

F.  ***Not efficient.*** When ADR processes are less efficient or
    cost-effective overall than alternatives.

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J.  ***Unrealistic view of the issues or outcomes achievable through
    other means*.** The parties' demands or views of the issues are
    unrealistic, or the parties believe they will achieve more through
    another means. A discussion of the situation with a neutral, a union
    representative, and/or the ADR Coordinator may increase the parties'
    understanding and result in more realistic alternatives and options.

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III. **DEFINITIONS**

The following terms are commonly associated with ADR. They have been
adapted from the ADRA and other sources and are offered here as a guide.
Any procedure listed below which also meets the standards and
requirements of the ADR policy may be considered for use as an ADR
technique at BPA. ADR techniques used during the processing of EEO
matters also should meet the requirements of Appendix B.

> ***Arbitration:*** Arbitration is a process in which a neutral
> decision-maker oversees the exchange of information, presides over a
> mini-hearing, and decides the matter. Arbitration may be binding or
> non-binding.
>
> ***Conciliation:*** Conciliation is a process in which a neutral
> independently communicates with the parties either to improve
> relations, resolve a dispute, or pave the way for some other ADR
> process, such as mediation. Conciliation is intended to help establish
> trust and openness between parties to a dispute.
>
> ***Conflict:*** A conflict is a general state of unrest or
> disagreement between two or more persons. Conflicts are often based on
> differences in personality and personal values, misunderstandings, and
> are sometimes ongoing. Most long-standing conflicts have embedded in
> them disputes about particular matters or issues. Since conflicts are
> about the relationship between individuals (and less about specific
> facts in dispute), conflicts are often best resolved by using ADR
> techniques such as mediation, which address both issues in dispute and
> the relationship between individuals (See *Dispute* below.)
>
> ***Convening:*** Convening is a process used to identify issues,
> interests, and parties to a dispute or potential dispute. The goal of
> convening is to assess the potential for use of other ADR processes to
> resolve a problem and to recommend a process or combination of
> processes.
>
> ***Dispute:*** A specific disagreement about a given issue or event.
> Normally disputes are tangible and have a specific source or outcome.
> Most formal grievance and complaint procedures are set up to resolve
> disputes, since disputes usually have a strong factual basis. (See
> *Conflict* above.)
>
> ***Dispute resolution communication:*** Any oral or written
> communication prepared for the purposes of a dispute resolution
> proceeding, including any memoranda, notes or work product of the
> neutral, parties or nonparty participant; except that a written
> agreement to enter into a dispute resolution proceeding, or final
> written agreement reached as a result of a dispute resolution
> proceeding, is not a dispute resolution communication.
>
> ***Alternative dispute resolution proceeding:*** Any process in which
> an ADR means is used to resolve an issue in dispute in which a neutral
> is appointed and specified parties participate.
>
> ***Early Neutral Evaluation:*** Early neutral evaluation is a process
> in which the parties provide the highlights of their positions to an
> expert neutral fact-finder who evaluates the merits of parties' cases.
> The neutral provides a non-binding, objective evaluation of the
> strength of each party's position. This is intended to assist in
> future negotiations between the parties.
>
> ***Facilitation:*** Facilitation is a process in which a neutral works
> with all parties in group sessions, helping the group to effectively
> move through the problem-solving steps of the meeting to reach the
> agreed upon goal.
>
> ***Fact-finding:*** Fact-finding is a process whereby an impartial
> expert interviews individuals to determine what "facts" are in a
> dispute. The fact finder may be authorized only to investigate or
> evaluate the matter presented and file a report establishing facts in
> the matter. If used as an ADR technique, the participation in fact
> finding and the findings of fact must remain confidential in order to
> comply with the principles of BPA's ADR Policy, unless otherwise
> agreed to by the parties to the dispute. Fact-finding developed during
> the investigation of an EEO compliant under 29 CFR 1614.108(b) is not
> treated as confidential. In addition, participation in fact finding
> conducted as part of an official inquiry, such as during the
> investigation of an alleged violation of BPA's Harassment-Free
> Workplace Policy or any misconduct violation, is not voluntary by
> employees and thus is not considered an ADR technique under this
> policy.
>
> ***Issue in dispute:*** An issue in dispute is a decision by
> management or other conditions which affect the work environment and
> with which there is disagreement. Issues in dispute can include
> disagreements between employees which are driven by differences in
> personality or perspectives but which affect work environment and/or
> the performance of official duties.
>
> *Mediation:* Mediation is a process in which a neutral, a mediator,
> assists open discussion between parties in dispute or conflict and
> helps them come to a mutually agreeable solution. In doing so, the
> mediator may expand traditional settlement discussion and broaden
> resolution options, often by going beyond the legal issues in a
> dispute to address the underlying conflict. A mediator has no
> authority to impose a decision on the parties. The mediation process
> is confidential, unless otherwise agreed to by the parties to the
> dispute, and all parties are required to sign an "agreement to
> mediate" prior to the commencement of a mediation.
>
> ***Neutral:*** A neutral is an individual who functions specifically
> to aid the parties in resolving a dispute. The neutral may be a
> Federal employee or any private individual who is trained in ADR
> processes and who is acceptable to both parties. A neutral may not
> have financial, official, or personal conflict of interest with
> respect to the dispute, unless the interest is fully disclosed to the
> parties and all parties agree that the neutral may serve.
>
> ***Ombuds:*** An ombuds provides confidential, neutral, and informal
> services that facilitate fair and equitable resolutions to concerns
> that arise in the organization. In performing these duties, the ombuds
> serves as an information and communication resource, upward feedback
> channel, dispute resolution expert, and change agent. An ombuds
> fosters communication about the philosophy and function of his/her
> office and the people he/she serves. Employees covered by the AFGE
> bargaining unit are not covered by ombuds services provided at BPA.

IV. **MEDIATION**

The following constitutes the practice of using mediation at BPA:

A.  BPA is a participating agency in the Oregon Federal Executive
    Board's (FEB) Shared Neutrals program. Mediators from other
    participating agencies are available to conduct mediations at BPA
    without charge (except for travel costs, if any). This program
    requires BPA to do the following:

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1.  Provide BPA employees as mediators for use by other participating
    agencies;

2.  Pay for any travel costs associated with using Shared Neutrals
    mediators;

3.  Complete and return evaluation forms to the Shared Neutrals program;

4.  Maintain the confidentiality of mediations and not retaliate against
    any party for either choosing or not choosing mediation;

5.  Retain a Liaison to the Shared Neutrals program to help manage both
    the internal use of Shared Neutrals mediators and to work with the
    FEB.

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B.  BPA may also use contractor mediators, or other sources of
    mediation, on a case-by-case basis, so long as they meet the
    responsibilities of a neutral as specified in Section V, part D of
    BPA's ADR Policy.

C.  All mediations shall include signing an approved "consent to
    mediate" form that identifies the rights and responsibilities of the
    parties participating in mediation.

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V.  **TRANSMISSION BUSINESS LINE OMBUDS PROGRAM**

The Transmission Business Line (TBL) ombuds program is available to all
employees and contractors working in the Transmission Business Line
except those employees represented by the American Federation of
Government Employees bargaining unit.

The TBL Ombuds does the following:

A.  Listens to workplace problems or issues presented by individuals.
    The ombuds helps the individual develop a range of responsible
    options for resolving the problem and facilitates discussion to
    identify the best options. When possible, the ombuds helps people
    develop new ways to solve problems themselves.

B.  Answers questions directly or by gathering and presenting
    information.

C.  Conducts informal investigations or inquiries.

D.  Makes recommendations for the resolution of an individual complaint
    or a systemic problem to those persons who have the authority to act
    upon them.

E.  Identifies complaint patterns and trends.

F.  Provides education.

The principles of the TBL Ombuds service include:

A.  All interactions with the ombuds are voluntary.

B.  The ombuds strives for objectivity and impartiality.

C.  The ombuds practice is based on confidentiality. Except in the case
    of serious threat of imminent harm, an ombuds will not use the name
    of an individual in any discussion with others without express
    permission. During problem solving, the ombuds may make known
    information as long as the identity of the person contacting the
    office is not compromised.

D.  The ombuds exercises discretion whether to act upon a concern of an
    individual contacting the office. The ombuds may initiate action on
    a problem he or she perceives.

E.  The ombuds is a designated neutral and operates independently of
    ordinary line and staff structure. He/she serves no additional role
    within the organization that would compromise this neutrality.

F.  The ombuds does not serve as an advocate for any person in a dispute
    within the organization; however, ombuds do advocate for fair
    processes and their fair administration.

G.  The ombuds does not make binding decisions, mandate policies, or
    adjudicate issues for the organization. The ombuds keeps no case
    records on behalf of the organization.

H.  The ombuds is an informal and off-the-record resource. He/she does
    not act as an agent for the organization and does not accept notice
    on behalf of the organization.

I.  The ombuds provides feedback to management on trends, issues,
    policies and practices without breaching confidentiality.

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VI. **ADR PROGRAM EVALUATION**

BPA believes that its ADR policy and its attendant guidelines and
procedures should continue to evolve. To that end, it has determined to
periodically evaluate the ADR program and the steps taken toward its
effective implementation. BPA will use a variety of evaluation and
assessment strategies to provide valid and reliable information for
measuring and improving performance. Depending on the ADR program, BPA
may look at the number of attempts to use ADR, the number of
resolutions, customer satisfaction with the processes and the neutrals,
and/or the resolutions, or estimated cost- and/or time-savings.

ADR evaluations shall be the responsibility of the Manager, Human
Resources, Diversity and EEO, as assisted by the Dispute Resolution
Coordinator.

VII. **ADR RESOURCES**

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A.  **Conflict Resolution Services Team.** BPA supports a Conflict
    Resolution Services Team as part of a management strategy to further
    the use of ADR across BPA. The Team, chaired by BPA's Dispute
    Resolution Coordinator, is comprised of staff from Employee
    Relations; Labor Relations, TBL Ombuds, Equal Employment Opportunity
    counselors; Legal Services; Employee Assistance; Manager, Human
    Resources, EEO and Diversity; and others as appropriate. The
    Conflict Resolution Services Team supports the Dispute Resolution
    Coordinator and works together to:

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1.  Facilitate the sharing of ADR information;

2.  Examine how BPA is currently using ADR (in headquarters and the
    regions) and make recommendations for improvements;

3.  Explore the use of ADR techniques in connection with a variety of
    areas;

4.  Assist in identifying future ADR uses and coordinating the
    development of ADR programs; and

5.  Determine common problem areas in the practice of ADR and recommend
    methods of education for employees to deal with those problems.

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B.  **Web Site.** BPA has established an internal web site to provide
    information about dispute resolution. The site provides links to
    other related sites dealing with conflict resolution and management.
    The web site will be updated by the Dispute Resolution Coordinator
    under consultation with the Conflict Resolution Services Team to
    provide additional information about BPA's ADR resources. BPA's
    internal web link is:
    [http://webip1/EBR/HRDE/ConflictRes/CR%20Overview.htm](http://webit1/Corporate/KGH/ConflictRes/CR Overview.thm)

> The Office of Personnel management also has a web link:
> <http://www.opm.gov/er/adrguide/toc.htm>

C.  **Training.** BPA is committed to educating its personnel about the
    potential benefits and appropriate use of ADR, as well as to
    obtaining ADR guidance and assistance. BPA provides training about
    ADR, effective communication, and conflict management. Employees who
    serve as neutrals to resolve disputes through the Shared Neutrals
    program receive additional workplace mediation training.

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VIII. **ADR Procedures (Non-EEO)** [^1]

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A.  Should an individual covered by BPA's ADR policy express to BPA
    management a desire to participate in any ADR process to resolve a
    workplace issue covered by the ADR Policy, the manager, in
    consultation with the ADR Coordinator and others, shall develop an
    ADR proposal to be offered to the individual. Should an employee
    express a desire to participate in ADR to other than his/her direct
    supervisor (including to the ADR Coordinator or a union
    representative), that person should contact the appropriate
    management official so that the request can be considered. Normally
    any offer would be developed with the participation of those
    management officials directly involved with the issue in dispute.

B.  In the instance a contractor employee may be a party to an ADR
    process, BPA management will work with the appropriate contractor
    manager(s) to develop any ADR proposal. Any offer of ADR to a
    contract employee shall only be within the scope of the contract.

C.  Any decisions by management *not* to offer any form of ADR to an
    individual who requests it should be made by the Manager, HR,
    Diversity and EEO, with consultation, as appropriate, with the ADR
    Coordinator and management of the affected organization, provided
    such consultations do not compromise BPA's ability to objectively
    review a case involving potential discipline of an employee.

D.  Management may also offer the use of ADR to employees to resolve
    workplace conflicts or disputes at management's discretion and
    without a specific request from an affected employee.

E.  The offer of ADR can be specific or general depending on the needs
    of management and of the other parties involved. Any limits or
    conditions to the offer must be identified in the offer. When more
    than one management group is represented in a potential ADR event,
    all relevant management officials will be involved in making the ADR
    offer. When a manager or supervisor is a potential party to an ADR
    event, a higher-level manager should make the ADR offer.

F.  If a party to ADR is in a bargaining unit and chooses to be
    represented by the union, the union will be afforded all
    representation rights, including participating in ADR proceedings.

G.  If the dispute is one that could be pursued in a labor relations
    forum, both parties to the dispute must reach agreement on how the
    use of ADR will impact their rights to subsequently pursue the
    dispute in any such forum if the ADR intervention is not successful.
    This may include extension or tolling of any deadlines, whether they
    stem from regulations or applicable bargaining agreements. If
    agreement on such issues is not reached, either party can withdraw
    their support to using ADR without prejudice to the merits of their
    position.

H.  Costs for obtaining and using neutrals associated with the use of
    ADR (including travel costs) shall be paid by the organization
    requesting the service. If more than one office is involved, costs
    shall be allocated equitably between the benefiting offices. If a
    union is a party to a proceeding, or is representing a party to a
    proceeding, the allocation of costs will be mutually agreed to by
    management and the union, and the agreement will be reflected in the
    ADR proposal.

I.  Only essential records for any ADR event will be kept. In general,
    consent forms (to enter into any given ADR process) shall be kept by
    the ADR coordinator in a secured location and made available on a
    needs-to-know basis, and then only when necessary to protect the
    legal rights of participants and/or of BPA. Any agreements reached
    during an ADR process shall be kept by those reaching agreement and
    according to the terms of that agreement, except as otherwise
    required by law or regulation.

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IX. **USE OF ADR TECHNIQUES NOT COVERED BY THE ADR POLICY**

Under certain circumstances, BPA management may choose to use ADR-like
techniques as management tools but make participation by employees
mandatory. Since BPA's ADR policy requires participation in any ADR
event to be voluntary, management should refrain from referring to such
events as ADR to avoid confusion and to be clear about the processes'
intent. Management also should describe any other expectations or
parameters of the event\--including whether or not the session(s) are
confidential.

Examples of such techniques may include:

-   The use of fact-finding under BPA's Harassment-Free Workplace Policy
    or in conjunction with the processing of an EEO claim;

-   The use of a facilitated dialogue to help foster communication
    between management and employees.

###  {#section .unnumbered}

###  {#section-1 .unnumbered}

### APPENDIX B

### ADR GUIDELINES AND PROCEDURES FOR DISPUTES ARISING UNDER THE EEO PROGRAM

## OVERVIEW

# 

The following supplements the policy on Alternative Dispute Resolution
(ADR) for Workplace Disputes at the Bonneville Power Administration.
Appendix A covers general guidelines for all ADR activities at BPA and
procedures for disputes arising outside the Equal Employment Opportunity
(EEO) program. Appendix B covers guidelines and procedures for disputes
arising under the EEO program.

## GUIDANCE

A.  Consistent with the Equal Employment Opportunity Commission's
    (EEOC's) directives and Public Law, BPA's ADR processes are
    available during all stages of the EEO Complaint process: informal
    EEO counseling, formal complaint, investigation, and pre-hearing.

B.  The EEOC requires that ADR processes that are used to resolve EEO
    complaints adhere to the following core principles of fairness:
    voluntary, neutral, confidential, and enforceable.

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1.  ***Voluntary**:* Parties must enter into an ADR process knowingly
    and voluntarily, and are free to end an ADR process at any time.
    Aggrieved individuals retain the right to proceed with the
    administrative EEO process if they end the ADR process and
    resolution has not been reached.

2.  ***Neutral**:* ADR practitioners (neutrals) must have no stake in
    the outcome of an ADR process. Generally, neutrals from outside BPA
    will be used to serve in ADR processes for resolving claims raised
    in the EEO process.

3.  ***Confidential**:* Neutrals and all parties to an ADR process must
    maintain confidentiality. Any BPA employee involved in the ADR
    process, or in the implementation of an ADR resolution, is also to
    maintain confidentiality. Conversations held during the ADR process
    may not be discussed or become part of the official record. Details
    of a settlement can be shared only with those who have a need to
    know.

4.  ***Enforceable:*** Settlement agreements entered into knowingly and
    voluntarily shall be binding on both parties. BPA will make an
    individual with settlement authority accessible to each ADR process
    so that enforceable resolutions can be achieved.

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C.  BPA is an active member of the Oregon Federal Executive Board's
    Shared Neutrals Program. Mediations to address EEO complaints can be
    arranged through BPA's ADR Coordinator. In addition, any ADR process
    that meets the requirements of MD 110 and 29 CFR 1614 can be used to
    resolve EEO complaints.

D.  Aggrieved individuals have the right to representation throughout
    the EEO complaint process, as well as during any ADR process.

E.  BPA has the discretion to determine whether a given dispute is
    appropriate for ADR. Managers are encouraged to resolve disputes as
    early in the process as possible. Decisions to not offer ADR in a
    particular case must be reviewed by at least two levels of
    management.

F.  An aggrieved individual's decision to accept or reject an offer of
    ADR will not prejudice his/her EEO claim in any way.

G.  If the dispute is resolved during the ADR process, the terms of the
    agreement must be in writing and signed by both the aggrieved person
    and a BPA manager, and the EEO Officer. The dispute is only
    considered resolved (for EEO purposes) when the agreement includes
    the aggrieved individual's waiver of the right to file a formal
    complaint on current claims and/or the withdrawal of all complaints
    previously filed.

H.  Agreements reached during ADR are subject to review by the parties'
    representatives to ensure their enforceability and to provide
    parties with the opportunity for legal advice.

I.  All settlement agreements between the aggrieved individual and an
    involved management official (IMO) must be reviewed and approved by
    the EEO Officer.

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I.  **PROCEDURES FOR USING ADR DURING EEO COUNSELING**

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A.  EEO Counselors shall inform all persons entering EEO counseling
    about BPA's ADR Program and address any questions about the general
    availability and attributes of ADR.

B.  ADR cannot be offered at the EEO counseling stage when an aggrieved
    individual chooses to remain anonymous. However, such individuals
    may still participate in ADR forums outside the EEO complaint
    process, or later if they waive anonymity.

C.  When an aggrieved individual expresses an interest in participating
    in an ADR process, the EEO Counselor shall, in conjunction with the
    ADR Coordinator and management, attempt to negotiate a mutually
    agreeable ADR proposal to be offered to the individual.

D.  When an aggrieved individual accepts an ADR offer, traditional EEO
    counseling will cease while the ADR process is under way.

E.  If the matter is not resolved in ADR or if the matter has not been
    resolved ninety (90) days from the initial contact with the EEO
    Counselor, the aggrieved person will receive a Notice of Final
    Interview from the Counselor and will have the right to file a
    formal complaint.

F.  Written agreements reached during ADR are subject to review by the
    parties' representatives and the EEO Officer to ensure their
    enforceability and to provide parties with access to legal advice.

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II. **PROCEDURES FOR USING ADR DURING FORMAL EEO COMPLAINTS**

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A.  Upon receipt of a formal EEO complaint, the Formal Complaints
    Coordinator (FCC) shall issue a memorandum to the complainant
    acknowledging receipt of the complaint and informing him/her about
    the general availability and attributes of BPA's ADR process. The
    FCC will also issue a memorandum to the Involved Management Official
    (IMO) that the complaint has been filed, which will include
    information about BPA's ADR process. This memorandum may be issued
    prior to the decision to accept/dismiss the complaint in order to
    facilitate whether or not ADR may be offered, especially in those
    cases where the complainant remained anonymous during EEO
    Counseling.

B.  If the complaint is accepted for investigation and after receipt of
    the Report of Investigation, the FCC may contact the IMO to discuss
    resolution through using BPA's ADR processes.

C.  When either the complainant or the IMO expresses an interest in
    participating in an ADR process, the FCC shall, in conjunction with
    the ADR Coordinator and management, attempt to negotiate a mutually
    agreeable ADR proposal to be offered to the complainant.

D.  If the individual accepts the ADR offer, the FCC will work with the
    ADR Coordinator to arrange the ADR services.

E.  If a written settlement agreement results from the ADR process, all
    parties and the EEO Officer will be required to sign the agreement.
    The original settlement agreement is maintained and implemented by
    the FCC. Generally, terms are implemented within 30 working days of
    the date that the EEO Officer signed the agreement unless stated
    otherwise.

F.  At the conclusion of the ADR process, the complainant shall notify
    the FCC if there are remaining unresolved claims, and if so, the FCC
    will continue to process the formal complaint.

G.  At the pre-hearing stage, a designated attorney from BPA's Legal
    Services has the primary responsibility for coordinating BPA's
    participation in the ADR process. BPA's ADR Coordinator and the
    Formal Complaints Coordinator may assist in this effort.

H.  Upon receipt of a request for a hearing, the EEOC may refer BPA's
    EEO complaints to an ADR process. Both the FCC and BPA's legal
    representatives are notified of such referrals.

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III. **RESPONSIBILITIES**

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A.  **EEO Counselors:**

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1.  Provide information about ADR to individuals during the early stages
    of counseling to help them make an informed choice, in cases where
    ADR is offered by BPA.

2.  Help frame the discussion about the use of ADR in any particular
    case to management so management can make a reasoned choice about if
    and how to offer ADR.

3.  Assist in arranging for ADR services once parties have agreed to
    participate.

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B.  **Federal Complaint's Coordinator (FCC):**

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1.  Provide information about ADR during the processing of formal
    complaints so complainants can make an informed choice should ADR be
    offered.

2.  Provide information about ADR during the processing of formal
    complaints to the Involved Management Official so management can
    make a reasoned choice about if and how to offer ADR.

3.  Present BPA's formal offers of ADR to complainants.

4.  Assist in arranging for ADR services once parties have agreed to
    participate.

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C.  **Manager, HR, Diversity and EEO, as assisted by the Dispute
    Resolution Coordinator:**

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1.  Assure that BPA's ADR program is in compliance with the federal laws
    and regulations, including 29 CFR Part 1614, EEO MD-110, and the
    Administrative Dispute Resolution Act.

2.  Monitor and evaluate BPA's ADR program; provide required reports to
    EEOC regarding ADR activity related to resolving EEO complaints.

3.  Assure that EEO Counselors, managers, and supervisors receive
    appropriate training related to BPA's ADR program and policies.

4.  Acting as Liaison to the Oregon Federal Executive Board's Shared
    Neutrals program.

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D.  **Legal Services:**

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1.  Notify the ADR Coordinator, the FCC, and appropriate involved
    managers when an EEO complaint has been referred to an ADR program
    at the pre-hearing stage.

2.  Ensure that an appropriate manager with settlement authority
    participates in the ADR processes so that the enforceability
    requirement is met.

3.  Coordinate any pre-hearing settlement offers with the FCC and the
    EEO Officer.

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E.  **BPA** is required to have in place an Alternative Dispute
    Resolution program by EEOC policy.

F.  **Managers** are expected to make good faith efforts for
    constructive resolution of claims within the EEO process. Management
    officials involved in ADR processes are expected to be able to have
    authority to make offers of settlement on behalf of BPA.

G.  **Employees** are expected to make good faith efforts for
    constructive resolution of claims within the EEO process.

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IV. **RELATIONSHIP TO OTHER PROCESSES**

The use of ADR in the EEO complaint process must meet the criteria
outlined in MD 110 issued by the Equal Employment Opportunity
Commission. Participation in ADR automatically extends the informal
counseling period to 90 days. However it does not stop timeframes
related to the processing of formal complaints.

Nothing said or done during attempts to resolve disputes through ADR can
be made the subject of a new EEO complaint. Complaints not resolved in
the ADR process will continue to be processed. BPA's ADR process does
not diminish an individual's right to pursue his or her EEO claims under
the federal complaint process when ADR failed to resolve the dispute.

[^1]: These procedures do not apply to the TBL Ombuds Program.