Civil Rights & Diversity Issuance System

Date: January 23, 2018

Office: Office of Civil Rights and Diversity 

Subject: CRD – 007, Management Participation in Alternative Dispute Resolution (ADR) During the Equal 

Employment Opportunity (EEO) Process

1. PURPOSE. Require management participation in Alternative Dispute Resolution (ADR) in 

the EEO process when it is offered by the Agency and the aggrieved/complainant agrees to 

participate in ADR to resolve the issue(s) that initiated the claim/complaint.

2. SCOPE. This issuance applies to all bureaus, offices, and organizations in the Department, 

including the Offices of Inspectors General within the Department. The provisions of this 

issuance shall not be construed to interfere with or impede the authorities or independence of the 

Treasury Inspector General, the Treasury Inspector General for Tax Administration, or the 

Special Inspector General for TARP.

3. CANCELLATION. Human Capital Issuance System, Chapter 900-010, Transmittal Number 

TN-10-001, Management Participation in Alternative Dispute Resolution (ADR) During the 

Equal Employment Opportunity (EEO) Process (August 16, 2010)

4. EFFECTIVE DATE. This policy is effective with the date of signature.

5. REFERENCES.

A. 29 C.F.R. Part 1614, Sections 1614.102(b)(2), 1614.105(b)(2) and 1614.603.

B. Administrative Dispute Resolution Act of 1996 (September 1996), 5 U.S.C. § 571 - § 574.
2

C. EEOC Management Directive-110 (August 2015), Chapter 1, Section V, Delegation of 

Authority to Resolve Disputes; Chapter 2, Section VII, The EEO ADR Program; and, Chapter 3, 

Alternative Dispute Resolution for EEO Matters.

D. EEOC Management Directive-715 (October 2003), Model Agency Title VII and 

Rehabilitation Act Programs, Section II.E. Efficiency.

This issuance supplements requirements contained in the references cited above; it is not selfcontained, and must be read in conjunction with the cited references, any subsequent revisions 

or successor documents, and any applicable collective bargaining agreements. The references 

in this document may change without alteration of this policy, in which case the most recent 

version of the reference in question will apply to this policy and its requirements.

6. POLICY. It is the policy of the Department of Treasury to require management’s 

participation in ADR in the EEO process when it is offered by the Agency and the 

aggrieved/complainant agrees to participate in ADR to resolve the issue(s) that initiated the 

claim/complaint, and, consistent with the provisions set forth herein, to ensure the participation 

of an appropriate-level official to be designated as the settlement authority in such proceedings.

7. RESPONSIBILITIES.

Treasury Bureaus shall:

A. Within 90 calendar days of issuance of this CRD, develop or revise their ADR policy to 

comply with this issuance.

B. Satisfy any labor bargaining obligations with respect to the development or revision of their 

ADR policy.

C. Identify which issues are not appropriate for EEO ADR or state that determinations will be 

made on a case by case basis and describe the criteria that will be used in making the 

determination. The Treasury Office of Civil Rights and Diversity (OCRD) will only offerADR 

in the formal complaint process where an offer of ADR was made by the bureau in the informal 

counseling process, or the bureau’s EEO Director or a representative from the bureau’s legal 

counsel’s office requests that OCRD offer ADR in the formal complaint process.

D. Require a management official with settlement authority either to be present or immediately 

accessible during ADR proceedings. The management official with settlement authority may not 

be the responsible management official (RMO) or other agency official directly involved in the 

complaint at issue. While an RMO may participate in an ADR proceeding, it is recommended 

that, when administratively feasible and as a best practice, a management official at least one 

level above the RMO participate to help reach resolution.

E. Ensure all ADR proceedings are conducted by a trained, third party neutral person (e.g., 

certified mediator). Mediators may be available through Treasury’s Shared Neutrals Program or 

a bureau may use any other source that provides certified mediators.
3

F. Require that the terms of the resolution of any EEO matter are contained in a written 

agreement that is signed by the employee and the bureau.

G. Require through a clear written policy that the confidentiality of EEO ADR proceedingsis 

protected. The details of a resolution should be disseminated only to offices that need the 

information for implementation or reporting purposes.

I. Distribute the new or revised ADR policy to all bureau employees and post the policy on the 

bureau’s intranet site. Bureaus are encouraged to provide training to employees on the benefits of 

ADR and to train managers and supervisors on how to represent the bureau in ADR proceedings.

J. Provide a copy of the bureau’s new or revised ADR policy to OCRD within 30 calendar days 

of its issuance.

K. Ensure that the bureau EEO office reviews quarterly informal ADR participation rates and 

verifies to the Office of Civil Rights and Diversity that the number of completed EEO 

counselings (informal process), ADR offers, and ADR participation rates are accurately reported 

for inclusion in Treasury’s internal EEO complaint management database site.

8. OFFICE OF PRIMARY INTEREST. Office of the Assistant Secretary for Management 

and Office of Civil Rights and Diversity.

9. POLICY REVIEW: The provisions of this Issuance are subject to modification by changes 

in pertinent statutes and the U.S. Equal Employment Opportunity Commission (EEOC) 

regulations. The applicable provision or provisions shall be amended or superseded through 

interim guidance effective on the dates specified in any statutory or regulatory change. This

Issuance will be reviewed after five years.

/Signed/

Mariam G. Harvey

Director

Office of Civil Rights and Diversity