Diversity, Equity, 

Inclusion, and Accessibility 

Issuance System 

DEIA-007

 Date: 

Office: Office of Diversity, Equity, Inclusion, and Accessibility1 

Subject: Management Participation in Alternative Dispute Resolution (ADR) During the 

Equal Employment Opportunity (EEO) Process 

1. PURPOSE. This Issuance requires 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. The provisions of this Issuance apply to all bureaus, offices, and organizations in the

Department, including the Offices of Inspectors General within the Department. The Issuance

applies to all Treasury employees, including consultants, detailees, temporary employees, and

interns (hereafter called employees), and contractor employees performing work for the

Department of the Treasury, its offices, and bureaus, whenever the employee is working in a

government-designated office, traveling, or working from home on behalf of the Department. The

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

independence of the Offices of Inspector General.

3. 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.

4. RESPONSIBILITIES.

a. Treasury Bureaus shall:

1) Within 90 calendar days of issuance of this DEIA, develop or revise their ADR policy to

comply with this issuance.

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 This issuance is also updated to reflect the current organizational structure (formerly Civil Rights and Diversity Issuance 

Program, CRD-007). 

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2) Satisfy any labor bargaining obligations with respect to the development or revision of their 

ADR policy. 

3) 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 EEO (OCRE) will only offer ADR 

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 OCRE offer ADR in the formal complaint 

process. 

4) 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. 

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

certified mediator). Bureaus are responsible for coordinating and providing mediators in 

the EEO administrative process and may use any other source that provides certified 

mediators. 

6) 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. 

7) Require through a clear written policy that the confidentiality of EEO ADR proceedings is 

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

information for implementation or reporting purposes. 

8) 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. 

9) Provide a copy of the bureau’s new or revised ADR policy to OCRE within 30 calendar 

days of its issuance. 

10) Ensure that the bureau EEO office reviews quarterly informal and formal ADR 

participation rates and verifies to OCRE that the number of completed EEO counseling’s 

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

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

5. CANCELLATION. CRD-007, “Management Participation in Alternative Dispute Resolution 

(ADR) During the Equal Employment Opportunity (EEO) Process,” dated January 23, 2018. 

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6. AUTHORITIES. 

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. 

7. REFERENCES. 

a. 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. 

b. 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. 

8. OFFICE OF PRIMARY INTEREST. Office of Diversity, Equity, Inclusion, and Accessibility. 

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. 

Snider Page 

Acting Chief Diversity, Equity, Inclusion, 

and Accessibility Officer 

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