ML25132A049
| ML25132A049 | |
| Person / Time | |
|---|---|
| Issue date: | 05/12/2025 |
| From: | NRC/SBCR |
| To: | |
| Shared Package | |
| ML25086A149 | List: |
| References | |
| Download: ML25132A049 (1) | |
Text
ALTERNATIVE DISPUTE RESOLUTION (ADR) PROGRAM MANUAL OFFICE OF SMALL BUSINESS AND CIVIL RIGHTS U.S. NUCLEAR REGULATORY COMMISSION
Page l 2 Table of Contents
- 1.
Introduction........................................................................................................................................ 3
- a.
Overview.......................................................................................................................................... 3
- b.
Definition of ADR.............................................................................................................................. 3
- c.
Purpose............................................................................................................................................ 3
- d.
Authorities........................................................................................................................................ 4
- 2.
ADR Principles and Practices.............................................................................................................. 5
- a.
The Core Principles of ADR.............................................................................................................. 5
- b.
Benefits of ADR................................................................................................................................ 6
- c.
Types of Workplace Disputes and Conflicts Suitable for ADR........................................................... 6
- 3.
Types of ADR Methods....................................................................................................................... 6
- a.
Mediation.......................................................................................................................................... 6
- b.
Facilitation........................................................................................................................................ 7
- 4.
The ADR Process................................................................................................................................ 8
- a.
Initiating ADR.................................................................................................................................... 8
- b.
Preparation for Pre-mediation ADR................................................................................................... 8
- c.
Conducting ADR Sessions................................................................................................................ 8
- d.
Reaching an Agreement................................................................................................................... 9
- e.
When an Agreement Is Not Reached................................................................................................ 9
- 5.
Roles and Responsibilities................................................................................................................ 10
- a.
Parties Involved.............................................................................................................................. 10
- b.
Support Personnel.......................................................................................................................... 10
- 6.
Ethical Considerations in ADR........................................................................................................... 10
- 7.
Who Administers the NRCs Alternative Dispute Resolution Program for Equal Employment Opportunity Complaints and Related Issues........................................................................................... 11
- 8.
Glossary of ADR Terms.................................................................................................................... 11
- 9.
Appendices....................................................................................................................................... 12
Page l 3
- 1.
Introduction
- a.
Overview Alternative dispute resolution (ADR) refers to a range of processes designed to help parties resolve workplace disputes and conflicts without the need for formal litigation. These processes are typically less adversarial, more cost-effective, and quicker than traditional court proceedings.
ADR is offered to all current and former U.S. Nuclear Regulatory Commission (NRC) employees, applicants for employment, and contractors (where applicable) throughout the entire Equal Employment Opportunity (EEO) complaint process (pre-complaint and formal). Note: An individual will never be prevented from participating in the ADR process for which a given workplace dispute or conflict was determined to be appropriate for ADR.
- b.
Definition of ADR ADR encompasses various methods of resolving workplace disputes and conflicts outside of traditional judicial processes, including mediation, facilitation, arbitration, negotiation, and conciliation. The Administrative Dispute Resolution Act of 1996 defines ADR as any procedure that is used to resolve issues in controversy, including, but not limited to, conciliation, facilitation, mediation, factfinding, minitrials, arbitration, and use of ombuds, or any combination agree thereof.
ADR plays a crucial role in the modern legal system by offering flexible, creative, and amicable solutions to workplace disputes and conflicts. It helps to reduce the burden on courts, promotes a forward-thinking attitude, encourages confidentiality, and preserves relationships between disputing and conflicting parties.
- c.
Purpose The ADR program manual strives to provide a comprehensive guide to the NRCs ADR program for all current and former NRC employees, applicants for employment, contractors (where applicable), and stakeholders, outlining the principles, procedures, and practices involved. The manual serves as a resource for EEO practitioners, parties involved in workplace disputes and conflicts, and anyone interested in understanding the NRCs ADR program. Its primary goals are to do the following:
- i.
Inform: Ensure that all individuals associated with the NRC are aware of the ADR program, including its purpose, benefits, and procedures.
ii.
Assist: Help users understand the steps involved in the ADR process, particularly for resolving EEO complaints.
Page l 4 iii.
Promote Efficiency: Facilitate quick, confidential, and effective resolution of disputes, thereby improving the overall handling of EEO complaints within the organization.
It is NRC policy to provide equal employment opportunities to current and prospective employees. Discrimination based on the following is prohibited: race, color, national origin, religion, sex, pregnancy, sexual orientation, age, disability, marital status, parental status, political affiliation, military service, and genetic information. Reprisal (retaliation) for participating in protected activities is also prohibited. Examples of protected activities include engaging in the EEO complaint process, requesting reasonable accommodation, participating in an inquiry conducted under the Anti-Harassment Policy of the Office of the Chief Human Capital Officer (OCHCO), or opposing a discriminatory practice based on a good-faith belief that EEO laws were violated.
In compliance with the U.S. Equal Employment Opportunity Commission (EEOC) regulations,1 the Office of Small Business and Civil Rights (SBCR) developed an ADR program that is confidential and informal. ADR serves to streamline disputes and conflict resolution and fosters a more harmonious workplace environment. It helps employees, contractors, managers, and supervisors find mutually acceptable resolutions to discrimination claims without going through formal adjudication. The NRC is committed to using ADR as a tool to resolve employment discrimination claims at the earliest stage possible in an expeditious and cost-effective manner. This manual clearly outlines the agencys ADR program for EEO complaints and related issues, processes, and expectations.
One of SCBRs key roles is to provide mediation services to resolve workplace disputes and preserve working relationships through the use of the agencys ADR program. SBCR is committed to ensuring qualified experienced mediators provide commensurate services to resolve both simple and complex disputes, while ensuring civility, building trust, and preserving relationships.
- d.
Authorities
- i.
Administrative Dispute Resolution Act of 1996 (Public Law 104-320, amending Public Law 101-552 and Public Law 102-354) ii.
5 U.S.C. 571-584, Alternative Means of Dispute Resolution in the Administrative Process iii.
29 CFR Part 1614, Federal Sector Equal Employment Opportunity iv.
EEOC Management Directive 110, Chapter 3, Alternative Dispute Resolution for EEO Matters 1
The EEOC regulations are in Title 29 of the Code of Federal Regulations (29 CFR) Part 1614, Federal Sector Equal Employment Opportunity (revised November 1999). The text of these EEOC regulations can be accessed through the EEOCs website.
Page l 5
- 2.
ADR Principles and Practices
- a.
The Core Principles of ADR To ensure that the agencys ADR program is designed to fit the NRC workplace environment, it is administered and managed fairly both in perception and reality by incorporating the following core principles:
VoluntarinessParticipation in ADR is voluntary for all parties involved.
However, it is NRC policy that a management representative shall participate in ADR when requested by a counselee or complainant.
ConfidentialityThe ADR process is private and confidential, meaning that anything discussed during an ADR session cannot be used against any party in subsequent proceedings or disclosed outside the ADR process.
NeutralityADR mediators and facilitators are neutral and impartial.
They have no vested interest in the outcome of the dispute and should conduct the process in a manner that ensures fairness to all parties.
FlexibilityADR processes are adaptable to the needs and circumstances of the parties involved.
Informed ParticipationParties are provided with all relevant information about the ADR process, including its procedures, potential outcomes, and any implications of participating. This allows participants to make informed decisions about whether and how to engage in ADR.
Equal OpportunityAll parties have an equal opportunity to present their case, provide evidence, and participate in discussions. The ADR process should ensure that no party is disadvantaged.
TimelinessThe ADR process is conducted in a timely manner to avoid unnecessary delays. Prompt resolution of disputes helps maintain the effectiveness and efficiency of the ADR program.
EnforceabilityThe ADR process ensures that any agreement reached during the ADR proceeding is enforceable. Any allegation that an ADR settlement agreement has been breached shall be brought to the attention of the Director of SBCR.
Training and Quality AssuranceADR facilitators and staff receive ongoing training to ensure they are skilled in conflict resolution and knowledgeable about ADR principles. Quality assurance measures are in place to maintain the high standards of the ADR program.
By incorporating these core principles, the NRC can help ensure that its ADR program is fair and effective, enhancing trust in the process and providing equitable resolutions for all parties involved.
Page l 6
- b.
Benefits of ADR Many participants have expressed satisfaction with the ADR program. To further encourage parties and ease their comfort in considering participating in the ADR process, all parties involved in an EEO dispute can experience the following benefits of the ADR program:
- i.
Early ResolutionADR can help resolve disputes quickly and informally, avoiding the need for lengthy litigation.
ii.
Win-Win ResolutionADR allows the parties in a dispute to reach a mutually satisfactory agreement.
iii.
Cost-EffectivenessADR can be less expensive than traditional processes, saving money on attorney fees and other costs.
iv.
ConfidentialityADR sessions are confidential, which can help protect the privacy of all parties involved.
- v.
Improved Working RelationshipsADR can help improve working relationships and employee morale.
vi.
FlexibilityADR processes can be flexible and give parties more control over the process.
- c.
Types of Workplace Disputes and Conflicts Suitable for ADR ADR is suitable for a wide range of workplace disputes and conflicts, including allegations of discrimination, harassment, and retaliation; non-selections and promotions; assignment of duties; awards; time and attendance; training; wages; reasonable accommodation; and terms and conditions of employment. It is particularly effective in cases where parties seek a collaborative solution and wish to maintain their relationships.
- 3.
Types of ADR Methods
- a.
Mediation
- i.
Definition and ProcessMediation involves a neutral third party, the mediator, who helps disputing parties communicate and negotiate to reach a mutually acceptable solution. Mediation is designed to provide a more flexible and collaborative way to resolve disputes compared to traditional methods. Unlike formal investigations or court cases, mediation is less formal. It involves direct communication between the parties with the help of a neutral mediator. The process strives to clarify misunderstandings, address underlying concerns, and find common ground. It is a forward-looking process. The parties work together to identify areas of agreement and draft mutually acceptable resolutions.
Page l 7 Mediation is voluntary and may be requested by any agency employee.
Management is required to participate. The parties have control over the outcome and can decide whether to settle the dispute. Because mediation is confidential, it encourages open and honest discussions.
Conversations during mediation cannot be used later in litigation if the mediation does not lead to a resolution.
ii.
Role of the MediatorThe mediator facilitates dialogue, identifies issues, and assists in finding common ground but does not impose a decision. The mediators role is to help the parties explore potential solutions. The mediator does not make decisions or impose solutions but guides the parties towards their own agreement.
iii.
Steps in MediationGenerally, mediation consists of the following process steps, in sequential order: opening statements, joint sessions, separate sessions (caucuses), and agreement drafting. If the parties agree on a resolution, they prepare and sign a settlement agreement. The settlement is a legally binding agreement between the parties. If the dispute is not resolved during mediation, the complaint will be picked up where it stopped before the mediation and moved forward within the EEO process.
iv.
Advantages and DisadvantagesMediation is confidential, flexible, and promotes cooperation, but it may not result in a resolution.
- b.
Facilitation
- i.
Definition and ProcessFacilitation involves the use of techniques to improve the flow of information in a meeting between parties to a dispute.
The term facilitator is often used interchangeably with the term mediator, but facilitators do not typically become as involved as mediators in substantive issues. Facilitators focus more on the communication processes involved in resolving a matter and maintain a broader focus on guiding the process and ensuring effective communication among all participants. Facilitators manage the structure of conversations while ensuring that all voices are heard and that the process is efficient.
ii.
Role of the FacilitatorFacilitators help parties engage in active listening, communicating clearly, and being open to considering creative ways to resolve their issues. In addition, facilitators focus on the process of resolving a matter. They provide procedural directions to help the group move through the problem-solving steps of the meeting and arrive at an agreed-upon goal.
Facilitators maintain neutrality regarding the content of the discussion.
Conversations during facilitation are confidential and cannot be used later in litigation if a resolution is not reached. The facilitators ultimate purpose is to help all parties reach a consensus or a mutually agreed-upon outcome efficiently.
Page l 8 iii.
Steps in FacilitationThe ADR practitioner will hold facilitated discussions with each party to a dispute separately and allow them to present their perspectives and different points of view in an effort to reach a consensus on possible solutions and agreement.
iv.
Advantages and DisadvantagesFacilitation allows parties to remain in charge of disputes and conflict resolution and agree on the way the proceeding is progressing step by step. However, the process may take longer than it should because the disputing parties are unable to find common ground.
- 4.
The ADR Process
- a.
Initiating ADR
- i.
Requesting ADRParties may agree to ADR voluntarily or be required by contract or court order. Note: In offering ADR throughout the entire EEO complaint process, SBCR has the discretion to delay a given dispute matter when circumstances are premature and may not be appropriate or feasible at that stage and time of the process.
ii.
Selection of ADR MethodBased on the nature of the workplace dispute or conflict, the appropriate ADR technique or method is chosen.
- b.
Preparation for Pre-mediation ADR
- i.
Gathering InformationCollect relevant information and supporting documentation.
ii.
Selecting ParticipantsIdentify who will participate in the ADR process, including legal representatives and union officials, if necessary.
iii.
Setting the AgendaProvide an overview of the claims to be discussed during the process.
- c.
Conducting ADR Sessions
- i.
Opening StatementsEach party presents their perspective and objectives.
ii.
Joint Sessions vs. Separate SessionsJoint sessions involve all parties together, while separate sessions (caucuses) allow private discussions with the mediator or facilitator. These conversations (caucuses) with the mediator or facilitator are kept strictly confidential and will only be shared with the other parties with their permission.
iii.
Technique for Effective CommunicationAll parties should participate as active listeners, clearly and concisely articulate their interests, and avoid inappropriate or adversarial language.
Page l 9 iv.
Role of RepresentativesIn providing legal advice and union support, the representatives will ensure that the process adheres to the standards governing ADR.
- d.
Reaching an Agreement
- i.
Drafting the AgreementThe drafting of the terms and conditions of the agreement must be prepared in clear and concise language and ensure that the agency can fulfill the terms (i.e., under applicable laws, regulations, and policies).
ii.
Circulating the AgreementThe drafted agreement outlining the terms will be transmitted to the Office of the General Counsel (OGC) and OCHCO for their review.
iii.
Presenting the AgreementThe agreement will be presented to the appropriate parties for their review and signature concurrence.
iv.
Ensuring ComplianceSBCR will establish mechanisms for monitoring and enforcing compliance with the agreement.
- v.
Enforcement of the AgreementIf there should be an allegation of breach of the agreement, legal procedures for enforcing the terms of the agreement will be implemented for immediate action by SBCR.
- e.
When an Agreement Is Not Reached When an agreement is not reached during an ADR proceeding, the next steps will vary depending on the stage of the process and the outcome of the case:
- i.
The Pre-Complaint ProcessDuring the pre-complaint process, the counselee will be sent back to the EEO counselor, who will conduct the final interview and issue the Notice of Right to File a Formal Complaint.
ii.
The Formal ProcessDuring the formal complaint process, the complaint is reinstated from the point at which the processing ceased (i.e., acceptance/dismissal analysis, investigation, etc.).
iii.
At the EEOC HearingAt the EEOC hearing stage, the Administrative Judge (AJ) will highly encourage the Complainant to participate in the ADR process to help in resolving the workplace dispute and conflict without a trial. The ADR process is usually less formal, less expensive, and less time-consuming than a trial.
Page l 10
- 5.
Roles and Responsibilities
- a.
Parties Involved
- i.
Responsibilities of the Counselees and ComplainantsCounselees and complainants must cooperate by engaging in good faith, respond by providing the necessary information in a timely fashion, and adhere to all agreed-upon ADR procedures.
ii.
Responsibilities of the ManagementWhen a counselee or complainant elects to participate in the ADR process, the agency will ensure that an appropriate management official or settlement official, or both, from the respective organization or program area is designated to collaborate with the agencys deciding official (SBCR Director) to participate in the ADR process and make an offer of resolution.
iii.
Responsibilities of the ADR PractitionerThe ADR practitioner (i.e., SBCR or SBCR contractor) will facilitate the process, maintain neutrality, and ensure a fair and respectful environment.
- b.
Support Personnel
- i.
Role of the Office of the General CounselOGC representatives will offer legal guidance and advice to senior leaders, management officials, and OCHCO representatives; review agreements; and ensure the process is legally sound.
ii.
Role of Support StaffSBCR will provide administrative and program support, scheduling, and documentation.
- 6.
Ethical Considerations in ADR
- a.
ConfidentialityEnsures all discussions and agreements remain private, with information disclosed only as agreed by the parties or required by law.
- b.
Impartiality and NeutralityMaintains an unbiased stance, avoiding favoritism, and ensuring equal treatment of all parties.
- c.
Conflict of InterestIdentifies and discloses any potential conflicts of interest and taking steps to mitigate their impact.
- d.
Professional ConductAdheres to professional standards, codes of conduct, and ethical guidelines established by relevant ADR laws and regulations.
Page l 11
- 7.
Who Administers the NRCs Alternative Dispute Resolution Program for Equal Employment Opportunity Complaints and Related Issues?
SBCR administers, manages, and ensures compliance with and enforcement of the agencys ADR Program for Equal Employment Opportunity Complaints and Related Issues in coordination with OGC and OCHCO, as necessary.
Office of Small Business and Civil Rights ADR Program Coordinator/Civil Rights Program U.S. Nuclear Regulatory Commission 11555 Rockville Pike Rockville, MD 20852 Main Office: (301) 415-7380 Email: EEO.Complaints.Resource@nrc.gov Website: https://www.nrc.gov/about-nrc/civil-rights/programs/crp/eeo-adr-program.html
- 8.
Glossary of ADR Terms This glossary provides definitions for key terms and concepts commonly used in supporting the ADR process, helping to clarify the language and principles involved. Let us know if you would like to see further details or additional terms included.
The following are definitions of key terms and concepts used in supporting the ADR process:
ADR (Alternative Dispute Resolution)A range of processes that help parties resolve workplace disputes and conflict without litigation, including mediation, facilitation, arbitration, negotiation, and conciliation.
ADR PractitionerA neutral third party who facilitates ADR. ADR practitioners are also known as neutrals or mediators. Their role is to ensure that the ADR process is fair and unbiased by remaining impartial and not having a vested interest in the outcome of the dispute.
CaucusA private meeting during the ADR process where the mediator or facilitator meets separately with each party to discuss issues confidentially.
ComplainantA current or former NRC employee or applicant for employment who has filed a complaint and is participating in the formal stage of the agencys EEO complaint process.
ConfidentialityThe principle that all information disclosed during ADR proceedings is kept private and not shared outside the process.
Page l 12 Conflict of InterestA situation in which the ADR practitioner has a personal or financial interest that could affect their impartiality.
CounseleeA current, former, or prospective NRC employee participating in the pre-complaint or informal stage of the agencys EEO complaint process.
EnforcementThe legal procedures for ensuring compliance with the terms of an ADR agreement.
FacilitationA process in which a facilitator assists parties in discussing and resolving issues in a cooperative and constructive manner.
ImpartialityThe principle that ADR practitioners must remain neutral and unbiased, treating all parties equally and respectfully.
LitigationThe process of resolving workplace disputes or conflicts through the court system, involving a formal trial and legal procedures.
MediationA voluntary and confidential form of ADR where a neutral third party, the mediator, helps aggrieved parties communicate and negotiate to reach a mutually acceptable solution.
MediatorA neutral third party who facilitates communication and negotiation between the aggrieved parties in mediation, helping them reach a voluntary agreement.
NeutralityThe principle that ADR practitioners must not favor any party and must facilitate the process fairly.
ResolutionThe outcome of a workplace dispute or conflict, which may be reached through ADR, negotiation, or litigation.
SettlementAn agreement reached by aggrieved parties through negotiation or ADR, resolving the dispute.
VoluntarinessThe principle that participation in the ADR processes should be voluntary and consensual for all parties involved.
- 9.
Appendices
- a. Designation of Representatives in the EEO Complaint Process
- b. Request to Participate in Alternative Dispute Resolution
- c. Agreement to Participate in Mediation
- d. Agreement to Participate in a Facilitated Discussion
DESIGNATION OF REPRESENTATIVE To:
Vonna Ordaz Director, Office of Small Business and Civil Rights From:
Counselee/Complainant
Subject:
Designation of Representative in EEO Complaint Agency File No.: NRC-I,
, understand that pursuant to Title 29 Code of Federal Regulations (C.F.R.) Section 1614.605(a), at any stage in the processing of a complaint, I shall have the right to be accompanied, represented, and advised by a representative of my choice. However, in cases where the representation of a counselee or complainant conflicts with the official or collateral duties of the representative, the agency may disqualify the representative. See 29 C.F.R. § 1614.605(c).
I understand that it is my duty to immediately inform the Agency if representation is retained and that failure to notify the Agency can affect any entitlement to fees or costs associated with such representation.
I (do
) (do not
) have a representative at this time. My representative is:
Name:
Address:
Phone No.:
Email:
My representative is an attorney. I understand that agencies are not required to pay attorneys fees for services performed during the pre-complaint (informal) process, and I understand that all time frames associated with the processing of my complaint will be calculated from my attorneys receipt of correspondence. 29 C.F.R.
§§1614.501(e)(1)(iv) and 1614.605(d).
My representative is not an attorney. I understand that all time frames associated with the processing of my complaint will be calculated from my receipt of correspondence.
I understand that unless I state otherwise in writing, if I have designated a representative, all official correspondence shall be with the representative with copies to me. Also, although I have designated a representative, I am at all times responsible for proceeding with the complaint.
Additionally, if I choose to have representation or make a change in representation, I must immediately notify the Agency. Finally, there is no entitlement to attorneys fees or costs for discrimination under the Age Discrimination in Employment Act or the Equal Pay Act, as amended.
Signature of Counselee/Complainant Date
Revised 11/2022 UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 MEMORANDUM TO:
Vonna L. Ordaz, Director Office of Small Business and Civil Rights FROM:
[Name], [Title]
[Branch]
[Division]
[Office]
SUBJECT:
Request to Participate in Alternative Dispute Resolution I am requesting to pursue a resolution of the claim(s) of employment discrimination, raised in my pre-complaint (informal) or formal complaint, NRC-xxx-xx, filed with the Agency on [date],
through the Agencys Alternative Dispute Resolution (ADR) process. I understand that the processing of my complaint will be extended by up to 90 calendar days or held in abeyance, pending the outcome of the ADR process. The EEO Counselor or Investigator provided me with a copy of the Agencys pamphlet on the Discrimination Complaint Process, which includes the ADR process. I understand my rights and responsibilities with the respected process. I also understand that ADR cannot occur unless the other party to dispute voluntarily agrees to participate in ADR and submit this request to the ADR Coordinator in sufficient time to complete the ADR process within the statutory time frame or period of extension set forth in EEO regulations at 29 CFR Part 1614.
Mediation By mutual agreement of the parties, a neutral body, external to the agency, will facilitate a face-to-face discussion to help the parties resolve the dispute.
Facilitated Discussion By mutual agreement of the parties, a neutral body will facilitate a face-to-face discussion to help the parties resolve the dispute. Consistent with core mediation principles, the mediator or facilitator will have no decision-making authority, nor will they contribute to the substance of the discussion.
Revised 11/2022 Counselee/Complainants Last Name 2
I decline participation in ADR Counselee/Complainants Full Name Date Counselee/Complainants Representative (if applicable)
Date Date Received by the ADR Coordinator:
Comments:
ADR Coordinator Date
1 AGREEMENT TO PARTICIPATE IN MEDIATION Name, Counselee/Complainant, and the U.S. Nuclear Regulatory Commission have agreed to participate in Mediation to resolve the Counselees/Complainants claims of employment discrimination. The parties have been provided with information regarding the Agencys Alternative Dispute Resolution (ADR) process and the roles and responsibilities of the parties, the Mediator, and the ADR Coordinator/ Agency Official in that process.
The Parties (including representatives, if applicable) understand and agree that:
- 1.
Mediation is voluntary and may be terminated at any time by either party. In the event that mediation is terminated for any reason, Name, may continue to pursue a pre-complaint or formal resolution of the matter through the Agencys discrimination complaint process.
- 2.
No statutory deadlines are waived, and all statutory deadlines must be adhered to in accordance with Equal Employment Opportunity Commission regulations 29 CFR Part 1614.
- 3.
The parties have a right to representation by an attorney or non-attorney to consult with or assist them at any stage in the mediation process, and each party is responsible for taking steps to obtain such a person.
- 4.
The role of the Mediator is to facilitate and assist the parties in reaching a voluntary, mutually satisfactory resolution to the problem. However, the decision whether to agree to a particular decision rest with the parties, not the Mediator.
- 5.
If the parties cannot agree on a resolution, the Mediator has no authority to impose a resolution.
- 6.
Mediation is a confidential process and matters relating to the mediation process may not be discussed with individuals that are not involved in the mediation process.
- 7.
Any documents submitted to the Mediator and statements made during mediation, including proposed settlement terms, are for settlement purposes only and shall remain confidential to the full extent permitted by law.
- 8.
All information provided to the Mediator is confidential except evidence that is otherwise admissible or discoverable in a court of law or other administrative process even though brought up in a mediation session.
- 9.
The parties will not subpoena or request the Mediator to serve as a witness, or request or use as evidence any materials prepared by the Mediator for the mediation, except for a settlement document signed by the parties.
- 10.
The Mediator will not voluntarily testify on behalf of any party or third person or submit any type of report in connection with the mediation.
2
- 11.
No party or representative will be bound by anything said or done during the mediation process unless a written settlement agreement is reached and signed by all the appropriate parties.
- 12.
If a settlement is reached, the agreement will be reduced to writing by the parties in coordination with the Mediator, ADR Coordinator and Agency Official and, when signed and approved by all the appropriate parties, the settlement document shall be legally binding upon all parties to the agreement.
- 13.
Name right to pursue pre-complaint or formal processes are not waived and will be protected during the mediation process.
- 14.
No admission of guilt or wrongdoing by either party is implied, and none should be inferred, by participation in this process.
- 15.
The parties will sincerely attempt to resolve this matter, cooperate with the Mediator assigned to this matter, and give serious consideration to all suggestions made in regard to developing a resolution of the dispute.
- 16.
The parties will conduct themselves in a courteous and non-hostile manner, use appropriate language, and allow the Mediator to interrupt the process if the Mediator feels a caucus or break is needed to facilitate the mediation process.
- 17.
The parties will be notified of the status and results of the mediation process, including settlements, withdrawal from, or unsuccessful conclusion of the process.
BY SIGNATURES BELOW, THE PARTIES ACKNOWLEDGE THAT THEY HAVE READ, UNDERSTAND AND AGREE TO THIS AGREEMENT TO PARTICIPATE IN MEDIATION:
Name (Counselee/Complainant)
Date Representative, if applicable Date RMO Date Manager with Authority to Settle Date
3 Agency Official Date Mediator Date
1 AGREEMENT TO PARTICIPATE IN FACILITATED DISCUSSION Name, Counselee/Complainant, and the U.S. Nuclear Regulatory Commission have agreed to participate in a Facilitated Discussion to resolve the Counselees/Complainants claim of employment discrimination. The parties have been provided with information regarding the Agencys Alternative Dispute Resolution (ADR) process and the roles and responsibilities of the parties, the Office of Small Business and Civil Rights (SBCR), ADR Coordinator and Agency Official in that process.
The Parties (including representatives, if applicable) understand and agree that:
- 1.
The Facilitated Discussion is voluntary and may be terminated at any time by either party. In the event that the Facilitated Discussion is terminated for any reason, Name, may continue to pursue a pre-complaint or formal resolution of the matter through the Agencys discrimination complaint process.
- 2.
No statutory deadlines are waived, and all statutory deadlines must be adhered to in accordance with Equal Employment Opportunity Commission regulations 29 CFR Part 1614.
- 3.
The parties have a right to representation by an attorney or non-attorney to consult with or assist them at any stage in the Facilitated Discussion process, and each party is responsible for taking steps to obtain such a person.
- 4.
The role of SBCR is to facilitate and assist the parties in reaching a voluntary, mutually satisfactory resolution to the problem. However, the decision whether to agree to a particular decision rest with the parties, not SBCR.
- 5.
If the parties cannot agree on a resolution, SBCR has no authority to impose a resolution.
- 6.
The Facilitated Discussion is a confidential process and matters relating to the Facilitated Discussion process may not be discussed with individuals that are not involved in the Facilitated Discussion process.
- 7.
No party or representative will be bound by anything said or done during the Facilitated Discussion process unless a written settlement agreement is reached and signed by all the appropriate parties.
- 8.
If a settlement is reached, the agreement will be reduced to writing by the parties in coordination with SBCR, and the Agency Official and, when signed and approved by all the appropriate parties, the settlement document shall be legally binding upon all parties to the agreement.
- 9.
Name right to pursue pre-complaint or formal processes are not waived and will be protected during the Facilitated Discussion process.
- 10.
No admission of guilt or wrongdoing by either party is implied, and none should be inferred, by participation in this process.
2
- 11.
The parties will sincerely attempt to resolve this matter and give serious consideration to all suggestions made in regard to developing a resolution of the dispute.
- 12.
The parties will be notified of the status and results of the Facilitated Discussion process, including settlements, withdrawal from, or unsuccessful conclusion of the process.
BY SIGNATURES BELOW, THE PARTIES ACKNOWLEDGE THAT THEY HAVE READ, UNDERSTAND AND AGREE TO THIS AGREEMENT TO PARTICIPATE IN FACILITATED DISCUSSION:
Name (Counselee/Complainant)
Date Representative, if applicable Date Manager with Settlement Authority Date Manager with Authority to Settle Date Agency Official/Facilitator SBCR Date Program Manager/Facilitator SBCR Date