Managing a MEDIATION PROCESS

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Managing a

MEDIATION

PROCESSAmy L. Smith and David R. Smock


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TAKE INTO ACCOUNT THE LEGACIES OF PREVIOUS MEDIATION ATTEMPTS Assess positive and negative results of past eorts

Consider new sequencing of decisions, new settlement formulas, and new actors

CONDUCT TRACKI MEDIATION

USE CONSULTATIONS AND PRENEGOTIATIONS TO LAY THE GROUNDWORK

Solicit input and build trust Build and sustain political support

DETERMINE PARTICIPANTS

Work with viable partners Manage spoilers

Include marginalized groups

ARRANGE LOGISTICS

Provide a safe, eective, and well-resourced working environment Manage information eectively

DEVELOP AND EXECUTE STRATEGIES FOR ADVANCING NEGOTIATIONS Increase parties trust and condence

Use multiple tactics to facilitate agreement Introduce fresh frameworks Encourage communication with constituencies Use dierent types of leverage to encourage compromise

ENGAGE THE PUBLIC AND MEDIA

Develop channels for public involvement Manage media and public relations

ENCOURAGE TRACKII DIALOGUE

IDENTIFY AND COORDINATE WITH TRACKII EFFORTS

Ascertain status and potential of Track-II eorts

Focus on activities that build parties capacity and foster wider supportfor the process

PROMOTE COOPERATION BETWEEN TRACKS

Share information and clarify roles Reward Track-II eorts that further the Track-I process Maintain the independence of Track-II initiatives

CONSTRUCT A PEACE AGREEMENT

DEVELOP A DECLARATION OF PRINCIPLES

Obtain agreement on basic principles Cra broad outlines of an agreement

ASSEMBLE A PEACE AGREEMENT

Determine a draing process Translate principles into legally binding language Incorporate strategies for implementation and monitoring

PLAN FOR IMPLEMENTATION Make the local population stakeholders and guarantors of the agreement

Use metrics to gauge progress Design dispute resolution mechanisms Use external parties to support implementation

ASSESS THE CONFLICT UNDERSTAND WHAT THE CONFLICT IS ABOUT

Analyze the history and causes of the conict Assess positions and interests

UNDERSTAND THE ACTORS

Analyze the parties to the conict Evaluate civil society and the populace Identify international actors Identify other players

UNDERSTAND THE LARGER CONTEXT

Identify indigenous and international institutions for managing conict Identify and address characteristics of intractability

UNDERSTAND SOURCES OF POWER AND LEVERAGE

Identify material resources and parties control over them Assess the relative strength of parties and how it is changing

ENSURE MEDIATOR READINESS

DETERMINE WHAT ROLE IS APPROPRIATE

Determine the right mediation role given backing and resources Ensure mediation strategy is appropriate to mediators identity

ENHANCE THE ABILITY TO ENGAGE EFFECTIVELY

Build credibility Develop and strengthen a broad portfolio of skills Recognize cultural dierences

ENSURE ADEQUATE AUTHORITY AND RESOURCES

Obtain a clear mandate Build and sustain political support

Obtain the necessary resources and staying power KNOW WHEN NOT TO MEDIATE

Avoid mediation if sponsor lacks commitment, resources, or credibility Avoid mediation if conict is not ripe for resolution Know when to withdraw

MANAGE MULTIPLE MEDIATORS

Assess roles played by other mediators Communicate, coordinate, and cooperate with other mediators

ENSURE CONFLICT RIPENESS ASSESS RIPENESS

Conrm that parties believe outright victory is not achievable Conrm that parties can deliver on agreements Conrm that there is internal political and public support for peace

ENHANCE RIPENESS

Help elites understand costs and benets Increase pressure on elites through accountability

Cultivate leaders who can assume responsibility for negotiations Create balance between parties Change the costs and benets of the conict

T H E U S I P M E D I A T I O N M E T H O D O L O G Y


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United States Institute o Peace

Washington, D.C.

Managing a

MEDIATIONPROCESS

Amy L. Smith and David R. Smock


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Te Peacemakers oolkitSeries Editors: A. Heather Coyne and Nigel Quinney

Te views expressed in this report are those o the authors alone. Tey do not necessarilyreect views o the United States Institute o Peace.

United States Institute o Peace1200 17th Street NW, Suite 200Washington, DC 20036-3011

Phone: 202-457-1700Fax: 202-429-6063E-mail: [email protected]: www.usip.org

2008 by the Endowment o the United States Institute o Peace.

All rights reserved.

First published 2008

o request permission to photocopy or reprint materials or course use, contact CopyrightClearance Center at www.copyright.com.

Printed in the United States o America

Te paper used in this publication meets the minimum requirements o American National

Standards or Inormation SciencePermance o Paper or Printed Library Materials,ANSI Z39.48-1984.

Library of Congress Cataloging-in-Publication Data

Smith, Amy L.Managing a mediation proces / Amy L. Smith and David R. Smock.

p. cm.ISBN 978-1-60127-037-5 (pbk. : alk. paper)1. Pacic settlement o international disputes. 2. Mediation. 3. Conictmanagement. I. Smock, David R. II. itle.

JZ6010.S65 2008303.69- -dc22

2008020857


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Contents

Te USIP Mediation Methodology....................................Inside ront cover

Introduction...................................................................................................... 5

Step 1: Assess the Conict ................................................................................9

Step 2: Ensure Mediator Readiness .............................................................. 21

Step 3: Ensure Conict Ripeness .................................................................. 31

Step 4: Conduct rack-I Mediation.............................................................. 37

Step 5: Encourage rack-II Dialogue ........................................................... 51

Step 6: Construct a Peace Agreement.......................................................... 55

Acknowledgments.......................................................................................... 63

About the Authors.......................................................................................... 63

About the Institute ......................................................................................... 65


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Mediation is an art orm, incorporating intuition, subtlety, and vision.Yet it is also a cra with transerable tools, denable tasks, andmanagement challenges. Te purpose oTe Peacemakers oolkitseries isto help mediators learn rom one another by distilling rom their hard-won experience useul lessons about the tools o their trade, the tasksthey must perorm, and the challenges they must overcome. Eachhandbook in the series addresses a particular acet o the work omediating violent conicts. Individually and collectively, these booksshould help mediators maintain a clear sense o strategic direction as they

strive to help make peace.

Te Peacemakers oolkitis a project o the United States Institute oPeace (USIP), which or twenty-ve years has supported the work omediators through research, training, workshops, and publicationsdesigned to discover and disseminate the keys to eective mediation. TeInstitutemandated by the U.S. Congress to help prevent, manage, andresolve international conict through nonviolent meanshas conceivedoTe Peacemakers oolkitas a way o combining its own accumulatedexpertise with that o other organizations active in the eld o mediation.Most publications in the series are produced jointly by the Institute anda partner organization. All publications are careully reviewed beorepublication by highly experienced mediators to ensure that the nalproduct will be a useul and reliable resource or practitioners.

Tis handbook, the rst in Te Peacemakers oolkitseries, oers anoverview o the process o mediating interstate and intrastate conicts.

Each o its six chapters covers a dierent step in the process, identiyingwhat needs to be done at that step and how best to accomplish it. Testeps are numbered and reect the order in which various tasks are oenbegun. It is important to note, however, that once begun, some steps maybe ongoing, overlapping with and outlasting other, later steps. For

Introduction


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example, conict assessment, which launches the entire mediation

process, will likely continue in some ashion throughout the process untila peace agreement is reached. Te other ve steps ocus, in turn, onensuring mediator readiness, determining and enhancing ripeness,managing negotiations between the parties to the conict, encouragingand coordinating with rack-II endeavors, and constructing andimplementing an agreement.

Managing a Mediation Process, it should be noted, views mediationrom the perspective o a mediator involved in an ofcial, or rack-I,

eort. Most steps o the process, however, would also apply to unofcial,rack-II, eorts. Other books in Te Peacemakers oolkitseries willocus on rack-II eorts and explore in depth the relationship betweenracks I and II.

Consolidating the practical wisdom o managing a mediation processinto an easily digestible ormat,Managing a Mediation Process is designedto help mediators identiy areas where they may need more research orpreparation, as well as options and strategies relevant to the particular caseon which they are working. Examples (in italics in the text) rom pastmediation eorts are provided to illustrate how various strategies haveplayed out in practice and how various actors have acilitated or impededthe mediators work. Whether used by a practitioner to initiate detailedplanning or reviewed at the last minute on the ight to the negotiations,this handbook, like others in Te Peacemakers oolkitseries, is intendedto be a practical and valuable resource or mediators.


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Introduction

Further ReadingA handbook o this brevity can provide only a rough guide to a subject as

intricate and multiaceted as mediation, and readers should consult other,

more detailed studies to ampliy and rene the ideas and advice given in the

ollowing chapters. An excellent place to start urther research is with three

volumesall published by the United States Institute o Peace and all either

edited or authored by the trio o Chester A. Crocker, Fen Osler Hampson, and

Pamela Aallthat have ormed the basis or much o the discussion in this

book: Grasping the Nettle: Analyzing Cases o Intractable Confict(2005); Taming

Intractable Conficts: Mediation in the Hardest Cases (2004); and Herding Cats:Multiparty Mediation in a Complex World(1999). This book also reects the core

writings o I. William Zartman on the concept o ripeness and draws on the

collected resources o BeyondIntractability.org, an online knowledge base

or conict management.

The Online Version

There is an online version oThe Peacemakers Toolkitthat includes not only the

text o this handbook but also connects readers to a vast web o inormation.

Links in the online version give readers immediate access to a considerable

variety o publications, news reports, directories, and other sources o data

regarding ongoing mediation initiatives, case studies, theoretical rameworks,

and education and training. These links enable the online Toolkitto serve as a

you are here map to the larger literature on mediation. The online version is

available at www.usip.org/mediation/peacemaker_toolkit.html.


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Analyze the History and Causes o the Conict

In order to communicate eectively with parties, a mediator needs tograsp the history and content o the conict as it matters to the

participants, including key symbols andturning points. Some o this will be ancienthistory; some o it will be abricated.

What is being contested? Is it territory,sovereignty and local autonomy, control o

natural resources or wealth, religious or ethnicidentity? What are the commonalities among the dierent issues? Aconict may have multiple maniestations, being about dierent thingsat dierent levels: local, national, regional, and international. For example,a local or even a private land dispute may become an ethnic dispute overland access at the community or municipal level, attracting other partisanissues at the national level.

otheuninormed,theconictbetweenNorthandSouthSudanmay

appeartobeacaseoMuslimversusChristian,wheninactthesourcesoconictaremuchmorecomplex.

Te extended trajectory o a conict may also include a shiing rangeo core issues, with a new area o contestation arising whenever another isresolved. Te mediator should trace this trajectory to ully understand thehistory and causes o the conict.

Assess Positions and Interests

Te mediator must identiy the positions o theparties to the conict and the issues that dividethem. Teir perceptions and misperceptions othemselves and their antagonists, o the courseo the conict thus ar, and o the process onegotiation will be central to their willingnessto engage in mediation. What actors, includingpersonal and cultural ones, underlie positions?

For example, does a leader ear that he or shemay be killed i peace becomes a reality, or doesthe society regard compromise as a sign oweakness?

Identiy what isbeing contested.

Trace the trajectoryo core andemerging issues.

Identiy issues andpositions.

Dierentiatebetween statedpositions andunderlying interests.

Consider interaction

among issues,positions, andinterests.


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Step 1: Assess the Conict

Te mediator should dierentiate between the stated positions and

the underlying interests o the key actors. How will dierent conictresolution scenarios aect underlying interests? Even i issues beingcontested are settled, actors interests might continue to drive the conict.Who has an interest in keeping the conict going? For some people, orinstance, the conict may be a source o power or wealth or a means oavoiding justice. Some o these interests may be legitimate and could besatised by means other than conict.

How do the issues, positions, and interests o the antagonists line up?

For example, do the rebels really want secession, or are their demands anexpression o a need or greater security? Perhaps they do indeed needmore security, but perhaps their claims o insecurity are just part o astrategy to gain control o the state.

Understand the Actors

Ultimately, the local society must be responsible or the resolution o

conict, but it is likely that a number o other actors will be involved.Eective mediators devise dierent orms o engagement or dierentactors. Some actors will have a place at the table. Others will have observerstatus. Private and public consultations will occur in many dierent orms.Part o an eective mediation strategy is nding constructive orms oinclusion or dierent actors.

Analyze the Parties to the Conict

Te mediator should examine the groups directly involved in the conict,

including how they dene themselves andwhether they possess political as well as militarywings. What are the groups proles within thelarger society? How large a part o the overallpopulation do they represent? What is the qualityo their connection to their constituency?

Te groups internal organizational structure

is an important consideration. What is thehierarchy or chain o command? Is the chain ocommand generally stable and eective? Teconcentration o power within the group shouldbe taken into account, including how decisionsare made and who participates in decision

Examine thegroups involved.

Analyze theirinternal structure.

Identiy leaders andbases o authority.

Ascertain supportor spoilers.

Assess skills,resources, andinuence oleadership.


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making, as well as the cohesiveness o the group and any existing or

potential internal actions.

TeailureotheDarurPeaceAgreementin2006derivedinpartromaailureothemediatorstorecognizethecomplexityotheactionalismwithintherebelmovements.PeacenegotiationsinBurundihavealsobeencomplicatedbymultiplerebelmovementsandactions,withvaryinglevelsocommitmenttothepeaceprocess.

Te mediator should identiy the top leaders and the basis o their

authority (e.g., military prowess, political skill, popular ollowing, orpotential to lead aer the conict). How are the leaders accountable totheir group and to the populace? How removed are they rom the costsand consequences o the conict? It is helpul to consider theconsequences or the conict o a change in the top leadership.

Midlevel leaders may be signicant to a negotiation. In proling themiddle level, the mediator should determine how independent itsmembers are rom the top leadership and identiy the relevant socialnetworks to which they may be connected (e.g., the business community,proessional associations, churches, academic institutions, and the artscommunity).

Spoilers may attempt to scuttle a peace process. Te mediator shouldtry to determine their interests or doing so, the support they mightcommand, and the channels they might use to obtain resources tocontinue the conict.

Parties need leadership skills and organizational orms that can servepeaceul as well as military unctions. Parties will also require resourcesto conduct a negotiation eectively and the capacity not only to reachdecisions but also to deliver their constituencies. Te mediator shouldassess the relevant skills, resources, and inuence o the dierent parties.

RecognizingweaknessesinthePalestineLiberationOrganizationsnegotiatingcapability,theUnitedKingdomsupportedthedevelopment

oanewNegotiationSupportUnittoenhancetheskillsothePalestinianteaminitsnegotiationswithIsraelisandvariousinternationalmediators.

A mediator generally does not have the power to select the negotiatingcounterparts in a peace process. Being ully inormed about the parties to


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the conict will help a mediator devise a strategy appropriate or moving

those parties toward peace.

Analyze Civil Society and the Populace

Te mediator should assess the organization o civil society, includingpatterns o civic engagement and representation. What civic organizationsor associations continue to operate (e.g., politicalparties, proessional organizations, labor unions,

village councils, religious institutions, socialclubs)? Some o these may be capable o bringingpressure to bear on militant groups. Some mayhave cross-cutting memberships and couldinitiate or house early, low-prole contactbetween parties. Some may possess relevant skillsor negotiating or administering portions o apeace agreement. Some might evolve into politicalparties and oer a workable alternative tocombatant-based political parties.

How directly involved is the populace in the conict? Is civil societyrepresented by the parties directly engaged in the conict? Does it activelysupport the parties to the conict? Te means available to civil society oreectively holding conict leaders accountable should be taken intoconsideration.

In order to construct a peace agreement that can be successullyimplemented, it is essential to understand the basic condition o the

populace. Te mediator should assess the populaces existing level osecurity and how the populace ts into existing governance, legal,economic, and social structures. Te mediator should also learn about thecapacity o the society to maintain communal structures, the availabilityo humanitarian aid, and the extent o geographic dispersal. Other issuesto bear in mind are the numbers o and provisions or reugees andinternally displaced persons.

Societal participation in a peace process can include many dierent

activities and degrees o engagement. Some individuals or groups mayplay an active role, representing civil society in negotiations. Others mayprovide support to the process. Feasible orms o participation will bedetermined in part by the preexisting prole and organizational assetso civil society.

Assess theorganization ocivil society.

Determine theinvolvement o thepopulace in theconict.

Understand theliving conditionso the populace.


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Identiy International Actors

Other states (especially neighboring or powerul states with close relationswith the parties), as well as regional orinternational organizations may inuencelocal parties. Are there interested states thatcould thwart or assist the mediation eort?What leverage do they bring to the table? Whowill behave as an ally to or adversary o theconict parties?

DierencesbetweenRussiaandtheWesternpowersoverthepeaceagreementorKosovocreatedobstaclestoitsadoptionandimplementation.

States that are able and willing to serve as guarantors o a peacesettlement should be identied. What sources o support can they bringto make a settlement more attractive and help with its implementation?

Te roles that international and regional organizations are playing orcould play in the peace process should also be considered. What is thedegree o international public attention to the conict? Wider inter-national or regional interest may also have a signicant impact onprospects or peace.

Identiy Other Players

Actors such as diasporas, non-governmental organizations (NGOs), andmedia can derail a peace process or help to keep

it on track. Tey may not be central participantsin a negotiation, but no mediation strategyshould neglect them.

Diasporas. Diasporas can have a large impact onpeace processes. Te mediator should create aclear prole o the diaspora or diasporas involvedin the conict, including their size, concentra-

tion, and connection to the country o origin. A diaspora may include ashadow government or people interested in becoming post-conictleaders who have maintained links to constituencies. It may sendresources (money, arms, or even combatants) to the conict. Perhaps itcould bring pressure on the government where it is located to eithersupport or obstruct a peace process.

Identiy potentiallyinuential statesand internationalorganizations.

Assess theirleverage.

Prole diasporas.

Assess theinvolvement oNGOs.

Identiy relevantmedia and theirroles.


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TeLiberiandiasporahasplayedapositiveroleinsupportingpost-

conictdevelopment.

International Non-Governmental Organizations. Determine i interna-tional NGOs are providing humanitarian aid or engaged in other projectslocally. I so, the mediator should determine the length o their involve-ment and their possession o local ties, sta, and language skills. Are theya trusted local presence? I they are involved with communities on bothsides o the conict, they could play a valuable role in a peace process.

Media. Te mediator must acquire a keen understanding o local media,including mass media, the media by which the elite communicate withone another, and any orms o popular alternative or independentmedia. Who controls the media? How do they do so (e.g., by nancing,regulation, or technology)? Have the local media played a direct role inthe conict (e.g., by stoking intercommunal hatred and inciting violence)?Te mediator should assess the quality o the media coverage both o theconict and o peace eorts.

Understand the Larger Context

Peace settlements may well include transormative elements that, overtime, will radically change a society. But the achievement o thosetransormations requires a settlement that is compatible with the societysevolving institutional prole and with the regional context.

Identiy Indigenous and International Institutions

or Managing ConictTe mediator should take into account institutions and processes that thesociety already possesses or dealing with conictnonviolently. Some peace processes will be ableto take advantage o these, while others will haveto engineer substantially new bodies and systems.

Te mediator should consider the politicalhistory o the country in conict, including the

stability, eectiveness, and legitimacy o itsgoverning institutions. How has the countryhandled political contention? Is there space ordissent or a tradition o a loyal opposition? Willexisting legal, economic, social, and security

Assess existinggovernment, legal,economic, social,and securityinstitutions andprocesses.

Assess existingand potentialinternationalinstitutions andprocesses.


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institutions be capable o accommodating and sustaining the changes

required by a settlement, such as absorbing ormer combatants orimplementing reconciliation programs?

Trougheconomicincentivesandpoliticalaccommodation,MozambiquemanagedtodemobilizeandabsorbRENAMOrebelsinthe1990s.

In the international context, it is imperative to assess existing andpotential international institutions and processes or managing conicts

such as criminal tribunals, contact and riends groups, and relevantinternational conict resolution mechanisms.

Identiy and Address Characteristics o Intractability

International mediation is oen a last resort or the parties to a conict,and thus when a mediator nally comes onto the scene, he or she aces a

very stubborn and challenging situation. Many actors can make a conictprotracted or unusually difcult to resolve: or instance, cocooned elites,

the absence o real pressure or a settlement, ear o accountability,identity politics, material stakes, outside manipulation, the lack o outsidehelp or wider security mechanisms, and the impact o previous, ailedattempts at mediation.

Torough strategic assessment o the conict is even more critical inthese protracted cases in order to identiy points o leverage that mayencourage the parties to see the costs o continued ghting in a dierentway and to entertain options other than violence. Te mediation strategy

should address the characteristics o intractability as well as the rootcauses o the conict.

FailuretorecognizethatJonasSavimbiwasnotpreparedtocooperateintheimplementationoanypeaceagreementorAngolaunlessitmadehimheadostateledtotheunravelingotheBicessePeaceAccordandtheLusakaAccords.


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Understand Sources o Power and Leverage

Identiy Material Resources and Parties Control over Them

Antagonists may depend on many orms o power: or instance, control oarmed orces and materiel, territorial control, control o natural resourcesor wealth, popular support and legitimacy, external diplomatic or politicalsupport. Te mediator should pay particular attention to antagonists keysources o material resources, including state assets, commodity exports,predation on local populations, the o humanitarian aid, and diasporaunding. Is the antagonists hold on these resources secure and

sustainable?

OnereasonwhytheColombiangovernmentismorelikelytoreachapeaceagreementwithELNthanwithFARCisthatELNdoesnothavetheeconomicbaseindrugtrackingthatFARChas.

Signicant nonmaterial resources o the dierent parties, such aspopular support, ear (o power holders or o opponents), communitycohesion, control o media, and endorsement by spiritual leaders shouldalso be actored into the mediators calculations.

Interrupting or protecting a ow o resources might give the mediatorstrategic leverage. Te mediator should explore helping parties gain andsecure access to resources by means other than violent conict and shoulddetermine what orms o resource-sharing are easible. Te mediatorshould also identiy what resources currently deployed or conict mightbe turned toward peacemaking.

Assess the Relative Strength o Parties and How It Is Changing

Which, i any, o the antagonists has the upper hand in the conict? Is thissituation stable or dynamic? Ample staying power and sel-sufciencymay make a party less susceptible to pressure. Parties may also be wellinormed or misinormed about their relative strength. Would dierentinormation alter interpretations o the balance o power? Understandingthe balance o power between parties may help elites recognize a stalemateand thus hasten the ripeness o a conict or resolution.


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Sources o Leverage Support o other states or groups o states, especially those that can help

to neutralize potential opponents o the mediation.

The balance o orces in the conict itsel, a orm o inuence that themediator eectively draws rom a stalemate in order to persuaderecalcitrant parties that there is no military or unilateral solution.

The mediators bilateral relationships with the parties, bearing in mind at

all times the necessity o keeping both parties under pressure to movetoward settlement.

The mediators ability to inuence the parties costs and benets, as well astheir ears and insecurities. This type o leverage comes rom reassurances,external guarantees, intelligence sharing, commitments to see thesettlement through to ull implementation, and a readiness to mobilizeinternational resources or the dangerous transition to peace.

The mediators capacity to place a continuing series o hard questions andtough choices beore the parties so that they are obliged to provideanswers to the mediator.

A proposed settlement ormula or package. Such leverage is typicallybased on selling ideas to one side thati accepted conditionallyoerthe basis or obtaining movement rom the other.

Donors and other third parties that are prepared to help underwrite thecosts o achieving a negotiated settlement and ensure that levels ohumanitarian, social, economic, and development assistance are sufcientto eect change once a negotiated process is under way and a negotiatedsettlement is within sight.

Source: Adapted rom Chester A. Crocker, Fen Osler Hampson, and Pamela Aall, Taming IntractableConficts: Mediation in the Hardest Cases (Washington, D.C.: United States Institute o Peace Press, 2004),9495.


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Te mediator needs to know not only what needs to be done but alsowhether he or she is the right person to do itwhether he or she has theright skills, the right resources, and the right support to be successul.o answer these questions, mediators need to take a long, hard look atthemselves and their situation. Whatever happens, a prospective mediatormust not let institutional vanity or personal commitment cloud his or her

judgmentthe mediator, and the victims o the conict, will pay a heavy

price later or ailing to acknowledge any shortcomings he or she mayhave to mediate a particular conict. By the same token, however, ithe mediators sel-assessment shows that he or she can make a realcontribution, then the mediator should have aith in that assessmentand act accordingly.

Determine What Role Is Appropriate

Determine the Right Mediation Role Given Backing and Resources

Mediators can play very diverse roles. Tat diversity extends ar beyondthe division between rack-I initiatives conducted by governments andintergovernmental organizations and rack-II endeavors launched byprivate organizations and individuals. Some mediators, or example,acilitate while others manipulate; some exert their political authority andex their institutional muscle while others exploit their own weakness.

Some mediators have a high prole and the ull backing o a major

power or international organization. Tey engage ofcial representativeso conicting parties and may have considerable resources at theirdisposal. Others will have a much lower public prole but maynonetheless unction with important political support and signicantresources. By contrast, so-called weak mediators such as non-

Ensure Mediator Readiness

Step two


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governmental or religious organizations have little political power o their

own. Tat weakness, however, is a strength in that it gives them greatexibility. Unencumbered by a perceived political interest or ofcialprotocol, weak mediators can conduct their activities with greateroperational dexterity than governmental mediators enjoy and can moreeasily gain the condence o opposing sides.

TesecontrastingrolesareillustratedbytheweakmediationotheCentreorHumanitarianDialogueandthatointernationallysupportedMarttiAhtisaariintheAcehpeacenegotiations.

Ensure That the Mediation Strategy Is Appropriate to theMediators Identity

A mediators strategy must be appropriate to his or her identity. Weaknegotiators cannot throw their weight around. Neither can a super-power slip in a side door or whisper over someones shoulder. Eachtype o mediator has specic assets, and those are the ones he or sheshould deploy.

Enhance the Ability to Engage Efectively

What makes a good mediator? Tere are as many answers as there aregood mediators. But all mediators need credibility, a portolio o skills,and cross-cultural awareness.

Build Credibility

Credibility and trust are essential to conict mediation. No mediator

arrives with these entirely in place. Rather, credibility and trust are builtover time in relationships with the dierent parties to the conict.

Standards o conduct that can help a mediator earn and maintaintrust include perorming competently, consistently, and predictably;communicating accurately and openly with a balance between trans-parency and condentiality; interacting appropriately and with equallevels o proximity with all parties; and exhibiting empathy toward andcommitment to the possibility o a solution.

In any conict, some level o distrust may remain and even be helpul.Besides encouraging reasonable vigilance about the possibilities o beingmanipulated or misled, distrust can useully disrupt excessive group


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cohesion that might result in groupthink and a reusal to countenance

new ideas. Distrust can be managed through shared recording practices,reporting back to the parties about what has been discussed or decided,and agreed-upon methods o monitoring and veriying actions that theparties have committed to take.

Develop and Strengthen a Broad Portolio o Skills

Numerous studies, training manuals, workshops, and reerence booksprovide advice on how to negotiate or to mediate a negotiation. Even anexperienced mediator can benet rom these resources, which cover awide range o topics, including the ollowing:

active listening, which reassures parties that their concerns have been heard andunderstood

conducting open-ended questioning to encourage meaningul answers

reraming proposals by paraphrasing and summarizing them

describing a problem, including its symptoms and causes, beore proposing

solutions, and then gathering all proposals beore beginning to evaluate them

envisioning possibility treesdiagrams that chart the possible evolution osystems rom their present conditionand identiying steps necessary toachieve imagined utures

disaggregating and sequencing to promote movement: dividing issues intoseveral parts, mandating or delegating preliminary work to study groups,layering discussions, or sequencing decisions

using matched conditional statements (yes, i) to dene elements o asettlement

As might be expected, given the abundance o literature on thesubject, there is no consensus on what techniques work best in whichsituationsbut this is just as well, or the eld o mediation benets romthe variety o ideas on oer. Tere is, however, a growing consensus aboutthe need to complement experience, insight, and intuition with ormalskills and training, and to do so beore undertaking a mediation.

Recognize Cultural Dierences

Dierent cultures communicate and negotiate dierently. Cultural patternsare not homogeneous across any grouping such as nation or ethnicity, and


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although they exhibit considerable continuity, they are subject to change

and adaptation. Nonetheless, culturally distinctive styles and expectationsregarding expression and interpretation aredeeply relevant to a process o mediation.Mediators should not only be able to speakand read the local language (or have reliableinterpreters who can) but should also be amiliarwith the local cultural styles o communication:or instance, orms o courtesy; uses o humor;

patterns o reciprocity; and ways o conveyingrespect, gratitude, or disapproval and o declining an oer or expressingcriticism. Cross-cultural preparation will make communication moreeective and help the mediator avoid unintentional damage.

DuringthetransitionromapartheidinSouthAricain1994,HenryKissingerandLordPeterCarringtonwereunabletosuccessullymediateanendtothecrisisbetweentheANCandInkatha.Butanothermemberothemission,ProessorWashingtonOkumuromKenya,inpartthrough

hisgreaterunderstandingotheinvolvedcultures,wasabletobringthetwosidestoagreement.

Another cross-cultural aspect o mediation is the perception by theparties o the mediators cultural identity. Some aspects o the mediatorsidentity (notably, nationality, ethnicity, religion, and gender) impact themediation. A mediator should give some thought to how this might aectan intervention. Te mediation team should be designed with an eye tocross-cultural perceptions, as well as with regard or the skill, experience,and acumen o prospective team members. For example, the inclusion owomen among top mediators might encourage the parties to the conictto put some women on their own negotiating teams, thereby increasingthe chances that womens interests and issues will appear on thenegotiating agenda.

Ensure Adequate Authority and Resources

Obtain a Clear MandateIn order to generate appropriate strategies, mediation initiatives needclear mandates. Te underlying purpose o the mandate may be to resolvea conict, to contain it so as to maintain regional stability, or to reeze it

Become amiliarwith local styles ocommunication.

Consider how themediators identitywill be received.


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until anticipated contextual changes occur. Sometimes, the goal o a

mediation is merely to create political cover; a state may send an envoy toa conict zone so as to be seen to be doing something, but the conict mayactually receive little attention. Strategies that exceed mandates areunlikely to nd political support.

Build and Sustain Political Support

o pursue a peace process with condence and credibility, mediators needconsistent political support. Predictable rhythms such as the term o ofceor an organizations leadership or the election cycle o the sponsoringnation will aect support or mediation. A mediator should be attentive toother major events that will aect the sponsors political support. Domesticlobbies or international players may bring pressure regarding the conict.Will the government or organization be willing and able to deect suchpressure, insulating the mediation initiative? Might the mediator use suchpressure to inuence the outcome o the peace process?

Obtain the Necessary Resources and Staying Power

Te institutional sponsor o a mediation should provide decision-makingauthority, open channels o communication with the parties and otherstakeholders, expertise or specic tasks, andcounsel. It should also provide or pay or the ullrange o logistics and or adequate sta andadministrative support.

Both institutional support and materialresources are needed throughout the entiremediation eort. Peace processes are typicallyprotracted, going through many phases androtations o sta. Tose that are truncated, under-resourced, or abandoned prematurely can dograve damage, exacerbating the intractability o a conict.

TeindividualeortoBettyBigombe,aormerUgandancabinetminister,tomediatebetweentheUgandangovernmentandtheLords

ResistanceArmywasbadlyhamperedbythelackoinstitutionalsupportorherprivateinitiative.

Obtain a clearmandate.

Ensure sponsorprovides adequateresources and

support. Plan and budget

or the long run.


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Making Use o the Mediators EmotionsMediators must not neglect their own material and emotional needs during

the course o what is typically a demanding and strenuous process. Mediators

are likely to eel rustration and even anger with the parties or the process, and

in some cases may even eel that they are in physical danger. These sentiments

can impact the mediators perormance and interaction with the parties. The

mediator should recognize these emotions and take steps either to mitigate

them or to channel them in support o the process. A controlled loss o temper

by the mediator, or instance, may convince parties o the seriousness not only

o the mediators resolve but also o their own situation. Similarly, a mediatorwho insists on and receives adequate personal security is more likely not only

to reach out to some armed groups but also to conront them with inormation

and ideas they would preer not to hear.

Know When Not to Mediate

Ignoring protracted conicts (on such grounds as they are containable, toocomplex, a low strategic priority, someone elses problem, or the subject oprevious intervention ailures) risks both intractability and contagion.Nonetheless, valid reasons do exist or deciding not to launch a mediationinitiation or to withdraw rom an ongoing eort.

Avoid Mediation i the Sponsor Lacks Commitment, Resources,or Credibility

I the sponsoring organization or government lacks either the commitment

or the resources to truly support a mediation, the eort could becounterproductive. Mediators cannot work with credibility and condencei political change in their sponsoring institution may undercut the work,i their communications will be ignored, i required decisions will bepostponed, or i necessary unding will not be orthcoming. Under suchconditions, the chance that mediation will ail increases, and the risk oailure is not only that this eort is wasted but that it may deepen theintractability o the conict by increasing suspicion and cynicism among

the parties to the conict and antipathy toward uture mediators.Another circumstance in which mediation may be inappropriate is

when the prospective mediator or sponsoring organization is too closelyaligned with one party or too directly involved in the conict to be


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balanced and/or credible. Tis is not to say that a mediator must be

impartial to be eective, but a mediator does need to be capable politicallyo pressing and inuencing both sides toward a settlement.

Inthe1980s,ChesterCrocker,U.S.assistantsecretaryostateorAricanaairs,eectivelymediatedbetweenCuba,Angola,andSouthAricaortheremovaloCubantroopsromAngoladespiteU.S.enmitytowardtheCubangovernment.

Assured success is not a requirement or beginning a mediation; the

odds o making a constructive impact are much higher in a mediation thatcommands political and nancial support and standing.

Avoid Mediation i the Conict Is Not Ripe or Resolution

Mediation may not be the right answer when the parties do notdemonstrate serious intention to explore a political solution. In suchcircumstances, the mediator needs to test parties motives and avoidpleading or the engagement. Te mediator

should be cautious about engaging whenmediation may play into the hands o a dominantparty, legitimizing actions by the parties that maycross the line o acceptable conduct.

Te best response in some conict situations,in other words, may be benign neglect, coercivediplomacy, or even threatening the use o orcerather than mediation. Tere may also be times when the would-be

mediator is best advised to undertake activities aimed at ripening theconict.

Te subjects o assessing and enhancing ripeness are explored in thenext chapter.

Know When to Withdraw

Ongoing mediation initiatives should be regularly evaluated. In somesituations, a lack o clear progress is best met with renewed commitment

and the introduction o new orms o leverage or new settlement ormulas;in other settings, the best option might be to ocus on protecting the peaceprocess itsel until more propitious conditions emerge. In some contexts,however, withdrawal may be the most responsible action. Tis is the case i

Avoid mediation iparties lack theintent to settle.

Consideralternative meanso engagement.


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the process is clearly being pursued in bad aith by one or more parties

(such as using a cease-re to rebuild ghting capacity) or i it is heading toa settlement that the mediator judges to beunworkable, illegal, or unethical.

FormerU.S.secretaryostateJamesBakerterminatedhiseortsasmediatorintheWesternSaharabecauseothepartieslackowillingnesstocompromiseandtheinabilityotheUNSecurityCounciltouniybehindthe

mediationeort.

A mediator might also withdraw i itbecomes impossible or him or her to operateequitably or to ensure that the conduct onegotiations is meeting minimal standards osecurity or airness.

Withdrawing rom a peace process presents its own challenges. Bystaying in an unproductive process, a mediator risks providing cover orthose using the talks to stall or distort the process. By departing, amediator risks being made a scapegoat or the ailure o talks. Part omanaging the situation will include evaluating the mediation, identiyingreasons or the ailure, and assessing what parts o the mediation might besalvaged in a later iteration, perhaps conducted by a dierent type omediator with a dierent approach or dierent resources.

Te termination o a mediation process does not necessarily meanailure. One mediation process oen builds on previous eorts. An eortthat does not directly lead to peace may nevertheless contribute to thesuccess o a subsequent process.

AlthoughtheAcehmediationmanagedbytheCentreorHumanitarianDialogue,aSwissNGO,didnotresultinasustainedpeace,itprovidedaplatormuponwhichthenextandsuccessulmediationprocessoMarttiAhtisaariwasbuilt.

A mediation process that keeps the conict rom deteriorating urther,even i it does not result in sustained peace, constitutes a positivecontribution.

Considerwithdrawal isettlement wouldbe undesirable.

Considerwithdrawal i it is

impossible tooperate equitably.

Evaluate reasonsor withdrawal toinorm utureeorts.


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Manage Multiple Mediators

Assess Roles Played by Other Mediators

While some conicts are ignored, others attract a plethora o mediators.A multiplicity o mediators can sometimes be helpul. New actors canenliven stalled talks or open new avenues o communication. Mediatorswith specic skills or expertise can handle particular acets o negotiations.Working in cooperation, multiple mediators can isolate spoilers, increaseleverage, distribute burdens, divide tasks, create momentum, and providecredible guarantees.

But a crowded eld also causes problems. I mediators do not have ashared understanding o the problem, they may work at cross-purposes.Tis generates mixed messages about which negotiation initiative theinternational community is backing. A multiplicity o mediators alsoencourages orum shopping, as parties seek to work with mediatorsperceived to avor their side, and allows parties to play mediators againsteach other.

A plethora o workshops and meetings can create meeting overloadand communications gridlock, wasting nite resources and taxing theleadership involved in numerous initiatives. Te process can becomeunocused and unwieldy.

AhmedouOuld-AbdullahresignedastheUNsecretary-generalsspecialrepresentativetoBurundiin1995becauseotheconusioncreatedbythemultiplicityointernationalnegotiators,envoys,andmediators.

I mediators are seen to compete or criticize each other, this canundercut the practice o mediation. Finally, when eorts ail, a multiplicityo mediators in the eld can mean that responsibility is diluted, with nonetaking on the task o analyzing what went wrong.

Communicate, Coordinate, and Cooperate with Other Mediators

An environment with multiple mediators calls or careul communication,coordination, and cooperation to ensure a coherent and unied mediation

eort. Ideally, cooperation will involve a conscious division o labor andperhaps even sequenced interventions that build on the strengths odierent actors and encourage interdependence. Even in looselycoordinated endeavors, mediators should keep one another inormed


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and rerain rom public criticism o parallel eorts. (Te subject o coor-

dination between rack-I and rack-II mediators is explored in moredetail in a later chapter.)


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In addition to ensuring that he or she is ready to tackle a conict, themediator should also ensure that the conict is ready to be tackledthatit is, in proessional parlance, ripe or resolution.

Ensuring conict ripeness is presented here as the third step in themediation process, but it actually consists o two activitiesassessingripeness and enhancing ripenessthat will probably be initiated atdierent times: assessment early on, while the conict as a whole isbeing assessed, and enhancement later, once the mediator has determinedthat he or she is ready and able to tackle this conict. Once begun,however, both activities will run in tandem, with the mediator adjustinghis or her enhancement strategy in line with the conicts uctuating levelo ripeness.

Phases o escalation, de-escalation, or stalemate in a conicts liecycle call or distinct mediation approaches. Some approaches address

mounting risks, others address unsustainable burdens or sunk costs. Teparties trust in a mediator pursuing any approach will be colored by theoutcomes o previous mediation attempts. Some earlier attempts, even iultimately unsuccessul, may have established a oundation or uturenegotiations. Earlier outright ailures or abandoned attempts, by contrast,may have le legacies o suspicion and cynicism.

Assess Ripeness

Many mediation studies give considerable attention to the concept oconict ripeness. A conict may become ripe or negotiation whenantagonists recognize that they are in a mutually hurting stalemate andsense that a way out is possible. Both sides become aware they cannot

Step three

Ensure Confict Ripeness


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deeat the enemy outright and that continued violence not only will be

costly and ineective but will risk weakening their situation. A relatedconceptualization o ripeness is the momentwhen antagonists recognize theirinterdependence and that important goalscannot be achieved without the other side.Te two sides must also have a sense that somemutually acceptable settlement ormula isavailable to them.

Parties not only must perceive the stalemateto be painul but also must be strong andcoherent enough to make decisions and deliveron them.

Finally, or ripeness to be complete, theremust be strong support or a peace process among both internal politicalactors and the public.

In1989,theFMLNandthegovernmentoElSalvadorrecognizedthattheirrespectivemilitaryeortswerecostlyandwouldbeunsuccessul.Teoutlinesoamutuallysatisactorypeaceagreementalsobecameevident,andseriousnegotiationsmediatedbyAlvarodeSotoonbehalotheUnitedNationscommencedin1990.

Enhance Ripeness

A mediator should make judgments about how best to intervene to helpripen the conict and to create a readiness to negotiate among the parties.Eective mediators convince parties (particularly those actors withdecision-making power or inuence in the conict) that goals cannot beachieved through continued violence and that other means are possibleand practical. A mediator may ollow several paths o persuasion in theeort to induce a change in antagonists perspectives.

Help Elites Understand Costs and Benets

Elites may be relatively insulated rom the costs and consequences oviolence. Credible third parties can increase elite awareness by providinginormation and documentation and sharing analyses. Even amiliar actsbecome more convincing or less deniable when presented by a new actor.Patterns o interdependence can also be explored and explained.

Determinewhether partiesbelieve they havereached a mutuallyhurting stalemate.

Conrm thatparties can deliver

on agreements.

Assess internalpolitical andpublic support orpeace.


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Step 3: Ensure Conict Ripeness

Mediators may also educate elites about lost

opportunities or potential benets o conicttermination, oering dierent scenarios orintroducing easible alternatives and the pos-sibility o sharing burdens. Education can helpelites recalculate the costs o continued conictand see the benets o searching or peace.

Teprospectolosingsubstantialamountsointernationalfnancialassistancewasajointly

recognizedactorthatbroughtpressureonthetwopartiestotheconictinKenyain2008.

Increase Pressure on Elites throughAccountability

Recalcitrant actors may pursue violent conict despite its costs to society.Direct personal costs can be increased i actors understand they will beheld accountable or their actions. Mediators can

promote accountability in a number o ways. Terst involves appealing to transcendent or locallylegitimate principles (e.g., patriotic duty,responsibility to the people, a leaders place inhistory). Mediators may make this case directlyor may oer platorms to locally acknowledged

voices o moral, cultural, or religious authority tomake such arguments to elites.

Mediators may also use ormal institutionsand practices to promote accountability. Tismight include gathering evidence regardinghuman rights abuses or corruption or the purposes o documenting andpublicizing leadership ailings. Tis evidence may also be used in judicialreview, i not in local courts then via transnational jurisdictions orinternational tribunals. Mediators may choose to utilize third-partyadvocates or experts.

A third avenue or ostering elite accountability is to turn aninternational spotlight on the conict, perhaps via media attention or theinvolvement o international organizations, NGOs, or international

Determine ipromotingaccountability willurther the peaceprocess.

I elites are notto be heldaccountable,

understand andaddress theimplications.

Use credible third

parties to inormelites o the costso continued

violence.

Explore andexplain patterns ointerdependence.

Educate elitesabout the benetso ending theconict.


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solidarity groups. All these avenues bring pressure on elites to appreciate

the costs o their continued commitment to the pursuit o violence.

An alternative approach is not to hold elites accountable. I obdurateelites are an obstacle to peace, then granting them impunity (in the ormo amnesty, asylum, or the promise not to prosecute) may be a step towardgetting parties to the negotiating table. However, granting impunity riskscompromising justice or the sake o peace, which can create challengesor acceptance and implementation o an agreement. I granting impunityis among the tactics used, a mediator must decide how to limit any

deleterious consequences on the peace process and its outcome, perhapsby using alternative mechanisms or transitional justice.

AqualifedapproachtoamnestywasincorporatedinthecreationoSouthAricasruthandReconciliationCommission,whichprovidedcriminalandcivilamnestytoindividualsinexchangeorullconessions.Individualswhodidnotconesstheircrimesweresubjecttoprosecution,andinormationromotherconessionscouldbeusedinsuch

prosecutions.Cultivate Leaders Who Can Assume Responsibility or Negotiations

I top leaders are unwilling to negotiate, are other potential leaders moreamenable to entering negotiations? Attention rom a mediator can raisethe stature o such potential leaders; communications can help build newcoalitions o support or a peace process. However, such eorts riskbackring i they appear manipulative. Mediators must work with leaderswho possess internal legitimacy and support.

Create Balance between Parties

Another way to create a stalemate and oster readiness to negotiate is tostrengthen the weaker side in a conict, helping to create an objectivebalance o power. Tis may include helping the weaker side by providingmaterial resources or by encouraging it to think through strategies, buildcoalitions, and nd advocates and allies.

TeinternationalcommunityhadtoprovidelogisticalsupporttotherebelgroupRENAMOinorderoritsleaderstobeullparticipantsintheMozambiquepeaceprocess.


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Step 3: Ensure Conict Ripeness

Change the Costs and Benets o the Conict

In order to persuade leaders to change their calculation vis--vis costs andbenets o pursuing the conict, is it possible to change the actual costsand benets? A mediator with the resources to do so may induceantagonists to turn to negotiation through a variety o means that changethe context o the conict. Tese include the threat or imposition osanctions (e.g., travel restrictions, nancial sanctions, arms embargoes,and trade embargoes, especially on conict commodities such asdiamonds or timber) as well as the oer o aid, the provision o

reconstruction programs, or the commitment o outside parties toguarantee a peace settlement.

Take into Account the Legacies o PreviousMediation Attempts

Much can be learned rom previous eorts to mediate the conict at handand rom eorts to mediate other conicts, especially conicts in the sameregion or with similar causes. In addition to examining case studies and

maintaining amiliarity with the mediation literature more broadly, themediator can learn much rom interviews with other mediators, theirsupport sta, and others with rsthand experience o previous mediationinitiatives.

Assess Positive and Negative Results o Previous Eorts

Previous interrupted or unsuccessul attempts at mediation aectsubsequent initiatives and cannot be ignored. A mediator shouldunderstand the legacies o previous mediation eorts beore embarkingon a new one.

On the one hand, there may be something to build upon, includingnegotiation skills conerred, relationships orged, or mechanismsestablished. Rather than squandering previous accomplishments,subsequent mediations should attempt to harness these.

Inthe1990s,whenconditionswerefnallyripeorasettlementotheEcuador-Peruborderdispute,mediatorswereabletousetheour-country

guarantorstructureestablishedbythe1942RioProtocol.Intheinterveningyears,theourguarantorshadgrownaccustomedtodealingwiththeproblem,andPeruandEcuadorhadcometorecognizeandwelcometheirauthority.


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On the other hand, unsuccessul peace processes can promote con-

ict intractability. Failed negotiations may leave parties convinced o theutility o talks and with a more intransigent view o opponents. Partialityor incompetence on the part o previous negotiators may have generatedsuspicion and distrust o subsequent mediators. Aer unsuccessul talks,associated reasonable proposals may become discredited and deemedintrinsically awed. Unimplemented settlements may raise generalcynicism and discourage potential donors and allies rom supportinga process.

Consider New Sequencing o Decisions, New Settlement Formulas,and New Actors

I previous attempts have ailed, what can a new mediator do? Animportant rst step is to acknowledge that the ailure is now part o theconict history and to analyze the ailure with the parties to develop ashared understanding o what happened and to renew trust in mediatorsand mediation. Other steps include sequencing decisions dierently thanin the earlier process or introducing new settlement ormulas. New

actorsnot only new individual mediators but new types o mediatorsmay also be able to make progress. I a previous rack-I attempt ailed,perhaps a weak mediator is needed to reopen lines o communication. Ithe earlier unsuccessul attempt was rack-II, perhaps the conict nowcalls or the ull public commitment o rack-I actors.

Whether earlier eorts to launch a peace process have been outrightailures or partial successes, the inormation, perspectives, insights, andexperience generated by those earlier endeavors should be absorbed bythe new mediator.


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Once the mediator has assessed the conict, determined his or herreadiness to act and evaluated and, i necessary, enhanced ripeness, themediator is ready to begin the ourth stage o the process: negotiation.Among the tasks that all to the mediator at this stage are laying thegroundwork, creating roles or all relevant actors, handling logistics,actually conducting negotiations, tting the public into the process,and working with the media.

Use Consultations and Prenegotiations to Lay theGroundwork

Solicit Input and Build Trust

Regardless o the specic structure o the negotiations, participants aremore apt to be satised with the outcome i they have been consulted inits design. Rather than independently reviewing and choosing romamong available designs and then presenting the parties with that choice,mediators should solicit the parties input early on: what orm should themeetings take, where should they be held, whether and how to recordthem, how broad should the agenda be. Consultations are an opportunityto build trust. Reporting back to those who have been consulted is alsoimportant, especially i the mediator has asked the parties to respond toormal queries (e.g., surveys and questionnaires). Participants who are notcompletely satised with the nal design will be more likely to endorse iti they have been consulted.

Step four

Conduct Track-I Mediation


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Topics or PrenegotiationPreliminary talks about talks should establish shared expectations and

agreements on a number o matters, including the ollowing:

structure and ormat o talks: or example, large-scale conerence,summit o key representatives, roundtable discussion, shuttle mediation,bilateral talks

decision rule: or example, simple majority, two-thirds majority, consensus,

unanimity, via secret votes, open show o hands

guidelines or participation: or example, who qualies as an appro-priate participant, what constitutes appropriate and representativelevels o participation, how to ensure representation o those not directlyat the table

communication: or example, method o recording the process,condentiality, closed or open meetings, progress reports, handlingthe media, reporting back to constituents

timerame, schedule, pacing

acceptable procedures to handle sticking points

role o mediator(s): or example, convener, acilitator, Track-I orTrack-II or both

Establish Clear Ground Rules

rust and condence among the parties can be ostered by clear andconsistently applied ground rules or negotiations. Involving participantsin designing those ground rules is itsel an exercise in building trust.

Tat being said, much o the work o international mediation isconducted inormally, oen with only one partner and without rules andguidelines o this sort. When serendipity and emerging opportunitiespresent themselves, the mediator should adjust strategies and

arrangements accordingly.


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Step 4: Conduct rack-I Mediation

Determine Participants

While a large number o stakeholders will be consulted, relatively ew willparticipate in direct negotiations. When helping to determine whom toinvolve in direct negotiations, the mediator should consider the most

viable partners, be prepared to manage spoilers, and try to includemarginalized groups as appropriate.

Work with Viable Partners

Te mediator should work with viable partners

who have sufcient control over the drivers oviolence and relevant constituencies. Generally,this means working with top-level leaders, butthe mediator should not ocus only on seniorleaders; midlevel leaders can be viable (andsometimes invaluable) partners, too.

Top-Level Leaders. Negotiations oen involvethe top leaders o each party or their directrepresentatives. A high prole, however, canconstrain top leaders, who, i they appear to beaccepting less than publicly stated goals, risk both their own positions andthe interests o their constituencies. High status coners the power tonegotiate but may also reduce the reedom to negotiate.

Midlevel Leaders. Midlevel leaders play a useul role in manynegotiations. Tey know and are known by the top leaders, yet have

broader connections to constituencies. Teir positions and eectivenessdepend less on a having a high public prole, and they thus enjoy greatermaneuverability. Negotiating teams should generally include midlevelleaders with varied areas o expertise and dierent links to constituents.

Manage Spoilers

Spoilers, who will block settlements i their owninterests are not met, require careul manage-ment. o give a seat to a spoiler may appear to berewarding bad behavior, and may risk alienatingother participants and tainting the talks. Yetoutright exclusion oen means they will use theirpower to resist both the peace process and its

Choose partnerswho have sufcient

control over driverso conict andrelevant consti-tuencies.

Engage both top-level and mid-levelleaders; recognizetheir strengths and

limitations.

Involve spoilers inthe process.

I spoilers continueto impede theprocess, nd waysto marginalize orundercut them.


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outcome. Furthermore, their exclusion risks eliminating rom negotia-

tions the very actors and issues that are most difcult to deal with, thusundercutting the realism o the mediation eort. Consequently, instead oexcluding spoilers, mediators should nd ways to marginalize or undercutthem while also involving them in the processor instance, via meetingswith mediators rather than with the other parties or by including them asindividuals without conerring a public role or ormal standing.

Steven Stedman has presented a typology o spoiler managementbased on an analysis o the spoilers key characteristics (e.g., whether they

are positioned inside or outside the peace process, their numbers, whethertheir goals are total or limited, and the nature o their power bases).Stedman recommends using one or a combination o three strategies:inducement, socialization, and coercion.

Inducementinvolves taking positive measures to address the grievanceso actions that obstruct peace. When spoilers act out o ear, they willusually demand some sort o physical protection. When acting out o

a sense o airness, they will usually demand material benets. Whenacting out o a sense o justice, they tend to demand recognition orlegitimacy. However, when used inappropriately, inducement canexacerbate the problem.

WhentheUNmissioninCambodiatriedtouseastrategyoinducement,itbackfred,strengtheningthestateoCambodiawhileweakeningtheoppositionpartyparticipatinginthepeaceprocess.

A socialization strategy establishes a set o norms or acceptablebehaviors by parties that commit to peace or seek to join a peace process.Adherence to these norms is encouraged by the use o carrots and sticks.Te norms must be clearly established and communicated to allstakeholders and must remain consistent over time.

TemanagementoRENAMObytheUNmissioninMozambiqueisanexampleoasuccessulsocializationstrategy.Itincludedconstantpersuasionandpeacebrokeringaswellaspracticallogisticsorassembly,

demobilization,anddisarmament.

A coercion strategy relies on the threat o punishment i a spoiler doesnot all into line. Coercion can take the orm o threats, the use o orce,warnings that the peace process will go orward with or without the


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spoiler (the departing-train strategy), and the mediators withdrawal

rom the peace process.

TeUNmissioninCambodiasuccessullyusedthedeparting-trainstrategyindealingwiththeKhmerRougein199293.

For spoilers who pursue total power and whose goals are not subjectto change, the use o orce or the departing-train strategy are usuallythe only eective strategies. Inducement may be useul or spoilers withmore limited goals, but only i their grievances are acceptable to the

other stakeholders; otherwise, some level o socialization or coercionmay be necessary. However, inducement should never be used with agreedy spoiler, whose goals expand and contract with calculations ocost and risk, as it is likely to simply whet the spoilers appetite orurther grievances. Depending on the context, some coercion may benecessary, but long-term socialization is the only truly eective strategyor greedy spoilers.

Include Marginalized Groups in NegotiationsIn addition to combatants or other parties central to the conict, the keystakeholders in society ideally should have seats at the table. ypically,they will include representatives o civil society (whether or not these areormal organizations); women; and ethnic, religious, or ideologicalminorities, who are oen marginalized in decision making. I combatantsare opposed to their inclusion, as is usually the case, the mediator may optto consult inormally with civil society or minority representatives in the

initial stages o negotiation, providing them with a ormal seat in laterstages. (Other options are explored in the discussion below o publicinvolvement.)

The Advantages o Womens Participation

Womens experience o war (as combatants or civilians) and o peace is

oten better heard and better put on the table by women mediators or by

women they involve in the mediation process. Women oten lead civil societyorganizations and are critical to the public acceptance and implementation o

peace settlements. Moreover, ensuring that women participate in designing

the ground rules o a peace process increases the chances o their eective

participation in that process, both at the negotiating table and in public ora.


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Arrange Logistics

Provide a Sae, Eective, and Well-Resourced WorkingEnvironment

Eective mediators provide a sae working environment that accords nounair advantage to any side and enables eective exchange. Arrangingand paying or the components o such an environment is essential to anymediation. Tese components include the ollowing:

a secure, accessible venue that is not identied with any party to the

conict

security, transportation, meals, housing, and meeting space (includingspace or private meetings within each party and inormal sharing o

views between parties)

visas and identity papers (including documents or participants whomay be outlawed or traveling under aliases)

proven translators who are independent o both parties skilled sta who are sensitive to protocol and cross-cultural issues, and

who can provide technical expertise and help dra agreements

agreed-upon mechanisms or recording proceedings

reliable and secure means o communication (between mediators andtheir institutional base as well as between all negotiators and theircounselors and constituents)

the means to handle press inquiries

It should be noted that the interactions between parties will notalways be ormal aairs conducted around a negotiating table. In act, inmany negotiations the parties do not even meet each other but insteadinteract solely through the mediator.

Manage Inormation Eectively

Te provision o high-quality supporting materials (such as maps) andexpertise on a range o important topics (especially technical ones such asmilitary issues, boundary demarcation, and property issues) can be


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essential in maintaining momentum when

specic questions arise and in developingconcrete options.

No less important is scrupulous recordkeeping othe negotiating process. Tese records canprovide benchmarks o progress made; improvethe mediators understanding o the parties andtheir negotiating strategies; enable evaluationaer the process is complete; and prevent subsequent disagreementsbetween the partiesand even the mediatorabout exactly what theparties agreed to during the negotiations.

Develop and Execute Strategies or AdvancingNegotiations

During negotiations, a mediator must deploy numerous specic skills(such as convening, acilitating, and reraming) to accomplish numerous

tasks, including cultivating condence, disaggregating and sequencingdecisions, developing and assessing options, breaking deadlocks, andcommunicating with constituents.

Increase Parties Trust and Condence

Facilitating mediation includes not onlyproviding a venue but also creating andmaintaining an environment conducive toconstructive negotiations. Key tasks includedeveloping trust among participants andestablishing channels or communicationbetween them to support negotiations. I the levelo trust is high enough, the parties can bebrought together, in which case care must betaken to establish a sae space orcommunication. Participants in such a space must be able to talk reelywithout being subject to attack. Tey also need to be encouraged to listen

attentively to the other side and to look or areas o commonalities, notjust dierences. Te mediator needs to accommodate dierentcommunication styles and to help participants understand each other andcommunicate eectively, even when their styles dier.

Providesupportingmaterials andexpertise.

Keep goodrecords o thenegotiations.

Develop trust.

Establish anenvironment andchannels thatacilitate

communication. Create momentum

throughcondence-building measuresand joint activities.


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I the level o trust is too low to bring the parties together, shuttle

diplomacy may be the best option. In this case, the mediator can go backand orth between the parties, identiying issues, interests, options, andoers. Tis is a slow process, but sometimes it is saer than bringing theparties ace to ace.

In this eort, the mediator may also need to help each side recognizethat the other side has legitimate grievances. In his bookStatecraf: AndHow to Restore Americas Standing in the World, Dennis Ross suggests thatthe mediator do this by demonstrating rst how well he or she

understands the grievances o the side with whom he or she is talking andthen to treat the other sides concerns in relation to that context. Ross alsoargues that the mediator must help the sides abandon their mythologiesespecially illusory sel-imagesand adopt more realistic expectationsabout the accommodations necessary or a settlement.

As relationships begin to develop, the mediator can createmomentum by persuading the parties to adopt condence-building

measures such as making reciprocal gestures related to humanitarianissues or soening the tone o their public statements. Joint study groupsand workshops are also opportunities to build relationships. Te inclusiono allies, partners, and civil society actors (e.g., rom the businesscommunity, academic institutions, and religious bodies) helps tosurround the parties with a sense o public support and responsibility.

Use Multiple Tactics to Facilitate Agreement

Te tactics a mediator uses will vary depending

on the circumstances and overall mediationstrategy. I not already done during theprenegotiation stage, the mediator needs tobegin by working with the parties to determinewhat the scope o the negotiations will be: whattopics will be on the table, what topics will not,and in what sequence subjects will be negotiated.

It is vital to break down peacenegotiations, which are oen overwhelminglycomplex, into more manageable segments anddeal with them in sequence. Large and difcultissues can be disaggregated into smaller issues.

Select appropriatetactics.

Consider breakingdown issues intomanageablesegments.

Consider linkingissues to increase

buy-in.

Sequence decisionsso as to buildmomentum.


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Tose issues can then be considered not by the parties entire negotiating

teams but by subcommittees or outside working groups, whichsubsequently report back to the teams. Tis approach is especially useulin resolving actual disputes, but it can also be used to brainstorm optionsor settlement.

TistacticwaseectivelyemployedintheprocessthatgeneratedtheComprehensivePeaceAgreementthatendedthecivilwarbetweennorthandsouthinSudan,withseparateworkinggroupsbeingcreatedtodiscusssecurity,powersharing,andwealthsharing.

Conversely, some cases may call or linking one issue with another toincrease the likelihood o buy-in. For example, it might be best tonegotiate the terms o a cease-re in the context o agreement on othercritical issues so that i a party eels itsel shortchanged on the cease-re, itcan get much o what it wants on other issues in contention.

How a mediator sequences discussions and decisions is also extremelyimportant. Tis may entail dealing with the easiest issues rst, to build

momentum and condence. Conversely, it may call or tackling the mostcontentious issues rst, while initial commitment is strong or becausesmaller issues cannot be resolved without knowing how the larger issueswill be resolved. An appropriate order will depend on context. Adoptingany method o sequencing is preerable to seeing talks stall or collapseunder the pressure o trying to address all questions simultaneously.

Introduce Fresh Frameworks

One way o keeping negotiations moving is to persuade parties to rameissues in terms not opositions, which are oenin opposition to each other, but ointerests,needs, and ultimate goals which are oencompatible or even mutually supportive (e.g.,increasing the security o one side oen increasesthe security o the other). Once interests, needs,and ultimate goals are understood, mediatorsshould highlight any areas o commonality and

help the parties brainstorm options or resolvingdisagreements.

When they get stuck, mediators can askparticipants to work back rom possible utures rather than orward rom

Help partiesidentiy interests,needs, and ultimategoals.

Highlight sharedgoals.

Use proventechniques to breakimpasses.


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current problems. Stories and metaphors, humor, and even training-type

exercises can be eective tools to get participants to see their situationand each otherin a new light. Contingent agreements and matchedconditional commitments (yes, i) can be used to dene elements o asettlement and create incentives or compliance. Te mediator mayintroduce new settlement ormulas that include new actors to serve asreliable guarantors, thus spreading the political risk o a settlement.

TeIGADmediationotheSudancivilwarbecamemuchmoreeectivewhentheUnitedStatesandthreeothernationswerebroughtin

asguarantors.

Encourage Communication with Constituencies

Communication and consultation with constituencies increase the chancethat a settlementeven one that is disappointing in some respectswillbe accepted as air and supported by the public on both sides. o this end,the mediator should encourage negotiators to inorm and consult theirconstituencies, learning rom them what terms are likely to be acceptable

and what will be seen as unacceptable. Negotiators should also report onthe progress o negotiations and the terms being discussed, therebybuilding support or a settlement. Such communication reduces thedanger o a top-down settlement being rejected when it is announced, orundercut during its implementation.

SomeobserversbelievethatthevariousIsraeli-Palestinianpeaceinitiativeswouldhavebeensuccessulinegotiatorsandmediatorshadrecognizedtherespectiveinterestsoreligiousconstituenciesonbothsides

andengagedtheminthepeaceprocess.

Use Dierent Types o Leverage to Encourage Compromise

Mediators should review the potential sources o leverage identiedduring step 1 (conict assessment) and determine which can actually bebrought to bear on the parties. ypically, mediators can bring some or allo the ollowing types o leverage to the negotiating table:

reward power, when the mediator has something to oer to the partiesin exchange or changes in behavior

coercive power that relies on threats and sanctions, and includesmilitary options


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expert power that is based on the mediators

knowledge and experience with certain issues

legitimate power that is based on certainrights and legally sanctioned authority underinternational law

reerent power that is based on a desire o theparties to the conict to maintain a valuedrelationship with the mediator

inormational power that works on thecontent o the inormation conveyed as in thecase o a go-between or message carrier

Specic resources within these categories dependon the mediators institutional readiness,mandate, and resources.

A mediator can increase and multiply these sources o leverage byusing coalitions and allies.

DuringtheimplementationphaseothepeaceagreementinMozambique,AldoAjello,theUNsecretary-generalsspecialrepresentativeorMozambique,wasabletoexercisesignifcantleveragebecauseotherelationshipsheestablishedwithkeyembassiesinMozambique.AjellonotonlykepttheambassadorsoFrance,Portugal,theUnitedKingdom,andtheUnitedStatesinormedowhathewas

planningtodobutalsoinvolvedtheminthedecision-makingprocess;asaconsequence,heenjoyedtheirsupportandwasabletodeployavarietyoresourcestheymadeavailable.

Mediators should be aware o how their use o leverage will impactthe parties and the dynamics o the conict. Incentives and coercion aremost eective when applied in combination, not only because theypresent a more compelling oer but because o the eect on the

negotiating dynamic. Treats and coercion generate resistance that canbe oset by incentives that oster cooperation.

Te type o leverage used should be appropriate or addressingunderlying sources o conict and the reluctance o the parties to settle.

Identiy and apply

appropriateleverage.

Increase leveragethrough coalitionsand allies.

Apply incentivesand coercion incombination.

Use conditionality,but avoidrewardingintransigence.

Never blu.


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InthepeaceprocessorElSalvador,theU.S.governmenthelpedto

erodeoppositiontotheprocessamongwealthylandholdersbysubsidizingthelandtranserprogram.

Incentives or deterrents must also have sufcient value to inducechanges in behavior without being so excessive that they inate uturedemands.

Conditionality may be used to link progress on an issue with rewards.Mediators should avoid the appearance o rewarding intransigence by

creating a process in which rewards are delivered in response to speciccommitments and actions rom a party.

Mediators should never blu or use threats unless the ability andpolitical will to carry them out exists.

Engage the Public and Media

Develop Channels or Public Involvement

Public participation in the negotiations insome orm is imperative; aer all, the ultimateresponsibility or resolving a conict lieswithin the local society. Public participation isalso strategically sound, as participants are armore apt than spectators to support and sustaina settlement.

Context will determine the best means oincorporating the public. For example, the morerepresentative and accountable the parties havebeen, the less important it is that civil societyactors have a seat at the table and vice versa.

Public involvement can take many orms.

At the Table. Civil society stakeholders may be directly engaged,

particularly those rom representative organizations with experience orexpertise on specic issues. Tey may be important assets in workinggroups addressing issues relevant to their constituencies. By beingengaged, such actors provide a counterweight to elites and potential

Consider givingcivil societystakeholders a seatat the table.

Consider usingparallel meetingswith civil society

stakeholders. Promote

communicationwith the public.


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spoilers and ensure that broader public interests are negotiated. Tey may

also be very eective at explaining the negotiating process to constituents.Resistance by the combatants to the direct involvement o these actors,however, may require alternative means o inclusion.

Parallel Meetings. Conducting parallel consultative meetings or civilsociety can help legitimize and sustain ormal talks without making ormaltalks unwieldy. Such meetings may provide additional bargaining poweror negotiators voicing civil societys interest. Tey also present anopportunity or civil society to practice democratic procedures.

Two-Way Communication. Anothe

Documents

Managing a MEDIATION PROCESS