Alternative Dispute Resolution (ADR)ADR uses a variety of voluntary techniques to resolve disputes rather than traditional adversarial methods, like litigation.

ADR TechniquesMediationFacilitationFact FindingEarly Neutral EvaluationOmbudsmenSettlement ConferencesMini TrialsPeer ReviewCombination of Techniques

Core Principles of ADRVoluntaryNeutralConfidentialEnforceable

Core Principles of ADRVoluntary

Both parties must agree to participate in ADR.A settlement agreement must be acceptable to both parties.The parties may end ADR at any time.

Core Principles of ADRNeutral

An objective, impartial third party who has been trained in ADR techniques and EEO law.The neutral has no power to decide the dispute.

Core Principles of ADRConfidential

Confidentiality in any ADR proceeding must be maintained by the parties and the neutral.The terms of the settlement agreement will not be confidential unless the agreement contains a confidentiality provision.

Core Principles of ADREnforceable

The settlement agreement must be in writing and signed by both parties.Settlement agreements are enforceable by the EEOC.

Mediation Defined

Mediation is mutually acceptable solution to the parties dispute. A process in which an impartial third party assists disputants to resolve the issue.

Mediation is both voluntary and confidential.

Third Party AssistanceMediator as a Facilitator of ProcessMediator as NeutralNo stake in outcomeNo position on issues

Mutually Acceptable Solution

What would satisfy the parties?

How can their needs be met?

The Process is Voluntary

No obligation to mediate.

No obligation to reach an agreement.

Confidentiality

Parties sign confidentiality agreements.

Why is confidentiality so important?

Mediator bound by confidentiality.

Stages of Mediation

Stages of MediationStage IPre-Mediation & Opening the SessionStage IIIdentification of IssuesStage IIIGenerating Options and Problem-SolvingStage IVAgreement Writing and Post-Mediation

Stage ISetting the Tone

This is the most important phase in the mediation process. It provides you with the opportunity to make a good first impression. How the mediator(s) performs during this phase will impact either positively or negatively on the remaining mediation process.

Stage IIIdentification of IssuesWith mediators assistance, parties will:

Identify issues in their disputesExpress their views and perspectivesIdentify areas of agreement and disagreement on the issuesIdentify common ground

Note: this stage does not include reaching agreement or selecting options to resolve disputes.

Elements of Stage IIJoint SessionIn opening, mediator will:Explain what will happen at Stage IIRemind parties they will have time to present their perspectivesEstablish ground rules

Mediation Ground RulesEstablished by mediatorWhoever is speaking has floor, no interruptionsTake notes and bring point up laterAny party can stop process for break at any time or request a caucusNegotiate in good faith; our common goal is to resolve disputeListenFollow ground rules and direction of mediatorOther ground rules requested by partiesAsk parties to commit to ground rules

Elements of Stage IIJoint Session (continued)Complainant presents viewsMediator paraphrases what s/he heard complainant sayRespondent/Agency presents viewsMediator paraphrases what s/he heard Respondent/Agency sayMediator asks parties to add or clarify, not respondContinue back and forth until parties feel they have expressed their viewsMediator summarizes common ground

Elements of Stage IIIndividual SessionsIndividual Caucuses with each party

Agenda setting for new Joint Session; What can be shared with other party?

Elements of Stage IIJoint SessionReturn to Joint Session

Repeat Elements of Stage II as needed

CaucusesUsed by mediator to:Gain control of mediationAllow party to vent or share informationEnsure party heard/understood what was saidMove beyond impasseProvide an opportunity for each party to explore strengths/weaknesses of case

Caucuses(continued)Used by mediator to:Provide an opportunity for party to explore strengths/weaknesses of other partys caseFind out more on partys interestsReinforce confidentialityEncourage information sharingSet agenda for next joint sessionIdentify information that can be shared in joint sessions

ValidationMediator acknowledges partys views and feelings on the issue, while remaining neutral.I understand you feel hurt and upset aboutI understand your feelings in this matter.I can empathize with your concerns about what happened.

Open-Ended QuestionsTo facilitate discussion, the mediator asks open-ended questions.Help me understand what you meant byCan you be more specific?What do you mean by that?Whats important to you?Why is that important to you?

ParaphrasingParaphrasing is critical to the mediation process.Mediator re-states what was said in his/her own wordsNot verbatim, instead provide a shorthand summary which includes all-points madeEnsures everyone heard what party intended to conveyParties may correct mediators paraphrasing

Paraphrasing(continued)Builds trust, demonstrates mediator was listening and understood what was saidComing from neutral mediator, facilitates understanding by other partyProvides breather as parties go back and forth expressing views

Stage IIIGenerating Options &Problem-Solving

Generating OptionsIn individual sessions clarify what are the parties bottom line.Mediator may offer a solution not as an answer, but as an idea to think about.Ask parties what if questions.

Generating OptionsBrain Storming TechniquesMay be used by the parties to develop options.The parties throw out ideas.After the ideas are on the table, the parties discuss.Hopefully this discussion of ideas will lead to an agreement.

Generating OptionsReality TestingTechnique used by the Mediator to assist the individual party in evaluating the practicality and feasibility of their goals. Mediator enters evaluative mode. Discuss strength and weakness of individual Partys case.

FeedbackValidate what party expressed through use of verbal or non-verbal response. Paraphrase re-state what party said in your own words.

Stage IVAgreement Writing &Post-Mediation

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