Alternative Dispute Resolution

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

ADR Techniques

Mediation
Facilitation
Fact Finding
Early Neutral Evaluation
Ombudsmen
Settlement Conferences
Mini Trials
Peer Review
Combination of Techniques

Core Principles of ADR

Voluntary
Neutral
Confidential
Enforceable

Core Principles of ADR

Voluntary
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 ADR

Neutral
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 ADR

Confidential
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 ADR

Enforceable
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 Assistance

Mediator as a Facilitator of Process

Mediator as Neutral
No stake in outcome
No 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 Mediation
Stage I
Pre-Mediation & Opening the Session

Stage II
Identification of Issues

Stage III
Generating Options and Problem-Solving

Stage IV
Agreement Writing and Post-Mediation

Stage I
Setting 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 II
Identification of Issues
With mediators assistance, parties will:

Identify issues in their disputes

Express their views and perspectives

Identify areas of agreement and disagreement

on the issues

Identify common ground

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

Elements of Stage II
Joint Session
In opening, mediator will:

Explain what will happen at

Stage II

Remind parties they will have

time to present their
perspectives

Establish ground rules

Mediation Ground Rules

Established by mediator
Whoever is speaking has floor, no interruptions
Take notes and bring point up later
Any party can stop process for break at any time or
request a caucus
Negotiate in good faith; our common goal is to
resolve dispute
Listen
Follow ground rules and direction of mediator

Other ground rules requested by parties

Ask parties to commit to ground rules

Elements of Stage II
Joint Session (continued)
Complainant presents views
Mediator paraphrases what s/he heard complainant
say
Respondent/Agency presents views
Mediator paraphrases what s/he heard
Respondent/Agency say
Mediator asks parties to add or clarify, not respond
Continue back and forth until parties feel they have
expressed their views
Mediator summarizes common ground

Elements of Stage II
Individual Sessions
Individual Caucuses with each party
Agenda setting for new Joint Session;
What can be shared with other party?

Elements of Stage II
Joint Session
Return to Joint Session
Repeat Elements of Stage II as needed

Caucuses
Used by mediator to:
Gain control of mediation
Allow party to vent or share information
Ensure party heard/understood what was
said
Move beyond impasse
Provide 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 case
Find out more on partys interests
Reinforce confidentiality
Encourage information sharing
Set agenda for next joint session
Identify information that can be shared in joint
sessions

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

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

Paraphrasing
Paraphrasing is critical to the mediation
process.
Mediator re-states what was said in his/her own
words
Not verbatim, instead provide a shorthand
summary which includes all-points made
Ensures everyone heard what party intended to
convey
Parties may correct mediators paraphrasing

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

Stage III
Generating Options
&
Problem-Solving

Generating Options
In 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 Options
Brain Storming Techniques
May 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 Options
Reality Testing
Technique 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.

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

Stage IV
Agreement Writing
&
Post-Mediation

THANKS