Oxford University – BCL/MJur/MLF

Commercial Negotiation and Mediation 2016/2017

Section 9:
Mediation process and
mediator‘s techniques

Dr. Andreas Hacke

Zwanzig Hacke Meilke & Partner
www.zhmp.de

Dr. Andreas Hacke 1

Mediation process and mediator‘s techniques

Overview

Mediation
process How is a mediation structured?

Mediator‘s Which techniques do mediators

techniques employ to enable dispute
resolution?

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Mediation process and mediator‘s techniques

Ways into mediation

Ad-hoc- Legal
Mediation agreement to obligation to Court-annexed or
clauses mediate mediate judicial mediation

Entering Conflict arises Court action

into
contract

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Mediation process and mediator‘s techniques

Typical phases of a mediation

(but: no „procrustean bed“, form follows function)

0 1 2 3 4 5
Bargaining and
Mediator’s Defining Identifying final
Developing
Preparation Opening issues interests agreement
options (often:
Statement Exploring and
settlement)
views priorities

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Mediation process and mediator‘s techniques

0 – Preparation (1)
Possible content of preparation
• The conflict
• Subject matter
• Parties
• Conflict history and status (level of
escalation; court action initiated?)
• The conflict parties
• Relationship
• Relevant people
• Parties‘ expectations as to process
• Designing the process
• Intended aim of mediation
• Mediator‘s role and process authority
• Structure and timing of process
• Participants to mediation session(s)
• Venue Preparation and
Dr. Andreas Hacke
of process is key for success
Possible forms of preparation
• Case management conference(s)
• Telephone / in person
• Simultaneously with both parties
and/or separately
• With parties/representatives and/or
the parties‘ lawyers
• Before and/or after mediation briefs
• Mediation briefs vs. no written
submissions
• Drafting „mediator‘s script“
• Logistics
constant reassessing
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Mediation process and mediator‘s techniques

0 – Preparation (2) - Structure variants

• Single session / consecutive sessions

– Possible cut after phases 2 (issues/views) or phase 3
(interests) or phase 4 (options)
• Joint sessions / private meetings („caucus“) / mixed forms
• Constant participants / changing participants

Guiding principle in process design: what serves

the parties best to solve their dispute?

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Dr. Andreas Hacke
Mediation process and mediator‘s techniques

1 - Mediator‘s opening statement

• Setting the tone / building rapport
• Review of participant‘s expectations
• Outlining the mediator‘s, the parties‘ and the lawyer‘s respective
roles
• Agreeing on structure, format, agenda and schedule, time-
constraints
• Agreeing on ground rules
• Voluntariness
• Confidentiality (see Section 8)
• Communication rules
• Confirmation of authorities to settle
• „Housekeeping“
• Answering questions

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Mediation process and mediator‘s techniques

2 - Defining issues / exploring views

• Having the parties tell their story: „what
brought you here?“ („let them vent“)
• Exploring the partie‘s (different) views
• Exploring the parties‘ emotions
• Collecting the issues to be solved
• Structuring the further process

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Mediation process and mediator‘s techniques

3 - Identifying interests and priorities

• Collecting and exchanging the parties‘

respective interests, motives and concerns with
a view to the conflict and its possible resolution
• Prioritizing the parties‘ interests

Measuring rod for agreement options

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Mediation process and mediator‘s techniques

4 - Developing options

• Sharing ideas to solve the issues in dispute

• Refining ideas and shaping components of a
possible solution
• No evaluation – open brainstorming
• Creativity

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Mediation process and mediator‘s techniques

5 - Bargaining and final agreement (often

settlement)
• Evaluation of ideas developed in phase 4
• Main evaluation criterion: the parties‘ interests (as developed in phase 3)
• Bargaining (often in private meetings („caucus“) – „shuttle diplomacy“
• On options
• On criteria to evaluate / choose options
• Finding agreement
• In substance (settlement)
• On further procedure (no settlement)
• Further mediation session
• Other form of ADR (Neutral Evaluation, Mini-Trial, Med-Arb etc.)
• „Cooling off“ period
• Oral
• Written
• Term sheet
• Complete agreement
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Mediation process and mediator‘s techniques

Mediator‘s techniques
Asking (open) questions
Active listening
 Communication Neutralising
Normalising
• Use effective communication Using „I-messages“
• Stimulate effective communication of the parties Non-verbal communication

 Moderation Flipcharts
Pin boards
Moderator cards / sticking dots
 Structuring Diagrams
Mindmaps
Software
 Visualisation Brainstorming
Brainwriting
Mindmaps
 Stimulating Creativity Variations of setting

• Mediation practice is „craftsmanship“

• Firm mindset
• Clear structure
• Specific techniques
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Mediation process and mediator‘s techniques

Mediator‘s techniques during the phases

Opening Issues Interests Options Agreement

Moderation

Communication

Visualisation

Structuring

Stimulating creativity
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Mediation process and mediator‘s techniques

Recap

A mediation usually follows a

Mediation process defined, though flexible structure in
distinct phases, each with a specific
purpose; form follows function

Mediation practice is the use of

Mediator‘s specific techniques (especially
techniques communication and visualisation
techniques) based on a firm
„mediator‘s mindset“

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