Sample of Mediation Process

The stages were adopted from https://www.mediationinstitute.edu.au/facilitated-discussion-training/

STAGE 1: SETTING THE SCENE AND DETERMINING THE AGENDA

Step 1: Beginning Mediation and Mediator’s Opening Statement1

The mediator may engage both parties to some of the following activities:

a. Recognizing and affirming the parties’ willingness to meet and seek mutually acceptable
solutions to their differences.
b. Clarifying what mediation is and the mediator’s role through mediator’s opening
statement (See Annex B for the checklist of possible opening statement)
c. Describing and agreeing on logistics, scheduling and potential number and length of
meetings.
d. Identifying and agreeing on meeting guidelines or ground rules.
e. Securing a joint commitment from each party to work in good faith to discover or
develop mutually acceptable solutions to issues of concern

The mediator shall strive to create a positive climate conducive to clear communications and
joint problem solving (Moore, 2014). To do this, the mediator shall work on some of the
following interventions without taking any sides2:

 Preventing interruptions or verbal attacks.

 Encouraging parties to focus on task at hand not on each other.
 Affirming clear and useful descriptions or statement.
 Accepting the expression of feelings and being emphatic.

Step 2: Opening Statement of both parties

The most common way to an opening statement of the parties involves is presenting their views
on the substantive issues in dispute (Moore, 2014). This approach usually has the following
variables3:

a. The history of the problem

b. Issues that need to be addressed and resolved
c. Reasons why a change is needed and desirable
d. The merits of the claim
e. The needs and interest
f. Desired action/outcome and why this option or position is the best course of action

Step 3: Forming the agenda

1
Moore, C. W. (2014). The mediation process: Practical strategies for resolving conflict (4 th ed.). San Francisco: Jossey-Bass. p. 301-302
2
Ibid. p. 302-303
3
Ibid. p. 335
 After presenting the opening statement of both parties, they will, on their own or with the help
of the mediator, discuss and reach an agreement on the general broad frame of the of the
problem or problems to be addressed. Moreover, the following shall be considered 4:

 The potential agenda developed by the mediator prior to negotiations is just a draft
which will possibly change based on the information provided in the opening statement
of both parties.
 The agenda to be followed may be developed and approved by either of the following:
o involved parties alone
o both parties in coordination with the mediator
o mediator (with the consent of both parties)
 In addition, they will present the summary of the issues to be explored and put them in
order.

STAGE 2: UNDERSTANDING ISSUES AND CONSIDERING OPTIONS FOR RESOLUTION

Step 4: Exploration of issues

During this step, the following information should be presented5:

 A more detailed history and background of the grievance including the people involved.
 The factors which might stimulated development of the grievance.
 A description of why the parties believe that a change is desirable or needed.
 What kind of needs and interests the parties want to be addressed:
o substantive (tangible outcomes or benefits e.g. money, equipment, tools).
o procedural (parties’ preferences regarding the process e.g. desire for efficient,
fair and timely process)
o psychological/relational (individual’s desire to be trusted, respected, heard, and
have feelings and experiences acknowledged)

Mediator may ask question which would assist parties to educate each other and present and
clarify needs and interest. Some of the examples are the following:
Excerpt from Moore’s (2014), The mediation process: Practical strategies for resolving conflict (4 th ed.)

 I think I understand what you have said. (Repeat the understanding). Is this
right? (Confirming understanding)
 Can you say a bit more about the issue? (Fairly open-ended question)
 What makes this so important to you? (Eliciting more information on the
reasoning behind the party’s perspective)
 What process would you like to use to settle this issue? (Interest-based
questions)

Step 5: Option Generation

4
Ibid. p. 351
5
Ibid. p. 364
 The following are some of the examples of common procedures mediators can use to generate
settlement options:
Excerpt from Moore’s (2014), The mediation process: Practical strategies for resolving conflict (4 th ed.)

Open discussion

Where there are no foregone conclusions, and everyone’s ideas are respected
(Rabinowitz).

Brainstorming

A procedure in which two or more people generate a variety of options for consideration.
problem is often stated as a “how question”. (Moore, 2014)

Nominal group process

Individuals are asked to make their own lists, within a specific period, of all the possible
solutions they can imagine. Then, discussed and assessed for merit in small groups. Lastly,
potential options which are mutually acceptable were brought to larger group for
discussion and consideration. (Moore, 2014)

Single-text Negotiating Document

Identify the needs and interests of all parties. The mediator develops a text or proposal
with one or more options that satisfies the needs and interests of the concerns and resolve
the issues in dispute. Then, each party has an opportunity to modify the text which will
better meet their needs. (Moore, 2014)

Step 6: Private Sessions

This may be held at almost any time of negotiations. The purposes are the following6:

If initiated early in the process:

 to vent emotions
 to design more effective negotiating process
 to identify issues to be addressed and resolved.

If held in the middle of the negotiation:

 focus on preventing premature commitment to a position

 identifying needs and interests
 generating options or positions

If held at the end of negotiations:

 develop or assess proposal

 develop a settlement formula
 promote or achieve psychological closure and settlement

6
Ibid. p. 492
 Mediators shall implement the following considerations when conducting private sessions 7:

 Orient the potential use of private session

 Discuss the concerns or resistance parties may have
 Decide if both parties need to meet privately with or without a mediator
 Determine the duration of the private session
 Determine the focus and goals for discussion, and develop a strategy to achieve it

STAGE 3: REALITY TESTING AND AGREEING ON NEXT STEPS OR AGREEMENT

Step 7: Negotiation

Involves any type of communication between both parties that is focused on developing
mutually acceptable understanding or agreements to address the grievance (Moore, 2014).

In evaluating the options or positions, the following question may be used:

Excerpt from Moore’s (2014), The mediation process: Practical strategies for resolving conflict (4 th ed.)

 Do you think that a person who is uninvolved in this dispute would consider the option
or position in question to be a reasonable way to settle your differences?
 What could be done by you or the other party to make you feel more comfortable with
or better about the option?

Step 8: Next steps/Agreement

Example questions to ask about implementation8:

 What will it take to implement this option or position?

 What time, resources, individual or group actions will be required?
 Will the people who implement it support it?
 What barriers might be encountered in implementing it?
 What could be done to facilitate implementation?
 Are you willing to put in the effort to do so?

Example questions to ask to encourage parties to think about creating the best solutions
possible for their final agreements9:

 If you were to change the option or position to make it more acceptable to you, what
might you:
o Add or enhance some aspect of it?
o Drop some aspect or component of it?
o Modify it in some way?
 If you make your desired changes and propose them to the other party, how might they
be perceived or received? How are your changes likely to affect the satisfaction of their
needs or interests?

7
Ibid. p. 493
8
Ibid. p. 420
9
Ibid. p. 431
  What can you do to make your proposal more acceptable to the other party and lower
his or her resistance to accepting them? Is there anything more that you can do to
address the other party's concerns and interests?

Some intervention strategies that can help promote reconciliation10:

 A safe forum and environment where parties feel free to talk about their feelings, views,
perceptions, and opinions on what has happened in the past, and openly describe the impact
that events have had on them, their friends, colleagues, or identity group members
 Time to identify and discuss what each “side” has done right in their prior relationship, as well as
what they have done that is problematic.
 Group social activities that create opportunities for positive interactions between parties and
that minimize possibilities of negative encounters.

If both parties accepted the mutually acceptable outcomes, the mediator may use the following
interventions11:

 Ask disputants to restate their understanding when the mediator believes or hears they have an
agreement.
 Writing down a potential agreement so that parties can see what it looks like. (See Annex C for
the sample settlement documentation form)
 Using and testing a “trial balloon.” To use this strategy, a mediator might say: “I'd like to try out
an idea. If you (Party A) did X, would this be acceptable to you (Party B)?”

Step 9: Mediators Closing Statement

Example questions mediator may ask to help parties achieve procedural closure 12:

 What can we do to make implementation of the agreement in the future go more

smoothly?
 What can we do to encourage follow-through and compliance?

10
Ibid. p. 472
11
Ibid. p. 449-450
12
Ibid. p. 460