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Basic Overview of ADR
Workplace Dispute Resolution Section February 2, 1999
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AGENDA 9:00 - 9:10 Introduction and Overview of Session Martha McClellan, FDIC 9:10 - 10:30 Introduction to ADR Dorethea Taylor-Kennedy, NIH-ORS Charlotte Kaplow, FDIC 10:30 - 10:40 Break 10:40 - 11:50 Choosing And Using an ADR Method Panel Members: Dorthea Taylor-Kennedy, NIH-ORS Delores Crawford, GAO Sheila Wolcott/Linda Washington, BEP 11:50 - 12:00 Wrap-Up
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BASIC OVERVIEW OF ADR COURSE OUTLINE
I. Definition of ADR A. What ADR is B. What ADR is not C. Two basic kinds of ADR D. Advantages of ADR E. Primary Dispute Resolution Process -- Adjudication
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BASIC OVERVIEW OF ADR COURSE OUTLINE
II. ADR Models A. Three Primary ADR Processes 1. Negotiation 2. Mediation 3. Arbitration B. Eight hybrid processes C. Spectrum of ADR procedures
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BASIC OVERVIEW OF ADR COURSE OUTLINE (Continued)
III. Choosing an ADR Method A. Is ADR Appropriate? 1. General presumption that it is 2. Circumstances when it may not be B. If ADR is Appropriate, How Do You Choose an ADR Method? 1. Issues to consider 2. Using the spectrum approach 3. What type of ADR is appropriate? 4. Client objectives -- overcoming impediments
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What is ADR ?
All forms of dispute resolution other than court adjudication
“Appropriate Dispute Resolution”
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What ADR is NOT . . .
Appropriate for every dispute
The solution to all disputes or conflicts
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Two kinds of ADR
Interest-based
Rights-based
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Advantages of ADR
Reduces cost of dispute resolution
Reduces length of time for dispute resolution
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Advantages of ADR (continued)
Reduces court congestion; may reduce court filings and dockets
Increases involvement of participants
Increases level of compliance
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Disadvantages to Primary Dispute Resolution Process (Adjudication)
Imposed by third-party decision maker
Involuntary
Binding
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Disadvantages to Primary Dispute Resolution Process (Adjudication)
Formalized and structured
Public (no confidentiality)
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Three Primary Alternative Dispute Resolution Processes
Negotiation
Mediation
Arbitration
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Negotiation Characteristics
Voluntary, private If agreement, enforceable as a contact No third-party facilitator Informal No limits on presentation of arguments Seeks mutually acceptable agreement
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Mediation Characteristics
Voluntary If agreement, enforceable as a contract Party-selected neutral Unbounded presentation of evidence Seeks mutually acceptable agreement Private Narrow issues for trial
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Two types of mediation
Rights-based mediation (Outcome prediction) Interests-based mediation (Facilitated negotiation)
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Arbitration Characteristics
Voluntary If binding, only subject to limited review Party-selected third-party decisionmaker Less formal, procedurally Present proofs and arguments Sometimes principled decision Private
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Three Types of Arbitration
1. Voluntary, Binding 2. Voluntary, Non-binding 3. Compulsory, Non-binding
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Eight Hybrid ADR Models
Mediation-Arbitration Private Judging Neutral Expert Fact-Finding Early Neutral Evaluation Mini-trial Summary Jury Trial Ombudsman Negotiated Rule-making
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ADR SPECTRUM
Negotiated ADR
Facilitated ADR
Fact-Finding ADR
Advisory ADR
Imposed ADR Preventive ADR
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ADR Spectrum
Preventive ADR Negotiated ADR Facilitated ADR Fact-Finding ADR Advisory ADR Imposed ADR
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Six Types of ADR PREVEVTIVE NEGOTIATED FACILITATED Partnering Principled Conciliation
ADR Clauses Positional Mediation
Negotiated Problem Solving Rule-Making Joint Problem Solving
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Six Types of ADR (Continued)
FACT FINDING ADVISORY BINDING Neutral Neutral Binding Expert Fact Evaluation Arbitration Finding Private Judging Masters, Summary Jury Magistrates Trials Mini-Trials Non-Binding Arbitration
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ADR May Not Be Appropriate When There Is . . .
A need for precedent A significant issue of Government policy A need to establish uniform policy An absent third party who may be adversely
affected
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ADR May Not Be Appropriate When There Is . . . (continued)
A need for a full public record A need for continuing jurisdiction Another disputant who is not committed to the
good faith use of ADR Tax, judicial foreclosure, or insurance defense
issues
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Principle of Subsidiarity
Resolve the matter at the lowest possible level of organization
Start with the most interest-based procedure possible
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Designing Your Own Hybrid
Tailor the process to the problem
Use a tiered approach
Bifurcate the issues/use different methods
Identify an enforcement method for follow-up