There are various mediation styles or philosophies that parties to litigation encounter when mediating. Generally, they can be categorized as either facilitative or evaluative approaches. Some mediators feel that they should never “evaluate” a case, such as the mediator who says, “a mediator should never express a personal opinion”. A similar approach is the mediator who only carries messages or talking points from one party to another without weighing in the validity of the issues.
On the other hand, I
have also encountered mediators who appear to have decided prior to the actual
mediation session, usually based on their review of the pre-mediation
statements, how the case should be resolved. They then spend the mediation
attempting to persuade both sides to accept their view of the outcome.
There are also mediators
that will make statements like, “if you were my mother, I would tell you to
accept this offer” when getting to the final offers. These types of mediators
may be overstepping an “evaluative” approach to mediation.
Somewhere in between all
these approaches is the mediator who uses the right amount of guidance or
aggressiveness to help the parties reach a settlement without violating his or
her principles or the rules of the state governing their conduct. Choosing the appropriate
approach is a skill every mediator should master. Here’s a closer look at how
to do so.
Adhering to Rules and
Standards
Because I practice
primarily in Tennessee and am a Tennessee Supreme Court Rule 31 listed mediator,
I will refer to the Rules and Standards applicable in Tennessee; many states
have similar requirements.
Tennessee Supreme Court
Rule 31, Section 10(b)(3) provides that a neutral “must refrain from giving
legal advice. However, while a Rule 31 mediator should not offer a firm opinion
as to how the court in which a case has been filed will resolve the case, a
Rule 31 mediator may point out possible outcomes of the case and may indicate a
personal view of the persuasiveness of a particular claim or defense.”
In addition, the
Standards of Professional Conduct for attorneys also apply to neutrals. Section
5 (b) states: “A neutral shall not coerce or unfairly influence a party into a
settlement agreement and shall not make substantive decisions for any party to
an ADR Proceeding.”
The above rules and
standards make many mediators less aggressive than they might otherwise be
during the mediation. However, it is reasonable to infer that the language in
Section 10 also allows for more involvement by the mediator by allowing the
neutral to point out possible outcomes and express personal views so long as he
or she doesn’t give an opinion on how the court will ultimately rule.
Using Different
Approaches at Mediation
When mediating a
construction or commercial case, my approach often uses both facilitative and
evaluative elements. It is important to be flexible as a mediator, especially
at the beginning of every mediation. Being a “one-trick pony” will not make you
an effective mediator.
At the start of the
session, after the preliminaries are out of the way, you must understand where
both sides are in the process and how close they are to resolving the case. This
is the facilitative part of the session. Often, the participants can reach settlement
using this approach alone. If so, that’s great. But if this approach isn’t working,
you’ll have to use other tools or techniques to achieve settlement, including
evaluative approaches.
Evaluate witness and expert
testimony. One evaluative
method is to ask the parties to articulate their claims and defenses and show how
they plan to prove each of them. For example, if one of the parties requires an
expert, has that expert been identified or disclosed? If so, what is the
expert’s testimony, and how well will it hold up to rigorous cross-examination?
If both sides have experts, and the mediator has this information she or he may
give an opinion as to which one the mediator thinks is likely to be more
credible or better received by the trier of fact.
If the liability is fact-based
rather than expert-based, the mediator may thoroughly discuss the witnesses,
their testimony, and their credibility, offering an opinion as to which side is
more likely to be credible to the trier of fact.
Evaluate damages and
defenses. Because liability
and damages are usually in dispute, a separate analysis of damages is also often
helpful. The mediator may ask the plaintiff to explain how he or she is proving
damages as a starting point. In cases like construction cases where you usually
don’t have the uncertainly of non-economic damages such as pain and suffering
or emotional distress, there should be an objective starting point. Again,
either expert testimony or sufficient documentation of the expenses should be
available.
If documentation is
lacking, the mediator can ask the plaintiff about that, and whether the
plaintiff understands his or her shortcomings in this area. Is the plaintiff
seeking damages that are not allowed by law or other damages, such as
attorney’s fees, when there is no statutory or contractual provision for same?
If so, how does the plaintiff plan to recover these?
The mediator may also
discuss with the defendant how the defendant plans to defend the damages. Is the
defense based on lack of documentation by the plaintiff? Does the defendant
have his or her own expert to contest the damages, or are there other methods
being utilized?
After reviewing all this
material, an evaluative mediator can express an opinion to each side about how
the mediator thinks the trier of fact is likely to resolve these issues.
Offer a mediator’s
proposal. I also
occasionally use a mediator’s proposal as one final method when the parties
have reached impasse. While I don’t do this routinely, if I have reasonable
belief that the parties still want to resolve the case and if both sides
affirmatively agree that they want me to provide a mediator’s proposal, I will
do so. However, if any of the parties state they do not want a mediator’s
proposal, I will not offer one.
Choosing the Right
Approach
While every mediation is different, mediators who know how to use both facilitative or evaluative approaches — and when to use them — are better equipped to help the parties reach resolution. Regardless of whether you’re a new mediator or a more seasoned one, understanding the nuances of these different types of strategies will enhance your skills at every mediation.
Author, Barry L. Howard, a full-time mediator and arbitrator at Miles Mediation & Arbitration in Nashville, Tennessee, often mediates construction cases ranging from single-family home construction cases to multi-million-dollar commercial projects. He has mediated over 2,600 cases, including ones that involve construction defects, breach of construction contracts, construction insurance coverage issues, and construction site personal injuries.