| A: Keep Control of Process + Outcome |
The ADR Neutral(s)' role is only to facilitate conversation. The parties decide everything together: issues of process as well as substance. Norms do not need to exist or influence the outcome, although the ADR Neutral(s) can help the parties to generate any norms they may wish to create for resolving subjective issues (e.g., rules for what might make for good relationships). The ADR Neutral(s), however, are not expected to provide any evaluative input on these norms or how the think they should be applied. The ADR neutral(s) may propose ideas and alternatives on procedural issues (e.g., timing, prior submissions, agenda, use of caucuses, meals, etc.) but should leave it to the parties to choose whether and if so how to apply them, working together. The ADR neutral(s) cannot impose anything. The ADR neutral(s) should not give an opinion or make any proposals on substantive issues or any any outcome. The primary role of the ADR Neutral(s) should be to help the parties to exchange information and to brainstorm (e.g., by focusing on their interests rather than on their positions.) The ADR Nutral(s) can suggest techniques for addressing relational and/or social issues as well as assist the parties in generating their own criteria and obtaining external information that can help them overcome impasses (e.g., experts). |
| B: Give Control of Process + Keep Control of Outcome |
ADR Neutral(s) can take initiatives or make decisions regarding procedural matters or regarding ways of addressing social and relational issues as well as ways of seeking external information to assist the parties in overcoming impasses (e.g., appointing experts and determining the scope of their mandate.) The ADR Neutral(s) can help the parties to generate their own norms but do not advise on final solutions or outcomes or provide a proposal on how the matter could be settled. |
| C: Keep Control of Process + Give [some] Control of Outcome |
The ADR Neutra(s)' role is make procedural suggestions regarding process but to focus primarily on what norms could be generated and applied in helping the parties to reach their own outcome. While the ADR Neutral(s) can propose ideas and alternatives to the parties on procedural issues for them to decide (e.g., timing, prior submissions, use of caucuses, agenda, etc.) they should focus on the application of norms to set benchmarks that could help resolve the matter. The ADR Neutrakl(s) should be prepared and may be expected to form their own views on the application of any norms, and to generate, educate and help the parties to apply these norms (e.g., findings of fact and applicable laws, and how they may shape the Zone of Possible Agreement ("ZOPA")). The ADR Neutral(s) should help the parties to identify dispositive issues that may affect the outcome of the dispute and to exchange information relevant to the application of any applicable norms (e.g., on positions and assists in “reality-checking”). The ADR Neutral(s) should help the parties to find missing information and can suggest ways of resolving keys issues. The ADR Neutral(s) can evaluate the strengths and weaknesses of each party's positions and, when appropriate, provide their own opinion on the merits and/or give non-binding proposals regarding possible ways of settling the dispute. The ADR Neutral(s) should limit their evaluations on the applications on any norms and only provide their opinions in a limited Zone of Permitted Evaluation ("ZOPE") when only both parties wish to obtain them. |
| D: Give Control of Process + Outcome. |
The role of the ADR Neutral(s) is to direct or control all issues of process (e.g., timing, prior submissions, agenda, use of caucuses, meals etc.) as well as the topics to be discussed and to set, educate and advocate relevant norms by which the dispute can be resolved. The ADR Neutrals help the parties to determine a Zone of Possible Agreement ("ZOPA") and can be evaluative on all issues relating to process and outcome, having a wide Zone of Permitted Evaluation ("ZOPE"). The ADR Neutral(s) may form their own views on the matter, how best to handle it and how to resolve it, and can apply norms (e.g., findings of fact and applicable laws) to help the parties to understand the strengths and weaknesses of their files, and exchange relevant information to gain a better appreciation of each party's case. The ADR Neutral(s) are expected to do “reality-checking” and to help the parties to understand what their alternatives to a negotiated agreement may look like (e.g., best case or worst-case scenarios). The ADR Neutral(s) should be preopared to identify dispositive issues and propose ways of resolving them or provide their views on them. The ADR Neutral(s) are should be willing (and my be expected) to provide their opinion (in caucus or in joint session) and to ultimately give a settlement proposal if the parties do not reach an agreement. The ADR Neutral(s)’ proposal is usually non-binding, but it can become binding if the parties agree to accept it as a way to resolve any final issues that are preventing them from reaching a settlement. |
