A settlement in which 3rd party listens to both sides imposes decision that is legally binding

A settlement in which 3rd party listens to both sides imposes decision that is legally binding
Alternative dispute resolution (ADR) refers to the different ways people can resolve disputes without a trial. Common ADR processes include mediation, arbitration, and neutral evaluation. These processes are generally confidential, less formal, and less stressful than traditional court proceedings.

ADR often saves money and speeds settlement. In mediation, parties play an important role in resolving their own disputes. This often results in creative solutions, longer-lasting outcomes, greater satisfaction, and improved relationships.

The New York State Unified Court System offers parties access to free or reduced-fee mediation and other ADR services in family law, general civil and commercial law disputes. These services are available in many courthouses and in the Community Dispute Resolution Centers located in almost all of New York State’s 62 counties.
 

 Definitions of ADR Processes

Arbitration: a neutral person called an "arbitrator" hears arguments and evidence from each side and then decides the outcome. Arbitration is less formal than a trial and the rules of evidence are often relaxed. In binding arbitration, parties agree to accept the arbitrator’s decision as final, and there is generally no right to appeal. In nonbinding arbitration, the parties may request a trial if they do not accept the arbitrator’s decision.

Collaborative Law: a problem-solving process that gives divorcing parties and their lawyers a way to end a marriage and restructure families without the stress, delay, and expense of litigation. Collaborative law is founded on three principles:

1. A pledge not to litigate disputes in court;
2. An honest, voluntary, prompt, and good-faith exchange of relevant information without formal discovery; and
3. A commitment to strive for solutions that take into account the highest priorities of both parties and their children. Although the lawyers share a commitment to collaborative law principles, each lawyer has a professional duty to represent his or her own client diligently and is not the attorney for the other party.

Mediation: a neutral person called a "mediator" helps the parties try to reach a mutually acceptable resolution of the dispute.  The mediator does not decide the case, but helps the parties communicate so they can try to settle the dispute themselves. Mediation may be particularly useful when family members, neighbors, or business partners have a dispute.  Mediation may be inappropriate if a party has a significant advantage in power or control over the other. Learn more about Mediation.

Neutral Evaluation: a neutral person with subject-matter expertise hears abbreviated arguments, reviews the strengths and weaknesses of each side’s case, and offers an evaluation of likely court outcomes in an effort to promote settlement. The neutral evaluator may also provide case planning guidance and settlement assistance with the parties' consent.

Parenting Coordination (PC): a child-focused process in which a trained and experienced mental health or legal professional called a “parenting coordinator” assists high-conflict parents to carry out their parenting plan. With prior approval of the parties and the court, the parenting coordinator may make decisions within the scope of the court order or appointment contract. The purpose of Parent Coordination is to help parents resolve conflicts regarding their children in a timely manner and try to promote safe, healthy, and meaningful parent-child relationships.

Restorative Justice: a process meant to address an incident of harm, or other dispute, in which stakeholders collectively identifies and addresses impact, needs and obligations, and create an action plan to move forward.

Settlement Conferencing: in settlement conferencing, a judge or the judge’s representative meets with the parties and their attorneys to try to settle some or all of the issues in dispute before going to trial. Parties’ participation is limited, and the focus is on narrowing the issues in dispute.

Special Master: a neutral appointed by a court to carry out some sort of action on its behalf. This may include overseeing discovery issues, conferencing cases, or overseeing post-judgment activity.

Summary Jury Trials (SJT):  In this adversarial dispute resolution process, each side presents its case in a shortened form to a jury.  The jury then makes a decision, which is advisory only, unless parties request that it be a binding decision. A summary jury trial gives parties a preview of a potential verdict should the case go to trial.  SJTs are available in limited jurisdictions.

 

Dispute Systems Design
Dispute systems design is a process for assisting an organization to develop a structure for handling a series of similar recurring or anticipated disputes (e.g., environmental enforcement cases or EEO complaints within a federal agency) more effectively.

Facilitation
Facilitation is a collaborative process in which a neutral seeks to assist a group of individuals or other parties to discuss constructively a number of complex, potentially controversial issues.  The neutral in a facilitation process (the "facilitator") plays a less active role than a mediator and, unlike a mediator, does not see “resolution” of a conflict as a goal of his or her work.

Mediation
Mediation is a facilitated negotiation in which a skilled, impartial third party seeks to enhance negotiations between parties to a conflict or their representatives, by improving communication, identifying interests, and exploring possibilities for a mutually agreeable resolution.  The disputants remain responsible for negotiating the settlement, and the mediator lacks power to impose any solution; the mediator's role is to assist the process in ways acceptable to the parties.  Typically this involves helping the disputants identify their interests, find areas of common ground and understand their alternatives, then suggesting possible solutions, and drafting a final settlement agreement.

A mediator's style may be described as "evaluative" or "facilitative."  Most "evaluative" mediators emphasize helping the parties understand the strengths and weaknesses of their cases, and provide guidance as to the likely outcome in court and appropriate grounds for settling.  "Facilitative" mediators tend to be less likely to provide direct advice, propose solutions, or predict outcomes; they usually seek to establish a framework that makes it safe for parties to communicate more effectively as to their interests, options, and realistic alternatives.  In most situations, DOE utilizes facilitative mediation.

Neutral Evaluation
In neutral evaluation, a neutral - often someone with relevant legal, substantive, or technical expertise - hears informal presentations by the parties, offers them a non-binding oral or written evaluation of their cases' strengths and weaknesses and the likely reaction of a judge or jury if settlement is not reached, and provides his or her view of an appropriate range of outcomes.  He may also assist the parties to narrow areas of disagreement or identify relevant information that may enhance their chances of reaching settlement.

Arbitration
Arbitration is a process in which a third-party neutral (arbitrator), after reviewing evidence and listening to arguments from both sides, issues a decision “award” to resolve the case.  In non-binding arbitration, the parties have agreed to consider the award.  In binding arbitration, the parties agree in advance to be bound by the award.  There are very limited grounds to appeal a binding arbitration award.

Binding arbitration is a statutorily-mandated feature of Federal labor management agreements.  Consistent with statute, the parties to such agreements are free to negotiate the terms and conditions under which arbitrators are used to resolve disputes, including the procedures for their selection.

Mini-Trials
Mini-trials involve a structured settlement process in which attorneys for each side to a dispute present a summary of their case before the major decision makers.  The rationale behind a minitrial is that if the decision makers are fully informed about the merits of their cases and that of the opposing parties, they will be better prepared to successfully engage in settlement discussions.

A neutral oversees the minitrial, and is responsible for explaining and maintaining an orderly process.  When the case presentation is over, he will meet with the parties and assist in their settlement negotiations.

The minitrial method is a particularly efficient and cost effective means for settling large contract disputes and can be used in other cases where some or all of the following characteristics are present: (1) it is important to get facts and positions before high-level decision makers; (2) the parties are looking for a substantial level of control over the resolution of the dispute; (3) some or all of the issues are of a technical nature; and (4) a trial on the merits of the case would be very long and/or complex.

Peer Review Panel
A peer review panel is a problem-solving process where an employee takes a dispute to a group or panel of fellow employees and managers for a decision.  The decision may or may not be binding on the employee and/or the employer, depending on the conditions of the particular process.  If it is not binding on the employee, he or she would be able to seek relief in traditional forums for dispute resolution if dissatisfied with the decision under peer review.  The principle objective of the method is to resolve disputes early before they become formal complaints or grievances.

Typically, the panel is made up of employees and managers who volunteer for this duty and who are trained in listening, questioning, and problem-solving skills as well as the specific policies and guidelines of the panel.  Peer review panels may be standing groups of individuals who are available to address whatever disputes employees might bring to the panel at any given time.  Other panels may be formed on an ad hoc basis through some selection process initiated by the employee, e.g., blind selection of a certain number of names from a pool of qualified employees and managers.

Ombuds
An ombuds is a neutral person who can assist in resolving work-related concerns in an informal, confidential, and impartial manner who rely on a number of techniques to resolve disputes.  These techniques include counseling, mediating, conciliating, and fact finding.  Usually, when an ombuds receives a complaint, he or she interviews parties, reviews files, and makes recommendations to the disputants.  Typically, ombuds do not impose solutions.

Ombuds may be used to handle employee workplace complaints and disputes or complaints and disputes from outside of the place of employment, such as those from customers or clients.  Ombuds are often able to identify and track systemic problems and suggest ways of dealing with those problems.

Partnering
Partnering is a process used to facilitate contract performance.  Using a trained facilitator to assist them, parties to a contract participate in a partnering workshop, where they work on identifying mutual interests, potential problems and techniques to resolve disputes.  After the workshop, all participants sign an agreement or “charter” which includes such things as performance goals, strategies for achieving these goals, organizational structure for the project, and a process for resolving disputes.  Based on open and continuous communication, mutual trust and respect, and the replacement of an “us vs. them” mentality with a joint problem solving approach, partnering has been shown to improve safety, reduce litigation and time delays and to promote creative solutions and pride in performance.