{"id":27312,"date":"2022-02-17T14:50:58","date_gmt":"2022-02-17T19:50:58","guid":{"rendered":"https:\/\/adr.gov\/?page_id=27312"},"modified":"2022-02-18T15:41:13","modified_gmt":"2022-02-18T20:41:13","slug":"ch01","status":"publish","type":"page","link":"https:\/\/adr.gov\/guidance\/adrguide-home\/ch01\/","title":{"rendered":"Ch.01 – ADR Processes"},"content":{"rendered":"<div class=\"fusion-fullwidth fullwidth-box fusion-builder-row-1 nonhundred-percent-fullwidth non-hundred-percent-height-scrolling\" style=\"background-color: rgba(255,255,255,0);background-position: center center;background-repeat: no-repeat;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;margin-bottom: 0px;margin-top: 0px;border-width: 0px 0px 0px 0px;border-color:#eae9e9;border-style:solid;\" ><div class=\"fusion-builder-row fusion-row\"><div class=\"fusion-layout-column fusion_builder_column fusion-builder-column-0 fusion_builder_column_1_1 1_1 fusion-one-full fusion-column-first fusion-column-last\" style=\"margin-top:0px;margin-bottom:0px;\"><div class=\"fusion-column-wrapper fusion-flex-column-wrapper-legacy\" style=\"background-position:left top;background-repeat:no-repeat;-webkit-background-size:cover;-moz-background-size:cover;-o-background-size:cover;background-size:cover;padding: 0px 0px 0px 0px;\"><style type=\"text\/css\"><\/style><div class=\"fusion-title title fusion-title-1 fusion-title-text fusion-title-size-two\" style=\"margin-top:0px;margin-right:0px;margin-bottom:31px;margin-left:0px;\"><h2 class=\"title-heading-left\" style=\"margin:0;\">Ch.01 – ADR Processes<\/h2><span class=\"awb-title-spacer\"><\/span><div class=\"title-sep-container\"><div class=\"title-sep sep-double sep-solid\" style=\"border-color:#e0dede;\"><\/div><\/div><\/div><div class=\"fusion-text fusion-text-1\"><p>All ADR processes are designed to speed the <a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch30\/\">information-exchange<\/a> and decision-making processes in order to lower the costs of a dispute, improve the quality of decision-making, and achieve resolution quickly. \u00a0ADR processes are highly flexible and are usually tailored to the parties needs and the nature of the dispute.\u00a0 Nevertheless, a few broad descriptions of key terms and common processes will be helpful to the readers of this guide.\u00a0 Go to <a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch23\/\">Chapter 23 <\/a>to learn more about how to select an appropriate ADR process.<\/p>\n<p><strong><u>Key Terms<\/u><\/strong><\/p>\n<blockquote>\n<p><strong><em><u>Neutral<\/u>.<\/em><\/strong> \u00a0A neutral is “an individual who, with respect to an issue in controversy, functions specifically to aid the parties in resolving the controversy.”\u00a0 5 USC 571(9). \u00a0Examples include mediators, arbitrators, and facilitators. \u00a0<em>See <\/em><a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch24\/\">Ch.24, Neutrals<\/a>.<\/p>\n<p><u><em><strong>Non-binding ADR.<\/strong><\/em><\/u> \u00a0In non-binding ADR, the parties have agreed that the third party neutral may offer an opinion, but neither party is bound by that neutral\u2019s opinion.\u00a0 In other words, in non-binding ADR, if the parties cannot reach an agreement, they do not authorize the neutral to decide the outcome of the dispute.\u00a0 \u00a0Techniques like mediation and facilitation are forms of non-binding ADR.<\/p>\n<p><strong><em><u>Binding ADR.<\/u><\/em><\/strong> \u00a0In binding ADR, the parties agree to let the neutral determine the outcome, and to be bound by the neutral\u2019s decision. \u00a0Techniques like arbitration and summary trial with binding decision are forms of binding ADR.<\/p>\n<p><strong><em><u>Facilitative<\/u><\/em><\/strong>. \u00a0This adjective is used to describe processes that use the neutral to help the parties communicate directly with each other. \u00a0A facilitative mediator, for example, avoids “shuttle diplomacy,” in favor of having the parties in joint session so that they can communicate directly to each other. \u00a0A facilitative neutral frequently uses broad questions, creative meeting techniques, brain storming, etc., to stimulate discussion about the issues, the parties’ interests, and possible mutual gains.<\/p>\n<p><strong><em><u>Evaluative<\/u><\/em><\/strong>. \u00a0This adjective describes processes that permit the neutral to offer opinions, predictions, or even decisions. \u00a0An evaluative mediator, for example, will offer his or her opinions about the legal or factual aspects of a party’s case. \u00a0In early neutral evaluation or fact finding, the neutral makes similar assessments.<\/p>\n<\/blockquote>\n<p><strong><u>Common Processes<\/u><\/strong><\/p>\n<p>The following are some commonly used definitions of ADR processes applicable to procurement-related ADR. \u00a0Agencies may differ in the manner in which they define each process. \u00a0Also, some of these terms may be used differently in other contexts.<\/p>\n<blockquote>\n<p><strong><em><u>Arbitration<\/u><\/em><\/strong>. \u00a0A dispute resolution process whereby a neutral third-party is empowered by agreement of the parties to issue a decision on the controversy, following the conduct of a trial-like hearing. \u00a0An arbitrator’s decision is generally binding and not reversible, absent fraud or misconduct on the part of the arbitrator. \u00a0Arbitrators often are asked to attempt to mediate (see below) a settlement first, and to impose a decision on the parties only as a last resort. \u00a0This hybrid process is frequently referred to as “Med\/Arb”.\u00a0 <em>See<\/em>\u00a0<a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch21\/\">Ch.21, Arbitration<\/a>.<\/p>\n<p><strong><em><u>Early Neutral Evaluation<\/u><\/em><\/strong>. \u00a0The process by which an neutral third party imparts to the parties his\/her views as to the strengths and weaknesses of their respective positions relating to an issue in controversy. \u00a0This process frequently is combined with conciliation or mediation. \u00a0<em>See, e.g.<\/em>, <a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch11\/\">Ch.11, ODRA Protests<\/a>.<\/p>\n<p><strong><em><u>Fact Finding<\/u><\/em><\/strong>. \u00a0A process in which a neutral third party assists the parties to determine in an objective manner the facts relating to an issue in controversy. \u00a0Frequently, fact finding will be engaged in as a prelude to mediation.<\/p>\n<p><strong><em><u>Mediation<\/u><\/em><\/strong>. \u00a0An effort by a neutral third party to resolve an issue in controversy through the conduct of face-to-face meetings between the disputing parties. \u00a0The third party is not authorized to impose a settlement upon the parties, but rather seeks to assist the parties in fashioning a mutually satisfactory solution to the issue in controversy. \u00a0Mediation can take two forms: (1) facilitative mediation — in which the mediator simply facilitates discussions between or among the parties and does not provide any form of evaluation of the merits of their respective positions; and (2) evaluative mediation — in which the mediator provides the parties, either individually or jointly, with early neutral evaluation (see above), i.e., his\/her views as to the strengths and weaknesses of their respective positions, in conjunction with the mediator’s efforts to help the parties fashion an amicable resolution to their controversy.<\/p>\n<p><strong><em><u>Mini-Trial<\/u><\/em><\/strong>. \u00a0A procedure where the parties make abbreviated presentations to a neutral third party who sits with the parties’ designated principal representatives as a mini-trial panel to hear and evaluate evidence relating to an issue in controversy. \u00a0The neutral may thereafter meet with the principal representatives to attempt to mediate a settlement. \u00a0The mini-trial process may also be a prelude to the neutral’s issuance of either a formal written non-binding advisory opinion or to the neutral’s rendering of a binding arbitration award.<\/p>\n<p><strong><em><u>Ombuds or Ombudsman<\/u><\/em><\/strong>. \u00a0An individual who has been designated as a confidential and informal information resource, communications channel, complaint-handler and dispute-resolver. \u00a0The ombuds role was intended to be an antidote to abuses of governmental and bureaucratic authority and administration, and ombuds may serve as effective intervenors in cases of arbitrary decision-making. \u00a0<em>See<\/em> <a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch13\/\">Ch.13, Other Avenues<\/a>.<\/p>\n<p><strong><em><u>Summary Trial With Binding Decision<\/u><\/em><\/strong>. \u00a0A binding ADR procedure utilized by Boards of Contract Appeals wherein the parties make abbreviated evidentiary presentations concerning an issue in controversy, and the Board judge renders a summary binding and non-appealable decision. \u00a0The decision, frequently rendered from the bench, is usually reduced to writing with summary findings and conclusions.<\/p>\n<\/blockquote>\n<p><strong>LEARN MORE<\/strong><br \/>\n<a href=\"https:\/\/adr.gov\/wp-content\/uploads\/2022\/02\/ADR-TECHNIQUES.docx?\">Training Materials – ADR Techniques<\/a><br \/>\n<a href=\"https:\/\/adr.gov\/guidance\/adrguide-home\/ch23\/\">Selecting an ADR Process (Ch. 23)<\/a><\/p>\n<\/div><div class=\"fusion-clearfix\"><\/div><\/div><\/div><\/div><\/div>\n","protected":false},"excerpt":{"rendered":"","protected":false},"author":6,"featured_media":0,"parent":27194,"menu_order":8,"comment_status":"closed","ping_status":"closed","template":"","meta":{"footnotes":""},"_links":{"self":[{"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/pages\/27312"}],"collection":[{"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/users\/6"}],"replies":[{"embeddable":true,"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/comments?post=27312"}],"version-history":[{"count":0,"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/pages\/27312\/revisions"}],"up":[{"embeddable":true,"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/pages\/27194"}],"wp:attachment":[{"href":"https:\/\/adr.gov\/wp-json\/wp\/v2\/media?parent=27312"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}