Shared Neutrals: An Interagency Collaborative Effort in Support of ADR

SHARED NEUTRALS QUALIFICATIONS AND STANDARDS OF PRACTICE

Minimum Qualifications Employment: federal employment; mediation services provided 

as a collateral duty. 1 Training: a minimum of 40 hours of basic mediation skills training.

Documentation of training is requested. Experience: for lead mediators, at least five 

documented co-mediations or five independent mediations with positive evaluations from a 

qualified mediator/evaluator. References: at least two letters of recommendation from 

individuals who are familiar with the applicant’s abilities as a dispute resolver/mediator. 

Supervisory Approval: Supervisor’s Approval form signed by mediator’s supervisor. 

Agreement to Uphold Ethical Principles: agree to uphold basic standards of conduct (e.g., 

SPIDR/AAA Model Standards of Conduct for Mediators), the confidentiality provisions of the 

Administrative Dispute Resolution Act of 1996, and the Shared Neutrals Standards of 

Practice. In addition, as federal employees, participants should not use their position for 

personal gain.

Standards of Practice

These standards were originally modeled on the Standards of Practice for Postal Service 

Mediators. Modifications were made to reflect both the voluntary nature of Shared Neutrals and 

the fact that mediators are federal employees.

While the standards refer primarily to mediators, all participants are encouraged to review them 

carefully. Policies and practices that uphold these standards will help ensure fairness for the 

parties and the process.

Competency

Shared neutrals shall meet the basic qualifications for participation in the program. In addition, 

mediators will strive to enhance their skills. If a neutral feels s/he is lacking the skills necessary 

for a particular case, s/he shall decline to serve or shall withdraw from the case.

• Shared neutrals are encouraged to participate in training, attend professional conferences and

meetings to upgrade their skills and enhance their professional development.

• Shared neutrals shall disclose to parties the limits of their skills or substantive expertise

whenever this may be relevant to handling of a case.

• Beyond disclosure, shared neutrals should exercise their own judgment regarding whether their

expertise and skills are adequate to meet the demands of a case. Shared Neutrals should

decline to serve or withdraw from a case when their skills and expertise are inadequate.

1 Federal and other government retirees, who are experienced mediators, may volunteer their 

services through Shared Neutrals. 
Impartiality

Shared neutrals shall, in word and action, maintain impartiality toward the parties and the issues 

in dispute. Where the shared neutral's impartiality is in question, the s/he shall decline to serve 

or withdraw from the case.

• Impartiality is central to mediation as it directly affects the mediator’s ability to function as a 

neutral.

• Shared neutrals shall not display favoritism or bias toward any party or position taken by a party. 

S/he shall be committed to aid all parties, as opposed to a single party, in exploring possibilities 

for resolution.

• At the earliest possible opportunity, shared neutrals shall disclose any conflicts of interest and/or 

any present or prior relationship with any of the parties or their representatives. If any of the 

parties or representatives object to the shared neutrals serving as the result of such disclosure, 

the s/he shall withdraw. If the shared neutral believes that a previous relationship will 

compromise impartiality or appears to do so, s/he shall withdraw.

• If the shared neutral or any party believes that and so states, apart from relationships, the fact 

or appearance of impartiality is compromised, s/he shall withdraw.

• Shared neutrals should exercise discretion and due regard for the appearance of impartiality in 

establishing new relationships with parties to past mediations.

Confidentiality

Shared Neutrals shall, subject to statutory obligations to the contrary, meet the reasonable 

expectations of the parties regarding the confidentiality of all communications made within the 

mediation process.

• Shared neutrals agree to become familiar with and practice consistently 

the confidentiality provisions of the Administrative Dispute Resolution Act of 1996.

• Apart from statutory duties to report certain kinds of information, a mediator is obligated not to 

disclose to a nonparty, directly or indirectly, any information communicated to the mediator by a 

party to the mediation process.

• Absent statutory duties, a shared neutral must not disclose, directly or indirectly, to any party to 

a mediation, information communicated in confidence by any other party unless that party gives 

permission to do so.

• The shared neutral must limit information given to the referring agency (other than a party) to 

the fact of whether or not a settlement was reached. ("referring agency" applies to the office or 

entity requesting mediator referrals from the Shared Neutrals program).

• A shared neutral cannot ensure the confidentiality of statements parties make to each other or 

of any documents or other tangible evidence shared during the mediation.
• Where confidential information from one party might, if known to the other party, change the 

second party's decision about whether to accept or reject certain terms of settlement, a shared 

neutral should encourage the first party to permit disclosure of the information, but absent such 

permission, the s/he must not disclose it.

Consent

Shared neutrals shall make reasonable efforts to assure that parties understand the mediation 

process and their options, and that parties are able to make choices regarding their participation 

in mediation generally or regarding specific settlement options.

• A shared neutral is obligated to explain the mediation process to the parties at the outset, 

including the role and function of the neutral, and to inform the parties of their rights to refuse 

any offer of settlement or to withdraw from mediation at any time and for any reason. This 

obligation continues throughout the mediation process.

• A shared neutral must not exert undue pressure on a party to continue mediation or accept an 

offer. S/he, however, should encourage parties to consider both the benefits of participation and 

settlement and the costs of withdrawal or impasse.

• Where a party appears to be acting under coercion or fear, or without capacity to comprehend 

the process, issues or options for settlement, the shared neutral must explore the circumstances 

with the party and, unless the party objects, discontinue mediation. If the party insists on 

continuing, the shared neutral may do so, but should continue to raise the question and check 

for willingness to proceed.

Self-Determination

Shared neutrals shall respect and encourage self-determination by the parties in their decision 

to resolve their dispute, and on what terms. Shared neutrals shall refrain from being directive or 

judgmental regarding the issues in dispute or the options for settlement.

• The parties have the responsibility for deciding whether and on what terms to resolve their 

dispute. The shared neutral may and should assist them in making informed and thoughtful 

decisions. The shared neutral must not impose his or her personal views or beliefs with regard 

to any aspect of the dispute or potential settlement.

• Subject to the above, the shared neutral should assist the parties in considering proposed 

options for settlement, including their acceptability, sufficiency, feasibility and impact on third 

parties. Furthermore, s/he may make neutral suggestions for the parties. However, at no time 

should the shared neutral make decisions for the parties or express his or her opinions about or 

advise for or against any proposal under consideration.

• If a party to mediation declines to consult an attorney or counselor after the shared neutral has 

raised this option, the shared neutral is obligated to permit the mediation to go forward 

according to the party's wishes.

• If the shared neutral is aware that an agreement desired by the parties could not be enforced, 

because it is illegal or unenforceable, or for any other reason, the shared neutral is obligated to 
inform the parties. If the parties insist on the agreement, the shared neutral must discontinue 

mediation but should not violate the obligation of confidentiality.

Separation of Mediation (Counseling and/or Providing Legal Advice)

Shared neutrals must limit their role solely to that of mediator. They should refrain from giving 

legal or therapeutic information or advice.

• A shared neutral may, in areas where s/he is knowledgeable and experienced, raise questions 

regarding the information presented by the parties, including information about the law.

• A shared neutral should never provide professional advice to the parties or express a 

professional or personal opinion on an issue or option for settlement. S/he may provide relevant 

information, including information about the law.

• If the shared neutral believes a party is acting without adequate information or legal advice on 

legal or psychological aspects of the issues presented, the shared neutral must raise the option 

of obtaining independent expert advice prior to resolving issues and afford the parties the 

opportunity to do so.

• A shared neutral must limit his or her role to that of mediator and must never assume the role of 

advocate for either party's interests or provide counseling or therapy to either party during the 

mediation process.

Promotion of Respect/Control of Abuse (of the Process)

Shared neutrals shall encourage an atmosphere of mutual respect and shall take reasonable 

steps subject to the principle of self-determination, to limit abuse of the mediation process.

• Shared neutrals should be mindful that parties participate in good faith and that potential for 

abuse of the process is present in any mediation.

• The shared neutral should make reasonable efforts to prevent manipulation and intimidation by 

either party.

• The shared neutral should assist the parties in establishing a dialogue that promotes the 

understanding and respect for the other's positions and concerns even if the parties cannot 

agree.

• Where a shared neutral discovers intentional abuse of the process, such as non-disclosure or 

lying, the s/he has an obligation to encourage the abusing party to alter their conduct. The 

shared neutral is not obligated to reveal the conduct or to discontinue the process but may 

discontinue mediation as long as this does not violate the obligation of confidentiality.

Conflicts of Interest

Shared neutrals shall, as far as possible, avoid conflicts of interest and, in any event, shall 

resolve all such conflicts in favor of their primary obligation to serve impartially the parties in the 

dispute.
• A shared neutral who is a lawyer must not advise or represent either of the parties in future 

proceedings concerning the subject matter of the dispute. Likewise, the shared neutral who is a 

therapist or trained counselor must not provide future therapy or counseling to either of the 

parties or both of them regarding the subject matter of the dispute.

• Shared neutrals are encouraged to contact the Shared Neutrals administrator for answers to 

specific questions related to potential conflicts of interest or abuse of government position. If 

applicable, they also may want to contact their respective Agency Ethics Officer.

• Shared neutrals are obligated to put the interests of the parties above the interest of the 

referring agencies if the two come into conflict

• Where a party is represented or advised by a professional advocate or counselor, the shared 

neutral is obligated to put the interests of the party over his/her own interest in maintaining 

cordial relations with the other professional if the two come into conflict.

Maintenance of Program Integrity

Shared neutrals shall accept and carry out their assignments consistent with Shared Neutrals 

program policies and procedures.

• Shared neutrals should not accept assignments from an agency unless the assignment is 

generated by a Shared Neutrals program referral; roster members who knowingly do so, are not 

functioning within the guidelines of the Shared Neutrals program.

• Shared neutrals should be aware that mediating outside the Shared Neutrals program could 

result in a charge of abuse of official time and/or otherwise affect their rights and benefits as 

federal employees.

FMCS Form

SN_Standards of Practice

Revised 12/3/2018