Assuring Quality in ADR Practice & Programs

Quality Assurance Overview

Any dispute resolution program that offers mediation or facilitation service needs to consider how they can be assured that they are providing quality service. At least two key issues will arise:

How to enhance the likelihood that neutrals consistently provide high quality dispute resolution assistance
How to ensure that the agency operating the DR program (or other DR provider organization) fulfills its responsibility to provide fair, high quality processes.

Neutrals (mediators, arbitrators, facilitators, evaluators) are in many respects key to the effectiveness of any ADR process. Their skills and other qualities can be crucial to a successful outcome. The neutral typically presides over and manages the process by which parties seek to resolve their differences.

The bulk of attention concerning selection of neutrals and qualification has so far been directed at mediators. Occasional studies or guidance have examined the skills of early neutral evaluators. Arbitrator standards have typically required a law degree and some amount of experience with hearing procedures.

Depending on the ADR process and its setting, the neutral's background and role can vary substantially. In some controversies, agency employees with some training and mentoring may be apt neutrals. In other disputes, parties may demand a highly skilled professional with years of experience or a neutral from outside government.

This diversity of roles that mediators and other neutrals play can present complications regarding establishing standards of practice and procurement procedures for agencies considering ADR. Moreover, strong differences of opinion exist within the dispute resolution community itself as to what constitutes quality practice by neutrals and what are the best ways to assess whether practitioners have the required skills.

Research is only beginning to reveal the kinds of knowledge, skills, abilities, and other attributes ("KSAOs") that are important to effective performance as a neutral, and how those aptitudes are best acquired. Studies that have been conducted suggest that these qualities are derived from a mix of sources: innate personal characteristics, education and training, and experience. (Margaret Shaw's Selection, Training, and Qualification of Neutrals is a valuable, if slightly dated, exploration of much of this research.)

Further readings on some possible approaches to ensuring quality mediation include Chapter 11 of Nancy Rogers and Craig McEwen's Mediation: Law, Policy, Practice ("Regulating for Quality, Fairness, Effectiveness, and Access") and Dobbins, The Debate Over Mediator Qualifications.

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