The document outlines the 5 typical steps of a mediation process: 1) the mediator's opening statement to set expectations, 2) parties' opening statements to understand issues, 3) narrowing issues and setting an agenda, 4) exploring options to meet interests, and 5) finalizing a written agreement. Each step includes goals, typical actions, and mediator tasks to guide constructive dialogue between parties and resolve conflicts.

1. 5 STEPS TO MEDIATION
Thomas G. Giglione
Partner | Business Development Leader
ATS LAW FIRM
thomas@atslegal.vn
Tel: 84-(0)1265539748

2. CONTENTS
Step 1: Mediator’s Opening Statement
Step 2: Parties' Opening Statements
Step 3: Narrowing Issues and Setting Agenda
Step 4: Exploring Options
Step 5: Final Written Agreement

3. STEP 1: MEDIATOR’ OPENING STATEMENT
GOALS
 Set the stage for productive,
constructive dialogue
 Educate the parties about the
negotiation/ mediation ' process

4. STEP 1: MEDIATOR’ OPENING STATEMENT
STEPS
Welcome and make introductions
Explain the mediator’s roles and authority
Review the mediation process
Define confidentiality
Deal with logistics
Answer questions and get a commitment to
begin process.

5. STEP 1: MEDIATOR’ OPENING STATEMENT
TASKS
Establish neutrality and
impartiality
Establish ground rules
or agreement on
standards of behavior
Explain possibility of
caucus

6. STEP 2: PARTIES’ OPENING STATEMENT
GOALS
 Identify the issues to be addressed
 Understand situation and context
 Help the parties feel “heard”
 Help parties begin to understand and
respect each other’ s perceptions and
needs and to reduce misunderstanding

7. STEP 2: PARTIES’ OPENING STATEMENT
STEPS
 Select a party to begin
 Ask the party open-ended questions
 Listen, summarize key points
 Summarize issues
 Ask if party wants to add anything else
 Repeat the process with the other party

8. STEP 2: PARTIES’ OPENING STATEMENT
TASKS
Directs communication from the party to the mediator.
Listens attentively, modeling respectful behavior
Names and acknowledges feelings expressed by the
parties
Paraphrases issues
Summarize long, complicated description of the situation
Verbally “underlined” conciliatory comments made by
parties
Enforce ground rules agreed to by parties.

9. STEP 3: NARROWING ISSUES AND SETTING AGENDA
GOALS
 Identify parties’ interests.
 Help the parties express their feelings productively and have these feelings
acknowledge
 Reduce parties’ adversarial mind-set and begin to shift the parties to seeing
themselves as joint problem solvers
 Shift parties from focusing on the past to being present- and future- oriented
 Clarify the parameters or boundaries of topics for discussion
 Create an agenda for problem solving
 Get buy-in of the parties to the tasks ahead.
 Surface other issues that have not yet been identified

10. STEP 3: NARROWING ISSUES AND SETTING AGENDA
STEPS
Ask
probing
and
clarifying
questions
Reframe
and
confirm
interests
other
parties.
SUCCESS

11. STEP 3: NARROWING ISSUES AND SETTING AGENDA
TASKS
1
• Frame the issues as a joint list, in neutral, positive terms
2 • Ask parties if there is anything else that they want to address at the meeting.
3
• Give a final summary of the collective issues and interests expressed

12. STEP 4: EXPLORING OPTIONS
Develop a full understanding of the issues
and concerns
Be a foundation for problem solving
Focus the parties on their needs and interests

13. STEP 4: EXPLORING OPTIONS
STEPS
Put the responsibility on the parties for developing solutions
Keep the parties focused on trying to meet interests rather
than pressing for positions
Keep the parties think creatively
Focus the parties on building a desired future
Keep the parties from getting “stuck”
Keep the parties grounded in reality and practicality

14. STEP 4: EXPLORING OPTIONS
TASKS
• Select and frame a single issue or a group of issues to work on
• Identify any objective standards or constraints that must be applied
• Review the interests that must be addressed and how each option meets
those interests and standards
• Develop a safe creative environment
• Brainstorm multiple options
• Fine-tune promising options or initial draft of a proposal
• Assess their BATNA’s and gains by finding workable options
• Select and modify options in such way as to optimize benefits

15. STEP 5: FINAL WRITEN AGREEMENT
GOALS
 Work through the practical realities of the agreements and what it
take to implement them.
 Provide an opportunity for review and reflection of the agreements
before final signing.
 Obtain as much closure as is needed and desired.

16. STEP 5: FINAL WRITEN AGREEMENT
TASKS
 Review agreements on individual issues
 Combine agreements into a package.
 Develop implementation plan for agreement(s).
 Guide parties in refining agreements.
 Draft final agreement
 Provide opportunity for outside review of agreement, if needed
 Finalize written agreement and obtain signatures

25. Thank you
Thomas G. Giglione
Mediation Services
Partner | Business Development Leader
ATS LAW FIRM
Mobile: 84-(0)1265539748
Email: thomas@atslegal.vn
Skype: dripmethod