Successful Mediation Often Boils Down to Preparation

Richard Erickson | Snell & Wilmer

When presiding recently as mediator in a multi-party construction dispute, one of the contractor’s representatives asked me during a pre-mediation caucus to identify the one thing I needed from them for the mediation to succeed. I said “come prepared.”

By “come prepared,” I meant come prepared to answer every challenge quickly and articulately. Come prepared to admit your own risk and disadvantages. Come prepared to back up every factual allegation with admissible evidence and testimony. Come prepared to support every legal argument with on-point, persuasive authority. Come prepared to negotiate your best-case scenario but accept your bottom line. Come prepared, in other words, to help the mediator do their job actively and aggressively. But make a first impression upon the mediator and the other parties that you did your homework and came with all the tools and information necessary to resolve the dispute. And come prepared for every contingency that will undoubtedly arise.

One commentator, Stephen C. Bennett, in his article Construction Mediation: Best Practices for Success (American Arbitration Assoc. Dispute Res. Journal, Dec. 2019), characterized mediation as one of two types: facilitative or evaluative. In facilitative mediation, the mediator simply inquires about the parties’ strengths and weaknesses and recommends a means of compromise and resolution. In evaluative mediation, on their other hand, the mediator assesses winning and losing arguments and weighs in on the probable result, if the case does not settle. An evaluative mediator evaluates the facts provided by the parties and tells the parties their chances of winning and losing at trial or arbitration. In evaluative mediation, resolving the dispute depends on the mediator’s evaluation of the outcome.

In my experience, a facilitative mediation usually evolves into an evaluative one. Whether facilitative or evaluative, however, idleness kills all mediations. And lack of preparation by the parties assures that mediation will idle, stall, and fail.

In a facilitative mediation, for example, if the parties want to find a means of resolution, the parties must fully brief their strengths and weaknesses before the mediation and not on the day of the mediation. Too many times, the opening hours of mediation are wasted on educating the mediator about the dispute rather than opening with a meaningful discussion of best options to reach an end state.

To help the mediator facilitate a settlement, the parties must endeavor to start intensely and keep the mediator busy with finding creative solutions. That is what the parties are paying the mediator to do. Usually, the more the mediator rests and wanders the halls during deliberations, the less chance the parties have of reaching their goals of compromise and resolution. In addition, parties may make the wrong assumptions about the mediator’s idleness, which may negatively impact the settlement negotiations.

Evaluative mediation also relies upon active input and feedback by the parties to the mediator so the mediator can better explain the harsh reality about winning and losing on the merits. A mediator’s evaluation of the merits may also be dead wrong. So, the parties must be prepared to show why they have the winning case in order to change the mediator’s evaluation of the outcome.

Have your star witness show up to summarize their testimony or put them on a virtual screen so the mediator can assess their demeanor and credibility. Have your expert witness present the methodology that will most persuade the factfinder on the technical merits. Use key exhibits in the same way you would present them to a judge or jury. Show the mediator why the predominant fault of others minimizes or eliminates your liability. Prove to the mediator-evaluator that you have the better position from which to negotiate a winning outcome.

Benjamin Franklin famously said, “By failing to prepare you are preparing to fail.” Dr. Franklin probably did not consider facilitative or evaluative mediation when he said this, but he would agree that if your mediation fails, it is often because you failed to prepare. Preparing a winning case is what the parties are going to do eventually, with or without mediation. It makes total sense, therefore, that comprehensive preparation for mediation will keep the mediator busy and will prevent the mediation from idling to failure.

Footnotes

1. The views expressed are those of the author, and not those of the firm or his colleagues. 


When one of your cases is in need of a construction expert, estimates, insurance appraisal or umpire services in defect or insurance disputes – please call Advise & Consult, Inc. at 888.684.8305, or email experts@adviseandconsult.net.

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