ALSD 305 MEDIATION THEORY Course Outline I. Introduction to mediation II. Characteristics of mediation III. The Idea of Third-Party Intervention IV. Characteristics of mediators V. Actors in International Mediation VI. The Structure of International Mediation • The Mediation Environment • Phases in Mediation • Types/ Strategies of Mediation VII. Issues and interests in International Mediation VIII. Classification of Mediation and Mediators IX. Nexus between mediation, negotiation, arbitration and litigation. X. Mediation by regional and sub-regional organizations 1 The idea of Third-Party Intervention. Categories of third parties in a conflict; • Constituents • Audience • Allies and Patrons • Third Party Conflict Managers. Third Party Conflict Managers. The term third party is used to refer to a person or a team of people who become involved in a conflict to help the disputing parties manage or resolve it. Third parties might act as consultants, helping one side or both sides analyse the conflict and plan an effective response. They also act as facilitators in arranging meetings, setting agendas, and guiding productive discussions. Third party conflict management includes litigation, arbitration, problem-solving workshops and mediation. Mediators, not only facilitate discussions, but also put forward a structure and process for the discussions that is designed to move the parties towards mutual understanding and win-win agreements. While many different styles of mediations are common, most mediators have the conflicting parties sit down together to explain to each other their views about the nature of the conflict and how they think it might best be resolved. The mediator often also tries to get the disputants to focus on underlying interests (the things they really need or want) more than their initial opening positions (what they initially say they need or want). By clarifying the divergent reasons for those views, mediators can get the parties to develop a common understanding of the situation, which often yields a solution that satisfies the interests of all the parties. Characteristics of Mediators • They should be a neutral party and one that is mutually selected by the disputants. • They should possess the required skill of intelligence and tact to handle the conflict at hand • They must not impose their own opinions, views and directives to the disputants but rather act as a facilitator in engaging the disputant to solve or come up with their own solutions to the issues at hand. (Assist them in reaching agreements and then stir up support for implementation). At most, they can suggest a solution, which the disputants may or may not accept. 2 • They must be accountable, transparent and level-headed(rational) while managing the mediation process and should not be biased towards any of the disputants. They have to be equally trusted by both parties. • They should respect the confidentiality of the disputants. • The mediator must ensure that the mediation process, interactions and agreements are guided by international law, norms, principles and values so that there is some form of regulation guiding the process itself and the outcomes as well. Actors in International Mediation. Other than the conflicting parties in an ongoing conflict, we have other external actors that also become participants in the conflict and its usually under the auspices of conflict management approaches. They include; state and non-state actors - (inter- governmental organisations, nongovernmental organizations). These actors in the international system usually play a positive role in the process and conclusion of mediation of various conflicts. However, they can also undermine or prolong the mediation process as their motives vary from humanitarian interests to altruism to geo-political and economic interests, foreign policies, public image and personal and professional status. Some of these actors may also be actively involved in fuelling the conflict by supportting one or more of the conflict parties- adding onto the complexities of the conflict. • States. Most states decide on the how and why to intervene based on various factors. One is the intervening nation's own capabilities and connection to the conflict. Second, the status and ripeness of the conflict for resolution, third is the characters of the parties and their decision-making systems, and fourth is the comparison between the cost of intervention to the cost of doing nothing. States such as Norway, Switzerland or the USA have repeatedly offered their good offices or mediation. Switzerland has for instance made mediation an important pillar of its foreign policy. It has supported mediation processes in two main ways: either as a host or by directly mandating mediators. As a host, Switzerland has held numerous meetings, including talks between various governments and rebel groups, from countries such as Indonesia, Spain and Sri Lanka and Syria. At the same time, 3 Switzerland has also mandated mediators in processes for countries like Colombia, Sudan, Sri Lanka, Uganda and Nepal. Many individual states mediate from positions of relative power and influence over the conflict parties. When fully engaged, such mediators have considerable access to, and leverage over, the parties concerned an example being the USA’s involvement in conflicts around the world. Their standing within the international community can encourage the support from other external actors that will be necessary to reinforce their efforts at an appropriate time. It’s also important to note that state actor’s involvement in either intra-state or inter-state conflict resolution can also negatively impact the conflict as many states will seek to attain their own political or economic interests through that particular conflict. This will bring on the aspect of added hostility among conflicting parties especially when there has been a lot of incurred cost of resources (both finances and military personnel) in sustaining that particular conflict. In this situation, the mediator will now be forced to mediate a number of other issues and interests other than purely managing the issues and interests of the disputants. • i. Non-state actors Inter-Governmental Organizations The main global actor is the United Nations (UN), but regional multilateral organisations such as the Organisation for Security and Co-operation in Europe (OSCE), the European Union (EU), the African Union (AU), the Organization of American States (OAS) and the Association of SouthEast Asian Nations (ASEAN), as well as sub-regional organisations like the Economic Community of West African States (ECOWAS), the East African Community (EAC) and the Southern African Development Community (SADC) also contribute a great deal to conflict mediation. The UN has mandated mediators in numerous conflicts in countries like Afghanistan, Angola, Bougainville, Georgia, Haiti, Nepal, Syria and Western Sahara. Most often, mediators are mandated by the Secretary-General as Special Representatives or Envoys. The UN enjoys specific legitimacy to mandate mediators based on its almost universal membership as well as conflict resolution provisions in its Charter. Regional and sub-regional organisations mediate with advantages of greater proximity to the conflict, knowledge of and sometimes leverage over the parties. Scholars suggest that regional organisations have characteristics that in principle make them effective mediators. They are ‘partial insiders’, closely connected to the conflict at hand, with an intimate knowledge about local conditions, shared norms or experiences with the parties in conflict, and a stake in the outcome of the conflict. Geographical 4 proximity and deep knowledge about the conflict arguably create favourable conditions for effective mediation. Mediation led by regional organisations has had notable successes example being the Economic Community of West African States (ECOWAS) in conflict management in West Africa and the Inter- Governmental Authority on Development (IGAD). In the last century, the OSCE, EU, and AU have all strengthened their mediation capacities to adapt to the complex dynamics of conflicts. The AU being able to directly mandate mediators or engage in comediation with partners, such as the UN or other regional organizations in Africa, established the Peace and Security Council to specialise in promoting peace, security and stability on the African continent in places like Sudan, DRC, South Sudan and Somalia. ii. Non- Governmental Organizations. The most renowned civil society NGOs active internationally and working in the field of peace mediation include: ACCORD (South Africa), Berghof Foundation (Germany), Centre for Humanitarian Dialogue (Switzerland), Conciliation Resources (UK), Crisis Management Initiative (Finland), Muhammadiyah (Indonesia), Serapaz (Mexico), Swisspeace (Switzerland), the Asia Foundation (USA), the Carter Center (USA), US Institute of Peace (USA) and West Africa Network for Peacebuilding (Ghana) NGOs such as the Centre for Humanitarian Dialogue, the Conflict Management Initiative and Swisspeace have played important roles in mediation and mediation support in countries like Nepal, Myanmar and the Philippines. They have the advantage of being highly flexible and able to engage in a discreet manner often behind the scenes and already early on in a conflict. This makes them an appreciated mediator or mediation support actor in case the conflict parties are reluctant to engage with official actors or if there is a specific need for training and capacity-building. Religious or Faith- Based non-governmental organisations also play a key role in conflict mediation. Many religious organizations have extensive connections to the grassroots where the conflict takes place giving them intricate knowledge and access to conflict situations, both with the people and also leaders of conflicting parties. Examples include; the Community of Sant ’Egidio, the Quakers, Interfaith Mediation Centre and The Vatican/Holy See in Rome with the Pope successfully mediated the Beagle Channel conflict that erupted between Chile and Argentina in 1985. Other religious actors like the Inter- Religious Council of Sierra Leone (IRCSL), founded in 1997, have taken active roles in promoting reconciliation and mediation efforts and were instrumental in the negotiation and signing of the Lomé Peace Agreement. When the conflict broke out, both Muslims 5 and Christians urged their religious leaders to take a more active role in stopping the violence. The IRCSL leaders used their religious credibility and influence (involvement of both mosques and churches was key in the spiritual, cultural and socio-economic development of Sierra Leone before and after independence) to resolve the conflict peacefully by actively pursuing dialogue with the coup leaders and the government, listening to their complaints as well as condemning the coup and human rights abuses committed by the junta. The Joint Efforts of Both State and Non-state Actors in International Mediation. a) Case study of Sudan and South Sudan. Negotiations on Southern Sudan were long thwarted by shifting alliances between the government and the Sudan People’s Liberation Army (SPLA) and other regional states as they were deeply divided over fundamental issues of religion and the self-determination of the South. Competing regional peace initiatives – one led by IGAD generally favourable to the South, and the other a joint initiative by Egypt and Libya supporting the unity of Sudan – struggled to advance. Progress came as support for the IGAD process, led by General Lazaro Kipkurui Sumbeiywo of Kenya, helped contain the rival effort. One critical element was the emergence of an informal “Troika” of Norway, the United Kingdom and the United States, developed by individuals with deep knowledge of Sudan. With the United States exerting particular pressure on the parties, the Troika worked to strengthen the IGAD process and keep other potential mediators at bay. Representatives of the AU, UN and Italy later joined as formal “observers” of the process as it moved forward to the Comprehensive Peace Agreement (CPA) signed in early 2005 which later led to South Sudan’s independence in 2011 ending Africa’s longest running civil war. b) Kenya 2008 Post-Election Violence Mediation. The crisis that developed in Kenya in early 2008, after the announcement of contested results of its presidential elections, was a shock to the international community. Its rapid and violent escalation prompted a chorus of appeals for resolution from regional and international actors. Recognition of the need for a unified effort contributed to the establishment by the AU of a Panel of Eminent African Personalities, composed of former UN Secretary-General Kofi Annan as chief mediator, former President Benjamin Mkapa of Tanzania and Mrs. Graça Machel, former first lady of both Mozambique and South Africa. 6 The mediation led by Annan, who arrived in Kenya on 22 January 2008 where he remained fully committed to the effort until agreement was reached on 28 February 2008. He drew upon consistent support from external actors and this not only facilitated his unique standing, but also reflected a determined effort on his part. He took time to communicate to all involved actors (including the United States) that his track was the central avenue for resolving the crisis and asked others not to act when such action did not contribute to his process. Internal cohesion was helped by the staffing of his team with officials from the AU and UN, as well as the HD Centre; their shared respect for Annan contributed to a noted absence of institutional rivalries seen in other hybrid efforts. The urgency of the crisis encouraged unity of purpose and contributed to Annan’s robust support from within Africa and also the European Union, United Kingdom and United States. Classification of Mediators Exogenous Mediators This mediator comes from outside the conflict hence they are able to maintain some distance from the stress and strain of the conflict. This type approaches the task of mediation from a fresher and independent perspective. Endogenous Mediators This mediator comes from within the conflict with the advantage of being prone to the history, dynamics and politics of the conflict. However, this can affect the efficiency of the peace process as some endogenous mediators may have other self-interest motives other than purely helping the conflicting parties to reach an agreement. Heterogeneous Mediators. This is interventions of actors having both endogenous and exogenous characteristics. The Structure of International Mediation. I. The Mediation Environment The concept of ripeness was developed by William Zartman based on his study of ethno-political conflicts. He had in mind a low-hanging fruit that can only be picked when it is ripe, emphasizing that there indeed is a correct timing to resolve a conflict. The ripeness theory of conflict is an Alternative Dispute Resolution theory that helps us in determining whether mediation is the right approach in a given moment. It is useful to determine whether conflicts are ‘ripe’ to be mediated or whether other 7 approaches might be more appropriate as mediation is sometimes not the best form for a peaceful settlement of a conflict in every situation and at every point in time. There might be moments in which other instruments might be more promising. The concept of ripeness therefore, helps us to assess when a conflict is ripe to be mediated and options for conflict managers in case the conflict is not ripe (e.g. shuttle mediation). Zartman argues that one of the keys to successful conflict resolution lies in the timing of efforts for resolution. Parties resolve their conflict only when they are ready to do so—when alternative, usually unilateral, means of achieving a satisfactory result are blocked and the parties find themselves in an uncomfortable and costly predicament. At this point, they grab on to proposals that usually have been in the air for a long time and that only now appear attractive. The notion of ripeness is critical for policy makers in the post-Cold War era who seek to mediate disputes in the international arena. It is also highly relevant for conflicting parties themselves as they assess their courses of action. “Ripeness of time is one of the absolute essences of diplomacy,” wrote John Campbell The success of conflict settlement and resolution is attributable not to a particular procedure chosen but to the readiness of the parties to exploit opportunities, confront hard choices, and make fair and mutual concessions. The ripeness theory of conflict states that two conditions are necessary for parties to enter into ADR: both sides must be in a hurting stalemate and both sides must be optimistic about successful mediation outcome. Only when these two factors are present is a conflict ripe for ADR. Hurting stalemate First, there is an argument that ethnic conflicts are often too intense for effective intervention, hence combatants should be allowed to exhaust each other, and also their desire for peace to grow, before intervention is attempted. In this situation, parties find themselves in a position where they are hurting badly. Yet, they cannot move away from this positionn as they face the risk of losing face or stakeholders present in the conflict. They are essentially in a stalemate, one that is hurting them badly. This process and realization are very important as parties must be aware that the conflict is costing them and that prolonging it will give them no gain. Optimistic about an outcome 8 Parties must furthermore be optimistic about a possible outcome of a way out. They must genuinely believe that with the aid of a third party, their hurting stalemate can come to an end. This is an element that parties must perceive. Impressions of this third party (often a mediator) are therefore very important. If parties believe their mediator can lead to successful conflict resolution, then the conflict will be ripe for ADR. What can be done in case a conflict is not ripe to be mediated? How can mediators contribute to ripen the conflict? What is shuttle mediation? Mediators can be in a unique position that will require them to ‘create’ to create the ripe moment by using strategies like shuttle diplomacy. (Whereby they will engage privately and separately with both the conflicting parties and foster an environment that will lead to both parties coming together and having the dialogue together as a unit rather than individually, and eventually even getting them to be in the same room with each other will be considered progress). The ripe moment can also be a perceptual event, not one that stands alone in objective reality; it can be created if outside parties can cultivate the perception of a painful present. If the parties do not recognize “clear evidence” (in someone else’s view) that they are in an impasse, and the ripeness has not (yet) occurred, and if they do perceive themselves to be in such a situation, no matter how flimsy the “evidence,” the ripeness mediation is present. However, the greater the objective evidence, the greater the subjective perception of a stalemate and its pain is likely to be, and this evidence is more likely to come late, when all other courses of action and possibilities of escalation have been exhausted. II. Phases in Mediation The mediation process usually goes through three main phases; i. Introduction phase ii. Middle phase iii. Closing phase The Introduction phase takes place when the mediator and the conflicting parties lay ground rules for the mediation process. The conflicting parties lay down their demands, wants, interests in preparation for the second phases. (All this take place after the conflicting parties have already agreed to a suitable 9 mediator and discussed other nitty gritties - like where the mediation process will be held, its commencing date etc.) The Conflicting parties must clarify and explain the situation, to determine where exactly the conflict of interests lie. Then, each party must thoroughly examine their own interests, and set reasonably aspirations. The parties should then begin to solve conflict together in the next phase. The Middle Phase- this is when the mediator and the conflicting parties discuss the issues in- depth and try to find solutions for the same. Parties may begin by first agreeing on an overarching formula for how talks will proceed. In this phase, parties must be firm about their basic interests, flexible about how those interests may be satisfied, and remain responsive to the other party's interests. If there are many issues at stake, then the parties will need to develop an agenda. Usually it is best to put the easiest issues first on the agenda and can deciding that no agreement is final until all the other issues are addressed as well. Sometimes, a party's interests can be psychologically and such psychological linkages must be broken down to increase the parties' flexibility and increase the potential for an integrative solution. The Closing Phase- this is where parties agree with the various resolutions, consent to its drafting and make commitment and strategies for its implementation. III. Types / Strategies of Mediation. The strategies that mediators use affect the outcomes of their efforts to manage conflictThe strategies mediators use is based on a number of things inclusive of; the context and dynamic of the conflict, willingness of the parties to accommodate each other in finding a solution, the countries involved or the available resources for the mediation process. Three main mediation strategies are; Communicative strategy Evaluative strategy Facilitative strategy. Facilitative Mediation In the 1960's and 1970's, there was only one type of mediation being taught and practiced, which is now being called "Facilitative Mediation". In facilitative mediation, the mediator structures a process to assist the parties in reaching a mutually agreeable resolution. The mediator asks questions; validates and normalizes parties' points of view; searches for interests underneath the positions taken 10 by parties; and assists the parties in finding and analysing options for resolution. The facilitative mediator does not make recommendations to the parties, give his or her own advice or opinion as to the outcome of the case, or predict what a court would do in the case. The mediator is in charge of the process, while the parties are in charge of the outcome. Facilitative mediators want to ensure that parties come to agreements based on information and understanding. They predominantly hold joint sessions with all parties present so that the parties can hear each other's points of view, but hold caucuses regularly. They want the parties to have the major influence on decisions made, rather than the parties’ attorneys. Facilitative mediation grew up in the era of volunteer dispute resolution centres, in which the volunteer mediators were not required to have substantive expertise concerning the area of the dispute, and in which most often there were no attorneys present. The volunteer mediators came from all backgrounds. These things are still true today, but in addition many professional mediators, with and without substantive expertise, also practice facilitative mediation. Evaluative Mediation Evaluative mediation is a process modelled on settlement conferences held by judges. An evaluative mediator assists the parties in reaching resolution by pointing out the weaknesses of their cases, and predicting what a judge or jury would be likely to do. An evaluative mediator might make formal or informal recommendations to the parties as to the outcome of the issues. Evaluative mediators are concerned with the legal rights of the parties, rather than their needs and interests, and evaluate based on legal concepts of fairness. Evaluative mediators meet most often in separate meetings with the parties and their attorneys, practicing "shuttle diplomacy". They help the parties and attorneys evaluate their legal position and the costs vs. the benefits of pursuing a legal resolution rather than settling in mediation. The evaluative mediator structures the process, and directly influences the outcome of mediation. Evaluative mediation emerged in court-mandated or court-referred mediation. Attorneys normally work with the court to choose the mediator, and are active participants in the mediation. The parties are most often present in the mediation, but the mediator may meet with the attorneys alone as well as with the parties and their attorneys. There is an assumption in evaluative mediation that the mediator has substantive expertise or legal expertise in the substantive area of the dispute. Because of the connection between evaluative mediation and the courts, and because of their comfort level with settlement conferences, most evaluative mediators are attorneys. 11 Transformative Mediation Transformative mediation is the newest concept of the three, named by Folger and Bush in their book The Promise of Mediation in 1994. Transformative mediation is based on the values of "empowerment" of each of the parties as much as possible, and "recognition" by each of the parties’ needs, interests, values and points of view. The potential for transformative mediation is that any or all parties or their relationships may be transformed during the mediation. Transformative mediators meet with parties together, since only they can give each other "recognition". In some ways, the values of transformative mediation mirror those of early facilitative mediation, in its interest in empowering parties and transformation. Early facilitative mediators fully expect to transform society with these pro-peace techniques. And they did. Modern transformative mediators want to continue that process by allowing and supporting the parties in mediation to determine the direction of their own process. In transformative mediation, the parties, structure both the process and the outcome of mediation, and the mediator follows their lead. Issues, Dilemmas and Interests in International Mediation Issues. 1. Sovereignty Issues- involving adversaries with incompatible claims to a specific piece of territory. 2. Ideology Issues- focusing on the nature of a political system, basic values or beliefs. 3. Security Issues- concerning frontiers, borders and territories. 4. Issues of Self-Determination and national selfhood in independence conflicts. Dilemmas. 1. Mediators can be torn between the short-term goal of ending bloodshed vs the long-term goal of resolving the conflict. 2. Conflicting parties can at times demand for settlements that violate international laws and norms and are inconsistent with the principles of national and international justice and fairness. 3. Conflict settlements at times to not ensure reconciliation or removal of the causes of conflict hence the chance for conflict re-entry is usually high after such agreements. Interests/ Motives. At times, both state and non-state actors can get involved as third-party managers in a conflict for other reasons/ pursuits other than facilitating the conflict management processes. These include; seeking a positive public image and status in the international system that will foster/help them achieve their national interests, and non-state actors especially individuals can seek for positive personal/ professional status that will enhance their political standing in the international arena. 12 Nexus between mediation, negotiation, arbitration and litigation. This section will help us understand the relationship between mediation and the other modes and practices of conflict management, which include negotiation, arbitration and litigation. These specific modes and practices of conflict management have the aspect/ characteristic of third-party intervention (in the case for negotiation, it leads to mediation) hence share various similarities and differences when contrasted against each other. These can be found in their meaning/ definition, processes, representation of interests, roles of third-party intervenors, nature of the processes, process outcomes (settlement or resolution) and ability for post-conflict relationship reconstruction. Negotiation Negotiation is a process in which parties with conflicting interest come together to discuss and decide the outcome which can be adopted to manage and resolve the dispute. When the conflicting parties fail to reach an agreement or move forward with their conflict resolution process, they will seek the help of a third party that will help facilitate the whole process. This then develops into mediation which is a method of dispute resolution in which an independent third party assists the parties to conflict in resolving their disputes. Similarities Both modes involve dialogue among the conflicting parties. Both modes provide for cooperation among the conflicting parties. Both modes lead to outcomes that are non-binding. Both modes require voluntary participation from conflicting parties. Both modes provide for an environment that fosters post-conflict re-building of relationships among conflicting parties. Differences Negotiation Mediation No presence of a third party. Presence of a third party. Representatives of the parties to conflict meet to discuss their interests and issues. A mediator meets both parties jointly or separately, to talk about the conflicting issue. Interests are represented either by the party members themselves or by the representatives appointed by them. A mediator represents and guides the discussion of the interests of the parties concerned. Parties discuss and decide a possible outcome, which is acceptable to both. The mediator facilitates the process of the conflict management and this will determine whether the parties reach an agreement or not 13 Arbitration Mediation refers to a process of resolving disputes wherein an independent third party, assist the parties involved in arriving at solution, agreeable to all. Arbitration on the other hand is a substitute of public trial, with no need of going court, wherein an independent third party (arbitrator) analyses the entire conflict situation and decides binding on the parties. The key difference between mediation and arbitration lies in the nature of the judgement taken by the experts. While the decision taken by the arbitrator is binding on the parties, the mediator does not make the judgement but helps the parties in arriving at an agreement. Similarities Both involve a third party in the conflict management process and outcomes. Differences Arbitration Mediation Decisions binding. Decisions non-binding The arbitrator analyses the dispute, hears the parties involved, gathers facts, evaluates the evidences and arguments put forward by the parties and then decides on the conflict. Involves dialogue and communication between the parties as they try to address/solve their conflicting interest and issues. Only evidentiary hearings, no private meetings with the arbitrator. Meeting between the parties concerned and the counsel takes place jointly and separately. Arbitration is adversarial in nature; two conflicting parties against each other. Mediation is collaborative, i.e. where two parties work together to arrive at a decision. Arbitration is a formal process, much like that of a court room proceeding. The arbitrators have full control on the process and the outcome. The process of mediation is an informal as it decided on by the conflicting parties and their mediator. The parties concerned, have entire control on the mediation process and the outcome. Litigation Also, commonly known as judicial settlement. It is a form/ process of conflict management that involves the conflicting parties taking their conflict/case to court which will be decided on by court appointed judges or a panel of judges. Similarities. 14 Both involves the intervention of third-party conflict managers. Both can be time consuming. Differences Litigation Judicial decisions are binding. Non-voluntary process. Parties must appear before the judge when summoned. Judge can subpoena information from parties. Very expensive compared to mediation Follow strict procedures, rules, structures and processes. Emotionally draining and unpredictable especially during the deliberation part of the process when both parties have to wait on the judge to decide/ provide a ruling on their case and at the same time carrying the weight of uncertainty as to what the outcome may mean for both of them. Does not provide for the opportunity nor environment for post conflict rebuilding/mending of relationships between conflicting parties. Mediation Agreements are non-binding unless agreed upon by the conflicting parties. Voluntary process that requires the will a participation of the conflicting g parties for it to yield any results. Mediators cannot subpoena information from their parties. Less expensive compared to litigation. Very flexible (the mediators and conflicting parties have the freedom to come up with their own structures and way of operation for the mediation process. There is always some for of communication and dialogue between the mediator and the conflicting parties both in the process of mediation and also in determining the outcome. Provides for the opportunity/ environment for post-conflict rebuilding/ mending of relationship. Case study Endorois Community vs Kenyan Government. Somalia vs Kenya in the ICJ 15