What is an Intermediary?
In the field of conflict resolution, intermediary and third party are interchangeable terms that refer to a person or group of people who enter a conflict in order "to help the disputing parties manage, analyze, or resolve their disputes."[1] Intermediaries can be informal or formal. Some third parties get drawn into the role by association or circumstance. For example, an informal intermediary could simply be a friend who is asked to mediate an interpersonal dispute between acquaintances. Formal intermediaries, on the other hand, are professionals hired specifically to perform the third party role.
Types of Formal Third Parties
There are several types of formal intermediaries who help resolve conflicts. They include facilitators, mediators, negotiators (sometimes lawyers), arbitrators, and judges. Facilitators generally possess the least power to influence outcomes. Their job is to help establish effective communication between parties (see facilitation).They will set agendas for meetings between the parties, and control communication in those meetings to keep the parties on track and moving forward toward their goals. They can also help the parties determine or alter their goals, and assess whether a particular option or decision meets those goals. But the ultimate decisions are up to the parties themselves. Thus, facilitators have no authority over the final outcome of the decision process.[2]
Mediators tend to have more control over the resolution process than facilitators. They bring the parties together to help structure the process that will be used, and meet with the parties together and separately to sort out the key issues in dispute. The job of problem-solving mediators is to help parties develop mutually satisfactory solutions. (Facilitators rarely have such a distinct charge.) Transformative mediators, on the other hand, are more focused on strengthening relationships between parties (see problem-solving mediation and transformative mediation). Although mediators do not have authority over the outcome of the mediation process, they may identify and suggest potential solutions to the problem. They also serve an important role in terms of reframing the positions of the parties in ways that are more conducive to reaching agreement.[3]
Negotiation is a search for common ground that will result in a settlement between disputing parties (see negotiation and compromise).[4] Everyone negotiates all the time -- with one's children, one's associates, and one's friends, about minor matters as well as large ones. Lawyers, however, represent one type of formal negotiator when they are hired to negotiate for another party. Though lawyers are trained in adversarial procedures, namely litigation, they often become involved in negotiating settlements outside of the courtroom.[5] In such a situation, it is not simply one person working between the parties as with mediation. Instead, there are at least two lawyers, one representing each side, negotiating with one another based on the interests of their clients.
Arbitrators are the most powerful formal intermediary. This is because they have the power to make a final, binding decision that usually cannot be appealed. In this sense, arbitrators are even more powerful than judges, as the latter's decisions can be appealed. Yet judges are still the most formal of intermediaries. This is primarily based on the rigidity and formality of the court system and its procedural protections, such as the guarantee of due process under the law. More information about the roles these intermediaries play can be found in the associated articles on negotiation, mediation, and arbitration of intractable conflicts.
[1] Heidi and Guy M. Burgess, Encyclopedia of Conflict Resolution (Denver, CO: ABC-CLIO, 1997), 148.
[2] Roger M. Schwartz, The Skilled Facilitator: Practical Wisdom for Developing Effective Groups (San Francisco: Jossey-Bass, 1994), 8.
[3] For a thorough discussion of the role of mediators, see: Christopher W. Moore, The Mediation Process, 2nd Edition (San Francisco: Jossey-Bass Publishers, 1996).
[4] For a thorough discussion of negotiation, see: Roy J. Lewicki, David M. Saunders, and John W. Minton, Negotiation, 3rd Edition (San Francisco: Irwin McGraw Hill, 1999).
[5] D.K. Sampath, Negotiation and Settlement Advocacy, available from http://www.crinfo.org/documents/crci/1_Sampath1r.pdf
Use the following to cite this article:
Spangler, Brad. "Formal Intermediaries." Beyond Intractability. Eds. Guy Burgess and Heidi Burgess. Conflict Research Consortium, University of Colorado, Boulder. Posted: September 2003 <http://www.beyondintractability.org/essay/formal_intermediaries/>.
Sources of Additional, In-depth Information on this Topic
Additional Explanations of the Underlying Concepts:
Online (Web) Sources
Facilitating For Results: A Task-Oriented Approach To Reaching Consensus And Taking Action.
Available at: Click here for more info.
This web site offers a succinct how-to guide to facilitating, goal-setting, and action planning with large, often public audiences. Its elements, however, can be applied to organizations and small groups as well.
Stepp, Jessica A. How Does the Mediation Process Work?.
Available at: http://www.mediate.com/articles/steppJ.cfm?nl=18.
This articles gives an over view of the six steps to formal mediation: 1) introductory remarks; 2) statement of the problem by the parties; 3) information gathering time; 4) identification of the problems; 5) bargaining and generating options; and 6) reaching an agreement.
Sampath, D.K. Negotiation and Settlement Advocacy.
Available at: http://www.crinfo.org/documents/crci/1_Sampath1r.pdf.
This article explains what negotiation is and examines how lawyers may engage as formal intermediaries in the process. The article describes the role of the negotiator as well as various aspects of the process including how to get past obstacles and the skills necessary to be an effective negotiator.
Offline (Print) Sources
Goldberg, Stephen B., Nancy H. Rogers and Frank E.A. Sander. Dispute Resolution: Negotiation, Mediation and other Processes, 3rd Edition. Aspen, CO: Aspen Publishers, Inc., June 1999.
This 3rd edition of Dispute Resolution: Negotiation, Mediation, and Other Processes gives an overview of dispute resolution processes, looks at dispute resolution and the justice system, and examines the future of ADR. The work is comprised of excerpts from a large number of key works in the dispute resolution field.
Haagen, Paul H., ed. Arbitration Now: Opportunities for Fairness, Process Renewal and Invigoration. New York: American Bar Association Section of Dispute Resolution, 1999.
This volume is a collection of essays emerging from a conference entitled, Arbitration: Preparing for the Twenty-First Century, that was sponsored by the ABA Section of Dispute Resolution and the Association of the Bar of the City of New York in the Fall of 1998. The essays cover many of the current challenges posed by the expansion of arbitration as well as several essays that concentrate on ethical codes and issues for arbitrators.
Botes, Johannes. "Informal Roles." In Conflict: From Analysis to Intervention. Edited by Druckman, Daniel, Larissa Fast and Sandra Cheldelin, eds. New York: Continuum, 2003.
This brief chapter provides some clear comparisons between formal and informal third-party intervention. It explores different types of informal third-party intervention and offers some thoughts on how some new approaches to research could help generate more a precise description of informal third-party intervention.
Dauer, Edward A. Manual of Dispute Resolution: ADR Law and Practice, Vol. 1. Colorado Springs, CO: McGraw-Hill, Inc., May 1994.
This book is intended to provide ADR practitioners with a broad and accessible treatment of the law and the practice of alternative dispute resolution. It includes discussion of the all the primary intermediary processes (court-based and not), as well as lesser-used procedures. Click here for more info.
Kressel, Kenneth. "Mediation--Overview." In The Handbook of Conflict Resolution: Theory and Practice. Edited by Deutsch, Morton and Peter T. Coleman, eds. San Francisco: Jossey-Bass Publishers, 2000.
This chapter offers a concise, but informative look at the theory and practice of mediation. The author describes the mediator's role and discusses a range of research regarding this third party process including conditions for effective mediation, factors that determine when mediation may be useful. A portion of the chapter focuses specifically on mediator behavior and style. There is also a section addressed to mediation practitioners and trainers.
Folberg, Jay and Alison Taylor. Mediation: A Comprehensive Guide to Resolving Conflicts Without Litigation. San Francisco: Jossey-Bass Publishers, April 1, 1984.
This is a slightly earlier book on the process of mediation, which was aimed at helping professionalize and institutionalize the practice. It pulls together what was known about mediation at the time into a fairly comprehensive work. The authors trace the historical evolution of mediation and discuss its uses in various social and cultural contexts. They also outline the stages of mediation, the concepts useful for developing mediation skills, and various approaches to the process. Click here for more info.
Lewicki, Roy J., David Saunders and John Minton. Negotiation, 3rd Edition. Burr Ridge, IL: Irwin-McGraw Hill, 1999.
This is a comprehensive textbook on the conflict resolution process of negotiation. It covers a multitude of aspects of negotiation including fundamentals such as negotiation's different forms and the associated tactics. It discusses various subprocesses of negotiation and different contexts in which negotiation may occur. Lastly, it includes a chapter on how to deal with particularly difficult negotiations. Click here for more info.
Moore, Christopher W. The Mediation Process: Practical Strategies for Resolving Conflict, 2nd Edition. San Francisco: Jossey-Bass Publishers, 1996.
This book discusses the characteristics of mediation and the increasing breadth of situations in which mediation has come to be used for resolving disputes. It offers a multitude of practical advice for how to actually carry out the mediation process. It is one of the most comprehensive works on the subject. Click here for more info.
Schwartz, Roger M. The Skilled Facilitator: Practical Wisdom for Developing Effective Groups. San Francisco: Jossey-Bass Publishers, April 1, 1994.
This book provides consultants, managers, and leaders with a practical reference for guiding groups toward achieving their creative and problem-solving goals. It does a nice job of describing the role that a facilitator should play in helping groups communicate effectively.
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Examples Illustrating this Topic:
Online (Web) Sources
ADR Options: A Spectrum of Processes.
Available at: http://www.directionservice.org/cadre/other.cfm.
This article provides brief descriptions of a number of dispute resolution processes, ranging from informal discussion to formal adjudication.
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Audiovisual Materials on this Topic:
Offline (Print) Sources
Security Council . First Run Icarus Films. 1982.
The film reviews several United Nations Security Council cases involving disarmament and arms limitation agreements, security guarantees, deadlines, and sanctions. It explains the role formal intermediaries and elite leaders play in the enacting and enforcing of UN policies. Click here for more info.
War and Peace in Ireland . Directed and/or Produced by: MacCaig, Arthur. First Run Icarus Films. 1998.
This film shows how intermediaries aided Northern Ireland's peace process. Click here for more info.
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