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2015 IAP2 North American Conference

All in the Modern Family: The Intersection of Public Participation, Public Policy, Facilitation,

Mediation & Organizational Development.

Sam Imperati, J.D. │ (503) 244‐1174 │ Portland, OR www.ICMResolutions.com │© 2015 except Cartoons

Introduction There are multiple disciplines facilitating conversations at the organizational and community levels with differing approaches, skill sets, and professional codes. We will explore the intersections of the following disciplines, which at times, seem balkanized: Public Participation, Organizational Development, Facilitation, and Mediation. We will examine their varying approaches to determine where they overlap and where projects need one discipline versus another. By engaging in a facilitated conversation, we will likely find that an integrated approach is often best for sponsors, participants, and the public.

LEARNING OBJECTIVES:

A) Explore Public Participation, Facilitation, Mediation, and Organizational Development; B) Consider how these approaches differ and how they overlap; C) Discuss the advantages and disadvantages associated with a “hybrid” approach; and D) Identify ways to present a fuller array of options to the sponsors and participants.

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Core Standards / Codes of Ethics(Topics listed in the order they appear in the respective codes.)

MEDIATION Core Standards

– OMA – http://www.omediate.org/p

g61.cfm

PUBLIC POLICY CONFLICT RESOLUTION

Ethical Guidance for Members of the Environment and Public Policy Section

– ACR EPP – http://www.mediate.com/ACREPP/

FACILITATION Values/Code of Ethics

– IAF – www.iaf‐world.org

PUBLIC PARTICIPATION Code of Ethics

– IAP2 – http://www.iap2.org/?8

Organization Development Ethical Guidelines

– ODN/ODI/ISOD/et al – http://www.theodinstitute.org/od‐library/code_of_ethics.htm

I. Self Determination I. Self Determination 1. Client Service 1. Purpose 1. Responsibility to Self

II. Informed Consent II. Impartiality 2. Conflict of Interest 2. Role of Practitioner 2. Responsibility for

Professional Development and Competence

III. Impartial Regard

III. Conflicts of Interest 3. Group Autonomy 3. Trust 3. Responsibility to Clients

and Significant Others

IV. Confidentiality IV. Competence 4. Process, Methods & Tools 4. Defining Public’s Role 4. Responsibility to the Profession

V. Process and Substantive Competence V. Confidentiality 5. Respect, Safety, Equity & Trust 5. Openness 5. Social Responsibility

VI. Good Faith Participation VI. Quality of the Process 6. Stewardship of Process 6. Access to the Process

VII. Fees

VII. Ads and Solicitation 7. Confidentiality 7. Respect for

Communities

VIII. Ads and Solicitation VIII. Fees 8. Professional Development 8. Advocacy

IX. Dual‐Roles and Hybrid IX. Advancement of the Practice 9. Commitments

X. Mediation Practice X. Maintaining Integrity of Profession

10. Support of the Practice

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A. Preambles NOTE: The following tables group the code elements differently for comparison purposes. The text of the codes has been edited for brevity.

Mediation Core Standards of Mediation

Practice OMA

(Revised April 23, 2005)

Public Policty Conflict Resolution

Ethical Guidance for Members of the Environment and Public

Policy Section ACR EPP

(Adopted September, 2011)

Facilitation Draft Statement of Values and Code of Ethics for Facilitators

IAF (Adopted May 21, 2002)

Public Participation Code of Ethics for PP

IAP2

(Adopted September 2000)

Organizational Development

Note*

Preamble Educational tool to: (1) guide mediators in Oregon in the practice of mediation, (2) inform participants about mediation, and (3) promote public trust and confidence in mediation as an effective and productive process for resolving disputes. These Core Standards recognize that the role of mediator is complex, individual practice areas vary, and a full spectrum of personal, professional, and cultural diversity surrounds mediator approaches.

Introduction/Definitions This document offers a collection of guides to ethical behavior for members of the Association for Conflict Resolution’s (ACR’s) Environment and Public Policy (EPP) Section. It contains one set of voluntary guidance from the EPP Section and two sets of guidance adopted by the full association. These principles and guidelines follow the organization, and often draw on the text, of the Model Standards of Conduct for Mediators. References in

Preamble Facilitators are called upon to fill an impartial role in helping groups become more effective. We act as process guides to create a balance between participation and results. [W]e recognize the importance of defining and making known the values and ethical principles that guide our actions. [R]ecognizes the complexity of our roles, including the full spectrum of personal,

Preamble Members recognize the importance of a Code of Ethics, which guide the actions of those who advocate including all affected parties in public decision‐making process. We hold ourselves accountable for these principles. The Code of Ethics supports and reflects IAP2’s Core Values. Core Values define the expectations and aspirations of the public participation process.

Preamble

The purposes of developing an International O. D. Code of Ethics are threefold: to increase professional

and ethical consciousness among O. D. professionals and their sense of ethical responsibility;

to guide O. D. professionals in making more informed ethical choices; and

to help the O. D. profession itself function at the fullness

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Not intended to dictate conduct in a particular situation, define “competency,” establish “best practices,” or create a “standard of care.” They are not intended to be disciplinary rules. The use of the word “should” is intended to guide, not limit the exercise of the mediator’s individual judgment When these Core Standards conflict with or are silent on subjects covered by applicable laws, regulations, professional licensing rules, professional ethical codes, or contracts by which the mediator may be bound, mediators should be aware and make participants and others in attendance aware that those requirements may take precedence over these Core Standards.

the Committee Discussion to the “Model Standards” are to the 2005 version of the Model Standards of Conduct for Mediators. The Model Standards stem from a collaboration of ACR, the American Bar Association, and the American Arbitration Association.

professional and cultural diversity in the IAF membership and in the field of facilitation. Members of the IAF are committed to using these values and ethics to guide their professional practice. These principles are expressed in broad statements to guide ethical practice. They provide a framework and are not intended to dictate conduct for particular situations. We set aside our personal opinions and support the group's right to make its own choices.

Core Values

1. Public should have a say in decisions.

2. Includes promise that the public's contribution will influence the decision

3. Communicate the interests and meet the process needs of all participants.

4. Seeks out and facilitates the involvement of those potentially affected.

5. Involves participants in defining how they participate.

6. Provides the information they need to participate in a meaningful way.

7. Communicates to participants how their input affected the decision.

of its potential.

To exist as a profession, a substantial consensus is necessary among the members of our profession about what we profess, particularly our values and ethics.

Note* The material in this column is derived from “A Statement of Values and Ethics in Organization and Human Systems Development,” 22nd version. It has been widely adopted and expanded upon by a variety of organizations practicing OD and HSD.

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B. Definitions

OMA ACR EPP IAF IAP2 OD Mediation is defined in Oregon as “. . . a process in which a mediator assists and facilitates two or more parties to a controversy in reaching a mutually acceptable resolution of the controversy and includes all contacts between a mediator and any party or agent of a party, until such time as a resolution is agreed to by the parties or the mediation process is terminated.” (Oregon Revised Statutes 36.110(6)) (Emphasis added.) Approach is used in these Core Standards to signify the behaviors, philosophies, processes, styles, and techniques used by mediators to conduct mediation.

Process is a structured activity in which stakeholders jointly address an issue, problem, or dispute with the aim of building consensus and reaching a decision. It also includes structured activities where stakeholders build toward consensus and decision‐making, such as consultations or mutual fact‐finding or monitoring.

Facilitators are called upon to fill an impartial role in helping groups become more effective. We act as process guides to create a balance between participation and results. ‐ Preamble (Emphasis added.) Facilitation: is the use of a third party who is impartial toward the issues being discussed. A facilitator provides procedural assistance to group participants. He/she may enhance information exchange and promote effective decision‐making. The facilitator may or may not be a member of the group involved in the discussions. The facilitator has no decision making power.

Any process that involves the public in problem‐solving or decision‐making and that uses public input to make better decisions. (Emphasis added.) We define stakeholders as any individual, group of individuals, organizations, or political entity with a stake in the outcome of a decision. We define the public as those stakeholders who are not part of the decision‐making entity or entities. We define public participation as any process that involves the public in problem‐solving or decision‐making and that uses public input to make better decisions. ‐ Preamble

Organization Development is very difficult to define. Practitioners of “O.D.” range from the extremes of stopwatch‐wielding efficiency experts to mantra‐chanting spiritualists. The vast majority lie close to the center. One classic definition of organization development comes from Richard Beckhard’s 1969 Organization Development: Strategies and Models: Organization Development is an effort (1) planned, (2) organization‐wide, and (3) managed from the top, to (4) increase organization effectiveness and health through (5) planned interventions in the organizations "processes,” using behavioral‐science knowledge.

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“Collaborative dispute resolution process” means any process by which a CDR provider assists the participants in working together to develop a mutually acceptable resolution to a controversy. Does not include: (a) Contested case hearings; or (b) Meetings, outside of a collaborative rulemaking, in which a facilitator is used solely to lead an orderly meeting, manage an agenda or assist the group in accomplishing tasks and is not attempting to resolve a controversy … ‐ OAR 137‐001‐0005(3) ‐ OAR 137‐001‐0005 (6)

‐ Public Policy Research Institute and Consensus Building Institute http://cnrep.org/documents/tools/Collaborative_Processes.pdf

Other Definitions: "OD is a field directed at interventions in the processes of human systems (formal and informal groups, organizations, communities, and societies) in order to increase their effectiveness and health using a variety of disciplines, principally applied behavioral sciences. OD requires practitioners to be conscious about the values guiding their practice and focuses on achieving its results through people.” Arnold Minors, Arnold Minors & Associates, Toronto, Canada Source: http://www.odnetwork.org/?page=WhatIsOD

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C. Participants Involved

OMA ACR EPP IAF IAP2 OD “Clients” – Not Defined “Party” = “. . . a person, state agency or other public body is a party to mediation if the person or public body participates in a mediation and has a direct interest in the controversy that is subject of the mediation.” (Oregon Revised Statutes 36.234) “Participant” is used in the Core Standards because the term is less adversarial. The term “participant” does not include the mediator, representatives, or others in attendance.

“Clients” – Not Defined “Participant” means an individual (1) who is a decision‐maker or a representative of a decision‐maker and (2) who takes part in deliberations “at the table” in a process guided by a Section member. “Convener” means an individual, agency, organization, or other entity that brings persons together to address an issue, problem, or dispute—in other words, the convener initiates a process. This term also includes process sponsors (the entities paying a Section member to design or conduct a process) and referring courts.

“Clients” Our clients include the groups we facilitate and those who contract with us on their behalf. ‐ Section 1 Client Service (Emphasis Added.) We seek to have all relevant stakeholders represented and involved. ‐Section 5 Respect, Safety, Equity, and Trust

“Clients” – Not Defined “Stakeholders” [A]ny individual, group of individuals, organizations, or political entity with a stake in the outcome of the decision. ‐ Preamble “The Public” [T]hose stakeholders who are not a part of the decision‐making entity or entities. ‐ Preamble

“Clients” In practical terms, “clients” are those who contract with OD professionals. Often, clients are only indirectly affected by the OD work; often, a client will procure services for another part of the organization, often one subordinate to the client. The people who participate in the OD interventions or who are affected by the interventions have no defined name.

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Discussion Questions: To Whom Do We Owe a Duty of Care (Legally, Ethically & Practically)? Why?

D. Self‐Determination, Autonomy & Role

OMA ACR EPP IAF IAP2 OD I. Self Determination Mediators respect, value, and encourage the ability of each participant to make individual decisions regarding what process to use and whether and on what terms to resolve the dispute. Comments 3. Mediators should educate participants about the continuum of mediation approaches and identify the approaches the mediator practices.

I. Self‐Determination In designing or conducting a process, a Section member shall strive to let people make their own, informed decisions. A member may encourage people to keep open minds and reconsider their positions, but a member shall not undermine self‐determination to achieve consensus or settlement, to satisfy egos, to justify increased fees, or to respond to outside pressures.

3. Group Autonomy We respect the culture, rights, and autonomy of the group. We seek the group’s conscious agreement to the process and their commitment to participate. We do not impose anything that risks the welfare and dignity of the participants, the freedom of choice of the group, or the credibility of its work.

1. Purpose We support public participation as a process to make better decisions that incorporate the interests and concerns of all affected stakeholders and meet the needs of the decision‐making body.

I. Responsibility to Self A. Act with integrity; be

authentic and true to myself.

B. Strive continually for self‐knowledge and personal growth.

C. Recognize my personal needs and desires and, when they conflict with other responsibilities, seek all‐win resolutions of those conflicts.

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4. While a mediator cannot ensure that participants are making informed and voluntary decisions, mediators should help participants understand the process, issues, and options before them and encourage participants to make informed and voluntary decisions. 6. Participation in mediation is usually a voluntary process. Even when mediation is “mandatory,” participants who are unable or unwilling to participate effectively in the mediation process should be free to suspend or withdraw from mediation. Mediators should respect a participant’s informed decision to continue or end the process.

GuidelinesA. … 1. Although participant and constituency self‐determination for process design is a fundamental principle of dispute prevention and resolution practices, a Section member’s ability to ensure self‐determination varies with the nature of the process. A Section member may need to balance such participant and constituency self‐determination with the member’s duty to conduct a quality process in accordance with these Principles and Guidelines.

2. Role of Practitioner We will enhance the public’s participation in the decision‐making process and assist the decision‐makers in being responsive to the public’s concerns and suggestions. 4. Defining the Public’s Role We will carefully consider and accurately portray the public’s role in the decision‐making process.

D. Assert my own economic and financial interests in ways that are fair and equitable to me as well as to my Clients and their stakeholders.

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II. Informed Consent To fully support Self‐Determination, mediators respect, value, and encourage participants to exercise Informed Consent throughout the mediation process. This involves making decisions about process, as well as substance, including possible options for resolution. Initially and throughout the mediation process, mediators further support Self‐Determination by making appropriate disclosures about themselves and the specific mediation approaches they use.

2. A Section member cannot personally ensure that each participant and constituency has made free and informed choices to reach particular decisions, but, where appropriate, a Section member should make the participants and constituencies aware of the importance of consulting other sources and qualified advisors to help them make informed choices. …

Self‐determination means the ability to make free and informed choices about process and substance. ‐Definitions & Constructions

1. Client Service We are in service to our clients, using our group facilitation competencies to add value to their work. Our clients include the groups we facilitate and those who contract with us on their behalf. We work closely with our clients to understand their expectations so that we provide the appropriate service, and that the group produces the desired outcomes. It is our responsibility to ensure that we are competent to handle the intervention. If the group decides it needs to go in a direction other than that originally intended by either the group or its representatives, our role is to help the group move forward, reconciling the original intent with the emergent direction.

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Comments 2. Mediators should explain their approach, along with the roles of the mediator, participants, representatives, and others in attendance. 6. Mediators should make participants aware of the importance of consulting with other professionals to help them exercise Informed Consent and Self‐Determination.

4. Process, Methods and Tools We use processes, methods, and tools responsibly. In dialogue with the group or its representatives, we design processes that will achieve the group’s goals, and select and adapt the most appropriate methods and tools. We avoid using processes, methods, or tools with which we are insufficiently skilled, or which are poorly matched to the needs of the group.

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E. Conflicts of Interest

OMA ACR EPP IAF IAP2 OD III. Impartial Regard Mediators demonstrate Impartial Regard throughout the mediation process by conducting mediations fairly, diligently, even‐handedly, and with no personal stake in the outcome. Mediators avoid actual, potential, or perceived conflicts of interest that can arise from a mediator’s involvement with the subject matter of the controversy or the participants, whether past or present, that reasonably raise a question about the mediator’s Impartial Regard. Where a participant or the mediator questions the mediator’s ability to give Impartial Regard and the issue cannot be resolved, the mediator declines to serve or withdraws if already serving.

II. Impartiality When acting as a neutral, a Section member shall be impartial and shall avoid conduct that gives the appearance of partiality. If a member is engaged to act as a neutral and later finds that he or she cannot be impartial, the member shall withdraw from the work. Guidelines … B. … 1. A Section member shall not act with partiality or prejudice based on personal characteristics, background, values, and beliefs, performance at a process, or any other

6. Stewardship of Process We practice stewardship of process and impartiality toward content. While participants bring knowledge and expertise concerning the substance of their situation, we bring knowledge and expertise concerning the group interaction process. We are vigilant to minimize our influence on group outcomes. When we have content knowledge not otherwise available to the group, and that the group must have to be effective, we offer it after explaining our change in role.

8. Advocacy We will advocate for the public participation process and will not advocate for the interest, party, or project outcome.

III. Responsibility to Clients and Significant Others

A. Serve the long‐term well‐

being, interests, and development of the Client system and all its stakeholders, even when the work being done has a short‐term focus.

B. Conduct any professional

activity, program or relationship in ways that are honest, responsible, and appropriately open. …

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Comments: 1. Mediators should make reasonable inquiry, based upon practice context, whether there are facts that a reasonable person would consider likely to create a potential or actual conflict of interest. 2. Disclosure should include actual and potential conflicts of interest reasonably known to the mediator, as well as any present or prior relationship, personal or professional, between the mediator and any participant, representative, or other person in attendance. After disclosure or offer to disclose, a mediator may serve with the Informed Consent of all participants. 3. Mediators should guard against the potential impact on their Impartial Regard, even to the point of not

reason.…

EPP Ethics Committee Discussion … An objection of partiality from a single participant or other person does not always indicate a violation of this principle or its guidelines. The issue is what a reasonable person would consider likely to create bias in the particular context. If a serious objection is raised, a Section member should discuss it with the convener and participants. Impartiality means freedom from favoritism, bias, or prejudice in word, action, or appearance. ‐Definitions & Constructions

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serving, of a participant’s personal characteristics, background, values, beliefs, or conduct … [or] the mediator’s personal biases, views, or reactions to any position, argument, participant, representative, or other person in attendance. 4. Mediators should not influence participant decisions because of the mediator’s interest in higher settlement rates, increased fees, or non‐participant pressures from court personnel, program administrators, provider organizations, the media, the public, or others. Mediators do not knowingly misrepresent any material fact or circumstance in the course of the mediation process. 5. Mediators should explain or offer to explain that they are not acting on behalf of or representing any participant.

III. Conflicts of Interest When designing or conducting a process, a Section member shall avoid conflicts of interest or the appearance of a conflict of interest. Members who know of conflicts or apparent conflicts shall disclose them to clients and participants and shall withdraw from the work if a serious and reasonable objection is raised.

2. Conflict of Interest We openly acknowledge any potential conflict of interest. Prior to agreeing to work with our clients, we discuss openly and honestly any possible conflict of interest, personal bias, prior knowledge of the organization or any other matter which may be perceived as preventing us from working effectively with the interests of all group members. We do this so that, together, we may make an informed decision about proceeding and to prevent misunderstanding that could detract from the success or credibility of the clients or ourselves. We refrain from using our position to secure unfair or inappropriate privilege, gain, or benefit.

D. Deal with conflicts constructively and avoid conflicts of interest as much as possible.

I. Responsibility to Self … D. Assert my own economic

and financial interests in ways that are fair and equitable to me as well as to my Clients and their stakeholders.

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F. Confidentiality

OMA ACR EPP IAF IAP2 OD IV. Confidentiality Confidentiality is a fundamental attribute of mediation. Mediators discuss confidentiality issues as soon as practical and before confidential information is provided by anyone. Mediators are aware of, comply with, and make participants, representatives, and others in attendance aware of (or determine they already are aware of) laws and regulations regarding confidentiality, non‐discoverability, and inadmissibility of mediation communications, as well as any applicable exceptions. See, ORS Chapter 36. There are numerous statutory exceptions

V. Confidentiality When designing or conducting a process, a Section member shall encourage clients and participants to come to an early understanding about confidentiality. A member shall abide by those understandings as well as any laws regarding access to information or keeping of confidences. Guidelines A. Early in a process, before substantive discussions begin, a Section member shall promote understanding among the convener, participants, and others regarding confidentiality.

7. Confidentiality We maintain confidentiality of information. We observe confidentiality of all client information. Therefore, we do not share information about a client within or outside of the client’s organization, nor do we report on group content, or the individual opinions or behavior of members of the group without consent.

No Provision

II. Responsibility to Clients and Significant Others

… E. Define and protect the

confidentiality of my Client‐professional relationships.

F. Make public statements of all kinds accurately, including promotion and advertising, and give service as advertised.

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Comment 4. The obligation for mediators to protect the confidentiality of mediation communications includes the obligation not to communicate information about how participants acted during the mediation process. NOTE: Mediation communications are deemed confidential by ORS 36.220(1)(a). Communications relating to child or elder abuse may be an exception, depending on profession of origin of the mediator. Any meditation communication relating to child and/or elder abuse that is made to a person who is required to report child and/or elder abuse is not confidential to the extent the person is required to report the communication. See, ORS36.220(5)

…

NOTE: While there are no statutes directly addressing confidentiality in facilitation, facilitators, depending on their profession of origin, may be required to report communications relating to child or elder abuse. See, ORS 419B.010 and ORS 124.050 to 124.095.

NOTE: While there are no statutes directly addressing confidentiality in public participation processes, depending on their profession of origin, providers may be required to report communications relating to child or elder abuse. See, ORS 419B.010 and ORS 124.050 to 124.095.

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NOTE: Applicability of Oregon Public Meeting and Public Records laws. See, ORS Chapter 192 and Oregon Attorney General’s “Administrative Law Manual” and “Public Records and Meetings Manual”



DISCUSSION QUESTION: Why Does it Matter What a Process is Called?

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G. Competency

OMA ACR EPP IAF IAP2 OD V. Process and Substantive Competence Mediators fully and accurately represent their knowledge, skills, abilities, and limitations. They mediate only when they offer the desired approach and possess the level of substantive knowledge, skills, and abilities sufficient to satisfy the participants’ reasonable expectations. Comments 2. Mediators should have, maintain, and improve their process skills and substantive knowledge necessary to reasonably satisfy the expectations of the participants in the matters they mediate. 3. Mediators should strive to

IV. Competence A Section member shall take on work only when the member is competent to do the work. Guidelines A. A Section member shall provide services only when the member has the necessary competence to satisfy the reasonable expectations of the convener, participants, and constituencies. …

1. Client Service It is our responsibility to ensure that we are competent to handle the intervention. 4. Process, Methods and Tools We use processes, methods, and tools responsibly. We avoid using processes, methods, or tools with which we are insufficiently skilled, or which are poorly matched to the needs of the group.

No Provision II. Responsibility for Professional Development and Competence

… B. Strive to achieve and

maintain a professional level of competence for both myself and my profession by developing the full range of my own competence and by establishing collegial and cooperative relations with other O. D. professionals.

… D. Practice within the

limits of my competence, culture, and experience in providing services and using techniques.

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satisfy the reasonable process expectations of the participants by raising timing and pacing issues with the participants, representatives, and others in attendance.

2. Training, experience in the process, skills, cultural understandings, and other qualities are often necessary for competence in designing or conducting a process. A Section member who offers to design or conduct a process creates the expectation that the person is competent to perform effectively.

E. Practice in cultures different from my own only with consultation from people native to or knowledgeable about those specific cultures.

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H. Training, Certification, and Continuing Education

OMA ACR EPP IAF IAP2 OD Training Required:

For mediators in programs receiving state funds. See, OAR Chapter 718

For court mediators,

see the Chief Justice Order http://www.ojd.state.or.us/web/OJDPublications.nsf/Files/05cER001sh.pdf/$File/05cER001sh.pdf

Public Policy: PSU RFQ Certification There is no formal certification of competency – just completion: “seat time.” OMA moving in that direction.

IX. Advancement of the Practice Section members shall advance the profession by supporting diversity, access to dispute resolution services, research, education, and mentoring. IV. Competence Guidelines A. …

1. When designing or conducting a process, a Section member shall either have or promptly acquire enough familiarity with the subject matter to do so effectively. …

8. Professional Development We are responsible for continuous improvement of our facilitation skills and knowledge. We continuously learn and grow. We seek opportunities to improve our knowledge and facilitation skills to better assist groups in their work. We remain current in the field of facilitation through our practical group experiences and ongoing personal development. We offer our skills within a spirit of collaboration to develop our professional work practices.

10. Support of the Practice We will mentor new practitioners in the field and educate decision‐makers and the public about the value and use of public participation.

II. Responsibility for Prof/Dev and Competence

… B. Strive to achieve and

maintain a professional level of competence for both myself and my profession by developing the full range of my own competence and by establishing collegial and cooperative relations with other O. D. professionals.

…

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Training Opportunities Various training programs available through private trainers, some of which meet the state requirement for 30‐hour training. Additional training is available from colleges, workshops, & conferences. V. Competence Comment 3. A mediator should obtain necessary skills and substantive training, appropriate to his/her area of practice, and should upgrade those skills and training on an on‐going basis. OMA Model Guidelines For Private Practitioner Mediator Education, Training, And Experience Approved 12‐15‐2010 http://www.omediate.org/docs/Model%20Guidelines%20Amended%2012‐15‐10.pdf

3. A Section member who is active in process design and conduct shall, through educational programs or other means, maintain and enhance the member’s knowledge and skills in the processes for which the member provides services.

NOTE: The International Society of OD replaced the Organization Development Institute. Each provided two levels of limited “certification:” Registered OD

Professional (RODP), which required agreeing to abide by the ISOD Code of Ethics.

Registered OD Consultant (RODC) added an education requirement (masters or PhD in a related field of study) to the RODP requirement.

Source: http://www.theisod.org/index.php/membership

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I. Encourage Good Faith Participation

OMA ACR EPP IAF IAP2 OD VI. Good Faith Participation Mediators explain to the participants, representatives, and others in attendance that they can improve the mediation process and probability of success when they participate with an open mind throughout the process. Comment 2. In a manner that does not violate Confidentiality, mediators should discuss with the participants any concerns regarding Good‐Faith Participation and the impact of these concerns on the process and on the mediator’s Impartial Regard.

VI. Quality of the Process When designing or conducting a process, a Section member shall be diligent and attentive to the task; shall encourage broad representation of stakeholders; shall promote the safety, engagement, and competency of the participants; and shall promote mutual respect among all participants.

5. Respect, Safety, Equity, and Trust

We strive to engender an environment of respect and safety where all participants trust that they can speak freely and where individual boundaries are honored. We use our skills, knowledge, tools, and wisdom to elicit and honor the perspectives of all. We seek to have all relevant stakeholders represented and involved. We promote equitable relationships among the participants and facilitator and ensure that all participants have an opportunity to examine and share their thoughts and feelings. We use a variety of methods to enable the group to access the natural

3. TrustWe will undertake and encourage actions that build trust and credibility for the process among all the participants. 5. Openness We will encourage the disclosure of all information relevant to the public’s understanding and evaluation of a decision. 9. Commitments We ensure that all commitments made to the public, including those by the decision‐maker, are made in good faith.


A. Serve the long‐term

well‐being, interests, and development of the Client system and all its stakeholders, even when the work being done has a short‐term focus.

B. Conduct any professional activity, program, or relationship in ways that are honest, responsible, and appropriately open. …

D. Deal with conflicts constructively and avoid conflicts of interest as much as possible.

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X. Maintaining the Integrity of the Profession When designing or conducting a process, a Section member shall place the integrity of the process above personal interest and the interests of the client. In all professional endeavors, a member shall act in ways that demonstrate honesty, trustworthiness, and fitness to serve.

gifts, talents and life experiences of each member. We work in ways that honor the wholeness and self‐expression of others, designing sessions that respect different styles of interaction. We understand that any action we take is an intervention that may affect the process.

6. Access to the ProcessWe ensure that stakeholders have fair & equal access to the process & the opportunity to influence decisions. 7. Respect for Communities We will avoid strategies that risk polarizing community interests or that appear to “divide and conquer.”

E. Define and protect the confidentiality of my Client‐professional relationships.

F. Make public statements of all kinds accurately, including promotion and advertising, and give service as advertised.

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J. Dual‐Roles and Hybrid Processes

OMA ACR EPP IAF IAP2 OD IX. Dual‐role limitations Mediators engage only in the role(s) to which the participants consent during mediation or any hybrid process that includes mediation, e.g., “mediation ‐ arbitration” (“med‐arb”) or “arbitration ‐ mediation” (“arb‐med”). Mediators do not provide participants with legal advice, therapy, counseling, or other professional services during mediation without the prior Informed Consent of the participants. Mediators do not engage in any other services for any of the participants involving the same or significantly related issues, unless the other participants provide their Informed Consent. Consider the impact that

X. Maintaining the Integrity of the Profession When designing or conducting a process, a Section member shall place the integrity of the process above personal interest and the interests of the client. VI. Quality of the Process … Guidelines A. … … 5. The role of a neutral designing or conducting a process differs substantially from other professional roles. Mixing the role of a neutral with another role can confuse those interested or involved in the process,

6. Stewardship of Process We practice stewardship of process and impartiality toward content. While participants bring knowledge and expertise concerning the substance of their situation, we bring knowledge and expertise concerning the group interaction process. We are vigilant to minimize our influence on group outcomes. When we have content knowledge not otherwise available to the group, and that the group must have to be effective, we offer it after explaining our change in role.

No Provision No Explicit Provisions. However, ethical and practical provisions amply cover dual‐role situations. V. Social Responsibility … C. Promote justice and serve the well‐being of all life on Earth. …

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providing additional services for any participant may have on the other participants’ views of the mediator’s Impartial Regard. Comments 2. Dual roles can be challenging. Mediators should discuss with participants the differences between the various services. 3. Mediators who undertake a dual role assume additional obligations and potential liabilities.

and thus, a Section member taking on multiple roles should distinguish between them. A Section member may provide information to the participants that the member is qualified by training or experience to provide, only if the member can do so consistent with these Principles and Guidelines.

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K. Fees

OMA ACR EPP IAF IAP2 OD VII. Fees Mediators inform participants of the basis for any mediator compensation, fees, and costs, including the source of the payment, as soon as practical and prior to substantive discussions. Mediators charge reasonable fees, considering, among other things, the mediation service, the type and complexity of the matter, the expertise of the mediator, the time required, and the rates customary in the community.

VIII. Fees and Other Professional Charges When conducting a process, a Section member shall be reasonably candid about who is paying for the member’s services and related expenses. Early in the process, the member shall make participants aware of any fees they may owe. Guidelines A. … … 2. If a Section member charges fees, a member’s fee arrangement should be in writing.

No Provision

No Provision

No Explicit Provisions. Other Points Apply, However. I. Responsibility to Self … D. Assert my own

economic and financial interests in ways that are fair and equitable to me as well as to my Clients and their stakeholders.

III. Responsibility to Clients and Significant Others … C. Establish mutual

agreement on a contract covering services and remuneration.

…

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Comment 3 1. Mediators should not charge fees in a manner that impairs their Impartial Regard. Mediator may accept unequal payments, but should be attentive to the real or perceived impact unequal payments may have on the mediator’s Impartial Regard.

B. A Section member shall not charge fees in a manner that impairs the member’s impartiality. 1. A Section member shall not enter into a fee agreement that is contingent upon the result of the process.

2. While a Section member may accept unequal fee payments, the member shall not allow such a fee arrangement to adversely impact the member’s ability to conduct a process in an impartial, efficient, and competent manner.

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L. Advertising

OMA ACR EPP IAF IAP2 OD VIII. Advertising and Solicitation Mediators are truthful and not misleading by omission in advertising and solicitation activities. Mediators do not make promises or guarantees of specific results.

VII. Advertising and Solicitation When seeking work, a Section member shall be open and honest about qualifications, experience, services, and fees. A member shall not promise consensus or otherwise imply that the member will conduct a process in violation of these principles. In communicating with potential clients and participants, a member shall respect past clients’ and participants’ reasonable expectations regarding anonymity and confidentiality.

No Provision

No Provision


… F. Make public

statements of all kinds accurately, including promotion and advertising, and give service as advertised.

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Comment 2. Mediators should claim designations such as "certified," "qualified," or "advanced" only if such status has been granted to them by an entity that provides such designations to practitioners, the granting entity has a formalized procedure for granting such designations, that procedure is readily available for public review, the mediator currently holds the stated designation, and the mediator names the granting entity. Mediators are not “certified” simply because they have received a certificate of training completion.

Guidelines A. …

… 2. A Section member shall not claim to meet the professional qualifications of a governmental entity or private organization unless that entity or organization has a recognized procedure for qualification and grants such status to the member. 3. A Section member shall not claim a qualification that the member does not have. …

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M. Practice

OMA ACR EPP IAF IAP2 OD X. Mediation Practice Mediators act in a manner that enhances the integrity and quality of the mediation field. Comments 1. Mediators should participate in outreach and education efforts to assist the public in developing an improved understanding of and appreciation for mediation.

IX. Advancement of the Practice Section members shall advance the profession by supporting diversity, access to dispute resolution services, research, education, and mentoring. Guidelines A. … 4. Participating in outreach and education efforts to assist the public in developing an improved understanding of, and appreciation for, dispute prevention and resolution

IV. Responsibility to the Profession

A. Contribute to continuing

professional development for myself, other practitioners, and the profession.

B. Promote the sharing of

O. D. knowledge and skill.

C. Work with other O. D. professionals in ways that exemplary what our profession says we stand for.

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2. Mediators should improve and promote mediation by sharing their knowledge and skills through training, mentoring, and networking with others. 5. Mediators should work toward making mediation accessible to everyone in Oregon, including providing services at a reduced rate or on a pro bono basis, as appropriate. 6. Mediators should foster diversity in the field by reaching out to individuals with differing backgrounds and perspectives. 8. Mediators who charge a fee are encouraged to have malpractice insurance. 10. Mediators should offer to mediate any concerns about

5. Assisting newer professionals through training, mentoring, and networking

2. Striving to make dispute prevention and resolution services accessible to those who elect to use them, including providing services at a reduced rate or on a pro bono basis as appropriate.

1. Fostering diversity in the profession of dispute prevention and resolution.

D. Work actively for ethical practice by individuals and organizations engaged in O. D. activities and, in case of questionable practice, use appropriate channels for dealing with it.

E. Act in ways that bring

credit to the O. D. profession and with due regard for colleagues in other professions.

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their conduct raised by participants in their mediations in order to promote understanding between the participants and the mediator.

Voluntary Mediation Process For Resolving Disputes With OMA Mediators, Approved December 11, 2006

http://www.omediate.org/pg77.cfm 12. Mediators should be aware of and abide by rules governing the unlawful practice of law and unauthorized practice of psychology.

Discussion Questions: 1. Where Do These Disciplines Overlap? 2. Should Practitioners Move Freely Between them? 3. When Should We “Tag Team” a Fuss?

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