3007_ADR_YEAR_IV.pdf for alternative dispute resolution
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Apr 27, 2024
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About This Presentation
Help to study ADR
Size: 697.25 KB
Language: en
Added: Apr 27, 2024
Slides: 46 pages
Slide Content
By Ass.Prof.Dr.CaptShadat Ssemakula
LLB, LPC, LLM (UK),Mphil,(wales) PHD ( UK)
( Secretary Uganda Law Deans Forum)
09/JULY/2021
ADR IN UGANDA BY ASS.PROF.SHADAT S. MOHMED
INTRODUCTION:
WHAT IS ADR?
ADR Is a non-legal and informal process that the
parties enter voluntarily . This, the judiciary has
made it mandatory for the parties to a dispute,
This automatically means that parties to a dispute
who file a civil action in court, must first attempt
to settle to settle the dispute through mediation
before judge or a magistrate can hear it.
When there is a dispute, it warranties a
mechanism of resolving it, this can be through
mediation, arbitration, negotiation or
reconciliation. The Uganda Judiciary now
provides Court Annexed Mediation. The Centre
for Arbitration and Dispute Resolution (CADRE)
also provide for it. This is a statutory body
created by the Arbitration and Conciliation Act
Cap 4.
See Arbitration and Conciliation Act S.67 Cap 4.
LEGAL FRAMEWORK OF MEDIATION
•Construction of Uganda 1995
•The Civil Procedure (Amendment Rules) 1998
•The Judicature Act Cap 13
•The Judicature (Mediation Rules) 2013
•The Magistrate Court Act Cap 16
•Employment Act 2006
•The Land Act Cap 227
•The Local Council Courts Act 2006
•The Investment Code Act Cap 92
•Non-Performing Assets Recovery Trust Act Cap 95
•Practice Direction No.1 of 1996
•Tax Appeals Tribunal Act Cap 345
•Judicature Act, Cap 13
OTHER JURISDICTIONS
Florida USA
“processwherebyaneutralandimpartialthirdpersonactstoencourage
andfacilitatetheresolutionofadisputewithoutprescribingwhatit
shouldbe.Itisaninformalandnon‐adversarialprocessintendedto
helpdisputingpartiesreachamutuallyacceptableagreement”See-
StateofFlorida's,RulesforCertifiedandCourtAppointedMediators.
South Africa:
“processwhereamediatorassiststhePartiesinactualorpotential
litigationtoresolvethedisputebetweenthembyfacilitatingdiscussions
betweentheParties,assistingtheminidentifyingissues,clarifying
priorities,exploringareasofcompromiseandgeneratingoptionsinan
attempttosolvethedispute”See-VoluntaryCourt-AnnexedMediationRules
oftheMagistrates’Courts.
HISTORICAL PERSPECTIVE
The constitution of 1995
-Article 126 (2) (d)
-reconciliation shall be promoted
Lord Woolf Report, 1996
“Access to justice”
Why the Report?
Civil justice system, was:
Too slow, costly & benefited the rich
Reforms in UK
Recommendation of WOOLF REPORT
a)The civil justice system must be, accessible, fair and efficient, and
b)The rules must be simple and simply expressed
REFORMS IN UGANDA
Justice Platt Report 1994
Recommendations
1.Creation of the Commercial Court Division
2.Amendment of CPR to make judges pro-active
3.Introduction of Scheduling Conference
4.Introduction of ADRin courts
BENEFITS OF MEDIATION
•Speedy process
•Cost effective
•Maintaining relationships
•A win / win situation
•Focused on solutions and the future
•Constructive
•Confidential
•flexible
•Informal/non legal
•Step by step approach
•Confidential
There are three types of mediation:
•Facilitative Mediation commonly used by all
countries: where the mediator only facilitates the
mediation process.
•Evaluative Mediation, the mediator has the advisory
role, in that its practitioners evaluate the strengths
and weakness of each sides’ argument and advise
on whether they should go to court by predicting
what the judge would decide, based on the facts
before him. This is what is more practiced by the
commercial court judges in Uganda. ( see Art
141,29,15 of Rwanda on Ubunzcommitees)
MEDIATION:
Transformative Mediators: this style looks s at
the conflict, as a crisis in communication, and
seeks to help resolve the conflict, thereby
allowing people to feel empowered in themselves,
and better about each other.
STAGES OF MEDIATION
•Openingstage
•Exploration(information)stage
•Negotiation/bargainingstage
•Settlement/closingstage
•Judge ( See Rule 9 (1) ( a) ( b) and (c)
•Registrar of Court
•Magistrate
•Accredited Mediator by Court see Rule 9
(1)
•Certified Mediator by CADRE (see Rule 9
(1) (e).
•A person with qualifications chosen by the
parties ( see Rule 9 (1)
Who May be a mediator?
TOOLS OF A MEDIATOR IN MEDIATION SESSION:
•Reframing
•Listening
•Openendedquestions,thishelpstogatherqualityinformation,theybeginwith
who,when,whereandhow.Forexample;whathappenednextattheboardroom
meeting?Providesanopportunitytoobtainmoreabundantinformationthan
asking.“Didanythingelsehappenintheboardroommeeting?
•Closedendedquestions,theytendshutdowncommunication.Theytendtobegin
withis/areordid/doandtendtoproducemonosyllabicanswers,suchasyesor
noforexampledidyoustopbeatingyourwifeanswerisno/yes.Ifthewitness
answersnothentheimpressionisthatthepersoncontinuestobeatthewife,and
ifheanswersyes,itimpliesthathedidbeathiswife.AccordingtoPaulJones,
askingclosedendedquestionsislikewateringadryplantonespoonatatime.
Youdonotgetfar.
DEALING WITH DIFFICULTY BEHAVIOUR, MAGIC OF MEDIATION:
Snakes are sneaks making sure everything comes out into
open
Lionswanttofight.
Theygetangry.Letthemsaytheyareangry.
Repeatwhattheyfeelwithouttheblamingwords.
Remindthemofthegroundrules.Havecoolingofftime.
Getateacherifyoudonotfeelhappy
Miceareveryquiet.
Givethemachancestospeak
MAGIC OF MEDIATION CONT..
Monkeysjokeandmessaround.
Remindthemofthegrouprulesorgroundrules
UseanIstatementtotellthemhowyoufeelaboutthemmessingaround.
Warnthemtheywilllosethechancetomediateiftheycarryonmessing
around
Elephantsblocktheway.
Asktheirideasforsolvingtheproblem.
Owlsthinkthereveryclever.
BRIDGING THE GAP BETWEEN LAWYERS AND MEDIATORS:
ThemostcommonconcernsthatAttorneyshaveaboutmediators:
•Mediatorswilltakeclientsandbusinessfromlawyers
•Mediatorswhoarenotlawyersarenotcompetenttomediatedisputes
involvinglegalissues
•Mediatorswhoarejudgesorlawyerswanttoplaytheroleofjudgesand
makelawyerslookbadinfronttheclients
•Mediatorsarewasteofmoneyandtime,alltheywanttodoisget
everyonetogetintouchwiththeirfeelings,holdhands,andsing
kumbaya
•Mediationisthehandmaidenoftortreform
BRIDGING THE GAP BETWEEN LAWYERS AND MEDIATORS CONT…
Among Concerns that Mediators have about attorneys are:
•Lawyers want to put mediators especially mediators who are not lawyers
out of business.
•All lawyers care about billable hours instead of helping clients achieve
the best outcome possible in the client’s interest, not the lawyers
•Lawyers are adversarial than inquisitorial, lawyers will make any bad
dispute worse, destroying relationships and dissipating assets.
•Lawyers lack vision; thonly outcome they can see binary (win/lose,
white, good/ bad.
•Litigation is an un necessary evil
GUIDING PRINCIPLES OF MEDIATION
1.Voluntariness
2.Self-Determination
3.Impartiality
4.Confidentiality
5.Without Prejudice
6.Conflict of Interest
7.Settlement Authority
8.Informed consent
9. Duty to third parties
10. Honesty
11. Competence
12. Neutrality
13. Do no Harm
1. Voluntariness
•Parties participate out of free will
•People will cooperate more fully if they know they are free to leave at any point.
2. Self-determination
•Party autonomy
•encouraging the parties in a mediation to make their own decisions (both
individually and collectively)
•Party should not dominate the other party in the mediation.
3. Impartiality.
• Being even-handed, objective and fair towards the Parties e.g
•equitable time allocation,
•avoiding a display of favoritism,
•bias, or
•use of adversarial language directed towards one party.
4. Confidentiality
•Since mediation is a concern of the parties, the information shared
therein should remain between mediator or Parties. The parties knowing
that the process is confidential enables them speak freely without fear.
Exceptions:,
•unless agreed to by the parties, or
•required by law, or
•Is already in public domain.
5. Without Prejudice.
•No information obtained in mediation can be used against the Party
after mediation has been closed.
•Such information cant be used in court proceedings.
6. Conflict of interest
•Mediators should avoid serving in cases where they have a direct or
indirect personal, professional or financial interest in the outcome of the
dispute.
•Where there is a potential conflict of interest, mediators should disclose
his or her interest.
7. Settlement Authority
• People in the mediation must have the authority to settle the matter
in dispute.
8. Informed Consent.
•Parties are entitled to all the necessary information, data or alternatives
before making a decision in mediation
•Its the duty of the mediator to inform the Parties about their right to self-
determination
9. Duties to third parties
What to consider
•What is the effect of the settlement on third parties who are not parties
to the settlement?
Consider
Children, elderly, disabled or vulnerable people.
10. Honesty
•There must be full and fair disclosure of all materials and or documents
to be relied upon during mediation.
•Mediator must disclose his competence to the parties.
•Mediator must not disclose a parties to any person outside the dispute
settlement.
11. Competence
•Mediators have a duty to know the limits of their ability; to avoid
taking on assignments they are not equipped to handle; and
•to communicate candidly with the parties about their background
and experience. Sometimes the parties want a mediator with
subject matter expertise
12. Neutrality
•mediator should not have any interest in the outcome of the
dispute;
•Should not have any prior knowledge of the dispute;
•does not know the Parties; or, had any previous association with
them.
13. Do no harm
•Mediators must avoid conducting the process in a
manner that harmsthe participants or worsens the
dispute.
•Be careful when dealing with emotions, anger and
psychological problems
•Avoid fuelling or inflaming Parties’ resentments.
PROBLEMS FACED IN MEDIATION.
•Non payment of mediators that in return affects their effectiveness.
•Need for trained personnel that understand the rules of mediation.
•Mediators assume powers of court and instead litigate during mediation.
•Conflict of interest that may lead to a compromise of the mediator
•Mediation procedures being voluntary, parties opt to leave the process to lawyers.
•Failure to distinguish between court assisted mediation and private mediation.
•Judicial officers disregard the requirement of mediation as they see the process
like a mini court.
•Fixation of parties mind, that they think no compromise can be reached at.
IS MEDIATION BINDING
•Thenewmediationrulesplayastrongpositiveimpactinthepracticeofmediation
asaformofdisputeresolutionbecausetheyaddmoreweighttomediation
agreementsthroughregulation.Onceadisputehasbeenresolvedthrough
mediationthepartiessignanagreementwhichinessenceisbindingand
enforceableasacontract.
•See Muhammad muhammadAl Hassan v Ibrahim Al GasimHCCSNo. 504 of
2005. Justice Geoffrey Kiryabwire.
A settlement agreement reached between disputing parties after an alternative
dispute resolution (ADR) mechanism such as mediation will be treated by the
court as a contract and will be set aside only for the same reasons as a contract
would...”
COURT-ANNEXED MEDIATION
•Can courts be seen to force parties into Mediation?
•Yes, Proponents for ADR push for forced media
•Rule 18 of the Mediation rules provides for payment of costs by parties
that fail to attend mediation meetings
•Lord Justice Brooke in DunnetvsRailtrack(2002) opined that“ parties
that turn down a suggestion of ADR by the court may face uncomfortable
consequences”
•N.B
Jon Lang, a practisingmediator argues that it is human nature to reject
any form of compulsion
Commercial court mediation Rules, Rule 10 gives exemption from
mediation.
OBJECTION TO MANDATORY MEDIATION:
•Under Rule 4(2), a party may raise objection to mandatory reference
made by the registrar, magistrate or authorized court officer.
•This objection is only limited to points of law. Under this Rule , this
objection may not be raised before a court accredited mediator, a
mediator accredited by CADRE or a mediator chosen by the parties. In
such instances the case will be referred to trail judge.
•See the case of Sudhir, CraneBankv Bankof Uganda2017, where
Justice Wangutisehas referred the case to mediation before trial.
LOCUS VISIT FOR MEDIATORS.
Underfacilitativeandevaluativemediationjustlikeunderlandmatters,the
CourtattrialisobligedtoVisitLocusafterhearingevidence,incasesof
facilitativeandevaluativemediation,themediatorinthebidtoresolve
suchadisputemayrequirethepartiestovisitlocusandinvolveexpert
determinationsuchassurveyreports,toestablishtherealmatterin
contention.
ForexamplethecaseofMedardKiconco(KiconcoMedardVHon.Persis
Namuganza&148Others(CONSOLIDATEDCIVILSUITSNO.1036OF
2018&NO.165OF2019)[2019]UGHCLD56)sincethecasewas
heardexparteandtheMagistratedidnotvisitLocus,thedefendants
thereinsufferedandmanyothersthatthatwerenotpartytothesuit.
See;BongoleGeofreyand4othersvAgnesNakiwalaCourtofAppeal
CivilAppealNo.0076/2015.
READ MORE ON MEDIATION AND PRACTICE
•Susan Blake, Julie Brown & Stuart Sime, A Practical Approach to Alternative Dispute
Resolution (5th edn, Oxford University Press ( 2016) at 86-89, 224-229.
•The Uganda Christian University Law Review Vol1 No 2 August 2009 at 87-116
•ArinaitwePW, Avoiding Protracted Litigation Through Peace making
•Nancy Yeend, Mediation 101 Understanding the Magic, May 2005
Cases:
•Baron v Bliss Services [ 2006] WLR 503039 EAT
•Burchaalv Bullard & others 2005 EWCACiv358
•Thames valley Power Ltd v Total Gas & Power Ltd [ 2006] 1 Lloyds Rep 441
•Cressmanv Coysof Kensington ( Sales) 2004 EWCACiv133
•Hasleyv Milton Keynes General NHSTrust [2004] 1 WLR 3002
•IDA v university of Southampton [2006] RPC 21