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Archive for the ‘Research’ Category

New to RSI’s Resource Center

Nicole Wilmet, March 3rd, 2021

Did you know that RSI’s Resource Center is the most comprehensive and respected source of information on court ADR anywhere? Housed within the Resource Center is the Research Library which has an extensive collection of court ADR resources such as articles, studies, court rules, statutes and court forms.

RSI’s Resource Center Director Nicole Wilmet regularly adds new resources to the Research Library. The following list highlights a few of the resources that have recently been added.

We hope these resources are helpful in your work!

For Family Cases Involving Reports of Intimate Partner Violence, Shuttle and Videoconference Mediation Are Safe, Effective and Preferred by Parents

Jennifer Shack, March 1st, 2021

In a randomized controlled trial of family cases involving parents reporting high levels of intimate partner violence (IPV), parents felt safer in and were more satisfied with shuttle and videoconference mediation than litigation. Importantly, they also indicated a preference of shuttle mediation over videoconference mediation. The study, conducted in Washington, DC, by Amy Holtzworth-Munroe, et al., is discussed in their article “Intimate Partner Violence (IPV) and Family Dispute Resolution: A Randomized Controlled Trial Comparing Shuttle Mediation, Videoconferencing Mediation, and Litigation” (Psychology, Public Policy, and Law, February 2021).

For the study, the researchers compared traditional litigation (n = 67 cases), the process used for all cases prior to the study, to shuttle mediation (n = 64 cases) and videoconference mediation (n= 65 cases), two approaches designed to protect parent safety. All parents referred to mediation by the court were first screened for IPV by specially trained Dispute Resolution Specialists (DRSs). Based on the screening, the DRSs identified cases as being potentially eligible for the study if the IPV reported by either or both parents was at a level that the case was considered inappropriate for joint mediation. Cases were considered ineligible if: the case involved an open child abuse case or required other emergency interventions due to immediate danger; a parent lived too far away to participate in mediation in person, was deemed incompetent for mediation (e.g., acutely psychotic), was incarcerated or had a pending criminal case that would interfere; or the parents were in a same-sex relationship (pilot work revealed that there were too few same-sex cases for study purposes). Eligible parents were then randomly assigned to one of the three groups.

Mediators were trained in both shuttle mediation and video mediation and were assigned to both types of mediation. In both shuttle and videoconferencing mediation, parents were in different rooms in the same building but not near one another. In shuttle mediation, the mediator met in person with each parent separately and shuttled back and forth between rooms. The parents never saw or spoke directly to each other; all communications were through the mediator. Mediators assigned to shuttle mediation had no discretion to change the process format.

In videoconferencing mediation, the mediator was in a third room. Both parents and the mediator had access to a web camera and a computer screen and could see and hear each other on the screen. The mediators took regular breaks to check to see if each parent was comfortable with continuing with the three-way videoconference or if they wanted to move to either only audio (with other parent and mediator) or to communicate individually by video with the mediator. Mediators could make such changes if concerned about parent safety or emotional wellbeing, and parents could turn off the video equipment in their rooms at any point.

Mediator Assessment of the Approaches

In 41.3% of videoconferencing cases, mediators said they had private, in-person meetings with one or both parents. Mediators were most likely to hold such meetings to get forms (e.g., agreement to mediate) signed by the parents. In 71.7% of videoconferencing cases, mediators reported holding private, individual video meetings with one or both. Mediators reported that these meetings took place to help the mediation process (e.g., when a parent was behaving inappropriately) or to help parents process what was happening.

Immediately after mediation, the mediators were asked to complete a survey. They were asked their perceptions of the mediation in terms of their own and each party’s safety, their own and each party’s comfort, about their feelings of safety and comfort as well as their perception of each parent’s safety and comfort and their perception of the appropriateness of the process used for that case.  Mediators felt equally safe in both mediation approaches and perceived both as being similarly safe for mothers and fathers. They had similar perceptions about comfort in mediation, although they indicated feeling more comfortable and satisfied in shuttle mediation as compared to videoconferencing.

In 90% of cases, mediators believed shuttle mediation was appropriate for the case. This was significantly lower for videoconference mediation, which they said was appropriate in 78% of cases. Mediators also were significantly more likely to say that cases in videoconference mediations should have been handled with a different approach than that cases in shuttle mediation should have been handled differently (58% vs. 35%). Unsurprisingly, the mediators believed mediation had a greater effect on the parents’ ability to reach agreement when they conducted shuttle mediation than when they conducted videoconference mediation.

Parent Assessment of the Approaches

Parents were asked to assess the process in which they participated immediately after conclusion, including traditional litigation. Parents felt safer and less fearful in mediation than in traditional litigation, with no difference between the two mediation approaches. Parents in mediation were also more satisfied with the process than parents in traditional litigation, again with no difference between the two mediation approaches. Asked whether they believed the process used for their case was appropriate for their case, parents in mediation were significantly more likely to agree than were parents who participated in traditional litigation (87% vs. 76%). As with safety and satisfaction, parent perception of appropriateness of videoconferencing and shuttle mediation did not differ significantly. A similar pattern was found in their response to nine questions that assessd the positive effects of the process, such as feeling heard, able to express feelings efficiency, fairness, parents being held accountable.

Interestingly, there were no differences in parents’ satisfaction with the outcome or whether the process was helpful in resolving the issues among the three approaches. However, among those who reached a final resolution, parents who mediated using either approach were more likely to believe that the parents would follow the resolution terms than those who went through the traditional court process. There was no difference in parents’ responses between the two mediated approaches.

Outcomes and Time

Videoconferenced cases were half as likely to reach agreement as cases in shuttle mediation (43% vs. 22%). Through coding the content of the document that resolved case issues (i.e., the mediated agreement or the court order), the researchers found no statistically significant group differences in legal custody, physical custody, or parenting time arrangements and few differences in the likelihood of the document specifying a variety of arrangements (e.g., how to handle missed parenting time) or including safety provisions (e.g., supervised child exchanges).

However, there were statistically significant differences across groups for some specifications in the resolution document that might help decrease risk of violence. These differences indicate that mediation might result in more details regarding issues related to possible safety. Specifically, final documents for cases that had mediation were more likely than final documents for cases in traditional litigation to: address interparental communication at all (56 vs. 31%); agree to limit interparental disputes in the children’s presence (44% for mediation vs. 14%); include aspirational language about interparental communication (e.g., parents will try to have civil discussions; 38% vs. 8%); and agree to limit parents’ passing of messages to one another through the child (35% vs. 10%).

The researchers found that mediated cases also fared well in terms of the time needed to resolve a case. Cases that went through the traditional process took 3 times as long to reach final resolution as mediation cases.

Conclusion

The researchers conclude that “in cases with parents reporting concerning levels of IPV, when both parents are independently willing to mediate, mediation designed with strong safety protocols and carried out in a protected environment by well-trained staff may be an appropriate alternative to court.” (Taken from the article abstract.) They state that their findings do not definitively favor either shuttle or videoconference mediation. However, they note there are suggestions in the data that shuttle mediation might be preferable, as it was more likely to lead to agreement and mediators seemed to prefer it. They suggest that as COVID has put restrictions on in-person processes, future researchers could examine shuttle mediation via video technology.  In the meantime, “longer term outcomes and additional research are needed to more clearly understand if videoconferencing mediation, as structured in this study, is as safe and appropriate as shuttle mediation for cases reporting high levels of IPV.”

New to RSI’s Resource Center

Nicole Wilmet, February 3rd, 2021

Did you know that RSI’s Resource Center is the most comprehensive and respected source of information on court ADR anywhere? Housed within the Resource Center is the Research Library, which has an extensive annotated collection of court ADR resources such as articles, studies, court rules, statutes and court forms. 

RSI’s Resource Center Director Nicole Wilmet regularly adds new resources to the Research Library. The following list highlights a few of the resources that have recently been added. 

We hope these resources are helpful in your work!

Felony Settlement Conferences Appear to Positively Impact Procedural Justice

Jennifer Shack, February 1st, 2021

Judge-facilitated felony plea bargains in New Hampshire, known as felony settlement conferences, provide the opportunity for the prosecution and defense to better understand each other and to tap into the judge’s expertise. This, in turn leads attorneys to believe that these conferences increase procedural justice. This is the conclusion Rebecca Sigman draws from her 15 interviews with attorneys and judges who have experience with felony settlement conferences. 

Sigman discusses the program and her findings in her article, “Learning to Listen: An Evaluation of New Hampshire’s Felony Settlement Conference” (Ohio State Journal of Dispute Resolution, 2019). A case is appropriate for the program if the defendant has admitted wrongdoing, but the defendant and/or victim have struggled to reach resolution, and if someone other than the defendant and the state is involved. 

Settlement conferences are facilitated by either retired judges or active judges who are not presiding over the case. Five days before the settlement conference, both sides must submit a memorandum that outlines each side’s case and evidence, aggravating factors of the crime, what offers have been made by both sides, and any relevant history on the victim and defendant. Generally, the settlement conference begins with the judge meeting privately with the prosecutor and defense attorney. At this time, they review the settlement conference memorandum and they discuss the details of the case, such as why negotiations have failed and whether a victim is involved.

The settlement conference begins with a joint session at which each side presents its opening statement the defendant and victim (if present) make statements. Others, such as family members or police officers, may speak as well. The judge then separates the parties and begins shuttle negotiations. If the two sides reach agreement and the judge is not retired, they may offer to take the plea right then and there. If not, they submit it to the judge presiding over the case.  

For her study, Sigman interviewed two prosecutors, one victim-witness advocate, six defense attorneys and six participating judges. Due to confidentiality issues, she was unable to interview defendants or victims. Her interviews focused on procedural justice, namely the quality of decision-making and the quality of treatment. In terms of the quality of decision-making, attorneys said that the judges’ experience and judicial legitimacy increased the perceived fairness of the process. Judges reported that defendants and victims felt the judges were neutral and thus respected their opinion. On the other hand, attorneys and judges alike were concerned about possible coercion by settlement judges to get the sides to accept a plea bargain. 

The quality of decision-making is also affected by the quality of communication between the two sides. Interviewed attorneys said that the settlement conferences provided a forum for robust discussion and better understanding of the other side’s reasoning. They also appreciated the streamlined negotiation process caused by their ability to discuss plea bargain in a single meeting, rather than at scattered, infrequent times. Less formally, the attorneys noted that the non-adversarial nature of the conferences promoted active listening and empathy.  

Defendant and victim voice is an important contributor to the quality of decision-making. Those interviewed indicated that voice is enhanced in settlement conferences. Victim voice is enhanced by incorporating the victim’s views into the resolution process and by giving victims the opportunity to explain the impact of the crime on them. Even if the victim doesn’t attend the conference, the prosecutor is in contact with them throughout the process. The defendant’s voice is enhanced by being able to bring up mitigating factors, express emotions and be heard by the judge. 

The quality of treatment is the second procedural justice factor Sigman explored with interview participants. They spoke of quality of treatment in terms of two themes: the treatment of participants and the steps taken to mitigate power differentials between them. One important factor in the quality of participant treatment is the breadth of confidentiality measures governing settlement conferences. These measures are similar to those for mediation – statements made in the settlement conference shall not be divulged to anyone outside the conference, and they shall not be admissible at any other proceeding. In addition to confidentiality, quality of treatment is enhanced by the dignity and respect with which all participants are treated. 

It is generally agreed that prosecutors have more power than defendants and their attorneys. This gaping power differential, according to scholars, significantly hinders perceptions of procedural justice in the plea bargaining system. Interview participants said that settlement conferences may mitigate this power differential by providing confidentiality protections and by the use of an authoritative judge as neutral, which serves as a check on prosecutor power. Having a neutral facilitator as well as significant time allotted for negotiations also reduces the possibility that prosecutors will resort to high-pressure tactics. 

Although Sigman’s study didn’t include the voice of victims and defendants, her interviews with attorneys and judges indicate that felony settlement conferences may be perceived as more procedurally just than the normal plea bargain process. I would love to hear from the victims and defendants themselves to find out if they have the same perceptions – particularly defendants who have experienced both processes. 

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