Introduction
A key advantage of resolving disputes privately is the freedom to customize the process. These guidelines explain how to successfully combine mediation and arbitration. If an agreement does not conform to these guidelines, the Administrator may refuse to accept the case.

Definitions
In “Mediation-Arbitration” or “Med-Arb” a Neutral assists parties in negotiating an agreement to resolve a legal dispute, and, if no agreement is reached, resolves the dispute by holding an evidentiary hearing and issuing a binding award.
In “Arbitration-Mediation” or “Arb-Med” a Neutral holds an evidentiary hearing on a legal dispute and, before issuing an award, assists the parties in negotiating an agreement to resolve the dispute. If no agreement is reached, the Neutral resolves the dispute by issuing a binding award.

Guidelines
1. PREREQUISITES. Prerequisites for initiating arbitration or mediation must be clearly articulated. In other words, if certain events must occur before parties become obligated to mediate or arbitrate, the agreement must clarify what those events are and how a Neutral can determine whether these events have occurred.

2. TRANSITIONS. The agreement must provide that, at any given point in time, the Neutral serves in only one role—as either a mediator or an arbitrator. The agreement must clearly delineate when the Neutral transitions from one role to another.

3. MED-ARB. A Med-Arb agreement must: 

(a) state that information shared with the Neutral in mediation may form the basis for an award in arbitration; and 

(b) waive the parties’ right to contest the award because ex parte communications took place in mediation caucuses.

4. ARB-MED. An Arb-Med agreement must indicate whether the arbitrator is going to seal the award before mediation begins in order to foreclose the possibility that the award will be based on information shared in confidence in mediation. If the award is not sealed, the agreement must comply with Guidelines 3(a) and 3(b) above.