UTP – The 3 Blocks Method

Mediation is recognized as a structured process. However, how a mediation unfolds depends on the specific facts and circumstances of the dispute being addressed. The UTP Blocks’ Method offers a practical framework that mediators can adopt to guide the process. This model is flexible and may be adapted or modified as necessary.

The UTP framework centers around three core domains, presented as distinct blocks:

1. Understanding
2. Trust
3. Procedure

BLOCK I – UNDERSTANDING

The mediator must devote quality time to understanding the following:

• The Person
• The Problem
• The Solution
• The Underlying Interests

A) Understanding the Person

At this stage, the mediator’s primary task is to gain a comprehensive understanding of all individuals involved. The term “person” encompasses:

• Disputing parties
• Third parties or participants
• Experts
• Absentee parties
• Influencers (both positive and negative)

The mediator should attentively listen to:

• Each party’s personal narrative (including their own background)
• Their perspectives on the opposing party
• Their views on third parties on both sides
• Individuals each party trusts
• Absentees
• (e.g.,children, parents, shareholders,stakeholders, agreement holders, subsequent purchasers)
• Those who might help facilitate or obstruct settlement.

B) Understanding the Problem

The mediator should collect relevant information to:

1. Identify the actual problem
2. Define the problem clearly
3. Determine if both parties recognise the same issue.
4. Identify if the parties see different problems.
5. Assess whether there is agreement on the problem, but divergence in its definition.
6. Differentiate real versus perceived problems
7. Ascertain if the problem is a strategic projection
8. Identify the root cause.
9. Determine (only if necessary) who is responsible

C) Understanding the Solution

The mediator should explore:

1. What solutions each party expects?
2. What solutions each party believes the other expects.
3. Which solutions are realistic, workable, and executable.
4. Potential consequences of implementing proposed solutions.

D) Understanding Underlying Interests

• Identify each party’s needs, interests, values, and goals
• Determine common ground
• Explore the underlying reasons behind each party’s desire for resolution

BLOCK II – TRUST

a) Trust in Mediation:

A baseline level of strategic trust is often present, as parties may already have some knowledge or understanding of mediation. It is crucial for the mediator to safeguard this trust throughout the process.

b) Trust in the Mediator:

Trust in the mediator creates a safe environment for open communication. Since trust can be developed or lost at any stage, the mediator must be vigilant from the outset until the mediation concludes.

c) Trust in the Process

The mediator should achieve consensus on the agenda with both parties. Once agreed upon, the agenda must be followed. Any procedures deemed unacceptable by either party should be avoided to preserve procedural trust.

d) Trust in the Opponent

A valuable outcome of mediation—whether or not a settlement is reached—is the development of mutual trust. This can lay the groundwork for resolving the dispute even outside the mediation setting.

BLOCK III – PROCEDURE

• What do I do?
• Why do I do it? How, when, and where do I do it?

Before and after every session, the mediator should prepare a personal agenda that outlines the proposed plan of action. The session should be clearly structured, with defined goals, and the mediator must be well-prepared in advance.

Advantages of the UTP 3 Blocks’ Method

1. Helps the mediator stay focused and on track
2. Demonstrates professionalism throughout the process
3. Provides a foundational model to effectively structure the mediation
4. Assists in gathering comprehensive information to support negotiations

Sarathi Susheela

Smt. S. Susheela is a Senior Advocate practicing in the High Court of Karnataka, with 39 years of professional experience. She is a trained mediator, having received training from ISDLS (USA), ADR-ODR (UK), and the Straus Institute at Pepperdine University. A Master Trainer with the Karnataka Mediation Centre and the… MORE