The Ethical Principles

When engaging in online dispute resolution (ODR), it is essential to adhere to ethical principles that uphold fairness, neutrality, and integrity. The following ethical principles provide a framework for practitioners and parties involved in ODR:

1. Impartiality and Neutrality: ODR practitioners must remain neutral and impartial throughout the process, treating all parties with equal respect and consideration. They should not favor any party or show bias that could compromise the fairness of the resolution.

2. Confidentiality: ODR practitioners must maintain strict confidentiality and protect the privacy of the parties involved. They should ensure that all communication and information shared during the process remains confidential unless otherwise agreed upon or required by law.

3. Informed Consent: ODR practitioners should obtain the informed consent of all parties, clearly explaining the process, its limitations, and the roles and responsibilities of each participant. Informed consent ensures that parties fully understand and willingly participate in the resolution process.

4. Voluntariness: ODR should be a voluntary process, and participants should have the freedom to enter or exit the process at any stage. Coercion or undue influence should be strictly avoided.

5. Fairness and Due Process: ODR practitioners should ensure that all parties have an opportunity to present their case, express their concerns, and be heard. They should provide a fair and transparent process, allowing parties to respond to each other's arguments and evidence.

6. Cultural Sensitivity: ODR practitioners should be sensitive to cultural differences and respect the diversity of the parties involved. They should consider cultural nuances and adapt the process to ensure inclusivity and understanding.

7. Competence and Professionalism: ODR practitioners should possess the necessary skills, knowledge, and experience to effectively facilitate the resolution process. They should continuously update their professional expertise and adhere to ethical standards in their practice.

8. Conflict of Interest: ODR practitioners must avoid conflicts of interest that may compromise their objectivity or impartiality. They should disclose any potential conflicts and recuse themselves if they have a personal or financial interest in the outcome of the dispute.

9. Technology and Data Security: ODR practitioners should employ secure technology platforms and ensure the confidentiality and integrity of the data shared during the process. They should take necessary measures to protect against unauthorized access, data breaches, or misuse of information.

10. Continuous Improvement: ODR practitioners should strive for continuous improvement in their practice, staying updated with the latest developments, research, and best practices in the field of online dispute resolution. They should be open to feedback, reflect on their performance, and adapt their approach to enhance the effectiveness of the process.

By adhering to these ethical principles, ODR practitioners can promote trust, fairness, and integrity in the online resolution of disputes, fostering a conducive environment for parties to find mutually satisfactory solutions.

The Ethical Principles for Online Dispute Resolution (ODR) are designed to enhance the quality, effectiveness and scope of dispute resolution processes with technological components. Taken together, they can provide a touchstone for best practices, standards, rules, qualifications and certification efforts in dispute resolution and related fields that address dispute resolution processes and practices. This document builds on previous work by the National Center for Technology and Dispute Resolution on principles and standards of practice, as well as the growing body of literature and the standards of numerous professional, governmental and commercial bodies concerning ODR and dispute resolution more generally. There is no priority to be implied by the sequence of the principles that are list alphabetically. They are meant to be taken as a framework that is interlocking and interdependent. With the rapidly growing adoption of ODR in a number of sectors, it is timely to produce a living document of ethical principles integral to the design, structure, practices and implementation of online dispute resolution systems. Therefore, while debate will likely continue over time about the definition and scope of ODR and what practices and standards should be formalized, if any, it is hoped that the creation of these Ethical Principles for Online Dispute Resolution can provide a benchmark for these discussions and for systems development, usage and the integration of ODR into existing institutions.

With the knowledge that there is a diversity of perspectives and practices, and that there will be a constant innovation of new technologies impacting the ways we use, foster and transform conflict, it is worthwhile to formulate and continue to revisit ethical principles to inform, guide and inspire best practices. Articulating a set of principles shared across jurisdictions simultaneously requires a recognition that their manifestation will also be necessarily grounded in legal jurisdictional requirements and in sectorally and culturally specific ways. It is intended that the Ethical Principles for Online Dispute Resolution will find a wide audience, instilling further confidence in the integration of ODR into systems and institutions as the stakeholders in systems of ODR become more expansive and inclusive.

They are designed to guide and foster ethical ODR systems and practice in both the public and private spheres. It is likely that more specific or additional principles may be articulated in the future from within particular sectors and jurisdictions. These, instead, are offered as core, shared values and as a living document that can respond to new conditions, technologies, stakeholders and knowledge – to prove sustainable to those relying on it.

Accessibility

The design and implementation of efficient and effective processes provide for their usage, not only to the broadest range and number of people, but also by accounting for the reality of cultural differences within and between jurisdictions, as well as differential access to resources and experiences of marginalization that can hinder access to dispute resolution and justice processes, whether formal or informal. ODR systems and processes effectively facilitate and do not limit the right to representation for parties in processes of dispute resolution.

Accountability

The development and implementation of ODR systems, processes and practices are accountable to the institutions, legal frameworks and communities that they serve.

Competence

ODR systems, processes and practitioners will be competent in or provide access to relevant technological or human competency required for the effective implementation of the dispute resolution process that they undertake to assist with. This includes but is not limited to relevant dispute resolution, legal, and technical knowledge; languages; and culture.

Confidentiality

The development and implementation of ODR systems, processes and practitioners maintain confidentiality in accordance with all legal obligations and in a manner that is consistent, in particular, with the principles of Legal Obligation, Informed Participation, Security and Transparency.

Empowerment

ODR systems and processes are designed and implemented in ways that seek to enable growth and positive change for individuals, relationships, systems and society, thereby increasing access to justice and enhancement of choices and effective decision making opportunities.

Equality

ODR processes are designed and implemented in ways that treat all participants with respect and human dignity; that system design and processes enable silenced or marginalized voices to be heard and actively seek to ensure that privileges and disadvantages are not replicated in the experience of participation; that no participant is placed at a higher risk than others; and, therefore, that ODR processes are designed to respond effectively to the reality that some contexts may put some at more risk than others.

Fairness

ODR processes are designed and implemented to facilitate and uphold due process, without bias or benefits for or against individuals or groups, including those based on algorithms. They are responsive to and reflective of the communities and stakeholders they serve.

Honesty

ODR processes are designed and implemented with the intention that data is gathered, managed and presented in ways to ensure it is not misrepresented or presented out of context.

Impartiality

ODR processes are designed and implemented, and practitioners function with commitment to reducing bias in the delivery of the process. This includes accounting for technological and other conditions that could structure patterns of privilege in process and outcome for repeat players with particular attention to the principles of Accessibility, Fairness and Transparency.

Informed Participation

In the development and implementation of ODR systems and processes active effort is made to ensure (1) explicit disclosure to participants of all information about risks and benefits of the process, (2) the competency of participants to evaluate the information about participation in the process, (3) understanding by participants of the information, (4) whenever possible, the voluntary acceptance by the participants of the risks of participating; and whenever voluntary consent is not possible due to the mandatory nature of participation than that is made transparent.

Innovation

Online dispute resolution continues to innovate to improve the delivery of dispute resolution services and benefits more fairly, effectively and efficiently in ways that increase peace, trust and access to justice.

Integration

ODR processes are effectively integrated both internally within a system and externally with other systems, networks and entities. Technology serves the dispute resolution process as seamlessly as possible. The application of technology and of dispute resolution is designed and implemented in the context of their linkages with other existing systems and networks and of knowledge that new ones will emerge. This is implemented with special attention to the integration with public entities to enhance inclusiveness and access to justice.

Legal Obligation

The design and implementation of ODR systems and processes uphold the laws of relevant jurisdictions and ensure that relevant laws are known and followed in the context of the principles of Accessibility, Informed Participation and Transparency.

Neutrality

ODR systems and practitioners function with independence from the disputing parties, and any conflicts of interest are made transparent.

Protection from Harm

ODR design and implementation seek to prevent and minimize harm and risk for those involved in dispute resolution processes, with particular attention to those most marginalized and with least access to justice.

Security

All reasonable efforts are made to ensure that the data and communication between the parties and other entities linked to ODR processes are secure to the fullest extent of the law, making transparent any known limitations.

Transparency

All reasonable efforts are taken to make transparent the true purposes, risks and legal obligations inclusive of but not limited to: the form and legal jurisdiction of dispute resolution processes; the identities, affiliations, obligations and conflicts of interest of the parties, entities and systems; and the data security, confidentiality and privacy policies and systems involved.