The following is an annotated selection of books, articles, and other aids that may be useful for Federal agencies and unions considering or using ADR methods or techniques. Some of the sources describe theories behind ADR, and others describe ways of implementing ADR, including various examples of ADR techniques. Most of the resources provide bibliographies for further investigation.

ARTICLES

Albrecht, Karl and Steve Albrecht, "Added Value Negotiating," Training, April 1993, Vol. 30(4),pp. 26-29.

This article describes a process of adding value to a deal rather than extracting or conceding value from one party to the other. A method of interest-based or win-win negotiating, Added Value Negotiating (AVN) uses the idea of "multiple deals." Several deal packages are offered in a multiple choice format, rather than a single position which can be beaten into some mutually accepted final agreement. Each alternative is based on a mutual understanding of interests and the options that can meet these interests. The system is based on the assumption that most people do want to negotiate cooperatively. Most want a good deal as well as a good relationship, and recognize that the parties may have to do business again. The other fundamentals of AVN, besides clarifying interests and identifying options, include designing alternative deal packages, selecting a deal, and perfecting the deal.

Bolb, Deborah M. and Susan S. Silbey, "Enhancing the Capacity of Organizations to Deal with Disputes," Negotiation Journal, October 1990, Vol.6(4), pp. 297-305.

The authors provide a "how to" for integrating dispute resolution methods into an already existing system. This article considers the "enhanced capacity" for tolerating disputes instead of promoting dispute prevention.

Cameron, Chip, Philip J. Harter, Gail Bingham, Neil R. Eisner, "Alternative Dispute Resolution with Emphasis on Rulemaking Negotiation," The Administrative Law Journal, Spring 1990, Vol. 4(1), pp. 83-111.

This is a report on a discussion among the authors at the First Annual Review of the Administrative Process of the Federal Bar Association and the Washington College of Law. It includes comments on how negotiated rulemaking works, a list of criteria for a successful rulemaking, some pitfalls in managing the process, and comments and suggestions from practical experience.

Carr, Frank, "Alternative Dispute Resolution," Federal Bar News & Journal, August 1993, Vol.40(7), pp. 444-447.

This article describes a creative approach to resolving disputes as an alternative to litigation. The author goes through a step-by-step approach that provides a structure for developing any ADR program. The outline includes: needs analysis, systems design, pilot testing system, evaluation, and program implementation.

Carr, Frank, "Alternative Dispute Resolution in an Agency Program," Board of Contract Appeals Bar Association Quarterly Magazine, Winter 1990, Vol. 1(2), pp. 11-15.

An examination of the implementation of the U.S. Army Corps of Engineers ADR program is provided. The Corp's chief trial attorney comments on the decision to experiment with ADR and discusses the development of ADR into a formal program for dispute resolution. The paper addresses some of the problems encountered and how they were resolved.

Cohen-Rosenthal, Edward, "Commentary...Employee Participation Councils," Journal for Quality and Participation, September 1992, Vol. 15(5), pp. 88-89.

Cohen-Rosenthal makes a case for legislating a requirement that every organization with 50 or more employees have councils of employees and/or their representatives and management officials. These councils would be strictly advisory and would discuss a broad range of issues. Excluded from discussions would be the negotiation of wages, hours, and job classifications. The primary motivation for this policy suggestion is the need to confront the U.S.'s anemic economy and lagging global competitiveness, according to the author. Germany and Japan are cited as examples of successful employee participation systems. The authors contend that a national policy would not assure universally excellent participation, but would expand opportunities for participation, impact competitiveness dramatically, and deepen our national values of democracy.

Combe, George W. Jr., "Anatomy of a Business Dispute: Successful ADR Analysis by the Office of the General Counsel,"Arbitration Journal, September 1990, Vol. 45(3), pp. 3-14.

This journal article provides an analysis of the nature of business disputes. It presents considerations in using an ADR approach in a business situation, lists steps to enhance institutional ADR commitment, and provides factors to consider in ADR selection. Two case problems are analyzed.

Costantino, Cathy A, "FDIC Uses Spectrum of ADR Options to Resolve Disputes: Finding New Ways to Decrease Costs, Speed Resolutions, and Maximize Recoveries," Federal Bar News & Journal, October 1992, Vol. 39(9), pp. 524-527.

The Federal Deposit Insurance Corporation (FDIC) has adopted policies and procedures which allow and encourage the use of ADR to resolve a variety of disputes. The article reviews ADR processes and discusses the history, goals, objectives, and seven components of the ADR program at the FDIC.

Crowell, Eldon H. and Charles Pou, Jr., "Appealing Government Contract Decisions: Reducing the Cost and Delay of Procurement Litigation with Alternative Dispute Resolution Techniques," Maryland Law Review, Vol. 49(1), pp. 183-254.

The pros and cons of ADR in government contract disputes are examined in this article. It includes the experiences of government agencies that have used minitrials in contract disputes. It also addresses questions concerning the use of neutrals.

Ferris, Frank D, "Labor Relations: A Conflict Trap," The Bureaucrat: The Journal for Public Managers, Spring 1991, Vol. 20(1), pp. 47-51.

The author is the director of negotiations forthe National Treasury Employees Union (NTEU). The article outlines ways in which conflict between management and labor has been handled under Title VII of the Civil Service Reform Act and offers some alternative methods for dispute resolution. He proposes an increase in facilitated brainstorming, improved communications, experimentation, and help rather than threats and expedient compromises. Imposed agreements, if needed, would come at the end of intensified intervention and be based on what had been built by the parties. Grievances should be treated as opportunities to enhance relationships and adjust the organization to changes.

Hoffman, Eileen Barkas and John A. Wagner, "Courtbusters," Government Executive, October 1993, pp. 29.

The authors give an overview of ADR. They describe how ADR has grown and give the pros and cons that the ADR offers to its users.

Honeyman, Christopher, "On Evaluating Mediators," Negotiation Journal, January 1990, Vol. 6(1), pp. 23-36.

This article is helpful for evaluating mediators and selecting standards for further training. It lists "Seven Parameters ofEffectiveness" with commentary. It is a thoughtful introduction to the complex topic of using subjective criteria.

Lewin, David, and Daniel J.B. Mitchell, "Systems of Employee Voice: Theoretical and Empirical Perspectives," California Management Review, Spring 1992, Vol. 34(3), pp. 95-111.

This article is a comprehensive review of the various forms in which employee participation occurs. Most interesting are studies which found that in production facilities lower numbers of grievances were related to higher rates of productivity. Also noteworthy are studies which show that not only were high grievance rates related to low productivity, but also related to high unit production costs.

Meltzer, D. Leah, "The Federal Workplace Ombuds," Ohio State Journal on Dispute Resolution, Vol. 13(2), 1998, pp. 549-609.

This article discusses the ADR technique of ombudsing and how it works. The article also reports the results of the author's survey of Federal Government agencies who have an ombuds programs. The author describes selected Federal agency ombuds programs in detail including why they were set up and how they are working.

Merchant, Christina Sickles, "Labor-Management Cooperation in the Federal Service," Federal Labor Relations Reporter, August 17, 1992, Vol. 1(14B), pp. 92/29-92/32.

A strictly adversarial and rights-based approach to problem-solving in labor-management relations creates uncompromising and unyielding positions. This approach can be both very time consuming and costly. As union-management relations mature, the parties will look for other avenues to address problems such as ADR and labor-management cooperation. The author emphasizes that the measure of labor-management cooperation success is not necessarily a decrease in the number of unfair labor practices or grievances filed, but an improvement in the overall health and quality of the relationship including improved communications.

Patterson, Roger J., "Dispute Resolution in a World of Alternatives," Catholic University Law Review, Spring 1988, Vol. 37(3), pp. 591-604.

A concise introduction to ADR. It describes the concept, offers pertinent explanations of a range of alternatives and their uses, and concludes with a discussion on the choices of alternatives in dispute resolution. The author sees ADR as an alternative to, not a displacement of, litigation.

Pritzker, David M., "Working Together for Better Regulations," Natural Resources and Environment, Fall 1990, Vol. 5(2), pp. 29-31.

A description of the negotiated rulemaking process, reasons for using it, and potential costs and benefits. The article discusses when and how to use the process, reviews agency experiences, and examines relevant Federal legislation.

Rivenbark, Leigh, "Seattle Agencies Try Mediating Differences," Federal Times, April 19, 1993.

For the first time, a Federal Executive Board (FEB) will provide official mediation services to agencies and individual employees wanting to settle disputes outside of the courts and adjudicatory agencies. Seattle's FEB is poised to start providing mediation as soon as 24 employees from a variety of grades and agencies complete an intensive training course.

Sander, Frank E. A. and Stephen B. Goldberg, "Making the Right Choice," ABA Journal November 1993, pp. 66-68.

Using a hypothetical dispute, Sander and Goldberg analyze which ADR procedures would most likely satisfy different clients' goals, and if settlement is sought, which procedures would most likely overcome settlement obstacles.

Society for Professionals in Dispute Resolution, "Qualifying Neutrals: the Basic Principles," Dispute Resolution Forum, May 1989, pp. 2-10.

This article examines the criteria for qualifying neutrals. It elaborates on central principles for parties to use as guidelines.

Stulberg, Joseph B. and B. Ruth Montgomery, "Design Requirements for Mediator Development Programs," Hofstra Law Review, Spring 1987, Vol 15(3), pp. 499-533.

The authors examine how an agency that administers an ADR program can train persons to serve as competent mediators. The authors use the neighborhood justice centers operating throughout the country as the basis of analysis in developing a framework for developing programs to train facilitators. This article offers a practical, step-by-step analysis of the mediator's functions and considers the dimensions of a mediator development program.

Thompson, Brad Lee, "Negotiation Training: Win-Win or What?," Training,June 1991, Vol. 28(6), pp. 31-35.

Empowered employees are not always prepared for the new ways of working with each other, according to the author. They may be ill-prepared to participate in discussions and decisions that are normal in day-to-day business operations. Personal negotiations training, specifically the interest based approach, is a helpful method of preparing empowered employees for a new working mode of operations. Interest-based negotiation skills are critical for employees who may be working in quality teams or circles, self-managing work groups, and other types of teams. This article addresses the training of personal negotiation skills which includes interpersonal communication, listening and feedback, influencing, facilitation, conflict resolution, and problem-solving.

Ury, William L., Jeanne M. Brett, and Stephen B. Goldberg, "In Practice: Designing an Effective Dispute Resolution System," Negotiation Journal, October 1988, pp. 413-431.

This article is an adaptation of Chapter 3 of the authors' book, Getting Disputes Resolved, published by Jossey Bass, in November 1988. The article presents six crucial principles of ADR: put the focus on interests; build in "loop-backs" to negotiation; provide low-cost rights and power back-ups; build in consultation before, feedback after; arrange procedures in a low-to-high-cost sequence; and provide the necessary motivation, skills, and resources.

Zetlin, Minda, "A Neutral Third Party," Management Review, September, 1992, Vol. 81(9), pp. 50-53.

As a form of ADR, the corporate ombudsman is becoming a more popular method of resolving workplace problems and avoiding litigation and its associated costs, according to the author. Managers have found that the availability of ombudspeople in an organization can increase morale and productivity. In 1991, an MIT survey found that companies had saved $125,000 on average in lawsuits in which an ombudsperson had intervened. The ombudsperson provides the organization with information about the workplace that is timely, something that many surveys cannot accomplish. They can show the good as well as the bad. The ombudsperson's role is not that of an employee advocate, but one of a principled neutral third party. They are not arbitrators, but mediators who must seek agreement between disputing parties. Most are careful to steer clear of items covered in union contracts.

BOOKS AND REPORTS

American Arbitration Association (AAA), Grievance Mediation Procedures, AAA, New York, December 1992.

This pamphlet lists all AAA offices and provides a detailed review of the grievance mediation procedures used by AAA mediators. One of the advantages of mediation according to this publication is that it can be scheduled early in a dispute. A settlement can be reached much more quickly and at less cost than through litigation.

American Arbitration Association (AAA), Resolving Your Disputes, AAA, New York, April 1993.

This pamphlet lists all AAA offices and provides definitions of ADR terms and explanations of related issues.

American Bar Association, Alternative Dispute Resolution: An ADR Primer, Standing Committee on Dispute Resolution, 3rd edition, ABA Standing Committee on Dispute Resolution, Washington, DC, 1989.

This report answers twenty basic questions on ADR, including a brief exposition on ADR and the basic processes. It addresses such issues as fees, discovery, power disparity, and confidentiality.

Carpenter, Susan L. and W.J.D. Kennedy, Managing Public Disputes: A Practical Guide to Handling and Reaching Agreements, Jossey-Bass Publisher, San Francisco, 1988.

This step-by-step guide to building a collaborative process in public policy disputes is written for decision makers in the public and private sectors. It offers explicit suggestions for conflict analysis and assessment that can be applied to other types of disputes.

Cochrane, Michael G. ed., Attorneys General and New Methods of Dispute Resolution, the American Bar Association, Standing Committee on Dispute Resolution and the National Association of Attorneys General, Washington, DC, 1990.

This is a collection of articles on various issues in ADR from different perspectives. The articles are organized under the division headings "Background to Dispute Resolution," "New Methods of Dispute Resolution at Work," and the "The Cutting Edge of Dispute Resolution: New Developments." Among the articles are: "Alternative Dispute Resolution in Environmental Cases," "Alternative Dispute Resolution," and "Transportation: Mediating Peace at the Battle of Peters' Creek."

Costantino, Cathy, A. and Merchant, Christina, S. Designing Conflict Management Systems, Josey-Bass Publisher, 1996.

The authors use three composite case studies from the health care, government, and manufacturing sectors, plus numerous charts and checklists that show how to get programs launched and evaluate how they're working.

Edelman, Lester, Frank Carr, and James L. Creighton, The MiniTrial, Alternative Dispute Resolution Series, IWR Pamphlet-89-ADR-P-1, U.S. Army Corps of Engineers Institute for Water Resources, Fort Belvoir, VA, 1989.

A practical guide to using the minitrial from the experience of the U. S. Army Corps of Engineers. This monograph describes what the technique is and how it has been used, and provides guidance on conducting the process. The appendix includes a sample agreement.

Edelman, Lester, Frank Carr, Charles Lancaster, and James L. Creighton, Non-Binding Arbitration, Alternative Dispute Resolution Series IWR Pamphlet 90-ADR-P-2, U.S. Army Corps of Engineers Institute for Water Resources, Fort Belvoir, VA, 1990.

This is a companion to the minitrial paper described above. It explains the Corps experience and gives a step-by-step outline for using this process. The appendix includes a sample agreement.

Fine, Erika S. and Elizabeth S. Plapinger, eds. for the CPR legal Program, Containing Legal Costs: ADR Strategies for Corporation, Law Firms, and Government, Butterworth Legal Publishers, 1988.

This is a collection of articles on implementation by experienced attorneys and practitioners. It covers specific types of disputes such as employment and technology disputes. See especially "Corporate Responses: Institutionalizing ADR," "Litigation Management," and "The Federal Government's Use of ADR."

Fisher, Roger and William Ury, Getting to Yes: Negotiating Agreement Without Giving In, Penguin Books, New York, 1981.

This is the book that began the modernization of negotiation with the creation of win-win, interest or principle based negotiations, from the Harvard Negotiation Project. It details: how to separate the people from the problem; focus on interests, not positions; establish precise goals at the outset of negotiations; work together to create options that will satisfy both parties; and negotiate successfully with opponents who are more powerful, refuse to play by the rules, or resort to "dirty tricks."

Folberg, Jay and Alison Taylor, Mediation: A Comprehensive Guide to Resolving Conflicts without Litigation, Jossey-Bass Publishers, San Francisco, 1984.

The authors present a framework for effective mediation for professionals who desire to integrate mediation into existing roles. This work presents the various stages of mediation and discusses concepts for skills building.

Gary, Barbara, Collaborating: Finding Common Ground for Multiparty Problems, Jossey-Bass Publishers, San Francisco, 1989.

This work presents an approach to confronting problems and polarized legal or political issues. It describes problem sharing and conflict resolution as collaboration and offers well-organized and specific information for understanding and evaluating the resolution process. It includes case studies and covers such issues as when not to collaborate, how to ensure compliance, and how to determine the mediator's role.

Goldberg, Stephen B., Eric D. Green, and Frank E.A. Sander, Dispute Resolution, Little, Brown and Company, Boston, 1985.

Intended for use in a basic course on dispute resolution, this book provides an overview and examines the processes. The case studies and examples of dispute resolution application give insight into practical uses of ADR.

Jandt, Fred E., and Paul Gillette, Win-Win Negotiating: Turning Conflict into Agreement, John Wiley & Sons, New York, 1985.

This book provides a different perspective on interest-based bargaining from that of Fisher and Ury, authors of "Getting to Yes." Jandt recommends a more direct and head on approach to negotiations in chapter nine, "Getting Past 'Yes'." He states that "you can't negotiate agreement without giving in; and that if you never give in, you're not negotiating, you're merely forcing the other folks to bend to your will." Also provided in this book is a discussion on the nature of conflict, why conflict is not necessarily bad, and strategies or approaches to different sources of conflict.

Kanowitz, Leo, Cases and Materials on Alternative Dispute Resolution, West Publishing Co., St. Paul, Minn., 1986.

Designed as a law school text book, this work includes sections on the various processes. The appendices include some pertinent Federal and state statutes and regulations.

Lancaster, Charles L., ADR Round Table: U.S. Army Corps of Engineers, Alternative Dispute Resolution Series, IWR Working Paper 90-ADR-WP-1, U.S. Army Corps of Engineers Institute for Water Resources, Fort Belvior, VA, 1990.

This report addresses major perceived obstacles to implementing ADR and strategies to overcome them. It also lists practical suggestions for implementing ADR.

Lax, David and James. K. Sebenius,The Manager as Negotiator: Bargaining for Cooperation and Competitive Gain, The Free Press, New York, 1986.

The authors make the connection between negotiation and management in accepting negotiation as a way of life for the successful manager. Written from the perspective of the manager in the middle, it discusses dispute resolution from negotiations to systems change.

Levinson, Daniel R., G. Jerry Shaw, Christopher M. Okay, Using Alternative Dispute Resolution in the Federal Government, FPMI Communications, Huntsville, AL, 1993.

This report gives detailed information in describing the building blocks of ADR and the resolution methods. It describes ADR programs that executive agencies use. It also reviews how the judiciary and the legislative branches are incorporating ADR into their organizations.

Moore, Christopher, The Mediation Process: Practical Strategies for Resolving Conflict, Jossey Bass, San Francisco, CA, 1996.

This book on the mediation process has been one of the best-selling books on the subject since Fisher and Ury's Getting to Yes. For the last decade, the book has been a leading text on mediation in law, other professional schools, and universities. The expanded 1996 second edition includes more diverse areas of practice, new strategies and procedures, and provides insights on intercultural approaches to dispute resolution.

Moore, Christopher and Jerome Delli Priscoli, The Executive Seminar on Alternative Dispute Resolution (ADR) Procedures: the U.S. Corps of Engineers, CDR Associates, Boulder, 1989.

Designed as part of an intensive training course for agency executives, this material presents the spectrum of ADR processes, concepts, and skills as an adjunct to general management techniques.

Potapchu, William R., James H. Laue, and John S. Murray, Getting to the Table, IWR Working Paper 90-ADR-WP-3, U.S. Army Corps of Engineers Institute for Water Resources, Fort Belvoir, VA, 1990.

This is a guide to designing a process for getting the parties of a dispute to an acceptable forum as the first step in an ADR procedure. It presents cases and guidance for step-by-step analysis and procedure and a variety of approaches to overcoming obstacles to getting parties together initially. The appendices include a "Guide to Situation Assessment" and "SampleProtocol."

Singer, Linda R., Settling Disputes: Conflict Resolution in Business, Families, and the Legal System, Westview Press, San Francisco, 1990.

An effective overview of ADR in a variety of settings, this work discusses the advantages and disadvantages of ADR from the perspective of potential participants and others affected. See especially the chapters on "Settling Business Disputes", "Settling Public Disputes,", and "ADR and the Legal System."

Susskind, Lawrence and Jeffrey Cruikshank, Breaking the Impasses: Consensual Approaches to Resolving Public Disputes, Basic Books, Inc., New York, 1987.

Consensus-building strategies to effect win-win solutions to conflicts are described. This is a practical guide on ADR procedures, from unassisted negotiation to assisted processes, written specifically for public officials.

Ury, William, Getting Past No: Negotiating with Difficult People, Bantam Books, New York, 1991.

From the co-author of Getting to Yes and a member of the Program on Negotiation at Harvard Law School, this book continues the interest or principle-based bargaining strategy. It focuses on negotiating with people who don't really want to negotiate. It provides methods for dealing with obstacles to negotiations such as disarming tough bargainers, dodging dirty negotiation tricks, reframing rather than rejecting, and making it hard for the other party to say no. The objective of this style of bargaining is to bring the other side to its senses, not its knees.

U.S. Department of Labor, Committee Effectiveness Training: Skill Building for Labor-Management Groups, Bureau of Labor-Management Relations and Cooperative Programs and the Government Printing Office, BLMR, Washington, DC, 1991.

Developed in collaboration with the Federal Mediation Conciliation Service, this guidebook provides a very comprehensive system to develop better labor-management relations. Included are methods for assessing ones needs, developing consensus, transforming barriers into objectives, establishing groundrules, running effective meetings, group problem solving, improving communications, and sharing leadership. Trainer's resources and slides are included for those who wish to designate an in-house trainer.

U.S. Office of Personnel Management, Federal Labor-Management Cooperation: A Guide to Resources, Office of Labor Relations and Workforce Performance, Personnel Systems and Oversight Group, Washington, DC, July 1993.

This guide is useful as a primer to labor-management cooperation and ADR. It includes a list of Federal sources of training and a comprehensive annotated bibliography.

U.S. Office of Personnel Management, Compendium of Labor-Management Cooperation Activities in the Federal Government, Office of Labor Relations and Workforce Performance, Personnel Systems and Oversight Group, Washington, DC, May 1992.

This publication provides a brief look at the many diverse forms of labor-management cooperation throughout the Federal government, including ADR. It is useful as a contact source for organizations wishing to get first-hand knowledge of existing cooperative efforts.

Washington Education Association and Washington State School Directors' Association with the assistance of Professors' Stephen Goldberg, Northwestern University and Chester McCall of Pepperdine University, Grievance Mediation: The Preferred Route for Resolution of Contractual Disputes, Washington, 1988.

This academic study found that the introduction of grievance mediation as a step prior to arbitration will yield faster, less expensive, and less time-consuming resolutions to all grievance disputes that are resolved without proceeding to arbitration.