alternative dispute resolution (adr): an overview

Alternative Dispute Resolution ("ADR") refers to any means of settling disputes outside of the courtroom. ADR typically includes arbitration, mediation, early neutral evaluation, and conciliation. As burgeoning court queues, rising costs of litigation, and time delays continue to plague litigants, more states have begun experimenting with ADR programs. Some of these programs are voluntary; others are mandatory.

The two most common forms of ADR are arbitration and mediation. Arbitration is a simplified version of a trial involving no discovery and simplified rules of evidence. Either both sides agree on one arbitrator, or each side selects one arbitrator and the two arbitrators elect the third to comprise a panel. Arbitration hearings usually last only a few hours and the opinions are not public record. Arbitration has long been used in labor, construction, and securities regulation, but is now gaining popularity in other business disputes.

Title 9 of the U.S. Code (http://www.law.cornell.edu/uscode/html/uscode09/) establishes Federal law supporting arbitration. It is based on Congress's plenary power over interstate commerce. Where it applies its terms prevail over state law. There are, however, numerous state laws on ADR. Thirty-five states have adopted the Uniform Arbitration Act as state law. Thus, the arbitration agreement and decision of the arbiter may be enforceable under state and federal law.

In 1970, the United States joined the UN Convention on the Recognition and Enforcement of Foreign Arbitral Awards (http://www.jus.uio.no/lm/un.arbitration.recognition.and.enforcement.convention.new.york.1958/doc.html).

Mediation is an even less formal alternative to litigation. Mediators are individuals trained in negotiations who bring opposing parties together and attempt to work out a settlement or agreement that both parties accept or reject. Mediation is used for a wide gamut of case-types: ranging from juvenile felonies to Federal government negotiations with Native American Indian tribes. Mediation has also become a significant method for resolving disputes between investors and their stock brokers. See, NASD Arbitration and Mediation (http://www.nasdadr.com).

menu of sources

Federal Material

Federal Statutes

• U.S. Code:
  • 9 U.S.C. - Arbitration
  • 9 U.S.C. Chapter 2 - Convention on Recognition and Enforcement of Foreign Arbitral Awards

Federal Judicial Decisions

• U.S. Supreme Court: Recent Decisions on Arbitration (http://supct.law.cornell.edu/supct/search/index.html?query=arbitration+or+mediation+or+(alternative+and+dispute))
• U.S. Circuit Courts of Appeals: Recent Decisions on Arbitration (http://www.law.cornell.edu/usca/search/index.html?query=arbitration)

State Material

State Statutes

• State Statutes dealing with ADR (http://www.law.cornell.edu/topics/state_statutes.html#alternative_dispute_resolution)
• Uniform State Arbitration Act (http://www.law.cornell.edu/uniform/vol7.html#arbit)

State Judicial Decisions

• N.Y. Court of Appeals:
• Recent Decisions on Arbitration (http://www.law.cornell.edu/nyctap/search/index.html?query=(arbitration+or+mediation+or+(alternative+and+dispute))+not+liibulletin)
• Commentary from liibulletin-ny (http://www.law.cornell.edu/nyctap/search/index.html?query=liibulletin+and+(arbitration+or+mediation+or+(alternative+and+dispute)))
• Appellate Decisions from Other States (http://www.law.cornell.edu/states/)

International Material

Conventions and Treaties

• UN Convention on the Recognition and Enforcement of Foreign Arbitral Awards (http://www.jus.uio.no/lm/un.arbitration.recognition.and.enforcement.convention.new.york.1958/doc.html)
• UNCITRAL Texts (http://www.uncitral.org/uncitral/en/other_organizations_texts.html)
• NAFTA Ch. 20 (Institutional Arrangements and Dispute Settlement Procedures) (http://www-tech.mit.edu/Bulletins/Nafta/20.dispute)

Other References

Key Internet Sources

Web Sites

• U.S. Department of Justice, Office of Dispute Resolution (http://www.usdoj.gov/odr/index.html)
• American Arbitration Association (http://www.adr.org/)
• Cornell/PERC Institute of Conflict Resolution (http://www.ilr.cornell.edu/depts/ICR/)
• Harvard Law School's Program on Negotiation (http://www.pon.harvard.edu/)
• Technical Arbitration and Conflict Resolution (http://www.batnet.com/oikoumene/tacr.html)
• Conflict Research Consortium (http://www.colorado.edu/conflict) (Univ. of Colo.)
• International Commerical Arbitration (http://www.lib.uchicago.edu/~llou/intlarb.html) (Univ. of Chicago)
• International Chamber of Commerce Index of International Arbitration and Alternative Dispute Resolution Services (http://www.iccwbo.org/)
• Federal Judicial Center Publications (http://www.fjc.gov/newweb/jnetweb.nsf/autoframe?openform&url_r=pages/556&url_l=index)
• International ADR (http://www.internationaladr.com/)
• Mediation Information and Resource Center (http://www.mediate.com/)
• Securities Arbitration Center (http://www.seclaw.com/centers/arbcent.shtml)

Articles, Publications

• Introduction to Securities Arbitration (http://www.seclaw.com/arbover.htm)

Useful Offnet (or Subscription - $) Sources

• Good Starting Point in Print: Federal Judicial Center, Alternative Dispute Resolution Publications (http://www.fjc.gov/newweb/jnetweb.nsf/autoframe?openform&url_r=pages/556&url_l=index) - including the following:
  • ADR and Settlement Programs in the Federal District Courts: A Sourcebook for Judges and Lawyers (http://www.fjc.gov/public/pdf.nsf/lookup/adrsrcbk.pdf/$File/adrsrcbk.pdf)
  • Alternatives to Litigation: Do They Have a Place in the Federal District Courts? 1995 (http://www.fjc.gov/public/pdf.nsf/lookup/altlitig.pdf/$File/altlitig.pdf)
  • Court-Annexed Arbitration in Ten District Courts 1990 (http://www.fjc.gov/public/pdf.nsf/lookup/courtannarb.pdf/$File/courtannarb.pdf)

other topics

Category: Courts and Procedure