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Review of Studies On Mediation and Negotiation
Review of Studies On Mediation and Negotiation
JCR Research on
Negotiation and
Mediation
Daniel Druckman1,2,3, and James A. Wall4
Abstract
Six decades of JCR research on negotiation and mediation are celebrated in this article.
Starting with the earliest articles on these topics, we trace the development of
recurring themes. The themes serve to organize a review of findings reported in the
journal. The research on negotiation covers processes and conditions that occur prior
to, during, and at the end of negotiation. The work on mediation provides insights into
mediator approaches and impacts. This article concludes with suggestions for inte-
grating and better understanding of the negotiation and mediation processes.
Keywords
mediation, negotiation, recurrent JCR themes
1
Schar School of Policy and Government, George Mason University, Fairfax, VA, USA
2
Department of Modern History, Politics, and International Relations, Macquarie University, Sydney,
Australia
3
School of Political Science and International Affairs, University of Queensland, Brisbane, Australia
4
Trulaske School of Business, University of Missouri, Columbia, MO, USA
Corresponding Author:
Daniel Druckman, Schar School of Policy and Government, George Mason University, 3351 Fairfax Drive,
Arlington, VA 22201, USA.
Email: dandruckman@yahoo.com
2 Journal of Conflict Resolution XX(X)
been popular topics for contributors to and readers of the journal. With about 150
articles published since 1957, there is much to discuss. We organize the discussion in
terms of recurring themes, beginning with the earliest articles on each topic. We then
trace the development of central findings and contributions that have appeared
through the decades.1
The article is divided into two parts. The first part on negotiation is divided into
six thematic concepts that have been at the forefront of the published research. The
second part on mediation develops themes introduced in the early JCR articles on
this topic. Although the thematic approach taken in the review is similar for both
topics, the respective literatures have evolved in different ways. Negotiation scholar-
ship has been cumulative, evincing a continuity from early to recent articles. Media-
tion scholars have focused more on issues of structure and processes. This difference
is reflected in the way the two sections are developed.
Negotiation
Negotiation has been a popular topic for JCR authors. With nearly 100 articles
appearing on this topic since the inception of the journal, JCR has been a preferred
outlet for negotiation researchers. The articles cover a wide range of theoretical and
methodological approaches including contributions from most of the social sciences.
Both cognitive and social dynamics have been featured in experiments, case studies,
statistical analyses, and formal modeling approaches. A review of the articles can be
organized thematically by tracing paths from early classics and from recurrent
themes that have appeared over time in the journal. This approach highlights the
thematic coherence of the JCR contributions and, by so doing, provides a window
into the way that knowledge has accumulated on each of these concepts.
Thematic Paths
Several articles appearing in the early issues contribute key concepts that influence
the way we think about negotiation and the research of a number of other JCR
authors. We begin with themes introduced by two articles from the first JCR issue
(prominent solutions and concession-making dynamics), continuing with four other
themes introduced in articles appearing in the fifties and sixties, and conclude the
section with a discussion of contextual influences.
Prominent solutions
Schelling’s (1957) idea of tacit bargaining calls attention to nonverbal elements in
negotiation and makes evident that negotiation is not limited to formal discussions
around a table. Indeed, “bargainers” often engage in nonverbal communication
intended to coordinate their interests. Faced with incomplete information about the
other’s preferences and uncertainty about one’s own preferences, bargainers are
Druckman and Wall 3
Summary. Following Schelling’s introduction of the idea of focal points, several JCR
authors specified conditions that either increase or decrease its usefulness as a solution.
Focal points are helpful when information about the other’s preferences is unclear,
when the reward matrix is clear, and when the bargainers adhere to fairness norms.
4 Journal of Conflict Resolution XX(X)
They are less relevant when there is a lack of clarity in the reward structure found in
complex games, when there are opportunities to communicate and obtain information
from an opponent, and when other strategies to induce cooperation are available.
Concession-making
In another article in the first issue of JCR, Douglas (1957) pioneered the idea of bargaining
phases. She observed an orderly movement in cases of labor management negotiation. The
sequence proceeds from establishing the bargaining range (phase 1) to reconnoitering the
range (phase 2) and to precipitating the decision-making crisis (phase 3) where concession-
making must take place. The phase 1 bargaining range idea surfaces again in JCR five
years later in the 1962 article by Ikle and Leites. The phase 3 dilemma resembles Ikle’s
(1964) concept of a threefold choice (agree, withdraw, and continue) and Druckman’s
(1986) analysis of stages, crises, and turning points (see also Druckman 2001).
Concession-making in bargaining was a popular research topic in the 1960s and
1970s. A debate that received the most attention perhaps was between Siegel and
Fouraker (1960) and Osgood (1962). The former recommended setting levels of
aspiration high and not offering concessions. The latter argued that moderate con-
cessions are helpful in reaching agreement after a long impasse of mutual toughness.
Komorita (1973) weighed in on this debate with experimental evidence. He showed
that the “toughness” hypothesis was valid at the initial and intermediate stages of
bargaining, but the “softness” hypothesis was valid at a later stage after an extended
deadlock and when the expected losses were high: early toughness followed by later
concessions resulted in the best agreements. The way that the concession is com-
municated at the time of transition is also important. Lindskold and Finch (1981)
showed that noncontingent communications (“I will cooperate”) worked better than
contingent messages (“If you will cooperate I will”) or no communication. This
finding is consistent with Osgood’s Graduated Reciprocation in Tension Reduction
(GRIT) proposal of making unilateral cooperative moves. They remove ambiguity
from one’s intention to make progress.3
Turning to more complex negotiation situations, several JCR authors asked how
international negotiators respond to each other’s concessions. An early study by
Jensen (1963) on Soviet–US disarmament negotiations showed a strong willingness
to reciprocate concessions in the same (immediate response) or next (delayed
response) round of bargaining. Similar findings were reported in Jensen’s (1984)
update of the disarmament negotiation data set (twenty-three rounds of the Strategic
Arms Limitations Talks/Treaty [SALT I and II] from 1969 to 1979). Jensen’s SALT
data set was used by Stoll and McAndrew (1986) to evaluate three alternative models
of concession-making, referred to as directional (Tit-for-Tat: TFT), trend (response to
concession changes in previous rounds), and comparative (matching the other’s pre-
vious concession) responsiveness. They found some support for both the trend and
comparative models, suggesting that responses made to the other’s moves involve
more complex information processing than needed for the action–reaction dynamic
Druckman and Wall 5
characteristic of TFT. These findings call attention to a more complex dynamic than
shown by Axelrod (1980) to occur in the prisoner’s dilemma game.
Taking these evaluations further, Druckman and Harris (1990) compared ten
models with seven cases of international negotiation. Nine of the ten models were
variations on trend and comparative responsiveness using different weightings, lags,
and combinations. Clear results indicated that the comparative reciprocity model
was the best fit to the cases: negotiators reacted to the difference between their own
and the other’s previous move. Implications were developed for perceived fairness
and monitoring in negotiation (see also Druckman 1986). They also support the
laboratory findings from Bartos (1977) and the 1962 to 1963 nuclear test ban nego-
tiation findings from Hopmann and Smith (1977) showing that negotiators largely
discount the past (trend reciprocity) when reacting to each other’s moves.
Bargainers appear to be rooted in the present or oriented to the future when
considering concessions. As noted by Bartos (1977), “they are torn between the
desire to make a large concession and get a quick agreement and the fear of being
taken advantage of” (p. 573). The decision made at any juncture has been shown to
be influenced by a web of situational factors (in the present) and by expectations for
unfolding processes. The web includes audiences, location, time pressure, constit-
uency pressures, alternatives, and distance between positions (Druckman 1993). It is
also influenced by a powerful reciprocity norm (Diekmann 2004).
Looking toward the future, a variety of solution concepts have been proposed, the
most popular being the Nash equilibrium and related expected utility concepts
(Felsenthal and Diskin 1982). Many of these concepts can be subsumed under a more
general principle of fairness (Bartos 1977), equality (Albin and Druckman 2012), or
prominence (see above) as well as optimality or integrative solutions (Carnevale and
Lawler 1986). But Brams and Doherty (1993) raised questions about solution con-
cepts. They showed that current information may be a more powerful source of
intransigence than such forward-looking formulae as the Condorcet solution.
Summary. Concession-making is central in models of distributive bargaining. Labora-
tory research has shown that a strategy of early firmness followed by later conciliation
produces the best agreements. Research has also shown that offers are accepted more
often when they are not contingent on the other’s response. Moving from the labora-
tory to cases of international negotiation, authors of JCR articles have demonstrated
that negotiators respond to the difference in concessions made in the most recent
moves. This form of comparative reciprocity is rooted in the present but oriented
toward the future. Throughout the negotiation process, bargainers are guided by fair-
ness norms but also influenced by a variety of forces in the immediate situation.
readers by Deutsch (1958), and the strategic concept of threats was analyzed by
Kelley (1965).
Trust. Deutsch (1958) contrasted trust and suspicion in terms of attributions of intent.
Mutual trust (or suspicion) occurs when each bargainer perceives the other as having
positive (or malevolent) intentions. Perceived intention is one of the several condi-
tions hypothesized to influence trusting or suspicious behavior. Other conditions
include the opponent’s perceived power, the power relationship between the parties,
communications, third parties, and self-esteem. Results from Deutsch’s gaming
experiments showed that trusting behavior was more likely to occur when (a) there
was an opportunity to know what the other is likely to do before committing to a
trusting choice, (b) cooperative intentions were communicated along with proce-
dures for dealing with violated expectations, (c) the players had the power to reduce
the other’s incentive to make untrustworthy choices, and (d) there was a third party
whose choices were detrimental to both of the principal game players. These find-
ings illuminate the importance of aspects of the game situation as influences on
decisions. A large experimental literature on trust in negotiation developed in the
years since the Deutsch article. Some of these articles appeared in the JCR and are
discussed in the paragraphs to follow.
Trust plays a role in responses to the other’s strategy. The increased levels of
cooperation in response to a reciprocating (tit for tat) strategy was shown by Pilisuk
et al. (1965) to be related to the predictability of this strategy. As noted by Wilson
(1971), consistent responding to the other’s choices—reward cooperative, punish
competitive choices—bolster perceptions of credibility, which turn the game from
mutual competition early to mutual cooperation later. By monitoring and then imi-
tating the other’s choices, this strategy produces a form of trust referred to as
calculus based.
Studies by Halpern (1994) showed differences in the way that friends (i.e., trusted
parties) and strangers (i.e., less trusted) bargain. Whether in the role of buyer or
seller, pairs of friends made pricing decisions that were favorable (better than a
midpoint prominent solution) to their counterpart while stranger pairs did not. Trust
and anticipation of future interactions with friends (vs. strangers) also motivates
negotiators to develop and follow scripts that foster cooperative behavior. These
effects generalized widely across contexts, commodities, role (as negotiating for
oneself or through an agent), and when observing others engage in friend or stranger
transactions (Halpern 1997). The scripting effects may also influence the develop-
ment of rapport as the negotiation unfolds (Bronstein et al. 2012). This logic is
consistent with Arad and Carnevale’s (1994) finding that negotiators react differ-
ently to the same evenhanded offers when made by a member of one’s own group or
by a member of an adversarial out-group.
Trust comes into play as well when international negotiators face a crisis, such as
the death of one party’s president during the talks. When given a choice to agree,
continue, or reframe the negotiation at the moment of crisis, Druckman and Olekalns
Druckman and Wall 7
(2013) found that the type of trust made a difference. The agree choice was made
when affective trust, defined as shared values, was high. The continue choice was
made when cognitive trust, defined as meeting expectations, was high. The reframe
choice was most likely to occur when trust (either affective or cognitive) was low.
Threats. As Schelling and other authors note, threats can be beneficial in negotiations by
communicating one’s own position, reducing the other’s aspirations, or motivating the
other to make concessions. Yet several aspects of the threatening situation influence the
way intended threats are interpreted (Kelley 1965). These include the language used to
communicate the threat, the relative status of senders and receivers of threats, dimen-
sions of the mixed-motive situation such as compromising alternatives, and the history
of the relationship between the parties. The instrumental or goal-striving purposes of
threatening communications may give way to strong emotional reactions—such as
dislike, contempt, and moral indignation—that thwart the purpose of influencing the
other’s behavior in the short term and discourage further interactions over the long term.
Reactions to threatening communications depend on opportunities provided by both
the situation and the relational context in which the communications are embedded.
The question of meaning arises when the threatening and threatened parties attempt
to judge each other’s force capabilities and intentions to use them. This was illustrated
by Wagner’s (1982) analyses of nuclear deterrence through the prism of bargaining
theory. He suggested it is possible to evince a credible deterrent threat by implementing
a series of limited punishments in a game of attrition. Credible threats can also be
communicated better when leaders tie the other’s hands by incurring audience costs
than by the sunk costs incurred from pressuring them to mobilize troops. (Fearon 1997).
The motivation to use power is also influenced by psychological factors. Con-
trasting expected value with prospect theory, Butler (2007) showed that bargainers’
reference points make a difference in outcomes. Those who are guided by power or
aspirations maintain the status quo more often while equity-referencing bargainers
seek changes in the status quo when they judge that it is inequitable, even when they
are more powerful than their bargaining opponent. While power-referencing bargai-
ners may make their threats more credible, equity-referencing bargainers increase
the chances for lasting agreements.
Turning forward to the world of international politics, Debs and Weiss (2016)
demonstrated that domestic audiences may play an important role in the use of force.
They showed that when constituencies encourage the use of force, governments can
extract better terms than when these audiences discourage force or are silent about the
issue. Thus, in addition to the availability of coercive capabilities, international bar-
gainers may need public support to embolden them to increase their demands rather
than to concede to the other’s demands. Another recent article by Brown and Urpe-
lainen (2015) showed that international treaty negotiators are influenced by and can
influence domestic interest groups. By strategically selecting treaties to support, they
can mobilize interest groups to promote particular candidates. Likewise, powerful
interest groups can influence treaty negotiators’ leeway to shape political outcomes.
8 Journal of Conflict Resolution XX(X)
Summary. Trust and threats are two sides of a coin referred to as positive and negative
bargaining. The thread of JCR studies following Deutsch’s (1958) article showed that
trust plays an important role in attaining agreements that work for all of the bargai-
ners. Laboratory studies demonstrated that perceived predictability and credibility
increase the chances that a cooperative move will be reciprocated. Analyses of inter-
national cases showed that comprehensive agreements to end violence were more
likely to occur when negotiators moved up the trust ladder from predictability to
identity-based trust. The “higher-level” trust is activated as part of a cognitive script
when friends bargain, leading to both concessions and rapport at the table. It also
encouraged taking risks by continuing to negotiate in the face of crises or impasses.
A thematic emphasis on threats is also in evidence by JCR authors following
Kelley’s (1965) article. The research illuminates the multifaceted features of threa-
tening communications. Interpretations of threats by threatened parties are influ-
enced by the historical relationship to the party conveying the threat, how the threat
is delivered, the orientation of the threatener, the relative perceived power of the
parties, and support from constituencies and other audiences.
Types of conflict
In his 1963 JCR article, Aubert distinguished between conflicts of interests and a
conflict of values. The former arises from situations of scarcity where actors must
compete for the limited supply of valued goods. It is often settled through distribu-
tive bargaining practices. The latter is based on a disagreement over the normative
status of a social object and may call into play issues of identity. The oppositional
values are often debated but rarely resolved through bargaining. They evoke intense
conflicts that may involve deeply held moral, ideological, and religious beliefs.
Progress has, however, been made recently on ways to mollify the pernicious effects
of different values on bargaining settlements.
In their recent study on value versus interest conflicts, Harinck and Druckman
(2017) showed that when a conflict is about values, an intervention known as other
affirmation reduces the intensity of that conflict and leads to better joint outcomes
than when the other’s values are not affirmed. Other-affirmation bargainers listed
the positive qualities, unrelated to their different values, of their opponent. The
better joint outcomes were due to increased self-concern or higher aspirations and
decreased defensiveness about their value-derived positions. Another intervention,
referred to as shared identity, did not improve the joint outcomes attained by the
opposed values (or opposed interests) bargainers.
Another approach to dealing with the conflict-intensifying effects of value dif-
ferences is by encouraging discussion of values in informal prenegotiation settings
(Druckman, Broome, and Korpor 1988). When the informal discussion increases
perceptions of familiarity and liking, more settlements occur (Druckman and
Broome 1991). But, it may also be the case that the conflict itself encourages the
Druckman and Wall 9
Intraorganizational processes
McKersie, Perry, and Walton’s (1965) article on intraorganizational bargaining
examined the role of union negotiators who attempted to reach an agreement with
management while simultaneously pleasing their constituents. They did this by
employing a set of tactics that included insulation from their constituents, commu-
nicating shared objectives, tacit cooperation with the company representative, utility
matching or logrolling (trading on less important issues), and timing their
10 Journal of Conflict Resolution XX(X)
concessions to avoid a strike. These tactics were intended to help them resolve a
boundary role conflict where bargainers attempt to manage the competing pressures
from their own and the other side (see Druckman [1977] for an application of this
concept to international negotiation and Putnam [1988] for an analysis of two-level
games in domestic and international politics).
This dual “representative–bargainer” role or the boundary dilemma of the repre-
sentative is construed by McKersie et al. as pushes and pulls from two entities, the
company representative and the local unions. Yet neither of these entities was
monolithic. Postures and positions varied considerably among the local unions being
represented. A question of interest is: how do these within-team differences play into
the between-team talks? This question was addressed in a labor management
bargaining experiment by Evan and McDougall (1967). They found that public
disagreements within both teams (bilateral dissensus) produced more and better
terms of agreement than when there were no differences (bilateral consensus) or
differences within only one of the teams (unilateral dissensus). They also showed
that the moderates within each team collaborated and managed to move their more
extreme teammates closer to the center, paving the way for agreements.
A replication of these experimental conditions was conducted fourteen years later
in a different context by Jacobson (1981). He simulated the Israeli–Palestinian
conflict over the West Bank and the Gaza Strip. His results supported the earlier
finding: bilateral dissensus led to more and better agreements than bilateral consen-
sus or unilateral dissensus. Similar to another Evan and McDougall finding, he found
no support for the hypothesis that divided parties would be dominated. Both experi-
ments demonstrate the importance of the structure of the situation. Open dissent has
positive consequences when it serves to moderate the positions of more extreme
members of the negotiating team. It may also be regarded as a strategy for resolving
intra- or interorganization disputes.
The bilateral dissensus condition in both these experiments reduced the competi-
tiveness often found when teams, rather than individuals, negotiate (Polzer 1996).
They also attained more integrative rather than compromise solutions to the issues.
As demonstrated by Polzer, this is more likely to occur when experimental subjects
have a keen understanding of the issues.
Teams afford the opportunity to share more ideas, which is an important feature
of the information exchange that occurs prior to deciding on an agreement that
integrates the various interests represented at the table. Bilateral dissensus expands
the range of ideas discussed within and between the teams and thus is more likely to
produce integrative outcomes. But the issues are also important as Marwell (1966)
notes in his typology of cleavage. The positive effects of within-team differences
may be limited to conflicting interests. Conflicts over values or cognitions may be
more difficult to resolve within teams and to integrate between teams.
Summary. In their analysis of labor negotiations. McKersie and his colleagues iden-
tified a role in which bargainers attempt to balance their loyalty to those they
Druckman and Wall 11
represent with the task of attaining agreement with the opponent. Referred to as a
boundary role, this dilemma entails monitoring the constituents for preferences and
the opponent for movement. This dual monitoring is further complicated when there
are divisions within teams. It is also the case, however, that these divisions can be
used tactically by both labor management and international bargainers as a tactic for
resolving the conflict. It reduces between-team competitiveness by providing a
mechanism where moderates soften the stances taken by their more extreme dele-
gates. By increasing the exchange of information, within-team dissensus also
increases the chances for an integrative agreement.
Institutional context
A major contribution of the JCR negotiation literature over the past six decades has
been that numerous authors call attention to the domains within which negotiation
takes place. These include bargaining within environmental, trade, and arms control
institutions as well as between antagonists in intrastate conflicts. The article by
Bayer, Marcoux, and Urpelainan (2015) compares state international organizations
bargaining for twenty recipients of projects from the Global Environment Facility.
A key independent variable in this study is whether the implementing agency was
egalitarian (United Nations Development Programme [UNDP]) or nonegalitarian
(World Bank). They found that economically important countries (e.g., China and
India) performed better than less important countries (e.g., Jordan and Morocco)
when bargaining with nonegalitarian, but not egalitarian, international organizations.
This may reflect the observation that egalitarian international organizations have a
worldview that supports economically disadvantaged countries. A larger implication
is that organizational context matters, particularly with regard to the composition of
the bargaining parties.
The article by Milner and Rosendorff (1997) showed how domestic politics
shaped international trade negotiations. A particularly interesting result of their
game-theoretic models is that election induced uncertainly reduces cooperation in
the negotiations. Under these conditions, trade negotiators are reluctant to seek
trade liberalization in favor of more protectionist positions favored by legislators.
Uncertainty is also induced by divided governments. Contrary to Schelling’s (1960)
conjecture about the advantages of divided government, these authors show that
trade negotiators from divided countries are less effective in extracting better inter-
national agreements (see Huth and Allee, 2002 for a similar finding in territorial
dispute negotiations). More broadly, this study illuminates the importance of domes-
tic politics in international trade negotiations. Trade negotiators have more leverage
to deal with foreign governments—and to ratify the deals—when they represent a
unified legislature and election outcomes are predictable. These deals are more
likely to favor free rather than protectionist trade.
Arms control is another negotiating domain represented by JCR authors. Many of
the earlier articles, discussed above, focused attention on a concession-making
12 Journal of Conflict Resolution XX(X)
Note: Due to space limitations, JCR studies on such themes as culture, social identity, and longterm peace
are not included in this article. The reviews of these themes are, however, available from the authors.
Mediation
When we shift from negotiation to mediation, there is a penchant to view mediation as an
expanded negotiation. With negotiation, there are typically two interacting parties and
one negotiation. Now with mediation, there are three parties and three negotiations—the
original one as well as negotiations between the mediator and each of the negotiators.
While this extrapolation is understandable, it does not capture the nature of the
mediation process. That process is better regarded as one of influence, in which the
mediator attempts to alter the negotiators’ behaviors toward each other and to
improve their relationship. And, as we will soon learn, these influence attempts are
more complex than the negotiators’ behaviors.
Because the mediation process differs significantly from that of the negotiation
and because the mediator’s behaviors are more complex, the mediation literature is
more diverse and episodic than the negotiation literature. There is some overlap with
the negotiation literature; there are a few common threads, but mediation scholars
mainly focus on objectives, about half a dozen of them. At first, researchers sought
to delineate the structure of the mediation process. Subsequently, they investigated
the components and the links among them. These components include antecedents to
mediation, mediator behavior, effects of mediation on outcomes, and interactive and
direct effects. They are the basis for the sections that follow.
Antecedents Mediator
Outcomes
Behavior
Mediator behavior. Wall (1981) presents an exhaustive list of a 100 mediation tech-
niques and sorts them into broad categories. After listing these techniques, he notes
that they are seldom, if ever, applied alone. He proposed a research plan for
studying the techniques and their combinations. The first task is to identify them
within mediations. One way to do this is to survey the mediators, subsequent to the
mediation, and to ask them what they did. Their statements can then be coded for
technique use. Such an approach was employed by Wall and colleagues in about a
dozen studies of community mediation (e.g., Callister and Wall 2004). Likewise,
Wall and Druckman (2003) utilized this approach in studying peacekeeper
mediation.
Druckman and Wall 17
While seemingly effective, surveying the mediators depends heavily upon their
recall, which can be limited. A better approach was pioneered by Pruitt and his
colleagues (1993). In their study of community mediation in the United States, they
had observers watch the mediations and code the statements as well as the actions of
the mediators. This approach was very demanding on the observers/coders and relied
strongly upon the cooperation of the mediators and their superiors. Unfortunately,
such cooperation is not easily obtained. Therefore, similar studies have not been
pursued and published in JCR.
After identifying the techniques, a second task when studying the mediators’
techniques is to condense their number in some manner. If scholars do not, there
will be too many techniques to deal with in their studies and the results would be
difficult to interpret. Furthermore, including all of the techniques and their combina-
tions in studies would capitalize on chance findings when investigating the outcomes
of the behaviors. With the objective of limiting and/or condensing the techniques in
some meaningful fashions, scholars have proceeded along a broad, mixed front.
Some researchers selected the techniques they wanted to investigate and then studied
their antecedents and outcomes. This was the approach of Wall and Druckman
(2003) in their study of peacekeeping mediations.
An approach that reduces the number of techniques more adequately is to develop
taxonomies—referred to as strategies or styles. This is the most prevalent approach
(Wall and Lynn 1993) in the wider mediation literature. Some taxonomies are
conceptual (Bercovitch and Houston 2000), while others (Wall and Rude 1987) are
empirically based. The pioneering taxonomy was constructed by Kressel and Pruitt
(1989). It contains three basic groups of techniques: reflexive, substantive, and
contextual. For their studies of international mediation, Bercovitch and Houston
(2000) also traveled this conceptual route. They identified three fundamental
mediator strategies: communication-facilitation, procedural, and directive. This
taxonomy was adopted in part by Beardsley et al. (2006) and Wilkinfeld et al.
(2003). In her study of interorganizational conflicts, Kolb (1987) interviewed
ombudsmen and on the basis of her interviews classified them into two groups:
helpers and fact finders.
Wall and his colleagues identified the strategies of assistance, procedure, educat-
ing, and use of third parties in China (Wall and Blum 1991). In Korea (Kim et al.
1993), they identified the strategies of reconciliation, emphasis on dependency,
analysis, and data gathering. In Wall and Callister’s (1999) study of Malaysian
community mediation, the categories of caucusing, assertiveness, and use of infor-
mation emerged. Instead of developing taxonomies for the techniques, researchers
can cut through the mediator behaviors, labeling them, for example, as biased or
neutral (Svensson 2009).
The above listing of the various condensations employed by JCR scholars spawns
a critical question: Has there been progress in condensing the 100 possible mediation
techniques? At this point, we can identify over a dozen categories in the JCR
literature, and a review of the wider literature contributes another dozen or so. While
18 Journal of Conflict Resolution XX(X)
these lists are much too long, there is an opportunity for progress. Kleiboer (1996)
maintains that the various styles/strategies can be described on an ascending scale of
mediator involvement from passive to active. A facilitative or neutral style would be
passive, directive would be active, and fact finding is in the middle. This conclusion
is consistent with Wilkenfeld and colleagues’ (2003) contention that the literature
has converged on three styles: facilitative, formulative, and manipulative. We can
extend this line of thought by scaling most of the categories along a passive–assertive
continuum. Facilitative can be viewed as passive (third-party consultation is included
in this group). Manipulative is judged to be assertive, and formulative is somewhere in
the middle.
With this scaling as a template, we could progress in condensing the techniques
and styles by first identifying exactly what the mediators said and did. When these
are obtained, they could each be scaled for assertiveness. Researchers could also
look for surrogates or indicators of assertiveness such as the number of techniques
employed, length of the mediation, number of caucuses with each side, or number of
mediations. Subsequent to the coding of the mediators’ overall behavior, along a
passive–assertive dimension, researchers could, in a coordinated manner, examine the
antecedents to this behavior, its outcomes, and the factors affecting the outcomes.
Such structuring is necessary if we are to advance from the current state of affairs
where each researcher selects his or her preferred behavior or style to investigate.
that was evenhanded and that addressed all of the problems led to long-term success
(notably compliance), improved relationships, and the absence of new problems.
From the international arena, Svensson (2009) reports that biased behavior from
mediators (vs. neutral) is more likely to lead to elaborate institutional arrangements,
such as third-party security guarantees, which are conducive to durable peace. Also
from the international field, Beardsley and associates (2006) report the effectiveness
of the facilitation, formulation, and manipulation styles on the mediation outcomes.
Relying on the International Crisis Behavior database, they report that the facilita-
tion style leads to higher levels of postcrisis tension reduction, whereas the manip-
ulation style—the most assertive one—is more likely to yield formal agreements.
In concluding this section, we would like to report that in the wider mediation
literature there seems to be evidence that assertive mediator behavior leads to more
agreements than do passive, facilitative, and neutral behaviors (e.g., Wall, Dunne,
and Chan-Serafin 2011). This report is consistent with Regan’s (2002) and
Gleditsch and Beardsley’s (2004) investigations. The former seems to be
discussing third-party force rather than mediation, but it does make the point
that bias in intervention—more force against one party—is apt to yield success.
The latter authors report that consistency—which would be interpreted as more
assertive than inconsistency—heightens third-party influence.
Interactive and direct effects. When we move to the other factors affecting the out-
comes—other than mediator behavior (Figure 1)—it is often difficult to ascertain
whether authors are discussing factors that interact with mediator behavior to deter-
mine the outcomes or whether the factors under discussion have direct effects.
Having noted this problem, we lay it aside and discuss the factors that are in play.
In an early laboratory study, Bartunek, Benton and Keys (1975) found that
bargaining representatives who were highly accountable to their constituents were
more likely to accept a reasonable mediator suggestion than were representatives
who were not very accountable. This finding established that the negotiating context
of the mediation can be as important as the process.
Shifting to the international domain, Bercovitch and Langley (1993) reported
factors that influence mediation effectiveness. They developed an extensive data-
base by systematically scanning two major events data sources, from which they
gleaned information on mediations. They identified whether or not mediation took
place rather than attempting to determine the specific types of mediator behavior.
They showed that the outcomes of the mediation were affected by the nature of the
dispute, the parties, and the mediator. After examining the mediation data, they
concluded that the number of fatalities, dispute complexity, and timing of the inter-
vention affected mediation effectiveness. Specifically, high fatalities encourage
further hostility and contentious behavior, which diminish mediation effectiveness
in both the short term and long term.
Utilizing Bercovitch’s data bank, Greig (2001) found that the success of media-
tion behaviors in reducing both the severity of future disputes and the time until the
20 Journal of Conflict Resolution XX(X)
next use of force by disputants was affected by the timing of the mediation and by
disputant actions. With regard to timing, he found mediation was more successful
in the short term if it was initiated before disputants developed high levels of
hostility. But mediation was more successful in the long term if it came late, after
a stalemate had developed. As to the interactive effect of disputant actions, Grieg
reports mediation is effective in the short run if it is initiated by at least one of the
disputants. Also drawing on a large database—Issue Correlates of War—Hansen,
Mitchell, and Nemeth (2008) report that third-party intervention is more successful
in international disputes if the third parties have democratic members and if they
are highly institutionalized.
In their study of mediations at a community dispute resolution center, Zubek and
her colleagues (1992) unearthed several factors that they determined had intervening
and direct effects on the outcomes. Their results indicate that joint problem-solving,
a less contiguous relationship, no intangible issues at stake, and a continuing rela-
tionship increased the chances of reaching an agreement. Contentious behavior was
inversely related while a continuing relation was positively related to satisfaction.
Conclusion
The previous sections review the works of JCR negotiation and mediation scholars over
the past six decades and provide a base for suggestions about future research. These
scholars have focused on negotiators’ and mediators’ behaviors; however, they have
largely ignored the interplay between the two sets of behaviors. This link is delineated in
both the negotiation themes (Table 1) and the mediation paradigm (Figure 1), and
researchers would agree that the mediator’s behavior is determined in part by that of
the negotiators. Likewise, the mediator’s behaviors do alter the negotiator’s behavior.
Given this deficiency, what route do we recommend for addressing it? First, we
must acknowledge a basic premise: a study of the interplay of negotiation and
mediation behaviors must take place in a mediation setting. (Admittedly, this
approach would miss the situations in which negotiations take place without media-
tion thereby generating a nonrandom set of negotiations.) A second requirement is
that these studies must entail measurements of negotiator and mediator behaviors.
Pruitt’s studies of community mediation (e.g., Zubek et al. 1992) serve as a guide to
this research. Following this approach, investigators could observe and code both
negotiators’ and mediators’ behaviors in mediations. An alternative approach would
be to record the behaviors and code them later. Regardless of the path taken, we
believe it is essential that the measurement be based upon observation rather than
recall of the mediators or the negotiators.
We also suggest that the mediators’ and negotiators’ behaviors be recorded in
the order in which they occurred. This would allow scholars to trace the effects of
specific negotiators’ behaviors upon mediators’ behaviors and vice versa. Using
this approach, investigators might, for example, find that negotiator concessions
lead to subsequent assertive tactics by the mediator. Or they might find that when
Druckman and Wall 21
mediators note prominent agreement points, negotiators are more likely to agree.
We suggest this research approach in forthcoming mediation studies of civil cases,
community disputes, labor management negotiations, school-peer mediations,
victim-offender cases, and intrafirm disputes. International mediation presents a
larger challenge: negotiator and mediator behaviors are not accurately included in
the existing databases.
When researchers have a better handle on the interplay between the negotiator
and mediator behaviors, they can begin to study the antecedents to this interactive
process. They may find some antecedents, such as cultural norms, that influence both
the negotiators’ and the mediators’ behaviors. Other antecedents such as demands
from the negotiators’ constituents would not have dual effects. Similarly, some
researchers could investigate the outcomes from the negotiator–mediator interplay.
And other researchers could investigate the impact of interactive and direct effect
factors on the link between the negotiators–mediator behaviors and the negotiated/
mediated outcomes.
Funding
The author(s) received no financial support for the research, authorship, and/or publication of
this article.
Notes
1. A similar thematic approach was taken by Converse (1968) in her review of articles
appearing during the first twelve years of JCR.
2. Prominent solutions may be more effective in cooperative negotiation climates. In their
analyses of peace agreements, Druckman and Rosoux (2016) discovered that prominent
solutions were more likely to direct bargainers toward solutions when accompanied by
turning points in the negotiation process. The turning points were departures that oriented
negotiators toward cooperation (see Druckman 2001).
3. Druckman’s (1994) meta-analysis showed that bargainers’ compromising behavior was
influenced most strongly by their orientation and type of prenegotiation experience:
problem-solving and studying the issues prior to negotiation produced the largest effect
sizes.
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