Alternative Dispute Resolution: A Practical Guide for Resolving Government Contract Controversies

510 Pages·1999·8.43 MB·English

by  American Bar Association

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Alternative Dispute Resolution
A Practical Guide for Resolving Government Contract
Controversies
Prepared by the Special Committee
on Alternative Dispute Resolution
of the Section of Public Contract Law
Nothing contained in this monograph is to be considered as rendering
of legal advice for specific cases, and readers are responsible for
obtaining such advice from their own legal counsel. This monograph,
including any forms and sample agreements set forth as appendices,
are intended for educational and informational purposes only.
© 1999 American Bar Association. All rights reserved. Non-
copyrighted materials within the appendices are in the public domain
and may be freely reproduced and used.
Acknowledgments
Alternative Dispute Resolution (ADR) Committee Co-Chairs
Joseph M. McDade, Jr.
David E. Marmelstein
Primary Authors/Editors
Hon. Martin J. Harty
Joseph M. McDade, Jr.
Richard C. Walters
Contributing Authors
P. Jean Baker
James DeLanoy
Anthony H. Gamboa
Hon. Allan H. Goodman
Jeremy M. Griffin
Behn Miller
Nicholas P. Retson
Contributing ADR Committee Members
Hon. Ruth C. Burg
Richard F. Busch, II
Frank Carr
William F. Cloran
George M. Coburn
Paul G. Dembling
Donald G. Gavin
Hon. Robert J. Gomez
Carole S. Houk
David E. Marmelstein
Malcolm S. Mason
Karen D. Powell
Hon. Robert J. Robertory
George Sisson
Mark Wilkoff
Our thanks to Herman D. Levy, Esq. for his editorial assistance.
Page i
Table of Contents
I. Introduction 1
II. Cases Suitable for ADR 5
A. Screening Criteria Mandated by Congress Under the 5
ADRA of 1996
B. The DoJ Guidelines for Use of ADR in Federal 6
Litigation
C. ADR Case Screening: Factors to Consider 8
III. ADR Techniques 12
A. Non-Binding ADR Techniques 12
1. Mediation 12
2. Settlement Judge 15
3. Minitrial 16
4. Advisory Opinion 16
5. Dispute Review Board 17
B. Binding ADR: Arbitration/Summary Trial with 17
Binding Decision
Page ii
IV. Matching Your Controversy with the Appropriate ADR 19
Techniques
A. The Dispute Resolution Spectrum 19
B. Considerations for Choosing Specific ADR 22
Techniques
1. Binding ADR 22
2. Non-Binding ADR 23
a. Mediation 23
b. Minitrial 24
c. Outcome Prediction 24
V. Timing of ADR Use 26
A. Knowledge of the Facts/Need for Fact Finding 26
B. Financial Considerations 26
1. Contractor Financial Considerations 26
2. Government Financial Considerations 29
C. Protests: ADR Use by the GAO Timing 29
1. ADR Use Prior to Protest Submission 29
2. ADR Use after Protest Submission 29
D. Claims: ADR Timing 31
1. ADR Use Prior to CDA Claim Submission 31

Page iii
2. ADR Use after CDA Claim Submission 32
3. ADR Use after Issuance of Contracting Officer 33
Final Decision
VI. Designing the ADR Process 34
A. Guidelines for Drafting an ADR Agreement 34
B. Additional Considerations 36
VII. Selecting the Right Third Party Neutral 38
A. Considerations When Choosing a Neutral 38
1. Neutrality and Related Ethics Standards 38
2. Training 39
3. Experience 39
4. Subject Matter Expertise in the Type of Controversy39
B. Mechanics of Engaging a Neutral 40
1. Private Sector Neutrals 40
2. GAO Attorneys As ADR Neutrals 42
3. Boards of Contract Appeals Judges As ADR 42
Neutrals
4. Neutrals at the FAA Office of Dispute Resolution 42
for Acquisition
5. United States Court of Federal Claims 42
6. United States District Courts 43