Spectrum of Collaborative Processes 

The “Spectrum” displayed here was created by the Collaborative and Facilitative Processes Committee, established by the Interagency ADR Working Group to meet 

the growing needs of federal agencies that are exploring and implementing new collaborative dispute prevention and resolution processes. This chart identifies a 

wide variety of collaborative techniques that agencies are using, or considering, to address a range of issues, internal and external, regulatory and nonregulatory. The common characteristic is the involvement of stakeholders or other affected persons in an agency’s approach to one or more issues. This project 

was greatly influenced by prior work of the Environmental Protection Agency’s Conflict Prevention and Resolution Center, published as: “Better Decisions through 

Consultation and Collaboration,” by Deborah Dalton and Philip Harter (2008).

In the chart, each column corresponds to a general approach or desired result. The rows identify agency objectives, sample processes and available ADR tools, and 

the role of the neutral. The processes included in the chart go well beyond the more commonly understood ADR procedures. Few, if any, of these processes have 

universally accepted definitions, and several of them are intentionally flexible in nature. Agencies, in general, would have to define, interpret, and apply them 

within their own statutory, regulatory, and practice contexts. As an aid to forming its own operational definition, an agency may find further information about the 

individual processes and how they have been used through a careful Internet search and consulting reliable sources resulting from that search. Agencies should 

also consider the extent to which any of the following statutes may bear upon the suitability of the various processes in the Spectrum:

Administrative Dispute Resolution Act, 5 U.S.C. § 571 et seq. (including Negotiated Rulemaking Act)

Freedom of Information Act, 5 U.S.C. § 552 et seq.

Privacy Act, 5 U.S.C. § 552a.

Federal Advisory Committee Act, 5 U.S.C. App. §§ 1-16.
Spectrum of Collaborative Processes

Outreach Inquiry Information Exchange Recommendations Agreements Stakeholder Action

Agency Goal or

Objective

Agency providing 

information to 

stakeholders or 

inviting input or 

comment

Obtaining information to 

enhance organizational 

decision-making or 

effectiveness

Providing and exchanging 

data, opinions, or options 

with stakeholders

Formulating or obtaining recommendations or proposals for 

agreement from influential or interested group, for agency 

and/or stakeholder action

Finalizing disposition of recommendations 

or otherwise reaching settlement or 

resolution of ongoing issue(s) or dispute

Empowering or encouraging 

stakeholders to take action on 

an agreed upon 

recommendation or settlement

Sample Processes Conferences

Fact sheets

Federal Register 

Open houses

Press releases

Websites

Formal/informal inquiry

Formal/informal 

investigation

Fact-Finding

Upward feedback

Charrettes

Focus Groups

Forums

Individual meetings

Listening sessions

Public hearings

Public meetings

Phone hotline

Roundtables

Scoping meeting

Town hall

Workshops

Advisory Board

Advisory Committee

Fact-Finding

Policy dialogue

Scoping meeting

Taskforce

Visioning process

Workgroup

Negotiated rulemaking

Negotiation

Collaborative Planning

Community Action

Implementation Committee(s)

Industry Initiative

Voluntary Program

Partnerships

Strategic Planning Committees

Role of the 

Neutral

Dissemination of 

information to 

stakeholders 

Works with individuals or 

multiple stakeholders to 

obtain information and 

feedback to report back to 

agency

Works with individuals to 

frame information sharing 

and receiving;

Facilitates discussion among 

stakeholders and/or agency 

officials to obtain and 

disseminate information, 

ideas, and concepts;

Reports information to 

agency or stakeholders as 

appropriate

Facilitates discussions between agency offices or units, 

stakeholders, and/or the agency for the purpose of 

generating, crafting, framing recommendations for agency 

and/or stakeholder action;

Resolves disputes between competing stakeholders to assist 

with formulation of recommendations;

Assists individuals or groups of stakeholders with framing and 

formulating concepts and ideas for recommendations;

Provides feedback and sets the stage for presentation of 

recommendations to the agency or stakeholder groups

Facilitates negotiated rulemaking 

committee meetings and committee 

negotiations;

Facilitates negotiations between the 

agency and stakeholders; 

Works with individuals to frame and 

communicate recommendations and 

related concerns to better accomplish 

party goals and objectives;

Resolves disputes between agency and 

stakeholders or among stakeholders

Facilitates discussion between 

the agency and stakeholders or 

among stakeholders to advance 

stakeholder action;

Helps resolves disputes 

between the agency and 

stakeholders to advance 

stakeholder action

Applicable 

Negotiation/ADR 

Tools 

N/A Coaching

Facilitation

Upward feedback

Coaching

Facilitation

Coaching

Conciliation

Facilitation

Upward feedback

Mediation

Coaching

Conciliation

Facilitation

Mediation

Conciliation

Facilitation

Mediation