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Recommendations on neighbour problems further explained

The recommended interventions in the guideline are developed according to the Guideline Method. More information and further elaboration on the selected interventions can be found on this page.

Rules on acceptable noise exposure

Interventions and evidence

Sound environments produce a number of social and behavioral effects on residential behavior and annoyance, including:

  • Overt everyday behavior patterns (such as opening windows, using balconies etc.)

  • Worse performance on specific test tasks

  • Social behavior (such as aggression, unfriendliness etc.)

  • Social indicators (such as residential mobility, hospital mobility etc.)

  • Changes in mood (such as less happy, more depressed mood etc.)

 

Research suggests that the level of annoyance as a result of noise depends on several factors. For example, the level of neighbours’ tolerance to noise is lower in the master bedroom compared to other rooms in the house (WHO Night Noise Guidelines, p. 60). Furthermore, there is a difference in annoyance between night-time and day-time. 

 

To act against noise appears to be one of the crucial ways in which the quality of life can be improved [for people in low-income areas] at a quotidian level (Ureta, p. 125). 

 

Two primary interventions for norming in neighbour disputes regarding regular and excessive noise were identified from the literature:

  • Applying clear rules on acceptable levels of community noise

  • Applying an open standard

 

General standards are not clearly defined and are open to interpretation. A standard may entail leaving both specifications of what is permissible and factual issues for the adjudicator. An example of a standard [in a traffic-safety setting] is: “driving at an excessive speed on expressways is prohibited” (Kaplow, p. 560). 

 

Rules entail an advance determination of what is permissible, leaving only factual issues for the adjudicator. An example of a rule [in the traffic-safety setting] is: “driving in excess of 55 miles per hour on expressways is prohibited” (Kaplow, p. 560). Rules on acceptable noise exposure are categorized, measurable and objective. The following rules on acceptable levels for objective criteria are defined by the WHO:

 

Rules based on environment and health effect:

Specific Environment

Critical health effect

LAeq (dB)

Time base (hours)

LAmax, fast (dB)

Outdoor living area

Serious annoyance, daytime and evening


Moderate annoyance, daytime and evening

55



50

16



16

 

Dwelling, indoors

Speech intelligibility and moderate annoyance, daytime and evening

35

16

 

Inside bedrooms

Sleep disturbance, night-time

30

8

45

Outside bedrooms

Sleep disturbance, window open (outdoor values)

45

8

60

 

Rules based on activity and location:

Activity

Location

Max. dB and time base

Resting

Living room

35 dB LAeq (7:00-23:00)

Dining

Dining room/area

40 dB LAeq (7:00-23:00)

Sleeping

Bedroom

35 dB LAeq (7:00-23:00)

30 dB LAeq (23:00-7:00)

 

Rules based on perception and outcomes [in case the above mentioned rules are not realistic, for example due to the loud and densed nature of the living environment such as in large city]:

 

Perception

Outcomes

Rule

Not noticeable

No effect.

No specific

measures

required

Noticeable and not

intrusive

Noise can be heard, but does not cause any change in behaviour or attitude. Can slightly affect the acoustic character of the area but not such that there is a perceived change in the quality of life.

No specific

measures

required

Noticeable and

intrusive

Noise can be heard and causes small changes in behaviour and/or attitude, e.g. turning up volume of television; speaking more loudly; where there is no alternative ventilation, having to close windows for some of the time because of the noise. Potential for some reported sleep disturbance. Affects the acoustic character of the area such that there is a perceived change in the quality of life.

Mitigate and

reduce to a

minimum

Noticeable and

disruptive

The noise causes a material change in behaviour and/or attitude, e.g. avoiding certain activities during periods of intrusion; where there is no alternative ventilation, having to keep windows closed most of the time because of the noise. Potential for sleep disturbance resulting in difficulty in getting to sleep, premature awakening and difficulty in getting back to sleep. Quality of life diminished due to change in acoustic character of the area.

Avoid


Mitigate and

reduce to a

minimum

Noticeable and very

intrusive

Extensive and regular changes in behaviour and/or an inability to mitigate effect of noise leading to psychological stress or physiological effects, e.g. regular sleep deprivation/awakening; loss of appetite, significant, medically definable harm, e.g. auditory and non auditory

Prevent


Mitigate and

reduce to a

minimum

For parties to a neighbour dispute regarding regular and excessive noise looking to set rules of behavior and communicate about them (norming), is applying clear rules for acceptable levels of community noise or applying an open standard more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, ResearchGate,  Springer, SSRN.

 

For this PICO question, keywords used in the search strategy are: perceived nuisance, domestic, noise, standard, neighbourhood, community, residential, environmental.

The main sources of evidence used for this particular subject are:

  • Louis Kaplow, Rules versus Standards: An Economic Analysis (1992)
  • Sebastian Ureta, Noise and the Battles for Space: Mediated Noise and Everyday Life in a Social Housing Estate in Santiago, Chile (2008)
  • Claude Levy-Leboyer and Véronique Naturel, Neighbourhood Noise Annoyance (1991)
  • Birgitta Berglund and Thomas Lindvall, Community Noise (1995)
  • Michael Ugwu Onuu, Road Traffic Noise in Nigeria: Measurements, Analysis and Evaluation of Nuisance (2000)
  • WHO Regional Office for Europe, Night Noise Guidelines for Europe (2009)
  • WHO, Guidelines for Community Noise (1999)
  • Jin Ho Verdonschot, Sharing rules that work: Developing law as practical and concrete guidelines for fair sharing (2013)

 

Sebastian Ureta’s paper presents a summary of the main theoretical and empirical developments regarding noise and the quality of life in urban spaces. The article describes social aspects of the problems with noise in the housing estate, the different tactics developed by residents to fight against noise and potential solutions for the problem of noise in housing estates. The research was conducted over a 10-month period, focusing on 20 low-income families from one targeted housing estate.

 

The article by Levy-Leboyer and Naturel describes situational parameters of neighbourhood noise which explain the level of annoyance and victims’ reactions towards the noise originators. The sample taken for this study seems to be representative.

 

Berglund and Lindvall have gathered scientific knowledge on health impacts of community noise and consulted international experts to provide guidance to environmental health authorities and professionals trying to protect people from the harmful effects of noise. The document forms the basis for the evidence-based WHO Guideline for Community Noise.

 

The essay by Verdonschot examines what determines the effectiveness of sharing rules and explores how sharing rules can be developed, based on two experimental studies. More and larger research touching on the findings of the essay is needed, in order to generate more evidence.

 

According to our research method, we grade the evidence comparing standards and clear rules on noise nuisance in a neighbour setting as moderate. Most sources are medium empirical studies. Both WHO guidelines are evidence-based guidelines. The research team does not upgrade or downgrade the evidence.

Recommendation

Applying clear rules

Applying an open standard

Defining acceptable levels of noise is necessary to prevent adverse effects on physiological and psychological well-being. It is common practice to define noise operationally as audible acoustic energy that adversely affects, or may affect, the physiological and psychological wellbeing of people (WHO Guidelines for Community Noise, p. 24). It is necessary to carry out extensive measurements in order to analyze noise levels and community response (Ugwu Onuu, p. 391). Acceptable levels of exposure to noise have been developed to protect the public, including the most vulnerable groups such as children, the chronically ill and the elderly (WHO Night Noise Guidelines, p. VI) [from those adversely affects on physiological and psychological wellbeing]. 


Subjective experiences can be transformed into rules, making it more clear. The subjective experience of noise can be conceptualized along a number of different dimensions which vary in the extent to which they emphasize the emotional as opposed to cognitive aspects of human reactions: loudliness, noisiness and annoyance (WHO Guidelines for Community Noise, p. 113-114). Annoyance response to noise is mediated by three primary factors:

  1. the inherent unpleasant characteristics of the noise;

  2. the meaning associated with the noise source; and,

  3. the interference with ongoing activities (WHO Guidelines for Community Noise, p. 122)


Sharing rules results in agreeable outcomes. Sharing rules help disputants to quickly and cost-effectively determine what a fair or acceptable outcome is, fast and against low costs (Verdonschot, p. 38). Continuous sharing of rules [rules on percentages, amounts, figures, degrees, points on scale or ranges that lead to outcomes] make it easier [compared to ‘open’ standards] to reach outcomes agreeable to both parties (Verdonschot, p. 33). 


Rules may produce behavior more in accord with underlying norms. Rules announced in advance are more likely to influence actual behavior (Kaplow, p. 622).

 



 

Applying clear rules

Applying an open standard

 

The lack of a clear frame of reference creates uncertainty and delays problem-solving. If there is no neutral guidance that helps to narrow down the bargaining range it is difficult to agree on an amount of noise that both parties can accept as reasonable. Lack of clear guidance creates uncertainty among disputants. Without a clear frame of reference, disputants face uncertainty when it comes to evaluating the reasonableness of amounts offered, suggested or decided upon. This can result in a lengthy, costly and complicated bargaining process (Verdonschot, p. 4).

The desirable outcomes of setting and applying clear rules of acceptable community noise outweigh those of setting and applying an open standard. Having clear rules is necessary to prevent adverse psychological effects and results in agreeable outcomes, while standards create uncertainty and delays problem-solving.

Taking into account the balance of outcomes, the effect on neighbours’ well-being, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbour dispute regarding regular and excessive noise looking to set rules of behavior and communicate about them (norming), applying clear rules for acceptable levels of community noise is more conducive to well-being than applying an open standard.

Anti-social behaviour orders (a more punitive approach) and Good neighbour agreements (an approach focused on forming agreements)

Interventions and evidence

During the orientation process of the available literature, we identified the following interventions as most plausible for setting rules of behavior and communicating about them (norming) in neighbour disputes:

  • Anti-social behaviour orders (a more punitive approach)

  • Good neighbour agreements (an approach focused on forming agreements)

 

Anti-social behaviour orders

Anti-social behaviour orders are tools that can be applied in neighbour conflicts. An ASBO is a written order from the court for an individual to behave, or refrain from behaving, in a particular manner, rather than an agreement between parties based on trust. The order can also contain explicit instructions that restrict an individual from being in a particular area or neighbourhood. This is usually the case where the incidence of antisocial behaviour has been in a distinct public area, for example around local shops. A breach of the order results in the implementation of sanctions to remedy the breach and can include imprisonment depending on the nature of the original offences. They are issued after a breach of terms of a tenancy agreement and follow a similar, if more stringent, line to tenancy agreements in a contractual sense (Flint, p. 122).

 

Anti-social behaviour orders can be used where:

  • Individuals intimidate neighbours;

  • There is persistent unruly behaviour by a small group of individuals in a housing estate or other local area;

  • There are families whose anti-social behaviour, when challenged, leads to verbal abuse, vandalism, threats and graffiti.

  • There is serious and persistent bullying of children on an organised basis in public recreation or school grounds (Burney, p. 471)

 

Prior to anti-social behaviour orders being issued, relevant partners to neighbour disputes (such as local authorities, police, social services, youth offending teams, community teams and landlord organisations) can conduct problem-solving meetings. Regular problem-solving meetings provide forums where all aspects of anti-social behaviour can be discussed, and are attended by representatives able to act on the group’s decisions. They also provide a more convenient forum in which to adopt an holistic approach to anti-social behaviour, and are a convenient place to share information between all relevant parties, including nonstatutory partners. Anti-social behaviour can be monitored over time, and strategic approaches to local problems can be developed between agencies. The group will also develop experience and expertise, and become better equipped to deal with anti-social behaviour in the future (Campbell, p. 27).

 

Good neighbour agreements

Good neighbour agreements aim to promote positive behaviour in communities and extend the range of tools to address anti-social behaviour that is already in place (Croucher et al., p. V). [Good neighbour agreements] exist alongside the tenancy agreement forming a separate and discrete contract solely relating to the prevention and management of antisocial behavior. These agreements also transcend the boundaries of the landlord-tenant relationship by extending the spatial context of the right to quiet enjoyment of the home to include the wider neighbourhood and community as well as having the underlying aim of enhancing community safety and maintaining community stability (Flint, p. 122). Good neighbour agreements set standards, clarifying acceptable behaviour and highlighting the consequences of unacceptable behaviour (Croucher, p. 27). 

 

Landlords and other organisations wishing to introduce good neighbour agreements need to be clear about what they want to achieve; what types of behaviour they are intended to address; who will be the key players (e.g. landlord led or involving tenants’/residents’ groups or all tenants/ residents); which other stakeholders might be involved (e.g. Community Safety Partnerships, private landlords, Neighbourhood Watch schemes, schools etc); and, importantly, how the agreement would fit in with the wider anti-social behaviour strategy (Croucher, p. 53).

 

The term ‘good neighbour agreement’ covers a range of interventions reported by respondents that aim to promote positive behaviour by requiring households to behave in an acceptable manner including (amongst others) (Croucher, p. 14):

  • Good neighbour declarations;

  • Community promises;

  • Tenants’ codes of conduct/charter;

  • Tenant or community declarations.

 

Good Neighbour Agreements are used to (Croucher, p. 18):

  • To reinforce the landlord’s tenancy agreement;

  • To reinforce the community’s own values;

  • As part of an estate agreement (between the community and providers) and/or

  • To provide incentives for positive behaviour.

 

GNAs can be used as a requirement for new tenants, or as a symbolic act of commitment. Agreements covering large numbers of people – for example stock-wide agreements – were often more generic, whilst agreements covering small numbers of people were usually more specific. The content also varied depending on the aims of the agreement. Although there appeared to be a shared understanding of an over- arching aim of prevention, some agreements were much less prescriptive than others, simply setting out principles of neighbourliness and community living (Croucher, p. 29).

An example of a GNA:

 

 

For parties to a neighbour dispute looking to set rules of behavior and communicate about them (norming), are good neighbour agreements or anti-social behaviour orders more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: neighbour dispute, community, settlement, monitoring, setting norms, contain, prevent, de-escalation.

The main sources of evidence used for this particular subject are:

  • Housing, Urban Governance and Anti-social behaviour: Perspectives, policy and practice, Edited by John Flint (2006)
  • Karen Croucher, Anwen Jones and Alison Wallace, Good Neighbour Agreements and the Promotion of Positive Behaviour in Communities (2007)
  • Elizabeth Burney, Talking Tough, Acting Coy: What Happened to the Anti-Social Behaviour Order? (2002)
  • Siobhan Campbell, A review of anti-social behaviour orders (2002)



Quality of evidence and research gap

The book edited by John Flint explores the issue of growing importance to policy makers, academics, housing practitioners and students. It brings together contributions from the most prominent scholars in the field to provide a range of theoretical perspectives, critical analysis and empirical research findings about the role of housing and urban governance in addressing anti-social behaviour. Contributors assess constructions of anti-social behaviour in policy discourse, identify how housing is increasingly central to the governance of anti-social behaviour and critically evaluate a wide range of measures used by housing and other agencies to tackle what is perceived to be a growing social problem. According to the HiiL PICO/GRADE methodology, the strength of this source can be graded as moderate.

 

In November 2005 the then Office of the Deputy Prime Minister (Communities and Local Government) and the Home Office commissioned the Centre for Housing Policy to undertake a study of the use, extent and effectiveness of Good Neighbour Agreements in promoting positive behaviour in England. The research concocted by Croucher, Jones and Wallace involved a survey of social landlords including: local authorities, Arms Length Management Organisations (ALMOs) and Registered Social Landlords (RSL); focus groups involving representatives of national organisations, practitioners and tenant representatives; and twenty in-depth interviews with landlords across England who were operating or had considered introducing Good Neighbour Agreements. The research found that almost half of the 221 landlord organisations that responded to the survey operated some sort of scheme to promote positive behaviour and nearly a fifth of respondents were considering developing a scheme. Only nine per cent of respondents had considered and rejected the development of such a scheme. This source is based on a large empirical study and the strength of evidence can therefore be regarded as moderate.

 

The study conducted by Elizabeth Burney is an expert opinion, where Elizabeth Burney examined patterns of ASBO usage. The review reveals that the ASBO is yet another tool for dealing with persistent young offenders. The strength of evidence of this article can be classified as very low.

 

The report by Campbell is conducted by the Research, Development and Statistics Directorate, as part of the Home Office and National Statistics of the British Parliament. This report provides a useful overview of how ASBOs are working for almost three years on. Specific recommendations are made in the report, which will help practitioners as they tailor their strategies to deal quickly and effectively with anti-social behaviour problems in their areas. This source is a small observational study, and the strength of evidence can be classified as low, according to the HiiL PICO/GRADE method.

 

According to our research method, we grade the evidence comparing ASBOs and GNAs as very low.

 

More empirical evidence is needed specifically on the effectiveness of ASBOs and GNAs in particular. Both interventions are reviewed by experts, however large empirical studies are lacking.

Recommendation

 

Anti-social behaviour orders (ASBOs)

Good neighbour agreements (GNAs)

“When used successfully, ASBOs have managed to curb unruly behaviour, help rebuild the quality of life in communities and cement good relationships both between [housing] agencies and between these agencies and the community” (Campbell, p. xii).


ASBOs can resolve problem behaviour in neighbour settings quickly, as it enhances collaboration between partners. In general, where there were strong working relationships, as in the ‘true partnership’ and ‘multi-agency unit’ approaches, partnerships were often able to deal with problem behaviour more quickly. They also more often had strategies and protocols in place, detailing the responsibilities of each agency and resulting in clear obligations. (Campbell, p. 23).


“Some real benefits have been felt from partnership working in some areas [during problem-solving meetings], where the ability to identify, challenge and deal with anti-social behaviour [between neighbours] has greatly improved. … [the consultation process alone during problem-solving meetings] has been of immense benefit to some, without the need to develop ASBOs further. Others have seen the benefits of information, intelligence and cost sharing and the ability to share the evidence gathering and enforcement processes.” (Campbell, p. 27).

“Good neighbour agreements compel tenants to form a contract with landlords and also to form a promise with neighbours and the community to respect the terms of the agreement. They provide a way of enmeshing landlord and tenant in a legal relationship but also enmeshing neighbours into a formalised cohesive social arrangement (Flint, p. 122).


“… those [landlord] organisations which had chosen to develop Good Neighbour Agreements that involved some degree of community participation (or at least addressed the specific concerns of local residents) appeared to reap wider benefits, e.g. a sense of ownership of the agreement among tenants and local residents and a greater willingness to report and challenge anti-social behaviour. Benefits of Good Neighbour Agreements were perceived to

include:

  • a reduction of complaints over time;

  • fewer voids;

  • more applications for homes on previously unpopular estates;

  • a greater willingness among residents to challenge and report anti-social behaviour; and

  • improved community cohesion. (Croucher, p. vii).


“[Good neighbour agreements] promote positive behaviour, which appeals to residents and tenants” (Croucher, p. vii).


“Good neighbour agreements strengthen a community’s desire and ability to deal with nuisance and anti-social behaviour. [It also provides] informal peer pressure and the desire to be a good neighbour, which encourages new tenants/residents to join the agreement. [Furthermore, Good Neighbour Agreements] can trigger support where people are having problems adhering to the agreement.” (Croucher, p. vii).


GNAs are compatible with legal procedures, if legal action becomes necessary. “[Good neighbour agreements] can be backed up with other measures ranging from informal visits and warnings to enforcement or legal procedures where necessary” (Croucher, p. vii).


According to the survey study conducted by Croucher et al., many respondents explained that they had developed ways of monitoring and evaluating their good neighbour agreements. “For example (Croucher, p. 56):

• encouraging residents and tenants to report incidents of anti-social behaviour (reports from local residents can be regarded as an indication of success in areas where previously residents had been reluctant to complain about anti-social behaviour;

• monitoring the number of complaints about incidents of anti-social behaviour over time to identify any changes in numbers of reported incidents and the specific type of complaint;

• monitoring the number of voids and the number of applications for housing in a particular area to identify changes in the level of demand;

• using Community Safety Officers, Neighbourhood Wardens or estate caretakers and/or residents’ and tenants’ representatives to report incidents and changes in levels of anti-social behaviour; and

• undertaking resident/tenant satisfaction surveys.”

 

Anti-social behavior orders (ASBOs)

Good neighbour agreements (GNAs)

ASBOs are not focused on prevention of disputes in the neighbourhood, while this is often needed. “The contemporary agenda of zero tolerance and enforcement appears to overlook the relevance and often unacknowledged success of preventative measures and more focused management techniques, such as mediation and tenancy support to control and/or avoid the incidence of antisocial behavior” (Flint, p. 120).


ASBOs sometimes lead to unfair prison sentences and other inappropriate forms of punishment. “There is evidence to suggest that antisocial behavior orders are being used inappropriately in some circumstances and that individuals are receiving a custodial sentence where the original offence was not punishable by prison [think of vandalism and intimidation of neighbours].” (Flint, p. 121).

A civil remedy like an ASBO is often used to deal with criminal offenses that cannot be fully proven. “Although it was not the intention to treat the ASBO as yet another way of tackling youth crime, some councils and police forces are using it for cases where ‘we know you boys committed that crime but we can’t prove it to criminal standard’.” (Burney, p. 474).


People who show anti-social behaviour need treatments, not punishment by anti-social behaviour orders. “Most people subjected to such antisocial behavior order are either mentally ill, have problems with drugs or alcohol or have a learning difficulty. In these circumstances, treatment and support to address the underlying causes of ASB would be a useful response” (p. Flint, 121).


ASBOs do not properly identify the needs that might lead neighbours to act in anti-social ways. “Although ASBOs were introduced as a response to destressing behaviour and to preserve community safety and the quality of life of those affected by antisocial behaviour, there seem to be few effective routine measures or initiatives available at the outset of a standard tenancy, to identify whether tenants have any particular needs which, if not addressed, would result in them being at risk of behaving in an antisocial manner” (Flint, p. 122).


Between 36 and 46% of the people breach the anti-social behaviour order, depending on what the order entails (Burney, p. 478). This suggests its normative power is not very great.

Positive behaviour schemes like good neighbour agreements are not favoured by all tenants. “According to a large survey study, the idea [of concluding GNAs] was abandoned [by several tenants] as “inappropriate” following consultation with

tenants” (Croucher, p. 40).


GNAs and their goals are sometimes unclear to tenants. “For some tenants, it is unclear what such agreements could offer over and above the wide range of measures already taken to reduce anti-social behaviour and transform life for residents and staff on the estates” (Croucher, p. 40).



Taken together, the available research suggests that Good Neighbour Agreements are more beneficial to people’s wellbeing when setting norms in neighbour disputes. ASBOs manage to curb unruly behaviour and improve relationships within the community. In some cases, they can identify and resolve problem behaviour quickly.

 

On the other hand, there are quite some negative effects linked to Anti-social Behaviour Orders. Firstly, ASBOs are not focused on prevention of neighbour disputes. They lead to unfair prison sentences and are often not an appropriate response when dealing with vulnerable people. ASBOs also do not deal with underlying needs of people in neighbour disputes. 

 

Good Neighbour Agreements have a clear normative function. They compel tenants to form a contract with their landlords, but they also form a promise with neighbours and the community to respect and set norms. GNAs encourage positive behaviour and it strengthens a community’s desire and ability to deal with nuisance and anti-social behaviour. Other outcomes that can increase people’s wellbeing include a reduction of complaints over time and improved community cohesion.

Negative effects of Good Neighbour Agreements seem to be minor. Some tenants find it difficult to agree on GNAs and the agreements can be vague and unclear.

 

Taken all together, the positive effect of GNAs on people’s wellbeing is clear and it’s negative effects are small. On the other hand, ASBOs are linked to more severe negative effects. Therefore, for people looking to set norms in neighbour disputes, agreeing on Good Neighbour Agreements is preferred over Anti-social Behaviour Orders.

Taking into account the balance of outcomes and the quality and consistency of the evidence, we make the following recommendation: For parties to neighbour disputes looking to set rules of behavior and communicate about them, good neighbour agreements are more conducive to well-being than anti-social behaviour orders.

Setting limits through authentic engagement

Interventions and evidence

During the orientation process of the available literature, we identified the following interventions as most plausible for containing (preventing the escalation of) a neighbour dispute:

  • Setting limits through authentic engagement

  • Authoritative de-escalation interventions

 

De-escalation involves the use of verbal and nonverbal skills to gradually resolve potentially aggressive situations by redirecting the party to a neighbor dispute to a calmer personal space. It is often recognized as an important part of aggression management in mental health settings, particularly with regards to decreasing the use of seclusion and restraints. Available literature on aggression and mental health makes a distinction between two types of de-escalation techniques: setting limits through authentic engagement and more authoritative de-escalation techniques.

 

Setting limits through authentic engagement

 

Limit setting through authentic engagement in neighbour disputes includes the following 3 steps:

 

 

Limit-setting is an aspect of the de-escalation process that involves knowing when to exert control and implement constraints on people’s behaviour (Price and Baker). Limit-setting involves establishing the parameters of desirable and acceptable behavior. It refers to setting limits on people’s behavior before a person has become aggressive. Humane limit-setting involves the integration of two values: respect for the party to a neighbor dispute as a human being and the need for order and discipline in society (Robertson et al.).  

 

A limit-setting intervention begins with understanding how the party to a neighbor dispute is feeling and what he or she needs in the situation. This is established through the use of therapeutic communication, which is founded on respect for the rights and dignity of the party to a neighbor dispute. It involves (Robertson et al.): 

  • Providing adequate personal space;

  • Using open body language; 

  • Speaking in a low and calm tone of voice;

  • Using open-ended sentences;

  • Avoiding punitive or threatening language.

 

An important de-escalation technique that can be applied when setting limits is authentic engagement, where the third party is able to stay sincerely connected to the party in the dispute. According to this style, the third party(or other helper) elicits the person’s story and actively tries to understand the situation. Authentic engagement requires strong interpersonal skills and acknowledging feelings of others.

 

Acknowledging the feelings of others can be done by applying active listening. Active listening skills are an essential tool when de-escalating a crisis situation. When a police third partyor other third party involved in a neighbor dispute engages in active listening, he or she is listening for the total meaning of the words spoken by the individual in crisis. The third partyor other third party attempts to focus on the actual meaning of the words spoken rather than becoming distracted by the individual’s delusions, hallucinations, or other psychiatric symptoms that may be present. The applicable third party should provide reflecting statements—i.e., “I understand that makes you angry”—to indicate that he or she is listening. 

 

The techniques of active listening allow the third party to convey that he or she wants to understand the individual’s thoughts, feelings, and behaviors. The third party should be sincere and genuine so the individual in crisis is aware that the third partyis supportive and attempting to lend assistance (Oliva et al. p. 20). Some active listening techniques include:

  • Using “I” statements: These statements convey that the third partyis listening to the individual and understanding him or her, and that the third partygenuinely cares. Some examples of “I” statements commonly used by officers are: “I can see that you are upset [or angry],” “I hear in your voice that you are worried,” “I’m here to help you,” “I want to help you,” “I will keep you safe,” “I care …. I have time …. I’m listening,” and “I appreciate your help and cooperation.” 

  • Restating statements: This technique consists of stating back to the individual—in words somewhat different from the individual’s own words—the essence of that information. For example, the individual in crisis might say, “I don’t know what I’m going to do; my family doesn’t want me here,” to which the third partyresponds, “You’re not sure where you can stay for a while, but home doesn’t seem like the best place right now.” 

  • Mirroring/Reflecting statements: Mirroring/reflecting expresses to the individual an understanding of his or her main feelings (Goldstein et al., 1979). These types of statements are commonly used to facilitate communication with an individual and are accomplished by repeating the last few words of the individual’s last statement. For example, the individual in crisis might say, “I’m tired of no one listening to me, and it makes me angry,” to which the third partyresponds, “It makes you angry.” 

  • Summarizing/Paraphrasing statements: Summarizing statements are often used to recap or summarize the information already received from the individual by restating the information in the officer’s own words. These statements should include the main points of the previous content. For example, the third partymight say, “Okay, so what you have told me is that [restating the information], and you feel [identify the emotion]. Do I understand you correctly?” (Oliva et al. p. 21).



Authoritative de-escalation interventions

More authoritative approaches to de-escalation [in neighbour disputes] are associated with higher risk behaviour and should be used in proportion to the risk posed by the person to themselves or others. If a person is presenting with threatening, intimidating, or violent behaviour, a firmer approach can be taken. In more authoritative approaches, there is no focus on discussing the person’s feelings (Price and Baker, p.16).

 

Examples of authoritative de-escalation interventions are alerting the neighbour in a conflict to the seriousness of their behaviour and giving the option of de-escalating before unwanted containment methods are used [such as arrest and use of force]. There are four distinct techniques of this type (Price et al. p.2):

 

  • Environmental manipulation (control of environmental conditions to reduce stimulation, maximise safety and limit contagion of aggression), 

  • Reprimands (expression of disapproval of a conduct often accompanied by reminders of ward rules/expected standards of conduct), 

  • Deterrents (deterring further aggression through highlighting potential consequences) and 

  • Instruction (providing instruction to the person).

For parties looking to prevent the escalation of (contain) a neighbor dispute, is setting limits while engaging in an authentic way or applying authoritative de-escalation techniques more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: conflict, de-escalation, limits, neighbour issues, resolution

The main sources of evidence used for this particular subject are:

  • Janet R. Oliva, Rhiannon Morgan and Michael T. Compton, Practical Overview of De-Escalation Skills in Law Enforcement: Helping Individuals in Crisis While Reducing Police Liability and Injury (2010)
  • Scott L. Zeller, Kimberly D. Nordstrom, Michael P. Wilson, The Diagnosis and Management of Agitation (2017)
  • Owen Price and John Baker, Key components of de-escalation techniques: A thematic synthesis (2012)
  • Owen Price, John Baker, Penny Bee, Karina Lovell, The support-control continuum: an investigation of staff perspectives on factors influencing the success or failure of de-escalation techniques for the management of violence and aggression in mental health settings (2017)
  • Terri Robertson, Michael Daffern, Stuart Thomas and Trish Martin, De-escalation and limit-setting in forensic mental health units (2012)
  • S. Vatne and  M. S. Fagermoen, To correct and to acknowledge: two simultaneous and conflicting perspectives of limit-setting in mental health nursing (2006)

 

The article by Oliva, Morgan and Compton provides a practical explanation of de-escalation techniques that can be applied by police officers who face a crisis or conflict. The authors present an overview of available literature on the different de-escalation techniques. This is an expert opinion. The strength of evidence can therefore be regarded as very low.

 

This article by Vatne and Fagermoen reports about a study of nurses’ limit-setting in mental health and the rationality behind correcting and therapeutic limit-setting interventions. Qualitative data were collected from various data sources; namely participant observations, interviews and written narratives. The size of this observational study is relatively small. The strength of evidence can therefore be regarded as low.

 

The purpose of the review by Robertson and others is to examine the extant literature on limit-setting and de-escalation and consider how these activities could be enhanced. In concluding, this review emphasizes the potential benefits of drawing upon (1) a model of aggressive behavior and (2) a theory and literature examining interpersonal behavior, to enhance limit-setting and de-escalation skills. According to the GRADE method (as part of our research method), the strength of evidence of this expert review is classified as very low.

 

Baker and Price present a thematic synthesis literature review from 11 international papers. They examine how de-escalation approaches are being applied by staff in clinical practice. According to the authors, de-escalation techniques are an example of a complex intervention, which has been overlooked by rigorous research, and it is often assumed that staff are able to perform these techniques in clinical practice. According to the GRADE method, the strength of evidence of this meta-analysis can be regarded as high.

 

Baker et al. conducted a small observational study to obtain staff descriptions of de-escalation techniques currently used in mental health settings and explore factors perceived to influence their implementation and effectiveness. Participants described 14 techniques used in response to escalated aggression applied on a continuum between support and control. This strength of evidence of this study can be regarded as low, according to the GRADE method in light of our research method.

 

The book by Zeller and others is a practical guide that explores the origins of the condition and the differing approaches and treatments available. Treatment options including psychiatric work-ups, medical work-ups, psychopharmacology, de-escalation, and calming techniques are provided. The strength of evidence of this guide is classified as high.

 

Quality of evidence and research gap

 

According to our research method, we grade the evidence comparing setting limits through authentic engagement and authoritative de-escalation techniques as very low.

 

A significant research gap is noticeable in containing neighbour disputes. Very limited evidence is available focusing on specific de-escalation techniques in neighbour dispute settings. Most literature focuses on interventions that can be applied by police officers in general and by medical staff in mental health settings.

Recommendation

 

Setting limits through authentic engagement

Authoritative de-escalation techniques

“Authentic engagement allows the [party or parties to a neighbour dispute] to maintain a sense of dignity by recognizing their aggression as a way to express emotion and communicate need” (Robertson et al.). 


Authentic engagement prevents escalation of negative feelings and behaviour. “Acknowledging a party’s feelings is effective in preventing the escalation of feelings of powerlessness, as well as disruptive behavior” (Robertson et al.).


Authentic engagement is seen as more therapeutic and successful than other response styles such as inflexibility and disengagement. “Interpersonal skills such as empathy, reciprocity, respect, and mutuality are seen as important components of de-escalation that produced more helpful outcomes in aggressive situations. Staff members [and police officers] who are able to respond to the situation and not their own frustration are considered to be more successful at de-escalating aggressive people” (Robertson et al.).


Acknowledging and co-operating interventions )two forms of limit-setting] can be extremely useful in preventing the arousal of angry or aggressive counteractions. A dialogue of wondering reflection about a person’s feelings or problems and the helping third party’s own feelings in certain situations is presented in the literature as a form of intervention that is most helpful in toning down aggression (Vatne and Fagermoen, p. 44).

Being authoritative gives the impression of having expertise, the ability to explain one’s rationale, the power to influence or persuade, a thoughtful openness to being influenced by others, and knowledge of one’s own limitations. “A study conducted by Fried, discovered that the less sure doctors are about prescribing an intervention, the more opinionated the patient needs the doctor to be. On the other hand, the more certain doctors are, the more the doctor should solicit the patient’s opinion” (Zeller et al., p. 151). [If we apply this to a neighbour setting: the police and other helpers can use authority in their interventions, and at the same time gain insight on possible solutions or outcomes from the parties to a neighbour dispute].

 

Setting limits by authentic engagement

Authoritative de-escalation 

Less authoritative approaches to de-escalation might not be good enough to prevent escalation of conflict. “The risk of the more tolerant approaches is that in the worst case scenario [the third party] may neglect a [party to a neighbour dispute] requiring a more authoritative intervention and increase the possibility of violence to others and/or self-harm” (Price and Baker, p. 318).


Setting limits might be seen as being offensive. “Some people might experience being offended and sometimes punished, [especially] when limits are set in an authoritarian way” (Robertson et al.).

“More authoritative ‘non-physical control’ techniques, such as instructions, deterrents and reprimands may lead to escalations of aggression and use of restrictive practices when applied in certain contexts” (Price et al., p. 19). Approaches that are too rigid, unnecessary, or excessively restrictive are known to increase the risk of violence. 


Authoritative techniques should be applied when there is increased risk of escalation. However, often increased risk is not identified, which might result in applying these techniques in wrong situations. [“Authoritative] assertive techniques have previously been identified as an important aspect of the de-escalation process, but should be applied on the basis of increased risk. [A 2016] study found that increased risk was often not a key factor informing use. Rather, moral judgements regarding the function of the aggression, trial-and-error and ingrained local customs surrounding the management of aggression were common explanations for use” (Price et al., p. 19).


Applying authoritative techniques can be risky when one or more of the parties involved suffers from a personality disorder. “More authoritative techniques applied to [people with personality disorders] appear especially problematic, potentially because they a) increase the perceived need to secure dominance or respect through further aggression and / or b) engender a sense of [third party helper] rejection or re-enactment of past abusive relationships provoking fight or flight responses” (Price et al., p. 20).


Authoritative interventions such as moving people to other rooms/places can lead to power struggles and use of restraint. “[People’s] refusals to move to [separate spaces such as side rooms] can result in power-struggles and potentially avoidable use of restraint. Existing de-escalation evidence indicates suggestions to move to [separate spaces] should be on [party’s] terms, unless there is an immediate risk of violence” (Price et al., p. 20). 

Taken together, the available research suggests that setting limits through authentic engagement is most beneficial to the well-being of parties to a neighbour dispute, as well as of the third party involved (a police officer or other third party involved). Authentic engagement allows the person dealing with conflict to be taken seriously by feeling acknowledged and able to share their emotions. Most importantly, authentic engagement is most effective in preventing and toning down aggressive behaviour.

 

On the other hand, third parties should be mindful when setting limits. They cannot neglect people’s needs. In certain crisis situations, a more authoritative approach might be needed.

 

Authoritative ways of de-escalating can be effective when applied in the correct way. This means using authority carefully and leaving room for parties to provide their insights. Authoritative techniques to de-escalate can harm people involved in a conflict. It can increase aggression, result in power struggles and use of restraints. 

 

Therefore, applying authentic engagement when setting limits is preferred.

Taking into account the balance of outcomes, the effect on well-being for all parties involved in a neighbour dispute, and the quality and consistency of the evidence, we make the following recommendation: For parties looking to prevent the escalation of (contain) a neighbor dispute, setting limits while engaging in an authentic way is more effective for well-being than applying authoritative de-escalation techniques.

Applying an authoritative approach to containing a neighbour dispute or setting limits through authentic engagement depends on the extent to which the dispute has already escalated or has become violent. In cases with a high risk of violence it is too late to set limits and only authoritative approaches are appropriate.

A neutral third party inviting the passive party to conduct an intake, according to a predetermined format

Interventions and evidence

Neighbourhood conflicts are usually about one party, the complainant, wanting the other party, the respondent, to change in some way. Conflicts with such a structure, in which one party wants to change but the other wants to maintain the status quo, are likely to reflect asymmetrical conflict perceptions. Complainants typically are more annoyed than respondents. Such annoyance is likely to be fostered by the fact that a complainant perceives the other side ignoring that there is a problem altogether (Ufkes, p. 93).

 

Asymmetrical conflicts are less likely to lead to a mediation session than symmetrical conflicts (Ufkes, p. 106). In order for the parties to come together, conflict parties first have to acknowledge that a problematic situation exists which needs to be solved. This can be a challenge. We identified the following interventions for bring parties to a neighbour dispute to the table (meeting):

  • A neutral third party inviting the passive party to conduct an intake, according to a predetermined format
  • Approaching the passive party, without a predetermined format

For parties to a neighbour dispute who have asymmetrical perceptions of the conflict and are looking to open a channel of communication (meeting), is a neutral third party inviting the passive party to conduct an intake according to a predetermined format more effective than directly approaching the passive party (without a neutral third party expert involved)?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, ResearchGate, Academia.

 

For these PICO questions, keywords used in the search strategy are: voluntary, neighbor, conflict, resolution, asymmetric, symmetric, self-determination, responsibility, passive, active, barriers, overcome, resistance, third-party, intervention, neutral.

The main sources of evidence used for this particular subject are:

  • Elze Ufkes, Ellen Giebels, Sagine Otten, and Karen I. van der Zee, The Effectiveness of a Mediation Program in Symmetrical versus Asymmetrical Neighbor-to-Neighbor Conflicts, International Journal of Conflict Management (2012)
  • Elze Ufkes, Neighbor-to-neighbor conflicts in multicultural neighborhoods (2011) 
  • Karen Jehn, Sonja Rispens and Sherry Thatcher, The Effects of Conflict Asymmetry on Work Group and Individual Outcomes (2010)
  • Emilie Michaux, Anne Groenen and Katarzyna Uzieblo, Unwanted Behaviors and Nuisance Behaviors Among Neighbors in a Belgian Community Sample (2015)
  • Rein Sikveland and Elizabeth Stokoe, Dealing with resistance in initial intake and inquiry calls to mediation: The power of ‘willing’ (2016)

 

Jehn, Rispens and Thatcher are pioneers regarding their research on asymmetrical conflicts. Ufkes, Giebels, Otten and Van der Zee build on this research and try to assess the effectiveness of mediation in neighbour conflicts, while keeping in mind the asymmetrical nature of these conflicts. More large empirical studies on parties’ cooperation in asymmetrical conflicts are needed in order to generate more (strong) evidence.

 

The article by Sikveland and Stokoe explores how professionals best deal with resistance during and beyond initial encounters with prospective mediation clients. The study is based on a large dataset of intake calls to community and family mediation services in the UK. We established a possible risk of bias of the authors, who developed their own intervention (the Conversation Analytic Role-play Method, CARM). Results from this study might be linked to this intervention.

 

According to our research method, we grade the evidence as moderate. The sources used to compare are medium-sized or large empirical studies. One source contains a risk of bias, resulting in downgrading of the evidence by one level. The research team upgrades the strength of evidence by one level because the suggested best practices by practitioners are in line with the research findings.

Recommendation

 

Approaching the passive party without standard format

Neutral third party inviting the passive party to conduct an intake

 

Third-party intakes may lead to better relationships. In asymmetric conflicts, an intake only intervention can lead to better relationships between parties to conflict, although it may not necessarily contribute to resolving the underlying issues that are at stake. This implies that parties to conflict can become more tolerant towards each other because a third party gives them emotional support and acknowledgement, and they may therefore find it easier to accept the nuisances coming from their neighbours. In the long term, improving the relationship may be more important than solving the underlying issues (Ufkes, p. 108).


An intervention by specialized [neutral] services can stimulate constructive problem-solving strategies. People are less likely to engage in a constructive coping strategy when the neighbour was perceived as responsible for the behaviours. Shared responsibility is a critical factor in engaging in a constructive coping strategy. [Building on this knowledge], specialized help services can stimulate constructive problem-solving strategies. Research on specialized help services in the context of neighbours has highlighted their effectiveness in tackling neighbor problems (Michaux, Groenen and Uzieblo, p. 1986).


The following format for third parties for contacting parties to conflict leads to less resistance to mediate:

  • Questions or proposals [by mediators] containing the word ‘willing’ are effective in securing a ‘yes’ response, and also turn parties around from resistance. ‘Willing’ gets a more positive immediate update from the party in conflicit than alternative words/formats.

  • Formats that ask the party in conflict directly ‘are you willing’ or ‘would you be willing’ or propose that the party ‘is willing’ work better than applying hypothetical formats.

  • Explaining mediation in procedural terms results in less resistance than explaining mediation in ideological terms (Sikveland and Stokoe, p. 251-253).

 

Approaching the passive party without standard format

Neutral third party inviting the passive party to conduct an intake

The party perceiving more conflict needs to share his/her view and get it validated, otherwise it creates more discomfort and dissatisfaction. Parties that perceive less conflict are usually more satisfied and perform better, whereas parties who perceive more conflict often feel disrespected and insecure. As such, the conflict party perceiving more conflict than the other may start to question his or her view of the situation. When [after parties contact each other] one’s view of a situation is not shared and validated by the other, it may cause more discomfort and dissatisfaction (Ufkes, p. 93-94).

Interventions by neutral (third) party experts that are ineffective may lead to more conflict. Asymmetrical conflicts are less escalated that symmetrical conflicts (Ufkes, p. 106). Research shows that conflict parties often show demand-withdraw type of interactions in asymmetrical conflicts, whereas in symmetrical conflicts parties tend to reciprocate each others’ behavior. An ineffective intervention by a neutral party expert may turn asymmetrical conflicts into symmetrical conflicts, therefore increasing the risk of reciprocation and escalation (Ufkes, p. 108).

A neutral third party inviting the passive party in an asymmetric conflict proves to be desirable, provided that the intervention by the neutral (third) party is effective. The chances of the intervention being effective are higher if the neutral party applies a standard format in the process of contacting the parties of the conflict.

 

The balance of outcomes is towards a neutral third party inviting the passive party to the dispute to conduct an intake according to a set format. One party to the dispute directly contacting the other is undesirable, due to differences in perception of the conflict.

Taking into account the balance of outcomes, the effect on neighbours’ well-being, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbour dispute who have asymmetrical perceptions of the conflict and are looking to open a channel of communication (meeting), allowing a neutral third party to invite the passive party to conduct an intake is more conducive to well-being than directly approaching the passive party.

Problem-solving conflict resolution (sometimes referred to as engagement between neighbours)

Interventions and evidence

Conflict [approaches] or styles refer broadly to how we attempt to resolve our disagreements and deal with emotional upset when interacting with one another (Hammer, p. 222). This specific recommendation is meant to help neighbours involved in disputes to come together by themselves in the best way possible. For example, in case neighbour A is bothered by loud noises from neighbour B, a certain approach taken by neighbour A in opening a channel for communication with neighbour B regarding the noise can help both neighbours in finding an amicable solution to the conflict. 

 

During the orientation process of the available literature, we identified the following approaches to open a channel of communication between parties to a neighbour dispute:

  • Problem-solving (sometimes referred to as engagement between neighbours), which involves a high concern for self and other goal attainment.

  • [Compromise, which also involves a high concern for self and other goal attainment, but is not necessarily targeted towards a win-win situation].

  • Contending (sometimes referred to as discussion between neighbours), which involves a high concern for one’s own goals and low concern for the other party’s goals. [This approach is often stimulated by the traditional legal system of claiming].

  • Yielding (sometimes referred to as accommodation by neighbours), which involves a low concern for one’s own goals and high concern for the other party’s goals. 

  • Avoiding (sometimes referred to as dynamic interaction between neighbours), which involves a low concern for self and other goal attainment.

 

Two dimensions of difference provide the foundation for how individuals solve problems and resolve conflicts: (1) direct versus indirect approaches for communicating about substantive issues (disagreements) and (2) emotionally expressive versus emotionally restrained strategies for dealing with emotional upset.

 

According to available literature, the contending / discussion style and the problem-solving / engagement style are used most in the world (Hammer, p. 226). For that reason, we will compare these two interventions.

 

Contending / discussion style

The discussion style uses direct strategies for communicating about substantive disagreements and emotionally restrained or controlled approaches for dealing with emotional upset. This style resolves issues through a focused, problem-solving process in which objective facts and information are presented in a logical argument format. Clarity in expressing one’s goals or position is important as is maintaining emotional calm when tensions rise. This style follows the American maxim, “Say what you mean, and mean what you say.” (Hammer, p. 226). This style can also include indirectly coercive actions, such as threatening to call the police (Ufkes et al., p. 291).

 

Problem-solving / engagement style

The engagement style also emphasizes verbal direction in communicating about substantive issues. Unlike the discussion style, however, the engagement style couples this form of directness with an emotionally expressive demeanor. This style is comfortable with more emotionally intense dialogue and in fact participants feel that when each party “puts their emotion on the table” the resolution of the dispute is satisfactorily progressing. This style, because of its more emotional expressive focus, follows the Irish proverb, “What is nearest the mouth is nearest the heart.” (Hammer, p. 226). This style aims to approach the other party in a constructive way and find a solution that is acceptable to both parties (Ufkes et al., p. 291). Behavioral interactions in a problem-solving style include approaching the other party by saying: “Together with you, I would like to [shared beneficial outcome]”. (Ufkes et al., p. 297).

For neighbours looking to open a channel of communication between them (meet), is engaging in a problem-solving approach more effective than taking a contending approach for their wellbeing?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: conflict management, conflict resolution, neighbour dispute resolution, approaching techniques, interpersonal conflict resolution

The main sources of evidence used for this particular subject are:

  • Hendrik Wagenaar, Governance, Complexity, and Democratic Participation: How Citizens and Public Officials Harness the Complexities of Neighborhood Decline (2006)
  • Mitchell R. Hammer, Solving Problems and Resolving Conflict Using the Intercultural Conflict Style Model and Inventory (2009)
  • M. Afzalur Rahim, Gabriel F. Buntzman and Douglas White, An Empirical Study of the Stages of Moral Development and Conflict Management Styles (1999)
  • Elze G. Ufkes, Sabine Otten, Karen I. van der Zee and Ellen Giebels, Neighborhood conflicts: the role of social categorization (2012)

 

This study by Ufkes and others aims to investigate the effect of ingroup versus outgroup categorization and stereotypes on residents’ emotional and behavioral reactions in neighbor-to-neighbor conflicts. They conducted a large empirical study. According to the GRADE method, the strength of evidence in this article can be regarded as strong.

 

The study by Rahim and others explored the relationships of the stages of moral development [pre-conventional (i.e., low stage), conventional (i.e., middle stage), and post-conventionals (i.e., high stage)] to the styles of handling interpersonal conflict [integrating (i.e., problem solving), obliging (i.e., accommodating), dominating (i.e., competing), avoiding, and compromising] in organizations. This is a large empirical study, however the study focuses largely on interpersonal conflicts in a workplace setting. According to the GRADE method, this evidence can be regarded as moderate.

 

The chapter in the book by Hammer outlines a powerful model and assessment tool that can be used in intercultural conflicts. The chapter describes the Intercultural Conflict Style model and ICS Inventory. This is an expert opinion, and the strength of evidence can therefore be regarded as very low.

 

The article by Wagenaar touches on complexities in modern urban governance. The article relies on empirical data research on participation in disadvantaged neighbourhoods in the Netherlands. According to the GRADE method, the strength of evidence can be regarded as low.

 

Quality of evidence and research gap

 

According to our research method, we grade the evidence comparing a problem solving / engagement style and contending / discussion style as low.

 

A considerable amount of research is available on conflict management styles – particularly in the fields of medicine and employment dispute resolution. There is a gap in the research regarding conflict styles that neighbours can apply in the context of a neighbour dispute.

Recommendation

 

Problem-solving

Contending

A problem-solving style of managing disputes in neighbour disputes leaves room for emotional expressions. “Strengths from the engagement style viewpoint include an ability to provide detailed information and explanations and a sincerity and commitment to the other party through more emotional expressions and a positive sense that sharing one’s feelings is how conflicts are successfully resolved” (Hammer, p. 226).


In managing disputes, a problem-solving style is most likely to lead to win-win situations. “A compromise by definition fails to give either party all that they wanted, thus it is inferior to a problem-solving style, where the goal is to create a win-win situation” (Rahim et al., p. 159).


“The [problems solving style] treats all [parties to the neighbour dispute] with maximum respect and seeks to accommodate all points of view without compromising” (Rahim et al., p. 159). 

Contending conflict styles have the least risk of misunderstanding between the parties. “Strengths from the discussion style perspective include an ability to directly confront problems and elaborate arguments so people do not misunderstand your views and a willingness to maintain a calm atmosphere” (Hammer, p. 226). 

 

Problem-solving 

Contending 

Even though the problem-solving approach leaves room for emotions, the problem-solving style can be seen as dominating and rude by some people. “From the orientation of other styles, the problem-solving style can appear unconcerned with the views and feelings of others and dominating and rude” (Hammer, p. 226).


When neighbours stereotype, it can be difficult for them to try to apply a problem-solving approach. Where there is more stereotyping involved, it is more difficult to apply a problem-solving approach (Ufkes et al., p. 302) and therefore harder to solve a neighbour dispute.

A contending style can be seen as unfeeling. “From the perspective of other styles, the discussion style can appear logical but unfeeling and appear to overemphasize verbal clarity to the exclusion of recognizing other, more emotional and relational concerns that arise during a conflict” (Hammer, p. 226).


“Forcing [or contending] is defined as acting destructively in a directly or indirectly coercive way. For example, neighbors can react by threatening to call the police” (Ufkes et al., p. 291).

The available research suggests that only problem-solving approaches to conflict resolution can lead to win-win situations. A problem-solving approach leaves room for emotional expressions and sharing feelings. On the other hand, A problem-solving approach can be seen as rude and dominating.

 

While a contending / discussion style can be very clear, it is not focused on creating a win-win situation. It can be seen as unfeeling and destructive.

 

Taken together, a problem-solving style to conflict management is preferred.

For parties to a neighbour dispute looking to open a channel of communication between them,  engaging in a problem-solving approach is more effective than taking a contending approach for wellbeing.

 

Taking into account the balance of outcomes, the effect on well-being for all parties involved in a neighbour dispute, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbour dispute looking to open a channel of communication between them, engaging in a problem-solving approach is more effective for wellbeing than taking a contending approach.

Active listening

Interventions and evidence

During the orientation process of the available literature, we were able to identify the following interventions for respecting in neighbour disputes:

  • Reacting defensively
  • Active listening 

 

Individuals have a natural desire to develop and maintain a positive self-image. When, in the course of conflict or negotiation, one’s positive self-image and deeply held beliefs feel threatened, there is a tendency to react defensively (De Dreu, p. 149). 

 

Defensiveness can be defined as a somewhat hostile, emotional state which causes individuals to either partially or totally reject messages or other stimuli which they perceive to be incorrect or contradictory to their point of view (Baker, p. 33). A defensive party to conflict typically devotes a significant portion of their energy to thinking about how they appear to others, how they may be seen more favourably, how they may win or escape punishment, and how they may avoid or mitigate a perceived or anticipated attack (Gibb, p. 14).

 

The International Listening Association defines listening as, “the process of receiving, constructing meaning from and responding to spoken and/or nonverbal messages” (ILA, 2012; Weger et al., p. 14). Active listening sharply contrasts with defensiveness in that it requires that parties to conflict devote considerable energy towards trying to understand the point of view of the other. Active listening can be used in a variety of contexts, but is most often characterized by the following three practices. An active listener:

  • Non-verbally communicates their involvement in the conversation by giving the speaker their unconditional attention;
  • Paraphrases the speaker’s message (the content and the feelings associated with it) by restating, without judgement and in their own words, what they think the speaker is trying to say;
  • Asks questions to encourage the speaker to elaborate on their beliefs or feelings (Weger, Castle & Emmett, p. 35).

For parties to a neighbour dispute looking to build mutual respect, is active listening more effective than reacting defensively for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: neighbour disputes; communication; neighbour relations; neighbour conversation; neighbour dialogue; interpersonal conflict communication, communication in conflict; active listening; defensiveness; defensive reactions; neighbour negotiation

The main sources of evidence used for this particular subject are:

  • Harry Weger Jr., Gina Castle Bell, Elizabeth Minei, Melissa Robinson, The Relative Effectiveness of Active Listening in Initial Reactions, The International Journal of Listening (2014)
  • Daniel Ames, Lily Benjamin Maissen, and Joel Brockner, The Role of Listening in Interpersonal Influence, Journal of Research in Personality (2012)
  • Rachel Reznik, Michael Roloff, and Courtney Miller, Components of Integrative Communication During Arguing: Implications for Stress Symptoms, Argumentation and Advocacy (2012)
  • Harry Weger Jr., Gina Castle, and Melissa Emmett, Active Listening in Peer Interviews: The Influence of Message Paraphrasing on Perceptions of Listening Skill, The International Journal of Listening (2010)
  • Ellen Raider, Susan Coleman, and Janet Gerson, Teaching Conflict Resolution Skills in a Workshop in The Handbook of Conflict Resolution (2006)
  • Dean Pruitt, Some Research Frontiers in the Study of Conflict and Its Resolution in The Handbook of Conflict Resolution (2006)
  • Ronald Fisher, Intergroup Conflict in The Handbook of Conflict Resolution (2006)
  • Carsten De Dreu, A PACT Against Conflict Escalation in Negotiation and Dispute Resolution, American Psychological Society (2005)
  • Bruce Phillips, Reformulating Dispute Narratives Through Active Listening, Mediation Quarterly (1999)
  • Jack Gibb, Defensive Communication in The Journal of Nursing Administration (1982)
  • William Baker, Defensiveness in Communication: Its Causes, Effects, and Cures, The Journal of Business Communication (1980)
  • David Johnson, Effects of Warmth of Interaction, Accuracy of Understanding, and the Proposal of Compromises on Listener’s Behavior, Journal of Counseling Psychology (1971)

 

The most recent research on active listening primarily consists of academic articles summarizing medium/small empirical studies. “The Role of Listening in Interpersonal Influence” (2012) by Ames, Maissen, and Joel Brockner describes the results of a study examining the relationship of listening and influence among 274 Master students. Although this research focused on listening behavior in a professional context and not “active listening” in particular, its findings are readily applicable to interpersonal conflict. “The Relative Effectiveness of Active Listening in Initial Interactions” by Weger Jr., Bell, Minei, and Robinson reports findings from a study involving 115 student participants and 10 trained confederates, which compared the effect of active listening with other response types in peer-to-peer encounters. “Active Listening in Peer Interviews: The Influence of Message Paraphrasing on Perceptions of Listening Skill” (2010) by Weger Jr., Castle, and Emmett describes the results of a similar study involving 180 undergraduates. In order to avoid conflating the various components of active listening, the authors designed the study to isolate the verbal element of active listening: paraphrasing. These can all be considered methodologically sound and unbiased sources of evidence. 

 

In “A PACT Against Conflict Escalation in Negotiation and Dispute Resolution” (2005), Carsten De Dreu provides an expert opinion on defensiveness and its role in the escalation of conflict. “Defensive Communication” (1982) by Jack Gibb and “Defensiveness in Communication: Its Causes, Effects, and Cures” (1980) by William Baker also offer foundational but arguably less relevant theories of defensiveness. Coleman, and Gerson’s chapter on conflict resolution training, Dean’s Pruitt’s chapter on conflict research, and Ronald Fisher’s chapter on intergroup conflict – which can all be found in The Handbook of Conflict Resolution (2006) – provide expert opinions on active listening and defensiveness, respectively. According to the our research method, these sources are graded lower than the experimental studies described above. 

 

Weger, Castle, and Emmett provide a helpful assessment of the gaps in active listening research, noting that “[b]ecause the lion’s share of research examining perceptions of an active listener comes from studies of enduring relationships, it seems important to try to determine the effectiveness of active listening responses when applied to everyday encounters between strangers or acquaintances” (Weger et al., p. 39). Our literature review confirms this, particularly with respect to active listening behavior between neighbours in conflict. Furthermore, few studies examine active listening in peer-to-peer interactions, where the speaker and the listener are on equal footing (in contrast active listening by a professional counselor or supervisor, for example). Because of the difficulty in accurately measuring interpersonal relationships and attitudes, empirical knowledge concerning defensiveness is even more limited (Baker, p. 33)

 

According to our research method, we grade the evidence on active listening and defensiveness in neighbour conflict as low. While existing studies are of high quality, none pertain to neighbour conflict in particular, and significant gaps in empirical research remain.

Recommendation

 

Reacting Defensively

Active Listening

Contentious or defensive tactics are sometimes needed to underline the firmness that effective problem-solving requires. A vigorous defense of one’s position on certain issues, in contrast to others, may contribute to conflict resolution by helping the other party understand one’s priorities and thus locate an acceptable exchange of concessions (Pruitt, p. 853). 

Active listening improves mutual understanding. Parties to a mediation who are skilled in active listening are better equipped to maximize accurate information exchange (Moore, 1996) and to hear the concerns and needs of the others present (Umbreit, 1996; Phillips, p. 163). A recent study found that individuals who were actively listened to in peer-to-peer interactions felt more understood by their partners than individuals who received either advice or simple acknowledgements (Weger et al., p. 13)


In addition to improved understanding of a counterpart’s position (informational benefits), listening behavior yields relational benefits such as increased likeability, trust, and influence (Blader & Tyler, 2003; Detert & Burris, 2007; Yukl, Kim, &

Falbe, 1996; Ames et al., p. 347). The paraphrasing component of active listening in particular has been shown to increase perceptions of the listener’s likeability (Weger Jr., Castle & Emmett, p. 44). Relational benefits are conducive to neighbour well-being.


Training in active listening has been shown to contribute to positive conflict resolution outcomes. A randomized study of 48 university students found that those who received a 1-hour training session in active listening (along with two other cooperative conflict resolution skills) increased their use of active listening during conflict interactions and were more likely to arrive at a win-win solution than those who did not receive the training (Davidson & Wood, p. 7-9, Davidson & Versluys, 1999). A more recent study of romantic couples’ serial arguments found that active listening associates positively with problem solving, relationship stability, and perceived resolvability of the problem, and associates negatively with intrusive thoughts during arguments (Reznik, Roloff & Miller, 2012; Weger et al., p. 16).


Active listening helps deal with anger (in the form of blaming, confronting, or attacking), which presents one of the biggest challenges to resolving conflict. One party’s needs are more likely to be heard by the other party if, through active listening, that party first demonstrates that they have understood the other’s needs (Raider, Coleman, & Gerson, p. 713).

 

Reacting Defensively

Active Listening 

Defensiveness obstructs objective and efficient communication by distorting what is said and heard by parties in conflict. Defensive behavior engenders defensive listening, and this in turn produces postural, facial, and verbal cues which raise the defense level of the original speaker. Defensive arousal prevents the listener from concentrating upon the original speaker’s message. Not only do defensive communicators send off multiple value, motive, and affect cues, but also defensive listeners distort what they receive. As a person becomes more and more defensive, he or she becomes less and less able to perceive accurately the motives, values, and emotions of the original speaker (Gibb, p. 14). An analysis of tape recorded discussions in a variety of settings found that increases in defensive behavior were positively correlated with losses in communication efficiency. Specifically, distortions became greater when defensive states existed in the groups (Gibb, 1961).


Defensiveness contributes to escalation, which typically increases the number of issues under dispute. Escalation, characterized as a “self-fulfilling prophecy” by Robert Merton (1952), occurs when defensiveness and mistrust motivate cautious or controlling moves, which elicit a defensive and hostile counteraction that is then perceived as justifying the initial action (Fisher, p. 184; De Dreu, p. 150). Escalation often increases the number of issues under dispute from the basic issues that the conflict is perceived to be about to process issues that arise from how the two parties treat each other (Fisher, p. 184). 

Active listening in conflict may be difficult to achieve without training, which neighbours in conflict cannot realistically be expected to have. A randomized study of 48 university students found that levels of active listening (and appropriate assertiveness) did not significantly increase when a participant interacted with a trained partner, as was predicted. In relation to these two measures, the results indicated that regardless of the training condition of the partner, individuals untrained in conflict resolution are more likely to communicate their views aggressively or not explain adequately their concerns, as well as ignore, interrupt, and criticize the other party during a dyadic conflict interaction. It seems that individuals need direct training in these skills to listen and understand another party’s interests, and to communicate their own underlying interests when resolving conflict (Feeney & Davidson, p. 266).


If active listening is done too warmly, it runs the risk of signaling weakness and thus diminishing the other’s willingness to concede. A 1971 study examining the effects of warmth of interaction, accuracy of understanding, and proposal of compromises on listeners’ behavior in negotiations between college students found that when one individual expresses warmth towards another, it reinforces that his or her position is superior in a way that is not conducive to reaching an agreement (Johnson, p. 215). 

Taken together, the available research suggests that active listening techniques such as non-verbal cues, non-judgmental paraphrasing, and open questions are conducive to greater mutual understanding and enhanced communication between parties to conflict. There is also evidence to suggest that active listening improves conflict resolution outcomes by increasing trust, likeability, and influence, and by diffusing anger between parties. In contrast, reacting defensively distorts what is said and heard by parties, escalates conflict, and may increase the number of issues under dispute (from substantive to procedural). All of these outcomes are detrimental to neighbours’ well-being.

 

The desirable outcomes of active listening outweigh those of reacting defensively, and the undesirable outcomes of reacting defensively outweigh those of active listening. Defensive behaviours that obstruct mutual understanding and trigger escalation are particularly damaging in neighbour conflicts, in which seemingly insignificant issues often spiral out of control due to ineffective communication. Therefore, active listening is preferred.

Taking into account the balance of outcomes, the value of interventions that enhance communication between neighbours in conflict, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbour dispute looking to build mutual respect, active listening is more conducive to well-being than reacting defensively.

Reframing the issue in terms of underlying concerns, needs, and interests (cooperative / constructive / nonviolent approach)

Interventions and evidence

During the orientation process of the available literature, we were able to identify the following interventions for building mutual understanding in neighbour disputes:

  • Focusing on positions (competitive approach)

  • Reframing the issue in terms of underlying concerns, needs, and interests (cooperative/constructive/nonviolent approach)

 

Interpersonal conflicts can be understood in terms of parties’ positions, and parties’ underlying needs and interests. Positions are the specific demands or requests made by each party as negotiation begins – each party’s preferred solution to the conflict (Raider, Coleman & Gerson, p. 702). Needs and interests are what each negotiating party is looking to satisfy. If the position is “what you want,” the need is “why you want it” (Raider, Coleman & Gerson, p. 703).  

 

Focusing on positions can be characterized as a competitive approach to conflict. Parties to the conflict that take this approach seek to enhance their own power and reduce the power of the other. In what has been termed a “fixed pie” approach, parties perceive any increase in the power or resources of the other as threatening to their own (Deutsch, p. 27), and may therefore be unwilling to negotiate their stated position (Raider, Coleman & Gerson, p. 702). The solution of a conflict is understood as something that can only be imposed by one party on the other (Deutsch, p. 28).

 

Reframing the conflict in terms of underlying concerns, needs, and interests rather than positions can be characterized as a cooperative/constructive/nonviolent approach to conflict. These three approaches are referred to collectively because they each focus on collaboration based on understanding and acknowledgment of underlying needs and worldviews. A cooperative/constructive/nonviolent approach aims to satisfy the priority needs of each party to the conflict (Raider, Coleman & Gerson, p. 703). 

 

 

Parties that take the cooperative/constructive/nonviolent approach view conflict as a mutual problem to be solved through joint cooperative efforts (Deutsch, p. 34). Such efforts include:

  • Explaining one’s own concerns, needs, and interests clearly but not provocatively (Davidson & Wood, p. 7)

  • Expressing feelings in relation to underlying needs (Rosenberg)

  • Avoiding criticism, blaming, or threatening (Davidson & Wood, p. 7)

  • Recognizing and respecting the other by being responsive to their needs (Deutsch, p. 27)

  • Placing disagreements in perspective by identifying common ground and common interests (Deutsch, p. 35)

  • When addressing the issues underlying a disagreement, refraining from making personal attacks and seeking to understand the other party’s perspective (Deutsch, p. 35)

  • Limiting the expression of negative feelings so that they are primarily directed at the other party’s violation of cooperative norms (if that occurs) or their defeatism (Deutsch, p. 35)

  • Taking responsibility for the harmful consequences of one’s words and actions – whether intended or unintended – and sincerely apologizing for them (Deutsch, p. 35)

  • Seeking reconciliation rather than nurturing an injury or grudge (Deutsch, p. 35)

  • Empowering the other party to contribute effectively to the cooperative problem-solving process by soliciting their views, listening responsively, and sharing information (Deutsch, p. 35)

  • Be appropriately honest (avoiding dishonesty as well as unnecessary and inappropriate truth-telling) (Deutsch, p. 35)

  • Recognizing hot buttons (in oneself and the other) that, if pressed, are likely to evoke strong emotions; controlling one’s reactions in that event; avoiding provoking disruptive emotions in the other (Deutsch, p. 36)

 

For the sake of the PICO question on interpersonal conflict between neighbours, we compare the competitive approach that focuses on positions to a cooperative approach, as these two interventions seem to be most commonly applied according to the literature.

For parties to a neighbor dispute trying to understand each other, is reframing the issue in terms of underlying concerns, needs and interests (cooperative/constructive/non-violent approach) more effective than focusing on positions (competitive approach) for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: neighbour disputes; communication; neighbour relations; neighbour conversation; neighbour dialogue; interpersonal conflict communication, communication in conflict; cooperative conflict resolution

The main sources of evidence used for this particular subject are:

  • Morton Deutsch, Cooperation and Competition in The Handbook of Conflict Resolution: Theory and Practice (2006)
  • Alison Ledgerwood, Shelly Chatken, Deborah Gruenfeld, Charles Judd, Changing Minds: Persuasion in Negotiation and Conflict Resolution in The Handbook of Conflict Resolution: Theory and Practice (2006)
  • Ellen Raider, Susan Coleman, and Janet Gerson, Teaching Conflict Resolution Skills in a Workshop in The Handbook of Conflict Resolution: Theory and Practice (2006)
  • John Davidson and Christine Wood, A Conflict Resolution Model, Theory Into Practice (2004)
  • Marshall Rosenberg, Nonviolent Communication: A Language of Compassion (1999)
  • Charles Judd, Cognitive Effects of Attitude Conflict Resolution, Journal of Conflict Resolution (1978)

 

Much of the most recent literature comparing cooperative and competitive approaches to interpersonal conflict can be found in the second edition of The Handbook of Conflict Resolution: Theory and Practice (2006) by Morton Deutsch, Peter Coleman, and Eric Marcus. In the first chapter, “Cooperation and Competition” eminent social psychologist and conflict resolution researcher Morton Deutsch provides an overview of his theory of cooperative and competition, an expert opinion informed and developed by decades of research. In a later chapter, “Changing Minds: Persuasion in Negotiation and Conflict Resolution” social psychologists Alison Ledgerwood, Shelly Chatken, Deborah Gruenfeld, and Charles Judd analyze the implications of cooperative and competitive motives in conflict resolution. In “Teaching Conflict Resolution Skills in a Workshop,” Ellen Raider, and Susan Coleman and Janet Gerson describes the Coleman Raider model of negotiation and mediation training, which incorporates practice-based evidence and emphasizes reframing as a way to refocus the conflict on needs rather than positions. These theories of conflict resolution are best categorized as expert opinions. The editors of the book concede that while the authors “have developed their chapters to bring out the relevance of the theories being discussed to understanding conflict specifically,” these theories “were for the most part not developed specifically in relation to understanding conflict, nor to facilitate professional practice in this area” (Deutsch et al., p. xii). While well-informed and mutually reinforcing, these sources provide low quality of evidence according to the GRADE system.

 

In their journal article, “A Conflict Resolution Model” (2004) psychology researchers John Davidson and Christine Wood provide an overview of research on the conflict resolution model, a best-practice prescriptive process for conflict resolution. Among them were four experimental studies conducted at the University of Tasmania, which looked at the effect of conflict resolution training on problem-solving communication skills and success in arriving at a win-win solution (the final outcome measure). According to the GRADE system, the quality of these small empirical studies is low.

 

Like the theories presented in The Handbook of Conflict Resolution: Theory and Practice, the theory of needs-based nonviolent communication that Marshall Rosenberg lays out in Nonviolent Communication: A Language of Compassion (1999) is an expert opinion based on decades of conflict resolution practice. It has not been tested in the context of interpersonal/neighbour conflict and therefore provides low quality of evidence.

 

Charles Judd’s article “Cognitive Effects of Attitude Conflict Resolution” (1978) describes the results of an experimental study involving 120 male undergraduates. The design of the study appears carefully considered, but the relevance of its findings is diminished by its old age and the fact that it focused on the attitudes of men exclusively. The principle investigator of the study was Morton Deutsch, which may have influenced the study’s overall direction.

 

According to our research method, we grade the evidence comparing cooperative and competitive approaches to neighbour conflict as very low. Conflict resolution prescriptions tend to have intuitive appeal, relying on anecdotal evidence to substantiate the claims rather than more rigorous evidence (Feeney & Davidson, p. 256). As a result, there is a gap in research – specifically, meta-analyses and large observational and empirical studies – on this topic. However, because we find unanimous endorsement of the cooperative approach to conflict resolution by a core group of experts in the field of social psychology, we upgrade the quality of evidence by one level to low.

Recommendation

 

Focusing on positions (competitive approach)

Reframing the issue in terms of underlying concerns, needs, and interests (cooperative/constructive/nonviolent approach)

 

Training in the cooperative approach has been shown to result in positive conflict resolution outcomes. A randomized study of 48 university students found that those who received a 1-hour training session in cooperative skills (including expectations for a win-win solution, active listening, and appropriate assertiveness) were more likely to arrive at a win-win solution to a conflict resolution task than those who had not received the training (Davidson & Wood, p. 7-9, Davidson & Versluys, 1999). 


The cooperative approach to conflict is conducive to mutually acceptable solutions that both parties feel are just. Reframing helps to develop a cooperative approach to the conflict even if the goals of the conflicting parties are seen, initially, to be negatively interdependent (a win-lose conflict). The discussion of underlying needs and interests makes it increasingly possible to persuade one another both that these needs are legitimate and that sacrificing some things of lesser interest may allow each party to gain what is more important to them (Ledgerwood et al., p. 471). Reframing has inherent within it the assumption that whatever resolution is achieved, it is acceptable to each party and considered to be just by both (Deutsch, p. 34).


Solutions reached through the cooperative approach more adequately address the underlying needs and concerns of parties to conflict. Defining conflicting interests as a mutual problem to be solved by collaborative effort facilitates recognizing the legitimacy of each other’s interests and the necessity to search for a solution responsive to the needs of all (Deutsch, p. 27). Optimal solutions can only be found by going beyond the initial bargaining positions of the participants to explore the underlying needs and concerns with the expectation of being able to generate creative alternatives that more adequately address them (Davidson & Wood, p. 7).


A cooperative approach tends to limit rather than expand the scope of conflicting interests, which may in turn make it easier to reach mutually acceptable agreements. (Deutsch, p. 27) 


A 1978 study found that parties to an attitude conflict (an argument about differing value orientations on some issue)  that take a cooperative approach to conflict are more likely to emphasize the similarity of their opposing positions, which may facilitate conflict resolution (Judd, p. 495).

 

Focusing on positions (competitive approach)

Reframing the issue in terms of underlying concerns, needs, and interests (cooperative/constructive/nonviolent approach)

A competitive approach to conflict makes productive communication between parties difficult. Communication is impaired as the conflicting parties seek to gain advantage by misleading the other through use of false promises, ingratiation tactics, and disinformation. It is reduced and seen as futile as they recognize that they cannot trust one another’s communications to be honest or information (Deutsch, p. 28).


A competitive approach tends to expand the scope of the issues under dispute, which may in turn make it more difficult to reach mutually acceptable outcomes. As competing parties seek superiority in power and legitimacy, the conflict becomes a power struggle or a matter of moral principle and is no longer confined to a specific issue at a given time and place. Escalating the conflict increases its motivational significance to the participants and may make a limited defeat less acceptable and more humiliating than a mutual disaster (Deutsch, p. 28).


A competitive approach tends to perpetuate distrust and hostility between parties to conflict. Parties’ obstructiveness and lack of helpfulness lead to mutual negative attitudes and suspicion of one another’s intentions. One’s perceptions of the other tend to focus on the person’s negative qualities and ignore the positive. This can cause parties to break off contact and communication with the other. The result is that hostility is perpetuated because one has no opportunity to learn that it may be based on misunderstanding or misjudgments or to learn if the other has changed for the better (Deutsch, p. 28).


A competitive approach can result in self-fulfilling prophecies that unnecessarily escalate the conflict. When one party engages in hostile behavior on a false assumption that the other has done or is preparing to do something harmful to them, it may cause their false assumption to come true by provoking the other to react in a hostile manner (Deutsch, p. 28).


A competitive approach incentivizes the use of coercive tactics, such as psychological as well as physical threats and violence (Deutsch, p. 28).


A competitive approach can entrench conflict. By contributing to escalation, a competitive approach can cause parties to overcommit to rigid positions and unwittingly commit to negative attitudes and perceptions, beliefs, defenses against the other’s expected attacks. This may increase parties’ investment in carrying out their conflictual activities. After a protracted conflict, it is hard to give up a grudge, to disarm without feeling vulnerable, as well as to give up the emotional charge associated with being mobilized and vigilant in relation to the conflict (Deutsch, p. 29). A 1978 study – which found that parties to an attitude conflict (an argument about differing value orientations on some issue) that take a competitive approach to conflict are more likely to emphasize the discrepancy of their opposing positions – supports this conclusion (Judd, p. 495).


Focusing on positions is usually counterproductive to arriving at a win-win solution because it leads to arguments based on rights (Davidson & Wood, p. 7).

 

Taken together, the available research suggests that whereas a competitive approach creates hostile conditions that tend to entrench or escalate conflict, a cooperative/constructive/nonviolent approach helps parties reframe their disagreement in terms of underlying concerns, needs, and interests in a way that helps them arrive at mutually beneficial solutions.

 

The desirable outcomes of a cooperative/constructive/nonviolent approach outweigh those of a competitive approach, and the undesirable outcomes of a competitive approach outweigh those of a cooperative/constructive/nonviolent approach. Therefore, a cooperative/constructive/nonviolent approach to neighbour disputes is preferred.

Taking into account the balance of outcomes, the value of needs-based problem-solving and solutions for neighbours in conflict, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbor dispute trying to understand each other, reframing the issue in terms of underlying concerns, needs and interests (cooperative/constructive/nonviolent approach) is more conducive to well-being than than focusing on positions (competitive approach).

Appropriate assertiveness

Interventions and evidence

During the orientation process of the available literature, we were able to identify the following interventions for building mutual understanding in neighbour disputes:

  • Appropriate assertiveness
  • Over-assertiveness or aggression

 

A conflict between neighbours is an example of an interdependent situation in which parties have instrumental goals that are not perfectly aligned (Ames et al., p. 1). The degree to which parties speak out and stand up for their own interests in such a situation can be represented on a spectrum that includes both appropriate and excessive (or aggressive) levels of assertiveness. These distinct approaches are sometimes confused because both behaviors involve the expression of one’s needs and rights (Pipas & Jaradat, p. 652).

 

Appropriate assertiveness involves speaking and interacting in a manner that respects the rights of others while also standing up for your own rights, needs, and personal boundaries (Pipas & Jaradat, p. 649). An appropriately assertive message should be narrow, descriptive, and direct: the message does not achieve its purpose if it is too aggressive, with the intention of blaming the other, or conversely, expressed in a very shy and passive way (Pipas & Jaradat, p. 651).

 

Over-assertiveness or aggression can be distinguished from appropriate assertiveness in that it disregards the rights of others (Spitzberg et al.p. 189). It involves pressing for one’s preferred outcome in contentious (aggressive, competitive, or coercive) ways (Ames et al., p. 3). An overly-assertive message may involve threats and social punishments, such as negative evaluation and put-downs (Hollandsworth & Cooley, p. 641). 

 

Getting assertiveness “wrong” in a particular episode, or chronically, risks costly consequences. Pushing too hard, or in an ineffective way, may cause the other party to resist conceding one’s desired material outcomes or cause the relationship to fray. On the other hand, not pushing hard enough may result in a failure to meet one’s own needs may be detrimental to well‐being (Ames et al., p. 2). 

 

Because asserting one’s feelings, interests, and rights is central to any interpersonal conflict, we test appropriate assertiveness against over-assertiveness or aggression.

For parties to a neighbor dispute trying to understand each other’s emotions, needs, and interests, is appropriate assertiveness more effective than over-assertiveness (aggression) for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: appropriate assertiveness conflict; aggression; blaming; accusing; over-assertiveness; interpersonal conflict

The main sources of evidence used for this particular subject are:

  • Daniel Ames, Alice Lee, and Abbie Wazlawek, Interpersonal Assertiveness: Inside the Balancing Act, Social and Personality Psychology Compass (2017)
  • Maria Daniela Pipas and Mohammad Jaradat, Assertive Communication Skills, Annales Universitatis Apulensis Series Oeconomica (2010)
  • Melisah Feeney and John Davidson, Bridging the Gap Between the Practical and the Theoretical: An Evaluation of a Conflict Resolution Model,  Peace and Conflict: Journal of Peace Psychology (1996)
  • Brian Spitzberg, Daniel Canary, and William Cupach, A Competence-Based Approach to the Study of Interpersonal Conflict in Conflict in Personal Relationships (1994)
  • Jeffrey Kelly, Janet St. Lawrence, Andrew Bradlyn, William Himadi, Kenneth Graves, Interpersonal Reactions to Assertive and Unassertive Styles When Handling Social Conflict Situations, Journal of Behavior Therapy and Experimental Psychiatry (1982)
  • James Hollandsworth Jr. and Myles Cooley, Provoking Anger and Gaining Compliance with Assertive versus Aggressive Responses, Behavior Therapy (1978)

 

“Interpersonal Assertiveness: Inside the Balance Act” (2017) by Ames, Lee, and Wazlawek offers an expert opinion on interpersonal assertiveness informed by long-standing and recent scholarship on negotiation and interpersonal conflict. The authors’ description of assertiveness as a perceived spectrum of behaviour and analysis of its causes are sophisticated and objective. “Assertive Communication Skills” (2010) by Pipas and Jaradat presents a less authoritative but nevertheless in-depth expert opinion of assertiveness, which is informed primarily by academic expertise and older scholarship.

 

“Bridging the Gap Between the Practical and the Theoretical: An Evaluation of a Conflict Resolution Model” (1996) by Feeney and Davidson describes the results of a randomized study of the Conflict Resolution Model (a conflict resolution training) involving 48 participants. The study evaluated whether various conflict resolution behavior – including appropriate assertiveness – can be elicited in an untrained person by interacting with a trained person. The study design was innovative in that it combined real-life concerns in a laboratory situation: although some role play was involved, participants were asked to use their own views in their conflict resolution task.

 

One weakness of the Feeney and Davidson study is that it does not give any indication as to whether the trained participants actually would behave similarly to the test situation when in a real-life situation, or in situations involving conflicts that are qualitatively difference from those used in the study (Feeney & Davidson, p. 266). Previous research on assertiveness has shown that persons who have learned to exhibit assertive skills during role plays of social conflict situations may fail to exhibit the same behavior during comparable interactions occurring in the natural environment (CY, Bellack and Hersen, 1978; Bellack, Hersen and Lamparski, 1979; Kelly et al., p. 39). One reason this might occur is that individuals fear the possibility of negative reactions from others when they behave assertively in the natural environment.

 

“Interpersonal Reactions to Assertive and Unassertive Styles When Handling Social Conflict Situations” (1982) by Kelly, Bradlyn, Himadi, Graves, and Keane presents the findings of a study that assessed perceptions of assertiveness of 217 undergraduate students. To account for previous research suggesting that race affects how assertiveness is evaluated, the authors used videotapes of both black and white males behaving assertively and un-assertively. “Provoking Anger and Gaining Compliance with Assertive versus Aggressive Response” (1978) by Hollandsworth and Cooley describes the results of a study that took a similar approach to compare perceptions of assertive and aggressive responses. The study involved 40 employees of a large community mental health center. Though smaller and older than the Kelly et al. study, it is more relevant to this PICO question in it looked at the specific interventions tested here.

 

According to our research method, we grade the evidence on aggression and assertiveness in neighbour conflict as low. Available studies and expert opinion are of a high quality, but do not pertain to neighbour conflict in particular. Furthermore, there is a risk that the difficulty of replicating interpersonal assertiveness in an experimental/lab setting reduces the accuracy of these studies’ findings. However, because appropriate assertiveness is unanimously endorsed by experts and researchers – particularly in comparison to over-assertiveness or aggression – we upgrade the evidence to moderate.

Recommendation

 

Over-Assertiveness or Aggression

Appropriate Assertiveness

 

Assertive responses elicit greater compliance and provoke less anger in the other party than aggressive responses.  A study designed to investigate assertive responding (with “a relatively low probability of provoking anger and a relatively high probability of changing another’s behavior” (Cooley, 1976) found that assertive responses resulted in significantly greater compliance and significantly less anger than aggressive responses (a threat or a put-down) (Hollandsworth & Cooley, p. 644).


Training in appropriate assertiveness has been shown to contribute to positive conflict resolution outcomes. A randomized study of 48 university students found that those who received a 1-hour training session in appropriate assertiveness (along with two other cooperative conflict resolution skills) increased their use of appropriate assertiveness during conflict interactions and were more likely to arrive at a win-win solution than those who did not receive the training (Feeney & Davidson, p. 263-4).


The assertiveness literature reveals that assertive behavior is generally viewed as more normatively competent (effective) than passive behavior, which, in turn, is viewed as more effective than aggressive behavior (Spitzberg et al., p. 190).


Assertive communication skills create opportunities for a variety of opinions, needs, and choices to be respectfully heard and considered. This helps achieve a win-win solution to certain problems (Pipas & Jaradat, p. 649).


Assertive communication can strengthen relationships and reduce conflict-related stress. The direct communication, openness, and honesty that assertiveness entails allows you to receive messages without distortion, which maintains relations with others and helps to solve interpersonal problems (Pipas & Jaradat, p. 649-650). 

 

Over-Assertiveness or Aggression

Appropriate Assertiveness

The use of threats or put-downs may be less effective in gaining compliance and more apt to elicit anger when compared with assertive statements. According to a study of eight role play situations involving several forms of interpersonal conflict in several different interpersonal contexts, the use of a threat is less effective in gaining compliance even in the most immediate of situations. This ineffectiveness was made clear by the data, which revealed that almost half of the subjects responded to aggressive statements with belligerence and indications of noncompliance (Hollandsworth & Cooley, p. 645).


Over-assertiveness may reduce trust between parties, and ultimately undermine the implementation of an agreement (Campagna, Mislin, Kong & Bottom; Ames et al., p. 6).


Over-assertiveness can evoke opposition, thereby triggering self-reinforcing cycles of conflict escalation and interfering with desired outcomes (De Dreu, 2010; Ames et al., p. 5). Falbe and Yukl (1992) found that assertive pressure tactics evoked far greater resistance, and led to worse outcomes, than “soft” tactics such as consultation, personal appeals, and ingratiation.


Over-assertiveness may be detrimental to problem-solving. Parties may be especially unlikely to transmit information to a counterpart who is problematically over-assertive, perhaps anticipating negative reactions or a low likelihood of change (Wazlawek & Ames, 2016; Ames et al., 8). This may result in an impasse, in which one party walks away or otherwise declines to agree to a solution or way forward (Ames et al., p. 5). 


Over-assertiveness can plant the seeds for resentment and revenge. High assertiveness that appears to yield an attractive outcome in the short-term may have long-term, relational costs. People who feel mistreated by a counterpart may subsequently seek to restore equity or balance though acts such as sabotage, retaliation, or conflict escalation (Kim & Smith, 1993; Walster, Walster & Berschied, 1978; Wang, Northcraft & Van Kleef, 2012; Ames et al., p. 5).




Appropriate assertiveness in conflict may be difficult to achieve without training, which neighbours in conflict cannot realistically be expected to have. A randomized study of 48 university students found that levels of appropriate assertiveness (and active listening) did not significantly increase when a participant interacted with a trained partner, as was predicted. In relation to these two measures, the results indicated that regardless of the training condition of the partner, individuals untrained in conflict resolution are more likely to communicate their views aggressively or not explain adequately their concerns, as well as ignore, interrupt, and criticize the other party during a dyadic conflict interaction. It seems that individuals need direct training in these skills to listen and understand another party’s interests, and to communicate their own underlying interests when resolving conflict (Feeney & Davidson, p. 266). 


Appropriate assertiveness may be at odds with likeability, a potentially important trait to neighbours. A 1982 study found that videotape models who exhibited refusal assertion skills when confronted with the unreasonable behavior of another person were evaluated by observers as behaving in an appropriate and able manner relative to unassertive models. However, assertive models were also rated less favorably than unassertive models on 14 indices assessing their likeability, warmth and social attractiveness. This indicates that while observers describes assertive models as behaving effectively in the social conflict situations, they also felt the models were singularly unlikeable when behaving assertively (Kelly et al., p. 39). Recent investigators have suggested that the presence of still other comments (such as empathy or understanding of the antagonist’s own position) in an assertive individual’s handling of social conflict situations may be necessary for the person to be perceived favorably by others (Mullinix & Galassi, 1978; Romano & Bellack, 1980; Woolfolk & Dever, 1979; Kelly et al., p. 39).


Women may be at a unique disadvantage when it comes to asserting themselves appropriately in conflict. Women who act assertively in pursuit of their own interests are often seen as violating prescriptive gender stereotypes, and are judged more harshly for such behavior than men (Rudman, 1998; Williams & Tiedens, 2016; Ames et al., p. 6). At the same time that assertiveness can evoke social backlash for women, it can also fail to secure instrumental gains or sought-after outcomes. At the same time that assertiveness can evoke social backlash for women, it can also fail to secure instrumental gains or sought‐after outcomes. Compared with men, women’s abilities and competency are more often questioned, their ideas and viewpoints are more frequently challenged and met with skepticism (Eagly & Karau, 2002; Heilman, Block, Martell, & Simon, 1989; Brescoll & Uhlmann, 2008; Brooks, Huang, Kearney & Murray, 2014; Ames et al., p. 6), and sometimes they are less likely to get what they ask for (Amanatullah & Tinsley, 2013b). When women do act in stereotype‐consistent communal ways, their accommodations are sometimes undervalued and go unrewarded. Women are less likely than men to be recognized and rewarded for altruistic behaviors performed in the workplace, and the value they concede in negotiation is less likely to be reciprocated by their male counterparts (Heilman & Chen, 2005; Wazlawek & Stephens, 2017).

Taken together, the available research suggests that clearly asserting one’s needs in a way that is respectful to the other party (appropriate assertiveness) is more conducive to positive conflict resolution outcomes and strong interpersonal relations than accusing, blaming, and other overly-assertive or aggressive behaviors. Whereas appropriate assertiveness increases the likelihood of arriving at a win-win solution, over-assertiveness tends to evoke anger, opposition, and resentment that get in the way of it.

 

Appropriate assertiveness is not without its disadvantages. Research suggests that it may be difficult to achieve without training, and that in certain circumstances, it may be at odds with likeability. Women in particular may find it difficult to assert their needs and interests that achieves their desired outcomes, in a way that is perceived well by others.

 

Even so, the desirable outcomes of appropriate assertiveness clearly outweigh those of over-assertiveness or aggression, and the undesirable outcomes of over-assertiveness outweigh those of appropriate assertiveness. Therefore, appropriate assertiveness is preferred.

Taking into account the balance of outcomes and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbor dispute trying to understand each other’s emotions, needs, and interests, appropriate assertiveness is more conducive to well-being than over-assertiveness or aggression.

Asking solution-focused questions

Interventions and evidence

We identified two intervention for neutral third parties looking to help parties to a neighbour dispute to explore and shape solutions:

  • Asking solution-focused questions
  • Asking problem-focused questions

 

The first intervention involves formulating questions aimed at helping parties to make suggestions about possible solutions. These questions are referred to as solution-focused questions, which originates from solution-focused brief therapy (Stokoe and Sikveland). The mediator is outcome-focused. The mediator tends to steer the process; through posing solution focused questions, he or she encourages the clients to look ahead to their desired future situation and how they can achieve this outcome. It revolves around the outcome that the clients want to achieve (Bannink, p. 176). Solution-focused mediators will ask “What would you prefer instead of the conflict?”, defined in positive, realistic and concrete terms (Bannink, p. 177). 

 

Another approach that neutral third parties can take is to formulate problem-focused questions. Problem-focused questions are focused on the history of the conflict (Bannink, p. 175-176). According to the problem-focused model, the parties to a dispute first need to explore and analyse the problem before they can arrive at a solution. Parties describe the problem and then negotiate an agreement that satisfies the needs of all involved. Neutral third parties asking problem-focused questions facilitate negotiation and are focused on the process rather than on outcomes. 

For neutral third parties helping parties to a neighbour dispute explore possible solutions, is asking solution-focused questions or asking problem-focused questions more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, ResearchGate, SSRN.

 

For this PICO question, keywords used in the search strategy are: questions, questioning, mediation, solution-focused, problem-focused, techniques, brief therapy, outcome, process.

The main sources of evidence used for this particular subject are:

  • Daniel Druckman and James A. Wall, A Treasure Trove of Insights: Sixty Years of JCR Research on Negotiation and Mediation (2019)
  • Frederike P. Bannink, Solution-Focused Mediation: The Future with a Difference (2007)
  • Elizabeth Stokoe and Rein O. Sikveland, Formulating solutions in mediation (2016)
  • Katina Foster, A Study in Mediation Styles: A Comparative Analysis of Evaluative and Transformative Styles (2003)
  • Steve de Shazer and Yvonne Dolan, More Than Miracles: The State of the Art of Solution-Focused Brief Therapy (2012)
  • Anthony M. Grant, Making a positive change: a randomized study comparing solution-focused vs. problem-focused coaching questions (2012)

 

The article by Druckman and Wall provides an overview research on negotiation and mediation, conducted in the last six decades.

 

Bannink compares solution-focused mediation (based on solution-focused questioning) to other types of mediation. The article is based on expert-opinions. The research team establishes a minor risk of bias of the author, as the evidence seems to be used to support one favoured intervention. More empirical research or randomized controlled trials on this topic are needed in order to generate more evidence.

 

The article by Stokoe and Sikveland examines the work done by formulations in the service of pursuing solutions to disputes between neighbours in a community mediation setting, drawing on a collection of 30 recorded mediation sessions between mediators and their clients. Mediators ask solution-focused questions, which are treated in mediation training as a key method for effecting client-generated solutions to neighbour disputes.

 

The article by Grant is a randomized study comparing solution-focused and problem-focused questions in the field of coaching. Similar studies are needed in the field of neighbour disputes in order to generate stronger evidence.

 

According to the research method, we grade the evidence as low. Sources consist of expert opinions, empirical research and randomized controlled trials. Although the strength of evidence is low, current research looks promising and a clear direction for further research has been identified.

Recommendation

 

Asking problem-focused questions

Asking solution-focused questions

 

Solution-focused conversations have a positive effect in less time and satisfy the client’s need for autonomy more than problem-focused conversations.

The solution-focused model has proved to be applicable in all situations where there is the possibility of a conversation between client and professional (Bannink, p. 174).


Applying solution-focused questions results in increased self-efficacy and other positive effects.

[According to a randomized study comparing solution-focused and problem-focused questions in the field of coaching], the solution-focused approach significantly increased positive affect, decreased negative affect and increased self-efficacy. Solution-focused questions generated significantly more action steps to help people to reach their goals (Grant, p. 88).


The solution-focused approach ensures a continuous evaluation of the mediation process.

By asking scaling questions throughout the mediation process and by asking at the beginning of each conversation “What is better?”, evaluation of mediation is taking place continuously (Bannink, p. 180). [This could enhance the quality of mediation and perhaps quality of solutions].

 

Asking problem-focused questions

Asking solution-focused questions

Problem-focused questions can slow down the process of finding a solution.

If the problem or conflict and its possible causes are studied, a vicious circle may be created with ever-increasing problems. This atmosphere becomes loaded with problems, bringing with it the danger of losing sight of the solution (Bannink, p. 175).


Applying problem-focused questions can result in a negative atmosphere.

Conversations about the clients’ positions and a familiarization with the history of the conflict are both deemed not only unnecessary but even undesired, due to their negative influence on the atmosphere during the conversation and the unnecessary prolongation of the mediation (Bannink, p. 176).

Applying solution-focused questions may result in solutions that are not owned by the parties in conflict.

Clients want mediators to provide solutions and not leave it for them to ‘sort out differences’. The challenge here can be found in formulations and solution-focused, (or rather solution-proposing) questions. Solutions are the work of mediation, but they are not necessarily the work of clients (Stokoe and Sikveland). [In order for mediators to avoid proposing solutions to their clients, they should be careful in phrasing solution-focused questions].

Asking solution-focused questions positively affects the well-being or parties to a neighbour dispute. They require less time and fulfill the parties in their needs to be autonomous. Solution-focused questions also result in more self-efficacy by the parties. Neutral third parties should be careful in formulating these questions however, as it may be too imposing on the parties involved. 

 

Problem-focused questions on the other hand are not associated with increased well-being. In fact, research suggests that applying problem-focused questions may result in a slower resolution process and a negative atmosphere between parties. 

 

The desirable outcomes associated with asking solution-focused questions outweigh those of asking problem-solving questions. Therefore, asking solution-focused questions is preferred.

Taking into account the balance of outcomes, the effect on neighbours’ well-being, and the quality and consistency of the evidence, we make the following recommendation: For neutral third parties helping parties to a neighbour dispute explore possible solutions, asking solution-focused questions is more conducive to well-being than asking problem-focused questions.

Entering mediation (at least as a first step)

Interventions and evidence

For parties to a neighbour dispute who need the support of a third party to make a decision, is entering mediation or initiating an adversarial process more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: neighbour; disputes, mediation; community mediation; dispute; resolution; conflict; local; litigation.

The main sources of evidence used for this particular subject are:

    • Christopher Baum, The Benefits of Alternative Dispute Resolution in Common Interests Development Disputes, St. John’s Literature Review (2010)
    • Nathan K. DeDino, When Fences Aren’t Enough: The Use of Alternative Dispute Resolution to Resolve Disputes between Neighbors, Ohio State Journal on Dispute Resolution (2003)
  • Marian Liebmann, Community and Neighbour Mediation (1998)
  • Jim Dignan, Evaluating Community and Neighbour Mediation in Community and Neighbour Mediation (1998)
  • Gay Clarke & Iyla Davies, Argument for and Against the Use of the Mediation Process Particularly in Family and Neighbourhood Disputes (1991)
  • Raymond Albert & Dorothy Howard, Informal Dispute Resolution Through Mediation (1985)
  • Craig McEwen & Richard Maiman, Small Claims Mediation in Maine: An Empirical Assessment, Maine Law Review (1981)

 

A significant portion of the identified sources on mediation and litigation in neighbour disputes are expert opinions published in legal journals. Christopher Baum’s 2010 article explores the advantages of mediation and disadvantages of litigation in the context of common interest development disputes (disputes that arise among condominium and co-op tenants). Given that Baum is a litigator himself, his assessment of the weakness of litigation for resolving neighbour disputes appears reliable. Nathan DeDino’s 2003 law review article presents a similarly balanced argument on why mediation is particularly well-suited for resolving neighbour disputes. A 1991 article by law lecturers Gay Clarke and Iyla Davies provides an overview of the advantages and disadvantages of mediation in the field of family and neighbour disputes. While they are clearly in favor of mediation, they systematically address its potential shortcomings, and conclude that “it has not been the aim of this paper to establish mediation ‘as a panacea for all types of conflicts’” but rather to demonstrate that there is a “definite role” for mediation in the area of neighbourhood disputes (Clark & Davies, p. 94).

 

Dr. Marian Liebmann is an experienced mediator and restorative justice practitioner. Her 1998 book provides an in-depth account of neighbour mediation in the UK. Jim Dignan’s 

chapter outlines an evaluative framework for mediation in neighbor disputes, and describes the aims and approach of a 1996 Neighbour Disputes research project, which compared the cost-effectiveness of mediation and alternative measures.

 

Two of the sources describe the results of empirical studies. A 1985 article by Raymond Albert and Dorothy Howard discusses the results of two small observational studies, one of which measured user-satisfaction among neighbours who participated in mediation through the Neighbourhood Dispute Resolution Program in Philadelphia. It analyzed 376 cases using descriptive statistics. A 1981 article by associate professors Craig McEwen and Richard Maiman’s presents interview data gathered as part of a year-long, intensive study comparing outcomes of mediation with outcomes of small claims adjudication. Their sample included 403 cases heard by six “equivalent” courts that relied exclusively on one of the two interventions.

 

According to our research method, we grade the evidence comparing mediation and litigation for neighbour disputes as very low. The two sources that could be regarded as low are regrettably also the oldest. This leaves a gap in recent, empirical research on the satisfaction rates associated with each intervention. The dearth of comparative impact analysis is likely due to the difficulty of collecting uniform data on neighbour mediation, and the difficulty of comparing interventions that differ fundamentally in terms of their aims, methods, approaches, and desired outcomes (Liebmann, p. 220-221). However, we find little evidence of bias or selective reporting of outcomes in the existing research. Furthermore, findings are consistent across studies: none of the international experts we identified recommend litigation over mediation for the resolution of neighbour disputes. For this reason, we upgrade the evidence to low.

Recommendation

 

Initiating an adversarial process

Entering mediation

 

The mediation process is particularly satisfying and successful for those in continuing relationships (Albert & Howard, p. 101; McEwen & Maiman, p. 257). A study on small claims mediation in Maine found that eighty percent of respondents with continuing relationships who experienced it were mostly or completely satisfied with the overall process, as contrasted to 65% of those parties who had had a one-time encounter or whose relationship had terminated (McEwen & Maiman, p. 257). A later study – conducted on a Neighbourhood Dispute Resolution Program in Philadelphia which exclusively heard neighbour disputes that did not involve a weapon – found that 88% of complainants and respondents said they experienced a fair hearing, and two out of three complainants and respondents said the program staff had helped them resolve their problem (Albert & Howard, p. 105)


Mediation facilitates mutual understanding and compromise by mitigating communication barriers related to legalistic and adversarial procedure (Baum, p. 936). It does so by taking a constructive, problem-solving approach to conflict, which focuses on identifying obstacles to successful negotiation and helping parties overcome them (Liebmann, p. 16; Dignan, p. 236). 


Mediation diminishes hatred and facilitates relational repair by providing a forum in which parties can comfortably address each other face-to-face. A mediator’s role is to hold a mediation at a place, time, and length of process which is suited to the disputants and reduces stress (Clarke & Davies; p 86) This helps parties find common ground and reach a “win-win” solution that resolves the specific problem at hand while also taking into account the parties’ future relationship (Baum, p. 936; Clarke & Davies, p. 85). 


The private and confidential nature of the mediation process encourages an uninhibited exchange of information, feelings, and emotions, which is one of the main contributors towards a mutually satisfactory settlement (Clarke & Davies, p. 86). By allowing parties to vent their frustrations and feelings, mediation may also provide parties a form of cathartic relief  (Baum, p. 935). 

 

Initiating an adversarial process

Entering mediation

The costs of litigation may prevent parties from addressing their conflict. The cost of filing a lawsuit, missing time from work, traveling to and from the courthouse – and in more serious cases, hiring an attorney – may dissuade neighbours from bringing their dispute to court (Baum, p. 916). The prospect of high litigation expenses causes many legitimate grievances to go unresolved (Baum, p. 917).


The time and money that litigation requires may entrench resentment between parties. Lawsuits are costly can take several years or even a decade from start to finish (Baum, p. 918). A person who misses work, pays for an attorney, and devotes his free time to dealing with litigation will naturally come to resent the other party in the case. The more money and time spent on litigation, the more hostility that develops between the parties (Baum, p. 922). For these reasons, a legalistic approach in which sanctions are invoked is unlikely to be conducive to the reduction and resolution of conflict between neighbours (Dignan, p. 236). 


Litigation may cause relational damage. The traditional adversarial process is too focused on the individual parties and too competitive to deal successfully with disputes involving persons in closer relationships (DeDino, p. 897). Encounters between litigating parties are rare and often antagonistic (McEwen & Maiman, p. 86). A victory in court, while solving the immediate problem, can further exacerbate problems in the relationship. If the relationship is not healed, continued problems are probable (DeDino, p. 901).


Litigation may address the symptoms of a problem without addressing its cause. The litigation process does not always allow a full exploration of the factors underlying a dispute. Therefore, the problem may remain after the disputants leave the courtroom. With the high cost of litigation and the practice of lawyers to engage in time costing methods there is real pressure to “get to the point.” Often, the real issues and underlying interests remain buried (Clarke & Davies, p. 85).


Outcomes of litigation are informed by the law as opposed to the needs of the parties involved. The judicial system is limited in the relief that it can provide and in its ability to craft creative, “win-win” solutions that benefit both parties. When litigation finishes, there is always a “winner” and a “loser” (Baum, p. 920).


Litigation may generate unwanted publicity. Litigation allows fellow unit owners, friends, business associates, and others to learn details of a dispute that may be personal and potentially embarrassing (Baum, p. 920). 

The quality of the mediation process and its outcome depends on the experience of individual practitioners (Liebmann, p. 247; Albert & Howard, p. 105). Because mediation services are largely (though not exclusively) confined to the voluntary sector, there are no uniform standards for mediators’ education, training, or practice, and the quality of individual practitioners varies considerably (Baum, p. 940). Inexperienced or unqualified mediators can damage settlement negotiations by favoring one party over another.


The private and confidential nature of mediation may disadvantage parties that belong to discriminated groups. Some scholars argue that without public scrutiny and education, there will be no effort to reform, legislatively or socially, entrenched discrimination or power imbalances (Clarke & Davies, p. 89).

Taken together, the available research suggests that litigation entrenches opposing arguments and makes it difficult for neighbours in conflict to reach a mutually satisfactory agreement or settlement. This is particularly undesirable due to the close and continuing nature of neighbour relationships. Neighbours who encounter each other regularly are likely to have an interest in maintaining good relations and avoiding future problems (DeDino, p. 897, 901). In this communal context, the mutual understanding, catharsis, and compromise that mediation faciliates are more valuable to the parties involved than a costly, adversarial, and often unproductive victory (or loss) in court.

 

The desirable outcomes of mediation outweigh those of litigation, and the undesirable outcomes of litigation outweigh those of mediation. Therefore, mediation is preferred.

Taking into account the balance of outcomes, the effect on neighbours’ well-being, and the quality and consistency of the evidence, we make the following recommendation: For parties to a neighbour dispute who need the support of a third party to make a decision, entering mediation (at least as a first step) is more conducive to well-being than initiating an adversarial process (litigation).

Measuring outcomes for neighbours on an individual level

Interventions and evidence

During the orientation process of the available literature, we identified the following interventions as most plausible for improving (monitoring outcomes and ensuring sustainability) agreements in neighbour disputes:

  • Measuring neighbour conflict programs or neighbour intervention outcomes

  • Measuring outcomes for neighbours on an individual level

 

Measuring neighbour conflict programs or neighbour intervention outcomes

When measuring the effectiveness of an intervention applied in a neighbour dispute setting, the focus lies on the intervention or service. Three elements are measured:

  • An intervention is effective if it directly increases the likelihood that a desired outcome will occur, and that it does this independently of the effects of other concurrent factors, which may also potentially increase the likelihood of that outcome occurring.

  • An intervention is efficient to the extent that it achieves a desired outcome economically, with minimum waste of resources and effort.

  • An intervention is cost-effective if it achieves a desired outcome more efficiently, with a lower resource cost, than a specific alternative intervention (Forell, p. 5).

 

Examples of such neighbour disputes interventions could be community courts, neighbour mediation and provision of advice and information by community centers. 

 

For the purpose of practical and applicable legal assistance service evaluation,

outcomes must be specific, meaningful (relevant), measurable and proportionate to the

program (Forell, p. 7).

 

An approach to evaluating the effectiveness of legal services is to consider how well services reflect principles which the research evidence-base suggests should improve individuals’ access to justice. This can be done through a community-wide focus (Forell, p. 8):

 



Measuring outcomes for neighbours on an individual level

The following outcomes in neighbor disputes can be measured on the level of an individual, through surveys or other means. Rather than measuring general outcomes of programmes and interventions, these outcomes are tailored to individuals’ needs. People involved in neighbor disputes or looking to prevent them in the future could, for example, seek to achieve the following specific outcomes:

  • Respectful communication

  • Less nuisance

  • Repairing relationships

  • Repair or compensation

  • Solutions to border issues

 

Good neighbour agreements point to the following other examples of outcomes for neighbours to achieve (Croucher, p. 36):

  • Being a good neighbour

  • Taking pride in where they live

  • Respect other people’s property

  • Look out for the neighbours [maintaining a good relationship with the neighbour] 

  • Take care of the environment

  • Be part of the community [maintaining a good relationship with the neighbourhood)

 

According to the study by Forrest and Kearns, social cohesion and social capital within a neighbourhood enhances the well-being of neighbors and prevents conflict between them. Outcomes related to social cohesion are (Forrest and Kearns, p. 2140):

 

  • Empowerment. People have a voice and feel listened to. They are involved in the dispute process and can take action to initiate change.

  • Participation. People take part in social and community activities.

  • Associational activity and common purpose. People co-operate with one another through the formation of formal and informal groups to further their interests.

  • Supporting networks and common purpose. People co-operate with one another through the formation of formal and informal groups to further their interests.

  • Collective norms and values. People share common values and norms of behaviour.

  • Trust. People feel they can trust their co-residents and local organisations responsible for governing or serving their area.

  • Safety. People feel safe in their neighbourhood and are not restricted in their use of public space by fear.

  • Belonging. People feel connected to their co-residents, their home area, have a sense of belonging to the place and its people.

For parties looking to monitor outcomes of a neighbour dispute resolution process and ensure sustainability (improving), is measuring program or intervention outcomes or measuring client outcomes more effective for well-being?

The databases used are: HeinOnline, Westlaw, Wiley Online Library, JSTOR, Taylor & Francis, and ResearchGate.

 

For this PICO question, keywords used in the search strategy are: solution, outcomes, monitoring, decision-making, aftercare, sustainability, enforcement, neighbour, disputes.

The main sources of evidence used for this particular subject are:

  • Suzie Forell and Hugh M. McDonald, Evaluation of legal service delivery: challenges, opportunities and work towards a framework (2017)
  • Karen Croucher, Anwen Jones and Alison Wallace, Good Neighbour Agreements and the Promotion of Positive Behaviour in Communities (2007)
  • Ray Forrest and Ade Kearns, Social Cohesion, Social Capital and the Neighbourhood (2001)
  • OECD, Equal Access to Justice for Inclusive Growth; Putting people at the centre (2019)
  • Alice M. Black and Garee W. Earnest, Measuring the Outcomes of Leadership Development Programs (2009)
  • J. Biggs, and C. Tang, Teaching for quality learning at university: What the student does (2011)

 

The paper by Forell and McDonald reports ideas and progress towards establishing a framework that engages with the evaluative and service environment challenges to identify clear, modest but rigorous opportunities for evaluation. Noting the ‘tool kit’ of legal assistance strategies deployed by Australian Legal Aid Commissions, it serves as a framework to identify what service ‘works’, for whom, when, to what end and why. The study relies on a series of surveys conducted by a large study group. Therefore, the strength of evidence of this study is regarded as moderate.

 

In November 2005 the then Office of the Deputy Prime Minister (Communities and Local Government) and the Home Office commissioned the Centre for Housing Policy to undertake a study of the use, extent and effectiveness of Good Neighbour Agreements in promoting positive behaviour in England. The research concocted by Croucher, Jones and Wallace involved a survey of social landlords including: local authorities, Arms Length Management Organisations (ALMOs) and Registered Social Landlords (RSL); focus groups involving representatives of national organisations, practitioners and tenant representatives; and twenty in-depth interviews with landlords across England who were operating or had considered introducing Good Neighbour Agreements. The research found that almost half of the 221 landlord organisations that responded to the survey operated some sort of scheme to promote positive behaviour and nearly a fifth of respondents were considering developing a scheme. Only nine per cent of respondents had considered and rejected the development of such a scheme. This source is based on a large empirical study and the strength of evidence can therefore be regarded as moderate.

 

The paper by Forrest and Kearns is a literature review that explores initially and briefly the idea that societies face a new crisis of social cohesion and outlines the key dimensions of societal cohesion. The core of the paper is then devoted to an examination of where the contemporary residential neighbourhood fits into these wider debates, particularly in relation to the interaction between social cohesion and social capital. In this context, some of the key debates around the concept of social capital are outlined. In moving beyond abstraction, the paper also shows how social capital can be broken down into relevant domains for policy action at the neighbourhood level and how concepts such as social cohesion and social capital can be operationalised for research purposes. The strength of this source can be classified as low.

 

The OECD report (an expert opinion) looks at how governments can ensure that everyone has access to justice, and that justice processes and services are responsive to people’s needs. Based on lessons derived from people-centred service delivery, the report identifies access to justice principles and promising practices, as well as measurement tools and indicators to help countries monitor their progress. It sets out a framework for people-centred service design and delivery that can be applied to the entire legal and justice chain. Drawing on over five years of research and collaboration with OECD member countries and partner economies, the report contributes to our collective understanding of effective access to justice and the crucial role it plays in inclusive and sustainable growth and development. The strength of this source can be classified as low. We have bumped up the strength from very low to low, considering the high level of agreement from other literature sources on conclusions and implications in the report.

 

The study by Black and Earnest represents the first attempt at providing a comprehensive method to evaluate and measure leadership development programs on a post-program level. This study is not focused on neighbour dispute programmes, however it provides insights in advantages and disadvantages of measuring programme outcomes on a general level. This is a small empirical study and the quality of evidence can therefore be classified as moderate.

 

The article by Biggs is an expert opinion, focused on ways of measuring education programs. Similar to study by Black and Earnest, this article provides insights in advantages and disadvantages of measuring programme outcomes. The quality of evidence of this source can be classified as very low.

 

According to our research method, we grade the evidence comparing programme-outcome measuring and individual-outcome measuring as very low.

 

A considerable research gap can be identified when comparing two ways of measuring outcomes. More research can be conducted on how to specifically measure outcomes of individuals dealing with neighbour conflicts.

Recommendation

Measuring neighbour conflict programs or neighbour intervention outcomes

Measuring outcomes for neighbours on an individual level

Studies have been conducted to investigate the effect of services on the justice system (such as neighbour dispute services) as a whole, which results in valuable information that can improve the system for people in the long run. While there are clear potential benefits to clients, there are also system benefits. Such an approach thus potentially yields important information about the value and benefit of relatively low-cost ‘upstream’ legal assistance services in terms of higher-cost ‘downstream’ justice system costs. (Forell, p. 10)


There is a need for a shared understanding across and within organisations and jurisdictions about what neighbour dispute ‘interventions’ or services are, in order to identify what kind of services achieve good outcomes. “… common units of ‘work’ or ‘measure’ are vital for legal assistance service evaluation. 

Thus, another valuable stream of work may be to identify a set of ‘standard’ services to provide the basis for comparison across jurisdictions.

Overall, if we know what the strategies are (or are made up of), what they are trying to achieve and for whom, where they are based, etc., we have a basis for comparing what types or combinations of services achieve outcomes and building a picture of what works.” (Forell, p. 16-17)

If different sectors work together to address common outcomes for shared clients, the added value of legal services can be identified automatically. “Different sectors may work together to address common outcomes for shared clients [for example people in a neighbour conflict]. Herein lies a particular opportunity – to work with health agencies (who often have far more developed data on outcomes) to consider the difference adding legal services makes to [neighbours]. 

Clearly articulated outcomes [for individual neighbours] provide the opportunity to compare the impact of potentially disparate services on those outcomes – recognising that a range of services and systems may affect these outcomes, particularly at a high level.(technological or otherwise).” (Forell, p. 16)


When outcomes for individuals are measured and improved as a result of a service/policy, this will reduce government expenditure. A number of studies show that legal assistance programmes are found to contribute to improved outcomes for individuals, preventing clients from requiring emergency shelter and related healthcare and social services. This helps reduce demand for government expenditure and other social costs, such as unemployment, disrupted education for children, reduced productivity and family instability.  


“Insights from legal need surveys provide insight into the self-reinforcing nature of disadvantage and the ways in which unmet legal needs can contribute to a cycle of decline which inhibits economic productivity and contributes to further social exclusion.” (OECD, p. 45)


“People’s needs and experiences are key to identifying innovation potential and provide the rationale for reflecting on the delivery of legal and justice services. The perspective of individuals, families and communities provides important input from the “outside in” about how this potential can best be realised, by suggesting how services can be more responsive to people’s needs and through the co-development of reforms guided both by service providers and users.” (OECD, p. 56)

Measuring neighbour conflict programs or neighbour intervention outcomes

Measuring outcomes for neighbours on an individual level

“In program evaluation, one must be careful of response-shift bias when using quantitative methods. Response-shift bias occurs when individuals have rated themselves at one time, from one perspective, and then change their responses later because their perspectives have changed” (Black and Earnest, p. 188). 


When collecting data from programme participants in measuring programme results, it is difficult to establish a baseline. “Program participants may have limited knowledge at the beginning of a program, which prevents them from determining their baseline behaviors. By a program’s end, the content may have affected their responses” (Black and Earnest, p. 188).


“An exclusive focus on [programme] measurement is results or product-oriented – program outcomes are focused on the end goal of an experience, and therefore neglect what [people] take away from the process of achieving that end goal.” (Briggs and Tang).


Modest, measurable and meaningful individual outcomes are required, not individual broad goals. Legal needs research draws attention to the experience of those with unresolved legal problems and limited capability to address those problems. It articulates a problem to be addressed by legal assistance services and suggests a set of evidence-based desired outcomes. However, ‘meeting legal need’ or ‘improving access to justice are broad goals, which while important – do not lend themselves to effective evaluation. (Forell, p. 14-15)

Taken together, the available research suggests that measuring outcomes for neighbours on an individual level is preferred over measuring the outcomes of neighbour programmes or interventions. The main reason for this is that individual outcomes is the most effective way of understanding where improvement in service delivery and innovation is needed. Furthermore, measuring outcomes on an individual level will automatically provide insights into outcomes of interventions/programmes. When measuring outcomes on an individual level, it should be noted that the outcomes should not be broad goals.

 

On the other hand, when measuring outcomes on programme level, there is often the issue of response-shift bias. Additionally, it is difficult to set the baseline when measuring programme outcomes. Therefore, measuring outcomes for neighbours on an individual level is preferred.

Taking into account the balance of outcomes, measuring outcomes for neighbours on an individual level and the quality and consistency of the evidence, we make the following recommendation: For parties looking to monitor outcomes of a neighbour dispute resolution process and ensure sustainability, measuring outcomes for neighbours on an individual level is more conducive to well-being than measuring neighbour conflict programs or neighbour intervention outcomes.

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