Alternative Dispute Resolution: The Advocate's Perspective

, by Brunet, Edward J.; Craver, Charles B.

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ISBN: 9780820551609 | 0820551600
Cover: Hardcover
Copyright: 9/1/2001

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Supplemental Materials

Preface

Acknowledgments

Summary Table of Contents

Introduction

CHAPTER 1: AN INTRODUCTION TO ALTERNATIVE DISPUTE RESOLUTION

(24)

A. The Panoply of ADR Methods

(2)

B. Common Characteristics of ADR Methods

(2)

C. The Ubiquitous Nature of Negotiation

(1)

D. ADR, Private Ordering and the Role of Courts: Should ADR Be Private or Public?

(7)

Bryant G. Garth, Privatization and the New Market for Disputes

(1)

Judith Resnik, Many Doors? Closing Doors? Alternative Dispute Resolution and Adjudication

(4)

NOTES

(2)

E. The ADR Bandwagon and its Critics

(13)

Jethro Lieberman & James F. Henry, Lessons from the Alternative Dispute Resolution Movement

(2)

Owen Fiss, Against Settlement

(2)

Harry Edwards, Alternative Dispute Resolution: Panacea or Anathema

(15)

NOTES

(7)

Part One: Negotiation

CHAPTER 2: BASIC FACTORS AFFECTING THE NEGOTIATION PROCESS

(38)

A. Introduction to Negotiation

(6)

B. The Factors Affecting Negotiation

(32)

1. Personal Needs of Participants

(1)

2. Negotiating Styles of Participants

(3)

3. Type of Negotiation

(1)

4. Verbal Communication

(5)

a. "I cannot offer you any more!"

(1)

b. "I am not authorized to offer you any more."

(1)

c. "I am not able to offer you any more at this time."

(1)

d. "I do not. believe .

e. "My client is not inclined/does not wish to offer any more."

(1)

f. "I must have Item 1, I need to have Item 2, and would like to have Item 3."

(1)

g. Signal Words

(1)

(1) "To be perfectly candid, this is the most I can offer you."

(1)

(2) "In my humble opinion, I think that my proposal would satisfy the needs of both of our clients."

(3) "Do you mind if I suggest. . ."; "How about"; "Have you ever considered..."

(1)

(4) "You probably lack the authority to accept the generous offer I am proposing."

(1)

(5) "I understand how you feel"; "I see."

(1)

h. Sensory State of Communicators

(1)

i. Framing of Issues

(1)

5. Nonverbal Communication

(12)

a. Common Forms of Nonverbal Communication

(1)

(1) Facial Expressions

(1)

(2) Flinch: Pained Facial Expression

(1)

(3) Raised Eyebrow

(1)

(4) Wringing of Hands

(1)

(5) Tightly Gripping Armrests/Drumming on the Table

(1)

(6) Biting Lower Lip/Biting Fingernails/Running Fingers Through Hair/Rubbing Forehead

(1)

(7) Eyes Wandering/Looking at Watch/Crossing and Uncrossing Legs/Doodling

(1)

(8) Shifting Back and Forth in Chair/Tilting Head From Side to Side/Opening and Closing Mouth Without Speaking

(1)

(9) Hands Neatly Folded in Lap

(1)

(10) Sitting on the Edge of One's Chair

(1)

(11) Hands Touching Face/Playing with Glasses/ Looking at Papers or Notes

(1)

(12) Steepling Gesture (Hands Pressed Together with Fingers Uplifted or Hands Together with Interlocked Fingers also Uplifted, with El-bows Out in Expansive Manner)

(1)

(13) Leaning Back in Chair with Hands on Back of Head

(1)

(14) Extending Hands Toward Opponent with Fingers Pointed Upward and Palms Facing Out

(1)

(15) Rubbing Hands Together in Anticipatory Manner

(1)

(16) Placing Palm of Right Hand over Heart

(1)

(17) Open or Uplifted Hands

(1)

(18) Crossed Arms/Crossed Legs

(1)

(19) Standing With Hands on Hips

(1)

(20) Gnashing of Teeth

(1)

(21) Covering and Rubbing One's Eye

(1)

(22) Rubbing Chin in Inquisitive Manner .

(1)

(23) Picking Imaginary Lint from One's Clothing

(1)

(24) Casual Touching (e.g., Prolonged Hand-shake; Hand or Arm on Opponent's Shoulder or Forearm)

(1)

(25) Direct Eye Contact

(1)

(26) Head Nodding

(1)

(27) Turning Around in Chair to Look Away from Opponent After Making New Offer

(1)

b. Nonverbal Indications of Deception

(1)

(1) Signal Words ("To be candid"; "To be truthful"; "Frankly")

(1)

(2) Decrease or Increase in Specificity of Statements

(1)

(3) Partial Shrug

(1)

(4) Increased or Reduced Gross Body Movement

(1)

(5) Casual Placing of Hand over Mouth

(1)

(6) Unconscious Touching of Nose with Finger or Back of Finger

(1)

(7) Inconsistent Nodding or Shaking of Head

(1)

(8) Eyes Looking Up to Wrong Side

(1)

(9) Dilated Pupils and More Frequent Blinking

(1)

(10) Involuntary Raising of Inner Portions of Eyebrows

(1)

(11) Narrowing and Tightening of Red Margin of Lips

(1)

(12) Licking Lips or Running Tongue Over Teeth

(1)

(13) Higher Pitched Voice

(1)

(14) More Deliberate Speech

(1)

(15) Increased Number of Speech Errors

(1)

(16) More Frequent Clearing of Throat

(1)

(17) Change in Frequency of Looking at Listener

(1)

(18) Duping Delight

(1)

6. The Impact of Cultural Differences

(10)

a. Conflicting Inter-Cultural Norms

(1)

b. Impact of Gender-Related Stereotypes

(6)

CHAPTER 3: THE NEGOTIATION STAGES

(70)

A. The Preparation Stage

(12)

1. Client Preparation

(3)

2. Lawyer Preparation

(9)

1. Determining Expected Value of Interaction

(2)

2. Establishing High Aspiration Levels

(2)

3. Articulating Principled Opening Offers

(5)

B. The Preliminary Stage

(4)

1. Establishment of Negotiator Identities

(1)

2. Establishment of Negotiation Tone-Attitudinal Bargaining

(3)

C. The Information Stage

(14)

1. Focus on What Each Side Wants and Knows

(2)

2. Critical Nature of Information Retrieval

(4)

3. Categories of Information Regarding Opponent's Situation

(1)

4. Controlling Disclosure of Own Side's Information

(3)

a. Ignore the Intrusive Question

(1)

b. Answer the Beneficial Part of Compound Questions

(1)

c. Over-or Under-Answer the Question

(1)

d. Misconstrue the Question and Answer the Refrained Inquiry

(1)

e. Answer Opponent's Question with Own Question

f. Rule the Question Out of Bounds

5. Nonadversarial Probing of Underlying Interests and Objectives

(4)

D. The Competitive/Distributive Stage

(22)

1. Power Bargaining and Concession Strategy

(7)

2. Common Power Bargaining Techniques

103

(11)

a. Argument

103

(3)

b. Threats, Warnings, and Promises

106

(2)

c. Rational and Emotional Appeals

108

(1)

d. Ridicule and Humor

109

(1)

e. Control of Agenda

110

(1)

f. Intransigence

110

(1)

g. Straightforwardness

110

(1)

h. Flattery

111

(1)

i. Manipulation of Contextual Factors

111

(1)

j. Silence

111

(1)

k. Patience

112

(1)

l. Creation of Guilt, Embarrassment, or Indebtedness

113

(1)

m. Constructive Ambiguity

113

(1)

3. Psychological Entrapment

114

(2)

E. The Closing Stage

116

(3)

F. The Cooperative/Integrative Stage

119

(8)

1. The Search for Undiscovered Alternatives

120

(2)

2. The Competitive Aspect of Cooperative Bargaining

122

(1)

3. Always Endeavor to Draft the Final Agreement

123

(2)

4. Using the Tit-for-Tat Approach to Encourage Cooperative Behavior

125

(17)

a. Don't Be Envious of Your Opponent's Results

125

(1)

b. Be Nice When the Interaction Begins

125

(1)

c. Be Provocable When Confronted with Uncooperative Conduct

126

(1)

d. Be a Forgiving Participant

126

(1)

e. Be Transparent and Establish an Appropriate Reputation

126

(1)

G. Post-Negotiation Assessment

127

(6)

CHAPTER 4: NEGOTIATING GAMES/TECHNIQUES

133

(32)

A. Introduction

133

(1)

B. Common Negotiation Techniques

134

(1)

1. Numerically Superior Bargaining Team

134

(1)

2. Use of Asymmetrical Time Pressure

135

(1)

3. Extreme Initial Demand/Offer

136

(1)

4. Use of Probing Questions

137

(1)

5. Boulwareism

138

(1)

6. Settlement Brochure

139

(1)

7. Limited Client Authority

140

(1)

8. Lack of Client Authority

141

(1)

9. "Nibble" Technique

142

(1)

10. Use of Decreasing or Limited Time Offers

143

(1)

11. Real or Feigned Anger

143

(1)

12. Aggressive Behavior

144

(1)

13. Walking Out/Hanging Up Telephone

145

(1)

14. Irrational Behavior

145

(1)

15. False Demands

146

(1)

16. If It Weren't for You (or Your Client)

147

(1)

17. Alleged Expertise/Snow Job

147

(1)

18. Use of Disingenuous Consecutive Concessions

148

(1)

19. Uproar

148

(1)

20. Br'er Rabbit

149

(1)

21. So What

150

(1)

22. Feigned Boredom or Disinterest

150

(1)

23. Mutt and Jeff (Reasonable/Unreasonable Dichotomy)

150

(2)

24. Belly-Up ("Yes..., but...")

152

(2)

25. Passive-Aggressive

154

(1)

26. Weakening an Opponent's Position of Strength

155

(1)

27. Enhancement of Weak Bargaining Position

156

(1)

28. Confronting Opponent Inflexibility

157

(1)

29. Splitting the Difference

158

(1)

30. Telephone Negotiations

159

(2)

31. Negotiating by Mail, E-mail or Through Fax Transmissions

161

(1)

32. Negotiating with Government Agencies

162

(3)

CHAPTER 5: NEGOTIATION ETHICS

165

(16)

A. Appropriate and Inappropriate Misrepresentations

165

(9)

1. Nondisclosure of Information

168

(3)

2. Partial Disclosure of Information

171

(1)

3. Overt Misrepresentation of Information

172

(2)

B. Unconscionable Tactics and Agreements

174

(7)

Part Two: Mediation

CHAPTER 6: THE NATURE OF MEDIATION

181

(80)

A. The Essential Characteristics of Mediation

181

(6)

1. Facilitated Negotiation

181

(1)

2. Party Control and Empowerment

182

(1)

3. Privacy

182

(1)

4. Legal Subservience

182

(1)

5. Consensual Mediation as Contract

183

(1)

6. Common Ground and Common Interests

183

(1)

7. Empowerment and Recognition

183

(4)

NOTES

184

(3)

B. The Styles of Mediation

187

(18)

1. Substance-Oriented Mediators

188

(1)

2. Process-Oriented Mediators

189

(1)

3. Relationship-Oriented (Transformative) Mediators

190

(15)

Norman Brand, Learning to Use the Mediation Process-A Guide for Lawyers

192

(1)

NOTES

198

(1)

James B. Boskey, The Proper Role of the Mediator: Rational Assessment, Not Pressure

199

(1)

NOTES

204

(1)

C. The Stages of Mediation

205

(16)

1. The Preliminary Stage

205

(6)

a. Mediator Selection

205

(2)

b. Timing of Initial Mediation Intervention

207

(2)

c. Party and Mediator Preparation

209

(1)

d. Preliminary Mediator-Party Contact

210

(1)

2. The Initial Session

211

(4)

3. The Caucus: Conducting Separate Mediation Sessions

215

(6)

4. The Closing Stage

221

(1)

D. The Creativity of Mediation

221

(8)

Lon L. Fuller, Mediation-Its Forms and Functions

222

(4)

NOTES

225

(1)

Facilitating Creativity in Mediation: Exploring Innovative Settlement Alternatives

226

(3)

E. Mediation and Confidentiality

229

(8)

CALIFORNIA EVIDENCE CODE § 119

231

(1)

COLORADO REVISED STATUTES § 13-22.307

231

(1)

OHIO REVISED CODE ANN. § 2317.02

232

(1)

TEXAS CIV. PRACTICE AND REMEDIES CODE ANN. § 154.073

232

(1)

CODE OF VIRGINIA § 8.01-581.22

233

(1)

UNIFORM MEDIATIONS ACT

233

(4)

NOTES

235

(2)

F. Agreements to Mediate and the Role of Lawyers

237

(6)

Kaiser Foundation Health Plan v. D.O.E

237

(6)

NOTES

242

(1)

G. Ethical and Professionalism Issues in Mediation

243

(13)

1. Professionalism in Mediation: General Considerations

244

(6)

Bruce Meyerson, Lawyers Who Mediate Are Not Practicing Law

247

(1)

NOTES

249

(1)

2. The Lawyer's Obligation to Counsel Client About Mediation

250

(1)

3. Ethics and Divorce Mediation: Specific Considerations

251

(5)

Kevin M. Mazza, Divorce Mediation: Perhaps not the Remedy it was Once Considered

251

(1)

NOTES

253

(1)

Barbour v. Barbour

254

(1)

NOTES

255

(1)

H. Mediator Immunity and Qualifications

256

(5)

1. Mediator Immunity

254

(4)

2. Mediator Qualifications

258

(3)

CHAPTER 7: COMMON USES OF MEDIATION

261

(54)

A. Divorce Mediation

261

(25)

1. The Nature of Divorce Mediation

261

(16)

H. Jay Folberg, Divorce Mediation: A Workable Alternative

262

(1)

NOTES

264

(1)

American Bar Association, Section of Family Law, DIVORCE AND FAMILY MEDIATION:STANDARDS OF PRACTICE

265

(1)

NOTES

268

(1)

Mediation Case Study No. 1: The Norton Mediation

269

(1)

NOTES

272

(1)

Bennett v. Bennett

273

(1)

NOTES

274

(3)

2. Divorce Mediation Critics

277

(9)

Laurie Woods, Mediation: A Backlash to Women's Progress on Family Law Issues

277

(1)

NOTES

279

(1)

Trina Grillo, The Mediation Alternative: Process Dangers for Women

280

(1)

NOTES

285

(1)

B. Commercial Mediation

286

(6)

Graham v. Baker

289

(3)

NOTES

291

(1)

C. Environmental Mediation

292

(12)

Mediation Case Study #2: Brayton Point Conversion

292

(1)

Lawrence Susskind, Environmental Mediation and the Accountability Problem

293

(4)

NOTES

296

(1)

Mediation Case Study #3: The Foothills Dam Project

297

(1)

Lawrence Susskind, Environmental Mediation and the Accountability Problem

297

(8)

NOTES

301

(3)

D. Mediation of Employment Disputes

304

(1)

E. Victim-Offender Mediation

305

(10)

Jennifer Gerarda Brown, The Use of Mediation to Resolve Criminal Cases: A Procedural Critique

307

(8)

NOTES

309

(6)

Part Three: Arbitration

CHAPTER 8: INTRODUCTION: THE MANY FACES OF ARBITRATION

315

(22)

A. The Essential Characteristics of Arbitration

315

(3)

1. Adjudication: Reasoned Presentations of Proof to a Decider

315

(1)

2. Privacy

315

(1)

3. Informal Procedural Rules

316

(1)

4. Subordination of Substantive Law

316

(1)

5. Finality

317

(1)

6. Expertise and Lack of Jury

318

(1)

B. Common Subtypes of Arbitration

318

(15)

1. Labor Arbitration

318

(6)

Goddard Space Flight Center, NASA

319

(1)

NOTES

321

(3)

2. Commercial Arbitration

324

(1)

3. International Commercial Arbitration

325

(3)

4. Maritime Arbitration

328

(1)

5. Securities Arbitration

329

(2)

6. Arbitration Outside the Relational Contract

331

(2)

C. Legislation

333

(4)

1. The FAA

333

(2)

2. The Model State Arbitration Act

335

(2)

CHAPTER 9: ARBITRATION PREEMPTION AND THE RELEVANCE OF STATE ARBITRATION LAW

337

(36)

Southland Corp. v. Keating

337

(11)

NOTES

347

(1)

Volt Information Sciences, Inc. v. Board of Trustees of Leland Stanford Junior University

348

(3)

Allied-Bruce Terminix Co. v. Dobson

351

(9)

NOTES

360

(1)

Doctor's Associates, Inc. v. Casarotto

360

(5)

NOTES

364

(1)

Mastrobuono v. Shearson Lehman Hutton, Inc

365

(8)

NOTES

372

(1)

CHAPTER 10: THE DISTINCTIVE ROLES OF THE ARBITRATOR AND THE COURT

373

(68)

A. The Prima Paint Doctrine and the Concept of Severability

373

(11)

Prima Paint Corp. v. Flood & Conklin Mfg. Co

373

(6)

First Options of Chicago, Inc. v. Kaplan

379

(5)

NOTES

381

(3)

B. Judging Consent to Arbitrate

384

American Italian Pasta Co. v. Austin Co.

384

(3)

CHI Inc. v. Marcus Brothers Textile. Inc

387

(4)

NOTES

389

(2)

Ramirez v. Superior Court

391

NOTES

396

C. Judicial Review and Arbitration

(383)

1. The FAA and Finality: The Role of Judicial Review in Arbitration

400

(26)

Revere Copper & Brass v. Overseas Private Inc

401

(1)

NOTES

402

(3)

Advanced Micro Devices, Inc. v. Intel Corp

405

(1)

NOTES

413

(5)

Gateway Technologies, Inc. v. MCI Telecommunications Corp.

418

(1)

NOTES

418

(8)

2. The Public Policy Exception

426

(15)

United Paperworkers Int'l Union, AFL-CIO v. Misco, Inc

426

(9)

NOTES

433

(2)

Seymour v. Blue Cross/Blue Shield

435

(6)

NOTES

438

(3)

CHAPTER 11: UNIVERSAL ARBITRATION OF ALL TYPES OF DISPUTES

441

(44)

A. Securities Arbitration

441

(12)

Shearson /American Express Inc. v. McMahon

441

(12)

NOTES

451

(2)

B. Employment Arbitration

453

(18)

Alexander v. Gardner-Denver Co

453

(8)

Gilmer v. Interstate/Johnson Lane Corp

461

(10)

NOTES

468

(3)

C. Antitrust Arbitration

471

(14)

Mitsubishi Motors Corp. v. Soler Chrysler-Plymouth, Inc

471

(12)

NOTES

481

(2)

Vertical Arbitration Clauses and the Arbitrability of Antitrust Claims

483

(2)

CHAPTER 12: ARBITRATION PROCEDURE

485

(46)

A. The Impartial and Expert Arbitrator

485

(8)

Commonwealth Coatings Corp. v. Continental Casualty Co

485

(8)

NOTES

485

(8)

B. The Informal Nature of Arbitration Hearings

493

(3)

1. Discovery

493

(1)

2. Evidence Rules

494

(1)

3. Awards and (the Lack of) Findings

494

(1)

4. Record

495

(1)

Class Action Arbitration

496

(1)

C. Waiver of the Right to Arbitrate

496

(5)

Cabinetree of Wis. v. Kraftmaid Cabinetry, Inc

496

(5)

NOTES

499

(2)

D. Procedural Considerations Relevant to Drafting and Reviewing the Contract to Arbitrate

501

(10)

Edward Brunet & Walter Stern, Controlling Dispute Resolution: Drafting the Effective ADR Clause for Natural Resources and Energy Contracts

501

(10)

NOTES

509

(2)

E. Enforcing the Arbitration Award

511

(13)

Iran Aircraft Indus. v. Avco Corp

511

(7)

NOTES

518

(1)

Chromalloy Aeroservices v. Arab Republic of Egypt

518

(5)

NOTES

523

(1)

F. Hybrid Processes

524

(2)

1. Med-Arb

524

(1)

2. Arb-Med

525

(1)

3. Final Offer or "Baseball" Arbitration

525

(1)

G. Arbitration v. Mediation: A Postscript

526

(5)

Part Four: Government Sponsored ADR: Court and Agency Annexed Alternatives to Trial

CHAPTER 13: COURT ANNEXED ALTERNATIVES

531

(56)

A. Essential Types and Characteristics of Court Annexed ADR

531

(1)

1. Court Annexed Arbitration (CAA)

531

(1)

2. Early Neutral Evaluation (ENE)

532

(1)

3. Summary Jury Trial

532

(1)

4. Mandatory and Voluntary Mediation

532

(1)

5. Judicial Mediation

533

(1)

6. The Mini-Trial

533

(1)

7. Private Judging

533

(1)

8. Prediction

534

(1)

9. Discovery

534

(1)

10. ADR as Part of the Case Management Process

534

(1)

B. Varieties of Court Annexed Mediation: Voluntary, Mandatory, Judicial and Appellate

535

(14)

Bernard v. Galen Group, Inc

539

(10)

NOTES

546

(3)

C. Early Neutral Evaluation and the Mini-Trial

549

(5)

1. Early Neutral Evaluation (ENE)

550

(2)

David I. Levine, Northern District of California Adopts Early Neutral Evaluation to Expedite Dispute Resolution

550

(1)

NOTES

552

(1)

2. The Mini-Trial

552

(2)

D. Summary Jury Trial

554

(16)

Thomas D. Lambros, The Summary Jury Trial An Alternative Method of Resolving Disputes

554

(5)

Cincinnati Gas and Electric Co. v. General Electric Co

559

(4)

Strandell v. Jackson County, Illinois

563

(7)

E. Court Annexed Arbitration: A Closer Look

570

(10)

Lisa Bernstein, Understanding the Limits of Court-Connected ADR: A Critique of Federal Court-Annexed Arbitration Programs

570

(8)

Silliphant v. City of Beverly Hills

578

(2)

NOTES

580

(1)

F. Private Judging

580

(7)

Anne S. Kim, Rent-a-Judges and the Cost of Selling Justice

581

(6)

NOTES

583

(4)

CHAPTER 14: AGENCY ANNEXED ALTERNATIVES

587

(44)

A. Regulatory Negotiation

587

(20)

Philip J. Harter, Negotiating Regulations: A Cure for Malaise

590

(14)

NOTES

602

(2)

USA Group Loan Services, Inc. v. Riley

604

(3)

NOTES

606

(1)

B. Agency Mediation

607

(11)

Case Study: Ohio Zimmer Rate Case Mediation

608

(1)

Donald I. Marshall, ADR: Not ABCs of Litigation

609

(3)

David C. Bergmann, ADR: Resolution or Complication?

612

(2)

David S. Cohen, Mediation: Sanity in the Regulatory Process

614

(4)

NOTES

615

(3)

C. Agency Arbitration

618

(13)

Thomas v. Union Carbide Agri. Prod. Co

619

(12)

NOTES

627

(4)

APPENDIX A: The United States Arbitration Act ("FAA"), 9 U.S.C. §§ 1-16

631

(6)

APPENDIX B: The Convention on the Recognition and Enforcement of Foreign Arbitral Awards, 9 U.S.C. §§ 201-208

637

(6)

APPENDIX C: Uniform Arbitration Act

643

(12)

APPENDIX D: The Standards of Conduct for Mediators

655

(6)

APPENDIX E: Uniform Mediation Act

661

(6)

BIBLIOGRAPHY

667

TABLE OF CASES TC-1

INDEX I-1

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Alternative Dispute Resolution: The Advocate's Perspective

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