Alternative Dispute Resolution: The Advocate's Perspective

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

• ISBN13: 9780820551609
• ISBN10: 0820551600
• Edition: 2nd
• Format: Hardcover
• Copyright: 2001-09-01
• Publisher: Lexis Nexis Matthew Bender

Table of Contents

Preface	v
Acknowledgments	ix
Summary Table of Contents	xi
Introduction
CHAPTER 1: AN INTRODUCTION TO ALTERNATIVE DISPUTE RESOLUTION	1	(24)
A. The Panoply of ADR Methods	1	(2)
B. Common Characteristics of ADR Methods	3	(2)
C. The Ubiquitous Nature of Negotiation	5	(1)
D. ADR, Private Ordering and the Role of Courts: Should ADR Be Private or Public?	5	(7)
Bryant G. Garth, Privatization and the New Market for Disputes	7	(1)
Judith Resnik, Many Doors? Closing Doors? Alternative Dispute Resolution and Adjudication	8	(4)
NOTES	10	(2)
E. The ADR Bandwagon and its Critics	12	(13)
Jethro Lieberman & James F. Henry, Lessons from the Alternative Dispute Resolution Movement	12	(2)
Owen Fiss, Against Settlement	14	(2)
Harry Edwards, Alternative Dispute Resolution: Panacea or Anathema	16	(15)
NOTES	18	(7)
Part One: Negotiation
CHAPTER 2: BASIC FACTORS AFFECTING THE NEGOTIATION PROCESS	25	(38)
A. Introduction to Negotiation	25	(6)
B. The Factors Affecting Negotiation	31	(32)
1. Personal Needs of Participants	32	(1)
2. Negotiating Styles of Participants	33	(3)
3. Type of Negotiation	36	(1)
4. Verbal Communication	37	(5)
a. "I cannot offer you any more!"	38	(1)
b. "I am not authorized to offer you any more."	38	(1)
c. "I am not able to offer you any more at this time."	38	(1)
d. "I do not. believe .
e. "My client is not inclined/does not wish to offer any more."	39	(1)
f. "I must have Item 1, I need to have Item 2, and would like to have Item 3."	39	(1)
g. Signal Words	39	(1)
(1) "To be perfectly candid, this is the most I can offer you."	39	(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..."	40	(1)
(4) "You probably lack the authority to accept the generous offer I am proposing."	40	(1)
(5) "I understand how you feel"; "I see."	40	(1)
h. Sensory State of Communicators	40	(1)
i. Framing of Issues	41	(1)
5. Nonverbal Communication	42	(12)
a. Common Forms of Nonverbal Communication	44	(1)
(1) Facial Expressions	44	(1)
(2) Flinch: Pained Facial Expression	45	(1)
(3) Raised Eyebrow	45	(1)
(4) Wringing of Hands	45	(1)
(5) Tightly Gripping Armrests/Drumming on the Table	45	(1)
(6) Biting Lower Lip/Biting Fingernails/Running Fingers Through Hair/Rubbing Forehead	45	(1)
(7) Eyes Wandering/Looking at Watch/Crossing and Uncrossing Legs/Doodling	45	(1)
(8) Shifting Back and Forth in Chair/Tilting Head From Side to Side/Opening and Closing Mouth Without Speaking	46	(1)
(9) Hands Neatly Folded in Lap	46	(1)
(10) Sitting on the Edge of One's Chair	46	(1)
(11) Hands Touching Face/Playing with Glasses/ Looking at Papers or Notes	46	(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)	46	(1)
(13) Leaning Back in Chair with Hands on Back of Head	47	(1)
(14) Extending Hands Toward Opponent with Fingers Pointed Upward and Palms Facing Out	47	(1)
(15) Rubbing Hands Together in Anticipatory Manner	47	(1)
(16) Placing Palm of Right Hand over Heart	47	(1)
(17) Open or Uplifted Hands	47	(1)
(18) Crossed Arms/Crossed Legs	47	(1)
(19) Standing With Hands on Hips	48	(1)
(20) Gnashing of Teeth	48	(1)
(21) Covering and Rubbing One's Eye	48	(1)
(22) Rubbing Chin in Inquisitive Manner .	48	(1)
(23) Picking Imaginary Lint from One's Clothing	48	(1)
(24) Casual Touching (e.g., Prolonged Hand-shake; Hand or Arm on Opponent's Shoulder or Forearm)	49	(1)
(25) Direct Eye Contact	49	(1)
(26) Head Nodding	49	(1)
(27) Turning Around in Chair to Look Away from Opponent After Making New Offer	49	(1)
b. Nonverbal Indications of Deception	49	(1)
(1) Signal Words ("To be candid"; "To be truthful"; "Frankly")	51	(1)
(2) Decrease or Increase in Specificity of Statements	51	(1)
(3) Partial Shrug	51	(1)
(4) Increased or Reduced Gross Body Movement	51	(1)
(5) Casual Placing of Hand over Mouth	51	(1)
(6) Unconscious Touching of Nose with Finger or Back of Finger	52	(1)
(7) Inconsistent Nodding or Shaking of Head	52	(1)
(8) Eyes Looking Up to Wrong Side	52	(1)
(9) Dilated Pupils and More Frequent Blinking	52	(1)
(10) Involuntary Raising of Inner Portions of Eyebrows	52	(1)
(11) Narrowing and Tightening of Red Margin of Lips	52	(1)
(12) Licking Lips or Running Tongue Over Teeth	53	(1)
(13) Higher Pitched Voice	53	(1)
(14) More Deliberate Speech	53	(1)
(15) Increased Number of Speech Errors	53	(1)
(16) More Frequent Clearing of Throat	53	(1)
(17) Change in Frequency of Looking at Listener	53	(1)
(18) Duping Delight	53	(1)
6. The Impact of Cultural Differences	54	(10)
a. Conflicting Inter-Cultural Norms	56	(1)
b. Impact of Gender-Related Stereotypes	57	(6)
CHAPTER 3: THE NEGOTIATION STAGES	63	(70)
A. The Preparation Stage	64	(12)
1. Client Preparation	64	(3)
2. Lawyer Preparation	67	(9)
1. Determining Expected Value of Interaction	67	(2)
2. Establishing High Aspiration Levels	69	(2)
3. Articulating Principled Opening Offers	71	(5)
B. The Preliminary Stage	76	(4)
1. Establishment of Negotiator Identities	77	(1)
2. Establishment of Negotiation Tone-Attitudinal Bargaining	77	(3)
C. The Information Stage	80	(14)
1. Focus on What Each Side Wants and Knows	80	(2)
2. Critical Nature of Information Retrieval	82	(4)
3. Categories of Information Regarding Opponent's Situation	86	(1)
4. Controlling Disclosure of Own Side's Information	87	(3)
a. Ignore the Intrusive Question	89	(1)
b. Answer the Beneficial Part of Compound Questions	89	(1)
c. Over-or Under-Answer the Question	89	(1)
d. Misconstrue the Question and Answer the Refrained Inquiry	89	(1)
e. Answer Opponent's Question with Own Question
f. Rule the Question Out of Bounds
5. Nonadversarial Probing of Underlying Interests and Objectives	90	(4)
D. The Competitive/Distributive Stage	94	(22)
1. Power Bargaining and Concession Strategy	96	(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	43	(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