9780820551609

Alternative Dispute Resolution: The Advocate's Perspective

by ;
  • ISBN13:

    9780820551609

  • ISBN10:

    0820551600

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

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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

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