Dispute Resolution : Negotiation, Mediation, and Other Processes

by Goldberg, Stephen B.; Goldberg, Stephen B.; Sander, Frank E. A.; Rogers, Nancy H.; Cole, Sarah Rudolph

• ISBN13: 9780735529106
• ISBN10: 0735529108
• Edition: 4th
• Format: Hardcover
• Copyright: 2003-05-01
• Publisher: Wolters Kluwer

Summary

This highly regarded casebook introduced generations of students to alternative dispute resolution as the field developed from an emerging to an established area of legal practice. Now, Dispute Resolution:: Negotitation, Mediation, and Other Processes, Fourth Edition, presents the latest developments in the three main processes for settling legal disputes without litigation. In addressing mediation, negotiation, arbitration, and important hybrid approaches, The casebook: takes a thorough, systematic approach, moving from overviews to critical analyses, then to application, evaluation, and practice draws on the combined strengths of a distinguished and experienced team of authors uses direct, accessible writing to help students grasp important concepts offers particularly strong coverage of mediation, a growing area of ADR study supplies an ADR Research Guide in an appendix Completely updated throughout, The Fourth Edition presents : important contributions from new co-author Sarah Rudolph Cole, who represents the perspective of a new generation of ADR academics an increased number and range of excerpted materials and readings new or expanded problems, questions, and simulations that give students experience in evaluating, preparing for, and practicing the various dispute resolution techniques expanded coverage of arbitration and dispute systems design

Table of Contents

Preface	xxi
Acknowledgments	xxiii
PART I OVERVIEW	1	(14)
Disputing Procedures	3	(12)
The Processes	3	(3)
Sources and Goals of the Alternative Dispute Resolution Movement	6	(3)
Applications	9	(2)
Concerns	11	(4)
References	12	(3)
PART II PROCESSES	15	(358)
Negotiation	17	(94)
Negotiating Tactics for Legal Services Lawyers	17	(5)
M. Meltsner
P. Schrag
The Art and Science of Negotiation	22	(10)
H. Raiffa
Questions	32	(1)
Note: Pricipled Negotiation	33	(1)
Getting Past No	34	(7)
W. Ury
The Pros and Cons of ``Getting to Yes''	41	(2)
J. White
Getting to Yes	43	(1)
R. Fisher
W. Ury
B. Patton
The Manager as Negotiator	44	(10)
D. Lax
J. Sebenius
Question	54	(1)
The Tension Between Empathy and Assertiveness	55	(5)
R. Mnookin
S. Peppet
A. Tulumello
The Manager as Negotiator	60	(3)
D. Lax
J. Sebenius
Questions	63	(1)
Note: The Janus Quality of Negotation---Dealmaking and Dispute Settlement	64	(2)
When Should We Use Agents? Direct vs. Representative Negotation	66	(3)
J. Rubin
F. Sander
Questions	69	(2)
Machiavelli and the Bar: Ethical Limitations on Lying in Negotiation	71	(7)
J. White
ABA, Model Rule of Professional Conduct 4.1	78	(1)
ABA, Model Rule of Professional Conduct 1.6	79	(1)
When Is It Legal to Lie in Negotiations?	80	(2)
G. Shell
Questions	82	(1)
Why Negotiations Fail: An Exploration of Barriers to the Resolution of Conflict	83	(6)
R. Mnookin
Exercises	89	(19)
References	108	(3)
Mediation	111	(98)
The Practice of Mediation	112	(41)
A Student's Guide to Mediation and the Law	113	(5)
N. Rogers
R. Salem
Getting to Yes	118	(2)
R. Fisher
W. Ury
Question	120	(1)
Before You Sue	120	(22)
F. Knebel
G. Clay
Note: The Role of Apology in Dispute Resolution	142	(2)
Note: Dealing with Impasse	144	(2)
Questions	146	(3)
Note: Dealing with Differences	149	(1)
Question	150	(3)
Public Encouragement of Mediation	153	(6)
The Parties' Satisfaction with the Process and Result	153	(1)
The Role of the Law and the Role of the Community	154	(2)
Equal Justice	156	(1)
The Effect on the Courts	157	(1)
Question	158	(1)
Social Science Assessments of Mediation	159	(5)
Note on Mediation Research	162	(2)
C. McEwen
Question	164	(1)
Regulating Mediation	164	(19)
Standards of Quality for Mediation	165	(1)
Fairness	165	(2)
Costs	167	(1)
The Effectiveness of the Justice System	167	(1)
A Word on Comparative Standards	168	(1)
Questions	168	(1)
Enforcement Mechanisms	169	(1)
Mediator Qualifications	169	(1)
Society of Professionals in Dispute Resolution, Report of the SPIDR Commission on Qualifications	169	(6)
Note	175	(1)
Questions	176	(1)
Holding the Mediator Accountable	176	(1)
Note: The Life of the Mediator---To Be or Not to Be (Accountable)	176	(4)
Note: Mediator Accountability	180	(1)
Questions	181	(1)
Required Mediation Procedures	182	(1)
Questions	183	(1)
The Lawyer-Mediator and Professional Responsibility	183	(26)
The Provision of Legal Information and Drafting Assistance During Mediation Sessions Involving Unrepresented Parties	184	(1)
The Dark Side of Mediation: Still Unexplored	185	(4)
R. Crouch
Association of the Bar of the City of New York, Opinion Number 80-23	189	(2)
Questions	191	(1)
Representation of or Advocacy Against a Mediation Participant and Mediation Involving Prior Clients; Imputed Conflicts	191	(1)
McKenzie Construction v. St. Croix Storage Corp.	192	(2)
CPR Institute for Dispute Resolution-Georgetown Commission on Ethics and Standards in Alternative Dispute Resolution---Model Rules for the Lawyer Neutral	194	(1)
Questions	195	(1)
Mediation Exercises	195	(7)
References	202	(7)
Arbitration	209	(76)
The Process	209	(9)
Arbitration or Litigation: A Dialogue	212	(3)
Question	215	(1)
Complex Commerical Arbitration: Designing a Process to Suit the Case	215	(3)
S. Houck
Questions	218	(1)
Legal Issues in Arbitration	218	(19)
Preemption	218	(1)
Southland Corp. v. Keating	219	(3)
Note	222	(1)
Question	223	(1)
Note on Application of Preemption Doctrine	223	(2)
Questions	225	(1)
Note on Circuit City v. Adams	225	(2)
Note on Class Actions and Arbitration Agreements	227	(1)
Revised Uniform Arbitration Act	228	(1)
Questions	229	(1)
Arbitrability	230	(1)
Questions	231	(1)
First Options of Chicago, Inc. v. Kaplan	232	(2)
Note on Arbitrability	234	(3)
Arbitration of Statutory Claims	237	(5)
Notes	240	(2)
Arbitration of Statutory Claims: Application to Employment Disputes	242	(36)
Repeat vs. One-Shot Players	242	(3)
Arbitration of Statutorily-Based Employment Claims	245	(1)
Knowing and Voluntary Waiver of the Right to Sue	245	(2)
Question	247	(1)
Fairness of the Arbitration Procedure	247	(1)
Commission on the Future of Worker-Management Relations, Report and Recommendations	248	(1)
Task Force on Alternative Dispute Resolution in Employment, Due Process Protocol	249	(3)
Cole v. Burns International Securities Services	252	(6)
Questions	258	(1)
Arbitration Costs	258	(1)
Arbitrator's Fees	258	(2)
Arbitration Filing Fees	260	(1)
Questions	261	(1)
Conscionability of the Arbitration Agreement	261	(1)
Hooters of America, Inc. v. Phillips	261	(3)
Questions	264	(1)
Note on Unconscionability	264	(2)
Notes and Questions	266	(2)
The Impact of Arbitration Agreements on the EEOC's Continuing Role in Employment Discrimination Cases	268	(1)
EEOC v. Waffle House, Inc.	268	(4)
Notes	272	(2)
The Scope of Judicial Review of Arbitration Awards	274	(1)
Halligan v. Piper Jaffray, Inc.	274	(3)
Note and Questions on Limitations on Judicial Review of Arbitration Awards	277	(1)
Arbitration Ethics	278	(7)
Arbitrator Ethics	278	(1)
Ethics of Third-Party Provider Organizations	279	(2)
Questions	281	(1)
References	281	(4)
Combining and Applying the Basic Processes	285	(88)
Introduction	285	(2)
Innovations in the Processes	287	(19)
Variants of Arbitration	288	(1)
Arbitration of Disputes About Contract Terms and Final Offer Arbitration	288	(1)
Arbitration Under a ``High-Low'' Contract	289	(1)
Tripartite Arbitration	290	(2)
Med-Arb	292	(2)
Court-Annexed Arbitration	294	(1)
Questions	294	(2)
Exercise	296	(1)
Minitrial	297	(2)
Exercise	299	(3)
Summary Jury Trial	302	(1)
Questions	302	(1)
Early Neutral Evaluation and ``Rights-Based'' Mediation	303	(1)
Ombudsman	304	(1)
Settling Disputes	304	(2)
L. Singer
Note	306	(1)
Dispute Systems Design	306	(16)
Designing an Effective Dispute Resolution System	307	(8)
S. Goldberg
J. Brett
W. Ury
Designing Conflict Management Systems	315	(2)
C. Costantino
C. Merchant
Implementing the Design	317	(1)
Assessing Whether the Design ``Works''	317	(2)
Questions	319	(3)
Selection of the Process	322	(19)
Lawyers	322	(1)
Fitting the Forum to the Fuss: A User-Friendly Guide to Selecting an ADR Procedure	323	(12)
F. Sander
S. Goldberg
Courts	335	(2)
Questions	337	(3)
Exercise	340	(1)
Representing a Client in Mediation	341	(17)
Discovery and Appropriate Timing for Dispute Resolution Processes	341	(1)
Questions	342	(1)
Premediation	343	(1)
The Represented Client in a Settlement Conference: The Lessons of G. Heileman Brewing Co. v. Joseph Oat Corp.	344	(4)
L. Riskin
Advocacy During Mediation	348	(1)
Questions	349	(1)
Ethical Issues	349	(1)
Making the Decision to Settle: Decision Analysis	350	(1)
``Decision Analysis as a Method of Evaluating the Trial Alternative'' in D. Golann, Mediating Legal Disputes	350	(5)
M. Aaron
D. Hoffer
Some Questions About Decision Analysis	355	(2)
Questions	357	(1)
Postmediation	358	(1)
Applications	358	(15)
E-ADR	358	(1)
Question	359	(1)
Streams of Cases	359	(1)
Questions	360	(1)
Collaborative Lawyering	361	(2)
Single Complex Case	363	(1)
Toward a Functional Approach for Managing Complex Litigation	363	(7)
F. McGovern
References	370	(3)
PART III DISPUTE RESOLUTION AND THE JUSTICE SYSTEM	373	(90)
Courts and ADR	375	(52)
The Role of Courts	376	(6)
Against Settlement	376	(4)
O. Fiss
Manufacturers Hanover Trust Co. v. Nicholas Yanakas	380	(2)
Question	382	(1)
Court-Related Processes	382	(6)
One Approach to Diagnostic Assessment of Civil Cases: The Individual Case-Screening Conference	384	(3)
E. Gray
Question	387	(1)
Note: Empirical Research	387	(1)
Mandatory Participation and Pressure to Settle	388	(27)
SPIDR, Mandated Participation and Settlement Corercion: Dispute Resolution as It Relates to the Courts	388	(6)
Judicial (Mis) Use of ADR? A Debate	394	(1)
F. Sander
H. Allen
D. Hensler
Questions	395	(1)
Strandell v. Jackson County, Ill	396	(2)
Note	398	(1)
Question	398	(1)
In re Atlantic Pipe Corp.	398	(9)
Note	407	(1)
Note: Compulsory Attendance of Parties	408	(3)
Court-Mandated Alternative Dispute Resolution: What Form of Participation Should Be Required?	411	(2)
E. Sherman
Questions	413	(2)
The Role of Private Providers	415	(12)
Comparing Structures for the Delivery of ADR Services by Courts: Critical Values and Concerns	415	(6)
W. Brazil
Question	421	(1)
Private Judging: Privatizing Civil Justice	422	(1)
R. Chernick
H. Bendix
R. Barrett
Questions	423	(1)
References	424	(3)
Confidentiality	427	(36)
Introduction	427	(1)
Rights to Resist Disclosure Within Legal Proceedings	428	(18)
Folb v. Motion Picture Industry Pension & Health Plans	430	(5)
Questions	435	(1)
Note: The ``Holder'' of the Privilege	435	(1)
Questions	436	(2)
State v. Castellano	438	(1)
Questions	439	(1)
Accommodating the Interests of Justice: Predictability Versus Fine Tuning	439	(1)
Olam v. Congress Mortgage Company	440	(4)
Note on ``Qualified'' vs. ``Categorical'' Privilege	444	(1)
Conflict of Laws	445	(1)
Questions	445	(1)
The Neutral's Obligation to Maintain Confidentiality	446	(2)
Confidentiality Agreements and Protective Orders	447	(1)
Ethical and Legal Obligations	448	(1)
Limits on Confidentiality Because of Policies Favoring Reporting or Warning	448	(3)
C. R. & S. R. v. E.	449	(1)
Questions	450	(1)
Limits on Confidentiality Because of Public Access Rights	451	(12)
Bank of America National Trust & Savings Association v. Hotel Rittenhouse Associates	451	(4)
Cincinnati Gas & Electric Gas Co. v. General Electric Co.	455	(3)
Note	458	(2)
Questions	460	(1)
References	461	(2)
PART IV SELECTED APPLICATIONS	463	(100)
Family Disputes	465	(34)
Divorce Mediation Practice	467	(14)
Divorce Mediation	467	(6)
J. Haynes
Divorce Mediation: Promises and Problems	473	(5)
J. Folberg
Questions	478	(1)
Family Mediation	479	(2)
J. Pearson
Mediation and Lawyers	481	(4)
Bring the Lawyers into Divorce Mediation	481	(4)
C. McEwen
N. Rogers
Question	485	(1)
Mediation and Spousal Abuse	485	(8)
Mediating Family Disputes in a World with Domestic Violence: How to Devise a Safe and Effective Court-Connected Mediation Program	486	(5)
R. Rimelspach
Note: Domestic Violence and Mediation	491	(2)
Mediation Clauses	493	(6)
Questions	494	(2)
References	496	(3)
Public Disputes	499	(20)
Breaking the Impasse	499	(6)
L. Susskind
J. Cruikshank
Questions	505	(2)
Note: Consensus Building	507	(1)
The Northern Oxford County Coalition: Four Main Towns Tackle a Public Health Mystery	508	(1)
S. McKearnan
P. Field
Question	509	(1)
Note: Negotiated Rulemaking	510	(2)
Questions	512	(1)
Exercises	513	(3)
References	516	(3)
International Disputes	519	(44)
Negotiating and Mediating Public Disputes	521	(27)
Keeping Faith	521	(26)
J. Carter
Note	547	(1)
Questions	548	(1)
Arbitrating Private Disputes	548	(8)
Arbitration and Mediation in International Business	548	(2)
C. Buhring-Uhle
Dealing in Virtue: International Commercial Arbitration and the Construction of a Transnational Legal Order	550	(1)
Y. Dezalay
B. Garth
To Settle or Empanel? An Empirical Analysis of Litigation and Settlement at the World Trade Organization	551	(2)
A. Guzman
B. Simmons
Question	553	(1)
Exercise	553	(3)
Negotiating Private Disputes	556	(7)
Culture, Negotation, and the Eye of the Beholder	556	(3)
J. Rubin
F. Sander
Question	559	(1)
Exercise	559	(1)
References	560	(3)
PART V THE FUTURE OF ADR	563	(22)
The Future of ADR	565	(20)
The Societal-Public Perspective	565	(6)
Questions	569	(2)
The Student Perspective: ``Can I Earn a Living in ADR?''	571	(14)
ADR Personalities and Practice Tips	573	(11)
J. Alfini
E. Galton
References	584	(1)
PART VI DISPUTE RESOLUTION PROBLEMS	585	(20)
Dispute Resolution Problems	587	(18)
Irving Weston v. Lawyer's Press, Inc.	587	(1)
The Matter of Casey's Fee	588	(1)
American Can Co. v. Wisconsin Electric Power Co.	589	(1)
The Matter of the HAL 2001 Computer	590	(1)
Cincinnati Foods	591	(1)
Dyna-Mo Co.	591	(1)
The Case of Neighborhood Care, Inc.	592	(2)
Whittamore v. Fairview Clinic	594	(1)
University Housing Disputes	595	(1)
Griswold v. Langdell	595	(2)
Citizens v. Western Nuclear Corp.	597	(1)
Satcom, Inc. v. Telecom	597	(1)
A Neighborhood Dispute	598	(1)
Thomas v. Eagle Rifle Co.	599	(1)
The Virginia Medical Group	599	(2)
Due Process for Mediation Cases?	601	(4)
Appendix A. Dispute Resolution Clauses	605	(4)
Appendix B. Federal Arbitration Act	609	(6)
Appendix C. Uniform Arbitration Act	615	(8)
Appendix D. Revised Uniform Arbitration Act	623	(18)
Appendix E. Uniform Mediation Act	641	(22)
Appendix F. National Standards for Court-Connected Mediation Programs	663	(10)
Appendix G. Model Standards of Practice for Family and Divorce Mediation	673	(10)
Appendix H. The Standards of Conduct for Mediators	683	(8)
Appendix I. Dispute Resolution: An Annotated Guide to Selected Resources	691	(66)
Table of Cases	757	(4)
Collected References	761	(22)
Index	783