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CONTENTS Preface xxv Acknowledgments xxvii PART I INTRODUCTION 1 CHAPTER 1 THE ORIGINS OF DISPUTES 3 A. The Nature of Disputing in America 4 B. How Disputes Arise 5 Reading the Landscape of Disputes: What We Know and Don't Know (and Think We Know) About Our Allegedly Contentious and Litigious Society-Marc S. Galanter 6 Questions 10 C. The Spectrum of Dispute Resolution Options 11 D. Conclusion 12 CHAPTER 2 AN INTRODUCTION TO NEGOTIATION 15 A. Negotiation Styles and Approaches 15 1. Competitive Approach 17 A Primer on Competitive Bargaining-Gary Goodpaster 17 Questions 20 2. Cooperative Approach 20 Note: Interests in Bargaining 21 Problem 22 Questions 23 Microsoft, Stac End Battle with Pact, a Win-Win Cross-Licensing Agreement-Jim Carlton 24 Questions 25 3. Problem-Solving Approach 25 Toward Another View of Legal Negotiation: The Structure of Problem Solving-Carrie Menkel-Meadow 25 Questions 28 4. Adversarial Approach 28 Secrets of Power Negotiating-Roger Dawson 28 Question 30 B. A Combined Approach-Creating and Claiming Value 30 The Manager as Negotiator: Bargaining for Cooperation and Competitive Gain-David A. Lax and James K. Sebenius 30 Note: The Importance of Differences in Creating Joint Gains 33 Questions 35 C. Choosing an Effective Approach 35 1. Cooperation versus Competitiveness-Who Decides? 35 2. Negotiating Within Your Comfort Zone 36 CHAPTER 3 NEGOTIATION-STEP BY STEP 39 Questions 40 A. Preparing to Negotiate 1. Identifying Alternatives 41 Getting to Yes-Roger Fisher, William Ury, and Bruce Patton 41 Questions 43 2. Setting Goals 44 Bargaining for Advantage: Negotiation Strategies for Reasonable People-G. Richard Shell 44 Notes and Questions 46 3. A Preparation Checklist 47 B. Initial Interaction 49 Essentials of Negotiation-Roy Lewicki et al. 49 Note: The Importance of Small Talk in Bargaining 50 Question 51 C. Exchanging Information 51 Understanding Negotiation-Melissa L. Nelken 52 Questions 54 D. Bargaining 55 1. Competitive Approach 55 Planning and Executing an Effective Concession Strategy- Theron O'Connor 55 A Civil Action-Jonathan Harr 58 Questions 60 2. Cooperative Approach Beyond Winning: Negotiating to Create Value in Deals and Disputes-Robert H. Mnookin, Scott R. Peppet, and Andrew S. Tulumello 60 Question 62 E. Moving Toward Closure 62 1. Seeking Inventive Solutions Getting to Yes-Roger Fisher, William Ury, and Bruce Patton 62 2. Splitting the Difference and Dealing with Impasse 64 Bargaining for Advantage: Negotiation Strategies for Reasonable People-G. Richard Shell 64 Questions 67 F. Finalizing an Agreement Effective Legal Negotiation and Settlement-Charles B. Craver 67 Note: Ratification and Approval 70 CHAPTER 4 BARRIERS TO SETTLEMENT 71 A. Strategic and Principal-Agent Barriers 71 Why Negotiations Fail: An Exploration of Barriers to the Resolution of Conflict-Robert H. Mnookin 71 B. The Role of Perceptions 77 The War of the Roses-Warren Adler 77 The Conflict Helix-R. J. Rummel 78 C. Psychological Traps 81 Cognitive Barriers to Effective Negotiation-Dwight Golann 81 Settlement Psychology: When Decision-Making Processes Fail-Richard Birke 84 Questions 89 D. The Role of Emotions 90 Interpersonal Dynamics: Helping Lawyers Learn the Skills, and the Importance of Human Relationships in the Practice of Law- Joshua D. Rosenberg 90 Questions 94 PART II THE MEDIATION PROCESS 95 CHAPTER 5 AN OVERVIEW OF MEDIATION 97 A. Introduction 97 1. The Process of Mediation 97 a. What Is Mediation? 97 b. What Do Mediators Do? 98 c. What Is the Structure of Mediation? 98 2. The Value of Mediation 100 a. Viewpoints of Lawyers 100 b. Business Perspectives 103 Toro's Early Intervention Program, After Six Years, Has Saved $50 M-Miguel A. Olivella Jr. 103 Patterns of ADR Use in Corporate Disputes-David B. Lipsky and Ronald L. Seeber 104 c. Is It Right for Every Dispute? 106 3. Examples of Mediation in Action 106 a. Death of a Student 106 Questions 109 b. United States et al. v. Microsoft Corporation 109 Unfinished Business: Another Look at the Microsoft Mediation: Lessons for the Civil Litigator-James Laflin and Robert Werth 109 How We Mediated the Microsoft Case-Eric Green and Jonathan Marks 111 4. The Evolution of Legal Mediation 112 B. Goals and Mediator Styles 114 1. Goals for the Process 114 a. Resolve a Legal Claim on the Best Possible Monetary Terms 114 b. Develop a Broad, Interest-Based Resolution 115 c. Repair the Parties' Relationship 115 d. Change the Parties' Perspectives 116 e. Choices among Goals 116 Questions 118 2. Mediator Styles 118 a. Classifying Styles 118 Retiring and Replacing the Grid of Mediator Orientations -Leonard L. Riskin 118 b. Do Mediators Have a Single Style? 122 Questions 122 3. Mediative Approaches and Techniques 123 a. Commercial Mediation 123 A Basic Mediative Strategy-Dwight Golann 123 Do's and Don'ts of Mediation Practice-Marjorie C. Aaron 130 b. Pure Money Mediation 134 Mediating in the Dance for Dollars-J. Michael Keating 134 c. No-Caucus Approaches 136 The Heart of Mediation: Resolving Conflict Through Understanding- Gary J. Friedman and Jack Himmelstein 136 Questions 139 d. Transformative Mediation REDRESS¿ at the USPS: A Breakthrough Mediation Program-Lisa B. Bingham 140 Transformative Mediation Principles and Practices in Divorce Mediation-Robert A. Baruch Bush and Sally Ganong Pope 141 4. Is There More to Mediation than Technique? 143 Bringing Peace into the Room: The Personal Qualities of the Mediator and Their Impact on the Mediation-Daniel Bowling and David Hoffman 144 Questions 145 CHAPTER 6 STAGES OF MEDIATION 147 A. Commercial Mediation 147 1. Premediation 147 a. Performing Administrative Tasks 147 b. Ensuring That the Right People Are at the Table 148 c. Building a Working Relationship 148 d. Starting to Mediate 148 2. The Opening Session 149 a. Goals 149 b. Techniques 150 c. Opening Comments 151 d. Common Mistakes 155 3. Private Caucuses 155 a. Early Caucuses 156 b. Middle Caucuses 159 c. Later Caucuses 161 d. Common Mistakes 163 4. Joint Discussions 165 a. Goals and Techniques 166 b. Common Mistakes 167 B. No-Caucus Processes 168 The Heart of Mediation: Resolving Conflict Through Understanding-Gary J. Friedman and Jack Himmelstein 168 Questions 173 Note: Choosing the Right Process 173 CHAPTER 7 PROCESS SKILLS 175 A. Premediation Contacts 175 At First Glance: Maximizing the Mediator's Initial Contact- Marjorie C. Aaron 175 Problem 7.1 177 B. During the Process 177 1. Listening 177 Undaunted Courage-Stephen E. Ambrose 178 Questions 179 The Benefits of Empathic Listening-Richard Salem 179 Reconciliation and the Role of Empathy-Dana L. Curtis 181 Problem 7.2 184 2. Reframing 185 Reframing-Ken Bryant and Dana L. Curtis 185 3. Identifying Interests and Developing Options 188 a. Methods to Identify Interests 188 b. Methods to Develop Settlement Options 191 4. Managing Positional Bargaining 192 CHAPTER 8 EMOTIONAL AND COGNITIVE FORCES 197 A. Emotional Issues 197 1. Strong Feelings 197 a. Identify the Issue 198 b. Allow Venting: Listen, Acknowledge, Empathize 199 c. Retrace the Issue from the Disputant's Perspective 200 d. Arrange a Response 200 e. Treat Continuing Problems 201 f. Distinguish Feelings Carried over from the Past 201 g. Extend the Process or Adjourn for a Limited Time 201 h. Circumvent Dysfunctional Participants 202 Questions 202 Note: Apology in Mediation 202 Questions 204 2. Personal Issues in Dealing with Emotion 205 Why Is It Hard for Lawyers to Deal with Emotional Issues?- Helaine Golann and Dwight Golann 205 Question 208 B. Cognitive Effects 208 1. Forces Affecting Assessment of the Merits 208 a. Selective Perception 208 b. Optimistic Overconfidence 209 c. Endowment Effect 209 2. Influences on Bargaining Decisions 210 a. Reactive Devaluation 210 b. Loss Aversion 211 c. Attraction to Certainty and Familiar Risks 212 Questions 213 3. General Responses to Cognitive Issues 213 a. Treat Obstacles as Psychological, Not Simply Legal, Issues 213 b. Retrace the Disputant's Analysis 213 c. Distance Current Circumstances from Prior Ones 214 d. Reframe the Decision 214 e. Ask the Person to Play out an Adversary's Role 215 f. Use Humor to Shake a Disputant out of a Rigid Stance 215 C. The Special Problem of Loss Reactions 215 The Death of a Claim: Loss Reactions in Bargaining-Dwight Golann 215 CHAPTER 9 MERITS-BASED BARRIERS 221 A. Responses to Lack of Information 222 B. Intermediate Techniques 224 Decision Analysis as a Method of Evaluating the Trial Alternative-Marjorie Corman Aaron and David P. Hoffer 228 C. Evaluation of the Likely Outcome in Adjudication 233 1. Should Mediators Evaluate? 233 The Top Ten Reasons Why Mediators Should Not Evaluate- Lela P. Love 233 2. What Is Evaluation? 234 Advice by Any Other Name-Tom Fisher 235 Questions 236 3. If a Mediator Does Evaluate, How Should It Be Done? 236 To Evaluate or Not-That Is Not the Question!-L. Randolph Lowry 237 Questions 239 To Evaluate or Facilitate? Parties' Perceptions of Mediation Affected by Mediator Style-Roselle P. Wissler 239 Questions 240 Problems 240 PART III THE ADVOCATE'S ROLE 243 CHAPTER 10 REPRESENTING CLIENTS: PREPARATION 245 A. Introduction 245 1. Identifying Goals 246 Questions 247 Problem 247 2. An Overview of Strategy 247 a. Problem-Solving Approaches 247 Mediation Representation: Advocating in a Problem-Solving Process -Harold Abramson 247 b. Commercial Mediation Processes 249 Twenty Common Errors in Mediation Advocacy -Tom Arnold 249 Questions 253 B. Entering the Process 254 1. Whether to Mediate 254 Mediation Advocacy-John Cooley 254 2. When to Mediate 255 3. How to Initiate the Process 256 C. Structuring the Mediation 257 1. Selecting a Mediator 257 Strategic Considerations in Choosing a Mediator: A Mediator's Perspective-David S. Ross 258 Questions 259 2. Ensuring the Presence of Necessary Participants 260 A Mediator's Tip: Talk to Me!-Jerry Spolter 260 Questions 262 3. Drafting an Agreement to Mediate 262 4. Influencing the Format 262 5. Planning for Court-Connected Mediation 263 D. Preparing to Mediate 265 1. Developing a Negotiating Plan 265 a. A Mediator's Perspective 265 How Advocacy Fits in Effective Mediation-Jeffrey G. Kichaven 265 Question 266 b. A Litigator's Viewpoint 266 Advocacy in Mediation: A Dozen Suggestions-Robert M. Smith 266 c. A Problem-Solving Approach xxx Mediation Representation: Advocating in a Problem-Solving Process-Harold Abramson xxx Questions xxx 2. Exchanging Information xxx a. Exchanging Data with the Other Party xxx Questions xxx b. Educating the Mediator xxx Questions xxx 3. Preparing the Client xxx Client Preparation for Mediation-Thomas Arnold xxx Questions xxx CHAPTER 11 REPRESENTING CLIENTS: DURING THE PROCESS 000 A. Joint Meetings 000 1. The Opening Session 000 a. Should There Be an Opening Session? 000 Question 000 b. What Role Will You Take in the Session? 000 c. What Role Will Your Client Take? 000 Question 000 2. Other Joint Formats 000 B. Caucusing 000 1. Early Caucuses 000 a. Exchanging Information and Arguments 000 Problem 000 b. Initiating Bargaining 000 2. Later Caucuses 000 a. Facilitating Bargaining 000 Questions 000 Questions 000 b. Impasse-Breaking Techniques 000 Questions 000 PART IV PUBLIC POLICY, ETHICS, AND LAW 000 CHAPTER 12 PUBLIC POLICY AND ETHICAL ISSUES 000 A. Policy Issues Regarding the Use of Mediation 000 1. Should Some Cases Not Be Settled? 000 Against Settlement-Owen M. Fiss 000 Lessons from the Alternative Dispute Resolution Movement- Jethro K. Lieberman & James F. Henry 000 Questions 000 ADR and the Dispossessed: Recent Books about the Deformalization Movement -Richard Delgado 000 Questions 000 2. Should Some Disputes Not Be Mediated? 000 a. Issues of Gender, Ethnicity, and Culture 000 New Mexico Research Examines Impact of Gender and Ethnicity in Mediation-Michele Hermann 000 Questions 000 A Red Flag: Mediator Cultural Bias in Divorce Mediation-Sina Bahadoran 000 Questions 000 b. Mandatory Mediation of Family Disputes 000 Questions 000 The Mediation Alternative: Process Dangers for Women-Trina Grillo 000 Notes and Questions 000 c. Domestic Violence Cases 000 Mediation and Domestic Abuse-Ann L. Milne 000 Questions 000 d. Termination of Parental Rights 000 In the Matter of T.D., Deprived Child v. State of Oklahoma, et al. 000 Questions 000 B. Ethics Issues for Advocates and Neutrals 000 1. Advocates in Mediation 000 a. Candor Toward the Mediator 000 Problems 12.1 and 12.2 000 b. Obligations to Other Parties 000 Problems 12.3 and 12.4 000 c. The Duty to Advise Clients About ADR 000 Questions 000 2. Concerns for Mediators 000 Excerpts from the Model Standards of Conduct for Mediators 000 Excerpt from the Uniform Mediation Act 000 Questions 000 a. Issues of Fairness 000 Problems 12.5 and 12.6 000 b. Questions of Competence 000 Problem 12.7 000 c. Repeat-Player Concerns 000 Problem 12.8 000 d. Differences Between Attorney and Client 000 Problems 12.9 and 12.10 000 e. Improper Conduct by Litigants 000 Problems 12.11-12.13 000 3. Combining Practice as an Advocate and a Mediator 000 a. Conflicts of Interest 000 Question 000 b. Role Confusion 000 Questions 000 CHAPTER 13 THE LAW OF MEDIATION 000 A. Confidentiality 000 Problems 13.1 and 13.2 000 1. How Important Is Confidentiality to Mediation? 000 Confidentiality in Mediation: The Need for Protection-Lawrence R. Freedman and Michael L. Prigoff 000 A Closer Look: The Case for a Mediation Confidentiality Privilege Still Has Not Been Made -Scott H. Hughes 000 Questions 000 2. Sources of Mediation Confidentiality 000 a. Rules of Evidence 000 b. Privileges 000 c. Confidentiality Statutes and Rules 000 d. Mediation Agreements 000 e. Positive Disclosure Obligations 000 3. Examples from Practice 000 a. Use of Mediation Information in Litigation 000 Rojas v. Superior Court of Los Angeles County 000 Questions 000 Byrd v. The State 000 Questions 000 Problems 13.3 and 13.4 000 b. Supervisory Intrusions into the Process 000 Questions 000 Olam v. Congress Mortgage Co. 000 Questions 000 4. Confidentiality in Caucusing 000 Problems 13.5 and 13.6 000 5. Proposals for Change 000 a. The Current State of Protection 000 b. A Response: The Uniform Mediation Act 000 B. Enforcement of Participation in Mediation 000 1. Agreements to Mediate 000 Questions 000 2. Mandates to Mediate 000 a. Issues of Court Authority 000 Question 000 b. Good-Faith Bargaining Requirements 000 Questions 000 Questions 000 Nick v. Morgan's Foods of Missouri, Inc. 000 Questions 000 Problem 13.7 000 3. Enforcement of Mediated Settlements 000 a. The Existence of an Agreement 000 b. Grounds for Invalidation 000 Questions 000 Christian Cooper v. Melodie Austin 000 Questions 000 C. Certification and Licensing 000 Points of View: Is Mediation Really a Profession?-Juliana Birkoff and Robert Rack, with Judith M. Filner 000 Certification: An Idea Whose Time Has Come-James E. McGuire 000 PART V APPLICATIONS 000 CHAPTER 14 SPECIFIC APPLICATIONS 000 A. Family Disputes 000 1. What Is Unique About Family Mediation? 000 2. The Process 000 Questions 000 Mediating Divorce: Casebook of Strategies for Successful Family Negotiations-John Haynes 000 3. Policy Issues 000 Questions 000 Divorce Mediation: The Emerging American Model-Jay Folberg 000 B. Employment Cases 000 Employment Disputes-Carol A. Wittenberg, Susan T. MacKenzie, and Margaret L. Shaw 000 Questions 000 C. Environmental and Public Controversies 000 The Environment in the Balance: Mediators Are Making a Difference-Gail Bingham 000 Questions 000 Convening-Chris Carlson 000 D. Intellectual Property Disputes 000 High Tech and Intellectual Property Disputes-Technology Mediation Services 000 Questions 000 E. Criminal Matters 000 Questions 000 1. Potential Charges 000 Police Mediators: Rethinking the Role of Law Enforcement in the New Millennium-Christopher Cooper 000 Question 000 2. Victim-Offender Cases 000 Questions 000 Personalizing Crime: Mediation Produces Restorative Justice for Victims and Offenders-Marty Price 000 Question 000 F. Deal Mediation 000 Contract Formation in Imperfect Markets: Should We Use Mediators in Deals?-Scott R. Peppet 000 Question 000 G. International Mediation 000 1. Foreign Legal Systems 000 2. International Legal Disputes 000 Mediation in International Business-Jeswald Salacuse 000 The Asian Concept of Conciliator/Arbitrator: Is It Translatable to the Western World?-M. Scott Donahey 000 Questions 000 H. Online Mediation 000 Online Dispute Resolution-Colin Rule 000 Questions 000 CHAPTER 15 COURT-CONNECTED MEDIATION 000 A. Issues of Program Design 000 1. What Goals Should a Program Seek to Achieve? 000 Why Should Courts Offer Non-Binding ADR Services?-Wayne D. Brazil 000 Questions 000 Making Deals in Court-Connected Mediation: What's Justice Got to Do with It?-Nancy A. Welsh 000 Questions 000 2. How Should Services Be Provided? 000 Problem 000 B. Models of Court-Connected Programs 000 1. State Trial Courts 000 Alternative Dispute Resolution in Minnesota-An Update on Rule 114-Nancy A. Welsh and Barbara McAdoo 000 The Texas ADR Experience-Mike Amis et al. 000 Florida's Court-Connected State Mediation Program-Sharon Press 000 Questions 000 2. Federal Trial Courts 000 Demonstrating the Possibilities of Providing Mediation Early and by Court Staff: The Western District of Missouri's Early Assessment Program-Donna Stienstra 000 Question 000 3. Small Claims Sessions 000 The Use of Mediation in Small Claims Courts-Susan Raitt et al. 000 4. Appellate Courts 000 Representing Clients In Appellate Mediation: The Last Frontier- Dana Curtis and John Toker 000 Question 000 CHAPTER 16 MIXED AND CHANGING ROLES 000 A. The Use of Mixed Processes: Med-Arb 000 1. Concerns about Med-Arb 000 Questions 000 2. The Need for Precision in Specifying Roles 000 Questions 000 B. Changing Roles for Lawyers 000 A Judge's Perspective on Lawyering and ADR-Hon. Wayne Brazil 000 Question 000 C. Transforming the Community 000 Promoting Problem Solving and Peacemaking as Enduring Values in Our Society -Hon. Janet Reno 000 D. Mediative Skills as Part of a Legal Career 000 Appendix 000 Bibliography and References 000 Table of Cases 000 Index 000
Library of Congress Subject Headings for this publication:
Mediation -- United States.
Dispute resolution (Law ) -- United States.
Compromise (Law) -- United States.