Effective legal negotiation and settlement / Charles B. Craver, Freda H. Alverson Professor of Law, George Washington University.
2016
KF9084 .C7 2016 (Map It)
Available at Circdesk
Formats
| Format | |
|---|---|
| BibTeX | |
| MARCXML | |
| TextMARC | |
| MARC | |
| DublinCore | |
| EndNote | |
| NLM | |
| RefWorks | |
| RIS |
Items
Details
Author
Title
Effective legal negotiation and settlement / Charles B. Craver, Freda H. Alverson Professor of Law, George Washington University.
Published
Durham, North Carolina : Carolina Academic Press, [2016]
Call Number
KF9084 .C7 2016
Edition
Eighth edition.
ISBN
9781632848055 (softbound)
1632848058 (softbound)
1632848058 (softbound)
Description
xl, 412 pages, 96 variously numbered pages ; 26 cm
System Control No.
(OCoLC)931476765
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Table of Contents
ch. 1
Introduction
1.01.
Value Of Negotiating Skills
1
1.02.
Negotiation As A Process
2
1.03.
Cultural Dislike Of Negotiation
4
1.04.
Impact Of Negotiator Personalities
4
1.05.
Factors Possessed By Proficient Negotiators
5
ch. 2
Basic Factors Affecting Negotiation
2.01.
Personal Needs Of Participants
9
1.
Unspoken Client Needs
9
2.
Needs of Counsel
9
3.
Needs of Opposing Counsel
10
4.
Unlikelihood of Equal Satisfaction
10
2.02.
Negotiating Styles Of Participants
11
1.
Different Negotiating Styles
11
2.
Relative Effectiveness of Negotiating Styles
12
a.
Competitive/Adversarial Negotiator Results
12
b.
Cooperative/Problem-Solving Negotiator Results
13
c.
Different Negotiating Style Interactions
14
d.
Competitive/Problem-Solving Approach
15
3.
Collaborative/Cooperative Law Approaches
19
2.03.
Type Of Negotiation
21
ch. 3
Verbal And Nonverbal Communication
3.01.
Verbal Communication
25
1.
Determining Validity
25
2.
Verbal Leaks
25
3.
Signal Words
27
4.
Body Posture, Speech Pattern Mirroring, and Sensory Preference Reflection
28
a.
Body Posture and Speech Pattern Mirroring
28
b.
Sensory Preference Reflection
29
5.
Gain-Loss Issue Framing
30
a.
Impact
30
b.
Sure Gain vs. Possible Greater Gain or No Gain Decision Making
30
c.
Sure Loss vs. Possible Greater Loss or No Loss Decision Making
30
d.
Framing Methods That Maximize Appeal
31
6.
Impact of Endowment Effect
32
7.
Loss Aversion
32
8.
Regret Aversion
33
9.
Optimistic Overconfidence
33
10.
Attribution Bias
33
11.
Paradox of Choice and Influence of the Impact Bias
34
12.
Influence of Attorney Perspectives on Client Choices
35
3.02.
Nonverbal Communication
35
1.
Reading and Interpreting Nonverbal Communication
35
2.
Barriers to Effective Reading and Interpreting
37
3.
Advantages in Training and Background
37
4.
Common Nonverbal Signals
38
5.
Nonverbal Indications of Deception
47
ch. 4
Preparing To Negotiate (Establishing Limits And Goals)
4.01.
Client And Lawyer Preparation
55
1.
Benefits
55
2.
Client Preparation
56
a.
Ascertaining Needs and Interests
56
b.
Setting Expectations
58
3.
Lawyer Preparation
59
a.
Knowledge of Relevant Legal and Theoretical Doctrines
59
b.
Determining the Expected Value of Transaction
59
c.
Understanding and Communicating Real Costs of Non-Settlement to Clients
60
d.
Understanding the Real Costs of Nonsettlement to Opposing Counsel and Clients
62
e.
Accurate Assessment of Strengths and Weaknesses Affecting Own Side and Opposing Side
63
f.
Assessment of Counterpart Value Systems
64
g.
Importance of Establishing High Aspirations, Inner Confidence, and Elevated Opening Offers
65
i.
Elevated Aspirations and Inner Confidence Generate Better Outcomes
65
ii.
High Initial Proposals Keep Options Open
67
iii.
Against Forming Modest Initial Proposals
67
iv.
Impact of Anchoring
67
v.
Method for Achieving Expectations
68
h.
Use of "Principled" Opening Offers
69
i.
Explicable Rationales
69
ii.
Solicitation of Sympathy
70
iii.
Defense Against the Solicitation of Sympathy
70
i.
Importance of Foresight and Flexibility
70
j.
Recognition of Potential Internal Conflicts That May Influence Interactions with Counterparts
71
k.
Negotiation Preparation Form
71
l.
Importance of Establishing Good Reputations
72
m.
Multi-Party Negotiating Teams
73
i.
Coordinating Strategy
73
ii.
Appointing a Spokesperson and Controlling Interparty Communication
73
4.02.
Setting The Stage
74
1.
Importance
74
2.
Own Office
74
3.
At Office of Opposing Counsel
74
4.
Chairs and Tables
75
ch. 5
Preliminary Stage (Establishing Negotiator Identities And Tone For Interaction)
5.01.
Assessing Negotiator Personalities
77
1.
Prior Familiarity with Counterpart
77
2.
Unknown Negotiators
78
a.
Consulting Outside Sources
78
b.
Initial Assessment of Counterparts' Disposition towards Cooperation
78
5.02.
Establishing Negotiation Tone
78
1.
Understanding Negotiators' World Views
78
2.
Congenial Relations Generate Better Results
79
5.03.
Establishing Effective Ongoing Negotiator Relations
80
1.
Expectations for Approaching Various Personalities
80
2.
Games of One-Upmanship
80
3.
Knowing the Opposition
81
4.
Benefits of Attitudinal Bargaining
82
5.
Benefits of an Apology
83
5.04.
Turn Off Electronic Devices Before You Commence In-Person Bargaining With Others
85
ch. 6
Information Stage (Value Creation)
6.01.
Questioning
87
1.
Where Information Stage Begins
87
2.
Nature of Question
87
a.
Obtaining Information About Skills, Resources and Experience of Adversary
87
b.
Starting with Open-Ended, Information-Seeking Questions
88
c.
Narrowing Queries
89
d.
Questioning Process as Power Play
90
e.
Value of Active Listening
90
f.
Value of Patience
91
g.
Identifying Issues That Lend Themselves to Mutually Beneficial Resolution
91
h.
Obtaining Information
92
i.
Counterpart Strategies, Strengths, and Weaknesses
92
ii.
Counterpart Pressures
92
i.
Need for Continuing Attorney-Client Interactions
93
6.02.
Offers
93
1.
Who Goes First
93
a.
Initiating vs. Responding
93
b.
Benefit of Obtaining First Offer
94
i.
Revealing Miscalculated Values
94
ii.
Bracketing
95
iii.
Inducing First Concession
95
c.
Never Accept Counterpart's Opening Offer
96
2.
Inducing the Initial Offer
96
3.
Ascertaining Validity of Offer
97
a.
Initial Offer
97
b.
Demands and Offers in General
98
i.
Considering Reputation and Contextual, Factual, and Legal Circumstances
98
ii.
Gauging Congruence of Verbal and Nonverbal Signals
98
4.
Assessing Target and Resistance Points
99
a.
Definition
99
b.
Example
99
c.
Adjusting to Noncoinciding Ranges
100
5.
Awareness of Counterpart Flexibility
100
6.
Various Methods of Presenting Demands and the Information They Convey
100
a.
Most or Least Important First
100
b.
Advantages of Understanding Relative Values
101
c.
Beneficial to Plan to Discuss Several Different Items Together
101
d.
Opening Substantive Discussions
101
i.
Key Topics
101
ii.
Ancillary Topics
102
7.
Difficulties in Conveying Credible Representations
103
8.
Controlling Disclosure of Own Side's Information
103
a.
Importance of Information Control
103
b.
Formulating Principled Positions
103
c.
Framing Offers with Certain Benefits for Counterparts and Subtle Advantages for Own Position
104
d.
Against Excessive Candor at Information Stage
104
i.
Benefit of Forcing Counterparts to Ask Questions
104
ii.
Problems with Excessive Candor
105
6.03.
Controlling Responses
105
1.
Use of Blocking Techniques
105
2.
Nonadversarial Probing of Underlying Interests and Objectives
107
a.
Benefits
107
b.
Drawbacks of Adversarial Questioning
108
c.
Mediation Assistance
109
d.
Discovery of Mutually-Beneficial Options
109
i.
Different Valuations of Various Terms
109
ii.
Discovery of Priority Compatibilities
110
iii.
Greater Likelihood of Resolution of Shared Needs Through Understanding of Independent Needs
111
iv.
Exchanging Terms Based on Respective Prioritization
111
v.
Using Contingent Agreements to Deal with Future Uncertainties
111
vi.
De-emphasizing Conflicts
112
ch. 7
Competitive/Distributive Stage (Value Claiming)
7.01.
"Value Claiming"
115
1.
Discerning Transition from Information to Competitive/Distributive Stage
115
2.
"Competitive" Nature of the Stage
116
a.
Claiming of Values
116
b.
Focus on Outcomes
116
c.
Importance of Conviction
116
d.
Testing and Applying Pre-Negotiation Evaluations
117
7.02.
Concessions
117
1.
Making Principled Concessions
117
2.
Timing
117
3.
Delivery
118
4.
Preempting "Reactive Devaluation"
120
5.
Importance of Planning, Flexibility, and Patience
121
6.
Risks Associated with Poorly Planned Concessions
121
a.
Unintended Consecutive Concessions
121
b.
Irrational Concessions
121
7.
Adequacy
122
7.03.
Dealing With Adversity
122
1.
Remembering Nonsettlement Options
122
2.
Willingness to Divulge Nonsettlement Options
122
3.
Responding to Abrasive Tactics with Professionalism
123
4.
Eliciting Trust Through Questioning Skills
123
5.
Using Directed Questions to Induce Problem Solving Mindset
123
6.
Risk of Impending Impasse
124
7.
Changing Focus of Discussions
124
8.
Changing Negotiation Setting
125
9.
Envisioning Oneself in Counterpart's Position
125
a.
Active Listening Invites Understanding
125
b.
Giving Contentious Topics a Rest
125
c.
Changing Negotiation Participants
125
d.
Taking a Temporary Recess
125
10.
Using Contingent Agreements to Deal with Future Uncertainties
126
7.04.
Power Bargaining
126
1.
Strategies
126
a.
Inducing Reassessment
126
i.
Subtle Questions and Disclosures
126
ii.
Manipulating Images of Strength and Weakness
127
iii.
Exuding Self-Assurance
127
iv.
Elevated Initial Aspirations
127
b.
Carefully Reviewing Actual Circumstances
127
c.
Listening and Observing
128
d.
Benefit of Combining Multiple Techniques
128
2.
Common Techniques and their Effectiveness
129
a.
Argument
129
i.
Variations of Argument Substance Based on Nature of Facts
129
ii.
Arguments Under Guise of Objectivity
129
iii.
Combining Competitive and Cooperative Arguments
129
iv.
Arguments That Surprise Other Side
130
v.
Comprehensive and Well-Articulated Arguments
130
vi.
Emotional Appeals
131
vii.
Approaching Complex Legal and/or Factual Issues in Manageable Parts
131
viii.
Maintaining Detached Objectivity
131
b.
Threats, Warnings, and Promises
132
i.
Negative Threats and Warnings
132
ii.
Affirmative Promises
132
iii.
Communication of Perceived Values Through Promises and Threats/Warnings
133
iv.
Greater Success Through Affirmative Promises
133
v.
Use of Effective and Credible Threats
134
vi.
Risks and Benefits of Promises and Threats
134
vii.
Consideration of Options Beyond Concession to Threats
134
c.
Rational and Emotional Appeals
135
d.
Ridicule and Humor
135
i.
Derisive Smiles and Laughter
135
ii.
Sarcastic Retort
135
iii.
Use of Appropriate Humor
136
A.
To Gain Concessions
136
B.
To Relieve Anxiety
136
e.
Control of Agenda
137
i.
Complete Control of Agenda Items
137
ii.
Control over Order of Topics
137
iii.
Control over Drafts
137
f.
Intransigence
137
g.
Straightforwardness
138
h.
Flattery
138
i.
Manipulation of Contextual Factors
138
j.
Silence
139
k.
Patience
140
l.
Guilt, Embarrassment, or Indebtedness
141
m.
Constructive Ambiguity
141
n.
Raising Voice for Emphasis
142
o.
Intense Language
142
7.05.
Always Remember Current Nonsettlement Alternatives
142
ch. 8
Closing Stage (Value Solidifying)
8.01.
Closing Stage Mood And Temptations
145
1.
Relief
145
2.
Anxiety
145
3.
Importance of Perceived Fairness
146
8.02.
Closing Stage Techniques
146
1.
Concessions Decrease in Size and Should Not Be Unreciprocated
146
2.
Splitting the Difference of the Remaining Difference
147
3.
Importance of Patience and Calculated Silence
147
4.
Maintain Momentum Toward Settlement
147
5.
Offering a Way out from the "Limited Authority" Position
148
6.
Exuding Nonchalance
148
ch. 9
Cooperative/Integrative Stage (Value Maximizing)
9.01.
Advancing Interests Of All Parties
151
1.
Transition to Cooperative/Integrative Stage
151
2.
Search for Undiscovered Alternatives
152
a.
Pressure to End Talks
152
b.
Assessing Points Gained by Both Sides
152
c.
Prerequisites for Cooperative/Integrative Stage
153
d.
When and How to Initiate Talks
153
e.
Both Sides Must Recognize Transition to Cooperative/Integrative Stage
153
f.
Benefit of Directness
154
g.
Assessing Efficiency of Initial Agreements
154
h.
Revisiting Results of Over- and Understated Values from Competitive/Distributive and Closing Stages
155
i.
Preserving Credibility
155
9.02.
Competitive Aspect Of Cooperative Bargaining
155
1.
Exploration of All Alternatives Prior to Final Agreement
156
2.
Leave Counterparts with Sense They Got Good Deal
156
3.
Take Time to Review Agreement
157
4.
Endeavor to Draft Final Agreement
157
5.
Review Counterpart Drafts Carefully
158
6.
Unabashed Questioning of Drafts
158
7.
Tact in Questioning
158
8.
Vigilance Against Underhanded Tactics
159
9.
Writing and Signing Items as Safeguard
159
9.03.
Using Tit-For-Tat Approach To Encourage Cooperative Behavior
160
1.
Don't Be Envious of Other Side
160
2.
Be Nice at Onset of Interaction
160
3.
Be Provocable in Response to Uncooperative Conduct
160
4.
Be Forgiving
161
5.
Be Transparent and Establish Clear Reputation
161
ch. 10
Negotiating Games/Techniques
10.01.
General Considerations
163
1.
Benefits of Acquaintance with Various Techniques
163
2.
Intuitive Nature of Negotiating Techniques
164
3.
Aggrandizement of Nonsettlement Options
164
4.
Dual Messages
164
10.02.
Common Techniques
165
1.
Numerically Superior Bargaining Team
165
a.
Functions of Extra Bargainers
165
b.
Classroom Tested Advantage
165
c.
Defense Against Numerical Advantage
166
d.
Advantage of Streamlined Team
166
2.
Use of Asymmetrical Time Pressure
167
a.
Advantage of Knowing Counterpart's Deadline for Agreement
167
b.
Maintaining Confidentiality of Internal Deadlines
167
c.
Considering Effect of Time Pressure on Both Sides
167
d.
Disclosing Internal Deadlines to Preempt Issue
168
e.
Deadlines Generate Concessions
168
3.
Extreme Initial Demands
168
a.
Inducing Counterparts to Reconsider Their Own Positions
168
b.
Need to Maintain Credibility
168
c.
Responding Appropriately
169
4.
Use of Probing Questions
170
5.
Boulwareism/Best Offer First Bargaining
170
a.
Origin
170
b.
Potential Risks
171
c.
Affront to Counterparts
171
d.
Be Generous with Negotiation Process
172
e.
Objectively Evaluate "Take It or Leave It" Positions
172
6.
Settlement Brochures
172
a.
Purpose, Method, and Common Practice Areas of Usage
172
b.
Effectiveness
173
c.
Defense
173
7.
Multiple/Equal Value Offers
174
a.
Purpose and Method
174
b.
Effectiveness
174
c.
Potential Risks
175
8.
Contingent Concessions
175
a.
Purpose and Method
175
b.
Effectiveness
176
c.
Potential Risks
176
9.
Range Offers
176
a.
Message Communicated
176
b.
Drawbacks
177
10.
Limited Client Authority
177
a.
Deciphering Truthfulness
177
b.
Fundamental Advantage
177
c.
Defense
178
d.
Problems with Usage
178
11.
Lack of Client Authority
178
12.
Flinch/Krunch
179
13.
Decreasing Offers/Increasing Demands and Limited Time Offers
180
14.
Real or Feigned Anger
180
a.
Purpose
180
b.
Danger of Real Anger
181
c.
Care in Usage of Feigned Anger
181
d.
Defense
181
15.
Aggressive Behavior
182
a.
Beneficial Impact
182
b.
Importance of Monitoring Counterpart Responses
183
c.
Defense
183
d.
Gender Differences
183
16.
Walking Out/Hanging Up Telephone
183
17.
Irrational Behavior
184
a.
Purpose
184
b.
Defense
184
18.
False Demands
185
a.
Benefit
185
b.
Risk
185
19.
"If It Weren't for You (or Your Client)"
186
20.
Alleged Expertise/Snow Job
186
a.
Benefit
186
b.
Defense
187
21.
Bracketing
187
22.
Disingenuous Consecutive Concessions
187
a.
Accidental
187
b.
Contrived
188
c.
Defense
188
23.
Uproar - "Chicken Little"
188
24.
Brer Rabbit (Reverse Psychology)
189
a.
Origin
189
b.
Purpose
189
c.
Risk Involved
189
25.
Downplay of Counterpart Concessions ("So What")
190
26.
Feigned Boredom or Disinterest
190
27.
Mutt and Jeff (Good Cop/I3ad Cop)
190
a.
Background
190
b.
Method
191
c.
Use by Single Negotiators
191
d.
Defense
191
28.
Belly-Up ("Yes... , but...")
192
a.
Method
192
b.
Epitome
192
c.
Ascertaining Truthfulness and Responding Accordingly
193
d.
Defense
193
29.
Passive-Aggressive
195
a.
Method
195
b.
Defense
195
30.
Splitting the Difference
196
a.
Method
196
b.
Negating Unfair Advantages
196
c.
Importance of Review of Prior Concessions
196
d.
Inducing Counterparts to Split Remaining Difference
196
31.
"Nibble" Technique
197
a.
Method
197
b.
Defense
197
32.
"Final Offer" Checks Tendered by Defense Lawyers
198
a.
Method
198
b.
Defense
198
ch. 11
Post Negotiation Assessment
11.01.
Asking Questions About All Stages
201
1.
Importance
201
2.
Preparation Stage
201
3.
Preliminary Stage
202
4.
Information Stage
202
5.
Competitive/Distributive Stage
202
6.
Closing Stage
202
7.
Cooperative/Integrative Stage
203
11.02.
Topics To Consider
203
1.
Review of Concessions
203
2.
Influence of Time Pressures on Parties
203
3.
Specific Bargaining Techniques Used
203
4.
Deceitful Tactics
204
5.
Knowing Who Achieved More Beneficial Results and Why
204
6.
Impact of Attribution [Self-Serving] Bias
204
7.
Dealing with Mistakes/New Tactics Encountered
205
8.
Use of Checklist
205
ch. 12
Frequently Raised Negotiation Issues
12.01.
Deciding Whether To Negotiate With Difficult Persons
209
1.
Examples of Difficult Situations
209
2.
Carefully Determine If Negotiations Might Be Beneficial
209
3.
Exhibit a Firm but Open Approach
210
4.
Look for Ways to Ensure the Honoring of Agreements Achieved
211
12.02.
Client Presence During Negotiations
211
1.
Against Client Presence During Negotiations
211
2.
Importance of Client Preparation If Presence Is Necessary
212
12.03.
Initiating Litigation Settlement Discussions
212
1.
Embracing the Settlement Process
212
a.
Overcoming Reluctance and Fear
212
b.
Recognition of Professional Advantage Over Jury
212
2.
Assertive Settlement Initiation
213
a.
By Complainant
213
b.
By Defense
213
3.
Employment of Indirect Approaches
213
4.
Patience, Silence, and Preparation
214
12.04.
Weakening Counterpart's Superior Position
214
1.
Recognizing that Power is in Perception
214
2.
Manipulation of Apparent Options
215
12.05.
Strengthening One's Own Weak Bargaining Position
215
1.
Through Expressions of Inflexibility
215
2.
Tie Weak Issues to Stronger Issues
215
3.
Reliance on Limited Client Authority
216
a.
Where Other Side Strongly Desires Mutual Accords
216
b.
Defense
216
4.
Public Announcements of Minimum Acceptable Settlements
216
5.
Postpone Discussions Until Power Balance Shifts
217
6.
Consideration of Continuing Relationships
217
12.06.
Confronting Counterpart Inflexibility
218
1.
Inducing Needs and Interests Analyses
218
2.
Emphasizing Areas of Common Interest
218
3.
Presenting Face-Saving Opportunities
218
12.07.
Dealing With Particularly Difficult Counterparts
219
1.
Inevitability
219
2.
Attitudinal Bargaining
219
3.
Setting Examples, Offering Objective Analysis, and Appreciating Counterpart's Perspective
220
12.08.
Telephone Negotiations
221
1.
Frequency of Occurrence
221
2.
Considerations When Using
221
a.
Less Personal
221
b.
Level of Information Available
222
c.
Types of Information Available
222
i.
Nonverbal Clues
222
ii.
Voice Inflection
222
iii.
Excessively Deliberate Speech and Change in Vocal Pitch
223
iv.
Recognition of Verbal Leaks and Nonverbal Messages
223
3.
Dynamics of Who Calls Whom
223
a.
Advantage of Surprise
223
b.
Defense for Recipient
223
12.09.
Negotiating Via Letters, E-Mail, Or Fax Transmissions
224
1.
Popularity of Media
224
2.
Disadvantages
225
a.
Cumbersome and Inefficient
225
b.
Misinterpretation and Permanence
226
c.
Inflexibility
226
3.
Precautions
226
4.
Possible Access to Metadata in Electronic Documents
227
12.10.
Lack Of Effort On Behalf Of Counterpart To Convince Their Client Of Merits Of Opfer
228
1.
Opposing Counsel as Primary Roadblock to Settlement
228
2.
Heightening Opposing Client Awareness
228
12.11.
Responding To "Is This Your Final Offer?"
229
1.
If True Final Offer
229
2.
Making Disingenuous Final Offers
229
12.12.
Multiple Party Negotiations
230
1.
Inclusion of All Parties
230
2.
Increase in Complexity
230
3.
Recognition of Diverse Interests and Importance of Forming Interest-Based Alliances
230
4.
Selection of Primary Spokespersons
230
5.
Incorporating Counterpart's Language When Drafting Proposals
231
12.13.
Negotiauctions
231
1.
Common with Respect to Transactional Interactions
231
2.
Opportunity to Combine Negotiations with Auctions
231
3.
Caveats and Ethical Considerations
232
12.14.
Using "Negotiation Linkage" To Enhance Bargaining Opportunities
232
1.
Linking Related Interactions
232
2.
Scheduling Bargaining Encounters for Optimal Benefit
233
12.15.
Pretrial Settlement Conferences
233
1.
Importance of Preparation
233
a.
Lawyer
233
b.
Client
234
2.
De-Emphasizing the Adversarial Nature of the Litigation Process
234
3.
Intervention of Presiding Officials
234
4.
Persuading Presiding Officials
235
5.
Value of More Diligent Mediation Techniques
235
6.
Separate Sessions with Only Clients Present
236
7.
Control of Communicated Willingness to Compromise
236
8.
Avoid All Mendacity
236
12.16.
Negotiating With Government Agencies
237
1.
Consideration of Cultural and Value System Differences
237
2.
Defense Against Unlimited Resources
237
3.
Dealing with Counterpart's Lack of Authority
237
4.
Importance of Patience and Cooperation
238
5.
Against Challenging Agency Policies Directly
238
6.
Using Counterpart's Fear of Losing in Court
238
7.
Tendency to Leave Matters Unresolved
238
8.
Matching Advances Toward Resolution
239
9.
Approaching Higher Officials
239
10.
Importance of Timing
239
12.17.
Plea Bargaining Interactions
240
1.
Way Most Criminal Cases Resolved
240
2.
Pressures Affecting Prosecutors
240
3.
Impact of Mandatory Sentencing Laws
241
4.
Victim-Offender Mediation
241
12.18.
Keeping Clients Informed Of Negotiation/case Developments
241
1.
Lack of Information and Client Dissatisfaction
241
2.
Managing Client Expectations
242
3.
Ethical Duty to Inform
242
12.19.
Client's Acceptance Of Settlement Offer Over Advice Of Counsel
243
1.
Effect of Pressures on Client's Decision
243
2.
Advising Against Hasty Acceptance of Inadequate Offers
243
3.
Defense Against Faulty Client Decisions and Later Repercussions
243
4.
Settlement Agreement Conveyance Letters vs. Tape-Recorded Final Conferences
244
12.20.
Renegotiating Existing Contracts/Relationships
244
1.
Parties Requesting Renegotiation Should Directly Indicate Why the Requested Changes are Necessary
245
2.
Parties Should Jointly Work Toward Mutually Beneficial New Arrangements
246
12.21.
Negotiation/ Settlement As A Distinct Area Of Specialization
246
1.
Better Results with Settlement Specialists
246
2.
Bifurcating Litigation and Settlement Functions
247
3.
Personalities and Their Effectiveness in Settlement
247
a.
Settlement
247
b.
True Believer
248
c.
Gladiator
249
4.
Dealing with Risk of Unhappy Litigators
249
5.
Career Development of Settlement Specialists
250
12.22.
Negotiation Counsel Model
250
1.
Early Investigation and Expeditious Assistance
250
2.
Avoiding Exploitation by Adversarial Counterparts
251
ch. 13
Psychological Entrapment
13.01.
Winning At Any Cost - A Bidding Game
253
1.
Background
253
2.
Process p
253
13.02.
Winner's Curse
254
1.
Irrational Victory
254
2.
Danger of Psychological Entrapment
254
13.03.
Inability To Accept Nonsettlement
255
1.
Illusion of Wasted Effort in Nonsettlement
255
2.
Fear of Adverse Publicity Resulting from Lawsuit
255
3.
Assessing Nonsettlement Options
256
13.04.
Use Investment Of Time And Effort To Entrap Counterparts
256
ch. 14
Impact Of Ethnicity And Gender
14.01.
Added Complexity Of Ethnic And Gender Diversity In Negotiations
259
1.
Cooperation Inherent in Ethnic and Gender Similarity
259
2.
Disparity in Speech and Behavior Interpretation
259
3.
Disparity in Bargaining Treatment
259
14.02.
Ethnicity In Negotiation
260
1.
Stereotyping
260
a.
Pervasiveness
260
b.
Adverse Effects
260
c.
Working to Establish Trust and Rapport
261
i.
Use of Preliminary Stage to Generate Rapport
261
ii.
Focus on Circumstances of Negotiation
261
iii.
Reflect on Counterpart's Individual Character
262
2.
Cultural Impact on Negotiating Results
262
14.03.
Gender
263
1.
Impact of Stereotyping
263
2.
Defense
263
3.
"Real" Differences
264
a.
Trust Building
264
b.
Orientation of Lying
264
c.
Level of Comfort with Competitive Situations
265
d.
Language Usage and Spatial Distance
266
e.
Formal Education as Mitigating Factor
267
f.
Views of Appropriate Bargaining Outcomes
267
g.
Personal Attacks
267
4.
Role of Social Conditioning
268
5.
Influence of Physical Appearance
268
6.
Negotiation Styles
268
7.
Evidence Against Validity of Behavioral Predictions
269
8.
Taking Advantage of Stereotypes
270
9.
Over-Valuing Male Success/Under-Valuing Female Success
270
ch. 15
Transnational Negotiations
15.01.
Increasing Significance Of Negotiations In Globalization Of Political And Economic Relations
273
1.
Increased Frequency of International Transactions
273
2.
Influence of Cultural Stereotyping
273
15.02.
Official Inter-Government (Track 1) Diplomacy
274
1.
Background
274
2.
Bilateral Negotiations
274
a.
Nature and Concern
274
b.
Approval Requirements
274
3.
Multilateral Negotiations
275
a.
Complexity of Issues and People Involved
275
b.
Negotiation Ratification Requirements
275
c.
Significance of Emerging Nations on Multilateral Scene and the Formation of Blocs
276
d.
Defense Against Voting Blocs
276
4.
Negotiators as Cultural Representatives
276
5.
Extent of Negotiator Authority
277
6.
Importance of Pre-Negotiation Intra-Organizational Meetings
277
7.
Determining Roles of Various Participants
277
8.
Multi-Leveled Nature of Inter-Nation Negotiations
278
9.
Conflict Resolution
278
a.
Addressing the Need for Mediation
278
b.
Using Single-Text Approach to Preempt Disputes
279
c.
Using International Tribunals
279
15.03.
Private Citizen Involvement In Public Matters
279
1.
Recent Emergence of NGOs and Track II Diplomacy
279
a.
Filling the Diplomatic Void
279
b.
Advantage of Private Citizens
280
c.
Level of Interaction in Host Nations
280
d.
Overcoming National Stereotypes
280
e.
Greater Latitude of Intervention
280
2.
Stages of Track II Diplomacy
281
a.
Preliminary Stage
281
i.
Cultural or Economic Exchanges
281
ii.
Problem-Solving Workshops
281
iii.
Joint Brainstorming Sessions
281
b.
Stage II - Influencing Public Opinion
281
c.
Stage III - Establishment of Cooperative Programs
282
3.
Need for Patience
282
4.
Government Employment
282
5.
Associated Risks
282
15.04.
Transnational Business Negotiations
283
1.
Greater Frequency and Influence of Facilitating Organizations
283
2.
Difficulties for Visiting Negotiators
283
a.
Distance
283
b.
Cultural and Spatial Unfamiliarity
283
c.
Offsetting Counterpart's Home Turf Advantage
283
d.
Counterbalancing Time Pressure
284
3.
Greater Complexity of Issues Means Prolonged Time
284
15.05.
Impact Of Cultural Differences
284
1.
Definition of Culture
284
2.
Influence of Stereotyping
285
3.
Key Cultural Differences
285
a.
Importance Given to Punctuality
285
b.
Physical Distances Between Participants
285
c.
Individualism vs. Collectivism
286
d.
Orientation Toward Overt Power Displays
287
e.
Diverse Socio-Economic Backgrounds
287
i.
Difficulty with Delayed Gratification
287
ii.
Using Lower Socioeconomic Status as Advantage
287
4.
Value of Learning About Counterpart's Culture
287
5.
Important Cultural Questions to Consider
288
a.
Counterpart Government History and Current Position in Global Political Landscape
288
b.
Currency
288
c.
Decision-Making Process
288
d.
Different Employment Philosophies
289
e.
Government Regulation of Business
289
f.
Importance of Giving Gifts
289
g.
Host Country's Focus on Continuing Relationships vs. Contractual Obligations
290
6.
Using the Preliminary Stage to Establish Beneficial Relationships
290
7.
Using Attitudinal Bargaining
290
8.
Overcoming Language Difficulties
291
a.
Culture-Specific Interpretation of Verbal and Nonverbal Signals
291
b.
Using Interpreters
291
c.
Choosing Language for Contract
291
d.
Seeking Provisions to Apply Own Laws
292
9.
Using Independent Mediation
292
10.
Arbitration Selection Process
292
a.
Choosing Individuals or Groups to Intercede
292
b.
Defining the Procedural Rules
292
15.06.
Nation-Specific Negotiating Styles
293
1.
Limits of Applicability of Behavioral Generalizations
293
2.
Importance of Cultural Considerations Despite Universal Bargaining Culture
293
3.
Distinction of Cultural Context
294
a.
High Context
294
b.
Low Context
294
c.
Impact on Negotiation Comfort Level
294
4.
Maximizing Joint Gains Through Exploration of Shared Values
295
15.07.
Negotiation Styles Of United States And Common Trading Partners
295
1.
United States
295
a.
Context
295
b.
Level of Formality
296
i.
Our Reputation
296
ii.
Formality in Name Usage
296
iii.
Reasons for Patience Based on Reputation
297
c.
Explaining Our Legal System
297
2.
Canada
297
a.
Context
297
b.
Cultural Diversity
298
c.
Bargaining Styles
298
3.
Mexico
298
a.
Context
298
b.
Background Sentiments
299
c.
Government Structure
299
d.
Negotiation Techniques
299
i.
Integrity and Dislike of Manipulation
299
ii.
Ritualistic Bluffing
300
e.
Reasons for Patience
300
4.
Brazil
300
a.
Portuguese Influence
300
b.
Separate Private Lives/Feeling Decision-Making
300
c.
Formality & Context
301
5.
Japan
301
a.
Context
301
b.
Level of Formality
302
c.
Language Considerations
302
d.
Reasons for Patience
303
i.
Thoughtful Silence of Japanese
303
ii.
Perspective on Time and Negotiations
303
iii.
Focus on Group Concerns
303
iv.
Harmonious Relationships Come First
304
e.
Cultural Dislike of Overt Conflict
304
i.
Impact on Negotiation Initiation
304
ii.
Indirect Negative Communication
305
f.
Necessity of Maintaining Non-combative and Harmonious Business Relations
305
g.
Business Interactions with Female Counterparts
306
6.
China
306
a.
Context
306
b.
Blend of Negotiating Techniques
306
i.
Bureaucrat, Gentleman, and Strategist
306
ii.
Manipulation of Sentiments
306
iii.
Negotiation Proficiency
307
iv.
Opposition to Auction Process
307
v.
Nibble Technique
307
7.
South Korea
307
a.
Negotiator Styles
308
b.
Expected Etiquette
308
c.
Status and Rank
308
d.
Bargaining Interactions
308
8.
India
309
a.
Context
309
b.
Culturally Diverse Country
309
c.
Impact of Caste System
310
d.
Hierarchical and Collective Society
310
e.
Initial Agreements Merely Beginning of Bargaining Process
311
f.
Impact of Government Involvement
311
9.
Russia
312
a.
Context
312
b.
Background Sentiments
312
i.
Suspicion
312
ii.
Lack of Ambition
312
iii.
Desire for Respect
313
c.
Level of Patience Required
313
d.
Nibble Technique
313
10.
United Kingdom
313
a.
Context
313
b.
Formal and Seemingly Distant Culture
314
c.
Negotiating Style
314
11.
France
315
a.
Context
315
b.
Negotiation Style
315
c.
Reasons for Patience
316
d.
Decision-Making Structure
316
12.
Germany
316
a.
Context
316
b.
Decision-Making Structure
317
c.
Internal Relations
317
d.
Competitive Bargaining Nature
318
13.
Saudi Arabia
318
a.
Context
318
b.
Family Influence
318
c.
Influence of Religion
318
d.
Decision-Making Structure
319
i.
House of Saud
319
ii.
Bargaining Method
319
iii.
Method of Agreement
320
iv.
Government Trade Requirements
320
14.
Egypt
320
a.
Context
320
b.
Decision-Making Process
320
i.
Independence of Nation
320
ii.
Bureaucracies
321
c.
Political Climate
321
d.
Tribal Tradition
321
e.
Need for Patience
321
f.
Focus on Specificity of Language in Accords
321
ch. 16
Mediation/Assisted Negotiation
16.01.
Recent Increase In Popularity
323
1.
Among Lawyers and Clients
323
2.
Among Experts
323
3.
Importance of Familiarity with Role
323
4.
Establishment of Mediation Programs
324
5.
Cyber Mediation Programs
324
16.02.
Mediation As Intermediary Step Between Settlement And Litigation
326
1.
Failing to Envision the Possibility of Mediated Negotiation
326
2.
Problems That Mediation Could Solve
326
3.
Unfounded Fears
327
4.
Recognizing Ultimate Authority of Parties Involved
327
5.
Mediation as Assisted Negotiation
327
6.
Benefits
328
a.
Psychological
328
b.
Time and Money
328
c.
Focus on Underlying Interests Rather than Right or Wrong
329
d.
High Success Rate
329
e.
Assistance in Reevaluating "Principled" Positions
330
f.
Switch Focus from Areas of Disagreement to Areas of Agreement
330
16.03.
Mediator Styles
330
1.
Common Mediator Characteristics
330
2.
Awareness of Influence and Types
331
a.
Influence
331
b.
Types
331
3.
Facilitative/Elicitive
331
a.
Approach
331
b.
Nature of Interactions
332
c.
Level of Influence
333
4.
Evaluative/Directive Mediators
333
a.
Approach
333
b.
Nature of Interactions
333
c.
Level of Influence
335
5.
Relationship-Oriented/Transformative Mediators
335
a.
Approach
335
b.
Nature of Interactions
336
c.
Level of Influence
337
16.04.
Initiation Of Mediation Process
337
1.
Direct Party Initiation
337
2.
Referrals by Secondary Parties
338
3.
Direct Mediator Initiation
338
4.
Initiation by Recognized Authority
339
16.05.
Timing Of Initial Mediation Intervention
339
1.
Time Required to Reach Conciliatory State
339
2.
Early Stages of Litigation
340
a.
Judicial Involvement
340
i.
Settlement Suggestion
340
ii.
Pressure
340
b.
Immediacy of Trial
341
3.
During Trial
341
4.
Transactional Negotiations
341
16.06.
Mediator Selection
342
1.
Mediation Style Desired
342
a.
Greater Participant Control
342
b.
More Directive Intervention
342
c.
Enhanced Participant Empowerment
342
2.
Number of Mediators
343
a.
Function
343
b.
Distrust and/or Cultural Differences
343
3.
Conciliation Services
344
a.
Resources
344
b.
Process of Elimination
344
16.07.
Party And Mediator Preparation
344
1.
Recognizing Importance
344
2.
Lawyer
345
a.
Understanding Mediation as Negotiation
345
b.
Careful Review of Positions and Nonsettlement Options
345
c.
Familiarity with Mediator
345
3.
Client
346
a.
Against Intimidation and Open Speech
346
b.
Clients Negotiating Directly with Mediator
346
4.
Mediator
346
a.
Full Knowledge of Relevant Documents
346
b.
Familiarity with Negotiator Styles Involved
346
c.
Plan of Action
347
16.08.
Preliminary Mediator - Party Contact And Initial Session
348
1.
Impartiality
348
2.
Simultaneous Communications
349
3.
Discernment of Important Topics
349
4.
Initial Meeting Space Considerations
349
a.
Location
349
b.
Room
349
5.
Initiating Non-Adversarial Communications
350
6.
Establishing Leadership Role
350
7.
Explaining Conciliation Process
350
8.
Importance of Confidentiality
351
a.
Reminding Litigants
351
b.
During Separate Caucus Sessions
351
9.
Receiving Uninterrupted Views and Positions
352
a.
Asking Litigants to Summarize
352
b.
Active Listening
353
10.
Controlled Cathartic Venting
353
11.
Assisting Mutual Understanding and Neutral Reformulation of Underlying Issues
354
12.
Each Side Summarizes Other Side's Positions
355
13.
Recognizing Roadblocks
355
14.
Enlightening Without Embarrassing
355
15.
Alleviating Client Distrust of Own Counsel
356
16.
Low-Profile Mediation
356
17.
Appraisal of Real Distance Between Litigants
356
16.09.
Subsequent Sessions
357
1.
With Lawyers Alone
357
2.
Direct Client Involvement
357
16.10.
Exploring Innovative Settlement Alternatives
358
1.
Enhancing the Process
358
a.
Encouraging Further Exploration
358
b.
Scheduling Special Meetings
358
c.
Interests and Needs Analysis
358
d.
Detrimental Nature of Competitive Interactions
359
2.
Transactional Negotiations
359
a.
Circumstances Warranting Exploration
359
b.
Encouraging Consideration of Mutually Beneficial Options
359
c.
Role Reversal
360
d.
Face-Saving Party Movement
360
e.
Passive-Aggressive Individuals
360
i.
Danger
360
ii.
Eliciting Definitive Party Objectives
360
f.
"True Believer" Personality
361
i.
Danger
361
ii.
Inducing Exploration of Relevant Issues
361
g.
Watching for Signs of Impasse
361
16.11.
Conducting Separate Mediation Sessions
362
1.
Benefit
362
2.
Confidentiality
362
a.
As Guideline
362
b.
Expressing Intention to Disclose Only Authorized Information and Principles
362
3.
Eliciting Higher Level of Disclosure
363
4.
Educating Participants About Negotiation Process
363
5.
Using Conditional Offers to Generate Real Position Changes
363
6.
Understanding Concerns over Settlement Term Ramifications
364
a.
Explanations
364
b.
Assuaging Unfounded Client Fears
365
7.
Looking out for Impediments
365
8.
Understanding Plausibility of Positions
366
a.
Probing Questions
366
b.
Breaking Demands/Offers into Components
366
9.
Non-Oppositional Issues
366
a.
Minimizing Conflict Through Emphasis on Less Controverted Issues
366
b.
Inducing Commitment to Settlement
367
10.
Formulating Proposals for Final Agreement
367
a.
Review of Strengths and Weaknesses
367
b.
Single-Text Approach
367
i.
Avoiding Multiple Interpretation Problems
367
ii.
Controversial Aspect
367
iii.
Negating Suspicion
368
iv.
Offering Sure Gains
368
v.
Shuttle Mediation
368
A.
Facilitative/Elicitive
368
B.
Evaluative/Directive
369
C.
Relationship-Oriented/Transformative
369
D.
Safeguarding Client Adherence
369
11.
Scheduling Future Meetings at Breakdown of Current Negotiations
369
12.
Importance of Patience
370
13.
Moving Toward Final Agreement
370
14.
Achieving Psychological Closure
371
15.
Establishing Procedures to Guarantee Implementation of Terms Agreed upon
371
16.
Mediators Advising Clients or Evaluating Conflicts
371
16.12.
Neutral Evaluations, Mini-Trials, And Summary Jury Trials
372
1.
Renewing Bargaining Efforts with Neutral Evaluators
372
2.
Mini-Trial Procedure
373
a.
Assessing Nonsettlement Options
373
b.
Process of Mini-Trial
373
c.
Lloyd's of London Approach
374
d.
Optimism of Plaintiffs/Pessimism of Defendants
374
3.
Summary Jury Trial
374
16.13.
Regulation Negotiation/Mediation
375
1.
Background
375
2.
Solicitation of All Groups
375
3.
Selection of Issues and Experts
376
4.
Appointment of Subcommittees
376
5.
Ensuring Consideration of All Parties Involved
376
6.
Decision by Consensus
376
7.
Governing Agency Approval
376
16.14.
Use Of Adjudicator As Pretrial Mediator
377
1.
Not Scheduled to Preside
377
2.
Scheduled to Preside
377
a.
Importance of Neutral Demeanor
377
b.
Encouraging Litigants to Autonomously Explore Options
378
c.
Requesting Other Court Official to Take More Active Role
378
d.
Withdrawal from Potential Nonsettlements
379
3.
Merely Asking About Distance Between Party Offers
379
4.
Encouraging Enhanced Party Participation
379
a.
Scheduled Adjudicator Mediation
379
b.
Unscheduled Adjudicator Mediation
379
5.
Propriety of Mediation by Adjudicator
380
6.
Further Benefits
380
16.15.
Regulation Of Mediator Conduct
380
1.
Historically Loose
380
2.
Appreciation of Need
381
3.
Summary of "Standards of Conduct for Mediators"
381
a.
Party Self-Determination and Mediator Impartiality
381
b.
Complete Disclosure of Potential Mediator Conflicts of Interest
382
c.
Statement of Competence
382
d.
Confidentiality
382
e.
Preserving Quality of Mediation Process
383
f.
Advertising
384
g.
Fee Disclosure
384
4.
Generality of Rules and Applicability of Outside Ethical Guidelines
384
a.
AAA, ABA, and ACR Standards of Conduct
384
b.
Proposed CPR Institute/Georgetown Law Center Model Rule of Professional Mediator Conduct
385
c.
Uniform Mediation Act
385
5.
Need to Focus More on Contextual Factors and Party Relationships
386
16.16.
Some Criticism And Response
387
1.
Mediated Settlements and Observance of Legal Rights
387
2.
Significant Constitutional or Statutory Questions
387
3.
Domestic Violence Cases
388
ch. 17
Negotiation Ethics
17.01.
Honesty
389
1.
Deception Inherent in Negotiation
389
2.
Appropriate and Inappropriate Misrepresentations
390
3.
Material Fact vs. Settlement Intentions and Values
391
4.
Risk of Dishonesty
393
5.
Overt Misrepresentation of Factual Information
394
a.
Vs. Legal Doctrine
394
b.
Estimated Value of Items
394
c.
Settlement Intentions
396
d.
Misrepresentations Made to Neutral Facilitators
396
e.
Lawyer Opinion
397
6.
Partial Disclosure of Information
398
a.
Prevalence
398
b.
Correcting Counterparts' Factual or Legal Misunderstandings
398
7.
Nondisclosure of Information
399
a.
Obligation to Disclose
399
i.
Attorney Responsibility to Conduct Own Research
399
ii.
Client's State of Health
400
iii.
Fact-Finding Questions
403
iv.
Laws or Judicial Decisions
403
8.
Authorized Limits
404
17.02.
Unconscionable Tactics And Agreements
404
1.
Offensiveness
404
2.
Secretly Taping Telephone Negotiations
405
3.
Accepting One-Sided Arrangements
406
4.
Inaccurate Document Preparation
407
5.
E-mail and Cell Phone Negotiations
408
6.
Threat of Criminal Prosecution
409
17.03.
Potential Attorney-Client Conflicts Of Interest
410
17.04.
Concluding Admonitions
411
Appendix
App-1
Bibliography
Biblio-1
Index
I-1