Final Exam Flashcards

(187 cards)

1
Q

What is Problem Solving

A

art of developing a plan to control events
DPS
thinking convergently as well as divergently
professionals diagnosis what’s happening now or has happened in the past, predict what will happen in the future, and create and implement strategies to influence events

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2
Q

DPS

A

Diagnosis, Prediction, Strategy

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3
Q

Why does problem solving matter

A

lawyers solve existing problems and prevent future problems. That’s what clients wan tand need. Truly top natch lawyers -the most effective ones you can find - don’t really practice law in the narrow sense. They are problem preventers and law is just one of their tools. Use the law to help solve their problems

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4
Q

Diagnosis

A

who is my client, what do they want, why

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5
Q

Diagnosis connection to client interviewing

A

in a client interview and afterward you diagnose by learning the facts and figuring out how they affect the client legally, financially, and emotionally

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6
Q

Prediction

A

what will happen, how will people react, evaluating options
effective lawyers develop the skill of foreseeing risk

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7
Q

Convergent thinking

A

narrows an inquiry to find the single right answer
evaluating options

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7
Q

Strategy

A

how do I best do that, develop a plan for solving a problem and acting, how to influence events
don’t be satisfied with the first reasonable hypothesis or solution you come up with

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8
Q

Divergent thinking

A

broadening inquiry by thinking in several directions at once to find more answer or hypotheses or strategies

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9
Q

divergent thinking and convergent thinking

A

when lawyers solve real problems in the real work, they think divergently to come up with options then lawyers think convergently to eliminate the options that are impractical or aren’t supported by the law or facts

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10
Q

Developing a problem solving style

A

a. Analyze both your successes and your mistakes – and learn from all of them
b. Treat the entire problem as an integrated whole by stepping far back enough to see the big picture
c. Identify the few things that are most likely to affect the way a client’s situation is resolved
d. Don’t be afraid to take calculated risks
i. Calculated risks: one you take after weighing possible benefits and the odds of achieving them against potential harms and the odds of suffering them

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11
Q

Heinz dilemma

A

a. Carol Gilligan did experiment over this in “In a different voice” by asking two 8th graders the Heinz dilemma (lifesaving drug for dying wife)
i. Differentiates b/t the ethics of justice and the ethics of care
ii. Outcomes:
1. Jake gives answer through hierarchal of principles
2. Amy focuses on the relationship, wants to know more about the facts and “fights the hypo”, she looks for an inclusive solution
a. One that solves the problems by satisfying the needs of everyone involved
3. Amy looks for the inclusive solutions – the one that solves the problem by satisfying the needs of everyone involved
4. Jake would make a better law student, but Amy would make a better lawyer (KN&H)

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12
Q

Oral communication

A

most of what lawyers do throughout a working day
use your listening and communication skills with the client to convey not only that you are actively listening and empathizing but also that you understand and will work to advance the client’s goals

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13
Q

Listening

A

a. Have to listen with a heart
b. Listening to what people say and what they don’t say
c. Includes discovering something about the person who is speaking
d. The lawyer does a better job by discovering much more through actively listening, allowing the client to finish his thoughts, and framing questions in a way that encourages the client to develop the narrative

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14
Q

Active listening

A

encouraging the other person to talk and occasionally asking that person to clarify or to add details
listening with your eyes

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15
Q

Context communication

A

nonverbal cues

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16
Q

Asking the client

A

What do you want?
Why?
Interests/goals?

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17
Q

Roles of Lawyers

A

I. Zealous representation
a. Need to know everything about the case
II. As advocates
a. A compassionate lawyer is a better advocate than a regular lawyer
b. Need to address the hard things
c. Willingness to be in the difficulty, pay attention to the injustice
d. When client comes to you, it is when they are out of control/at their lowest
e. We represent people, not cases

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18
Q

What skills does a lawyer need to do their role

A

compassion, emotional, intelligence skills
ability to listen

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19
Q

Attorney-client relationship

A

Per model rules, client makes ultimate decisions
legally protected relationship
requires zealous representation of clients

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20
Q

Who decides what

A

Client is the principal, attorney is the agent to the principal
client makes all the decision with advice and counsel of the lawyer

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21
Q

Attorney client confidentiality

A

a. “a lawyer shall not reveal info relation to the representations of a client”
b. Sacrosanct duty to keep client’s communication confidential
i. Exceptions:
1. Clients can waive right by giving informed consent
2. Situations such as they tell you they are going to kill someone or that they are going to lie in court of law
survives death of client

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22
Q

models of relationship

A
  1. traditional
  2. participatory
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23
Q

Model Rules of Professional conduct

A

req a lawyer to “abide by a client’s decisions concerning the objectives of presentation and consult with the client as to the means by which they are to be pursued”

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24
Traditional model
the passive client protected by the powerful professional
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Participatory Model
the lawyer assumes that she doesn't have all the answers and the client is enlisted to supply an added measure of creativity and an often superior knowledge of the facts
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How does client interviewing operate
a. Lawyer finds out what the client knows of the facts b. Lawyer and client establish and maintain a professional relationship not just contractually but also personally and strategically
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Purpose of client interviewing
a. Attorney-client relationship b. Learn the client’s goals c. Learn as much as the client knows about the facts d. Reduce the client’s anxiety with being unrealistic
27
Preparing for the client interview
a. Take a look at obvious parts of the law before the clients arrive b. Ask client to bring in specific feedback c. Crafting questions i. Ask for raw facts and their source of knowledge ii. Ask for all details – everything the client say, heard and said iii. Get all basic info from client
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Organizing the interview
a. Prepare b. Information gathering i. Open-ended narration stage ii. Probing stage iii. Review stage c. Goal identification d. Preliminary strategy e. Closing phase
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Information gathering
cognitive interviewing - introductory stage -open ended narration stage -probing stage - review stage
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Beginning the interview
a. Build rapport – two/three sentence of comfortable chatting b. Give client full opportunity to tell you whatever it is they want to i. Be sincere ii. Use their name c. Have to let client know this is confidential (don’t need full explanation yet) i. Keep in mind they have private or embarrassing details
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Cognitive interviewing
suggests they reconstruct the scene and relieve the event mentally/change perspectives/recall events in different order
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introductory Stage
first seek to put the witness at ease, build rapport, explain their role
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Probing stage
go back over story and ask them to fill in gaps and clarify, exhaust their memory before moving onto the next topic
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Open ended narration stage
ask client to describe everything she remembers
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Review stage
reiterate most important parts and give opportunity to correct mistakes and to supply additional information
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Attorney's questions
i. Ask for raw facts and client’s source of knowledge 1. How do they know that? a. What they saw and heard – everything else you need to verify ii. Ask for all the details 1. Where? Who? What? iii. Ask about pieces of paper 1. Docs can win or lose cases 2. Who else knows this exists? Can I get a copy iv. Organizing questions 1. Ask broad questions until you are not getting useful info anymore a. Invite open-ended narration
36
What if the client is lying
i. “Frailties of human beings” – unconscious or semiconscious fudging ii. If notice an inconsistent record, try to clear it up
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Inhibitors to interviewing
i. Interview might be traumatic for client ii. Might also be afraid to tell you thinks they think might undermine their case iii. Cultural social age or dialect barriers iv. Might see lawyer as authority figure
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What can you do about interview inhibitors
i. Build a relationship ii. Plan an effective interview iii. Notice their body language iv. Instead of racing to the finish line, relax let the client tell the story and listen patiently and carefully v. Participate in the conversation by reflecting back what you hear
39
Most important dynamic in a client interview
What clients want more than anything is to be understood both for who they are and what they have suffered
40
Ascertaining Client's goals
a. From the client’s point of view what would be the most successful outcome? i. Do not label the problem until you have heard all the facts b. Helping the client identify goals requires patience and active listening c. questions to ask i. if you could imagine the best outcome we can reasonably hope for, what would that be? ii. If we achieve the best outcome how will that affect you? Your family? Your business? iii. What possible bad outcomes are you worried about? How would each affect you?
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considering a strategy
a. What if client demands prediction (now)? i. Explain what work you will do, what issues you will need to navigate, and what facts you will need to investigate 1. “I just met you; I need to do some research to see what governing laws would apply and get best scenario” 2. Situation can change based on facts that you don’t know yet
42
Closing an interview
a. Do they want you to represent their case? Fees b. What are you going to do moving forward c. What do you need them to do moving forward d. Plan for communication
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Embarrassing Material
May help to reverse the normal sequence of broad to narrow questioning. Start with carefully chosen narrow questions that take the client well into the subject
44
When the client is distraught
a. Do not make superficial comments b. Listen patiently and attentively to the client’s description of the most painful parts c. Try to understand and let your tone and body language imply that you consider the emotional aspect important and are trying to understand d. Reiterate your commitment to do the best you can do solve their issue
45
Goals of interviewing witnesses
a. Learn as much as you can from the witness b. Make a lasting good impression c. Point out the witnesses’ inconsistencies (maybe) in a principled way that allows the witness to revise memory without feeling manipulated d. Preserve evidence – write a spot on account of what they tell you
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Counseling clients basics
a. Structuring choices so client can select from and make a decision i. Likelihood of success predicting ii. Identifying pro/con & adv/disadv of options b. Explaining choices to clients in a way that helps client make a choice c. Takes place before even meeting the client i. Prep – goals and potential solutions ii. Meeting w/ client to explain (LISTEN TO THEM)
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Two parts to client counseling
a. Structuring choices so that a client can select from them and make a decision b. Explaining these choices to the client in a way that helps the client select from the options you have identified
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Preparation for client counseling
a. Clients goals and preferences i. Interests not positions ii. Transactional goals iii. Dispute resolution goals – various methods b. Rank clients goals c. Potential solutions i. Predicting 1. At macro level – will client win? 2. At micro level – if . . . , then . . . ; the next steps; other side 3. Identify what you know and what you don’t know 4. By nature it’s inexact
49
What are the costs to client counseling
a. Transaction costs – costs to obtain recovery b. Expect value – likely amount client will receive c. Time value of money formula - FV/(1 + I)^n = PV d. Tax consequences – some damages taxable, some are not (punitive) i. Some jurisdictions differ\
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Side effects for client's consideration
a. Would lawsuit disrupt important client relationship b. Would continued conflict build up stress c. Could verdict provide a public vindication important to client d. Consider the moral dimension
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Special issues with client counseling
a. Duty to render candid advice i. Ex. Do you have a strong or weak case b. When client decides to do something illegal i. How does that square w/ confidentiality c. When the client makes a decision you consider immoral d. When the client’s goals can’t be accomplished i. Think about how you’ll say it ii. Allow plenty of time to explain bad news iii. Be clear, correct, candid giving info iv. Listen to client’s reaction and empathize v. Before ending, develop a plan for handling situation
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Cross Cultural lawyering
There’s culture in lawyering, negotiation, and dispute resolution
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Why cross cultural lawyering
a. Right thing to do i. if we really do center on the client, then we also should respect the client’s identity b. Own self-interest – satisfied clients i. Significant amount of a lawyer’s work comes through recommendations by satisfied clients, and clients whose cultural differences have been respected are that much more likely to recommend c. World becomes a more interesting place
54
ABA standard for cross cultural lawyering
a. Requires law schools to have exposure to bias, cross cultural competency, and racism
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Where is the law in multicultural lawyering
a. Paper chase quote b. Model Rules of Professional Conduct Preamble c. As a rep of clients, lawyer performs various functions: i. Advisor, advocate, negotiator, evaluator d. Conflict is viewed differently in different cultures
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What is culture not?
i. Political correctness, sensitivity training, etiquette ii. List of do’s and don’ts
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Where is culture most pronounced
perhaps in the international setting
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Culture
a body of values, customs, and ways of looking at the world shared by a group of people
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what is culture based on
Ethnicity or race, gender, sexual orientation, age, religion, locality or geography, nationality or immigrant status, disability, income, education or both, and occupation or the organization in which one works
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Multicultural skills
a. Learn about those cultures most commonly found in your area b. Take another’s culture into account when you foresee a problem c. Be curious and open minded
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If your client is sued in another state what do you do?
a. Retain counsel in that state i. Might be unwritten rules state to state that you need to be aware of b. Pro hac vice: for this case only motion to appear in a jurisdiction you’re not admitted in
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ADR
Alternative Dispute Resolution
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Types of ADR
a. Negotiation b. Mediation c. Arbitration d. Litigation
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Other options for ADR
a. MedArb b. ArMed c. Mini trial
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History of ADR
a. Idea came about around 1960s/1970s i. When there was a lot of counter cultural movements b. Started to look at how to solve disputes alternatively to adjudication c. Some only include negotiation and mediation as ADR b/c it’s between parties w/out court and judge i. Sometimes called conciliation
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Role of the Apology
a. Yes, it can have an impact b. Possibly could reduce court dockets c. Social culture – in some countries it’s an expectation d. Legal institutions – in some states admission of sympathy not an admission of guilt e. Legal reform f. Commodification of the apology i. Used as another tool by attorney’s to win 1. Missing point of an apology
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Against Settlement, Owen Fiss (1984)
Problems become more pronounced when we have different entities (namely minority groups) Says ADR trivializes the remedial dimensions of lawsuits and mistakenly assumes judgment ends His point being they’re going to end up in trial any way Reducing the social function of the lawsuit to one of resolving private disputes
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The Future of ADR, Frank Sander (2000)
Goals of ADR i. Reduce time and costs of litigation ii. Enhance access to the justice system iii. Reduce court congestion iv. Provide more responsive and effective dispute resolution Thinks Fiss article is misguided – complex litigation is not all courts do Most influential in lawyers using ADR according to research is having had prior experience going through ADR procedures
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Riskin Lecture, Dean Gutherie
a. Lawyer as the leader b. Relational capital i. Building good will, trust, repour ii. As lawyer likely have to use relational capital c. Dispute resolution i. Inter and multi-disciplinary (psych, soc, econ, linguistics) d. Listen (don’t speak) i. Active listening is the process of making sense of what you heard and demonstrating that to the speaker e. Interests not positions f. Principles not positions i. Adjudicating not ruling w/ reasoning
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BATNA
Best alternative to a negotiated agreement
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Where does BATNA come in
comes in on both adversarial and problem solving side of negotiation
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Negotiated Agreement
what is on the table and offered if you want it
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BATNA analysis
Start with a negotiated agreement i. What’s offered and on the table if you want it ii. On the table 1. Or potentially on the table 2. Gives you options for negotiation between the parties Alternative i. What’s away from the table, get’s you to the BATNA ii. Refers to all the alternatives to the negotiated agreement 1. ALL means the smart, attractive, good, bad, laughable, unlawful alternatives a. Ex. Hire a hit man to take out other side Brainstorm every single alternative i. Make a list ii. Only after go through entire exercise can you weigh the best alternative and the option (negotiated agreement) Out of that list of all alternative solutions, what is the best one The best one out of the complete list of alternatives is your BATNA Only after you have identified your BATNA can you translate that to your bottom line
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Alternative
what's away from the table
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What if your BATNA is good
walk away from what's on the table
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What if your BATNA is bad
if much worse, take negotiated agreement advise client to consider accepting
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WATNA
WORST alternative to a negotiated agreement
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How do you determine WATNA
same as BATNA but determine the worst may be the current negotiated agreement
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What do you do with your WATNA
a. Avoid at all costs b. If NA > WATNA possibly consider taking c. Take a bad BATNA over a WATNA
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Implications of WATNA
What if losing the case is your WATNA but going to court is your BATNA???
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OATNA
ONLY alternative to a negotiated agreeement
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When does the OATNA happen
a. Rare situation b. May be going to court c. Limited circumstance out of principle i. Ex. Dignity or liberty is at stake – crime did not commit
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Negotiation basics
a. Between individual, party, community, org or government b. Communication process – goes back and forth i. In writing and in person c. There’s negotiation EVERYWHERE i. Everyday human interactions d. Significance i. 90% of legal matters handled by lawyers eventually involve negotiation e. Two general categories i. Transaction 1. Parties try to enter into relationships in which they voluntarily agree to terms that will govern future conduct ii. Dispute 1. Parties are in conflict and they try to resolve the conflict themselves f. Goal of any negotiator i. Communicate persuasively with other side
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Transactional Negotiation
Parties try to enter into relationships in which they voluntarily agree to terms that will govern future conduct
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Dispute Negotiation
Parties are in conflict and they try to resolve the conflict themselves
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Two primary negotiation approaches
adversarial (positions based) problem solving (interests based)
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Rights
independent standards that demonstrate the legitimacy or fairness of a party’s position DR negotiations, bargaining occurs in the shadow of the law
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Power
The ability to coerce someone to do something he would not do otherwise
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Interests
Needs, desires, concerns, fears – the things one cares about or wants. They underlie people’s positions – the tangible items people want
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Adversarial/positions based negotiation
a. Positions are the MEANS by which interests are satisfied b. Usually assumes that the negotiation will focus on limited resource such as money and that the parties will decide whether and how to divide it c. Plaintiff and defendant will each select an “opening position” on this continuum and determine a “bottom line” the position at which the particular party will walk away from the negotiation d. Focuses on the rights and power of the parties e. Zero sum – focused on the distribution of resources i. Bottom lines ex. Car prices/sales
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Orange example
adversarial - split orange in half problem solving - Person A wanted the fruit, Person B wanted the peel
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Problem solving/ interest based
a. Seeks to bring out and meet the underlying interests of the parties so that each side is better off b. Each side is assumed to bring something of value to the deal that can create benefits to both parties and the negotiators try to integrate these interests in a settlement or deal c. Integration of resources/ interest-based
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Hybrid approach
a. Most negotiations are not purely adversarial or problem solving b. Complex process involving both distributive and integrative issues, all against a backdrop of the parties’ interests, rights, and power
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Getting to Yes, Fisher and Ury
Argue that by focusing on interests and not positions, parties can generate a variety of options that will provide mutual gain for both of them
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Preparation for negotiation
assessing the parties interests, rights and power
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Negotiation Time
to prepare and negotiate
96
Negotiation cost
just you and other side (attorney's fees)
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Negotiation formal
basic rules of human interaction
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Negotiation final binding result
i. If you agree, BUT if there’s no agreement or no compliance you are back to where you started
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Negotiation client participation
in the room and can be heard
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types of interests
i. Financial (often seen in the commercial setting) ii. Psychological (also relates to reputational and relational interests) iii. Reputational iv. Relational v. Liberty interests vi. Basic human needs vii. Performance interests
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Types of power
1. Moral 2. Expertise 3. Political power 4. Psychological power 5. Social power (possibly in era of social media) 6. Economic power (where most happens)
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Role of a lawyer
a. Evaluator i. Help client by providing a third party’s evaluation of the situation b. Advisor i. Counsel clients as to their options in the negotiation process c. Negotiator i. Sometimes lawyer is excusive communicator with the other party or their lawyer d. Drafter i. Once an agreement is reached, usually must be reduced to writing, lawyers need to work out the precise language of the agreement e. Ethical responsibilities i. Model Rule of Professional Conduct 1.6(c) provides a attorney shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client
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Financial interest
i. Short term money and long term financial ramifications
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Psychological interest
i. Ex. Child custody dispute, Might be apology or public recognition of wrongdoing
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Reputational interest
i. Harmful precedent or adverse publicity will embarrass them
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relational interest
i. Might revolve repeat players, parents in custody battle, companies that will be doing business for years
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Basic human needs interest
i. Catch all category, security economic well being a sense of belonging being appreciated and in control over ones life
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Liberty interest
i. Not only freedom from incarceration but freedom to travel to engage in a particular occupation or to spend time with one’s family
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Social power
i. Occur within a context where the parties can wield significant power within a given geographic, fraternal, religious, or similar community
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Shifting the power
a. Using the party’s own power to affect the power imbalance b. Asserting rights to affect the power balance c. Reducing the perception of powerlessness d. Using information to increase your power
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Economic power
i. More money/resources
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Negotiation strategy
a. What is it? i. Strategy = big picture plan ii. Tactics = individual manuevers to get there b. First step: identify client’s BATNA c. Second step: translate BATNA into client’s bottom line i. Often in transactional cases ii. Alse need to think of other side’s interests d. Third step: selecting approach i. More adversarial or problem solving e. Strategy and tactics i. Info bargaining = Free discovery 1. Ask broad and probing questions 2. Active listening ii. Concealing info 1. Under answering 2. Answer a ? w/ a ? 3. Ignoring the ? 4. Answer a different ? 5. Explain why you will not answer a ? iii. Posturing 1. Acting like you are willing and ready to win at court 2. “flexing” your sides power iv. Feigning anger 1. If overuse it will help no one v. Following through with your plan 1. Who goes first a. Possibly effected by comfort level (Lee) b. Make somewhat unreasonably high (Gutherie)
111
psychological power
i. All parties have certain psychological needs and sometimes other parties will try to exploit these needs by wielding psychological power, such as threats can have a profound effects on those who don’t know their rights
111
expertise power
i. In some negotiations greater expertise on certain issues involved in the transaction or dispute and that knowledge can result in power imbalances
111
Lande lecture
a. “Negotiation school, not law school” b. In practice not going to just be using the black letter rule i. You will be using this as a background while you are negotiating
112
political power
i. Ability to influence public officials, decision makers, or opinion makers ii. Might try to enlist the support of government agencies or key media figures to influence the negotiations
113
Mediation Basics
a. Voluntary process i. Also a process of assisted bargaining by attorneys b. Confidential i. Mediator can’t tell without permission c. 3rd party involved – negotiation is still present d. Facilitated negotiation e. Mediator’s job is to listen, to facilitate, and get parties to come to an agreement i. Is NOT a judge f. Sometimes parties agree in advance to go to mediation i. Also court ordered mediation
113
Mediation
Method of nonbinding DR involving a neutral 3rd party who tries to help parties reach a mutually agreeable solution (settlement)
114
Mediation costs
pay for mediator
115
Mediation formal procedure
i. Mediator will go first and may have some rules for process
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Mediation client participation
i. Get to tell story, might have say in selecting mediator
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Mediation final binding result
i. Similar to negotiation (have to agree and comply) 1. No binding result – if agree there’s a k, and if there’s a breach than back to DR ii. Mediator can issue a mediator’s proposal that parties can agree to e. Client participation
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Mediation time
i. To mediate and to prepare for it
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Advanced Discussion, Riskin Article
a. Mediation is facilitated negation i. Different because it’s facilitated by a 3rd party b. Some mediators are evaluative, others are facilitative i. Depending on case, might do both c. Evaluative i. Uses strategies and techniques to evaluate matters that are important to the mediation d. Facilitative i. Uses strategies and techniques that facilitate the parties’ negotiation e. Problem definition continuum i. Reminds of client interests 1. Here, think of it more broadly ii. Riskin’s contributions – think of the interests as narrow to broad f. Riskin quadrants Evaluative Narrow Evaluative Broad Facilitative Narrow Facilitative Broad
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Evaluative mediation
Mediator expresses his or her own opinions
120
Mediation Advocacy, Golann
a. Some say 90% of mediation is picking the correct mediator i. Pick based off experience, background, style b. Structure (most are a joint session) i. Might explain confidentiality ii. Opening statement iii. Caucus 1. Mediator going to meet with each party separately iv. Final meeting
121
Facilitative Mediation
Mediator acts as a go between
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Riskin Problem-Definition Continuum
1. Litigation issues (narrow) 2. Business Interests 3. Personal/professional/relational interests 4. Community interests
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Attorney's role in mediation
find the right mediator prep client for mediation influence the bargaining process confidentiality
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Find the right mediator
i. At minimum look for sensitive, flexible understanding poerople who will do their homework, nor matter their job experience ii. Best mediators can work within a range of styles 1. Ideally, they should fit the mediation style to the case and the parties before them
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Confidentiality in mediation
When info is highly sensitive consider keeping it confidential with the mediator
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Prep client for mediation
i. Explain what role you will play ii. How they should interact with the mediator iii. Need to know types of questions mediator is likely to ask
125
Influencing the bargaining process
i. Support a competitive bargaining strategy ii. Explore hidden issues and creative options iii. Obtain advice about tactics iv. Take unorthodox steps to overcome barriers v. Enhance your offers
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Voluntary
i. You agreed to forego fundamental right to go to court ii. Issues (ex. Employment k w/ arbitration clause) 1. Told to take it or leave it – is this really voluntary? a. In theory, yes BUT in practice some questions arise
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Arbitration Baics
a. 3rd party involved but it is the arbitrator b. Parties still there i. Party bringing claim in complainant ii. Party responding is respondent iii. Counsel is also present for both iv. Also witness opportunity to testify for both parties c. Arbitrator not judge i. BUT does have power/authority to issue a binding decision called an award d. Has jurisdiction to hear case b/c it’s contractual e. Can’t arbitrate intentional torts i. Ex. Would not have helped in Garratt v. Dailey
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What is arbitration?
voluntary agreement by parties to resort to arbitration no appeal on merits EXCEPT on very limited grounds
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Where does arbitrator's jurisdiction come from
it's contractual
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Agreement by parties to resort to arbitration
i. Agreement also on conduct and procedures of arbitration 1. Ex. Choosing an administrative organization ii. Fundamental right to go to courts 1. Give up that via the agreement
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Appointment of arbitrators
i. You give them authority to issue a binding decision via the contract ii. Most are former lawyers or judges iii. Good advocates choose their arbitrators carefully
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Appeal of Arbitrations?
d. No appeal on merits, no appeal to court EXCEPT i. VERY limited grounds for challenging enforcement of award, or setting it aside 1. Setting aside = asking them to vacate/make it like it never occurred 2. Technically different from challenging enforcement ii. No arbitrator appellate iii. What are limited grounds? 1. Federal Arbitration Act § 10
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Federal Arbitration Act of 1925
statute for arbitration Still in effect 100 years after being enacted
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Federal Arbitration Act of 1925, Section 2
Validity irrevocability and enforceability of arbitration agreements “an agreement in writing to submit to arbitration an existing controversy arising out of such a k, transaction, or refusal, shall be valid, irrevocable, and enforceable, save upon such grounds as exist at law or in equity for the revocation of a k.”
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Federal Arbitration Act of 1925, Section 5
appointment of arbitrators Named by agreement If for any reason there’s a lapse in naming an arbitrator, the court shall designate and appoint an arbitrator
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Federal Arbitration Act of 1925, Section 10
grounds for setting aside an award NOTE many words are not defined in any statute and are therefore litigable
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Arbitration appeals on procedural issues
1. Where the award was procured by corruption, fraud, or undue means 2. Where there was evident partiality or corruption in the arbitrators, or either of them 3. Where the arbitrators were guilty of misconduct in refusing to postpone the hearing, upon sufficient cause shown, or in refusing to hear evidence pertinent and material to the controversy; or of any other misbehavior by which the rights of any party have been prejudiced, or 4. Where the arbitrators exceeded their powers or so imperfectly executed them that a mutual, final, and definite award upon the subject matter submitted was not made a. Most common grounds 5. Where the arbitrator manifestly disregarded the law a. This is a judge made standard incorporated into this b. Very high standard
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Evident Partiality
i. CCC v. CCC One party who award was in favor of had a previous consulting relationship with the arbitrator
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Elements for setting aside when the arbitrator manifestly disregarded the law
1. Law that applies 2. Arbitrator disregarded that law
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What does Section 10 not include?
Does not include setting aside if arbitrator is an idiot – incompetent or got the law wrong This is the risk you take
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What is the final decision in an arbitration called?
an award
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Ad hoc arbitration
The parties decide on how to conduct arbitration
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How does an award become binding
Arbitrators have the jurisdictional power b/c of k Any good arbitrator will take copy of award to nearest clerk’s office and enter it as a judgment Court will enter as long as they have jurisdiction ii. Takes couple of days iii. Can use to seize bank accounts iv. Do before losing party challenged award
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Pro of ad hoc
don’t have to pay like you would for institutional
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Con of ad hoc
if you failed at negotiation or mediation, are you really going to be able to decide ad hoc
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Institutional Arbitration
An administering organization oversees arbitration case management (eg. American Arbitration Association)
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American Arbitration Association
largest private global provider of ADR services in the world
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institutional arbitration pro
don't have to struggle to reach agreement
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institutional arbitration con
have to pay/expensive
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types of arbitration
a. Commercial (k) b. Labor management/ Professional Sports i. CBA – collective bargaining agreement 1. Usually contains DR clause c. Employment d. Securities i. Sale and stock markets e. Everyday life
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Arbitration advocacy
Not much different from litigation just be midnful of
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Arbitration final binding result
called an award and is binding
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Arbitration time
higher time
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arbitration cost
expensive - parties pay for arbitrators and counsel and possibly expert witness
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arbitration formal
i. Institutional – administering organization that has published rules for how process should be ii. Ad hoc iii. Formal rules of evidence don’t apply, but in large part resembles court proceeding 1. Trial lawyers complain there is limited discovery and more relaxed rules of evidence a. Ex. Hearsay is up to the arbitrator
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arbitration client pariticpation
i. Some say in who arbitrator is – might be important if you need someone who is an expert/specialized in some field
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Arbitration advantages to litigation
a. Parties can set procedures, applicable rules b. Parties can select arbitrator (of 3), or have say in selecting sole arbitrator c. Party confidence in the process d. Limited discovery in arbitration e. No appeals, binding decision f. Want a quick decisions – not spend years on appeals g. For arbitration w/ respect to admissibility of evidence
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Arbitration party autonomy
a. Means it’s what the parties want i. They want arbitration ii. Parties agree to go to arbitration in the first place (chose over something else) iii. Can agree on how arbitration is conducted 1. Procedures, selection of arbitrator, location, payment iv. BUT there are limits v. Risk – concocting an agreement so unconventional to delay arbitration can happen
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Types of cases that can't be arbitrated
i. Criminal actions (the state should be involved) ii. Public constitutional (the state should be involved) iii. Marital dissolution [?] iv. Intentional torts 1. Ex in mid of heated negotiation a CEO punches another CEO a. Yes arose out of capacity of job BUT nature of claim being an intentional tort likely not arbitrable i. BUT not necessarily in every law or state
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Limits on arbitrations
some cases may not be arbitrated
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Court adjudication basics
a. 3rd party neutral is the judge b. Only 5% of all cases go to trial i. Most settle, hence importance of communication, listening, negotiation, mediation, etc c. Counsel speaks for the parties i. Most everything said is heard by everyone ii. P and D do not directly communicate with each other iii. More rigid, formal, procedural process
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Adjudication final binding result
BIGGEST ADVANTAGE -finality
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Adjudication time
appeals process and trial take YEARS
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adjudication cost
Attorney fees, filing all documents, litigation is EXPENSIVE
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Adjudication client confidence and participation
lower - don't really have a say unless witness, they don't speak to judge or other side
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Adjudication formal process
YES - fed rules, chamber rules, circuit rules, civ pro, evidence, crim pro all can apply
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Traditional Lawyering
Treats the client as a passive participator and the lawyer as the primary decision maker. The client provides facts and the lawyer provides professional advice and judgment. - Minority of clients want this. - People that want this structure are likely older, more conservative, or from a different culture. - More focused on litigation outcomes and legal principle
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Client Centered lawyering
: Focusing efforts on what the client hopes for (rather than what the lawyer thinks the client needs) and treating the client as an effective collaborator, (rather than a helpless person that the lawyer will rescue). Both attorney and client are active. Attorney and client brainstorm and work together. - Majority of clients want this approach. - Considers emotional, social, economic, and other alternatives instead of purely legal solutions - Gets better results on average in personal injury cases - Client has better knowledge of facts - Actively involved client catches mistakes - Promotes the dignity of clients by making them more responsible for choices - Reduces client anxiety because the client is not kept in the dark - Liberates lawyer from paternal role, which reduces client suspicion - Invites personal contact
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Evaluative Narrow
Help parties understand the strength of their relative positions and the likely outcome of litigation.
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Facilitative Narrow
Help parties understand the strength of their relative positions and the likely outcome of litigation.
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Evaluative Broad
Principle strategy is to learn about the circumstances and underlying interest of the parties and other affected individuals or groups and use that knowledge to direct the parties toward an outcome that responds to such interest`
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Facilitative Broad
Help the participants define the subject matter of the mediation in terms of underlying interests and help them develop and choose their own solutions that respond to such interests.
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MacCrate Report Fundamental Lawyering Skills
Problem solving 2. Legal analysis and reasoning 3. Legal research 4. Factual investigation 5. Communication 6. Counseling 7. Negotiation 8. Litigation and ADR procedures 9. Organization and management of legal work 10. Recognizing and resolving ethical dilemmas
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MacCrate Report Fundamental Values of the Profession
Provision of competent representation 2. Striving to promote justice, fairness, and morality 3. Striving to improve the profession Professional self development